codelion/finepdfs-100M · Datasets at Hugging Face

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Generation One 1. Alexander Bremner #19384, b. 21 November 1838 in SCT, 1 d. 09 October 1925 in Montreal, QC, CAN, buried 12 October 1925 in Mount Royal Cemetery, Montreal, QC, 2 occupation Building Contractor. ``` Immigrated 1844 (1901 -1921Montreal census); 1881: Lived Outremont; 1889-94: res. 85 Mance; 1896-98: 4401 St. Catherine, Westmount; 1900-1906: Res. 89 Park Ave., 1901: Lived 218 Prince Arthur, Montreal. 1913-25: Residence 237 Kensington Ave., Montreal. 1925: Residence at death 237 Kensington Ave., Montreal. ``` He married Mary Morrison #19385, b. 19 September 1843 in Montreal?, QC, CAN, 3 d. 10 September 1925 in Montreal, QC, CAN, 4 buried 12 September 1925 in Mount Royal Cemetery, Montreal, QC. 4 Mary: (1901 Montreal census gives "Quebec, rural" as birthplace.) Children: 2. i. Jeannette (Nettie) May Bremner #19386 b. 11 October 1870. 3. ii. John Alexander Bremner #19387 b. 21 November 1873. 4. iii. Annie A. Bremner #19399 b. c 1875. 5. iv. William Ernest Bremner #29130 b. c June 1878. 6. v. Alexander Wellwood Bremner #19388 b. 16 March 1880. 7. vi. Walter Bremner #66676 b. c 1891. Generation Two 2. Jeannette (Nettie) May Bremner #19386, b. 11 October 1870 in Montreal?, QC, CAN, 1 d. 28 September 1940 in 396 Rosyln Ave., Montreal, QC, CAN, 4 buried 30 September 1940 in Mount Royal, Montreal, QC, CAN. 5 (unmarried) 3. John Alexander Bremner #19387, b. 21 November 1873 in Montreal, QC, CAN, 1 d. 25 June 1968 in Checketts Rest Home, Montreal, QC, CAN, 6 occupation Trader. He married Florence Martha Jane Thompson #19390, b. c 1876 (daughter of Stephen John Thompson #19391 and Jane Bell #19392), d. 1970 in Montreal, QC, CAN, buried in Mount Royal Cemetery, Montreal, QC. 7 Children: 8. i. Douglas Orrin Bremner #19393 b. 1903. 4. Annie A. Bremner #19399, b. c 1875 in Montreal?, QC, CAN. 8 6. Alexander Wellwood Bremner #19388, b. 16 March 1880 in Montreal?, QC, CAN, 1 baptized 1880 in Crescent, Montreal, QC, CAN, 11 d. 16 March 1957 in Montreal, QC, CAN, 12 buried in Mount Royal, Montreal, QC, CAN. 5. William Ernest Bremner #29130, b. c June 1878 in Montreal, QC, CAN, 9 d. 10 April 1879 in Outremont, Montreal, QC, CAN, 9 buried 12 April 1879 in Mount Royal, Montreal, QC, CAN. 10 1898: Lived at parents, 4401 St. Catherine's, Westmount, Montreal. 1904( Residence when married: 89 Park Avenue, Montreal, QC. 1910: Res 229 St. Catherine Rd., Outremont; Building Materials and Contracting was still at 100 Bleury. 1957: Residence 380 Willowdale Ave., Montreal. He married 13 (1) Florence Gertrude Elliott #49207, 08 June 1904 in Somerville, MA, USA, b. c 1883 in Kingston, Frontenac County, ON, Canada, 14 (daughter of William G. Elliott #68645 and Hannah McCammon? #68646), d. 07 June 1936 in Westmount, Montreal, QC, CAN, 4 buried 10 June 1936 in Mount Royal, Montreal, QC, CAN. 15: Florence 1883: Note that there is a birth registration in Toronto for "Florence Gertrude ELLIOTT" to William ELLIOTT and Alice FERGUSON... 1904: Residence when married: 42 Tufts Street, Somerville, MA. He married (2) Ethel Caster #19389. Children: 9. i. Marion Ethel Bremner #33997 b. 25 July 1929. 7. Walter Bremner #66676, b. c 1891 in Montreal?, QC, Canada. 16 Generation Three 8. Douglas Orrin Bremner #19393, b. 1903 in Montreal?, QC, CAN, d. 04 September 1998 in Montreal, QC, CAN, 17 buried in Mount Royal Cemetery, Montreal, QC, CAN, 17 occupation Bremner Norris & Co., GM. * verify link to parents ** 1920: Res. 656 Belmont Ave., Westmount 1930-1950: res. 3769 Boulevard, Westmount, QC. He married Isobel Margaret Geraghty #19394, b. 1905, 17 d. 04 February 1999 in Ormstown, QC, CAN, buried in Mount Royal Cemetery, Montreal, QC, CAN. 17 Children: 10. i. Douglas Bremner #19398. 11. ii. Evelyn Bremner #19395. 12. iii. Carol Ann Bremner #19396. 13. iv. Marjory Bremner #19397. 9. Marion Ethel Bremner #33997, b. 25 July 1929 in Montreal, QC, CAN. 18 (verify mother) Generation Four 10. Douglas Bremner #19398. 1964: Chairman, Douglas BREMNER Builders 11. Evelyn Bremner #19395, occupation Teacher. 1950: Lived at home, worked as teacher at Roslyn School. 12. Carol Ann Bremner #19396. 1950: at home with parents, student. 13. Marjory Bremner #19397. 1940: student, at home. 1950: Secretary at School for Crippled Children; lived at home. 1 1901 Montreal St. Antoine census; filmT-6536; age/birthdate. 3 1901 Montreal St. Antoine census; filmT-6536; age/birthdate; 1881 census gives birthplace as Scotland. 2 Mount Royal Cemetery, Section C-935; Drouin Collection Vital Records 1621-1967 (ancestry.com). 4 Drouin Collection Vital Records 1621-1967 (ancestry.com). 6 Mount Royal Cemetery records, ref. section G-340. 5 Drouin Collection Vital Records 1621-1967 (ancestry.com); cremated. 7 Mount Royal Cemetery; Image 00-0726. 9 Mount Royal Cemetery Records, Section C-935. 8 1881 Outremont census; age/birthplace. 10 Mount Royal Cemetery Records, Section C-935; Drouin Collection Vital Records 1621-1967 (ancestry.com). 12 Mount Royal Cemetery records, ref. C-935. 11 LDS Film 1684034; Index of BMD for Non--Catholics, Montreal and Rural Parishes. 13 Details from burial register entry. 15 Drouin Collection Vital Records 1621-1967 (ancestry.com); cremated. 14 Details from 1904 Somerville, MA marriage certificate. 16 1921 Westmount/Montreal, QC census; age/birthplace/relationship. 18 Marsha MacKay, 2002. 17 Photo and transcription July 2000, Image 00-0726.	<urn:uuid:6b279d57-1f10-4a19-b181-138edfd4b3d7>	CC-MAIN-2019-09	http://www.brebner.com/uploads/bre19384.pdf	2019-02-19T04:35:34Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247489343.24/warc/CC-MAIN-20190219041222-20190219063222-00457.warc.gz	325,006,266	1,757	eng_Latn	eng_Latn	0.420431	eng_Latn	0.39434	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2364, 4312, 5434 ]
Comments $ = TomTom $$ =AA route Benenden Village Green TQ808328 TN17 4EF 42 £8.40 $$ $$ $$ $$ Chiddingfold, Surrey TQ962355 CR5 3NR 52 £10.40 East Peckham TQ670485 TN12 5ET 26 £5.20 $ Greenwich railway station TQ380774 SE10 9LL 8 £1.60 $ $$ Ide Hill Village CP TQ488517 TN14 6JG 17 £3.40 $ Warning SatNavs are likely to route via Fawkham Green, these lanes are very narrow. From the A20 head north on Ash Lane for about 2.5 miles, 50m after passing a small Gulf petrol station (Automobile Engineering) Ash Road turns right off main road, then follow Ash Road to left for 200m then turn right in to Punch Croft. The entrance to The Pavilion/New Ash Green Rugby Club car park is almost immediately on the right. $ Offham Village Green TQ657573 ME195NU 22 £4.40 $ $$ Scadbury Nature Reserve TQ452704 BR75PG 3 £0.60 $ Winchester 85 £17.00 $ £3, large CP	<urn:uuid:8b1ed4af-ef13-413c-8366-5928ba07ec5f>	CC-MAIN-2022-33	https://www.ramblers.org.uk/-/media/LBS/Area%20And%20Group%20Pages/Kent/Bromley/2019/October/Passenger%20contribution%20010811.ashx	2022-08-09T16:58:18+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-33/subset=warc/part-00288-d466b69e-be2b-4525-ac34-1b10d57329da.c000.gz.parquet	833,421,030	305	eng_Latn	eng_Latn	0.998957	eng_Latn	0.990487	[ "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "eng_Latn", "unknown", "unknown", "unknown" ]	false	rolmOCR	[ 34, 105, 158, 206, 270, 322, 748, 807, 863, 903 ]
A1F Datasheet NOVIA BS 1521 Grade A1F Building Paper This is a traditional, reinforced kraft paper bitumen-bonded, building paper laminate. Manufactured with wet-strength kraft paper and meeting the technical requirements of BS 1521 for water-proof building papers, the product utilises polymer reinforcing scrim. Typical uses: Vapour-checks, Underlays on uninsulated cladding, Temporary Protection, Separation Layers, Bond Breaks, Draught and Damp exclusion and Air Movement barriers. Sizes available: 1000 mm x 25m, 1000 mm x 50 m (from stock) Other sizes available (subject to MOQ) Typical performance data: Moisture vapour resistance 53 MNs/g Tensile strength BS 4415 (Dry) 12.4 kN/m (M/D), 7.20 kN/m (C/D) Bursting strength BS 3137 (Dry) 550 kN/m 2 Liquid water resistance minimum 24 hours Upper temperature stability Over 70 Celsius Chemical resistance Resistant to chemicals found in plaster and cement Does not attract insects or vermin Biological NOVIA LTD, Unit 12 Heronden Road, Parkwood Industrial Estate, Maidstone, Kent. ME15 9YR Tel (01622) 678952 Fax (01622) 679025 e-mail: [email protected] Registered Office: Star House, Star Hill, Rochester, ME1 1UX Company reg no. 3229379 VAT reg no. GB 662 277131	<urn:uuid:0edb84a0-2f2e-418b-b2b2-b5c14a3d3342>	CC-MAIN-2021-25	https://novia.co.uk/uploads/components/variation/A1FDatasheet15-5b72f203e77d9.pdf	2021-06-20T02:47:24+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-25/subset=warc/part-00045-e638c5dd-3c3d-4738-8d52-dc1e9f44de3a.c000.gz.parquet	386,828,020	346	eng_Latn	eng_Latn	0.568753	eng_Latn	0.568753	[ "eng_Latn" ]	false	rolmOCR	[ 1245 ]
We apply Deep Recurrent Neural Networks with Long Short Term Memory on time series forecasting, in particular to predict the very volatile Bitcoin (BTC) financial asset price over a number of input sequence lengths and forecast lengths. We reference price work on ARIMA [1] to give insights on our baseline time series model. Data Our Data is the daily historical data of Bitcoin (BTC) sourced from a reputable exchange, along with other features including technical indicators. Our sample was drawn from daily prices since 01/01/2017. Our model performed best after regularization and normalization. Features For the Bitcoin index, three categories of daily variables are used as model predictors. The first category contains historical Bitcoin trading data, such as the open, close, high, and low bitcoin prices of the day or hour. The second category consists of volume and percentage change in price recorded during trading. These variables are widely used in stock and commodities trading. We also examine derived features as the third type of input. Derived features include the other attributes mentioned, exponentially weighted smoothing averages, seasonal decomposition, and trend decomposition, as well as Technical Indicators: MACD, Average True Range, RSI, Bollinger Bands. Prior work on Quantitative trading strategies provides some guidance on this front [2], [3]. Models In terms of model architecture, we explore a variety of LSTM models with up to six layers, with 8-1 LSTM layers and 1-2 Dense layers with a final Dense output layer were the main focus. We implement dropout and batch normalization after every LSTM layer in the model. Each LSTM layer has the same number of hidden units, which we use as a hyper-parameter in our search. We model the problem as a many-to-many sequence forecasting problem, and thus the final layer in our models have a number of output units equal to the number of time steps to be forecasted. Our models were trained with a mean squared error loss function applied for the back propagation phase of the learning algorithm. [3] We implemented a simple looping construct to search the optimal set of hyper-parameters similar to the following pseudo-code: We plotted our top 25 models with forecasts and evaluated them on Mean absolute percentage error (MAPE), which is defined as \[ \text{MAPE} = \frac{1}{n} \sum_{i=1}^{n} \left\| \frac{\text{Actual} - \text{Forecasted}}{\text{Actual}} \right\| \] We initially focus on quantity of models over quality, trying different architectures and approaches to see what works best. We tried different window length and forecast length, finally settling on 5-day LSTM architectures which output a single 5-minute prediction per value. We then moved quality to the head of our decision making processes to tune the final models. Rapid exploration turned out to be advantageous in uncovering our most promising models early on. [2] As you can see below, our predictions showed a solid amount of learning (low mean concise absolute error). ![Traditional and LSTM Modeling for BTC Close Price](image) Results After extensive exploratory Our findings were conclusive. We found that Deep Recurrent Neural Networks were superior to ARIMA and VAR models when tuned extensively. The MAPE was significantly better for well-tuned LSTM models. We noticed that normalization and regularization of our inputs, along with low-to-moderate levels of dropout and L2-0 hidden units improved our results. Discussion We are optimistic that further questioning and additional human insights along with better feature engineering, more high quality data, rigorous optimization, and additional techniques such as attention models and other exciting research findings will result in significant lift in performance. Technically, we hope to automate and improve our analysis both from a high level architecture and hyper-parameter optimization (grid or bayesian search.), and in terms of low level technical details such as automation, and agile development methodologies. In particular, the ability to automatically optimize the number of layers will be useful, and the ability to run many different architectures and hyper-parameters over a large dataset will be preferred over a high amount of manual tuning. We also plan to add better error handling, unit and integration testing, and improve the overall quality of the code. References [1] Zhang Jians. “Exploration of predicting power of arima.” In: (). [2] Kaur. “Quantitative trading strategies using deep learning, pairs trading.” In: (). [3] Sketje, Shane Person. “Hybrid autoregressive recurrent neural network architecture for algorithmic trading of cryptocurrencies.” In: ().	<urn:uuid:559ceaba-ad6f-4cdc-874b-0bb3620f5064>	CC-MAIN-2024-33	http://cs230.stanford.edu/projects_spring_2019/posters/18680190.pdf	2024-08-15T06:54:48+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-33/subset=warc/part-00110-4f628544-3cdf-4526-86aa-bdfa0b33cdc9.c000.gz.parquet	7,057,583	941	eng_Latn	eng_Latn	0.996145	eng_Latn	0.996145	[ "eng_Latn" ]	false	docling	[ 4754 ]
Merrimac Police Station – Merrimac, MA Meeting Minutes Attendees: \| Assoc. \| Present \| Name \| Assoc. \| \|---\|---\|---\|---\| \| \| \| NV5 (OPM) \| \| \| Police \| Y \| Bill Cunniff \| NV5 \| \| Res \| Y \| Ken Grizzell \| NV5 \| \| Merr \| Y \| \| \| \| Res \| Y \| Designer \| \| \| Res \| \| Greg Carell – Carell Group \| CG \| \| Merr \| Y \| \| \| \| Res \| \| \| \| \| Merr \| Y \| \| \| \| Merr \| Y \| \| \| 1. The meeting was called to order at 1300 hours by Chief Shears. Meeting to discuss potential Massachusetts State Grants for Public Safety: 1. Senator Diana DiZoglio and Ms. Lauren LeBlanc arrived just after 1300 hours and we discussed the project with the Senator. She would like us to send information on the building and costs associated with the building. We discussed the filing of bond bills and earmarks to help offset the costs of the project. Chief Shears will send the information to both. 2. State Representative Leonard Mirra arrived just after 1400 hours and we continued our discussion about the building. There was talk of both the Senator and the Representative filing legislation together. 3. The Meeting concluded at approximately 1440 hours. Senator DiZoglio and Representative Mirra proceeded to the police department for a brief tour with Chief Shears and Chief Fisher.	<urn:uuid:6c82a8ec-fe43-4128-8f36-a531afc5d715>	CC-MAIN-2019-47	https://3avqof3nu6qi3mr8ib3j5l7y-wpengine.netdna-ssl.com/wp-content/uploads/sites/180/2019/04/2019.01.25-Merrimac-PS-PSBC-Meeting-State-Rep.pdf	2019-11-22T20:34:12	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2019-47/subset=warc/part-00113-47abed28-4fa2-4f4a-b4d3-db11c85b2f3a.c000.gz.parquet	295,806,034	338	eng_Latn	eng_Latn	0.998724	eng_Latn	0.998818	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1090, 1275 ]
West Virginia Division of Motor Vehicles ANNUAL REPORT 2018 Thomas J. Smith, PE Secretary, Department of Transportation Pat S. Reed Commissioner, Division of Motor Vehicles Photo credit: Jodie Knox (Schwirtz) THIS PAGE INTENTIONALLY LEFT BLANK DMV Locations Regional Offices and Examination Center 1) BECKLEY 107 Pinecrest Drive Beckley, WV 25801 2) CHARLES TOWN 24 Ruland Road Kearneysville, WV 25430 3) CLARKSBURG 153 West Main Street Clarksburg, WV 26301 4) ELKINS 1029 North Randolph Avenue Elkins, WV 26241 5) FAIRMONT EXAM CENTER 420 Marion Square, Suite 290 Fairmont, WV 26554 6) FLATWOODS 295 Skidmore Lane Sutton, WV 26601 7) FRANKLIN 100 Thorn Creek Road Suite 300 Franklin, WV 26807 8) HUNTINGTON 801 Madison Avenue Huntington, WV 25701 9) KANAWHA CITY 5707 MacCorkle Ave. SE Suite 400 Charleston, WV 25317 10) LEWISBURG 148 Maplewood Avenue Lewisburg, WV 24901 11) LOGAN 428 Main Street Logan, WV 25601 12) MARTINSBURG 38 Severna Parkway Martinsburg, WV 25403 13) MOOREFIELD 410 South Main Street Moorefield, WV 26856 14) MORGANTOWN 1525 Deckers Creek Blvd. Morgantown, WV 26505 15) MOUNDSVILLE 400 Teletech Drive, Suite 100 Moundsville, WV 26041 16) PARKERSBURG 601 Lubeck Avenue Parkersburg, WV 26101 17) POINT PLEASANT 1408 Kanawha Street Point Pleasant, WV 25550 18) PRINCETON 198 Davis Street Princeton, WV 24740 19) ROMNEY HC 60, Box 2570 (Route 50 & Ridge Loop Rd.) Romney, WV 26757 20) SPENCER 115 Church Street Spencer, WV 25276 21) SUMMERSVILLE 2 Armory Way Summersville, WV 26651 22) WEIRTON 100 Municipal Plaza Suite 100 Weirton, WV 26062 23) WELCH 92 McDowell Street Welch, WV 24801 24) WILLIAMSON 225 East 3rd Avenue Williamson, WV 25661 25) WINFIELD 116, Liberty Square Winfield, WV 25526 Pat Reed Commissioner Linda Ellis Deputy Commissioner Terri Shafii Executive Assistant to the Commissioner EXECUTIVE STAFF Regional Offices Cecil Loyd, Director Management Services Jim Jordan, Director Technology Services Tony Stewart Information Services Wilbur Thaxton II, Director Human Resources Monica Price, Manager Investigation & Security Services Linda Ellis, Director Vehicle Services Michael Maggard, Director Driver Services Larry Cavender, Director Legal Services Adam Holley, General Counsel Public Information Specialist Natalie Holcomb Governor's Highway Safety Program Bob Tipton, Director # Table of Contents 2018 Fiscal Year End Report \| June 1, 2017 - June 30, 2018 \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| Commissioner's Forward \| 1 \| \| Legislative Changes \| 3 \| \| Highway Safety \| 4 \| \| About the Program \| 4 \| \| GHSP Goals \| 5 \| \| Public Information \| 5 \| \| GHSP Federal Funding Policy Compliance \| 5 \| \| Driver Services \| 7 \| \| Revocations & Suspensions \| 7 \| \| Commercial Driver’s License \| 9 \| \| CDL Restrictions \| 10 \| \| CDL Assessment Unit \| 11 \| \| DUI Programs \| 13 \| \| Driver Improvement \| 13 \| \| Second Chance Program \| 14 \| \| Medical Review Unit \| 15 \| \| Compulsory Insurance \| 16 \| \| Technology Services \| 17 \| \| Information Services \| 18 \| \| Investigation, Security & Support Services \| 19 \| \| Legal Services \| 20 \| \| Management Services \| 21 \| \| Receiving & Processing \| 21 \| \| Purchasing & Accounts Payable \| 22 \| \| Warehouse & Inventory Supply \| 22 \| \| Regional Office Services \| 23 \| \| Vehicle Services \| 25 \| \| Titles & Registrations \| 25 \| \| Dealer/Leasing Services \| 25 \| \| Motor Carrier Services \| 28 \| 2018 Highlights and Accomplishments The Division continued to make tremendous progress in FY 2018 in improving customer service. Key programs and highlights include: - DMV adds more kiosks (self-service terminals). DMV added new kiosks in 2018 that were placed around the state and offer many of the services that can be found through our online services portal. Driver’s license renewal and vehicle registration renewal are key features of the kiosks. Locations include: Kanawha City, Martinsburg, Wheeling, Beckley, Barboursville, Clarksburg, Scott Depot, and Star City. - DMV utilizes flat screen monitors in all the Regional Offices through the Motor Vehicle Network (MVN) to provide customers with education and information regarding DMV’s vehicle and driver services. Monitors encourage customers to “Skip the Trip” or “Skip the Line” with online services and the DMV kiosks. - As part of the ongoing business modernization plan, DMV continues to add online services to the website. The DMV website contains the online services portal, which allows citizens to perform requests for vehicle registration renewals, duplicate registration cards, duplicate Class A license plate decals or plates, and update their address of record with the DMV. Customers can also pay their driver’s license reinstatement fees and purchase their driving record online. Motor carrier drivers can also now take advantage of the online services with a new online application system. - DMV driver examiners continue to be amongst the best in the nation by achieving full national certification. The DMV strives to maintain the highest level of performance among our driver examiners through training and education. During FY 2018, the DMV implemented online training courses for driver and motorcycle examiners which has significantly reduced training expenses. As a result, 85% of our driver examiners are nationally certified. • DMV improved upon the CDL Skills Testing process by upgrading to new electronic testing methods utilizing mCDL software developed alongside Appalachian Technical Institute in Huntington. This software assists in fraud prevention, as well as reducing the amount of time needed to issue a CDL to applicants. • The West Virginia Governor’s Highway Safety Program (GHSP) continues to focus on reducing roadway injuries and fatalities, aided by the 89.7% seat belt usage rate in 2017, high visibility enforcement campaigns, and strong media messaging. In addition to occupant protection, the GHSP also focuses on impaired driving prevention and awareness. In FY 2018, the GHSP provided $694,386 in federal DUI funding to 169 law enforcement agencies and the State Police, resulting in 1,456 DUI arrests, 31,869 driver contacts, and 15,793 additional traffic citations. 2019 and Beyond... The accomplishments of the Division over the last year will stimulate improvements in many of its processes. Several key projects are underway in FY 2019. Those projects include: • Implement, by October 2019, a new Driver License/Identification card system that will be completely compliant with the “Real ID Act” of 2005, which is mandatory for 2020. • Continue modernizing outdated mainframe-based technology. • Continue to promote the usage of the online transactions through the DMV website. • Implement a new, more convenient IRP solution that will allow customers to perform IRP transactions online as well as from a mobile device. This will also provide customers with real time Federal Motor Carrier Safety Administration updates made directly to their mobile devices. • Add online renewal capability for West Virginia Automobile Dealers. • Expand the availability of web-based business processes and increase the use of online self-service transactions by 5% each year. • Improve the safety of the motoring public through public awareness initiatives and driver rehabilitation. • Develop a customer-centric business system to replace outdated standalone databases to provide state-of-the-art motor vehicle services to customers in an efficient and cost-effective manner by FY 2021. • Complete the interface with the Supreme Court’s Unified Judicial Application, which will allow DMV to electronically import most convictions to the driver record by FY 2021. • Complete the import of the ticket supplied through the Supreme Court’s Unified Judicial Application, to the agency’s Document Managing System by FY 2020. Legislative Changes Summary for Fiscal Year 2018 New Legislative Vehicle Plates: Senate Bill 589 Requires the Division of Motor Vehicles to issue personalized antique vehicle plates. Senate Bill 590 Requires the Division of Motor Vehicles to issue a special vehicle plate for curing childhood cancer. House Bill 4015 Requires the Division of Motor Vehicles to reissue newly designed vehicle plates for the front and back of all State-owned or State-leased vehicles. Voluntary Donations: Senate Bill 326 Authorizes customers to make voluntary donations to the West Virginia Department of Veterans Assistance when applying for a driver’s license or ID card. House Bill 4347 Authorizes customers to make voluntary donations to the West Virginia State Police Forensic Lab when applying for a driver’s license or ID card. Driver’s License Advisory Board (Medical Advisory Board): House Bill 2831 Reconstitutes and reauthorizes the Driver’s License Advisory Board, commonly known as the Medical Advisory Board. Automobile Dealer Advisory Board: House Bill 2008 Modified the types of claims and the payment priority of claims filed with the Automobile Dealer Advisory Board. About the Program The Governor’s Highway Safety Program (GHSP) is the lead agency for West Virginia’s participation in federally funded highway safety improvement measures, which are mandated by the National Highway Traffic Safety Administration (NHTSA). The program is housed under the DMV, and the DMV’s Commissioner, Pat Reed, serves as Governor Justice’s representative for highway safety. To allow for maximum flexibility and accuracy in the identification and resolution of highway safety issues throughout the state, the GHSP has established eight (8) focused regional traffic safety programs. These traffic safety programs are located in the population centers of Beckley, Bluefield, Charleston, Clarksburg, Huntington, Parkersburg, Martinsburg, and Wheeling. Each region’s mission is to develop and implement the plans that their regions require to lower crashes, injuries, and fatalities on the roadways of West Virginia. These traffic safety programs also provide a targeted approach to sharing valuable messages about highway safety enhancement legislation with the public. The GHSP evaluates its performance annually to determine what progress has been made towards meeting its goals. These goals and measures are explained in detail in the GHSP’s Annual Highway Safety Performance Plan located on the DMV website. GHSP Totals For Counts, Recoveries, and Arrests [Based on the Federal Fiscal Year 10/1/17 – 9/30/18] \| Category \| 2018 \| 2017 \| \|---------------------------------\|--------\|--------\| \| Under Age Drinking \| 167 \| 604 \| \| DUI Arrests \| 1,531 \| 2,684 \| \| Child Restraints \| 152 \| 234 \| \| Driver’s License Revoked \| 803 \| 894 \| \| Driver’s License Suspended \| 3,395 \| 3,084 \| \| Felony Arrests \| 514 \| 613 \| \| Misdemeanor Arrests \| 2,186 \| 2,601 \| \| Fugitives Recovered \| 124 \| 117 \| \| Weapons Recovered \| 66 \| 68 \| \| Property Value Recovered \| $299,207 \| $622,354 \| \| Drug Value Recovered \| $243,307 \| $141,705 \| In 2018, the GHSP Funded: [Based on the Federal Fiscal Year 10/1/17 – 9/30/18] - 121 Full Sobriety Checkpoints - 3 Phantom Checkpoints - 12 Occupant Protection Checkpoints - 136 Total Checkpoints in WV - 72,689 Total Vehicles Contacted - 118,378 Total Vehicle Occupants - 73 DUI Arrests at Checkpoints - 1,640 Citations Issued at Checkpoints - 17,606 Hours of Directed and Saturation Patrols - 13,142 Citations Issued for All DUI Work - 2,744 Man-Hours Invested in Sobriety Checkpoints Public Information The GHSP’s public information efforts focus on awareness, education, and the promotion of highway safety initiatives such as seat belt use, child passenger safety, motorcycle safety, pedestrian safety, bicycle safety, ATV safety, as well as the dangers of drowsy driving, impaired driving, and distracted driving. Changing driver behavior is emphasized as the key to successful highway safety programs, and these objectives are met by combining state, regional, and local efforts. Years of declining injuries and deaths suggest that GHSP efforts are having a positive effect on driver behavior in West Virginia. The GHSP utilizes surveys, national data, programs and high visibility enforcement campaigns modeled by decades of research provided by NHSTA in order to provide effective and measurable highway safety improvements. The GHSP also works closely with various agencies and clientele groups throughout the state, including the Commission on Drunk Driving Prevention, the Alcohol Beverage Control Administration (ABC), the West Virginia State Police, local law enforcement agencies, Emergency Medical Services (EMS), the Prosecuting Attorney’s Institute, health care professionals, and even local businesses to educate the public and promote highway safety. GHSP Goals - Reduce the five (5) year rolling average of traffic fatalities by 11.4% from 303 to 268 by 12/31/2018 (2017: 303) - Decrease unrestrained passenger vehicle occupant fatalities 9.4% from 111 to 104 by 12/31/2018 (2017: 111) - Increase statewide (observed) seat belt use by 4.2% for all front seat occupants to 90% by 12/31/2018 (2017: 89.7%) - Decrease total of drivers age 20 or under involved in fatal crashes 7.7% from 37 to 31 by 12/31/2018 (2017: 37) - Reduce fatalities per number of vehicle miles travelled (VMT) by 11.2% from 1.38 to 1.29 by 12/31/2018 (2017: 1.38) - Reduce serious injuries by 17% from 1,063 to 1,050 by 12/31/2018 (2017: 1,063) - Decrease unhelmeted motorcyclist fatalities 12.3% from ten (10) to nine (9) by 12/31/2018 (2017: 10) - Decrease overall motorcycle fatalities 6.7% from 26 to 24 by 12/31/2018 (2017: 26) - Reduce pedestrian fatalities 14.2% from 26 to 23 by 12/31/2018 (2017: 26) - Decrease impaired driving fatalities 8.8% from 72 to 66 by 12/31/2018 (2017: 72) - Reduce bicyclist fatalities to zero by 12/31/18 (2017: 1) GHSP Federal Funding Policy Compliance GHSP operates on funding that is provided federally and with required matching funds provided by the state. The GHSP is responsible for the oversight of these grants and their mandated policies and requirements. NHTSA grant funding policy states that no more than 13% of a NHTSA grant may be expended on administrative costs. Federal statute requires that local political subdivisions be allocated at least 40% of all federal highway safety funding the State receives. GHSP distributed over 78% of its FY 2018 federal funding to various local governments, exceeding the requirements. For certain grant fund programs, NHTSA requires that the State match at least 25% of all NHSTA funding received by GHSP. West Virginia’s FY 2018 allocation exceeded this requirement. The GHSP’s regional traffic safety programs receive approximately 70% of West Virginia’s federal highway safety driver behavior funding that goes towards regional enforcement, local media, administrative, and public education material production costs. The remaining funds are utilized through the GHSP central office and other state agencies to fund statewide media campaigns, training, various safety programs, and to grow electronic data collection for accurate measures and reporting. ## Law Enforcement Training Based on the Federal Fiscal Year 10/1/17 - 9/30/18 \| Category \| Classes \| Students \| \|---------------------------------\|---------\|----------\| \| Speed Enforcement & Radar/Lidar \| 3 \| 21 \| \| Occupant Protection \| 13 \| 371 \| \| Checkpoints \| 1 \| 21 \| \| Crash Investigation \| 1 \| 2 \| \| Motorcycle Safety \| 3 \| 50 \| \| DUI (Drug & Alcohol) \| 11 \| 365 \| \| Other \| 11 \| 390 \| \| Total \| 43 \| 1,220\| ## Training for Everyone \| Category \| Classes \| Students \| \|---------------------------------\|---------\|----------\| \| CPS Technician Certification \| 3 \| 55 \| \| CPS Technician Renewal \| 2 \| 8 \| \| Special Needs Class \| 1 \| 16 \| \| Kidz in Motion \| 4 \| 48 \| \| Total \| 10 \| 127 \| ## Law Enforcement Citations and Warnings Based on the Federal Fiscal Year 10/1/17 - 9/30/18 \| Category \| Citations \| Warnings \| \|---------------------------------\|-----------\|----------\| \| Child Restraint \| 152 \| 65 \| \| Insurance \| 6,009 \| 3,718 \| \| Other \| 4,953 \| 33,441 \| \| Reckless Driving \| 113 \| 150 \| \| Red Light & Stop Sign \| 1,895 \| 1,841 \| \| Seat Belt \| 10,094 \| 3,997 \| \| Speeding \| 10,766 \| 13,186 \| \| Cell phone \| 5,079 \| 2,174 \| \| Texting \| 580 \| 250 \| ## GHSP Crash Information \| Category \| 2018 \| 2017 \| \|---------------------------------\|----------\|----------\| \| Crashes \| 34,633 \| 37,077 \| \| Fatalities \| 303 \| 269 \| \| Serious Injuries \| 1,063 \| 1,264 \| \| Total Injuries \| 14,075 \| 14,568 \| \| Alcohol Related Crashes \| 1,771 \| 1,632 \| \| Alcohol Related Fatalities .08+ \| 72 \| 68 \| \| Alcohol Related Injuries \| 1,249 \| 971 \| \| Alcohol Related Fatality % \| 23.7% \| 25.3% \| \| Underage Alcohol Sales \| 22.1% \| 22.1% \| \| Motorcycle Crashes \| 545 \| 464 \| \| Motorcycle Fatalities \| 26 \| 29 \| \| Motorcycle Injuries \| 485 \| 437 \| \| ATV Fatalities on Public Roadways\| 18 \| 17 \| \| ATV No Helmets \| 15 \| 16 \| \| ATV Unknown Helmets \| 1 \| 1 \| \| Speed Related Fatalities \| 84 \| 60 \| \| Speed Related Fatality % \| 27.7% \| 22.3% \| \| Pedestrian Fatalities \| 26 \| 24 \| Sources: NHTSA, FARS, WVDOH, and GHSP West Virginia’s classified driver’s license system specifies vehicle types that a licensee may operate. The class of licensees range from operators of 80,000 pound combination vehicles (Class A) to persons who are restricted to the operation of motorcycles only (Class F). The classified driver’s license system ensures that licensees operate only those types of vehicles for which they have the proper training and safety record. The DMV is linked to the National Problem Driver Point System (PDPS) for inter-jurisdictional tracking of driver records. The computerized system searches the driving records of licensed applicants by name and birth date. The DMV’s innovative digitized driver’s license system has introduced one-stop-shopping to its customers and virtually eliminated the delays inherent in doing business with the agency via U.S. mail. New licenses, duplicates, and renewals are available in minutes at any DMV Regional Office. The computer-generated license system reduces the risk of fraudulent issuance and increases the efficiency of record keeping. The system also stores the facial images of licensees, thus providing reliable identification for subsequent transactions. Licensees have the option to store a digital fingerprint image in their license record as an extra security precaution. The WV DMV offers two types of driver’s licenses and identification cards: a Not for Federal use driver’s license or ID card, or a REAL ID. For Federal Use card that contains a gold star, indicating that the card meets full federal requirements for future use at airports and other designated federal facilities and uses nationwide. The WV DMV also offers driver’s license renewal or duplicate license transactions through our online services portal and at our kiosks (self-service terminals) throughout the state to better serve the public. ### Revocations & Suspensions The DMV’s responsibility does not end with the issuance of a driver’s license. DMV monitors the driving activity of all licensees through a number of methods. The main purpose of any license suspension is to protect the public from drivers who operate their vehicle in an unsafe or illegal manner, and to offer opportunities for motorists to improve their driving through participation in safety and training programs. \| License & ID Card Totals in 2018 \| \|----------------------------------\| \| Female Licensed Drivers \| 549,705 \| \| Male Licensed Drivers \| 588,541 \| \| Graduated Licenses \| 37,626 \| \| Child ID Cards \| 5,151 \| \| Employee ID Cards \| 50,054 \| \| Total Drivers With License Restrictions \| 641,124 \| \| All Non-Driver ID Cards* \| 206,002 \| Includes salesperson license ID cards, employee, child, barber/cosmetologist, DHHR REDI, secondary, and adult identification cards. \| License Indicators & Restrictions in 2018 \| \|-------------------------------------------\| \| Total Diabetic Indicators \| 3,555 \| \| Total Organ Donors \| 519,319 \| \| Total Hearing Impaired \| 1,402 \| \| County \| Class E \| Class D \| CDL \| Total \| \|------------\|----------\|---------\|-------\|----------\| \| Barbour \| 10,218 \| 697 \| 539 \| 11,454 \| \| Berkeley \| 76,152 \| 1,339 \| 2,659 \| 80,150 \| \| Boone \| 14,030 \| 532 \| 572 \| 15,134 \| \| Braxton \| 8,548 \| 669 \| 548 \| 9,765 \| \| Brooke \| 14,747 \| 185 \| 539 \| 15,471 \| \| Cabell \| 56,842 \| 1,484 \| 1,315 \| 59,641 \| \| Calhoun \| 4,276 \| 403 \| 228 \| 4,907 \| \| Clay \| 5,454 \| 429 \| 333 \| 6,324 \| \| Doddridge \| 3,069 \| 275 \| 215 \| 3,559 \| \| Fayette \| 28,647 \| 1,385 \| 1,385 \| 31,417 \| \| Gilmer \| 3,608 \| 330 \| 217 \| 4,155 \| \| Grant \| 7,679 \| 293 \| 551 \| 8,523 \| \| Greenbrier \| 24,440 \| 1,209 \| 1,071 \| 26,720 \| \| Hampshire \| 15,679 \| 317 \| 850 \| 16,846 \| \| Hancock \| 22,821 \| 194 \| 710 \| 23,7325 \| \| Hardy \| 9,425 \| 255 \| 606 \| 10,286 \| \| Harrison \| 46,927 \| 3,170 \| 1,793 \| 51,890 \| \| Jackson \| 19,247 \| 784 \| 835 \| 20,866 \| \| Jefferson \| 41,530 \| 564 \| 1,052 \| 43,146 \| \| Kanawha \| 121,293 \| 5,010 \| 3,400 \| 129,703 \| \| Lewis \| 11,676 \| 1,005 \| 904 \| 13,585 \| \| Lincoln \| 12,592 \| 711 \| 696 \| 13,999 \| \| Logan \| 21,512 \| 973 \| 913 \| 23,398 \| \| Marion \| 32,743 \| 1,951 \| 924 \| 35,618 \| \| Marshall \| 18,715 \| 282 \| 663 \| 19,660 \| \| Mason \| 17,482 \| 467 \| 675 \| 18,624 \| \| McDowell \| 11,777 \| 353 \| 570 \| 12,700 \| \| Mercer \| 39,578 \| 1,007 \| 1,556 \| 42,141 \| \| Mineral \| 19,796 \| 494 \| 803 \| 21,093 \| \| Mingo \| 16,388 \| 427 \| 658 \| 17,473 \| \| Monongalia \| 58,183 \| 1,631 \| 1,141 \| 60,955 \| \| Monroe \| 8,881 \| 311 \| 427 \| 9,619 \| \| Morgan \| 15,473 \| 337 \| 765 \| 16,575 \| \| Nicholas \| 16,890 \| 864 \| 1,015 \| 18,769 \| \| Ohio \| 31,094 \| 401 \| 930 \| 32,425 \| \| Pendleton \| 5,173 \| 176 \| 340 \| 5,689 \| \| Pleasants \| 4,764 \| 216 \| 265 \| 5,245 \| \| Pocahontas \| 5,302 \| 342 \| 430 \| 6,074 \| \| Preston \| 20,967 \| 1,152 \| 1,219 \| 23,338 \| \| Putnam \| 38,298 \| 1,533 \| 1,263 \| 41,094 \| \| Raleigh \| 47,385 \| 1,788 \| 1,702 \| 50,875 \| \| Randolph \| 18,620 \| 1,107 \| 992 \| 20,719 \| \| Ritchie \| 6,572 \| 395 \| 414 \| 7,381 \| \| Roane \| 10,527 \| 711 \| 612 \| 11,850 \| \| Summers \| 6,315 \| 234 \| 292 \| 6,841 \| \| Taylor \| 15,236 \| 882 \| 671 \| 16,789 \| \| Tucker \| 4,657 \| 259 \| 243 \| 5,159 \| \| Tyler \| 5,150 \| 186 \| 221 \| 5,557 \| \| Upshur \| 14,940 \| 1,111 \| 971 \| 17,022 \| \| Wayne \| 25,640 \| 570 \| 915 \| 27,125 \| \| Webster \| 5,494 \| 355 \| 337 \| 6,186 \| \| Wetzel \| 12,140 \| 523 \| 502 \| 13,165 \| \| Wirt \| 3,036 \| 172 \| 163 \| 3,371 \| \| Wood \| 59,007 \| 1,601 \| 2,011 \| 62,619 \| \| Wyoming \| 13,597 \| 434 \| 599 \| 14,630 \| STATE TOTALS* - E: 1,190,232 - D: 44,485 - CDL: 46,220 - Total: 1,280,937 A Commercial Driver’s License, or CDL, is a license issued to an individual which authorizes the individual to drive a class of commercial motor vehicle in accordance with the requirements of WV State Code §17E-1-3. There are three types of CDL’s issued: Classes A, B, and C, which would be dependent upon the type of vehicle driven, the GVWR or GCWR, and if transporting sixteen or more passengers, including the driver. ### Valid CDL License Types By County \| County \| Class A \| Class B \| Class C \| Total \| \|------------\|---------\|---------\|---------\|-------\| \| Barbour \| 391 \| 146 \| 2 \| 539 \| \| Berkeley \| 1,863 \| 773 \| 23 \| 2,659 \| \| Boone \| 431 \| 137 \| 4 \| 572 \| \| Braxton \| 424 \| 123 \| 1 \| 548 \| \| Brooke \| 421 \| 117 \| 1 \| 539 \| \| Cabell \| 976 \| 327 \| 12 \| 1,315 \| \| Calhoun \| 177 \| 51 \| 0 \| 228 \| \| Clay \| 219 \| 112 \| 2 \| 333 \| \| Doddridge \| 153 \| 60 \| 2 \| 215 \| \| Fayette \| 959 \| 413 \| 13 \| 1,385 \| \| Gilmer \| 171 \| 45 \| 1 \| 217 \| \| Grant \| 444 \| 96 \| 11 \| 551 \| \| Greenbrier \| 780 \| 288 \| 3 \| 1,071 \| \| Hampshire \| 617 \| 227 \| 6 \| 850 \| \| Hancock \| 553 \| 156 \| 1 \| 710 \| \| Hardy \| 510 \| 92 \| 4 \| 606 \| \| Harrison \| 1,306 \| 459 \| 28 \| 1,793 \| \| Jackson \| 625 \| 204 \| 6 \| 835 \| \| Jefferson \| 550 \| 489 \| 13 \| 1,052 \| \| Kanawha \| 2,505 \| 874 \| 21 \| 3,400 \| \| Lewis \| 647 \| 250 \| 7 \| 904 \| \| Lincoln \| 527 \| 165 \| 4 \| 696 \| \| Logan \| 675 \| 237 \| 1 \| 913 \| \| Marion \| 619 \| 296 \| 9 \| 924 \| \| Marshall \| 461 \| 199 \| 3 \| 663 \| \| Mason \| 515 \| 157 \| 3 \| 675 \| \| McDowell \| 375 \| 189 \| 6 \| 570 \| \| Mercer \| 1,105 \| 432 \| 19 \| 1,556 \| \| Mineral \| 572 \| 219 \| 12 \| 803 \| \| Mingo \| 489 \| 162 \| 7 \| 658 \| \| Monongalia \| 816 \| 317 \| 8 \| 1,141 \| \| Monroe \| 321 \| 106 \| 0 \| 427 \| \| Morgan \| 568 \| 196 \| 1 \| 765 \| \| Nicholas \| 770 \| 236 \| 9 \| 1,015 \| \| Ohio \| 624 \| 298 \| 8 \| 930 \| \| Pendleton \| 260 \| 81 \| 0 \| 341 \| \| Pleasants \| 177 \| 88 \| 0 \| 265 \| \| Pocahontas \| 335 \| 95 \| 0 \| 430 \| \| Preston \| 891 \| 323 \| 5 \| 1,219 \| \| Putnam \| 954 \| 301 \| 8 \| 1,263 \| \| Raleigh \| 1,199 \| 486 \| 17 \| 1,702 \| \| Randolph \| 750 \| 241 \| 1 \| 992 \| \| Ritchie \| 294 \| 118 \| 2 \| 414 \| \| Roane \| 452 \| 157 \| 3 \| 612 \| \| Summers \| 219 \| 71 \| 2 \| 292 \| \| Taylor \| 499 \| 170 \| 2 \| 671 \| \| Tucker \| 192 \| 51 \| 0 \| 243 \| \| Tyler \| 160 \| 61 \| 0 \| 221 \| \| Upshur \| 756 \| 214 \| 1 \| 971 \| \| Wayne \| 694 \| 215 \| 6 \| 915 \| \| Webster \| 268 \| 69 \| 0 \| 337 \| \| Wetzel \| 371 \| 131 \| 0 \| 502 \| \| Wirt \| 115 \| 48 \| 0 \| 163 \| \| Wood \| 1,423 \| 569 \| 19 \| 2,011 \| \| Wyoming \| 405 \| 160 \| 34 \| 599 \| STATE TOTALS \| \| A \| B \| C \| Total \| \|--------\|----\|----\|----\|-------\| \| \| 33,573 \| 12,297 \| 351 \| 46,221 \| CDL Restrictions The DMV is authorized to impose license restrictions to assure the safe operation of motor vehicles. DMV may issue you a restricted license or may indicate restrictions on the form Application for Commercial Driver’s License (CDL) and/or Endorsements (DMV-CDL-1). Operating a motor vehicle in violation of restrictions is a serious offense and could result in the suspension or revocation of your driving privileges. Driver Examination Totals \| Commercial Driver's \| PASS \| FAIL \| \|--------------------------------------\|-------\|------\| \| General Knowledge \| 2,490 \| 2,242\| \| Air Brakes \| 2,399 \| 1,133\| \| Combination Trailers \| 1,833 \| 714 \| \| Doubles & Triples \| 305 \| 117 \| \| Tanker Trailers \| 1,211 \| 235 \| \| Hazardous Materials \| 1,287 \| 422 \| \| Passenger Endorsement \| 605 \| 397 \| \| Pre-Trip Inspections \| 2,437 \| 280 \| \| Basic Control Skills \| 2,379 \| 237 \| \| Skills Testing \| 2,353 \| 192 \| \| School Bus \| 482 \| 59 \| \| CDL Totals \| 17,781 \| 6,028 \| Driver Licenses Restrictions \| Restriction \| 2018 \| \|--------------------------------------\|------\| \| Artificial Limbs \| 3 \| \| Automatic Transmission \| 7 \| \| CDL Interstate Only \| 1,142\| \| Class B or C Bus Only \| 9,476\| \| Class C Bus Only \| 448 \| \| Corrective Lenses \| 19,110\| \| Corrective Lenses & Outside Mirrors \| 8 \| \| Daylight Driving Only \| 3 \| \| Hearing Aids Required \| 430 \| \| Medical Variance \| 62 \| \| No Full Air Brakes (CDL Only) \| 18 \| \| No Manual Transmission \| 1,788\| \| No Tractor Trailer (CDL Only) \| 1,286\| \| Other Restrictions \| 20 \| \| Outside Mirrors \| 24 \| \| Trike With F Endorsement, F Class \| 21 \| \| Vehicle Without Air Brakes \| 575 \| \| Total \| 34,421 \| CDL Transfers In and Out of State in FY 2018 \| State \| IN \| OUT \| \|-------------\|----\|-----\| \| Alabama \| 6 \| 7 \| \| Alaska \| 0 \| 0 \| \| Arizona \| 3 \| 5 \| \| Arkansas \| 1 \| 0 \| \| California \| 1 \| 13 \| \| Colorado \| 6 \| 14 \| \| Connecticut \| 1 \| 1 \| \| Delaware \| 2 \| 4 \| \| District of Columbia \| 0 \| 1 \| \| Florida \| 54 \| 51 \| \| Georgia \| 22 \| 20 \| \| Hawaii \| 0 \| 0 \| \| Idaho \| 2 \| 1 \| \| Illinois \| 3 \| 6 \| \| Indiana \| 7 \| 7 \| \| Iowa \| 7 \| 28 \| \| Kansas \| 3 \| 3 \| \| Kentucky \| 30 \| 39 \| \| Louisiana \| 3 \| 5 \| \| Maine \| 0 \| 1 \| \| Maryland \| 50 \| 100 \| \| Massachusetts \| 3 \| 2 \| \| Michigan \| 8 \| 6 \| \| Minnesota \| 1 \| 1 \| \| Mississippi \| 3 \| 1 \| \| Missouri \| 11 \| 36 \| \| Montana \| 1 \| 3 \| \| Nebraska \| 3 \| 3 \| \| Nevada \| 3 \| 5 \| \| New Hampshire \| 2 \| 0 \| \| New Jersey \| 4 \| 16 \| \| New Mexico \| 1 \| 0 \| \| New York \| 8 \| 12 \| \| North Carolina \| 44 \| 40 \| \| North Dakota \| 1 \| 5 \| \| Ohio \| 104\| 82 \| \| Oklahoma \| 5 \| 4 \| \| Oregon \| 1 \| 1 \| \| Pennsylvania\| 60 \| 69 \| \| Rhode Island\| 0 \| 0 \| \| South Carolina \| 26 \| 21 \| \| South Dakota \| 3 \| 1 \| \| Tennessee \| 27 \| 15 \| \| Texas \| 27 \| 18 \| \| Utah \| 5 \| 0 \| \| Vermont \| 1 \| 1 \| \| Virginia \| 72 \| 119 \| \| Washington \| 3 \| 4 \| \| Wisconsin \| 4 \| 2 \| \| Wyoming \| 1 \| 2 \| \| Total \| 637 \| 777 \| The CDL Assessment Unit is responsible for monitoring the records of our state's current pool of Commercial Driver’s License (CDL) holders. The unit handles all information received from courts and the Public Service Commission for a CDL/CMV driver. Federal Motor Carrier Safety Administration (FMCSA) regulations require court convictions to be placed on CDL holders/CMV’s within 10 days of court adjudication. The FMCSA performs a yearly review of the state’s CDL procedures to ensure compliance to their mandated regulations. Any inadequacies can result in a Finding against the state. Findings result in the state responding with a plan to correct or improve the inadequacy within a named time period. Therefore, accuracy and swiftness are of the utmost importance to the unit. The unit updates our WV CDL records for all convictions received from in-state courts, updates out-of-state CDL holders electronically through the Commercial Driver’s License Information System (CDLIS) to the home jurisdiction’s record and receives CDLIS electronic transmissions from other jurisdictions on our WV CDL holders. The unit processes all court notices for Failure to Appear, Pay, or Comply for CDL holders both in-state and out-of-state, fraud suspensions, Coal Resource Transportation System violations, and several other types of suspensions, revocations and disqualifications. They place the CDL convictions on the record and follow up with suspensions and disqualifications sanctioned by state code, legislative rule and federal regulations. ### CDL Convictions \| \| 2018 \| 2017 \| \|--------------------------\|--------\|--------\| \| Out-of-State CDL Convictions Sent Through CDLIS \| 1,378 \| 1,137 \| \| WV CDL Convictions Received Through CDLIS \| 1,454 \| 1,173 \| \| WV CDL Convictions Entered \| 6,678 \| 4,165 \| ### FMCSA CDL Serious & Major Offenses \| \| CMV \| Private Passenger \| \|--------------------------\|-----\|-------------------\| \| DUI / Controlled Substances \| 89 \| 270 \| \| Driving While Suspended/Revoked \| 5 \| 91 \| \| Hit and Run/Leaving the Scene \| 2 \| 15 \| \| Excessive Speeding \| 37 \| 429 \| \| Speeding In School Zone/Passing Stopped School Bus \| 0 \| 3 \| \| Reckless Driving \| 3 \| 39 \| \| Improper/Erratic Lane Change \| 36 \| 32 \| \| Following Too Closely \| 16 \| 41 \| \| Using Handheld Mobile Phone While Driving \| 32 \| 173 \| \| Texting While Driving \| 0 \| 5 \| \| Driving W/Out Obtaining a CDL or Having Proper Endorsements \| 4 \| 4 \| ### CDL Licensees: Failure to Appear, Pay or Comply \| \| 2018 \| 2017 \| \|--------------------------\|--------\|--------\| \| WV CDL In-State Courts \| 1,227 \| 1,034 \| \| WV CDL Out-of-State Courts \| 176 \| 205 \| \| Out-of-State CDL WV Court (CDLIS) \| 86 \| 194 \| ### CDL Suspensions/Revocations/Disqualifications \| \| 2018 \| 2017 \| \|--------------------------\|--------\|--------\| \| DUI / Controlled Substance \| 297 \| 345 \| \| Driving While Suspended or Revoked \| 89 \| 39 \| \| Leaving the Scene \| 20 \| 11 \| \| Felony Involving CMV \| 0 \| 1 \| \| Second Serious CMV \| 5 \| 5 \| \| Coal Resource Transportation \| 4 \| 1 \| \| Fraud \| 0 \| 1 \| \| Railroad \| 0 \| 1 \| \| Driving CMV W/Out a CDL \| 5 \| 3 \| \| Points \| 32 \| 10 \| ### Violations by WV CDL Drivers Reported in Other Jurisdictions \| State \| 2018 \| \|----------------\|------\| \| Alabama \| 4 \| \| Alaska \| 1 \| \| Arizona \| 3 \| \| Arkansas \| 5 \| \| California \| 16 \| \| Colorado \| 0 \| \| Connecticut \| 5 \| \| Delaware \| 2 \| \| District of Columbia \| 0 \| \| Florida \| 4 \| \| Georgia \| 13 \| \| Hawaii \| 0 \| \| Idaho \| 0 \| \| Illinois \| 15 \| \| Indiana \| 24 \| \| Iowa \| 6 \| \| Kansas \| 3 \| \| Kentucky \| 31 \| \| Louisiana \| 2 \| \| Maine \| 0 \| \| Maryland \| 131 \| \| Massachusetts \| 3 \| \| Michigan \| 5 \| \| Minnesota \| 1 \| \| Mississippi \| 0 \| \| Missouri \| 3 \| \| Montana \| 1 \| \| Nebraska \| 1 \| \| Nevada \| 1 \| \| New Hampshire \| 0 \| \| New Jersey \| 1 \| \| New Mexico \| 2 \| \| New York \| 3 \| \| North Carolina \| 29 \| \| North Dakota \| 5 \| \| Ohio \| 534 \| \| Oklahoma \| 3 \| \| Oregon \| 0 \| \| Pennsylvania \| 249 \| \| Rhode Island \| 0 \| \| South Carolina \| 20 \| \| South Dakota \| 1 \| \| Tennessee \| 27 \| \| Texas \| 9 \| \| Utah \| 1 \| \| Vermont \| 0 \| \| Virginia \| 282 \| \| Washington \| 3 \| \| Wisconsin \| 1 \| \| Wyoming \| 4 \| Total: 1,454 ### Notable Violations by WV CDL Driver Reported by In-State Courts \| Violation \| 2018 \| \|---------------------------------------------------------------------------\|------\| \| Failure to Obey Traffic Signal / Control \| 238 \| \| Failure to Obey Stop Sign \| 87 \| \| Failure to Obey Traffic Light \| 60 \| \| Expired / Improper Registration \| 208 \| \| Expired / No Motor Vehicle Inspection Sticker \| 268 \| \| Violating Size, Weight, or Passenger / Cargo Limit \| 108 \| \| Operating Vehicle Without Insurance \| 125 \| \| Admin Per Se .08 CMV/CDL \| 70 \| \| Admin Per Se .10 CMV/CDL \| 88 \| \| Texting While Driving \| 5 \| \| Using a Hand-Held Mobile Phone While Driving \| 173 \| \| No / Improper Seat Belt \| 813 \| \| Speeding 1-10 MPH Over Speed Limit \| 794 \| \| Speeding 11-14 MPH Over Speed Limit \| 189 \| \| Speeding 15-19 MPH Over Speed Limit \| 341 \| \| Speeding 20 or More MPH Over Speed Limit \| 88 \| \| Speeding / No Speed Detail – Conv Only \| 200 \| \| Operating Without Equipment Required By Law \| 252 \| \| Equipment Used Improperly or Obstructed \| 131 \| \| Other Violations \| 2,440\| Total: 6,678 DUI Programs The DUI Program Unit administers court conviction revocations and administrative revocations for driving under the influence of alcohol or drugs. The unit also handles restoration of driving privileges which entails working in conjunction with the Bureau of Behavioral Health to assure the offender has completed the Safety and Treatment Program for DUI offenders. The Safety and Treatment program allows private behavioral health providers and state-funded facilities to offer educational and rehabilitative services. This collaboration maximizes the availability of the program to DUI offenders and helps offenders to acknowledge the effects of alcohol on their lives while providing the means to resolve their alcohol-related problems. DMV’s Ignition Interlock Program makes it possible to restrict, rather than revoke, the driving privileges of DUI offenders. A breath alcohol content monitor is wired into the ignition of a participant’s vehicle. Vehicles so equipped will not start unless an acceptable breath sample is submitted. DUI offenders are ineligible for Ignition Interlock during any appeal of their license revocations, or if they have a previous conviction for driving while revoked or suspended within the last six (6) months, or if they have been convicted of DUI involving a controlled substance. Participants may be required to first serve a license revocation and must enroll in an approved DUI Safety and Treatment program. Ignition Interlock enables participants to avoid the disruption of their lives that a DUI would cause. Our statistics show that the rate of DUI recidivism is much lower among Ignition Interlock participants than among the general population. Thus, the Ignition Interlock Program benefits both society and the problem driver. Driver Improvement The Driver Improvement Unit administers laws and regulations to ensure that all licensees drive responsibly, including placement of 69,402 of our WV licensees in 2018. This governing often requires the restriction, suspension, revocation, or disqualification of the licensee’s privilege to drive. Restoration of driving privilege may be met when the driver takes the necessary corrective measures required by state code and legislative rule. The Driver Improvement Section handles multiple types of offense related files including: Nonpayment of court ordered child support, fraudulent license suspensions, passing a stopped school bus, failure to pay for gasoline, driving on a suspended license, excessive points accumulation, student attendance for under age persons, unpaid citations through an in-state court, GDL suspensions and others. Non-Resident Violator Compact West Virginia cooperates with other states in tracking unpaid and unresolved traffic citations. Member states reciprocally suspend the driver’s licenses of their residents who fail to satisfy a traffic citation issued in another state. Restoration of driving privileges may be met when the driver provides proof of resolution of the outstanding traffic citation. License Compact The Driver’s License Compact is an agreement among 46 states to report court convictions of non-resident traffic offenders to their home jurisdictions. Forty-four states allow non-resident motorists to accept a traffic citation for certain violations and proceed on their way without delay with the obligation of resolving the court issue later. Upon receipt of the court conviction from any member state, the appropriate information is applied to the West Virginia driver’s record. Second Chance Program The Citation Unit handles the Second Chance Program that became effective June 12, 2016 under Senate Bill 634. This program is administered by the Division of Justice and Community Services (DJCS) and allows the driver to obtain a stay of a driver’s license suspension from the Commissioner of the Division of Motor Vehicles, if the unpaid tickets are older than twelve months old and the driver is making monthly payments for unpaid court costs to the DJCS. Offenses Requiring Revocations \| Offense \| 2018 \| 2017 \| \|----------------------------------------------\|------\|------\| \| Reckless Driving (3rd Offense in 24 Mo.) \| 1 \| 0 \| \| Driving While Revoked or Suspended \| 5,098\| 5,022\| \| Speed Racing (On Public Highway/St.) \| 13 \| 18 \| \| Hit & Run (Personal Injury) \| 1 \| 7 \| \| Manslaughter (Negligent Homicide) \| 6 \| 6 \| \| Leaving the Scene of an Accident \| 23 \| 16 \| Student Attendance Program \| Category \| 2018 \| 2017 \| \|---------------------------------\|------\|------\| \| License Suspensions \| 574 \| 750 \| \| License Reinstatements \| 644 \| 520 \| Point System \| Category \| 2018 \| 2017 \| \|---------------------------------\|------\|------\| \| Suspensions \| 879 \| 782 \| \| Reinstatements \| 802 \| 717 \| Revocation/Suspension Totals \| Category \| 2018 \| 2017 \| \|---------------------------------\|------\|------\| \| Fraudulent Suspensions \| 34 \| 19 \| \| GDL (2 or More Tickets) \| 99 \| 132 \| \| Unpaid Child Support \| 7 \| 4 \| Resident Violators \| Category \| 2018 \| 2017 \| \|---------------------------------\|------\|------\| \| Suspensions \| 62,595\| 58,308\| \| Reinstatements/Cleared \| 37,445\| 34,287\| Non-Resident Violators \| Category \| 2018 \| 2017 \| \|--------------------------------------------------------------------------\|------\|------\| \| Non-Compliance Reports for Other States/License Suspended for Failure to Comply \| 3,168\| 4,254\| \| Files Closed Upon Receipt of Compliance with No Reinstatement Fees Needed \| 1,066\| 1,229\| \| Files Closed Upon Receipt of Compliance and Reinstatement Fees Paid \| 2,096\| 2,193\| \| Notices Mailed to Other States \| 12,943\| 10,718\| Medical Review Unit The Medical Review Unit maintains files on all drivers who have been reported as having medical or visual conditions that could impact their driving. Cases are reviewed on an individual basis to determine the appropriate course of action. Periodic medical visual examinations and/or driver re-examination may be required of at-risk drivers and commercial drivers with intrastate waivers that do not meet the federal standards due to diabetes, vision, or limb impairments. The unit also consults with the Driver’s License Advisory Board for recommendations as necessary. The Driver’s License Advisory Board consists of five (5) physicians who are appointed by the Governor. These physicians advise the Commissioner of Motor Vehicles on vision standards and medical criteria that are relevant to driver licensing. Medical Unit Statistics \| \| 2018 \| 2017 \| \|----------------------\|------\|------\| \| Medical Suspensions \| 361 \| 217 \| \| Re-Exam Suspensions \| 143 \| 112 \| \| New Medical Files \| 458 \| 331 \| \| Vision Report Reviews\| 2,929\| 2,906\| Reported Traffic Convictions* \| \| 2018 \| \|--------------------------\|--------\| \| Failure to Obey Traffic Signal/Cntrl Device \| 664 \| \| Failure to Yield to an Emergency Vehicle \| 163 \| \| Failure to Keep Vehicle Under Control \| 885 \| \| Failure to Observe Safety/Const. Zone \| 321 \| \| Following Too Closely \| 224 \| \| Hazardous Driving \| 80 \| \| Leaving Scene of Accident \| 270 \| \| No/Improper Seat Belt \| 8,071 \| \| Passing a School Bus \| 52 \| \| Reckless/Hazardous Driving \| 632 \| \| Speeding \| 15,396 \| \| Speeding in a School Zone \| 196 \| \| Texting While Driving \| 196 \| \| Using a Hand-Held Mobile Phone/Device \| 4,483 \| Includes only higher volume / safety impacted convictions Violations by WV Drivers Reported in Other Jurisdictions \| State \| 2018 \| 2017 \| \|----------------\|------\|------\| \| Alabama \| 52 \| 52 \| \| Alaska \| 1 \| 0 \| \| Arizona \| 26 \| 22 \| \| Arkansas \| 35 \| 27 \| \| California \| 17 \| 14 \| \| Colorado \| 25 \| 26 \| \| Connecticut \| 26 \| 37 \| \| Delaware \| 90 \| 88 \| \| District of Columbia \| 0 \| 0 \| \| Florida \| 228 \| 250 \| \| Georgia \| 191 \| 193 \| \| Hawaii \| 29 \| 50 \| \| Idaho \| 15 \| 14 \| \| Illinois \| 87 \| 70 \| \| Indiana \| 113 \| 141 \| \| Iowa \| 37 \| 45 \| \| Kansas \| 39 \| 52 \| \| Kentucky \| 740 \| 773 \| \| Louisiana \| 26 \| 27 \| \| Maine \| 0 \| 2 \| \| Maryland \| 2,473\| 1,874\| \| Massachusetts \| 3 \| 4 \| \| Michigan \| 48 \| 68 \| \| Minnesota \| 34 \| 27 \| \| Mississippi \| 13 \| 7 \| \| Missouri \| 39 \| 61 \| \| Montana \| 15 \| 10 \| \| Nebraska \| 13 \| 26 \| \| Nevada \| 9 \| 12 \| \| New Hampshire \| 0 \| 0 \| \| New Jersey \| 166 \| 179 \| \| New Mexico \| 39 \| 36 \| \| New York \| 211 \| 270 \| \| North Carolina \| 46 \| 53 \| \| North Dakota \| 25 \| 53 \| \| Ohio \| 8,181\| 7,820\| \| Oklahoma \| 26 \| 43 \| \| Oregon \| 38 \| 36 \| \| Pennsylvania \| 1,897\| 1,672\| \| Rhode Island \| 0 \| 0 \| \| South Carolina \| 525 \| 703 \| \| South Dakota \| 15 \| 17 \| \| Tennessee \| 349 \| 313 \| \| Texas \| 145 \| 150 \| \| Utah \| 19 \| 18 \| \| Vermont \| 0 \| 0 \| \| Virginia \| 10,745\| 10,941\| \| Washington \| 42 \| 41 \| \| Wisconsin \| 31 \| 39 \| \| Wyoming \| 35 \| 47 \| ## Court Reports \| Report Type \| 2018 \| 2017 \| \|------------------------------------\|------\|------\| \| Court Report Suspension Notices \| 3,468\| 3,937\| \| Court Report Driver Suspensions \| 2,796\| 2,948\| \| Court Report Vehicle Suspensions \| 618 \| 552 \| \| Court Report State Police Secure Orders \| 172 \| 210 \| ## Crash Reports \| Report Type \| 2018 \| 2017 \| \|------------------------------------\|------\|------\| \| Crash Report Suspension Notices \| 906 \| 995 \| \| Crash Report Driver Suspensions \| 558 \| 644 \| \| Crash Report Vehicle Suspensions \| 103 \| 148 \| \| Crash Report State Police Secure Orders \| 46 \| 50 \| ## Fraudulent Insurance \| Report Type \| 2018 \| 2017 \| \|------------------------------------\|------\|------\| \| Fraudulent Suspension Notices \| 266 \| 165 \| \| Fraudulent Driver Suspensions \| 200 \| 142 \| \| Fraudulent Vehicle Suspensions \| 220 \| 123 \| \| Fraudulent State Police Secure Orders \| 102 \| 90 \| ## Court Ordered Judgement \| Report Type \| 2018 \| 2017 \| \|------------------------------------\|------\|------\| \| Judgement Suspension Notices \| 196 \| 216 \| \| Judgement Driver Suspensions \| 145 \| 187 \| \| Judgement Vehicle Suspensions \| 0 \| 0 \| \| Judgement State Police Secure Orders \| 0 \| 0 \| ## Online Insurance Verification \| Report Type \| 2018 \| 2017 \| \|------------------------------------\|------\|------\| \| Vendor Issued Online Insurance Verification Letters \| 44,554 \| 58,146 \| \| Online Insurance Verification Letters \| 21,360 \| 26,344 \| \| Online Insurance Driver Suspensions \| 9,827 \| 9,601 \| \| Online Insurance Vehicle Suspensions \| 1,959 \| 1,284 \| \| Online Insurance State Police Secure Orders \| 1,310 \| 1,028 \| ## Other Totals \| Report Type \| 2018 \| 2017 \| \|------------------------------------\|------\|------\| \| Driving Records Processed by DMV \| 31,786 \| 48,295 \| \| Driving Record Certifications \| 19,520 \| 19,595 \| \| Insurance Waiver Program Participants \| 248 \| 318 \| DMV monitors motorist compliance with West Virginia’s compulsory automobile insurance law in several ways. The Compulsory Insurance unit takes administrative action through citations for “no insurance”, review of crash reports submitted by law enforcement, court-ordered judgments awarding monies due to an uninsured crash, random ongoing verification of registrants’ insurance information, and insurance fraud. The unit also processes all requests for driving records. Each request is reviewed to ensure proper disclosure of records, correct fees, and proper identification of the requestor. The request may be either by the licensee, an employer or an attorney. Additionally, this unit handles all requests for certification of driving records and corresponding suspension and revocation files. These types of requests are from law enforcement, all branches of the judicial system, county prosecutors, etc. The majority of these requests are received through the West Virginia portal of Law Enforcements’ weapons system, and must be handled expeditiously for proper prosecution or dismissal through the court. DMV Technology Services is responsible for creating, modifying, and modernizing all DMV related systems to meet industry standards while maintaining appropriate access for overall data security. Additionally, Technology Services works with the Office of Technology to improve efficiency in current systems and processes, as well as researching, selecting, and implementing new systems for the DMV to use for its ever-changing customer service demands. The DMV continues to enhance its online services through innovative technology, providing a way for customers to either “Skip the Line” and utilize a WV DMV Now kiosk, or “Skip the Trip” altogether and use the online services portal through the DMV web site. Kiosk services include driver’s license and vehicle registration renewals, as well as printing driver records. The online services portal will allow customers to renew their driver’s license and vehicle registrations, as well as print driver records. In addition, customers may request duplicates (cards, decals, plates, driver’s license), check their driver’s license status, pay reinstatement fees, conduct motor carrier business, and more. ### Kiosk Locations - Little General* - 3498 US Rt 60 East - Barboursville, WV 25504 - Kroger - 6360 US Rt 60 East - Barboursville, WV 25504 - Kroger - 133 Beckley Crossing - Beckley, WV 25801 - Sheetz - 1408 North Eisenhower Dr. - Beckley, WV 25801 - WVDMV Regional Office - 5707 MacCorkle Ave., SE, Ste. 200 - Charleston, WV 25317 - Sheetz - 101 Stoneybrook Rd. - Clarksburg, WV 26301 - Kroger - 198 Emily Dr. - Clarksburg, WV 26301 - WVDMV Regional Office - 38 Severna Parkway - Martinsburg, WV 25317 - Kroger - 302 Great Teays Blvd. - Scott Depot, WV 25560 - Sheetz - 3522 Monongahela Blvd. - Star City, WV 26505 - Sheetz - 887 National Rd. - Wheeling, WV 26003 ### Online Services Data \| Service \| Count \| \|----------------------------------\|---------\| \| Change of Address \| 1,319 \| \| Driver’s License Duplicate \| 2,775 \| \| Driver’s License Renewal \| 21,958 \| \| Driver’s License Status Inquiries\| 190,323 \| \| Driver Records \| 9,772 \| \| Driver Reinstatements \| 24,388 \| \| Duplicate Cab Card \| 125 \| \| Duplicate Decals \| 1,614 \| \| Duplicate Plates \| 1,145 \| \| Duplicate Registration Cards \| 7,534 \| \| IRP Fuel Decals \| 318 \| \| IRP IFTA \| 515 \| \| IRP Invoices \| 977 \| \| IRP Motor Carrier Renewal \| 189 \| \| IRP Payments \| 537 \| \| Personalized Plates \| 1,107 \| \| State Bar ID’s \| 235 \| \| Vehicle Renewals \| 123,097 \| ### DMV Now Kiosk Data \| Service \| Count \| \|----------------------------------\|---------\| \| Driver’s License Duplicate \| 0 \| \| Driver’s License Renewal \| 5,260 \| \| Driver Records \| 323 \| \| Vehicle Renewals \| 11,800 \| The Information Technology Services section houses the Data Processing & Records Retention units which serve to record, maintain and preserve all information/data related documentation for the Division of Motor Vehicles. Data Processing & Retention Units The Data Processing & Retention Unit is responsible for the entry of all title documentation and vehicle registration renewal data collection and recording associated with DMV transactions throughout the state of West Virginia. Our Processing & Retention Unit verifies, scans, updates, maintains and distributes vehicle title and registration information as well as collecting and maintaining all DMV records associated with the various sections within the DMV. This unit responds to information requests from legally authorized sources and is responsible for the optical imaging and document management of all DMV files. \| Data Entry Processing \| Records Retention and Processing (Scanning, Indexing, and Verifying) \| \|-----------------------\|---------------------------------------------------------------------\| \| Titles \| 411,587 \| \| Dealer Online Transactions \| 130,563 \| \| Manual Registration Entry \| 211,798 \| \| Automated Registration (OPSCAN) \| 518,148 \| \| Total \| 1,272,096 \| \| Handicap Documents \| 18,482 \| \| Plate Applications \| 13,961 \| \| Personnel \| 3,983 \| \| Driver Applications \| 237,067 \| \| Driver Suspensions \| 258,059 \| \| Temporary Tags \| 97,512 \| \| Title Documents \| 765,846 \| \| Total \| 1,394,910 \| Investigation, Security, and Support Services (IS&S) is responsible for conducting internal and external investigations including: - Internal employee fraud - Odometer fraud - External customer fraud - Vehicle tax fraud - Title fraud - Identity theft - License fraud - Stolen vehicles Additionally, this section is responsible for all fingerprint based and name based background checks of all qualifying DMV employees as well as the third party CDL examiners in compliance with the REALID Act. Investigations, Security, and Support Services provides all training and certifications, required by AAMVA, for all driver’s license, motorcycle license, and commercial driver examiners as well as all third party CDL examiners. While utilizing West Virginia’s Mobile Commercial Driver’s License (mCDL) program, this unit received federal grant funding for continued research and development of the program’s software. This software permits third party CDL examiners to test multiple state residents in a professional and wireless manner. The section is responsible for the managing and coordination of the DMV’s fleet vehicles, serving as the central point of contact between the Fleet Management Office, Agency Drivers, and other personnel. This includes maintaining and verifying eligibility records of all assigned drivers, and assuring that all drivers are aware of the proper use of State vehicles as well as Policies and Procedures. This section also provides program oversight and monitors the administration of CDL skills tests given by third party examiners and conducts low vision Bi-Optic testing for the DMV, as well as reviewing and comparing all photos processed daily through facial recognition for fraudulent activity. ### IS&S Statistics \| Category \| 2018 \| 2017 \| \|-----------------------------------------------\|--------\|--------\| \| External Investigations Completed \| 110 \| \| \| Law Enforcement Assist. Photos \| 1,321 \| 1,603* \| \| Law Enforcement Assist. Vehicles \| 376 \| \| \| Internal Investigations Completed \| 1 \| 9 \| \| CDL Tests (Normal Observation) \| 2,430 \| 2,861 \| \| CDL Tests (Covert Observation) \| 251 \| 299 \| \| Employees Train - CDE & CME Training Classes \| 65 \| 34 \| \| Employees Trained CDL (Recertification) \| 32 \| 38 \| \| Contract Third Party Examiners Trained Recertification \| N/A \| 28 \| \| Employees Trained CDE (Certification) \| 19 \| 8 \| \| Low Vision Skills Tests \| 6 \| 9 \| \| Fingerprint & Background Checks \| 179 \| 137 \| \| Facial Recognition Cases Reviewed \| 120,541\| 96,969 \| \| Facial Recognition Investigations \| 9 \| 14 \| The combined total of the three categories. The separate counts were not available for FY 2017. The Legal Services Section ensures the ethical interpretation and enforcement of all laws within the agency’s purview, provides legal advice on all issues before the DMV and its boards, and directs representation of the agency before administrative and civil tribunals. Additionally, this section reviews, prepares, and advises the Commissioner regarding legal documents, statutes, regulations, policies, and procedures. It also responds to all DMV litigation, FOIA requests, Driver Privacy Protection Act requests, writes contracts for the Division and represents the Division at Legislative hearings. ### Litigation Statistics \| Category \| 2018 \| 2017 \| \|---------------------------------\|------\|------\| \| Administrative Driver's License Hearings (OAH) \| 2,028 \| 2,169 \| \| Bankruptcy \| 9 \| 13 \| \| General Litigation \| 3 \| 3 \| ### WV Circuit Court Cases \| Category \| 2018 \| 2017 \| \|----------\|------\|------\| \| Received \| 55 \| 94 \| \| Won \| 40 \| 35 \| \| Lost \| 10 \| 5 \| ### WV Supreme Court Cases \| Category \| 2018 \| 2017 \| \|----------\|------\|------\| \| Received \| 4 \| 11 \| \| Won \| 6 \| 9 \| \| Lost \| 1 \| 2 \| Management Services Jim Jordan, Director Management Services performs various administrative and fiscal tasks including revenue control, bad check collection, purchasing, auditing, accounting, and title entry. Receiving & Processing The Receiving & Processing Unit processes title work and vehicle renewals received via U.S. mail. In FY 2018 the efficient operation of this unit enabled the DMV to deposit $48,640,713 in privilege tax remittances from vehicle owners within hours of receipt, while tracking the status of “in process” title work. This unit also processed checks from customers, totaling $66,785,280 in FY 2018. Additionally, this unit sends certified mail for the DMV and saved the DMV thousands of dollars by processing most of this certified mail electronically. The recipients’ signatures are then verified online to ensure proper delivery. Accounting The Accounting Unit is responsible for depositing and recording all accounting transactions. In FY 2018 $405,651,873 was collected in revenue. This includes the $227,417,987 collected in sales taxes (formerly privilege taxes), which the state uses to match federal highway construction grants. Additionally, $149,666 in checks that were received were returned to the DMV for insufficient funds. Of this total, $90,897 was recovered. Credit cards are accepted at most DMV offices, as well as online, at the kiosks, and the Fairmont Testing Center. During FY 2018, 459,530 credit card transactions were processed, totaling approximately $42,240,274. A total of $803,841 was paid by the DMV in user fees. Receiving & Processing Transactions \| \| 2018 \| 2017 \| \|--------------------------------\|--------\|--------\| \| Vehicle Titles & Applications Processed \| 228,595 \| 237,377 \| \| Total Checks Processed \| 199,312 \| 196,660 \| \| Total Pieces of Outgoing Certified Mail \| 121,415 \| 132,593 \| \| Total Pieces of Electronic Certified Mail \| 121,395 \| 132,487 \| Accounting Transactions \| \| 2018 \| 2017 \| \|--------------------------------\|--------\|--------\| \| Total Checks Returned for Insufficient Funds \| 690 \| 591 \| \| Returned Checks Recovered \| 397 \| 406 \| \| Total Credit Card Transactions Processed \| 459,530 \| 400,863 \| Agency Expenditures - Personnel Services: 29% ($15,680,514) - Operating & Overhead Costs: 58% ($32,032,494) - Fringe Benefits: 13% ($6,936,662) - Increment Pay: .006% ($320,782) Purchasing & Accounts Payable The Purchasing and Accounts Payable Unit oversees all DMV purchases, expenditures, facility maintenance, security systems, repairs to equipment (telephones, shredders, copy machines, etc.), employee travel and training costs, building and equipment leases, postage accounts, fixed assets and surplus property distribution. In FY 2018 this unit processed 4,012 live check and EFT payment transactions totaling $29,471,855 and 7,024 credit card transactions totaling $2,457,621. Warehouse & Inventory Supply The Division’s Warehouse and Inventory Supply Unit is responsible for ordering and maintaining all DMV license plates, decals, titles and registration documents, forms, envelopes, brochures, manuals, and janitorial supplies. The Warehouse also ensures adequate stock and distribution of these supplies to DMV offices, County Sheriff’s Offices, and Authorized Service Provider participating dealerships statewide. Agency Revenue by Source \| Road Fund \| 2018 Total \| 2017 Total \| \|----------------------------\|----------------\|----------------\| \| Other Road Fund Revenue \| $148,545,830 \| $104,354,021 \| \| Sales Tax \| $227,417,987 \| $204,110,912 \| \| Litter Control Fees \| $1,480,363 \| $1,876,083 \| \| Miscellaneous Fees \| $1,746,248 \| $1,868,405 \| \| Special Revenue \| \| \| \|----------------------------\|----------------\|----------------\| \| Motor Vehicle Fees Fund \| $5,744,515 \| $5,328,551 \| \| Boat License (DNR) \| $164,629 \| $721,892 \| \| Motorcycle Safety (DMV) \| $423,108 \| $414,102 \| \| Voter Registration Fees \| $127,821 \| $199,746 \| \| DMV/DNR Non-game Wildlife \| $129,413 \| $192,885 \| \| Fund (1 year) \| \| \| \| DMV/DNR Non-game Wildlife \| $146,854 \| $201,981 \| \| Fund (2 year) \| \| \| \| Ad Valorem \| $17,018,929 \| $13,238,964 \| \| Environmental Cleanup \| $2,672,981 \| $2,810,443 \| \| Dealer Recovery Fund \| $31,500 \| $39,030 \| \| State Police Lab \| $511 \| N/A \| \| Veteran’s Asst. Fund \| $1,184 \| N/A \| \| Prior Year Expiring Funds \| $0 \| $0 \| \| Total Revenue \| $405,651,873 \| $335,357,016 \| Revenue Trend in U.S. Dollars FY 2008 - FY 2018 \| Year \| Revenue \| \|------\|------------------\| \| 2018 \| $405,651,873 \| \| 2017 \| $335,357,016 \| \| 2016 \| $323,996,952 \| \| 2015 \| $324,568,507 \| \| 2014 \| $312,635,977 \| \| 2013 \| $285,630,817 \| \| 2012 \| $297,811,535 \| \| 2011 \| $284,115,429 \| \| 2010 \| $254,019,887 \| \| 2009 \| $260,318,868 \| \| 2008 \| $276,438,497 \| The first regional office of the DMV opened its doors in Winfield in 1975 and over the last 43 years, the number of full service regional offices available to the public has grown to 24. In addition to the regional offices, there is one testing site that is open to the public providing 25 total locations staffed to handle general customer inquiries and process DMV transactions on behalf of the agency. Across the state the DMV regional offices process the majority of all customer transactions. ### Regional Office Operation Totals \| \| 2018 \| 2017 \| \|--------------------------------\|---------------\|---------------\| \| Dealer Revenue Collected \| $50,813,018 \| $62,635,909 \| \| Titles Instant Printed \| 99,914 \| 109,446 \| \| Titles Processed \| 328,623 \| 570,373 \| \| Operator Renewals \| 531,152 \| 495,319 \| \| Vehicle Renewals \| 335,557 \| 415,741 \| \| Class E (knowledge) \| 77,079 \| N/A \| \| CDL Exams (knowledge) \| 16,467 \| 29,146 \| Examples of what the regional offices do include: - Conducts all driver, commercial driver, and motorcycle knowledge examinations. - Conducts all driver and motorcycle skills examinations. - Provides information and DMV publications and forms. - Determines eligibility of all WV license and ID card applicants, ensuring compliance with the REAL ID Act of 2005. - Verifies school enrollment forms provided for all Graduated Driver’s License (GDL) transactions. - Confirms legal and valid driver’s license status via the Problem Driver Point System (PDPS). - Processes driver’s license card issuances, duplicates, and renewals. - Transfers new resident title work, registration, and driver’s licenses. - Processes ID card issuances, duplicates, and renewals for adults and children. - Processes state employee ID cards. - Issues mobility impaired parking placards and license plates. - Verifies liens and encumbrances. - Verifies insurance coverage and payment of personal property taxes in conjunction with vehicle registration renewals. - Assists customers in electronic voter registration. - Collects fees for the West Virginia Road Fund and other state agency programs. - Distributes information on alcohol awareness, motorcycle safety, ATV safety, child passenger safety, and the Governor’s Highway Safety Program. - Host sites for administrative hearings. ### Regional Office Totals & Revenues \| Location \| Transactions \| Revenue \| \|----------------\|--------------\|-------------\| \| Beckley \| 75,292 \| $5,434,861 \| \| Charles Town \| 106,038 \| $8,550,172 \| \| Clarksburg \| 93,567 \| $7,711,766 \| \| Elkins \| 68,839 \| $6,481,828 \| \| Fairmont (Test Site) \| 22,964 \| $358,909 \| \| Flatwoods \| 39,565 \| $2,969,585 \| \| Franklin \| 20,734 \| $3,078,946 \| \| Huntington \| 104,344 \| $13,670,515 \| \| Kanawha City \| 139,444 \| $7,325,139 \| \| Lewisburg \| 46,473 \| $4,086,200 \| \| Logan \| 52,980 \| $4,310,045 \| \| Martinsburg \| 115,188 \| $10,933,527 \| \| Moorefield \| 41,330 \| $2,691,802 \| \| Morgantown \| 121,674 \| $13,209,824 \| \| Moundsville \| 75,590 \| $9,581,466 \| \| Parkersburg \| 108,646 \| $15,438,890 \| \| Point Pleasant \| 37,199 \| $4,563,226 \| \| Princeton \| 77,698 \| $7,332,069 \| \| Romney \| 53,230 \| $4,586,995 \| \| Spencer \| 31,396 \| $2,418,564 \| \| Summersville \| 63,385 \| $10,425,175 \| \| Weirton \| 52,894 \| $6,237,228 \| \| Welch \| 28,817 \| $1,455,117 \| \| Williamson \| 28,897 \| $3,464,813 \| \| Winfield \| 119,966 \| $12,452,203 \| Total \| 1,726,150 \| $168,768,863 \| The Vehicle Services section is composed of three units within DMV that are connected by the requirement to title and register vehicles in West Virginia. The units are as follows: Titles & Registrations, Dealer Services and Motor Carrier Services. Titles & Registrations The Titles and Registrations unit processes registrations and titles for all vehicles (including motorboats) and issues special license plates. Technological innovation has enabled the unit to process all title work promptly upon receipt, track all title work in progress, and provide comprehensive information to customers who call in with questions. This unit has been aggressive in implementing federal mandates that require increased scrutiny of odometer statements and the use of special tamper-resistant forms for many title transactions. This unit also handles all customer requests through DMV online services for duplicate titles, decals, and license plates as well as registration renewals. Dealer/Leasing Services The Dealer Services unit issues motor vehicle dealer licenses and license service operation permits. They also inspect reconstructed vehicles, oversee temporary registration plate issuances by dealers and license services, conduct inspections and investigations of licensed dealers and license services annually and issue salesperson licenses. ### Title & Registration Transactions \| Transaction \| 2018 \| 2017 \| \|------------------------------\|--------\|--------\| \| Titles Processed \| 731,710\| 807,166\| \| Title File Scans \| 765,846\| 648,542\| \| License Plate Transfers \| 176,722\| 183,311\| \| License Plate Exchanges \| 449 \| 550 \| \| Duplicate Plate Issues \| 7,811 \| 8,797 \| \| Duplicate Decal Issues \| 8,223 \| 9,156 \| \| Lien Recordings \| 287,877\| 299,186\| ### Registrations by Class \| Class \| 2018 \| 2017 \| \|----------------\|----------\|----------\| \| A Passenger \| 1,362,629\| 1,376,643\| \| B Trucks \| 52,883 \| 42,166 \| \| C Trailers & Semis \| 265,845 \| 301,704 \| \| G Motorcycles \| 44,848 \| 50,755 \| \| H Buses \| 226 \| 199 \| \| J Taxicabs \| 123 \| 107 \| \| M Special Mobile Equip. \| 659 \| 583 \| \| P Government \| 41,125 \| 40,203 \| \| R Camping Trailers \| 33,698 \| 29,419 \| \| T Boat Trailers\| 87,127 \| 89,207 \| \| V Antique Vehicles \| 38,610 \| 26,490 \| \| X Farm Vehicles\| 3,746 \| 2,738 \| West Virginia assesses leased vehicle taxes according to the value of a vehicle’s lease, rather than the value of the vehicle itself. The DMV accordingly allows a special process for titling leased vehicles. Annual revenues under this program have increased from $854,000 to $9,007,031 since FY 1995. ### Vehicle Registrations by County \| County \| 2018 \| 2017 \| \|------------\|--------\|--------\| \| Barbour \| 16,301 \| 15,969 \| \| Berkeley \| 120,047\| 115,613\| \| Boone \| 20,231 \| 20,577 \| \| Braxton \| 15,713 \| 15,437 \| \| Brooke \| 18,976 \| 19,105 \| \| Cabell \| 83,283 \| 83,527 \| \| Calhoun \| 8,120 \| 8,032 \| \| Clay \| 9,193 \| 9,406 \| \| Doddridge \| 5,941 \| 5,732 \| \| Fayette \| 44,379 \| 44,012 \| \| Gilmer \| 7,053 \| 7,059 \| \| Grant \| 16,005 \| 15,836 \| \| Greenbrier \| 41,528 \| 40,600 \| \| Hampshire \| 29,934 \| 29,392 \| \| Hancock \| 29,469 \| 29,725 \| \| Hardy \| 18,357 \| 18,100 \| \| Harrison \| 74,996 \| 73,749 \| \| Jackson \| 33,772 \| 33,436 \| \| Jefferson \| 63,458 \| 61,439 \| \| Kanawha \| 180,851\| 180,564\| \| Lewis \| 22,269 \| 22,236 \| \| Lincoln \| 19,418 \| 19,579 \| \| Logan \| 29,040 \| 28,963 \| \| Marion \| 59,131 \| 58,668 \| \| Marshall \| 26,898 \| 26,661 \| \| Mason \| 26,400 \| 26,128 \| \| McDowell \| 17,612 \| 17,639 \| \| Mercer \| 58,469 \| 58,483 \| \| County \| 2018 \| 2017 \| \|------------\|--------\|--------\| \| Mineral \| 33,367 \| 32,610 \| \| Mingo \| 23,710 \| 23,632 \| \| Monongalia \| 75,778 \| 75,257 \| \| Monroe \| 16,443 \| 16,044 \| \| Morgan \| 21,118 \| 20,262 \| \| Nicholas \| 31,642 \| 30,797 \| \| Ohio \| 39,893 \| 40,042 \| \| Pendleton \| 10,861 \| 10,620 \| \| Pleasants \| 7,666 \| 7,562 \| \| Pocahontas \| 11,594 \| 11,294 \| \| Preston \| 37,438 \| 36,886 \| \| Putnam \| 56,366 \| 55,316 \| \| Raleigh \| 71,028 \| 69,997 \| \| Randolph \| 31,242 \| 30,703 \| \| Rilchie \| 13,275 \| 12,967 \| \| Roane \| 15,558 \| 15,397 \| \| Summers \| 11,715 \| 11,304 \| \| Taylor \| 14,976 \| 15,314 \| \| Tucker \| 8,045 \| 7,898 \| \| Tyler \| 9,403 \| 9,156 \| \| Upshur \| 32,470 \| 32,481 \| \| Wayne \| 29,507 \| 29,120 \| \| Webster \| 10,006 \| 9,880 \| \| Wetzel \| 19,844 \| 19,725 \| \| Wirt \| 7,006 \| 6,791 \| \| Wood \| 86,830 \| 85,859 \| \| Wyoming \| 20,878 \| 20,437 \| \| Out-of-State\| 47,162 \| 44,460 \| ### Special & Organizational Plates \| Plate Style \| 2018 \| 2017 \| \|------------------------------\|--------\|--------\| \| Amateur Radio \| 935 \| 870 \| \| Antique \| 19,928 \| 17,982 \| \| Breast Cancer Awareness \| 1,790 \| 1,452 \| \| Certified Firefighter \| 136 \| 126 \| \| Character Education \| 58 \| 45 \| \| Disabled Veteran \| 5,409 \| 5,078 \| \| DNR Wildlife (Bird) \| 6,899 \| 7,166 \| \| DNR Wildlife (Deer) \| 12,683 \| 10,080 \| \| Donate Life \| 297 \| 241 \| \| Educator \| 664 \| 622 \| \| EMS \| 2,029 \| 814 \| \| Firefighter \| 878 \| 915 \| \| Former Legislator \| 68 \| 66 \| \| Governor’s Numbers \| 973 \| 923 \| \| Legislative \| 151 \| 143 \| \| Medal of Honor \| 1 \| 1 \| \| Military Organizations \| 8,491 \| 7,242 \| \| Mobility Impaired \| 6,128 \| 5,057 \| \| NASCAR \| 1,062 \| 1,294 \| \| National Guard \| 654 \| 646 \| \| Patriotic \| 6,529 \| 5,625 \| \| Pearl Harbor Survivor \| 7 \| 8 \| \| Personalized \| 39,272 \| 40,678 \| \| Prisoner of War \| 63 \| 59 \| \| Purple Heart \| 1,971 \| 1,996 \| \| Silver-Haired Legislature \| 4 \| 3 \| \| Special Organizations \| 4,572 \| 6,731 \| \| Veteran \| 12,342 \| 12,839 \| \| Volunteer Firefighter \| 2,032 \| 1,647 \| \| Whitewater Rafting \| 900 \| 666 \| \| Wounded Law Enforcement \| 36 \| 33 \| \| 4H/FFA \| 229 \| 191 \| \| 9-11 Commemorative \| 4,514 \| 4,818 \| ### Vehicle Dealer Oversight \| Category \| 2018 \| 2017 \| \|-----------------------------------------------\|--------\|--------\| \| Dealers Licenses \| 1,445 \| 1,459 \| \| Dealer Pre-Application Inspections \| 181 \| 176 \| \| Dealer Applicant Investigations \| 322 \| 101 \| \| Dealer Compliance Investigations \| 3,211 \| 3,506 \| \| Unlicensed Dealer Investigations \| 113 \| 149 \| \| Reconstructed Vehicle Inspections \| 4,027 \| 4,419 \| \| Total Temporary Plates Issued \| 112,198 \| 99,305 \| \| Category \| 2018 \| 2017 \| \|-----------------------------------------------\|--------\|--------\| \| Temporary Plates Issued to Motorcycles \| 1,788 \| 1,591 \| \| Temporary Plates Issued to Dealers \| 98,590 \| 89,799 \| \| Temporary Plates Issued to License Services \| 11,535 \| 7,695 \| \| Temporary Plates Issued to Auto Auctions \| 285 \| 220 \| \| Revenue Leased Vehicles \| $9,007,031 \| $8,236,868 \| \| Rental Taxes Collected \| $1,679,965 \| $1,722,739 \| ### Motorboat Registrations by County \| County \| Fee Paying \| Non-Fee Paying \| Gov. \| Total \| \|------------\|------------\|----------------\|------\|-------\| \| Barbour \| 330 \| 96 \| 1 \| 427 \| \| Berkeley \| 1,984 \| 343 \| 3 \| 2,330 \| \| Boone \| 661 \| 56 \| 0 \| 717 \| \| Braxton \| 618 \| 86 \| 1 \| 705 \| \| Brooke \| 385 \| 71 \| 1 \| 457 \| \| Cabell \| 1,753 \| 112 \| 5 \| 1,870 \| \| Calhoun \| 199 \| 50 \| 0 \| 249 \| \| Clay \| 303 \| 78 \| 1 \| 382 \| \| Doddridge \| 144 \| 44 \| 0 \| 188 \| \| Fayette \| 1,388 \| 103 \| 2 \| 1,493 \| \| Gilmer \| 119 \| 23 \| 0 \| 142 \| \| Grant \| 263 \| 94 \| 1 \| 358 \| \| Greenbrier \| 658 \| 285 \| 8 \| 951 \| \| Hampshire \| 482 \| 247 \| 0 \| 729 \| \| Hancock \| 539 \| 72 \| 3 \| 614 \| \| Hardy \| 280 \| 232 \| 0 \| 512 \| \| Harrison \| 1,628 \| 327 \| 2 \| 1,957 \| \| Jackson \| 980 \| 168 \| 1 \| 1,149 \| \| Jefferson \| 922 \| 134 \| 2 \| 1,058 \| \| Kanawha \| 4,588 \| 476 \| 209 \| 5,273 \| \| Lewis \| 750 \| 77 \| 7 \| 834 \| \| Lincoln \| 714 \| 67 \| 2 \| 783 \| \| Logan \| 910 \| 118 \| 1 \| 1,029 \| \| Marion \| 1,442 \| 239 \| 4 \| 1,685 \| \| Marshall \| 626 \| 199 \| 1 \| 826 \| \| Mason \| 726 \| 159 \| 1 \| 886 \| \| McDowell \| 402 \| 76 \| 0 \| 478 \| \| Mercer \| 1,562 \| 146 \| 0 \| 1,708 \| \| Mineral \| 570 \| 232 \| 0 \| 802 \| \| Mingo \| 772 \| 137 \| 3 \| 912 \| \| Monongalia \| 1,841 \| 186 \| 16 \| 2,043 \| \| Monroe \| 323 \| 55 \| 1 \| 379 \| \| Morgan \| 462 \| 133 \| 0 \| 595 \| \| Nicholas \| 1,119 \| 155 \| 1 \| 1,275 \| \| Ohio \| 654 \| 137 \| 0 \| 791 \| \| Pendleton \| 81 \| 93 \| 1 \| 175 \| \| Pleasants \| 269 \| 63 \| 3 \| 335 \| \| Pocahontas \| 169 \| 70 \| 1 \| 240 \| \| Preslon \| 629 \| 103 \| 1 \| 733 \| \| Putnam \| 1,611 \| 166 \| 1 \| 1,778 \| \| Raleigh \| 1,899 \| 134 \| 2 \| 2,035 \| \| Randolph \| 475 \| 163 \| 0 \| 638 \| \| Ritchie \| 335 \| 156 \| 2 \| 493 \| \| Roane \| 463 \| 181 \| 2 \| 646 \| \| Summers \| 368 \| 27 \| 2 \| 397 \| \| Taylor \| 591 \| 58 \| 1 \| 650 \| \| Tucker \| 115 \| 34 \| 0 \| 149 \| \| Tyler \| 291 \| 108 \| 0 \| 399 \| \| Upshur \| 692 \| 99 \| 3 \| 794 \| \| Wayne \| 1,104 \| 48 \| 3 \| 1,155 \| \| Webster \| 277 \| 43 \| 0 \| 320 \| \| Wetzel \| 483 \| 139 \| 3 \| 625 \| \| Wirt \| 202 \| 72 \| 0 \| 274 \| \| Wood \| 2,167 \| 498 \| 13 \| 2,678 \| \| Wyoming \| 925 \| 81 \| 0 \| 1,006 \| \| Out-of-State \| 79 \| 7 \| 0 \| 86 \| \| TOTALS \| 44,322 \| 7,556 \| 315 \| 52,193 \| Motor Carrier Services This unit of the DMV Vehicle Services section oversees credential issuance to and revenue collection from the commercial trucking industry. The Motor Carrier Services section administers West Virginia’s participation in two, multi-jurisdictional, revenue and credential reciprocity compacts: 1) International Registration Plan (IRP): IRP regulates commercial vehicle registration. 2) International Fuel Tax Agreement (IFTA): IFTA administers credentialing for commercial fuel taxes. The two compacts spearhead a technology-driven effort to simplify legal compliance procedures for the trucking industry and bring maximum economic efficiency to interstate and US-Canadian commerce. Registered Dealer Key Dealer Types - D: New & used vehicles, not including motorcycles - DTR: Trailers, semi-trailers, and/or house trailers - DUC: Used vehicles, not including motorcycles - F: New & used motorcycles - MFG: Reconstructors, assemblers, and/or reassemblers of vehicles with special bodies - TRS: Transporters of vehicles to and/or from plants and agents of a manufacturer of purchasers - REP: Financial institutions authorized to repossess vehicles - DRV: Recreational vehicle dealers - AA: Auctioneers - WDR: Dealers in used parts, wreckers, and dismantlers of vehicles for resale of parts ### Registered Dealers & Types \| County \| AA \| D \| DRV \| DTR \| DUC \| F \| MFG \| REP \| TRS \| WDR \| Total \| \|------------\|----\|---\|-----\|-----\|-----\|---\|-----\|-----\|-----\|-----\|-------\| \| Barbour \| 0 \| 1 \| 0 \| 0 \| 6 \| 0 \| 0 \| 0 \| 0 \| 1 \| 8 \| \| Berkeley \| 1 \| 4 \| 6 \| 8 \| 85 \| 4 \| 0 \| 2 \| 0 \| 6 \| 116 \| \| Boone \| 0 \| 2 \| 1 \| 0 \| 5 \| 1 \| 0 \| 1 \| 0 \| 0 \| 10 \| \| Braxton \| 0 \| 2 \| 3 \| 3 \| 5 \| 1 \| 0 \| 0 \| 0 \| 1 \| 15 \| \| Brooke \| 0 \| 1 \| 1 \| 0 \| 6 \| 2 \| 0 \| 0 \| 0 \| 4 \| 14 \| \| Cabell \| 0 \| 9 \| 6 \| 3 \| 37 \| 4 \| 0 \| 4 \| 0 \| 9 \| 92 \| \| Calhoun \| 0 \| 0 \| 0 \| 0 \| 2 \| 0 \| 0 \| 1 \| 0 \| 0 \| 3 \| \| Clay \| 0 \| 0 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 0 \| 0 \| 3 \| \| Doddridge \| 0 \| 0 \| 1 \| 1 \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \| 4 \| \| Fayette \| 0 \| 1 \| 2 \| 0 \| 19 \| 0 \| 0 \| 2 \| 0 \| 1 \| 25 \| \| Gilmer \| 0 \| 0 \| 0 \| 0 \| 2 \| 0 \| 0 \| 0 \| 0 \| 0 \| 2 \| \| Grant \| 0 \| 0 \| 1 \| 1 \| 7 \| 1 \| 0 \| 1 \| 0 \| 0 \| 11 \| \| Greenbrier \| 0 \| 4 \| 2 \| 1 \| 18 \| 2 \| 0 \| 0 \| 0 \| 5 \| 32 \| \| Hampshire \| 0 \| 1 \| 4 \| 3 \| 13 \| 2 \| 0 \| 2 \| 0 \| 0 \| 25 \| \| Hancock \| 0 \| 1 \| 0 \| 0 \| 8 \| 0 \| 0 \| 0 \| 0 \| 2 \| 11 \| \| Hardy \| 0 \| 3 \| 1 \| 1 \| 5 \| 1 \| 0 \| 2 \| 0 \| 0 \| 13 \| \| Harrison \| 1 \| 9 \| 6 \| 6 \| 51 \| 8 \| 0 \| 0 \| 0 \| 4 \| 85 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\| 0 \| 0 \| 2 \| 23 \| \| Mingo \| 0 \| 2 \| 3 \| 1 \| 3 \| 1 \| 0 \| 0 \| 0 \| 1 \| 11 \| \| Monongalia \| 0 \| 11\| 4 \| 5 \| 37 \| 5 \| 0 \| 1 \| 0 \| 5 \| 68 \| \| Monroe \| 0 \| 0 \| 1 \| 3 \| 4 \| 1 \| 0 \| 0 \| 0 \| 0 \| 9 \| \| Morgan \| 0 \| 1 \| 1 \| 2 \| 6 \| 1 \| 0 \| 1 \| 0 \| 1 \| 13 \| \| Nicholas \| 0 \| 3 \| 1 \| 3 \| 11 \| 0 \| 0 \| 0 \| 0 \| 2 \| 20 \| \| Ohio \| 0 \| 11\| 5 \| 6 \| 18 \| 2 \| 0 \| 0 \| 0 \| 2 \| 44 \| \| Pendleton \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Pleasants \| 0 \| 1 \| 2 \| 3 \| 5 \| 0 \| 0 \| 0 \| 0 \| 0 \| 11 \| \| Pocahontas \| 0 \| 1 \| 1 \| 0 \| 2 \| 0 \| 0 \| 0 \| 0 \| 1 \| 5 \| \| Preston \| 1 \| 2 \| 1 \| 1 \| 18 \| 1 \| 0 \| 0 \| 0 \| 1 \| 25 \| \| Putnam \| 1 \| 4 \| 3 \| 5 \| 10 \| 1 \| 2 \| 0 \| 2 \| 1 \| 29 \| \| Raleigh \| 1 \| 9 \| 10 \| 10 \| 39 \| 5 \| 1 \| 0 \| 0 \| 2 \| 77 \| \| Randolph \| 0 \| 5 \| 2 \| 7 \| 17 \| 2 \| 0 \| 3 \| 0 \| 1 \| 37 \| \| Ritchie \| 0 \| 0 \| 0 \| 2 \| 6 \| 1 \| 2 \| 0 \| 0 \| 1 \| 12 \| \| Roane \| 0 \| 1 \| 0 \| 0 \| 3 \| 1 \| 0 \| 0 \| 0 \| 0 \| 5 \| \| Summers \| 0 \| 0 \| 0 \| 0 \| 2 \| 0 \| 0 \| 0 \| 0 \| 0 \| 2 \| \| Taylor \| 0 \| 1 \| 0 \| 0 \| 6 \| 0 \| 0 \| 0 \| 1 \| 3 \| 11 \| \| Tucker \| 0 \| 0 \| 0 \| 0 \| 2 \| 0 \| 0 \| 0 \| 0 \| 1 \| 3 \| \| Tyler \| 0 \| 2 \| 0 \| 0 \| 1 \| 0 \| 0 \| 2 \| 0 \| 0 \| 5 \| \| Upshur \| 1 \| 2 \| 1 \| 2 \| 14 \| 1 \| 0 \| 0 \| 1 \| 2 \| 24 \| \| Wayne \| 0 \| 2 \| 5 \| 1 \| 11 \| 0 \| 0 \| 0 \| 0 \| 4 \| 23 \| \| Webster \| 0 \| 0 \| 0 \| 1 \| 3 \| 0 \| 0 \| 0 \| 0 \| 0 \| 4 \| \| Wetzel \| 0 \| 1 \| 3 \| 2 \| 5 \| 1 \| 0 \| 0 \| 0 \| 0 \| 12 \| \| Wirt \| 0 \| 0 \| 0 \| 0 \| 3 \| 0 \| 0 \| 0 \| 0 \| 0 \| 3 \| \| Wood \| 0 \| 10\| 16 \| 10 \| 43 \| 8 \| 3 \| 5 \| 0 \| 1 \| 106 \| \| Wyoming \| 0 \| 0 \| 1 \| 1 \| 1 \| 0 \| 0 \| 0 \| 0 \| 1 \| 4 \| TOTALS: 10 154 138 137 773 79 9 46 3 110 1,459 IRP and IFTA enable United States and Canadian commercial motor carriers to operate throughout most of North America with tax and registration credentials issued by their home jurisdiction. The compacts require all vehicles of more than 26,000 pounds gross vehicle weight (GVW) and having three (3) or more axles to register their vehicles and pay their fees in their home jurisdictions. Ten Canadian provinces and all of the states of the continental United States recognize IRP credentials. IFTA credentials are valid for travel in all of Canada and the continental United States. This unit also utilizes the Commercial Vehicle Information Systems Network (CVISN) and other Intelligent Transportation Systems/Commercial Vehicle Operations (ITS/CVO) initiatives directed by the Federal Motor Carrier Safety Administration (FMCSA). CVISN and ITS/CVO initiatives are focused on streamlining government regulatory processes by consolidation of functions and electronic data exchanges. Motor Carrier Totals IRP, IFTA, and Road Tax \| Category \| 2017 \| 2018 \| \|---------------------------\|------\|------\| \| IRP Power Units \| 10,040 \| 10,097 \| \| IRP Carriers \| 2,077 \| 2,233 \| \| IFTA Members \| 2,017 \| 1,921 \| \| IFTA Decals Issued \| 13,344 \| 13,811 \| \| Road Tax Registrants \| 2,101 \| 1,650 \| \| Road Tax Decals Issued \| 7,651 \| 7,474 \| Other Motor Carrier Operations - Collection of apportioned ad valorem fees for West Virginia counties - Advice and training for law enforcement personnel and others concerning policies, regulations, and statutes pertaining to commercial vehicles - Processing and issuance of fuel tax decals for intrastate motor carriers Motor Carrier Goals & Objectives - Continue to introduce new motor carriers to electronic credentialing and self-credentialing - Streamline administration of motor carrier credentialing and taxation - Reduce administrative paperwork and enhance compliance with motor carrier regulations through technology - Continue the PRISM program to improve the safety performance of high-risk carriers Commercial Driver’s License Holders \| Year \| Count \| \|------\|-------\| \| 2018 \| 46,221 \| \| 2017 \| 44,376 \| IRP Revenue \| Source \| 2018 \| 2017 \| \|---------------------------------------------\|------------\|------------\| \| Collected from WV Based Carriers \| $42,518,651 \| $38,682,599 \| \| Collected from Other States \| $32,055,594 \| $26,199,610 \| \| Paid to Other States \| $5,203,408 \| $5,378,676 \| \| Ad Valorem \| $16,924,445 \| $13,597,299 \| dmv.wv.gov 1-800-642-9066	<urn:uuid:9e76d367-3ba9-4e18-bc1a-0f92f8c5cf1f>	CC-MAIN-2019-26	http://transportation.wv.gov/DMV/DMVFormSearch/DMV_Annual_Report_2018_web.pdf	2019-06-16T11:04:50Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-26/segments/1560627998100.52/warc/CC-MAIN-20190616102719-20190616124719-00466.warc.gz	181,329,839	25,653	eng_Latn	eng_Latn	0.876967	eng_Latn	0.983185	[ "eng_Latn", "unknown", "pol_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "dan_Latn", "eng_Latn", "eng_Latn", "unknown" ]	true	docling	[ 211, 247, 1945, 2567, 5301, 7234, 9756, 10937, 13568, 17288, 20342, 23456, 26687, 30302, 34063, 37705, 41121, 43777, 47217, 51065, 54314, 57553, 59878, 62838, 64066, 66540, 69431, 70573, 73338, 75808, 79954, 84751, 90797, 93514, 93541 ]
The Friendship Centers Visitors to the Centers are impressed with both the beauty of the facilities and the wide range of activities and opportunities they find here. The Friendship Centers are places to: Make new friends Make a difference by volunteering Listen to music Dance Sing Exercise Share ideas Learn Play (...billiards, cards, mahjong, Wii, you name it!) Find support Explore new horizons ... And the best part is they're yours. The Friendship Centers are a non-profit organization based on the philosophy of 'People Helping People.' SFC has helped older adults live with dignity and independence for nearly 40 years. YOUR support is needed to continue to provide the programs and services that have earned this organization a national and international reputation for quality and innovation. FRIENDS OF THE CENTER will help pay the cost to keep the centers open - including maintenance and overhead on the buildings and grounds. Our buildings are not owned or run by federal, state or local government. Your support is essential. Campus Hours & Location The Friendship Center 1888 Brother Geenen Way Sarasota, FL 34236 Open 8:30 am - 4:30 pm Monday through Friday Participant Criteria In some cases the Friendship Center or the Friendship Cafe may not be the best choice for you or your loved one. If this should occur we will be happy to work with you to find other available programs and resources. Some of the criteria which may require us to release a participant include: * Inability to perform normal activities of daily living. * Inability to evacuate a building unassisted in the event of fire or other emergencies * Inability to independently use restrooms * Unacceptable behavior requiring staff intervention. * Wandering or confusion regarding surroundings. *Please note, all participants must also sign and submit a release waiver. Friendship Centers Invites You to Join 2017 Accredited by the National Association of Senior Centers Exciting Classes and Programs Beautiful Setting & Facilities Discounts on Classes Activities & More Experience the Reward of People Helping People in Action Every Day! FRIENDS OF THE CENTER This is Your Invitation ...to be part of a new initiative called "Friends of the Center." For just pennies a day, you are supporting an organization that makes a difference in the lives of your friends and neighbors. Your membership is your commitment to The Friendship Centers, and allows you to benefit from special member discounts. Friends of the Center is being launched in connection with the unveiling of a new state of the art touch screen system, thanks to a grant from the Gulf Coast Community Foundation. Your card is your personal entry key, used every time you come to the center. Friends of the Center Annual Membership Options $50 - Single Membership over the age of 50 $70 - Couples two people living at the same address, one over the age of 50 $40 - Seasonal Guest Membership 3 months for seasonal members, age 50+, up to $60 - Seasonal Couples Members, age 50+, up to 3 months FREE - To all seniors over the age of 90 Friendship Centers is a non-profit private charitable organization, 501(c)(3) Benefits of Being A Friend of the Center PERSONAL SATISFACTION knowing that you are supporting an organization which helps thousands of older adults in our communities every day. DISCOUNTS on a wide variety of stimulating classes and activities offered at the Centers, including: Balance Movement Fitness Dance Foreign Languages Arts & Crafts And Special Events as designated DISCOUNTS ON FACILITIES RENTAL CENTER FEATURES Hardwood Dance Floors Live music Regulation Pool Tables Library Fitness Brain Fitness Friendship Cafe Bistro Dance Classes Arts & Crafts Computer Lab Please fill out and return the panel at right to: Friends of the Center Attn: Center Manager Friendship Centers 1888 Brother Geenen Way Sarasota, FL 34236 Registration & Release Waiver Membership (check one) __Single Membership, $50 __Couples Membership, $70 __Guest (Seasonal) Membership, $40 __Guest (Couple) Seasonal Membership, $60 Name______________________________________ Address_____________________________________ City__________________State________ Zipcode _________Date of Birth_________ Gender M F Phone ________________________ Email:_____________________________ Today's Date:____________ Please note: the information you provide is secure and will not be shared. Are You a Veteran? Yes No Veteran Dependent? Yes No Ethnicity: __Hispanic __ Other Race: ___White ___Black ___Native American ___Asian Pacific ___Other Emergency Contact __________________________ Address____________________________________ Phone_________________Email________________ For Office Use Only: Membership # _______________________________	<urn:uuid:15d69286-5b30-4717-8ee3-f1b6a678883c>	CC-MAIN-2017-17	http://friendshipcenters.org/Portals/0/!2017%20Center%20Membership%20Sarasota%5B1%5D.pdf	2017-04-25T06:44:33Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-17/segments/1492917120187.95/warc/CC-MAIN-20170423031200-00481-ip-10-145-167-34.ec2.internal.warc.gz	161,107,844	1,007	eng_Latn	eng_Latn	0.994671	eng_Latn	0.996268	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2150, 4867 ]
SITE NAME: Type Component Breakfast AM Snack Lunch For more information on additional food components and amounts, please refer to Ohio CACFP Child Care Meal Pattern Chart. This institution is an equal opportunity employer. Rev. 3/12 Ohio CACFP Weekly Menu for Children (5-Day) Minimum Serving Date: Date: Date: Date: Date: SITE NAME: Type Component Minimum Serving Date: Date: Date: Date: Date: For more information on additional food components and amounts, please refer to Ohio CACFP Child Care Meal Pattern Chart. This institution is an equal opportunity employer. Rev.3/12 Ohio CACFP Weekly Menu for Children (5-Day)	<urn:uuid:1966743e-b695-4320-a594-1ebc62dd69b8>	CC-MAIN-2015-27	http://education.ohio.gov/getattachment/Topics/Other-Resources/Food-and-Nutrition/CACFP-After-School-Snack-Component/CACFP-Center-Based-Component/Menu-Form-for-Children-5-Day-All-Meal-Types.pdf.aspx	2015-07-08T04:25:13Z	s3://commoncrawl/crawl-data/CC-MAIN-2015-27/segments/1435376073161.33/warc/CC-MAIN-20150627033433-00285-ip-10-179-60-89.ec2.internal.warc.gz	87,276,926	151	eng_Latn	eng_Latn	0.916141	eng_Latn	0.891076	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 498, 971 ]
CENTRAL INTELLIGENCE AGENCY THE PRESIDENT'S DAILY BRIEF 9 NOVEMBER 1965 TOP SECRET 1. Indonesia Whatever anti-US vituperation Sukarno may indulge in tomorrow during Indonesia's "Heroes Day" celebration, the army evidently sees the affair as another opportunity to beat on the Communists. General Nasution's speech for the occasion, available in an advance recording, is a strong call for punishment of the instigators of the 30 September coup. Nasution does not mention Sukarno by name, merely praying in conclusion that "the great leader of the revolution" be given strength to continue the struggle "along the God-given path." To help get Sukarno on the right path, anti-Communists in Djakarta today staged the largest demonstration US Embassy observers can remember. One of Sukarno's deputy premiers gave the crowd the usual soft line, but in response the rally demanded the dismissal of Communists from the cabinet. Sukarno is still scoring some points, however, Two papers attacking pro-Communist Deputy Premier Subandrio have already been temporarily banned by Sukarno's civilian authorities. There are some hints that Sukarno intends to go abroad soon. A trip now would seem badly timed politically, but might be necessary for medical reasons. 2. South Vietnam The joint US-Australian operation near Bien Hoa north of Saigon is in its final phases. Timely and effective air strikes, as well as heavy artillery and effective automatic weapons fire have taken a heavy toll of Communists. Over 400 bodies were counted after this engagement, and an estimated 200 additional Communist dead were removed from the battlefield. Allied casualties stand at 50 killed, 48 of them Americans. 3. North Vietnam Yesterday's US air strike on a surface-to-air missile site near Haiphong apparently led to Soviet casualties. An intercepted conversation from the site made reference to "one comrade killed and four wounded." Soviet technicians have been called "comrades" in earlier voice intercepts. It has been assumed that Soviet personnel could have been casualties in previous strikes on surface-to-air sites, but this is the first creditable evidence of this. 4. Dominican Republic Santo Domingo is quiet, but ex-President Bosch is worried again about a right-wing coup. Last evening, he sent an emissary to an embassy in Santo Domingo to ask for assurances that the US is not supporting such a move. 5. Chile Latin passions have been aroused by a border clash between Chilean and Argentine gendarmes. The Chileans came out losers in the affray, which took place at an isolated ranch in the southern Andes. Both governments have recently seemed to want to settle border problems in an orderly fashion, but politicos on each side are prone to wave the bloody shirt over such incidents. 6. Rhodesia London is braced for a Rhodesian declaration of independence, possibly today or tomorrow. Although some new move could again stave off a declaration, Wilson's room for maneuver on the issue now seems to be very small indeed. The weaknesses of the African nationalists have discouraged even the radical black African states, whose leaders have been pressing the British to take drastic action against the white Rhodesians. TOP SECRET TOP SECRET	<urn:uuid:6f93fe45-ae8c-4fb9-ba49-f2d7ac6ca09e>	CC-MAIN-2018-47	https://ipfs.io/ipfs/Qme6epvZDj3vzHcFKdF1nZhbixjw8Bn4imGcKnbUyBJL89/DOC_0005967987.pdf	2018-11-14T21:55:06Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-47/segments/1542039742316.5/warc/CC-MAIN-20181114211915-20181114233915-00307.warc.gz	653,253,618	675	eng_Latn	eng_Latn	0.772809	eng_Latn	0.998534	[ "slk_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown" ]	false	docling	[ 85, 1260, 2800, 3237, 3261 ]
Lake Hamilton Water and Sewer Rate Schedule 2023-2024 Drinking Water Drinking Water	<urn:uuid:1fe9da7c-0607-466b-a3f1-a1012e18a997>	CC-MAIN-2024-18	https://www.townoflakehamilton.com/media/2686	2024-04-16T12:57:23+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-18/subset=warc/part-00055-29538f81-5664-4df2-acb6-7d8ba3d2a1aa.c000.gz.parquet	939,238,586	24	eng_Latn	eng_Latn	0.533974	eng_Latn	0.533974	[ "eng_Latn" ]	false	rolmOCR	[ 86 ]
Turkish Journal of Medical Sciences Volume 40 Number 5 1-1-2010 Serum prolidase activity in patients with degenerative and rheumatic heart valve diseases MURAT BÜLENT RABUŞ RECEP DEMİRBAĞ YUSUF SEZEN MEHMET TAŞAR ABDULLAH TAŞKIN See next page for additional authors Follow this and additional works at: https://journals.tubitak.gov.tr/medical Part of the Medical Sciences Commons Recommended Citation RABUŞ, MURAT BÜLENT; DEMİRBAĞ, RECEP; SEZEN, YUSUF; TAŞAR, MEHMET; TAŞKIN, ABDULLAH; AKSOY, NURTEN; KIRALİ, KAAN; and YAKUT, CEVAT (2010) "Serum prolidase activity in patients with degenerative and rheumatic heart valve diseases," Turkish Journal of Medical Sciences: Vol. 40: No. 5, Article 3. https://doi.org/10.3906/sag-0904-48 Available at: https://journals.tubitak.gov.tr/medical/vol40/iss5/3 This Article is brought to you for free and open access by TÜBİTAK Academic Journals. It has been accepted for inclusion in Turkish Journal of Medical Sciences by an authorized editor of TÜBİTAK Academic Journals. For more information, please contact [email protected]. Article 3 Serum prolidase activity in patients with degenerative and rheumatic heart valve diseases Authors MURAT BÜLENT RABUŞ, RECEP DEMİRBAĞ, YUSUF SEZEN, MEHMET TAŞAR, ABDULLAH TAŞKIN, NURTEN AKSOY, KAAN KIRALİ, and CEVAT YAKUT Turk J Med Sci 2010; 40 (5): 687-692 © TÜBİTAK E-mail: [email protected] doi:10.3906/sag-0904-48 Original Article Serum prolidase activity in patients with degenerative and rheumatic heart valve diseases Murat Bülent RABUŞ 1 , Recep DEMİRBAĞ 2 , Yusuf SEZEN 2 , Mehmet TAŞAR 1 Abdullah TAŞKIN 3 , Nurten AKSOY 3 , Kaan KIRALİ 1 , Cevat YAKUT 1, Aim: It is known that renin-angiotensin system, inflammation, signaling pathways, and genetic predisposition play a major role in the pathogenesis of heart valve disease. Scarring and collagen deposition in the valves and destruction of myocytes may result from the combined effects of rheumatic and degenerative process in heart valve diseases. Prolidase plays an important role in collagen metabolism, matrix remodeling and cell growth. The aim of the study was to comparatively assess the serum prolidase activity in rheumatic and degenerative heart valve diseases. Materials and methods: The study included 26 patients who had undergone valve replacement due to rheumatic etiology (Group I), 24 patients who had undergone valve replacement due to degenerative etiology (Group II) and 20 healthy volunteers (Group III). Prolidase activity was determined in all subjects. High sensitive C-reactive protein and white blood cell count were studied in only valve patients. Results: Prolidase activity was significantly greater in control group than in patients group (51.23.± 5.9 U/L vs. 39.40 ± 4.6 U/L, respectively; P < 0.001). There was no statistically significant difference between Group I and Group II (P = 0.721). No correlation was detected between serum prolidase activity and severity of valve disease (P > 0.05). Conclusion: These results suggested that rheumatic and degenerative heart valve diseases seem to be associated with decreased serum prolidase activity. Key words: Prolidase activity, rheumatic valve disease, degenerative valve disease Dejeneratif ve romatizmal kalp kapak hastalarına serum pirolidaz aktivitesi Amaç: Renin-anjiyotensin sistemi, inflamasyon, sinyal yolakları ve genetik yatkınlığın kalp kapak hastalığının patogenezinde önemli rol oynadığı bilinmektedir. Kapaklarda skar oluşumu ve kolajen birikimi miyositlerin hasarlanması, kalp kapak hastalığındaki romatizmal ve dejeneratif süreçlerin birleşik etkisinden sonuçlanabilir. Prolidaz, kolajen metabolizmasında, matriks yeniden-yapılanmasında ve hücre büyümesinde önemli rol oynar. Bu çalışmanın amacı, serum prolidaz aktivitesinin romatizmal ve dejeneratif kalp kapak hastalıklarında karşılaştırmalı değerlendirmesidir. Yöntem ve gereç: Çalışmaya, romatizmal etiyoloji nedeniyle kapak replasmanı geçirmiş olan 26 hasta (Grup I), dejeneratif etiyoloji nedeniyle kapak replasmanı geçirmiş olan 24 hasta (Grup II) ve 20 sağlıklı gönüllü (Grup III) katıldı. Prolidaz aktivitesi tüm deneklerde ölçülürken, yüksek duyarlıklı C-reaktif protein ve beyaz küre sayımı sadece kapak hastalarında ölçüldü. Bulgular: Prolidaz aktivitesi, kontrol grubunda hasta gruplarındakinden anlamlı şekilde daha yüksekti (sırasıyla 51,23.± 5,9 U/L ve 39,40 ± 4,6 U/L; P < 0,001). Serum prolidaz aktivitesi bakımından Grup I ve Grup II arasında istatistiksel olarak anlamlı bir fark yoktu (P = 0,721). Serum prolidaz aktivitesi ve kapak hastalığının ağırlığı arasında herhangi bir korelasyon saptanmadı (P > 0,05). Sonuç: Bulgular ışığında, romatizmal ve dejeneratif kalp hastalığının azalmış serum prolidaz aktivitesi ile ilişkili olduğu görülmektedir. Anahtar sözcükler: Prolidaz aktivitesi; romatizmal kalp hastalığı; dejeneratif kalp hastalığı. Received: 30.04.2009 – Accepted: 15.03.2010 2 Department of Cardiology, Faculty of Medicine, Harran University, Şanlıurfa - TURKEY 1 Department of Cardiovascular Surgery, Kartal Koşuyolu Heart and Research Hospital, İstanbul - TURKEY 3 Department of Biochemistry, Faculty of Medicine, Harran University, Şanlıurfa - TURKEY Correspondence: Murat Bülent RABUŞ, Department of Cardiovascular Surgery, Kartal Koşuyolu Heart and Research Hospital, İstanbul - TURKEY E-mail: [email protected] Introduction Degenerative (DHVD) and rheumatic heart valve diseases (RHVD) are multifactorial processes that appear to be caused by the interaction of risk factors such as genetic, inflammatory, autoimmune, infectious and oxidative stress; however, their pathophysiology are not completely understood (13). Fibrosis and calcification are defining features of degenerative and rheumatic valve lesions, and the extent of lesion calcification correlates both with more rapid disease progression and worse clinical outcomes (4-6). Fibrosis is an excessive deposition of extracellular matrix (7). Matrix-metalloproteinase and the natural inhibitors of matrix-metalloproteinase molecules typically are expressed in inflammatory and fibrosing illnesses (1). Degenerative heart valve lesions contain a number of matrixmetalloproteinases (8, 9), which degrade various components of the extracellular matrix. Normal human heart valves contain collagen types I, III and V in extracellular matrix (10). Prolidase (E.C.184.108.40.206) is a cytosolic exopeptidase, and cleaves imidodi- and imidotripeptides with Cterminal proline or hydroxyproline. (11). Prolidase plays an important role in collagen metabolism, matrix remodeling and cell growth (12). Its activity has been documented in plasma, erythrocytes, leukocytes, dermal fibroblasts and in various organs such as kidney, brain, heart, thymus and uterus (13). Prolidase activity has been investigated in various disorders such as chronic liver disease (14), osteoporosis (15) and osteoarthritis (16). Increased serum prolidase activity is associated with the presence of hypertension independent of the presence of left ventricular hypertrophy (17). Many studies have shown that the levels of inflammatory indices, mainly C-reactive protein, plasma endothelin-1 levels (18), plasma osteopontin concentrations (19) and collagen III expression in atrial tissue were increased in patients with mitral valve disease (20, 21). However, there is no data available in the literature about the role of serum prolidase activity in the pathogenesis of valve diseases. We hypothesized that serum prolidase activity may be responsible for the increased valvular fibrosis and calcification in patients with RHVD and DHVD. Therefore, this study was designed to determine whether the prolidase activity can serve as a marker of susceptibility to rheumatic and degenerative valve diseases. Materials and methods Patients and controls: Patients with mitral and aortic stenosis admitted to cardiology and cardiovascular surgery clinics between September 2006 and March 2008 were included in the study. The sample included 26 patients who underwent mitral valve surgery due to rheumatic etiology (Group I; 10 males; mean age: 45 ± 11 years), 24 patients who underwent aortic valve surgery due to degenerative etiology (Group II; 14 males; mean age: 51 ± 12 years) and 20 gender- and age-matched healthy volunteers (Group III; 8 males; mean age: 46 ± 7 years). Patients with echocardiographically documented predominantly mitral and aortic stenosis and sinus rhythm were enrolled in this study. Patients with combined valvular diseases, predominant mitral and aortic regurgitation or those with coronary artery diseases were excluded. Valvular lesions were defined on the basis of echocardiographic findings; supported by the evidence of past streptococcal throat infection and/or history of acute rheumatic fever. Patients without degenerative and rheumatic etiology were excluded from the study. Other exclusion criteria were presence of heart failure, cerebrovascular diseases or malignant tumor, antioxidant drug consumption, hypertension, hyperlipidemia, diabetes mellitus, smoking, chronic respiratory insufficiency, rheumatoid arthritis, cirrhosis, osteoporosis and renal diseases. All participants were assessed by detailed medical history-taking, complete physical examination and electrocardiographic evaluation. Body mass index (BMI) was computed as weight divided by square of height (kg/m 2 ). The leukocytes and the levels of Creactive protein were measured by a commercial kit (Abbott) using an automatic analyzer (Aeroset, USA). The study protocol conforms to the ethical guidelines of the 1975 Declaration of Helsinki as reflected in a priori approval by our institution's human research committee. Informed consent was obtained from all individuals. Blood sample collection: Blood samples were obtained following an overnight fasting state before valve surgery. Samples were withdrawn from a cubital vein into blood tubes. The plasma was separated from the cells by centrifugation at 3000 rpm for 10 min and stored on at −80°C until analysis of prolidase. Prolidase assay: Serum was diluted 40-fold with 2.5 mmol/L Mn 2+ , 40 mmol/L trizma HCl buffer (pH: 8.0) and preincubated at 37 o C for 2 h. The reaction mixture containing 30 mmol/L gly-pro, 40 mmol/L trizma HCl buffer (pH: 8.0) and 100 μL of preincubation serum in 1 mL was incubated at 37 o C for 30 min. Incubation reaction was stopped after adding 0.5 mL of 20 % trichloroacetic acid solution. The supernatant was used for measurement of proline by the method proposed by Myara (22), which is a modification of Chinard's method (23). Intra-assay CV of the assay was 3.8 %. Continuous variables were compared using Student's t test and ANOVA with a least square difference posthoc test, and categorical variables were compared using Pearson chi-square test. Associations among quantitative variables were assessed by Pearson's correlation coefficient. P < 0.05 was considered statistically significant. Data were analyzed by using SPSS 11.5 (SPSS for Windows 11.5, Chicago, IL). Results Statistical analysis: Results are presented as mean ± SD or frequency values expressed as percentages. Patient clinical and some laboratory characteristics are shown in Table 1. There were no difference in age, sex, body mass index and systolic blood pressure. Only diastolic blood pressure was higher in the control group than the patients group (P < 0.05). Baseline medications in patients with degenerative and rheumatic groups are shown in Table 1. Ejection fraction, left ventricular end-diastolic and end- Table 1. Comparison of demographic and clinical characteristics of the groups. a Continuous variables were compared using Student's t test, and categorical variables were compared using Pearson chi-square test (RHVD vs. DHVD). Values are mean ± S.D. or %. c P < 0.001 vs. RHVD and P= 0.004 vs DHVD b P = 0·010 vs. DHVD ACEI: angiotensin-converting enzyme inhibitor; ARB: angiotensin II receptor blocker; BMI: body mass index; DHVD: degenerative heart valve disease; DBP: diastolic blood pressure; IVS: intraventricular septum; LVEF: left ventricular ejection fraction; LVDD: left ventricular end-diastolic diameter; LVSD: left ventricular end-systolic diameter; RHVD: rheumatic heart valve disease; SBP: systolic blood pressure. systolic diameter, C-reactive protein and leukocyte counts were similar in patient groups (all P > 0.05). Diastolic blood pressure and intraventricular septum thickness were significantly higher in patients with DHVD than RHVD patients. But left atrial diameter was significantly bigger in patients with RHVD than DHVD patients (Table 1). A bar graph of prolidase activity in three study groups is shown in Fig. 1. Serum prolidase activity was significantly greater in control than in patients group (51.23.± 5.9 U/L vs. 39.40 ± 4.6 U/L, respectively; P < 0.001). But there was no statistically significant difference between Group I and Group II (39.20 ± 4.4 U/L and 41.47 ± 4.7 U/L, respectively; P = 0.721) (Figure 1). Relationships between prolidase activity and other variables in patients with RHVD and in patients with DHVD are shown in Table 2. The prolidase activity was not correlated with the clinic and laboratory variables (all P > 0.05) in bivariate analysis. Discussion 65 Figure 1. Comparison of groups according to serum prolidase activity (DHVD: degenerative heart valve disease, RHVD: rheumatic heart valve disease). control subjects. Serum prolidase levels were similar between patients with RHVD and patients with DHVD. Prolidase activity was not correlated with severity of valve diseases. In the present study, we found that prolidase activity was significantly lower in patients than One of our recent studies has reported that the prolidase activity was associated with the presence of Table 2. Bivariate correlation analysis of the serum prolidase activity with other variables. ACEI: angiotensin-converting enzyme inhibitor; ARB: angiotensin II receptor blocker. hypertension, and patients with hypertension had higher levels of prolidase activity when compared to healthy subjects (17). In the present study, we found that the diastolic blood pressure was lower in patients with RHVD and DHVD than in control subjects. Serum prolidase activity was not associated with the diastolic blood pressure. Collagen Type I and Type III are found in the valve, cordae tendon and myocardial interstitium of rheumatic heart disease (24, 25). It was known that patients with rheumatic valves had elevated collagen synthesis (26), and there was a relationship between acquired valvular heart diseases and increased serum and urine levels of hydroxyproline (27). Degenerative valve lesions have many features characteristic of an active pathobiological process, including chronic inflammation (28), lipoprotein deposition (5), active References 1. O'Brien KD. Pathogenesis of calcific aortic valve disease: A disease process comes of age (and a good deal more). Arterioscler Thromb Vasc Biol 2006; 26: 1721-8. 2. Stollermann GH. Rheumatic fever. Lancet 1997; 349: 935-42. 3. Davutoglu V, Celik A, Aksoy M. Contribution of selected serum inflammatory mediators to the progression of chronic rheumatic valve disease, subsequent valve calcification and NYHA functional class. J Heart Valve Dis 2005; 14: 251-6. 4. Bahler RC, Desser DR, Finkelhor RS, Brener SJ, Youssefi M. Factors leading to progression of valvular aortic stenosis. Am J Cardiol 1999; 84: 1044-8. 5. Walton KW, Williamson N, Johnson AG. The pathogenesis of atherosclerosis of the mitral and aortic valves. J Pathol 1970; 101: 205-20. 6. Schoen FJ, St John Sutton M. Contemporary pathologic considerations in valvular disease. In: Virmani B, Atkinson JB, Feuoglio JJ, editors. Cardiovascular pathology. Philadelphia: Saunders; 1991. p.334-53. 7. Bishop JE. Regulation of cardiovascular collagen deposition by mechanical forces. Mol Med Today 1998; 4: 69-75. 8. Edep ME, Shirani J, Wolf P, Brown DL. Matrix metalloproteinase expression in nonrheumatic aortic stenosis. Cardiovasc Pathol 2000; 9: 281-6. 9. Soini Y, Satta J, Maatta M, Autio-Harmainen H. Expression of MMP2, MMP9, MT1-MMP, TIMP1, and TIMP2 mRNA in valvular lesions of the heart. J Pathol 2001; 194: 225-31. 10. Cole WG, Chan D, Hickey AJ, Wilcken DE. Collagen composition of normal and myxomatous human mitral heart valves. Biochem J 1984; 219: 451-60. calcification (29) and renin–angiotensin system activation (30). The linkage of collagen metabolism to prolidase activity is also important in wound healing (31), chronic liver diseases (14) and osteoporosis (15) and to rheumatic and degenerative valve diseases as suggested in our study results. There are two limitations of this study. First, the sample size was small and this limits the ability to apply our findings to a wider range of patients with cardiovascular disease. Second, collagen type I, type II and type III were not studied in patients with RHVD and DHVD. This study demonstrates that prolidase activity is higher in healthy subjects than in patients with RHVD and DHVD, which supports the role of prolidase activity as a marker of valve diseases. 11. Surazynski A, Miltyk W, Palka J, Phang JM. Prolidasedependent regulation of collagen biosynthesis. Amino Acids. 2008 ; 35: 731-8. 12. Palka JA, Phang JM. Prolidase activity in fibroblasts is regulated by interaction of extracellular matrix with cell surface integrin receptors. J Cell Biochem 1997; 67: 166-75. 13. Zanaboni G, Dyne KM, Rossi A, Monafo V, Cetta G. Prolidase deficiency: biochemical study of erythrocyte and skin fibroblast prolidase activity in Italian patients. Haematologica 1994; 79: 13-8. 14. Myara I, Myara A, Mangeot M, Fabre M, Charpentier C, Lemonnier A. Plasma prolidase activity: a possible index of collagen catabolism in chronic liver disease. Clin Chem 1984; 30: 211-5. 15. Erbagci AB, Araz M, Erbagci A, Tarakcioglu M, Namiduru ES. Serum prolidase activity as a marker of osteoporosis in type 2 diabetes mellitus. Clin Biochem 2002; 35: 263-8. 16. Altindag O, Erel O, Aksoy N, Selek S, Celik H, Karaoglanoglu M. Increased oxidative stress and its relation with collagen metabolism in knee osteoarthritis. Rheumatol Int 2007; 27: 33944. 17. Demirbag R, Yildiz A, Gur M, Yilmaz R, Elci K, Aksoy N. Serum prolidase activity in patients with hypertension and its relation with left ventricular hypertrophy. Clin Biochem. 2007; 40: 1020-5. 18. Ma LC, Chen MC, Chang HW. Plasma endothelin-1 levels in patients with rheumatic mitral stenosis and a history of cerebral thromboembolism. Chang Gung Med J 2004; 27: 794-800. 19. Atalar E, Ozturk E, Ozer N, Haznedaroglu IC, Kepez A, Coskun S et al. Plasma soluble osteopontin concentrations are increased in patients with rheumatic mitral stenosis and associated with the severity of mitral valve calcium. Am J Cardiol. 2006; 98: 81720. 20. Selcuk MT, Selcuk H, Maden O, Temizhan A, Aksu T, Dogan M et al. Relationship between inflammation and atrial fibrillation in patients with isolated rheumatic mitral stenosis. J Heart Valve Dis 2007; 16: 468-74. 21. Boldt A, Wetzel U, Lauschke J, Weigl J, Gummert J, Hindricks G et al. Fibrosis in left atrial tissue of patients with atrial fibrillation with and without underlying mitral valve disease. Heart 2004; 90: 400-5. 22. Myara I, Charpentier C, Lemonnier A. Optimal conditions for prolidase assay by proline colorimetric determination: application to imminodipeptiduria. Clin Chim Acta 1982; 125: 193-205. 23. Chinard FP. Photometric estimation of proline and ornithine. J Biol Chem 1952; 199: 91-5. 24. Surazynski A, Sienkiewicz P, Wolczynski S, Palka J. Differential effects of echistatin and thrombin on collagen production and prolidase activity in human dermal fibroblasts and their possible implication in beta1-integrin-mediated signaling. Pharmacol Res 2005; 51: 217-21. 25. Fan H, Liu W, Yan P. Pathological observation and immunohistochemistry study of Type I, III, IV collagen in mitral valve and cardiac interstitium of rheumatic disease. Zhonghua Yi Xue Za Zhi 1996; 76: 183-6. 26. Fenoglio JJ Jr, Wagner BM. Studies in rheumatic fever. VI. Ultrastructure of chronic rheumatic heart disease. Am J Pathol 1973; 73: 623-40. 27. Petelenz T, Drózdz M, Słomińska-Petelenz T, Jendryczko A, Kucharz E, Drazkiewicz U et al. Investigations upon collagen metabolites in blood serum and urine of patients with acquired valvular heart disease. Mater Med Pol 1989; 21: 199-205. 28. Otto CM, Kuusisto J, Reichenbach DD, Gown AM, O'Brien KD. Characterization of the early lesion of 'degenerative' valvular aortic stenosis. Histological and immunohistochemical studies. Circulation 1994; 90: 844-53. 29. Rajamannan NM, Subramaniam M, Rickard D, Stock SR, Donovan J, Springett M et al. Human aortic valve calcification is associated with an osteoblast phenotype. Circulation 2003; 107: 2181-4. 30. Helske S, Lindstedt KA, Laine M, Mäyränpää M, Werkkala K, Lommi J et al. Induction of local angiotensin II-producing systems in stenotic aortic valves. J Am Coll Cardiol 2004; 44: 1859-66. 31. Senboshi Y, Oono T, Arata J. Localization of prolidase gene expression in scar tissue using in situ hybridization. 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SUBJECT: FREDDIE MAC IMPLEMENTATION GUIDE FOR LOAN DELIVERY DATA PUBLISHED With this Single-Family Seller/Servicer Guide (“Guide”) Bulletin, Freddie Mac is announcing the publication of the Freddie Mac Implementation Guide for Loan Delivery Data (“Freddie Mac IG-LD”) detailing Freddie Mac specific requirements for implementation of the Uniform Loan Delivery Dataset (ULDD) components applicable to loans delivered to Freddie Mac. Background The Federal Housing Finance Agency (FHFA) has directed Freddie Mac and Fannie Mae (“GSEs”) to work together to improve the consistency and quality of loan data through a Uniform Mortgage Data Program, announced in a news release dated May 24, 2010. In a Single-Family Advisory e-mail dated June 8, 2010, Freddie Mac announced publication of the Uniform Loan Delivery Data Specification (“Delivery Specification”), which was jointly developed with Fannie Mae. The Delivery Specification defines and documents the common GSE-approach to the ULDD and provides the technical framework for developing the loan delivery file that will be required for all loans delivered to either GSE on or after September 1, 2011. The ULDD identifies data points that at loan delivery may be: - Required - data points required for all loan deliveries to both GSEs - Conditionally required - required for loan deliveries to both GSEs when a defined business condition exists (e.g., adjustable-rate Mortgages (ARMs)) - Conditionally independent - GSE-specific data points required for all loan deliveries to one of the GSEs, but not both, when a defined business condition exists - Optional - reserved for future use FREDDIE MAC IMPLEMENTATION GUIDE FOR LOAN DELIVERY DATA While Freddie Mac and Fannie Mae jointly developed the Delivery Specification, each GSE will continue to exercise independent business judgment in evaluating, adopting and maintaining business terms, credit policies, and analytics. The Freddie Mac IG-LD published today details the requirements for implementing the ULDD components applicable to loans sold to Freddie Mac, and can be found in the new Uniform Mortgage Data Program area of our web site at http://www.freddiemac.com/sell/secmktg/uniform_mortgage.html. These requirements are effective for all loans delivered to Freddie Mac on or after September 1, 2011. The Freddie Mac IG-LD is comprised of the following documents: - Freddie Mac Implementation Guide for Loan Delivery Data Business Summary (“Business Summary”) - Exhibit 1, Business Users Guide to the Uniform Loan Delivery Dataset - The Freddie Mac Selling System (“Selling System”) MISMO® eXtensible Markup Language (XML) Technical Specification, v1.0.01 (“Technical Specification”) with the following supporting appendices: - Appendix A – XML Data Requirements - Appendix B – Test Case Scenarios - Appendix C – XML Samples Business Summary The Business Summary, which is designed for business executives and analysts, provides a high-level understanding of Freddie Mac’s implementation of the ULDD, and includes a discussion of Freddie Mac’s implementation strategy and timeline, with resources and information regarding how Sellers can prepare for the delivery of loan data in the new MISMO-based file format. Business Summary Exhibit 1, Business Users Guide to the Uniform Loan Delivery Dataset, identifies all the data points that Freddie Mac will require for loan deliveries, including data points for specific loan types, loan features and business conditions. Technical Specification The Technical Specification is designed for a technology provider or development organization that plans to build or update an interface to the Selling System. Among other things, the Technical Specification, which functions as a comprehensive developer’s guide, provides the following guidance: - Implementation of a subset of the MISMO Version 3.0 Reference Model that will be used in the Selling System - Creation of a well-formed XML file in accordance with the MISMO Version 3.0 Reference Model - Data mapping, field formats, valid field values and the hierarchical container structure applicable to the Selling System’s usage of the loan delivery XML file - Explanation of how systems need to transmit or import data to the Selling System REVISIONS TO THE GUIDE Prior to September 1, 2011, we will update the Guide to reflect the requirements for delivering loan data in accordance with the Freddie Mac IG-LD. Once the MISMO-based loan delivery requirements become effective, Guide Form 11, Mortgage Submission Schedule, and Form 13SF, Mortgage Submission Voucher, will be retired and loan delivery data may only be imported to the Selling System using the MISMO XML loan delivery file format. ADDITIONAL INFORMATION REGARDING THE UNIFORM MORTGAGE DATA PROGRAM, DELIVERY SPECIFICATION AND FREDDIE MAC IG-LD Additional information about the Uniform Mortgage Data Program, the Delivery Specification and the Freddie Mac IG-LD can be found in the Uniform Mortgage Data Program area on our web site at [http://www.freddiemac.com/sell/secmktg/uniform_mortgage.html](http://www.freddiemac.com/sell/secmktg/uniform_mortgage.html). CONCLUSION The Freddie Mac IG-LD provides unique Freddie Mac-specific loan delivery data implementation requirements in support of the Uniform Mortgage Data Program. Publication of our Implementation Guide is the next step in our efforts to improve data quality and offer Sellers greater confidence that the loan data they deliver to us is complete and accurate. If you have any questions about the Uniform Mortgage Data Program, the Delivery Specification, or the Freddie Mac IG-LD, please contact your Freddie Mac representative or call (800) FREDDIE. Sincerely, [Signature] Patricia J. McClung Vice President Offerings Management	<urn:uuid:ee29cd68-94f8-4d7c-becc-af4ebe41cffd>	CC-MAIN-2018-17	http://www.freddiemac.com/singlefamily/guide/bulletins/pdf/bll1015.pdf	2018-04-26T21:18:09Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-17/segments/1524125948549.21/warc/CC-MAIN-20180426203132-20180426223132-00269.warc.gz	422,383,140	1,179	eng_Latn	eng_Latn	0.964081	eng_Latn	0.963933	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	docling	[ 2321, 5188, 5827 ]
Data Protection Impact Assessment (DPIA) - Full Assessment (updated 160621) Guidance for the Project Manager and Sponsor Use the pre-screening template first. If that shows a high risk in processing the data then you must carry out this full DPIA. Do not complete this form unless you have already completed the pre-screening and it shows high risk and the DPO as advised you to do a full DPIA. The Data Privacy Impact Assessment (DPIA) will enable you to systematically and thoroughly analyse how your project or system will affect the privacy of the people whose data you are dealing with and show how you will minimise the privacy risks. This template has been designed to incorporate the legal requirements of the General Data Protection Regulation (GDPR) and the Data Protection Act 2018. Conducting a DPIA is a legal requirement under the GDPR particularly if the proposed processing is using new technologies and poses a high-risk to people's data. Further information and guidance on the DPIA is also available on the ICO website here: ICO's PIA code of practice and the Article 29 Working Party here. GOVERNANCE ARRANGEMENTS This DPIA will be submitted to the Corporate Information Governance Group (CIGG) and the advice of the Data Protection Officer (DPO) will be sought as part of that process. You must keep the signed DPIA and all supporting documents with your project file for audit purposes. 1. PROJECT SUMMARY 1 High Level description of the Project: * Explain what this project is in plain language. For example: "We would like to share data with a third party so that they can carry out research into how to improve people's access to benefits."] * Attach the pre-screen DPIA. The conclusion to that will explain why it is necessary to carry out this DPIA. This project, part of the service transformation in Camden Integrated Early Years, will increase the universal service offer for families with children in their first 1001 days. The new service model includes the introduction of the Parent Child Psychological Support (PCPS) programme for Camden families. The PCPS programme was developed by Professor Cerezo, Chair of Psychology at the University of Valencia, who holds the property rights for the programme which focuses on supporting child development and the quality of the of the parent child relationship. There is a significant, and growing, body of evidence that shows that children who have an attuned relationship with their principle care giver, often the mother, will develop a secure attachment. Achieving a secure attachment in early childhood creates greater resilience to cope with challenges throughout the life and reduces the incidence of school exclusion, youth offending and mental ill health. The PCPS programme will be delivered by clinicians who already work in partnership with the Integrated Early Years' Service in Camden. These will be Council children's centre staff, Health Visitors and Nursery Nurses employed by CNWL and Psychologists employed by the Tavistock and Portman NHS Foundation Trust. Dr Cerezo, through the Institute of Psychology for children and families (IPINFA) at the University of Valencia, will provide training and support for the delivery team and the analysis of video footage of the parent-child relationship recorded at clinic sessions. The data sharing that will take place is the sharing of video footage of parents interacting with their children during their regular appointments at the PCPS clinics delivered in Camden's children's centres. The recorded interactions are analysed and 'coded' by the Psychology team in IPINFA to inform the conversation with parents about their responses to their child and to support the quality of the parent-child relationship. The conversations are strengths based and will explore early communication and interactions that babies share with their parents. The aim is to support parents to respond sensitively to their babies' cues and signals, thereby developing a secure relationship in the early weeks and months of life. Studies undertaken in other areas that have offered PCPS show a marked improvement in the percentage of children who achieve a secure attachment by the time they are 18 months old. The programme is universal and will be implemented across Camden taking a phased approach. The objective is for all families to engage with the programme; the take up rates in other Countries that have run the programme (Spain and Ireland) have reached a 70% coverage. Data on take up from families with different protected characteristics will be shared with IPINFA for research purposes but this will be at a level such that it will be anonymised. 2. DESCRIPTION OF THE PROJECT Include here a plain English description of: * the Project (set the context so that it is clear what you want to do) * what will be done with the data (the processing activities) * the reasons why you need to process the data (the purpose) * the benefits that this project will provide * how the data will be processed (for example, who will carry out the processing and will they use software or other devices to do it) * how will the data be stored? * where have you obtained the data from? * How long will you be processing the data for and how often? For example, once a week for six months. * What is the volume of the data? For example, 150 records of service users. The programme and its benefits Camden is transforming its Early Years' Service to have a greater focus on the first 1001 days of a child's life (pregnancy to age 2). This is in response to a growing body of research evidence that demonstrates that if a child has already fallen behind by the time they are two years old they are more likely to fall further behind than they are to catch up. Furthermore, there is strong evidence for effective prevention and early intervention in the First 1001 days. The Early Years' Service has researched different approaches and sought expert advice and has determined that the PCPS programme developed by Dr Cerezo to be the approach most likely to deliver improved outcomes for children in Camden. The programme is gaining increasing interest in the UK and has been presented to the Government's 1001 days review team who visited Camden as part of their evidence gathering. The programme is consistent with the Healthy Child Programme currently delivered by Health Visitors in England and represents an enhancement to it rather than a new 'bolt on' service. PCPS will therefore be delivered by Health Visitors and Nursery Nurses. Health Visiting services are commissioned by Camden Public Health under a section 75 partnership agreement, and Psychologists whose additional time will be commissioned for the first phase from the Tavistock and Portman NHS Foundation Trust, the current providers of Child and Adolescent Mental Health Services (CAMHS) in the borough. The programme administration will be undertaken by the Council's children's centre teams. The PCPS programme consists of 6 clinics, when babies are 3, 6, 9, 12, 15 and 18 months. Each clinic consists of 4 'stations'. * Station 'A' is the welcome and administration, carried out by an Administration Officer, a Camden's Early Years' service (children's centre) employee, Station 'B' is a physical development review (weight, height etc) undertaken by a Nursery Nurse, * Station 'C', is delivered by a Health Visitor, and is a cognitive development review which involves the baby being invited to 4 participate in age appropriate activities, such as stacking blocks. During station 'C' the parent and child are left to have free play together for a few minutes during which their interactions are recorded on video, with the parent's consent. The video footage is then analysed and 'coded' by psychologists at IPINFA who are experienced in the programme; the resulting analysis informs part of the conversation at Station 'D' at the next visit. * Station 'D' is led by a Clinical Psychologist from the Tavistock & Portman NHS Foundation Trust. Where implemented in other countries the programme has demonstrated significant increases in the percentage of children who display secure attachment at 18 months. See diagram below. What will be done with the data? The Health Visiting Service in Camden, provided by CNWL, holds child health records for all Camden children. There would be significant risk in creating a separate child record of their engagement with the PCPS programme and so it is proposed that the data collected at PCPS clinics be integrated into the child health record on the CNWL records system, called Systm1. If the fields are configured correctly it will be possible to report on the take up of PCPS and the outcomes of the programme using similar measures used in other areas. Anonymised take up data will be shared with IPINFA. Internal users: Families' personal information would be recorded on Systm1. All information gathered during the sessions in Station 'B', 'C' and 'D' will be recorded on a paper form by the Administrator, Health Visitors, Nursery Nurses and Clinical Psychologists, then transferred onto Systm1. If Systm1 will not be configured for the PCPS data at the launch date of the programme, the information will be kept in paper form, stored in a secure cupboard at the venue until ready to be recorded on Systm1. All data will be stored and retained in accordance with the council's current data protection and retention procedures. It is proposed that the video footage would also be held on a PCPS-Early Years Teams site, hosted by the Council. This footage will be saved using a Family ID and date, no sensitive data will be linked to the video recording. External users: The Psychologists from IPINFA will analyse the footage, timestamp and 'code' the parent-child interactions. For this, they have historically used a bespoke specialised video player application that creates a text file with the time and a code for each marked interaction. As this application is not capable of directly reading video recordings stored on a MS Teams site; - a read - and download - write access to the PCPS-Early Years Teams site needs to be given to the psychologists from IPINFA. This access is permitted in the MS environment under a "guest" account. Guest account access will be managed by Business Manager and any amendments will require authorisation of the Early Years' Service Operations Manager. The above set up for the external users will only be required during the pilot and "training" period (first phase) following which the CAMHS Practitioners will take over the coding of the video footage and the guest access to the IPINFA team will be removed. Expected date: June 2022. Frequency and volume of processing The programme will be offered to all Camden families on the birth of a new baby. Camden has approximately 2,500 new births every year and in order to invite each baby for 6 appointments between 3 and 18 months, PCPS clinics will be operating in the 5 Children's Centre localities on an almost daily basis. Parents will be invited to participate in the PCPS programme and will be asked to give informed consent to participate in the programme and the video recording. Parents are offered an introductory visit prior to the first 3 month appointment. Types of personal data to be processed and data flow map(s): Personal data: List the types of data that you intend to process and the types of data subject (for example, names, addresses of residents, service users etc): * Refer to this guidance to assess what is personal data: https://ico.org.uk/for-organisations/guide-to-the-general-data-protectionregulation-gdpr/key-definitions/what-is-personal-data/ Data will form part of the child health record held in CNWL. The data that will be shared is: * The video footage of interactions between parent and child * A number or code assigned to a piece of video footage of a parent and child interacting together which relates the video footage to the child. * CNWL, Early Years Service and Tavistock practitioners and managers will have access to Systm1 records to enable the team to work with families, and for the purpose of consultations, clinical supervision, professional development and training * Summary PCPS Data collated from Systm1 will be shared with IPINFA for supervision, consultation and evaluation. Special category data: List the types of special category data and the types of data subject: * Refer to this guidance to assess what is special category data: https://ico.org.uk/for-organisations/guide-to-the-general-dataprotection-regulation-gdpr/lawful-basis-for-processing/special-category-data/ * Any criminal convictions data? The discussions held in station 'D' may cover aspects of a parent's mental health. The Clinical Psychologists will add information gathered in station 'D' to the child health record held in Systm1. Data Flows: * You may find it useful to use a flowchart, which you can attach at Annex A. * The flowchart should show, for example: Data entry and exit points, location, user categories, data subject categories Station A (Administration Officer) [x] Demographic information [x] Recorded in Systm1 [x] Contact information Station B (Nursery Nurse) [x] Physical development information [x] Recorded in Systm1 Station C (Health Visitor) [x] Cognitive development information [x] Recorded in Systm1 [x] Video footage - stored on MS Teams site, with the file name consisting of Family ID and the date of recording * All video footage downloaded in Spain for analysis and feedback Station D (Clinical Psychologist) [x] Parent-child attachment [x] Plus information received from Spain about the previously recorded parent-child interactions [x] Parental Mental Health [x] Recorded in Systm1 3. DATA PROTECTION PRINCIPLES This section demonstrates how the project meets the data protection principles. * How will you make sure that you only process the data that is necessary and proportionate for the purpose of the project, and no more than is necessary? The data collected as part of this project will be added to the child health record held on Systm1. Much of the information recorded will be the same as that collected and stored as part of the current health visiting service. The video footage will be held on the PCPS-Early Years Teams site hosted by the council. The video footage is additional data and will be used only to inform a conversation with parents about the relationship with their child. * If the data was originally collected for one purpose and you intend to use it for another purpose, explain how you will inform the data subjects. As stated in the PCPS consent form; * Integrated Early Years Service and Central and North West London NHS Foundation Trust: https://www.camden.gov.uk/privacynotices-ieys Details about how services will collected personal information about the families can be found in the privacy notices: * Tavistock and Portman NHS Foundation Trust: https://tavistockandportman.nhs.uk/care-and-treatment/your-personal-information/ The consent limits the use of the video recordings to those specified by the parent/s. If at a later date the service would like to use the recording in any other way, we will seek parent/s specific permission to do so. * How will you make sure that the data is kept accurate and up to date? Data will be updated at each clinic appointment as is the case with current child health records. * How long will you keep the data for and how will you destroy it at the end of the retention period? Data will be retained and destroyed in line with the council's and CNWL's current data retention policy. IPINFA will not retain personal data. The Tavistock and Portman NHS Foundation Trust will retain psychologist records in line with their retention policies which are acceptable to the council. * Have you cleared the information security arrangements with the Information Security Manager? YES * Record the Information Security manager's comments here: 4. BASIS OF PROCESSING * Which legal basis in Article 6 are you relying on? See this guide to help you identify the legal basis https://ico.org.uk/fororganisations/guide-to-the-general-data-protection-regulation-gdpr/lawful-basis-for-processing/ * If you think you need to rely on legitimate interests then ask the Information and Records Management Team for advice. * If you are processing special category data, you will also need a legal basis under Article 9 to process this. See this guide to help you identify the legal basis https://ico.org.uk/for-organisations/guide-to-the-general-data-protection-regulation-gdpr/lawful-basisfor-processing/special-category-data/ * If you are processing criminal convictions data or data for law enforcement reasons then you should speak to the Legal team as you need an additional legal basis to do this. Pat Keane's comments have been incorporated in the DPIA and he is happy with the proposals Basis for processing under Art 6 (and Art 9 if special category data): Our lawful basis for the Health Visitor interactions will be Art 6 (1)(e) 'Public task' and art 9(g) substantial public interest with the DPA18 schedule 1 part 2 condition being statutory and government purposes and (h) health or social care with the DPA18 schedule 1 part 1 condition being para 2 health and social care purposes which is the same as for all existing health visitor interactions. The additional processing by videoing parents and children, storing that, sharing with IPINFA, their processing of it, and discussions between parents and psychologists will be based on explicit informed consent under art 6(1)(a) and 9(a). 5. DISCLOSURES OF DATA Will you be transferring/ sharing/giving this data to a data processor or a sub-processor? YES CNWL under a section 75 partnership agreement, and Tavistock and Portman NHS Foundation Trust and Institute of Psychology for children and families (IPINFA) at the University of Valencia through contracts. CNWL and Tavistock are existing known and trusted partners commissioned by the Council. IPINFA has been subject to due diligence checks. * Tick here to agree that you will be entering into a data processing agreement with them [ √ ] * Will you be sharing data with any other third party? NO * List the third parties that you propose to share with: * Tick here to agree that you will be entering into a data sharing agreement with the third parties [ ] 6. TRANSFERS OF DATA OUTSIDE OF THE UK See a list of countries here: https://www.gov.uk/eu-eea Will any personal data be processed outside of the UK? YES If your answer is yes, you must consult the DPO straight away, and see the guidance here: https://ico.org.uk/for-organisations/guide-to-the-general-data-protection-regulation-gdpr/international-transfers/ If there WILL be a transfer out of UK enter comments of the data protection advisor: The transfer will enable IPINFA to view the videos in their Spanish offices, by accessing the shared teams site. Spain is in the EU and therefore under GDPR. Given that and the level of processing, this is considered to be acceptable. 7. DATA SUBJECT RIGHTS AND COMPLIANCE WITH CORPORATE POLICIES Information in Camden contains the Council's policies and procedures on data protection compliance, including how to respond to requests from people to enforce their rights under data protection law. The term 'Video footage' referred to within this DPIA means; 'CCTV audio and visual recordings of a child's early year's relationship with their principle care giver." The council's CCTV policy amended to include in its objectives, justification and purchasing, CCTV usage specific to this task and made mention in sections 1.2, 2.1, 5.1 and 5.7 of the policy. The CCTV systems used within Children Centres for this specific task will fall under the same governance as the council's central CCTV control room in relation to: Equipment being maintained within the council's CCTV installation and maintenance contract Privacy Impact Assesment has been completed Operational Requirement has been completed * You must comply with the requirements in Information in Camden. Tick here to agree that you will be complying with IIC on Data Subject Rights [ √ ] If there is a reason why you cannot do this, please explain why here: 8. CONSULTATION WITH INTERESTED PARTIES Is one of the outcomes of your project going to make a change which will have a direct effect on data subjects?, For example: introducing CCTV into a library? If so, contact the Information and Records Management Team for advice at [email protected] about whether you need to consult with stakeholders. Record the comments of the data protection adviser here: No consultations required 9. RISK ASSESSMENT AND MITIGATION Risk is a combination of impact- how bad the effect of the risk would be- and probability – the likelihood of the risk happening. Risk is assessed from the perspective of the data subject (as opposed to risk to the Council) and what the impact could be on them as a result of the proposed data processing. For each of the risks you identify: . 1. think about how likely they are to occur and categorise them according to Table 1 in the appendix (e.g., rare, unlikely etc) . 2. Then consider the impact each risk will have and categorise them according to Table 2 in the appendix (e.g., minor, moderate etc) 3. Then look at Table 3 and see the risk level. Where the level says mitigations are needed, think about what these will be and how they will reduce the risk level down. 4. Enter the details in the grid below There is more information on the council's approach to risk here https://lbcamden.sharepoint.com/sites/intranet/finance/Pages/Risk_Management.aspx 10. OVERALL RISK RATING FOR THE PROJECT AS A WHOLE ONCE THE MITIGATING MEASURES HAVE BEEN PUT IN PLACE: ANNEX A: ANNEX B Risk Assessment Tables Table 1 Likelihood of Risk Occurring Table 2 Impact of Risk if it occurs Risk Assessment: Table 3 Annex C: Any DPO Advice or comments not included above I have reviewed this amended document and remain content that this processing is in all the circumstances acceptable Andrew Maughan Borough Solicitor and DPO	<urn:uuid:740798f3-cc03-43a5-b5c0-0741543743eb>	CC-MAIN-2023-40	https://contact.camden.gov.uk/documents/20142/0/Early+Years-+Parent+Child+Psychological+Support+Programme.pdf/6a4b7b4f-c970-048e-88b9-ef57d4a86ae0?t=1631273573161	2023-09-28T21:38:04+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-40/subset=warc/part-00154-7aa0a1e5-33a6-434b-89a2-950f294b40c1.c000.gz.parquet	200,845,482	4,647	eng_Latn	eng_Latn	0.930645	eng_Latn	0.997677	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "swe_Latn", "unknown", "eng_Latn" ]	false	rolmOCR	[ 1437, 3026, 5022, 7520, 8706, 10762, 12421, 13169, 13850, 15937, 17044, 18783, 20199, 21669, 21857, 21962, 22078, 22104, 22321 ]
Meeting Minutes Island County 2% Joint Advisory Board Whidbey and Camano Islands Tourism February 10, 2022 Zoom, due to COVID-19 Quorum: x=members present \| Mayor Scott Chaplin x \| Com. Melanie Bacon x \| \|---\|---\| \| Alanah Johansen x \| Gregg Lanza x \| \| Dianne Binder x \| Max Lindsay-Thorsen x \| \| Janae Cameron \| Jessica McCready x \| \| Vicki Graham \| Inge Morascini \| \| Lynda Eccles x \| Robyn Myers x \| In addition to the above members, guests also in attendance were: Christina Swan, Clinton Chamber of Commerce, South Whidbey Lodging Manager; Amy Bush, Camano Arts Association; Christina Swan, Clinton Chamber of Commerce Secretary. Jake Haupert, Transformational Travel Council. Sherrye Wyatt, Whidbey and Camano Islands Tourism PR & Marketing Manager and Film Liaison; Laura Hilton, Whidbey and Camano Islands Tourism special projects. Meeting called to order at 11:13 am by Vice Chair Chet Ross. 1. Adoption of Agenda – Jackie motioned, and Max seconded to accept the agenda. Approved with no objections. 3. Treasurer's Report and Invoice review - all invoices were approved at the management committee meeting. There were no objections to the invoices presented. 2. Approval of January 2022 Minutes -Jessica motioned, Gregg seconded to approve the minutes. Approved with no objections. 4. Old Business: None a. Management Committee Report- everything discussed is on the agenda. 5. New Business: b. Transformative Destinations Presentation by Jake Haupert, President and Founder of Transformational Travel Council. Jake walked the committee through the process for training and implementing the program. The full monthly tourism report is presented here: c. PR Media Report: TOURISM REPORT FEBRUARY 1, 2022 SHERRYE WYATT PR & WRITING State of Washington Tourism (used to be named Washington Tourism Alliance) is the new brand being rolled out now. Here is a link to a presentation. We should be receiving more assets and recommendations on how to integrate into our own branding soon. We also expect to hear news on funding that is to be awarded through the state. Here is a press release about the new brand: https://industry.stateofwatourism.com/washingtontourism-alliance-unveils-new-brand/ and here is the new visitor facing website (used to be ExperienceWA.com) https://www.stateofwatourism.com/ We're seriously looking to see if Island County should join the TREAD Map App. Several of us attended a webinar held by State of Washington Tourism on the new TREAD Map App and are now seriously considering Island County participating, but I believe we all want to be sure we have the capacity to commit the time needed to launch and manage our role. We are going get our small trail guide out first and then move through the strategic planning If TREAD is a logical outcome of the strategic planning we will proceed. Go here for a recording of the presentation. Click here for an overview of TREAD Map App and what is needed to bring TREAD to our county. For more information, you can visit the Tread website or click here for the video and presentation of the app. Washington Filmworks is supporting legislation moving rapidly through the House and Senate to increase the incentive fund from $3.5 million to $20 million. Last week SB 5760 was voted out of committee and has been referred to Ways and Means. On Friday, January 28, HB 1914 was also passed out of the Committee on Community and Economic Development. The bill is now known as Substitute House Bill (SHB) 1914. Next hearing is Thursday, Feb 3. You may sign in to PRO here. You may circulate this ACTION ALERT and let everyone know that the deadline to sign on to the Business Letter of Support is Wednesday, February 9th. Sherrye has now testified before Senate and House committees to share the positive impact of film on rural communities and tourism. One example of film's recent economic contribution is the movie Midday Black, Midnight Blue filmed in Washington state. During a 21-day film shoot, over $48,000 spent in hotels in Coupeville, Oak Harbor, & Langley - with 340+ Room nights. They utilized 67 different businesses on the island and 18.5% of their total Washington spend was in Island County. To learn more visit https://keepfilminwa.com/. We are considering applying this year for the Port of Seattle tourism grant. We have sat out of the application process 4 years. https://www.portseattle.org/programs/tourismmarketing-support-program 2 Sherrye presented an update to the Island County Commissioners on January 19 and updated them on the strategy for dealing with tourism related opportunities and issues head on in a community-based manner by working with the Transformational Travel Council. The first leadership team meeting in February. A longer report is coming to the committee and a place on the WhidbeyCamanos.com website will be developed to provide progress reports. OSBORNE NORTHWEST PUBLIC RELATIONS Monthly Overview We kicked off the year of 2022 with a focus on Transformational Travel planning, as well as interim plans for destination management in the first half of 2022. As the Transformational Travel program rolls out in Island County throughout the first half of 2022, our destination marketing team will maintain involvement in its development yet also stay focused on maintaining a strategic focus on brand management. With the ultimate task of maintaining hotel occupancy, we want to stay within the conversation of Pacific Northwest getaways as it relates to responsible travel. Themes like conservation and watchable wildlife, farm to table connections, arts and culture, exceptional alternative experiences, and support of small businesses will be among the key themes of our messaging. We will share these stories and messages within a limited number of channels, while also prioritizing transparency and communication with the community as the Transformational Travel and strategic plan inches closer. Project Management * Developed pitching materials with relevant and timeline storylines, upcoming events and winter travel news. * Developed communications strategy for launch of the Transformational Travel plan, as well as and interim PR planning for the first half of the year. * Managed ongoing media relations to ensure placement in winter travel roundups and travel pieces for early 2022 and spring/summer placements. * Managed an Instagram-based giveaway in partnership with Visit Langley to share and promote Mystery Weekend, resulted in strong engagement with both locals and tourists. * Participated in team planning calls and communication regarding the new Trail Guide to understand the project timeline and develop a PR plan to match it. Instagram Engagement * Follower count grew from 2,115 on December 23 to 2,150 on January 27; a growth rate of 1.65%. * Reposted influencer and local business content, and managed the community with likes, comments and interaction on the @GoWhidbeyCamano Instagram page. Maintained goal of 2-3 posts per week, with stories posting on an ongoing basis. Media Visits * Suzanne Stavert, April 23-25; influencer at Empty Nest Travel blog and @SuzanneStavert, is visiting for a girls weekend; this is a non-hosted trip, but we may collaborate on visits and content to promote via her channels. * Molly Amber, February, 25-27; contributor to Seattleite and influencer @MollyWandersandEats and @MollyWandersTheWorld; will visit for Mystery Weekend, plans to share event details in advance on her channels. * Megan Hill, May 15-16; contributing writer for Eater Seattle and Food + Travel Magazine, is planning to visit Captain Whidbey Inn for future consideration in her outlets. Visit date tentatively set for o Kelly Stilwell, influencer and travel blogger at Food, Fun and Faraway Places, is planning a visit to cover Washington's islands for her blog and social channels. * Spring 2022; the following media visits are in the process of rescheduling, with additional anticipated: o Sara Franklin, RESCHEDULED/Postponed for Spring 2022, freelance writer with Travel + Leisure to cover the food and drinks, culinary culture of Whidbey Island. * Mary Rose Denton, writer for Welcome Snohomish County, will include dining options in Langley and Coupeville in an upcoming issue slated for spring/summer of 2022 Pending Press * Meetings News NW, will include the islands in a roundup of destinations in an upcoming issue * Stephen Fennell; managing editor for SunCruiser West Coast, coordinated information and updates for boaters and photos of Oak Harbor Marina for an upcoming destination boating piece in the annual guide (publishing in early 2022). * Northwest Travel & Life Magazine is planning to feature Langley in an upcoming article featuring coastal spa retreats, slated for March/April. * Jean Chen Smith, writer for the USA Today Syndicate which publishes to Yahoo News, MSN, and a number of daily papers throughout the country, is planning to feature Ciao Food & Wine's meal kits for an upcoming Valentine's Day Gift Guide. Publishing date TBD. * 1889 Magazine, will be featuring Blooms Winery's flowers and 5511 Bistro in an upcoming issue slated for April/May Press Highlights include 7 pieces of coverage with an estimated 9.44 million impressions. To view the coverage in full go here. COMPUTERPIX ROI The 2021 overview of Book Direct shows an ROI of 25.8 or 2580% return on what tourism spent. A chart is at the end of this report. Based on a study done by DMA West, the Whidbey and Camano Islands Tourism website had an economic impact in Island County of $13.36 million in 2021. A graphic is at the end of this report. A Downturn/We're Not Alone This chart shows day by day traffic to the site as measured by Google Analytics. The peaks are the newsletters that have links back to the website. This winter has been quieter than usual, and several charts show that. First, traffic to the website between December 1 and January 27 is down 15.9%. Even the main way people find the website, Organic Search, was down 17.7%. The chart on the next page from Datify shows the daily number of visitors (7-day average) from off-island visitors. Finally looking at lodging referrals from the website via Book Direct, the period from December 1, 2021, to January 27, 2022, saw 792 referrals. That same period, but a year earlier saw 854 referrals. That's not a significant drop, but is nevertheless, a drop. You can see 2021 started strong but started fading in September and really dropped in early November. Finally, searches for Whidbey Island or Camano Island—traditionally low in the winter months—are at near-record lows. Searches specifically from Washingtonians, did reach a record low. Our drop well correlates to the spread of the Omicron variant of COVID. But in November, there's an additional drop relative to other years and it correlates well with the reduction in ferry service. But it also could be the impact of the wet weather, power outages, etc. We're looking at the numbers further to see if we can tease this out more clearly. The good news is, according to people at Datify, they're seeing a similar drop in other locations besides us. Is it over? The latest email was sent on January 27. It returned to a format that spotlights events and features a story about winter activities on Camano Island. Since it went out just a day ago (as of this writing), we're still gathering data on it. Let's finish on an up note. The last week—January 21 – January 27, Google Analytics showed an improvement in the number of website visitors over last year of 31%. Email https://mailchi.mp/whidbeycamanoislands/which-amazing-season-is-overlooked-bymany-camano-island-visitors-and-time-is-running-out-on-our-latest-travelgiveaway?e=[UNIQID ] 7 8 d. 2022 Leadership elections , Gregg moved to approve the following slate for 2022: Commissioner Melanie Bacon, Chair, Chet Ross- Vice Chair, Robyn Myers - Secretary, Jessica McCreedy – Alternate Secretary, Dianne Binder – Treasurer. No dissents and the new leadership was approved. 6. Chamber Round Table: b. Oak Harbor- they are rebuilding their popular windmill, working with county on airport use and the music festival for 2022 is being planned. Main Street will have lots of activities in the spring, including a Sasquatch Walk. a. Camano- Glass Quest preparations are in full swing. Currently have 143 members, which is a very robust number for their chamber. Cama Beach mentioned visitor ship and occupancy has been very high. c. Coupeville-they launched a new website. Chocolate Walk is this weekend and is sold out. Musselfest ticket sales are popular. No new ferries will be available until 2025. e. Langley - Mystery weekend is happening later this month and is very popular. Blue Heron canoe family with tribal representatives are coming in July. d. Freeland- discussion continues around July 3 fireworks. Blueberry festival is planned in July with more off island bands. 7. Adjournment Next regular meeting is to be communicated via email. Meeting minutes recorded by Robyn Myers and reviewed for submission by Jessica McCready. Meeting adjourned at 12:50 pm.	<urn:uuid:f6555582-ea1f-490f-addd-912124189da5>	CC-MAIN-2025-08	https://whidbeycamanoislands.com/wp-content/uploads/2022/03/2.10.22-Meeting-Minutes.pdf	2025-02-09T04:29:15+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-08/subset=warc/part-00076-b184e832-acd1-425a-bab7-895830f2748a.c000.gz.parquet	583,730,954	2,906	eng_Latn	eng_Latn	0.995799	eng_Latn	0.997805	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "unknown", "eng_Latn" ]	false	rolmOCR	[ 1748, 4883, 7495, 9634, 10523, 11777, 11780, 11783, 13165 ]
Public Safety Institute Emergency Medical Technician (EMT) The Emergency Medical Technician (EMT) course prepares students with knowledge and skills to provide basic level emergency care in a pre-hospital setting. Aligned with the National Education Standards for AEMT as approved by the PA DOH (Pennsylvania Department of Health). Students will learn: Emergency care for cardiac arrest Trauma emergencies Oxygen administration Medication administration Class Requirements: - Students must be at least 16 years of age. - Attend a mandatory Haz-Mat awareness class. - Complete the FEMA independent study course for NIMS-100 & NIMS-700. - Students must obtain, at their own expense, a physical examination from a physician and blood screenings (PPD, rubella and Hepatitis B- antigen and antibodies). Required to begin clinical requirements. - Students must obtain, at their own expense, the following: Pennsylvania Child Abuse History Clearance (Act 33), Pennsylvania State Police Request for Criminal Records Check (Act 34) and FBI Criminal Background Check (Act 73). - Completion of 10 patient contacts in approved setting prior to the final course date. - Students must be able to meet all requirements for the Functional Position Description for EMT. The course includes classroom sessions, skill labs, and required clinical rotations in hospitals and ambulance services. Call 412-237-2500 if you need the Functional Position Description or ADA Accommodation Policy. - For further information call 412-237-2500 or email [email protected] Spring Class Schedule & Site Addresses for McGonigle Ambulance EMT Program Start Date: January 28 th , 2019End Date: May 18 th , 2019 Days/Times Monday & Wednesday – 6:00-10:00 p.m. 6 Saturday Classes Location: McGonigle Ambulance Service 1615 East State Street, Hermitage, PA 16148 Fee: $625 (Out of State $650) Price includes book and online enhancements Medical emergencies Patient assessment techniques EMS Operations Pharmacology for emergency care Geriatric emergencies Medical Terminology Pediatric emergencies	<urn:uuid:abb668d8-c42e-4168-b22b-e10b9c3fdf95>	CC-MAIN-2019-13	http://emmco.org/Documents/Ad%20Public%20Safety%20Institute%20EMT%202019%20McGonigle-Revised.pdf	2019-03-21T20:36:09Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-13/segments/1552912202572.29/warc/CC-MAIN-20190321193403-20190321215403-00489.warc.gz	59,997,101	448	eng_Latn	eng_Latn	0.968989	eng_Latn	0.968989	[ "eng_Latn" ]	false	rolmOCR	[ 2084 ]
The Litya watering them with ... Musical setting © 2020 Fr. Simeon and Mat. Beth Johnson \| Text © 2020, Orthodox Church in America Permission to Copy for Liturgical use only. All other rights reserved. Tones 2 & 6 The Litya Kuskokwim Chant ‐ Tone 6 ~ pg 2 ~ Kuskokwim Chant ‐ Tone 6 arr. from Abb. Kievan Chant We bless thee, O Virgin ... Tone 6 ~ pg 4 ~	<urn:uuid:5b2b429a-bd60-4f8f-ace3-bd92f616ef11>	CC-MAIN-2021-31	https://stnicholasjuneau.org/wp-content/uploads/2020/10/08-10-06-Lity-AK-2-6-tt.pdf	2021-07-27T19:11:50+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-31/subset=warc/part-00224-a23f1677-939c-4b0d-b187-713170151123.c000.gz.parquet	562,279,491	170	eng_Latn	eng_Latn	0.908503	eng_Latn	0.835998	[ "eng_Latn", "unknown", "eng_Latn", "unknown" ]	false	rolmOCR	[ 204, 264, 348, 366 ]
Forest Hills School District Parent Responsibility for Student Placement Student's Name: _______________________________ Grade Level: ___________ Waiver Philosophy A waiver is a contract between the student and parent(s) and the School District. It provides a placement, which supersedes the teacher-recommended level. The student may pursue such a contract. This action carries with it responsibility and accountability. Thus, abuse of the waiver system will have consequences. Neither curricular content nor performance expectations of a course will be deleted or diminished to accommodate waivered students. Student Responsibility and Accountability If a student is experiencing difficulty in a class into which he or she has waivered, the following actions must take place prior to a request for a change of schedule. * The student must exhibit active participation in the class by doing homework, taking notes and giving effort in line with ability. * The student must seek help outside the normal classroom setting if difficulties continue. Tutoring by the teacher, other teachers in the school, parent volunteers, peer tutors, and paid tutors must be considered. * The student must consider the effect on his/her schedule, grade transfers and staffing limitations prior to requesting a schedule change. * A student who signs a waiver contract for a course cannot make a schedule change involving that course during the first 15 days of the course. * If a student does withdraw from a course (after the 15-day waiting period) for which a waiver contract has been signed a "WF" will appear on the official high school transcript. NOTE: If a student withdraws after the 15 days, they may not be able to transfer into another course. This could impact graduating from Forest Hills on time. Appeal Process The student has a right to appeal for a reduction or elimination of the waiting period in extraordinary circumstances. The decision to hear the appeal rests with the building principal. If the appeal is heard, a building review committee is convened. The decision of the review committee is final. Recommended Course: ________________________ Requested Course: ___________________________	<urn:uuid:079ea3df-d948-4541-b767-b8f32b2f2248>	CC-MAIN-2023-23	https://www.fhrangers.org/cms/lib/PA01001569/Centricity/Domain/104/Waiver%20Form.pdf	2023-06-07T12:13:31+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00168-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	824,260,064	420	eng_Latn	eng_Latn	0.999131	eng_Latn	0.999131	[ "eng_Latn" ]	false	rolmOCR	[ 2223 ]
JOIN US FOR the Family Entertainment Showcase and enjoy family-oriented fun throughout the summer. These events provide an ideal opportunity for families to build ties of aﬀection, support, teamwork and common interests. All activities are free, including movies, children's entertainment and a variety of concerts. For the enjoyment of all and pursuant to the Cerritos Municipal Ordinance 9.48.030(p), dogs, cats or pets are not allowed in the park during special events and concerts. In addition, pursuant to the Cerritos Municipal Ordinance 9.49.020, smoking, including electronic cigarettes, is prohibited within the boundaries of all City of Cerritos public park facilities. For additional information, please call the Recreation Services Division at (562) 916-1254. MONDAY NIGHT AT THE MOVIES Liberty Park - 8:15 PM Bring a blanket for seating. Finding Dory Rated PG Trolls Rated PG Middle School: Rated PG The Worst Years of my life Zootopia Rated PG Pete's Dragon Rated PG Secret Life of Pets Rated PG July 10 July 17 July 24 July 31 august 7 august 14 July 18 July 25 august 1 august 8 TUESDAY Family Nights Showtime - 6:30 PM pre-show ACTIVITY - 5:45 PM Frontier Park Abbit the Average Sunshine Park Disc Dogs Friendship Park Fantastick Patrick Westgate Park Mae' Ole Hoku Polynesian Dance Frontier Park Ranger Jack Sunshine Park Buster Balloon Please Note: There are no restroom facilities at Friendship Park and Sunshine Park WEDNESDAY Little Kids' Big Show pre-show activity - 6 PM Liberty Park - 6:30 PM July 12 Michael the Juggler July 19 July 26 august 2 African Drums Magic of Arty Loon Prehistoric Pets Franklin Haynes Marionettes Native American Tribal Dance and Culture Thursday concerts under the stars Heritage Park - 7 PM July 6 July 13 July 20 august 3 august 10 July 27 august 17 Yard Sale Classic Rock Basix Top 40 Abbey Road Beatles Tribute In Contempt Motown The MVPs Rock/Top 40 The Late Night Band Pop Stone Soul Soul and Blues Friday concerts in the plaza Liberty Park - 6:30 PM July 14 Mike Sullivan Acoustic Rock Oak and Gorski Cello Rock FAMILY ENTERTAINMENT SHOWCASE LOCATIONS CERRITOS PARK EAST 13234 E. 166th St. FRIENDSHIP PARK 13650 Acoro St. (No Restroom Facilities) FRONTIER PARK 16910 Maria Ave. HERITAGE PARK 18600 Bloomfield Ave. LIBERTY PARK 19211 Studebaker Rd. SUNSHINE PARK 19310 Vickie Ave. (No Restroom Facilities) WESTGATE PARK 18830 San Gabriel Ave.	<urn:uuid:09ae511e-658f-4f70-a625-5a78f430e86a>	CC-MAIN-2017-30	http://www.cerritos.us/_pdfs/family_entertainment_showcase_program.pdf	2017-07-20T16:38:25Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549423269.5/warc/CC-MAIN-20170720161644-20170720181644-00557.warc.gz	399,454,447	690	eng_Latn	eng_Latn	0.784477	eng_Latn	0.939036	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "fra_Latn" ]	false	rolmOCR	[ 779, 1089, 1485, 1748, 2036, 2157, 2495 ]
ENHANCED SELECTIVITY OF OXYGEN DELIGNIFICATION BY CHERRY AND GUAR GUM ADDITIVES AYŞEGÜL İSKEFYELİ, * HÜSEYİN KIRCI, * EVREN ERSOY KALYONCU and EMİR ERİŞİR * * Department of Forest Industry Engineering, Faculty of Forest, Department of Material and Material Processing Technologies, Arsin Vocational School, Karadeniz * Karadeniz Technical University, Trabzon, Turkey Technical University, Arsin/Trabzon, Turkey University of Applied Sciences, Pamukova/Sakarya, Turkey Department of Material and Material Processing Technologies, Pamukova Vocational School, Sakarya ✉ Corresponding author: E. Erişir, [email protected] Received May 16, 2024 Natural polysaccharide-based gums produced by plants in response to biotic or abiotic factors are used in various industries due to their biodegradability, renewability, biocompatibility, and non-toxic properties. This study examined the use of these gums in a new application, such as adding them to the delignification liquor to decrease the negative effects of radicals formed during the oxygen delignification of stone pine kraft pulps. For this purpose, the effects of sweet cherry gum, both with and without hydrogen peroxide reinforcement, and guar gum on oxygen delignification were examined in this study. The addition of both gums, up to a certain usage level, increased the selectivity of the reaction and protected the viscosity from oxidative damage, while causing only a limited reduction in the kappa number during the delignification process. However, it was determined that cherry gum, in hydrogen peroxide-reinforced oxygen delignification was relatively limited, but increased pulp strength properties and better bleached pulp could be produced. Keywords: oxygen delignification, cherry gum, guar gum, selectivity, chelating, environmentally friendly bleaching INTRODUCTION Several efforts have been performed to enhance the selectivity of oxygen delignification. These include optimizing process parameters, such as those discussed by McDonough, 2 Cao et al. 16 and Heiningen et al. 17 Both Samuelson and Otjeg, 18 and Danielewicz 19 investigated the pretreatment of unbleached pulp to improve its selectivity. Additionally, the use of additives to Due to environmental concerns, the pulp and paper industry is focusing on the development of alternatives to chlorine and chlorinated chemicals in the bleaching process. Oxygen delignification is widely preferred as an extension of the pulping or the first stage of bleaching, 1 with its benefits, such as the compatibility of the wastewater from alkaline oxygen delignification with the recovery process of kraft pulp production, the production of moderately bleached pulp, and its economic and ecological viability. 2-7 The lower lignin content achieved through oxygen delignification allows for a decreased amount of active chemicals needed for bleaching the pulp. 8 Although it is known to be intensively used industrially after the kraft pulp production process, its potential also extends to other pulping processes, including sulfite, of secondary fibre, and even annual plants. 6,9-11 The earliest phases of oxygen delignification exhibit adequate reaction selectivity, which subsequently diminishes because of radical formation, in the presence of transition metals (iron, copper, manganese, etc.). This leads to a competition between lignin removal and carbohydrate degradation after 50% delignification. 12 Therefore, commercial delignification should be terminated before the kappa number drops to about 40-50% for unbleached pulps. 13-15 . enhance the efficiency of oxygen delignification has been reported by Suchy and Argyropoulos, 20 Gaspar et al., 21 Peşman et al. 22 and Gümüşkaya et al. 23 The kinetics of oxygen delignification has also been investigated by Heiningen and Violette, 24 and Ji. 25 Cellulose protectants, such as phenol/MgSO4, 26 or ethoxy-based alcohol surfactants, 27 were also studied. The sweet cherry tree, known as Prunus avium L., is a tree species that has a broad geographic range in Western Asia, including Turkey and the Caucasus, and a major part of Europe. 29 According to FAOstat data for 2022, 454644 ha of cherry species were harvested worldwide. The tree is mainly cultivated for its nutritious fruits, but it is also used for landscaping purposes and wood production. Cherry gum is harvested from the trunks and branches of trees. Although cherry gum was initially used in technical applications, it was later replaced by gum arabic obtained from acacia for these purposes. As a result, it is no longer harvested or used for industrial The finding that there is a relationship between the hemicellulose content in the pulp and the selectivity of the reaction in oxygen delignification 28 has attracted considerable interest. The study concluded that hemicelluloses, particularly xylan, have the potential to act as protective agents throughout the process of delignification. Based on this research, Heiningen and Violette 24 proposed another hypothesis, that polysaccharide-based polymers like guar gum (GG) could produce a similar effect in oxygen delignification. Accordingly, it was concluded that aqueous solutions of homogeneously dispersed additives were unable to react with the radicals. Therefore, it is ideal for the additives to adsorb onto cellulosic surfaces, thereby creating a protective barrier against the radicals. Gümüşkaya et al. 23 found that plum gum (PG) applied in oxygen delignification could have similar effects to GG and that increasing its usage improved selectivity. One of the important findings of the study was in the crystallinity of the pulp, which increased with the use of gum. Heiningen and Violette 24 outlined the characteristics of an optimal additive for serving as a protective barrier, including the ability to adsorb on cellulose surfaces, forming complexes with transition metals, resisting oxidation by oxygen, adsorption at high pH levels, penetrating fibre pores due to its appropriate size and being compatible with the recovery process with costeffectiveness. applications today, and there is no recorded data on the annual global harvest. Although studies have shown that gums used as additives in oxygen delignification improve selectivity, research on the effects of polysaccharide-based polymers in this process is limited, and there are no studies investigating the use of CG to neutralize radicals during oxygen delignification. This research suggests that CG could have potential to improve mechanical properties of delignified fibers comparably to PG and GG. To explore this, the study separately examined how the addition of CG and GG affects the selectivity and mechanical properties of softwood kraft pulp during oxygen delignification. Additionally, the effects of CG reinforcement in hydrogen peroxide-enhanced oxygen delignification were also studied. Cherry gum (CG), as a by-product of the fruit distribution industry, is typically gathered during the off season. 29 Numerous studies have explored its use as an additive for various applications, including emulsifiers, stabilizers, thickening agents and edible coatings in the food industry. The phenolic content of the polymer varies depending on geographical location, meteorological variables, and harvest season. 30-33 In a study conducted by Shabani et al., 34 the gas chromatography analysis of CG identified the relative molar ratios of mannose (Man), arabinose (Ara), galactose (Gal), and xylose (Xyl) as 1.0:14.7:7.1:2.4, respectively. The concentration of uronic acids was quantified using spectrophotometry and found to be 11%. The molecular weight (Mw) of Prunus avium L. was calculated as 2.99 10 5 g/mol by Amarioarei et al. 30 EXPERIMENTAL Stone pine (Pinus pinea L.) was used for pulping. It is an evergreen tree of the Pinus genus in the Pinoidae subfamily. This species, known as 'stone pine' in English, 'pin pignon' in French, and 'pino domestico' in Italian, typically grows between 10 to 25 meters. Its natural range extends from Portugal and Spain to Anatolia, and from North Africa to Dalmatia. Indigenous to southern Europe and Anatolia, 35,36 it grows in both pure and mixed forests. The wood features distinct heartwood, variable annual rings, longitudinal tracheid and thin-walled epithelial cells and small transverse resin canals. 37 Raw materials After removing knots and defects, the pine logs were cut into 2-3 cm thick disks, which were then cut into 2-3 cm wide pieces for chipping. These pieces were further processed into 2-4 mm thick chips using hand tools. The chemical composition of the stone pine used in this study is described in a previous study. 38 Fresh cherry exudate gum was collected from the trunks and branches of the trees in spring in Trabzon, Turkey. The gum was stored under controlled conditions in a refrigerator to preserve its light colour and prevent excessive oxidation until it was used. GG in powder form was commercially obtained. All other chemicals were of analytical grade and were used without further purification. The dimensions of the wood fibre used in this study were morphologically determined in a previous study by Erişir. 39 According to this, the wood fibre has a length of 2.57 mm, a width of 37 μm, a lumen width of 22 μm, and a wall thickness of 6.5 μm. The slenderness ratio was found to be 69.45, the flexibility ratio – 59.45, and the Runkel ratio – 0.59. Pulping process The pH of the black liquor was measured following the delignification process. The delignified pulp was extensively washed with tap water using a 150-mesh screen until all black liquor was removed. The washed pulp was manually squeezed to ensure uniform moisture distribution, and each bleached pulp was placed in a plastic bag. The pulps were sealed and kept closed for 24 hours to allow for moisture equilibration. The optimum conditions for the oxygen delignification (OD) process without any additions were determined by optimization studies. For the gumreinforced delignification processes (ODC: CG reinforced OD, ODC+P: CG and H2O2 reinforced OD and ODG: GG reinforced OD), the gums were initially dissolved in distilled water (10 wt%) being introduced into the delignification liquor. The solution was mixed using a mechanical stirrer to ensure a clear solution. It was then purified by filtering through a 100-mesh metal sieve to remove any impurities. The kraft pulp method was preferred to produce bleachable pulp (Fig. 1). In the kraft pulping process, the active alkali ratio was 18%, the sulfidity was 25%, the temperature was 170 °C and the solid/liquid ratio was kept at 1:4. The pulping time was 90 min. The cooking process was carried out in a laboratory stainless steel rotary reactor with a capacity of a 15 L capacity, a pressure resistance of 25 kg/cm 2 , automatic temperature control, electric heating and the ability to rotate twice per minute. The reactor was filled and discharged by hand. The resulting pulp mixture was then discharged onto a 200 mesh (0.074 mm) washing screen and thoroughly washed with tap water. The washed pulp was disintegrated in a mechanical stirrer and then screened to determine the screened pulp yield, rejection rate and total yield. The screened pulp was dewatered and stored in polyethylene bags at 4 °C until further processing. Oxygen delignification processes were conducted in the same manually controlled reactor used for pulping. Temperature was controlled within the range of 1.00±0.2 °C by a digital processor system, which also featured a pressure control relief valve. The delignification was carried out under consistent conditions: a temperature of 90 °C, oxygen pressure of 7 bar, processing time of 60 minutes, 1% MgSO4 content and 12% pulp concentration. Each process used 100 g of oven-dried pulp. Once all inputs were mixed in the reactor, oxygen was introduced to the reactor at the room temperature via a hose. Table 1 provides a symbolic representation of the constant and variable parameters used in the experimental systems for oxygen delignification and its variations. Figure 1: Procedure to produce pulp exhibiting high properties Oxygen delignification process . Table 1 Experimental design and conventional denotation of oxygen delignification processes ODn: Oxygen delignification without any reinforcements; ODCn: CG reinforced oxygen delignification; ODCn+P: CG reinforced oxygen delignification, and ODGn: GG reinforced oxygen delignification Pulp characterization the yield of pulping and delignification processes: The following equations were used for calculating the kappa number and viscosity of oxygen delignified pulp, respectively. DP0 is the polymerization degree of kraft pulp, while DP1 is that of delignified pulp. Process yields of delignification (%) = D.E -1 (4) where A: the weight of dry pulp passing through the screen after the pulping process (g) – output; B: the weight of the dry chips used in the pulping process (g) – input; C: the weight of total pulp from the reactor after pulping process (g) – input; D: the weight of the dried pulp obtained after oxygen delignification (g) – output; E: the weight of the dried pulp obtained before oxygen delignification (g) – input. The kappa number and intrinsic viscosity (η) of the pulp were determined by TAPPI T 236 om-99 and SCAN-CM 15:88 standards (Scan Test Methods), respectively. The degree of polymerization (DP) of cellulose in pulp was calculated from intrinsic viscosity by applying the Immergut formula presented below: The process selectivity (S), delignification ratio (L) and the ratio of viscosity reduction (K) reduction for oxygen delignification were calculated according to the literature: 22-25,28 Preparation and characterization of handsheets Unbeaten and beaten pulp samples were used to produce handsheets. Results from each physical test conducted on the handsheets were recorded individually in terms of SR°. Values corresponding to 50 SR° were then computed through interpolation. The grammage and thickness properties of the handsheets were determined according to TAPPI T 410 om-88 and TAPPI T 411 om-89 standards, respectively. The handsheets were conditioned according to TAPPI T 205 sp-12 (2018) at 23±1 °C and maintained in a room with 50±2% relative humidity overnight before testing. The mechanical and optical tests listed in Table 2 were performed on the conditioned handsheets. Each measurement was carried out using ten handsheets. where K0 and V0 are the kappa number and viscosity of the pulp before oxygen delignification, K1 and V1 are Table 2 Mechanical and optical tests and standards applied to handsheets Mechanical and optical properties Standards After delignification, handsheets of approximately 60 g/m 2 of each pulp sample were prepared on a Rapid Köthen Sheet Making Machine according to TAPPI T 205 sp-12 (2018). Before preparing the handsheets, the pulp was initially exposed to a 2-stage beating procedure (TAPPI T 200 om-89 standard) in a Valley type beater for 9 and 12 minutes. The SchopperRiegler Freeness Tester was used to determine the degree of freeness according to the SCAN-C20:65 standards. Statistical analysis (one-way ANOVA) The data was subjected to statistical analysis using the one-way analysis of variance (ANOVA), with IBM SPSS version 11 software. If the simple analysis of variance indicated a statistically significant difference among the groups, the Newman-Keuls test was employed. RESULTS AND DISCUSSION Results of the pulping process To produce pulps intended for oxygen delignification, stone pine wood was chipped according to the standards and the chips were subjected to kraft pulping with 18% active alkali, 25% sulfidity, at a temperature of 170 °C and a solid/liquid ratio of 1:4. The properties of the pulps, such as viscosity, kappa number and yield, were assessed. The kappa number, a crucial parameter for process analysis in industrial settings, 40 is used to determine the required amount of chemicals for subsequent delignification and bleaching processes. 41 The expected kappa number for a bleachable pulp in pulping ranges between 25% and 55%. 40,42 After pulping, the kappa number of the pulp was found to be 32.1. On the other hand, the screened yield was determined to be 46.8%. MacLeod 43 and Segura et al. 44 have reported similar findings, highlighting the relationship between yield and kappa number in kraft pulping. An increase in kappa number indicates a higher amount of residual lignin in the pulp. This residual lignin also corresponds to additional hemicellulose retention due to the complex interactions between lignin and carbohydrates within the cell wall. Extending the pulping time to achieve a lower kappa number, particularly during the residual delignification phase, can negatively impact both yield and viscosity. The pulp viscosity was found to be 859.40 cm³/g, and previous studies have identified a relationship between pulp strength and viscosity. Alkali charge optimization of oxygen Kraft pulps were subjected to oxygen delignification with varying alkaline charge from 1% to 5% to determine the optimum alkaline charge for delignification. The other process parameters were closely aligned with those used in traditional mill scale application, including a pulp consistency of 12%, a reaction temperature of 90 °C, a reaction time of 60 minutes, an oxygen pressure of 7 bar, and the addition of 1% delignification MgSO4. Table 3 presents the results of the oxygen delignification process for the pulps treated with different alkali charge. Jafari et al. 48 and Li et al. 49 created a model to predict variations in the kappa number for different alkali charges. The model, which is based on the calculation of residual lignin and delignification rate, revealed a correlation between the alkaline charge and the experimentally observed delignification rate. Other studies demonstrated that increasing the alkali charge during oxygen delignification enhances lignin removal and increases cellulose degradation, despite the pulp concentration and time remaining constant. 50 The reason is that higher alkali levels intensify reaction conditions, leading to oxidation, fragmentation, and dissolution of cellulose molecules as smaller fragments, along with lignin. 51 The alkali charge has a direct impact on pulp characteristics. 45 The selectivity of the reaction decreases when oxygen delignification is carried out at a high alkali charge, 46 leading to significant losses in cellulose polymerization due to attacks on the carbohydrate fraction. 47 As shown in Table 3, as the alkali charge increases during oxygen delignification, both the rates of delignification and of viscosity reduction also increase, as expected. The rate of increase in the delignification decreased from 54.8% to 58.3% after using 3% alkali charge. Using additional alkali had a negligible effect on the amount of lignin removed, while viscosity losses of 8% or more were observed. Zhang et al. 52 reported that raising the alkali charge during the soda-oxygen delignification process led to a reduction kappa number and an increase in pulp brightness. Increased hydroxyl ion concentration typically plays a more significant role in promoting the depolymerization of cellulose rather than delignification during chemical processes. 53-54 In accordance with the literature, increasing the alkali charge up to 3% led to the removal of more than half of the residual lignin in the kraft pulp, while maintaining an acceptable reduction in viscosity. After evaluating the effect of alkali charge on both total yield and selectivity, the OD3 method was selected as baseline for applying gum and peroxide additions in this study. Table 3 Alkali charge optimization in oxygen delignification (viscosity and kappa number of stone pine kraft pulp were 859.4 cm 3 /g and 32.1, respectively) Reinforced oxygen delignification – effects of additives on chemical properties of pulps Initially, the addition of gums, which are water-soluble hemicellulosic substances with a low degree of polymerization, to the oxygen delignification process led to a decrease in the resulted kappa number, while viscosity and total yield exhibited only a slight increase. The kappa number, which was 14.5 for OD3, initially decreased with the addition of both gums, but then increased, particularly when the addition exceeded 3%. Numerous studies have indicated a correlation between pulp yield and kappa number, possibly due to the presence of covalent linkages between polysaccharides and lignin in the pulp. 55 The main research objective of the study was to investigate the effects of adding CG (1-5%) on oxygen delignification of kraft pulp, both with and without hydrogen peroxide reinforcement (0.5-4%). Additionally, the impact of adding GG was also assessed under the same conditions as CG, but without any additional reinforcement. The results of these processes are shown in Figure 2. It was observed that all treatments resulted in at least a 50% reduction in lignin content compared to the kraft pulp (with a kappa number of 32.1). Zou et al. 28 observed that pulps with xylan content are more resistant to delignification, but demonstrate greater selectivity compared to pulps with a low xylan level. The researchers attributed this effect to the reduced accessibility of lignin during oxygen delignification due to the higher xylan concentration. Additionally, the improved delignification ratio with gum additions may be explained by the reduced degradation of the linkages between polysaccharides and lignin. They are also responsible for the observed It is believed that, at high concentrations, the gums form a denser layer on the fibre surfaces. The molecular size of polysaccharide-based polymers, which allows them to penetrate the fibres, may explain the phenomenon. Consequently, they help preserve the benzyl ester linkages between polysaccharides and lignin, especially in the inner layers of the cell wall. Gümüşkaya et al. 23 investigated the effects of PG during oxygen delignification and found that when the gum concentration reached 3% or higher, the kappa number increased. This was attributed to the gum's barrier effect, which hinders oxygen diffusion to the fibre wall. improvement in delignification yield when both gums are utilized. Figure 2 revealed another important finding regarding pulp viscosity. The addition of gum to the oxygen delignification process increased the viscosity of OD3 pulp (807 cm 3 /g), leading to an improvement of approximately 1-2%. When gums were added during oxygen delignification, viscosity increased by about 1-2% in OD3 pulp (807 cm³/g). For both gums, it is important to maintain or slightly increase pulp viscosity, while reducing the kappa number when used at low concentrations up to 3%. Zou et al. 28 reported that hemicellulose-based polymers, particularly xylan, act as viscosity protectors for cellulose. In other words, they demonstrated that a high hemicellulose content in pulp minimizes cellulose degradation, thereby increasing viscosity. Heiningen and Violette 24 investigated the impact of GG on oxygen delignification and determined that higher intrinsic viscosities were obtained as the gum loading increased. They stated that using GG at a 2% level resulted in an approximately 30% increase in lignin-cellulose selectivity, regardless of the alkali charge. Similarly, Gümüşkaya et al. 23 revealed that adding PG to oxygen delignification liquor significantly stabilized carbohydrates. The phenomenon is very Figure 3: Effects of gum additions on selectivity parameters of oxygen delignification The studies indicate that oxygen is more reactive towards scavenging agents than they are towards the carbohydrates in cell walls. 22,56-58 Various substances, including alcohols, polyalcohols, aldehydes, organic acids, and polymers have previously been employed as scavenging agents. The selectivity of the GG yields better results compared to that of the CG. The main reason for this difference between gums may be their molecular structure. GG is mainly composed of hemicellulosic components based on similar to the one that leads to a rise in the kappa number. During delignification, radicals effectively degrade fibres, especially at their surfaces. The reduced permeability of the fibre surfaces limits both oxygen and radical diffusion. The main similarity between these studies is the improved selectivity in oxygen delignification achieved using gums. With the CG and GG used in this study, it was observed that selectivity increases up to a certain additive ratio and then decreases (Fig. 3). The impact of gum additives on the selectivity parameters of oxygen delignification, as demonstrated by the addition of 2% CG (as shown in Fig. 3), led to further exploration of how hydrogen peroxide influences 2% CG reinforced OD3. The reaction variables of the ODC2 process were chosen as constant due to the low kappa number and similar viscosity, and the effects of hydrogen peroxide in the range of 0.5-4.0% were studied under these conditions. Figure 4 clearly demonstrates that the addition of H2O2 produces a negative impact on selectivity, even at a concentration as low as 0.5%. Initially, the viscosity of ODC2 pulp (822 cm 3 /g) did not have much effect, but it decreased dramatically by 16.5% as the amount of peroxide added increased. galactomannan (75.0-85.0%). 59 Galactomannan is also present in the CG structure, but most of the structure (65%) consists of pentosan-rich monomeric sugars, such as arabinose and xylose. 60 The sorption of mannan is believed to be greater than that of arabinose-dominated CG, due to the comparable structure of the backbones in mannan and cellulose. 61 These results led to the hypothesis that hexosan-type hemicellulosic structures would have a somewhat greater efficacy in scavenging radicals. Reinforced oxygen delignification – effects of additives on physical, optical and mechanical properties of pulps within their series. The pulps were beaten to 50 SR° for producing handsheets. The physical and optical test results are listed in Table 4. Figure 5 shows the results of mechanical tests of the pulps. The Newman-Keuls test was also applied when significant differences occurred according to a fundamental analysis of variance. Table 4 Effects of additives on the physical and optical properties of oxygen delignified unbleached pine kraft pulp To evaluate the effects of different additives on oxygen delignification, physical, mechanical and optical tests were applied to handsheets produced from Kraft, OD3, ODC2, ODG2 and ODC2+1.0P* pulps. The pulps marked with * are the ones with the highest chemical properties Figure 5: Effects of additives on the mechanical properties of oxygen delignified unbleached pine kraft pulps The main objective of oxygen delignification is to reduce the residual lignin concentration to obtain an easily bleached pulp, with low chemical consumption in the bleaching process. This process is essentially like the continuous sodaoxygen pulping. The degree of improvement in optical brightness (by 15-20% ISO) depends on factors such as the type of raw material, pulping method, and amount of residual lignin in the pulp. 47 The Kappa number of the pulps shown in Figure 2 confirms that the selected pulps exhibit the most significant lignin reduction when compared to the other pulps. In this study, an improvement of 24.55% in brightness was achieved for ODC2+1.0 P (Table 4). It is known that pulp brightness is most affected by the chromophoric groups in the residual lignin. 62 Chromophores are highly light-absorbing groups, and for the pulp to achieve acceptable brightness levels, it must be entirely free of these groups. 63 Chromophore degradation can be provided by perhydroxyl groups (HOO). 64 The presence of peroxide and perhydroxyl groups in the oxygen delignification liquor served as a reinforcement with their oxidizing ability, leading to a brighter pulp. Koç et al. 11 reported that comparing peroxide reinforced oxygen delignification with unreinforced process showed an approximate 20% improvement in brightness. The ODC and OD3 pulps exhibited similar brightness results, both showing an improvement of approximately 20%. Surprisingly, ODG2 pulp, despite having the lowest kappa number, deviated significantly from the expected level, showing a brightness of 48.99%. The results demonstrated the flexibility usage of gums in oxygen delignification and their beneficial impact on the optical properties of pulp. This method offers a promising and effective option for the paper and pulp industry, while also being environmentally sustainable. Oxygen delignification is mostly conducted under alkaline reaction conditions, 1 resulting in major lateral swelling of fibres, leading to changes in their bonding properties and strength. 65-66 Moreover, incorporating polysaccharide-based gums into the multilamellar structure of the fibre cell wall can improve fibre flexibility by disrupting the hydrogen bonding network between microfibrils and inducing additional swelling of the cell wall. The increased cellulose crystallinity by oxygen delignification, 23 along with these effects, is believed to significantly influence breaking length. The breaking length of stone pine kraft pulp showed a limited increase, of approximately 1.65%, after oxygen delignification (OD3) without reinforcements. The impact steadily increased with reinforcements, reaching a peak of 19.00% for ODG2. The addition of CG resulted in an increase in the breaking length of kraft pine pulp from 3.63 (±0.62) km to 4.21 (±0.65) km and 4.02 (±0.48) km, respectively. On the other hand, no significant difference was observed between the pulp samples in terms of the burst index. It was determined that there was a loss of approximately 5.5-6% for OD3 and ODC2 pulps, compared to the kraft pulp. It was observed that the amount of loss in burst index with GG decreased to around 2.5%. Notably, there was a 2.08% rise in burst index seen for ODC2 when reinforced with peroxide. The tear index is significantly impacted by decreases in pulp viscosity 67-68 and fibre length. Unbleached kraft pulp exhibited the highest tear index (5.95 mN.m 2 .g -1 ), as well as the greatest viscosity, compared to all the other pulps. Studies indicate that radicals, particularly HO – , target not only lignin, but also carbohydrates, leading to reduced strength, viscosity and yield of pulp. 24,6970 Furthermore, Yang et al.4 observed that after oxygen delignification of softwood kraft pulp fibers with a kappa number of 30, there was a general reduction in average fibre length and an increase in fines content of up to 98.3%. It was found that the addition of CG can reduce some of the negative effects on tear index of the pulp during oxygen delignification, while the addition of GG can cause losses of up to 21%. Erişir et al. 71 and Spönla et al. 72 reported that an increase in the hemicellulose content in fibres has an adverse impact on strength properties. As a result, the mechanical test results of the oxygen delignified pulps reveal complex effects on pulp strength when additives are used in the oxygen delignification of kraft pulp. A thorough understanding of the complex relationship between delignification, fibre properties, and additive usage can be attained by optimizing process parameters, conducting detailed analyses of fibre morphology and chemistry, and performing long-term aging studies. It is also important for future research to determine the environmental impact assessments. CONCLUSION To assess the effects of gums on pulps, gum loading varied from 1% to 5%. The study also explored the impact of CG on oxygen delignification with hydrogen peroxide (H2O2) concentrations from 0.5% to 4%. Initially, gum addition reduced the kappa number, but delignification slowed beyond 3% gum due to the barrier effect on fibrils. Gums also improved pulp viscosity by 1-2%. The results showed that oxygen delignification with GG was more selective than with CG, likely due to GG's smaller molecular size and higher radical-scavenging efficiency. In oxygen delignification, the addition of only 1% peroxide to the reaction medium reduced the process selectivity from 45% to 5%, although the kappa number decreased by 1.9 units. Kraft pulping of stone pine wood chips was performed using 18% active alkali, 25% sulfidity, at 170 °C, and a 1:4 solid/liquid ratio, yielding pulps with a kappa value of 32.1 and a screened yield of 46.8%. Oxygen delignification with 1%5% alkaline charge was applied, with the OD3 process (3% alkaline charge) chosen as the standard due to cellulose degradation at higher alkaline levels. Physical, mechanical, and optical tests on handsheets made from the selected pulps (Kraft, OD3, ODC2, ODG2, and ODC2+1.0P) were conducted to assess the effects of additives on fibres. The pulp strength was found to be enhanced by the addition of both gums. The OD3 pulp exhibited a 1.65% greater breaking length than the stone pine kraft pulp, whereas the breaking length of the oxygen delignified pulp reinforced by both gums showed even greater increases. By using H2O2 reinforcement, the ODC2+1.0P pulp demonstrated a significant 24.55% increase in brightness, as expected. Additionally, it exhibited a smaller gain in the breaking length, reaching just 10.7%. GG addition led to a 26% decrease in the tear index and a slight drop in the burst index. The study shows that plant-based additives, like wood gum, enhance the selectivity of oxygen delignification, offering benefits for sustainability and product quality. Adapting and optimizing this process can lead to a more efficient and ecofriendly solution for the pulp and paper industry. To fully understand process value, a life cycle assessment (LCA) is recommended. 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Guay, B. J. W. Cole, R. C. Fort Jr, M. C. Hausman, M. Genco, et al., J. Wood Chem. Technol., 21, 67 (2001) https://doi.org/10.12841/wood.1644-3985.067.07 72 E. Spönla, S. Hannula, T. Kamppuri, U. Holopainen-Mantila, I. Sulaeva et al., Cellulose, 30, 11407 (2023), https://doi.org/10.1007/s10570-02305589-8	<urn:uuid:156fbb9d-62fe-4d45-a49b-d6b24cbb1089>	CC-MAIN-2024-46	https://cellulosechemtechnol.ro/pdf/CCT7-8(2024)/p.747-757.pdf	2024-11-15T04:23:44+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-46/subset=warc/part-00082-65a16d46-7179-4f3c-849a-3216b203b23b.c000.gz.parquet	139,097,925	11,160	eng_Latn	eng_Latn	0.83443	eng_Latn	0.979062	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "dag_Latn" ]	false	rolmOCR	[ 3593, 8555, 12235, 15224, 19807, 22365, 26002, 28304, 33151, 37925, 42807 ]
\| DATE \| DAY \| SUBJECT \| SYLLABUS \| \|------------\|-----\|----------------------------------------------\|--------------------------------------------------------------------------\| \| 12.02.25 \| WED \| Reading + Recitation (HND/ENG) \| Reciting: Ch - 17 Colours/Ch-19 A Little Seed, Reading: Ch - 19 The Cracking Egg \| \| \| \| \| सस्तर वाचन: कविता - पाठ - १९ दुनिया गोल/चोड़ा दौड़ा \| \| \| \| \| आदर्श वाचन: पाठ - ३० मेहनती गोरी/पाठ11 बिंदु और चांद \| \| 14.02.25 \| FRI \| Vocab. + Cr. Writing (HND/ENG) \| Ch- 14 A beautiful feather, Ch- 15 If I were an apple, Ch- 18 The birthday present \| \| \| \| \| Jumble words, Opposite words, Rhyme words, Creative Writing- My Classroom \| \| \| \| \| शब्दकोश: पाठ 9 ओं की मात्रा, पाठ 10 ओं की मात्रा, पाठ 11 बिंदु, चंद्रबिंदु, विसर्ग: .पाठ 12 ओं की मात्रा \| \| \| \| \| रचनात्मक लेखन: मेरे माता-पिता \| \| 18.02.25 \| TUE \| Mathematics \| Ch-6 (Numbers up to 100), Ch - 7(Addition and Subtraction up to 99), Ch-8(Measurement), Ch -9(Time), Ch -10(Money), Ch -11(Data Handling), Ch -12(Multiplication Readiness) \| \| 21.02.25 \| FRI \| Hindi Literature + Dictation \| हिंदी साहित्य व श्रृंखलेख : \| \| \| \| \| पाठ 9ओं की मात्रा, पाठ 10 ओं की मात्रा, पाठ 11 बिंदु चंद्रबिंदु: विसर्ग, पाठ 12 ओं की मात्रा \| \| 24.02.25 \| MON \| English Literature + Dictation \| Ch-14 A beautiful feather, h-15 If I were an apple, ch-18 The birthday present \| \| \| \| \| Dictation words, word meaning, question and answer, fill in the blanks, reference to context \| \| 01.03.25 \| SAT \| Environmental Studies \| Ch-13 (Keeping Safe), Ch-14(Plants around us), Ch-15 (Animals around us), Ch-16(The Earth and the sky, Ch-17(Air and water), Ch-18(weather and clothes), Ch-19(Our Nation), Ch -20(Our Festival) \| \| 04.03.25 \| TUE \| English Language \| Ch-8 Use of this/that and These/those, Ch-11 Use of is, am and are, Ch-13 use Has, Have and Had, Ch-17 Picture Compression \| \| 07.03.25 \| FRI \| Hindi Language \| पाठ 6 लिंग, पाठ 7 वचन, पाठ 8 सर्व नाम, पाठ 9 विशेषण \| \| 12.03.25 \| WED \| Computer + General Knowledge \| Computer- Ch-7 Data and Memory \| \| \| \| \| GK- UNIT- 6, 7, 8 \| GENERAL INSTRUCTIONS: * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17\textsuperscript{th}, 19\textsuperscript{th}, 20\textsuperscript{th}, 22\textsuperscript{nd}, 23\textsuperscript{rd}, 25\textsuperscript{th}, 26\textsuperscript{th}, 27\textsuperscript{th}, 28\textsuperscript{th} FEB, 2\textsuperscript{nd}, 3\textsuperscript{rd}, 5\textsuperscript{th}, 6\textsuperscript{th}, 8\textsuperscript{th}, 9\textsuperscript{th}, 10\textsuperscript{th}, 11\textsuperscript{th} MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. \textbf{15 mins} prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is \textbf{PROHIBITED}. * Make sure you use the \textbf{RESTROOM} before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * \textbf{REPORT CARDS} of classes Pre-Nursery to IX and XI will be distributed on 22\textsuperscript{nd} March 2025 between 9:00 am to 11:00 am. * \textbf{DISTRIBUTION OF BOOKS}: 22\textsuperscript{nd} March (Nursery to 5\textsuperscript{th}), 23\textsuperscript{rd} March (6\textsuperscript{th} to 12\textsuperscript{th}). \| DATE \| DAY \| SUBJECT \| SYLLABUS \| \|------------\|-----\|----------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| 12.02.25 \| WED \| Reading + Recitation (HND/ENG) \| Ch-19 A smile/Ch – 17 Glurp the purple alien (Reciting.) Ch-20 The Honest Girl (Reading) आदर्श वाचन: पाठ 10 क्या हमुँ मुझसे दासी करो?/पाठ 13 चिरकुट की गाड़ी सस्तर वाचन: पाठ 11 सुंदर सपना/ पाठ 12 मम्मी। भूख लगी है \| \| 14.02.25 \| FRI \| Vocab. + Cr. Writing (HND/ENG) \| English: Ch-14 one Sunday, Ch-16 we can’t find our feet, Ch-18 the robot and the cobbler Jumble words, Rhyme words, Opposite words, Creative Writing- The Peacock हिंदी : बाक्य प्रयोग, अपठित पद, मात्रा से नए शब्द बनाए, पत्र लेखन - अपने मित्र को जन्मदिन पर निःमत्रण पत्र, बुक पर ५ पंक्तियां लिखे \| \| 18.02.25 \| TUE \| Mathematics \| Ch – 6(Numbers up to 1000), Chapter -7(More Addition and Subtraction), Ch -8(Multiplication), Ch -11(Money), Ch -12(Data Handling), Ch -13(Division Readiness), \| \| 21.02.25 \| FRI \| Hindi Literature + Dictation \| पाठ 10, 11, 12, 13, 14 किसने किससे कहा, रित्त स्थान, सही गलत। \| \| 24.02.25 \| MON \| English Literature + Dictation \| Ch-14 One Sunday, Ch-16 we can’t find our feet, Ch-18 the robot and the cobbler Dictation words, Question and answer, fill in the blanks, reference to context, word meaning \| \| 01.03.25 \| SAT \| Environmental Studies \| Ch-12(Road safety), Ch-13(Plants around us), Ch-14(Animal around us), Ch-15(Our Earth), Ch-16(Our celestial neighbours) Ch-17(weather and Seasons), Ch-18(Save the Earth), Ch-19(Map and monuments) \| \| 04.03.25 \| TUE \| English Language \| Ch- 17 Use of is, am and are, Ch-15 Use of Has, Have and Had, Ch-23 Preposition, Ch-27 Picture Compression \| \| 07.03.25 \| FRI \| Hindi Language \| पाठ 11 पर्यायवाची शब्द, पाठ 12 विक्लोम शब्द, पाठ 13 मिनती, पाठ 14 चित्र वर्णन, पाठ 15 कहानी लेखन, पाठ 16 शब्द कोशल \| \| 12.03.25 \| WED \| Computer + General Knowledge \| Computer: Ch-5 (introduction to paint), Ch-6(More in Paint), Ch-7(File Management) G.k: Unit -8(World we live in), Unit-9 (Brain game) \| GENERAL INSTRUCTIONS: * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th, 9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. 15 mins prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is PROHIBITED. * Make sure you use the RESTROOM before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * REPORT CARDS of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * DISTRIBUTION OF BOOKS: 22nd March (Nursery to 5th), 23rd March (6th to 12th). \| DATE \| DAY \| SUBJECT \| SYLLABUS \| \|------------\|-----\|----------------------------------------------\|--------------------------------------------------------------------------\| \| 12.02.25 \| WED \| Reading + Recitation (HND/ENG) \| Ch-19 Meena (Reading), Ch-20 Train/Ch – 16 Puppy and I (Reciting) \| \| \| \| \| आदर्श वाचन: पाठ 9-यह मेरा इंडिया/पाठ-10 कैसे बना शहद \| \| \| \| \| सस्तर वाचन: पाठ 12-काश अगर मैं चिड़िया होती/पाठ-6 गण्यो की दुकान \| \| 14.02.25 \| FRI \| Vocab. + Cr. Writing (HND/ENG) \| Ch- A good boy, Ch-15 the lost camel, Ch-17 the amazing zoo \| \| \| \| \| Jumble words, Rhyme words, Opposite words, Missing words, Creative Writing- My Last Sunday \| \| \| \| \| अनेक शब्दों के लिए एक शब्द, पर्यायवाची, विलोम, मुहावरे, चित्र वर्णन, रचनात्मक लेखन-मेरी मां \| \| 18.02.25 \| TUE \| Mathematics \| Ch -2(Addition), Ch -3(Subtraction), Ch - 4(Multiplication), Ch - 5( Division) \| \| \| \| \| Ch - 9 (Measurement), Ch - 10 (Time), Ch - 11 (Money), Ch -12(Data Handling), \| \| 21.02.25 \| FRI \| Hindi Literature + Dictation \| पाठ 9-यह मेरा इंडिया, पाठ 10-कैसे बना शहद, पाठ 11-एलियन मैजी और बच्चे, पाठ 12-काश अगर मैं चिड़िया होती, \| \| \| \| \| पाठ-13 चाप की कहानी, श्रुतलेख : पाठ 9-यह मेरा इंडिया \| \| 24.02.25 \| MON \| English Literature + Dictation \| Ch- A good boy, Ch-15 The lost camel, Ch-17 The amazing zoo \| \| \| \| \| Dictation words, Words meaning, Question and answer, Fill in the blanks, Reference to context \| \| 01.03.25 \| SAT \| Environmental Studies \| Ch-13 (The story of a wheel), Ch-14(Means of Transport), Ch-15(Means of Communication), Ch-16(Weather and Seasons), Ch-17(The Earth and the sky), Ch-18(Our Festivals), Ch-19(Things we make), Ch-20(Unity in Diversity) \| \| 04.03.25 \| TUE \| English Language \| Ch-13 Preposition, Ch-14 Conjunction, Ch-23 Picture Comprehension, Ch – 11 The Adverb: kind of Adverb \| \| \| \| \| Complete the sentences \| \| 07.03.25 \| FRI \| Hindi Language \| अपठित गद्यांश, अनेक शब्दों के लिए एक शब्द, सर्वनाम, विशेषण, क्रिया, पर्यायवाची, विलोम, मुहावरे, अशुद्ध लेखन, अनुच्छेद लेखन -होती का त्वोहर \| \| 12.03.25 \| WED \| Computer + General Knowledge \| Computer :- Ch-6 (Stepwise Thinking), Ch-7 (Coding - Scratch Introduction) \| \| \| \| \| G.K - Unit-8 (World we live in), Unit -9 (Brain game) \| GENERAL INSTRUCTIONS: * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th, 9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. 15 mins prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is PROHIBITED. * Make sure you use the RESTROOM before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * REPORT CARDS of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * DISTRIBUTION OF BOOKS: 22nd March (Nursery to 5th), 23rd March (6th to 12th). \| DATE \| DAY \| SUBJECT \| SYLLABUS \| \|------------\|-----\|--------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| 18.02.25 \| TUE \| Mathematics \| Ch-6 Fractions, Ch-8 Shapes and Pattern, Ch-9 Measurement, Ch-10 Perimeter and Area, Ch-11 Time, Ch-12 Money, Ch-13 Data Handling \| \| 21.02.25 \| FRI \| Computer \| Ch-1 Input, Output and Storage Device, Ch-5 More About Scratch, Ch-6 Microsoft PowerPoint 2016, Ch-7 Working with Slides, Ch-8 Browsing the Internet \| \| 24.02.25 \| MON \| English \| Literature: Ch-14 The Nightingale, Ch-16 The giving tree, Ch-17 The naughty boy Fill in the blanks, sentence making, question and answer, RTC Grammar: Ch-22, 24, 25, 26, 27, Unseen Passage, Notice Writing, Slogan Writing, Preposition, Conjunction, Letter Writing, Reading Writing Skill- (Ch-18 The wrestle, Ch-20 Clever Betty) \| \| 01.03.25 \| SAT \| Science \| Ch-7 (Respiratory system and Circulatory system), Ch-10 (Fibre and Fabric), Ch-11 (Force, Work and Energy), Ch-12 (Air, Water and Weather), Ch-13 (Solar System and the Earth), Ch-14 (Natural Resources), Assertion/Reason/Case based questions/Picture based questions. \| \| 04.03.25 \| TUE \| General Knowledge + Drawing \| GK: Unit: 6 Amazing India (Chapter from 37 to 43), Unit: 7 Around the World (Chapter from 44 to 49) Unit: 8 Entertainment (Chapter from 50 to 54), Unit: 9 Brain Game (Chapter from 55 to 57) Drawing: Draw and colour- Forest Season Scene (OR) Republic day Scene \| \| 07.03.25 \| FRI \| Hindi \| पाठ 8- पिता का पत्र पुत्र के नाम, पाठ 9- कदंब का पेड़, पाठ - 11 अंडमान निकोबार, पाठ - 12 खाने की बात, पाठ 13 पेड़ पौधों की दुनिया, पाठ - 14 सौ की मारे एक अकेला व्याकरण: पाठ 11 काल/क्रिया, पाठ 12 शब्द भंडार, पाठ 13 विराम चिन्ह, पाठ 14 अशुद्ध शोधन, पाठ 15 मुहावरे, अपठित गद्यांश , निबंध (होटी, गणतंत्र दिवस, योगासन का महत्व, ), पत्र \| \| 12.03.25 \| WED \| Social Studies \| Ch-14(Agricultural Resources), Ch-15(Industrial Resources), Ch-16(Means of Transport), Ch-17(Sending and receiving messages), Ch-18(Municipal committees), Ch-19(Our Right and Duties), Ch-20(Our Nation symbols), Ch-21(Our Cultural heritage), Ch-22(Reformers of India) Map work- Distribution of food crops and cash crops in India, Indian industries and Indian roadways. \| GENERAL INSTRUCTIONS: * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th-9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. 15 mins prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is PROHIBITED. * Make sure you use the RESTROOM before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * REPORT CARDS of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * DISTRIBUTION OF BOOKS: 22nd March (Nursery to 5th), 23rd March (6th to 12th). \| DATE \| DAY \| SUBJECT \| SYLLABUS \| \|------------\|-----\|------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| 18.02.25 \| TUE \| Social Studies \| Ch-12 Natural Disasters, Ch-13 Staying Healthy and Living Longer, Ch-14 Spreading, Knowledge, Ch-15 Reaching Destination, Ch-16 Communication, Ch-17 Gems of India, Ch-18 Birth of the Indian National Movement, Ch-19 India Achieves Freedom, Ch-20 Government in India, Ch-21 The United Nations and World Peace Map Work: Major Highways of the World (Ch-15), Main Centres and Leaders of 1857 Revolt (Ch-18), Major National Movement (Ch-19) \| \| 21.02.25 \| FRI \| English \| Literature- Ch-14 A French lesson, Ch-16 The throne of justice, Ch-18 The Wizard of OZ-I, fill in the blanks, sentence making, question and answer, RTC Grammar- Ch-22, 23, 26, 28, 30, Unseen passage, notice writing, letter writing, slogan writing, preposition, conjunction, Reading Writing skill (Ch-19 The Wizard II) \| \| 24.02.25 \| MON \| Hindi \| पाठ 11 - मेरी जिंदगी का सबसे बड़ा दिन, पाठ 12 - घाय और भेड़ुरी, पाठ 13 - बोल अनमोल, पाठ 14 - डायरी के पत्रों में अंतरिक्ष, पाठ 15 - मारमावेगृहु, पाठ 16- नई तापन व्याकरण - पाठ 4- संज्ञा , पाठ 7- कारक, पाठ 8- सर्वनाम, पाठ 9- विशेषण, पाठ 14- शब्द भंडार, पाठ 20 - चित्र वर्णन, पाठ 21- संवाद लेखन, पाठ 23- अनुच्छेद लेखन, पाठ 24- पत्र लेखन। \| \| 01.03.25 \| SAT \| Mathematics \| Ch-5 Fractions, Ch-8 Geometry, Ch-9 Measurement, Ch-10 Perimeter and Area Ch-11 Time and Temperature, Ch-12 Money, Ch-13 Mapping Skills, Ch-14 Data Handling \| \| 04.03.25 \| TUE \| Sanskrit \| पाठ 6 धातु परिचय, पाठ 11 लटलकार मध्यम पुरुष एकवचन, पाठ 12 लटलकार मध्यम पुरुष द्विवचन , पाठ 13 लटलकार मध्यम पुरुष बहुवचन, पाठ 14 लटलकार उत्तम पुरुष एकवचन, पाठ 15 लटलकार उत्तम पुरुष पुरुष द्विवचन, पाठ 16 लटलकार उत्तम पुरुष बहुवचन, पाठ 17 संख्यावाची शब्द, पाठ 18 अस्पात शरीरम पाठ 19 वार्तालाप:, अपूर्णत गद्यांश, फलों के नाम, सब्जियों के नाम, चित्र वर्णन \| \| 07.03.25 \| FRI \| Computer + General Knowledge \| Computer: Ch-1 (Evaluation of Computers), Ch-5 (More on Powerpoint 2016), Ch-6 (Formatting a Presentation), Ch-7 (Programming in Scratch), Ch-8 (Microsoft Excel 2016) and Ch-9 (Internet and E-Mail) GK: Ch-37 to 58 (Page No. 41 to 64) \| \| 12.03.25 \| WED \| Science \| Ch-4 Health and Diseases, Ch-8 States of Matter, Ch-9 Air and Water, Ch-10 Force and Energy, Ch-11 Simple Machin, Ch-12 Light, Shadows and Eclipses, Ch-13 Sun, Moon and the Earth, Ch-14 Pollution and Conservation \| GENERAL INSTRUCTIONS: * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th, 9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. 15 mins prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is PROHIBITED. * Make sure you use the RESTROOM before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * REPORT CARDS of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * DISTRIBUTION OF BOOKS: 22nd March (Nursery to 5th), 23rd March (6th to 12th). \| DATE \| DAY \| SUBJECT \| SYLLABUS \| \|------------\|-----\|-------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| 14.02.25 \| FRI \| Financial Literacy \| Unit I: Teamwork, Unit:2 Introduction to Financial Literacy, Unit:3 Banking Unit:4 Security and modes of Digital Payments \| \| 18.02.25 \| TUE \| Mathematics \| Ch-9 Simple Equation, Ch-10 Ratio and Proportion, Ch -11 Basic geometrical Ideas, Ch-12 Understanding Elementary shapes, Ch-13 Three-dimensional shapes, Ch-14 Constructions, Ch-15 Symmetry, Ch-16 Perimeter and Area, Ch-17 Data Handling \| \| 21.02.25 \| FRI \| Computer \| Ch-1 (Computer Language), Ch-5 (Introduction to Artificial Intelligence), Ch-6 (Formulas and Functions), Ch-7 (Introduction to GIMP), Ch-8 (Introduction to Python) and Ch-9 (Internet Services) \| \| 24.02.25 \| MON \| Sanskrit \| पाठ - 5 वृक्षः, पाठ- 8 सूक्ति सत्क्र., पाठ - 10 - कृतिका: कर्मवीरा:, पाठ - 11दशमः त्वम असि, पाठ - 12 विमानयानम रचयाम , पाठ - 13 अहह आः च, अपठित गद्याणं ,फलों के नाम, विलोम शब्द, गिनिती(1से 50 तक), शब्द रूप (पुष्प, बालक ) धातु रूप( पठ ,लिख , गम), चित्र वर्णन \| \| 01.03.25 \| SAT \| Science \| Ch-9 Habitat of the Living, Ch-10 Animal and their movements, Ch-11 Measurments and Motion, Ch-12 Electricity and Circuits, Ch-13 Fun with Magnets, Ch-14 Light, Shadows and Reflections, Ch-15 Water and its Importance, Ch-16 Air around us, Ch-17 Garbage in, Garbage out \| \| 04.03.25 \| TUE \| English \| Unseen passage Textbook extract Supplementary and literature Poetry extract, Unit 1: Who did patricks, Poem: Kite, Ch 4 An Indian American women in space, Poem: Beauty, Ch 7 Fair play, Ch 9 Desert animal, Ch.10 Banyan tree, Supplementary- Ch 1 A Tale of Two Birds, Ch 2 Friendly mongoose Ch. 4 Tansen, Ch 6 A wonder called sleep, Ch 7 A pact with son Grammar Ch 1 Sentence, Ch 6 Adjective and degree of comparison, Ch 8 Articles, Ch 9 Verb, Ch 11 Models, Ch 13 Present tense, Ch 16 Active and passive voice, Ch 18 Preposition, Ch 32 Letter writing, Ch 37 Essay writing, Ch 35 Diary writing \| \| 07.03.25 \| FRI \| Hindi \| वसंत भाग-1 पाठ-12 संसार पुरुषक है, पाठ-14 लोकगीत, पाठ-15 नौकर, पाठ-16 उन के मार्ग में व्याकरण- अपठित गद्याण, लिंग, कारक, सर्वनाम, विशेषण, क्रिया, काल, अविकारी शब्द, अनुवेद लेखन. पत्र लेखन बाल राम कथा- सोने का हिस्सा, लंका विवाह, राम का राज्याभिषेक, सीता की खोज \| \| 12.03.25 \| WED \| Social Studies\| History: Ch-5 Kingdoms, Kings and an Early Republic, Ch-6, New Questions and Ideas, Ch-7 from a Kingdom to an Empire, Ch-8 Villages, Towns and Trade, Ch-9 New Empires and Kingdoms, Ch-10 New Empires and Kingdoms Geograpy: Ch-4 Maps, Ch-5 Major Domains of the Earth, Ch-6 Our Country: India Political Science: Ch-5 Rural Livelihoods, Ch-6 Urban Livelihoods, Ch-7 Rural Administration, Ch-8 Urban Administration Map Work: Important mahajanapadas, Janapadas and cities(His:Ch-5), The mauryan Empire: showing the principle cities and some of the places where inscriptions were found(His: Ch-7), Showing important cities and kingdoms (His: Ch-9), The World: Continents and Oceans(Geo: Ch-5), Neighbouring countries, India physical (Mountain ranges, Mountain region, Plateau region, Plain region)(Geo: Ch-6) \| GENERAL INSTRUCTIONS: * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17\textsuperscript{th}, 19\textsuperscript{th}, 20\textsuperscript{th}, 22\textsuperscript{nd}, 23\textsuperscript{rd}, 25\textsuperscript{th}, 26\textsuperscript{th}, 27\textsuperscript{th}, 28\textsuperscript{th} FEB, 2\textsuperscript{nd}, 3\textsuperscript{rd}, 5\textsuperscript{th}, 6\textsuperscript{th}, 8\textsuperscript{th} 9\textsuperscript{th}, 10\textsuperscript{th}, 11\textsuperscript{th} MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. 15 mins prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is PROHIBITED. * Make sure you use the [RESTROOM](#) before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * REPORT CARDS of classes Pre-Nursery to IX and XI will be distributed on 22\textsuperscript{nd} March 2025 between 9:00 am to 11:00 am. * DISTRIBUTION OF BOOKS: 22\textsuperscript{nd} March (Nursery to 5\textsuperscript{th}), 23\textsuperscript{rd} March (6\textsuperscript{th} to 12\textsuperscript{th}). \| DATE \| DAY \| SUBJECT \| SYLLABUS \| \|------------\|-----\|------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| 14.02.25 \| FRI \| Financial Literacy \| Unit I: Teamwork, Unit:2 Introduction to Financial Literacy, Unit:3 Banking, Unit:4 : Security, Unit:5 Modes of Digital Payments card based Unit:6 Modes of Digital Payment biometric Based Unit:7 Modes of Digital Payments mobile based banking \| \| 18.02.25 \| TUE \| Mathematics \| Ch-9 Comparing Quantities, Ch-10 Lines and AnglesCh-11 Triangle and it's properties, Ch-12 Congruence of Triangles, Ch-13 Constructions, Ch-14 Visualising Solid shapes, Ch-15 Symmetry, Ch-16 Perimeter and Area, Ch-17 Statistics, Chapter -18 Probability \| \| 21.02.25 \| FRI \| Computer \| Ch-4 (Introduction to HTML5), Ch-5 (Introduction to Robotics), Ch-6 (More on CSS3), Ch-7 (More on Python), Ch-8 (Introduction to App Development) and Ch-9 (Cyber Threats and Security) \| \| 24.02.25 \| MON \| Sanskrit \| पाठ - सुभाषितानि, त्रिवर्णःध्यजः, विवर्णवृत्तः, समवायो हीं दुर्जयः; विद्याधनम् , अमृत संस्कृतम्, लाल गीतम् अपि भैरव गद्याय, विलोमशब्द, परिश्चिप्यों के नाम, मिनती(से 50 तक), शब्द रूप (नदी, पित), धातु रूप(वर, कु, वस ), पत्र, अनुच्छेद \| \| 01.03.25 \| SAT \| Science \| Ch7- Physical and chemical changes, Ch10-Respiration in organisms, Ch11-Transportation and excretion in organisms, Ch12-Reproduction in plants, Ch13-Motion and time, Ch15-Light, Ch16-Electric current and effects \| \| 04.03.25 \| TUE \| English \| Unseen passage, Text book lit. and supplementary extract, Poetry extract Unit 1: Three question, Poem: The Squirrel, Unit 1 : The tiny teacher (Supplementary), Unit 4 – The Ashes that made tree Bloom, Poem: Chivy, Unit 4 : Chandni (Supplementary), Unit 5: Quality, Unit 5: The bear story (supplementary )Poem: Meadow surprise, Grammar: Unit 1: Verbs, Unit 2: Pronoun Adjectives Formal letter Unit 3: Past tense, Unit 4 : Active and Passive voice Punctuation, Unit 5: Preposition Notice writing, Unit 6: Clauses Sentences Email writing \| \| 07.03.25 \| FRI \| Hindi \| बसंत भाग 2. पाठ-11 नीलकंठ, पाठ-12 भोर और बरखा, पाठ-13 वीर कुंवर सिंह, पाठ-14 संघर्ष के कारण मैं तुनकमिजाज हो गया था, पाठ 15-आश्रम का अनुगमानित व्यय, व्याकरण: संज्ञा, वचन, समास, सन्नाम, कारक, क्रिया, काल, अनुच्छेद लेखन, विज्ञापन लेखन बाल महाभारत- दवेश करने वाले का जी नहीं भरता, शास्त्र दूत श्रीकृष्ण, पाड़वों और कौरवों के सेनापति, भीम शर शाया पर, अभिमन्यु, युधिष्ठिर की चिता और कामना, पाड़वों का धूतरापु के प्रति व्यवहार, श्रीकृष्ण और युधिष्ठिर \| \| 12.03.25 \| WED \| Social Studies \| Geography: Ch-3 Our Changing Earth, ch-4 Air, Ch-5 Water, Ch-6 Natural vegetation and wildlife, Ch-7 Human environment and settlement, Ch-8 Life in desert History: Ch-3 Delhi 12 to 15th century, Ch-4 the Mughals 16 to 17 century, Ch-5 tribes nomads and settle communities, Ch-6 Devotional path, Ch-7 The making of regional culture, Ch-8 18th century political formation Political Scienc: Ch-3 how the state government works, Ch-4 growing up as boys and girls, Ch-5 Women change the world, Ch-6 Understanding media, Ch-7 Market around us, Ch-8 A shirt in the market \| GENERAL INSTRUCTIONS: * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17\textsuperscript{th}, 19\textsuperscript{th}, 20\textsuperscript{th}, 22\textsuperscript{nd}, 23\textsuperscript{rd}, 25\textsuperscript{th}, 26\textsuperscript{th}, 27\textsuperscript{th}, 28\textsuperscript{th} FEB, 2\textsuperscript{nd}, 3\textsuperscript{rd}, 5\textsuperscript{th}, 6\textsuperscript{th}, 8\textsuperscript{th}, 9\textsuperscript{th}, 10\textsuperscript{th}, 11\textsuperscript{th} MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. 15 mins prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is PROHIBITED. * Make sure you use the RESTROOM before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * REPORT CARDS of classes Pre-Nursery to IX and XI will be distributed on 22\textsuperscript{nd} March 2025 between 9:00 am to 11:00 am. * DISTRIBUTION OF BOOKS: 22\textsuperscript{nd} March (Nursery to 5\textsuperscript{th}), 23\textsuperscript{rd} March (6\textsuperscript{th} to 12\textsuperscript{th}). \| DATE \| DAY \| SUBJECT \| SYLLABUS \| \|------------\|-----\|-------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| 14.02.25 \| FRI \| Financial Literacy \| Unit I: Teamwork, Unit:2 Introduction to Financial Literacy, Unit:3 Banking, Unit:4 : Security, Unit:5 Modes of Digital Payments card based Unit:6 Modes of Digital Payment biometric Based Unit:7 Modes of Digital Payments mobile based banking \| \| 18.02.25 \| TUE \| Mathematics \| Ch-6 Algebraic Expression, Ch-7 Factorisation, Ch-8 Linear equation in one variable, Ch-9 Percentage and its application, Ch-10 Compound Interest, Ch-11 Direct and inverse variation, Ch-12 Understanding Quadrilaterals, Ch-15 Mensuration, Ch-16 Surface area and volume, Ch-17 Data Handling \| \| 21.02.25 \| FRI \| Computer \| Ch-1 (Networking Concepts), Ch-5 (Introduction to Data Science), Ch-6 (Using Lists and Tables in HTML5), Ch-7 (Images, Links & Frames in HTML5), Ch-8 (Iterative Statements in Python) and Ch-9 (Cyber Ethics) \| \| 24.02.25 \| MON \| Sanskrit \| पाठ 7 भारत जनता अध्ययन, पाठ 8 संसार सागरस्थ नायक, पाठ 9 सप्त भगविन्य, पाठ 10 नीति नवनीती, पाठ 11 सावित्रीबाई फुले, पाठ 12 कः रक्षति कः रक्षित, पाठ 13 द्वितीय शताब्दी भारतवर्षभूमि, पाठ 14 आयंभूः अपरित गद्याः, संधि विशेष, विलोम शब्द, गणित (1 से 50 तक), प्रश्न लेखन, अनुच्छेद \| \| 01.03.25 \| SAT \| Science \| Ch2 World of microorganism, Ch4 Material: metal and non metals, Ch5 combustion flame and fuel, Ch8 Cells: Structure and function, Ch9 Reproduction in Humans and Animals, Ch10 Human Hormones and Adolescence, Ch12 Friction-a necessary evil, Ch13 Sound and noise, Ch14 Some Natural Phenomena, Ch15 Chemical Effects of Electricity, Ch16 Light-Reflection and Refraction \| \| 04.03.25 \| TUE \| English \| Unseen passage Textbook extract, Supplementary and literature, Poetry extract Unit 1: The best Christmas present in the world, Poem: The ant and the cricket, Unit 1: How the camel got his hump (supplementary), Unit 3: Glimpses of past, Unit3: The Selfish Giant(supp), Unit 5: Summit within, Poem: School boy, Unit 5 Princess September(sup) Unit:7 Visit to combridge, Poem: On the grasshopper and the cricket, Unit 7: Jalebis, Unit 8: A short Monsoon diary, Unit:8: Ancient Education system, Grammar: Unit1:* Article * email writing, Unit 2: Subject and predicate letter writing, Unit 3: model auxiliary Unit 5: past tense Essay writing, Unit 7: Prepositions conjunctions, Unit 8: Direct and indirect active and passive voice \| \| 07.03.25 \| FRI \| Hindi \| हिंदी वस्तु (लाख की चूहियाँ, बस की यात्रा, भगवान के डाकिये, स्पा निर्माण हुआ जाए, कबीर की साखियाँ, सुदमा चरित, जहाँ पहिया हैं, अकबरी लोटा, सुरदास के पद, पानी की कहानी, भारत की खंज (लाखा, खिस्ब घाटी सभ्यता, युगों का दौर नयी समस्याएं, तनाव) हिंदी व्याकरण पाठ 5- शब्द भंडार, 6- शब्द रचना, 11- वाच्य, 22- लिखित अभिव्यक्ति (प्रश्न लेखन विज्ञापन लेखन अनुच्छेद लेखन ईमेल लेखन) \| \| 12.03.25 \| WED \| Social Studies \| History: Ch-5 When People Rebel 1857 and after, Ch-6 Civilising the “Native’, Educating the Nation, Ch-7 Women, Caste and Reform, Ch-8 The Making of the National Movement: 1870s-1947 Geography: Ch-4 Agriculture, Ch-5 Industries, Ch-6 Human Resources Political Science: Ch-5 Understanding Marginalization, Ch-6 Confronting Marginalization, Ch-7 Public Facilities, Ch-8 Law and Social Justice Map Work: Main Centres and Leaders of 1857 Revolt (His: Ch-5), Opened First Schools and Universities in India under Colonial Period (His: Ch-6), Major National Movement (His: Ch-8), Major Producer of Jute, Cotton, Tea, Coffee, Rice and Wheat (Geo: Ch-4) Density of Population in India (Geo: Ch-6) \| GENERAL INSTRUCTIONS: * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th, 9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. 15 mins prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is PROHIBITED. * Make sure you use the RESTROOM before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * REPORT CARDS of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * DISTRIBUTION OF BOOKS: 22nd March (Nursery to 5th), 23rd March (6th to 12th).	bfc2f9cd-9f13-409b-afa4-91359b295227	CC-MAIN-2025-05	https://www.rdischool.com/wp-content/uploads/2025/01/ANNUAL-EXAMINATION-DATE-SHEET-AND-SYLLABUS-I-VIII2024-25.pdf	2025-01-24T03:16:49+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-05/subset=warc/part-00111-88b30a59-3c73-48ba-a167-077611bfd245.c000.gz.parquet	972,953,912	10,313	eng_Latn	eng_Latn	0.944803	eng_Latn	0.976247	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 4579, 8239, 12480, 16339, 20215, 25278, 30237, 35237 ]
THE SQUAW Technical Report on Submerged Submarine Hull Target Department of the Navy Naval Ship Systems Command Washington, D.C. "Distribution Statement A: This document has been approved for public release and sale; its distribution is unlimited." THE SQUAW Technical Report on Submerged Submarine Hull Target Department of the Navy Naval Ship Systems Command Washington, D.C. This report was created and produced by POTOMAC RESEARCH, INCORPORATED under the supervision of MURPHY PACIFIC MARINE SALVAGE COMPANY FOREWORD This report describes COMSERVPAC underwater mooring operations and associated activities conducted in November of 1970 off the coast of San Diego, California, under the technical direction of the Supervisor of Salvage, Office of the Director of Diving, Salvage and Ocean Engineering Projects (Ships OOC), Naval Ship Systems Command. Materials, techniques, procedures, related activities, and results are described herein, as well as an overall assessment of the completed project. Information gathered, data compiled, and knowledge gained in connection with this undertaking are intended for use by those Commands engaged in similar activities or by those contemplating such operations. E. B. Mitchell Captain, USN Supervisor of Salvage, U.S. Navy ACKNOWLEDGEMENTS The combined efforts of many individuals and groups contributed to the successful completion of this project. Highly professional and competent talents in many fields and disciplines were enlisted to bear upon the complexities involved in this operation; and the smooth, efficient, and effective manner in which all phases of the work were carried out attests to those abilities. Captain Eugene B. Mitchell, Supervisor of Salvage, and his capable staff developed the basic mooring plan and coordinated the effort throughout. In this regard, Mr. Earl F. Lawrence, Senior Salvage Master in the Office of the Supervisor of Salvage, played an important role, bringing to the task at hand a broad and invaluable experience and a technical knowledge applicable to all functions of the project. Special recognition is given to the officers and men of the on-site mooring group who, by their superior and outstanding skills, assured successful realization of the objective within the contemplated time-frame. Vessels and their respective Commanding Officers assigned to the mooring group were: USS CHOWANOC (ATF 100), Lieutenant Commander P. W. Wolfgang; USS KALMIA (ATA 187), Lieutenant Commander F. R. Sanderlin; and USS MOLALA (ATF 106), Lieutenant K. C. Roberts. Able direction, leadership, and assistance in all aspects of active operations were provided by Commander Everhart, CINCPAC Fleet; Lieutenant Commander Carol Whitner, COMTRAPAC; Lieutenant Commander J. W. Warren, COMSERGRU ONE; and Commander Moore, Operations Officer, COMSERGRU ONE. For SQUAW preparation and rigging and the myriad of other details attended to prior to actual move to the target site, high praise is reserved for all concerned at the U. S. Public Works Center, Naval Station, San Diego, California, as well as for those who provided supporting technical and logistic services. Among such groups and their corresponding services were: Public Works Center, Naval Station, San Diego, California, Logistic Support; Pearl Harbor Naval Shipyard, Fabrication of Equipment; Naval Ship Undersea Research and Development Center, Instrumentation; Naval Ship Yard, Long Beach, California, Engineering Services; Naval Ship Undersea Research and Development Center, Oceanographic Surveys; and Naval Ship Yard, Long Beach, California, SQUAW Drydocking. Successful underwater mooring of a buoyant submarine hull 300 feet below the surface in water depths of 3,492 feet is accomplished in a seven-day period by U. S. Navy vessels and personnel. The hull, used as a sonar training target and identified as the SQUAW, is held in fixed position beneath the surface by means of four mooring legs which are attached to it and which extend to the ocean floor. A stationary condition is achieved and reasonable stability is assured by arranging the legs in such a manner that they resist vertical, horizontal, and lateral movements of the hull. Two inner vertical legs with heavy counterweights resting on the ocean bottom provide the necessary vertical restraint needed to prevent the hull from rising to the surface, while two outer legs--legs which assume an underwater catenary contour configuration--attached to the bow and stern and securely anchored to the bottom restrain horizontal movement. An evaluation of the results of the mooring shows that all design specifications pertinent to the project were met. It is estimated that the SQUAW will remain in its present position from five to ten years, barring premature failure of two or more legs or accidental damage to the structure proper, in which event the hull will overcome any remaining restraints imposed on it and will rise to the surface. # CONTENTS \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| FOREWORD \| iii \| \| ACKNOWLEDGEMENTS \| iv \| \| ABSTRACT \| v \| \| SECTION 1 – – INTRODUCTION \| 1 \| \| BACKGROUND \| 1 \| \| THE CURRENT REPORT \| 1 \| \| SECTION 2 – – THE MOORING SYSTEM \| 3 \| \| GENERAL CONSIDERATIONS \| 3 \| \| THE HULL \| 3 \| \| MOORING CONFIGURATION \| 3 \| \| MOORING MATERIALS \| 3 \| \| SECTION 3 – – DESIGN CALCULATIONS \| 7 \| \| RESTRICTIONS \| 7 \| \| BOW AND STERN LEGS \| 7 \| \| BALLAST AND TRIM \| 10 \| \| SECTION 4 – – THE MOORING OPERATION \| 17 \| \| PREPARATIONS \| 17 \| \| THE OPERATIONAL PLAN \| 17 \| \| THE PHASING PROCESS \| 17 \| \| SPECIFIC PROCEDURAL RECOMMENDATIONS \| 46 \| \| INSTRUMENTATION AND OTHER AIDS \| 46 \| \| MOORING PROBLEMS \| 47 \| \| SECTION 5 – – CONCLUSIONS AND RECOMMENDATIONS \| 48 \| \| REALIZATION OF OBJECTIVE \| 48 \| \| RECOMMENDATIONS \| 48 \| \| CONCLUSIONS \| 48 \| \| Figure No. \| Title \| Page No. \| \|-----------\|----------------------------------------------------------------------\|----------\| \| Frontispiece \| SQUAW, the model experimental submarine hull, being readied for mooring operations at the Naval Ship Yard, Long Beach, California. \| \| \| 2-1 \| Profile View of the SQUAW \| 2 \| \| 2-2 \| Surface and Submerged Mooring Configuration \| 4 \| \| 2-3 \| Leg Components \| 5 \| \| 3-1 \| Catenary Leg Configuration \| 6 \| \| 3-2 \| Freeboard Measurement \| 12 \| \| 3-3 \| Subsurface Mooring Condition \| 14 \| \| 3-4 \| Form Curves \| 15 \| \| 4-1 \| Loading of ATF # 1 (CHOWANOC) \| 18 \| \| 4-2 \| Loading of ATF # 2 (MOLALA) \| 19 \| \| 4-3 \| Loading of ATA (KALMIA) \| 19 \| \| 4-4 \| Lowering Leg A-1 \| 24 \| \| 4-5 \| Lowering Leg A-2 \| 30 \| \| 4-6 \| Lowering Leg B-1 \| 34 \| \| 4-7 \| Raising Leg B-1 and Cutting for Proper Depth \| 34 \| \| 4-8 \| Mooring Legs Being Transferred to SQUAW \| 38 \| \| 4-9 \| SQUAW Configuration Before Submerging \| 42 \| \| 4-10 \| Final Configuration After Removal of Surface Buoys \| 45 \| \| Photo No. \| Title \| Page No. \| \|-----------\|----------------------------------------------------------------------\|----------\| \| 1 \| SQUAW in Drydock \| 16 \| \| 2 \| Two-inch Tow Wire on Power Reels \| 20 \| \| 3 \| Mark-4 Buoys Ready for Launching \| 22 \| \| 4 \| Short Shot of Chain Through Bull Nose \| 23 \| \| 5 \| Wire Rope Rigged, Coiled, and Lashed \| 23 \| \| Photo No. \| Title \| Page No. \| \|----------\|----------------------------------------------------------------------\|----------\| \| 6 \| Surge Buoys Being Launched \| 25 \| \| 7 \| Surge Buoys Being Retrieved \| 25 \| \| 8 \| Crown Wire Being Made Up to Eells Anchor \| 26 \| \| 9 \| CHOWANOC Lowering Anchor Over Side \| 26 \| \| 10 \| CHOWANOC Lowering Chain Over Side \| 27 \| \| 11 \| CHOWANOC and KALMIA Paying Out Wires \| 28 \| \| 12 \| UDT Readying Wire Cutters \| 28 \| \| 13 \| UDT Placing Cutters \| 29 \| \| 14 \| MOLALA Picking Up Lazy Pendant From # 2 Surge Buoy \| 31 \| \| 15 \| CHOWANOC Passing Leg A-2 Crown Wire to MOLALA \| 32 \| \| 16 \| Tensiometers Being Installed on Legs \| 33 \| \| 17 \| MOLALA Attaching 60-foot Pendant to Surge Buoy \| 36 \| \| 18 \| CHOWANOC Passing Anchor End of Leg B-1 to MOLALA \| 36 \| \| 19 \| CHOWANOC’s Small Boat with Buoy in Tow \| 37 \| \| 20 \| SQUAW Being Readied for Mooring \| 39 \| \| 21 \| MOLALA Assisting in Rigging Surge Buoys \| 40 \| \| 22 \| SQUAW, Mooring Legs in Place, Ready to Submerge \| 41 \| \| 23 \| SQUAW, Partially Submerged in First Mooring Attempt \| 43 \| \| 24 \| Mark-4 Buoys Identifying Location of SQUAW Now Moored at 300-foot Depth \| 44 \| \| 25 \| Crown Buoys Being Removed \| 44 \| \| Table No. \| Title \| Page No. \| \|-----------\|----------------------------------------------------------------------\|----------\| \| 3-1 \| Calculation of Deballasting Required \| 10 \| \| 3-2 \| Calculation of Submerged Mooring Condition \| 11 \| \| 3-3 \| Submerged Condition Loading Data \| 11 \| \| 3-4 \| Surface Mooring Condition \| 12 \| \| 3-5 \| Trim Tank Capacities \| 13 \| Frontispiece. SQUAW, the model experimental submarine hull, being readied for mooring operations at the Naval Ship Yard, Long Beach, California. SECTION 1 INTRODUCTION Background. The SQUAW, a model experimental submarine hull, has been used in the past by the Navy both as a structural target in underwater atomic tests (Operations WIGWAM and HARDTACK) and as a sonar target off the Pacific Coast. Since 1959, the hull has been employed exclusively as a sonar training device by COMTRAPAC at two separate locations off the coast of California. From 1959 to 1964 the SQUAW was submerged 200 feet below the surface of the water in an area southwest of San Diego, California. At the end of that time it unexpectedly surfaced when the stern pad eye holding the stern vertical leg failed. In December of 1965 the hull was remoored 20 miles west of Point Loma, California, but again suddenly resurfaced in 1970. Immediate inspection of the hull following this event indicated that leg failures were the principal cause in this case also. At this point, remooring was again considered, chiefly on the basis that the hull was not only important but also essential to submarine and other Navy training programs being carried out in that area. Subsequent favorable discussions among various groups and individuals interested in this matter led to a decision by the Supervisor of Salvage, Office of the Director of Diving, Salvage and Ocean Engineering Projects (Ships OOC) to proceed with the proposed effort. The Supervisor of Salvage then prepared a mooring plan and a materials list covering the entire operation. In September of 1970, representatives from agencies involved in the proposed undertaking, and others, met in San Diego, California, for a complete and thorough review of the plan. Modifications and suggestions were incorporated at that time which eventually led to finalization and approval of the proposal. The Current Report. Information contained in this report describes pre-operational and operational conduct of the project. A description of the SQUAW, the mooring system, design calculations, preparations, on-site operations, results, and conclusions are included as part of the overall presentation of all phases of the endeavor. Figure 2-1 Profile View of the SQUAW (Note: MBT indicates Main Ballast Tank) SECTION 2 THE MOORING SYSTEM General Considerations. Mooring design and material specifications were governed by established prerequisite conditions (noted below), and, furthermore, by equipment and storage limitations aboard the ships involved in the on-site operation. To reduce costs, the Supervisor of Salvage recommended that available surplus mooring materials be used where possible. On the basis of past experience, which showed that materials will deteriorate to the extent that eventual failure will occur, submerged life expectancy was set at from five to ten years. The electronic package installed on the hull for sonar training purposes was also estimated to last about five years. The basic requirements set forth were: 1. Site location-----------------32°51' N Latitude 117°44' W Longitude 2. Site water depth-----------3,492 feet 3. Submerged depth of hull---300 feet The Hull. Figure 2-1 presents a profile view of the SQUAW, its structural units, and the applicable dimensions. Buoyancy is furnished by the pressure hull and adjustments are made by the lead keel and the trim tanks which are filled with fresh water. The five main ballast tanks (MBT'S) are used to control ascent and descent movements of the hull. The four pad eyes which are welded to the hull serve to connect the mooring legs. Mooring Configuration. Surface and submerged positions of the SQUAW and the relative arrangement of the four legs at each position are shown in Figure 2-2. Note that the outer legs are identified as legs A-1 and A-2, and the inner legs as B-1 and B-2. Legs are attached to the hull before it is submerged. The SQUAW is then sunk to its design depth by flooding the ballast tanks with salt water. Upward forces are restrained and level trim is assured at the fixed 300-foot level by the two vertical counterweights, and horizontal movement is restrained by the two anchored catenary legs which are attached to the bow and stern of the hull. Mooring Materials. A list of materials and leg composition details are incorporated in Figure 2-3. Anchor chain lengths permit leg connections to be made at the surface. Chain leaders, which resist destructive hull motions, connect each leg to the hull. Wire rope pendants connected to ground rings at the chain-wire-rope juncture serve to raise and lower the legs during the installation process. At the submerged 300-foot level, the wire rope remains clear of the ocean bottom. Figure 2-2 Surface and Submerged Mooring Configuration ### Materials List \| Piece No. \| Description \| Amount \| Spare \| Total \| \|-----------\|--------------------------------------------------\|--------\|-------\|-------\| \| 1 \| 2" bolt pin shackle \| 38 \| 6 \| 44 \| \| 2 \| 1-1/4" x 294 ft w/ @ each end \| 2 \| - \| 2 \| \| 3 \| 1-1/4" detachable link \| 14 \| 2 \| 16 \| \| 4 \| 1-1/2" x 50 ft stud chain \| 22 \| 2 \| 24 \| \| 5 \| 2" Ø x 7-1/2" I.D. ring \| 4 \| 2 \| 6 \| \| 6 \| 1-1/4" x 500 wire rope w/ @ each end \| 4 \| - \| 4 \| \| 7 \| 1-1/4" x 3000 ft wire rope w/ @ each end \| 4 \| 1 \| 5 \| \| 8 \| 1-1/4" wire rope closed socket \| 32 \| 4 \| 36 \| \| 9 \| Master Swivel \| - \| - \| 4 \| \| 10 \| 1-1/4" x 2850 ft w/ @ \| 2 \| - \| 2 \| \| 11 \| 1-1/4" x 2850 ft w/ @ each end \| 2 \| - \| 2 \| \| 12 \| 1-1/4" wire rope open socket \| 4 \| 1 \| 5 \| \| 13 \| 6000 lb clump \| 2 \| - \| 2 \| \| 14 \| 8000 lb EelI \| 2 \| - \| 2 \| \| 15 \| Buried marking mark 4 \| 4 \| - \| 4 \| \| 16 \| Pear shape anchor shackle \| - \| - \| 2 \| \| 17 \| 18,330 lb clump \| 2 \| - \| 2 \| \| 18 \| 1-1/2" detachable link \| 12 \| 2 \| 14 \| \| 19 \| 1-1/4" x 1000 wire rope w/ @ \| 2 \| - \| 2 \| \| 20 \| 1-1/4" x 50 wire rope w/ @ each end \| 2 \| - \| 2 \| --- Figure 2-3 Leg Components Figure 3-1 Catenary Leg Configuration SECTION 3 DESIGN CALCULATIONS Restrictions. Mooring design calculations were directed toward determining: 1. Ballast and trim 2. Leg composition and configuration 3. Acceptable tolerances under design conditions Computations were affected by such factors as ship storage capacities, ship equipment capabilities, the physical characteristics of the ground tackle, the provision that wire-rope noncontact with the ocean bottom be maintained at all times, and more specifically, by the maximum length and tension of the wire-rope and the parallel force exerted at the anchor shaft at the ocean bottom. Bow and Stern Legs. Since the effects of ocean currents on the moorings were of negligible magnitude, the outer mooring legs assumed the configuration of a weighted catenary. See Figure 3-1 for leg contour configuration. The general equations that relate the depth (Y), the span (X), and the scope (S), are given by \[ Y = \frac{H}{W} (\sec \phi_1 - \sec \phi_o) \] (3-1) \[ X = \frac{H}{W} \ln \left[ \frac{\tan \phi_1 + \sec \phi_1}{\tan \phi_o + \sec \phi_o} \right] \] (3-2) \[ S = \frac{H}{W} (\tan \phi_1 - \tan \phi_o) \] (3-3) where: H is the horizontal component of tension W is the leg weight in water per unit length \( \phi_o \) is the lower angle with horizontal \( \phi_1 \) is the upper angle with horizontal An important characteristic of the catenary is that $H$ is constant at any point in the scope. The tension ($T$) at any point ($P$) is $$T_P = H \sec \phi_P$$ \hspace{1cm} (3-4) and the vertical force ($V_P$) is $$V_P = H \tan \phi_P$$ \hspace{1cm} (3-5) $$V_P = T_P \sin \phi_P$$ \hspace{1cm} (3-6) The following formulas are developed from the previous equations when applied to the compound catenary in the chain-wire-rope leg on a level bottom (i.e., $\phi_0 = 0$). Referring to Figure 3-1: (Note: In equations 3-7, 3-8, and 3-9, brackets designated number one (1) refer to the chain portion of the leg; number two (2) brackets refer to wire portion.) $$y = \left[ \frac{H}{W_c} (\sec \phi_1 - 1) \right]_1$$ \hspace{1cm} (3-7) $$+ \left[ \frac{H}{W_r} (\sec \phi_2 - \sec \phi_1) \right]_2$$ $$x = \left[ x_o + \frac{H}{W_c} \ln (\tan \phi_1 + \sec \phi_1) \right]_1$$ \hspace{1cm} (3-8) $$+ \left[ \frac{H}{W_r} \ln \left[ \frac{\tan \phi_2 + \sec \phi_2}{\tan \phi_1 + \sec \phi_1} \right] \right]_2$$ \[ s = \left[ x_o + \frac{H}{W_c} (\tan \phi_1) \right]_1 \] \[ + \left[ \frac{H}{W_r} (\tan \phi_2 - \tan \phi_1) \right]_2 \] \[ T_2 = H \sec \phi_2 \] \[ V_2 = H \tan \phi_2 = T_2 \sin \phi_2 \] where: - \( x_o \) is the chain scope lying on the bottom - \( \phi_1 \) is the cable angle with horizontal at the chain-wire rope junction - \( \phi_2 \) is the cable angle with horizontal at the upper end - \( W_c \) is the weight of chain per unit length - \( W_r \) is the weight of wire-rope per unit length - \( T_2 \) is the tension at the upper end - \( H \) is the horizontal component of tension - \( V_2 \) is the vertical component of tension at the upper end The approach to a solution of equations 3-7 through 3-11 is to select values of \( H \) at the surface and subsurface positions. A unique chain-wire rope scope is thus obtained. However, the solution obtained may not necessarily be acceptable, since it may exceed the mooring restrictions. In this case, a new set of values for \( H \) is selected and the process is repeated. Vertical forces are obtained by summing the weight of the chain and wire-rope in the catenary. Tension is obtained by vector addition of vertical and horizontal forces. Ballast and Trim. The required net buoyancy of the hull (surface and subsurface) was computed by summing the vertical reactive forces at these positions. Vertical rigidity at the submerged position was achieved by exerting an upward force of 5.46 tons* on the vertical legs. Design reactive forces (deballasting required, submerged mooring condition, submerged condition loading data, and surface mooring condition) were calculated as shown in Tables 3-1, 3-2, 3-3, and 3-4. Trim tank capacities are presented in Table 3-5. At the surface position, forces indicated the buoyancy that was needed to bring the SQUAW awash. An additional amount of buoyancy was required for a working freeboard. With reference to the calculations indicated in the following tables, all ballast tanks were assumed to be 100% full before deballasting. Weight increase due to "water-logged" hull, painting modifications, and to alterations were not included. Forward and after trim tank loads (1965 loadings) were adjusted in order to effect an even trim of the vessel. Tank capacity tables for these tanks were used to determine the necessary loading adjustment for proper trim. Table 3-1 Calculation of Deballasting Required \| Item \| Weight (tons) \| Remarks \| \|-------------------------------------------\|---------------\|------------------\| \| Light ship \| 409.55 \| 1965 test \| \| Five (5) main ballast tanks \| \| \| \| (salt water) 100% \| 246.38 \| 1965 loads \| \| Forward trim tank (fresh water) \| 10.15 \| 1965 loads \| \| After trim tank (fresh water) \| 5.13 \| 1965 loads \| \| Two (2) anchor legs \| 20.98 \| 1970 requirement \| \| Two (2) counterweight legs \| 10.20 \| 1970 requirement \| \| TOTAL \| 702.39 \| \| \| Submerged buoyancy \| -700.66 \| Form curves \| \| OVERWEIGHT \| 1.73 \| \| \| Reserve buoyancy \| + 8.94 * \| \| \| DEBALLAST \| 10.67 \| \| Final corrected figure (see mooring problem 4, page 47) Table 3-2 Calculation of Submerged Mooring Condition \| Item \| Weight (tons) \| Remarks \| \|-------------------------------------------\|---------------\|--------------------------\| \| Light ship \| 409.55 \| 1965 test \| \| Five (5) main ballast tanks \| 246.38 \| 1965 test \| \| Forward trim tank \| (slack) \| 1970 requirement \| \| After trim tank \| 5.13 \| 1965 test \| \| Two (2) anchor legs \| 20.98 \| 1970 mooring \| \| Two (2) counterweight legs \| 10.20 \| 1970 mooring \| \| TOTAL SUBMERGED WEIGHT* \| 692.24 \| \| \| Submerged displacement \| 700.66 \| \| \| RESERVE BUOYANCY \| 8.42* \| \| Corrected buoyancy 5.46 tons (see mooring problem 4, page 47) Table 3-3 Submerged Condition Loading Data \| Item \| Gallons \| Weight (tons) \| Remarks \| \|-------------------------------------------\|---------\|---------------\|--------------------------\| \| A. Trim tanks (fresh water) \| \| \| \| \| After trim tank \| 1382 \| 5.13 \| Fresh water at 269.28 G/T \| \| \| \| \| SDG: 3 ft-l in \| \| B. Main ballast tanks \| \| \| Salt water at 261.8 G/T \| \| No. 1, 100% \| 12574 \| 48.03 \| \| \| No. 2, 100% \| 18288 \| 69.85 \| \| \| No. 3, 100% \| 11428 \| 43.65 \| \| \| No. 4, 100% \| 12574 \| 48.03 \| \| \| No. 5, 100% \| 9636 \| 36.81 \| \| \| TOTAL WEIGHT* \| --- \| 246.37 \| \| \| C. Two anchor legs \| --- \| 20.98 \| Two (2) at 23,500# each \| \| Two (2) counterweight legs \| --- \| 10.20 \| Two (2) at 11,420# each \| \| TOTAL WEIGHT \| --- \| 31.18 \| \| ### Table 3-5 Trim Tank Capacities #### Forward Trim Tank (FR 2-14½ Ø) \| CG of Vol Above Bottom of Keel (ft) \| Feet \| Gallons Corresponding to Each Inch of Sounding \| \|-------------------------------------\|------\|-----------------------------------------------\| \| \| \| 0" \| 1" \| 2" \| 3" \| 4" \| 5" \| 6" \| 7" \| 8" \| 9" \| 10" \| 11" \| \| 3.20 \| 0 \| 80 \| 94 \| 109 \| 123 \| 137 \| 152 \| 166 \| 180 \| 195 \| 209 \| 223 \| 238 \| \| 3.65 \| 1 \| 252 \| 289 \| 327 \| 364 \| 401 \| 439 \| 476 \| 513 \| 551 \| 588 \| 625 \| 663 \| \| 4.53 \| 2 \| 700 \| 765 \| 830 \| 895 \| 960 \| 1128 \| 1295 \| 1463 \| 1630 \| 1798 \| 1965 \| 2133 \| \| 5.45 \| 3 \| 2300 \| 2473 \| 2646 \| 2819 \| 2992 \| 3165 \| 3339 \| 3512 \| 3685 \| 3858 \| 4031 \| 4204 \| \| 6.14 \| 4 \| 4377 \| 4550 \| 4273 \| 4896 \| 5069 \| 5242 \| 5415 \| 5588 \| 5761 \| 5934 \| 6107 \| 6280 \| \| 6.83 \| 5 \| 6453 \| 6626 \| 6799 \| 6972 \| 7145 \| 7318 \| 7492 \| 7665 \| 7838 \| 8011 \| 8184 \| 8357 \| \| 7.52 \| 6 \| 8530 \| 8693 \| 8856 \| 9019 \| 9183 \| 9346 \| 9509 \| \| \| \| \| \| SNDG at 100% = 6'-6 7/8" = 9672 CG = 7.92' #### After Trim Tank (FR 38½-51) \| CG of Vol Above Bottom of Keel (ft) \| Feet \| Gallons Corresponding to Each Inch of Sounding \| \|-------------------------------------\|------\|-----------------------------------------------\| \| \| \| 0" \| 1" \| 2" \| 3" \| 4" \| 5" \| 6" \| 7" \| 8" \| 9" \| 10" \| 11" \| \| 3.17 \| 0 \| 73 \| 85 \| 97 \| 109 \| 121 \| 133 \| 145 \| 157 \| 169 \| 181 \| 193 \| 205 \| \| 3.63 \| 1 \| 217 \| 253 \| 289 \| 325 \| 361 \| 397 \| 434 \| 470 \| 506 \| 542 \| 578 \| 614 \| \| 4.44 \| 2 \| 650 \| 708 \| 765 \| 823 \| 880 \| 918 \| 955 \| 993 \| 1030 \| 1068 \| 1105 \| 1143 \| \| 5.41 \| 3 \| 1180 \| 1382 \| 1583 \| 1785 \| 1987 \| 2188 \| 2390 \| 2592 \| 2793 \| 2950 \| 3197 \| 3398 \| \| 6.10 \| 4 \| 3600 \| 3801 \| 4003 \| 4205 \| 4407 \| 4608 \| 4810 \| 5012 \| 5213 \| 5415 \| 5617 \| 5818 \| \| 6.79 \| 5 \| 6020 \| 6222 \| 6423 \| 6625 \| 6827 \| 7028 \| 7230 \| 7432 \| 7633 \| 7835 \| 8037 \| 8238 \| \| 7.50 \| 6 \| 8440 \| 8606 \| 8771 \| 8937 \| 9103 \| 9269 \| 9434 \| 9600 \| \| \| \| \| SNDG at 100% = 9672 CG = 7.92' Total surface displacement and reserve buoyancy were calculated as shown in Table 3-4 below. Refer to Figure 3-2 for sketch of freeboard measurement. The subsurface mooring condition of the SQUAW is illustrated in Figure 3-3, and the form curves appertaining thereto in Figure 3-4. Table 3-4 Surface Mooring Condition \| Item \| Weight (tons) \| Remarks \| \|----------------------------------------------------------------------\|---------------\|--------------------------\| \| A. Surface mooring condition \| \| \| \| Light ship \| 409.55 \| \| \| Main ballast tanks 1, 3, and 4, 100% full \| 139.71 \| \| \| Two (2) anchor legs \| 20.98 \| 1970 requirement \| \| Two (2) counterweight legs \| 10.20 \| 1970 requirement \| \| Two (2) counterweights at 18330# each \| 16.37 \| 1970 requirement \| \| After trim tank \| 5.13 \| 1965 test \| \| TOTAL SURFACE DISPLACEMENT \| 601.94 \| \| \| Mean draft (15.01 ft + 4.56 ft) \| 19.57 ft \| Form curves \| \| Draft awash \| 23.04 ft \| \| \| Freeboard \| 3.49 ft \| \| \| Freeboard \| 3.5 ft \| See Figure 3-2 \| \| B. Reserve buoyancy \| \| \| \| Total displacement \| 700.66 \| \| \| Surface displacement \| 601.94 \| \| \| RESERVE BUOYANCY \| 98.72 \| \| Figure 3-2 Freeboard Measurement Figure 3-3 Subsurface Mooring Condition REFERENCE LINE FOR CURVES IS BOTTOM OF KEEL, 4' - 6 3/4" ABV. KEEL BALLAST. REFERENCE LINE OF DRAFT MARKS IS OF KEEL BALLAST EXTENDED. LONGITUDINAL CENTER OF BUOYANCY TONS PER INCH OF IMMERSION DISPLACEMENT IN SALT WATER WITHOUT BALLAST DISPLACEMENT IN SALT WATER WITH BALLAST LONGITUDINAL CENTER OF FLOTATION TRANSVERSE METACENTER WITH BALLAST (KM) VERTICAL CENTER OF BUOYANCY WITH BALLAST Figure 3-4 Form Curves Photo # 1 SQUAW in Drydock SECTION 4 THE MOORING OPERATION Preparations. The magnitude and complexity of the contemplated project demanded extensive as well as intensive planning and preparation prior to on-site installation of the hull. Important matters such as funding; obtaining materials and equipment; loading and scheduling ships; procuring required instrumentation (tensionmeters and footage indicators, depth recorders, surveying equipment) and securing the specialized personnel needed to monitor measurements and record data; drydocking the SQUAW for repairs, and ballasting and trimming it to the specified design conditions; and coordinating all aspects of the operation were completely and thoroughly considered and discussed. All actions taken in this regard were directed toward and pointed to a smooth operational performance during the entire activity and to a successful achievement of the objective. The Operational Plan. Operations were launched from the U. S. Naval Station, San Diego, California, and mooring was effected by proceeding through eight distinct phases (graphically illustrated in Figures 4-1 through 4-10) as indicated below. \| Phase \| Activity \| \|-------\|----------\| \| 1 \| Load ships \| \| 2 \| Lower leg A-1 \| \| 3 \| Lower leg A-2 \| \| 4 \| Lower leg B-2; measure and cut for depth \| \| 5 \| Lower leg B-1 \| \| 6 \| Transfer all legs to SQUAW \| \| 7 \| Flood ballast tanks and correct catenary \| \| 8 \| Remove surface buoys \| Procedures applicable to each phase were implemented by following a "sequence of events" which established the orderly, successive step-by-step actions to be taken by ships and personnel. Such scheduling, of course, did not preclude the use of initiative by officers and men involved if, during the operation, unexpected or unusual circumstances, conditions, or occurrences forced departures or deviations from the prescribed standards, specifications, or routine set forth. The Phasing Process. All details and activities relative to ship movements, personnel assignments, and equipment readiness were coordinated so that a smooth, steady, and uninterrupted overall operation would be assured within the planned time-frame. Each phase was designed to succeed the preceding one in a merging fashion. PHASE 1 -- LOAD SHIPS (Note: Refer to Figures 4-1, 4-2, and 4-3 for illustrations of location and arrangement of materials and equipment on each of the three ships actively involved in the mooring operation prior to their departure from port. Also refer to the "Materials List" inserts for easy identification of "piece numbers" noted in the description of procedures which follows.) Figure 4-1 Loading of ATF # 1 (CHOWANOC) Figure 4-2 Loading of ATF #2 (MOLALA) Figure 4-3 Loading of ATA (KALMIA) Loading of each ship and rigging of the SQUAW were accomplished in the following manner: ATF #1 (CHOWANOC) 1. Two-inch two wire from drum and wire from wing drums were removed and stored on power reels. (Photo #2) ![Photo # 2](image) Two-inch Tow Wire on Power Reels 2. Loaded leg A-1 (pieces 6 through 14) and stored pieces 6, 1, 5, 10, and 11 on towing drum in that order. Stored eight pieces of number 4 on deck and secured and lashed pieces 13 and 14 over the side ready for release. 3. Loaded leg A-2 crown wire and buoy pieces 7, 15, 19, and 20. Stored pieces 7, 19, and 20 on wing drum in that order. When leg A-1 is layed, leg A-2 crown wire is to be transferred from wing drum to empty A-1 towing drum. 4. Loaded Mark 2 buoy (not listed in "Materials List") to secure bitter end of leg A-1. ATF #2 (MOLALA) 1. Two-inch tow wire from drum and wire from wing drum were removed and stored on power reels. 2. Loaded leg A-2 (pieces 6 through 14) and stored pieces 6, 1, 5, 10, and 11 on towing drum in that order. Stored eight pieces of number 4 on deck. Secured and lashed pieces 13 and 14 over the side ready for release. 3. Loaded legs B-1 and B-2 by securing and lashing piece 17 to quarter bitts ready for lowering (done both port and starboard sides). Stored pieces 7 and 6 on wing drums leg B-1 starboard and leg B-2 port). 4. When leg A-2 is layed, leg B-1 will be transferred from wing drum to empty leg A-2 towing drum ready for lowering. When leg B-1 is removed, leg B-2 will be transferred from wing drum to empty leg B-1 towing drum for lowering. ### Materials List \| Piece No. \| Description \| Amount \| Spare \| Total \| \|-----------\|--------------------------------------------------\|--------\|-------\|-------\| \| 1 \| 2" bolt pin shackle \| 38 \| 6 \| 44 \| \| 2 \| 1-1/4" x 294 ft w/(8) each end \| 2 \| - \| 2 \| \| 3 \| 1-3/4" detachable link \| 14 \| 2 \| 16 \| \| 4 \| 1-1/2" x 90 ft stud chain \| 22 \| 2 \| 24 \| \| 5 \| 2" Ø x 7-1/2" I.D. ring \| 4 \| 2 \| 6 \| \| 6 \| 1-1/4" x 500 wire rope w/(8) each end \| 4 \| - \| 4 \| \| 7 \| 1-1/4" x 3000 ft wire rope w/(8) each end \| 4 \| 1 \| 5 \| \| 8 \| 1-1/4" wire rope closed socket \| 32 \| 4 \| 36 \| \| 9 \| Miller Swivel \| - \| - \| 4 \| \| 10 \| 1-1/4" x 2850 ft w/(8) (12) \| 2 \| - \| 2 \| \| 11 \| 1-1/4" x 2850 ft w/(8) each end \| 2 \| - \| 2 \| \| 12 \| 1-1/4" wire rope open socket \| 4 \| 1 \| 5 \| \| 13 \| 6000 lb clump \| 2 \| - \| 2 \| \| 14 \| 8000 lb Eell \| 2 \| - \| 2 \| \| 15 \| Buoy, mooring mark 4 \| 4 \| - \| 4 \| \| 16 \| Pear shape anchor shackle \| - \| - \| 2 \| \| 17 \| 18,330 lb clump \| 2 \| - \| 2 \| \| 18 \| 1-1/2" detachable link \| 12 \| 2 \| 14 \| \| 19 \| 1-1/4" x 1000 wire rope w/(8) (12) \| 2 \| - \| 2 \| \| 20 \| 1-1/4" x 50 wire rope w/(8) each end \| 2 \| - \| 2 \| ATA (KALMIA) 1. Two-inch towing wire from drum was removed and stored on power reel. 2. Loaded leg A-1 crown wire on towing drum starting with pieces 20, 17, and 19. Faked out piece 19 on deck. Loaded piece 15 on deck ready for attaching. 3. Loaded 1,000-pound clump, 4,000 feet of 4-1/2-inch nylon, and marker buoy on deck. 4. Loaded two pieces of number 15 on deck on skids for launching without lifting. (Photo #3) Photo # 3 Mark-4 Buoys Ready for Launching 1. Made fast all pieces number 4 and made fast lower ends on deck. Made up short shot of chain through bull nose for the tow line. (Photo #4) 2. Rigged with fender (removed before flooding). 3. Rigged, coiled, and lashed pieces number 2 before getting underway. (Photo #5) Photo #4 Short Shot of Chain Through Bull Nose Photo #5 Wire Rope Rigged, Coiled, and Lashed Figure 4-4 Lowering Leg A-1 PHASE 2 -- LOWER LEG A-1 1. KALMIA departed for operations area and on arrival laid positioning buoy and made fathometer survey. 2. CHOWANOC and MOLALA arrived the following day and layed leg A-1 (see Figure 4-4). 3. Operational movement proceeded as follows: (A) CHOWANOC kept in vicinity of position buoy. (B) KALMIA closed CHOWANOC and launched two surge buoys piece 15. (Photo #6) (C) CHOWANOC retrieved surge buoys and brought them alongside. (Photo #7) (D) KALMIA passed messenger to CHOWANOC and payed out crown wire to CHOWANOC. Photo # 6 Surge Buoys Being Launched Photo # 7 Surge Buoys Being Retrieved (E) CHOWANOC made up crown wire to Eells anchor. (Photo #8) (F) KALMIA payed out crown wire to about 1,000 feet. (G) CHOWANOC shackled surge buoy pendant to Eells anchor and lowered anchor over side (Photo #8) until buoy supported weight of anchor. Photo # 8 Crown Wire Being Made up to Eells Anchor Photo # 9 CHOWANOC Lowering Anchor over Side (H) CHOWANOC secured nylon distance line to buoy. (I) CHOWANOC lowered three shots of chain over side. (Photo #10) (J) CHOWANOC secured wire pendant from #2 surge buoy to 6,000-pound clump. (K) CHOWANOC secured 100-foot distance line to #2 surge buoy. (L) CHOWANOC lowered 6,000-pound clump over side until buoy supported its weight. (M) CHOWANOC let go surge buoy, payed out five shots of chain, and transferred weight of chain to towing drum wire. Photo # 10 CHOWANOC Lowering Chain over Side (N) CHOWANOC station kept and payed out 5,700 feet of wire and KALMIA payed out 4,000 feet of crown wire (both wires payed out to their full length). (Photo #11) (O) KALMIA put boat in water and secured nylon line to #1 surge buoy. (P) UDT personnel readied wire cutters. (Photo #12) Photo # 11 CHOWANOC and KALMIA Paying Out Wires Photo # 12 UDT Readying Wire Cutters (Q) KALMIA took station 4,000 feet upwind from CHOWANOC. (R) UDT placed cutters and fired. (Photo #13) Anchor leg settled to bottom and KALMIA retrieved both surge buoys, brought buoys alongside, and stretched out anchor and clump. (S) KALMIA secured crown buoy to crown wire and let crown buoy go into water. (T) KALMIA delivered surge buoys to CHOWANOC. (U) CHOWANOC took one buoy, secured it to ring of anchor leg (piece 5), and slacked off wire until surge buoy supported bitter end of anchor leg. (V) CHOWANOC attached lazy pendant of #2 surge buoy to #1 Mark-4 buoy and let them ride free. (W) KALMIA remained in area and assisted until moor was set. (X) KALMIA returned to port and picked up SQUAW and surge buoys (piece 15). Figure 4-5 Lowering Leg A-2 PHASE 3 -- LOWER LEG A-2 1. CHOWANOC and MOLALA layed leg A-2 as shown in Figure 4-5. 2. Operations proceeded as follows: (A) MOLALA picked up lazy pendant from #2 surge buoy to her bow chock until piece 5 (big ring) was just outside of gunwale. (Photo #14) Photo # 14 MOLALA Picking up Lazy Pendant from # 2 Surge Buoy (B) MOLALA secured both surge buoys alongside. (C) CHOWANOC passed leg A-2 crown wire to MOLALA. (Photograph #15) Photo # 15 CHOWANOC Passing Leg A-2 Crown Wire to MOLALA --AT THIS POINT, REPEAT STEPS TAKEN IN PHASE 2, 3(A) THROUGH 3(W), WITH THE CHOWANOC TAKING THE PLACE OF THE KALMIA IN THIS PHASE-- (D) CHOWANOC and MOLALA installed tensiometers in legs. (Photo #16) Photo # 16 Tensiometers Being Installed on Legs (E) CHOWANOC went downwind heading and took a strain. (F) CHOWANOC observed tensiometer readings until leg A-2 was on bottom. Figure 4-6 Lowering Leg B-1 Figure 4-7 Raising Leg B-1 and Cutting for Proper Depth PHASE 4 -- LOWER LEG B-2; MEASURE AND CUT FOR DEPTH 1. MOLALA lowered leg B-1 and made final depth calculation for cutting SQUAW's chain pendants to proper length for both legs B-1 and B-2. (See Figures 4-6 and 4-7.) 2. Operations proceeded as follows: (A) Pieces 9, 4, and 17 were attached to leg B-1 and cable readout was placed on leg B-1. (B) Lowering procedures began, but were interrupted by a wire mishap (see Mooring Problem #3, page 47). Operational method was revised (see Figure 4-6) to similar lowering plan used for legs A-1 and A-2, and leg B-2 was used in lieu of leg B-1. (C) A 60-foot pendant was attached to the surge buoy (piece 15) and the 18,000-pound clump (piece 17) was attached to the pendant. Leg B-2 was attached to the clump. (D) Clump was lowered until buoy supported the weight. (E) Buoy was floated forward to the bow and leg B-2 was payed out. (F) UDT personnel placed cutters on pendant and fired, allowing leg to settle on bottom. (G) Leg B-2 was measured. SQUAW chain (piece 4) cut for placing on the SQUAW. Leg B-2 was secured to deck. PHASE 5 -- LOWER LEG B-1 1. CHOWANOC and MOLALA lowered leg B-1. 2. Operations proceeded as follows: (A) MOLALA attached 60-foot pendant to surge buoy. (Photo #17) (B) CHOWANOC moored to MOLALA's starboard side and passed anchor end (Photo #18) of leg B-1 (piece 8) to MOLALA. (C) MOLALA shackled leg B-1 to Miller Swivel (piece 9) and lowered overboard with 18,000-pound clump (piece 17) until buoy supported weight. (D) CHOWANOC's small boat took a position off MOLALA's port bow with buoy in tow. (Photo #19) (E) CHOWANOC payed out leg B-1 and passed ring (piece 5) to MOLALA which secured it to the deck. (F) UDT personnel placed cutters on pendant and fired, allowing leg to settle on bottom. Figure 4-8 Mooring Legs Being Transferred to SQUAW PHASE 6 -- TRANSFER ALL LEGS TO SQUAW (See Figure 4-8) 1. KALMIA brought SQUAW to MOLALA. MOLALA cut SQUAW chain pendants to proper length and secured legs B-1 and B-2 to SQUAW chain pendants. MOLALA slacked leg B-1 until SQUAW had weight of leg. Procedure was repeated for leg B-2. MOLALA placed her mooring lines to SQUAW. MOLALA transferred leg A-2 to SQUAW and let SQUAW take weight of leg. Procedure was repeated for leg A-1. MOLALA secured retaining lines to the three fenders on the SQUAW and cut fenders free from the SQUAW. MOLALA retrieved fenders and cleared side of SQUAW. 2. Operational movement proceeded as follows: (A) KALMIA brought SQUAW alongside MOLALA. (Photo #20) (B) KALMIA kept pieces #15 alongside until time to attach SQUAW. (C) MOLALA transferred legs B-1 and B-2 by making up pieces 1 and 5 and lowering weight to SQUAW. (D) When the SQUAW was supporting weight of leg B-1, piece 6 was cut. (E) Procedure was repeated for leg B-2. (F) At this point, ship mooring lines were made up to the SQUAW. (G) Pieces 1 and 6 were made up and leg A-2 was transferred to the SQUAW. (H) Weight was lowered to the SQUAW on piece 6. (I) Piece 6 was cut when SQUAW had weight of the leg. (J) Procedure was repeated for leg A-1. (K) MOLALA remained moored alongside and assisted in rigging the surge buoys (piece #15). (Photo #21) Photo # 21 MOLALA Assisting in Rigging Surge Buoys (L) CHOWANOC recovered leg A-2 crown buoy and took strain to predetermined mooring tension. (M) MOLALA removed rubber fenders and cleared side of SQUAW. (Photo #22) Photo # 22 SQUAW, Mooring Legs in Place, Ready to Submerge (N) Rubber boat was launched to pay out sonar sensor and prepared to open flood valves. Figure 4-9 SQUAW Configuration Before Submerging PHASE 7 -- FLOOD BALLAST TANK AND CORRECT CATENARY 1. Ballast tanks were opened and SQUAW was submerged to proper depth while CHOWANOC took proper tension to correct catenary. 2. Operational movement proceeded as follows: (A) CHOWANOC retrieved crown buoy and took crown line (piece 19) on board and lifted anchor and clump (pieces 13 and 14) off bottom. (B) CHOWANOC took necessary pull on leg A-2 to reach the predetermined tension necessary to pull the SQUAW down to depth. (C) Signal was given to open flood valves. SQUAW did not reach prescribed depth on first attempt (see Mooring Problem #4, page 47). (Photo #23) (D) CHOWANOC reduced tension on leg A-2 and SQUAW surfaced. Ballast was recalculated. (E) MOLALA added additional ballast needed on SQUAW by using 2-1/4-inch anchor chain. (F) Procedures (A), (B), and (C) above were repeated. SQUAW submerged to the 300-foot mooring depth. (Photo #24) Photo # 24 Mark-4 Buoys Identifying Location of SQUAW Now Moored at 300-foot Depth PHASE 8 -- REMOVE SURFACE BUOYS (See Figure 4-10) 1. All vessels stood by for navigation fixes on final position of the SQUAW target. 2. Crown buoys were removed (Photo #25) and all ships returned to port. Photo # 25 Crown Buoys Being Removed Figure 4-10 Final Configuration After Removal of Surface Buoys Specific Procedural Recommendations. Safety was of utmost and of primary concern throughout all phases of the operation. Dangers and hazards inherent in moving and handling heavy equipment and cumbersome weights, precision timing required in performing assigned tasks, and many other factors related to safety considerations were taken into account, and measures and care taken in advance to minimize and reduce the probability of injuries to personnel or damage to equipment. In addition to the rules and regulations set down in this regard, two specific recommendations were made as indicated below. With regard to the heavy anchor weights and the 18,330-pound weights, it was recommended that: 1. The anchor weights and chain be lowered over the side by using the wire on the towing drum. Pelican hooks would be used for this purpose. 2. The 18,330-pound weights be lowered from the stored position at the quarter bitts to the main legs by using 1-1/4-inch wire on the wing drum. Wire and snatch blocks were furnished for this purpose. Instrumentation and Other Aids. Various measuring devices indispensable to the operation were utilized to obtain information, record data, and maintain constant monitoring of changes that occurred. Accuracy required in crucial and critical moments dictated the use of such instruments as tensiometers and footage indicators for measuring cable tension and length. Recording capacities of these particular devices were 100,000 pounds. In addition to the foregoing, a depth recorder was used to produce a bathymetric chart of the mooring area. Of equal importance were the many activities associated with communication, navigation, and distance measurements. Means were provided by which all ships in the task force could at any time quickly determine their relative and absolute positions and the distance between them. Ocean currents were investigated (surface, mid-water, and bottom) to determine direction and magnitude, and ocean bottom characteristics were studied and examined. Accurately positioned buoys served to guide and aid ship movements and provided visual reference when vessels maintained their stationary positions. Mooring Problems. An operation of this size and magnitude did not escape the unexpected problems which somehow appear despite all precautions taken and preparations made. Mooring problems encountered were not of a major character and are listed as follows: 1. All wire rigging was made up with fittings in place, which created a storage problem. The wire was stored on the towing machine drums. 2. The total rigging/towing gear was difficult to work in that the crews of the ships were not sufficiently experienced in this aspect of the operation. 3. One 3,000-foot wire was damaged while it was being removed from the stowage drum and had to be replaced. 4. The lack of exact light ship weight required an adjustment in ballast after the first attempt was made to put the SQUAW in its moored condition. SECTION 5 CONCLUSIONS AND RECOMMENDATIONS Realization of Objective. Achievement of the objective was realized as planned. The SQUAW was moored at the specified design depth within the time period allotted and without any major setbacks or mishaps. Planning, coordination, personnel skills, and leadership were combined in a closely knit operation to bring about a successful conclusion to this activity. Recommendations. On the basis of this mooring experience, it is recommended that: 1. The drop system be utilized in the deployment of large mooring systems. 2. When any mooring system is recovered following long use, inspection should be made for causes of failure and a report prepared on the findings. 3. All equipment should be made up and secured on deck prior to arrival on the site. 4. More time be allotted in advance of the task to crew training. Conclusions. It is concluded that: 1. Crew training and crew efficiency are critical elements in the procedural process. 2. The drop system makes the handling of huge amounts of mooring equipment safer, even in rough seas. 3. 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Host of Friends Open AA Speaker Meeting Enjoy a host of friends, fellowship and a Message of experience, strength and hope… Featured Guest Speakers: December 7 th: John C. Seeing is Believing December 14 th: Derek E. Shoulder to Shoulder December21 st: Jen M. It Might Have Been Worse December 28 th : Erick B. Fox Hall SATURDAYS @ 7 P.M. West Suburban Alano 5235 Woodhill Road Minnetonka www.westsuburbanalano.com Bring your friends ◄Speaker Referrals Welcome►	<urn:uuid:0dbc5427-732f-483e-b595-cbff86dce7f6>	CC-MAIN-2018-47	http://westsuburbanalano.com/wp-content/uploads/2013/11/Host-of-Friends-December-2013.pdf	2018-11-19T13:22:29Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-47/segments/1542039745762.76/warc/CC-MAIN-20181119130208-20181119152208-00547.warc.gz	351,693,018	132	eng_Latn	eng_Latn	0.937174	eng_Latn	0.937174	[ "eng_Latn" ]	false	rolmOCR	[ 480 ]
St. Luke the Evangelist Scottish Episcopal Church Job Description – Community Pantry Development Worker Responsible to: The Vestry, St Luke's Scottish Episcopal Church, Glenrothes Salary: £22,000 per annum pro rata Hours of work: 9 hours per week on a flexible basis to include some evenings and some weekends (to support community needs); fixed-term post funded initially for 2 years. Funding: The National Lottery Community Fund Office Base: St Luke's Scottish Episcopal Church, Auchmuty, Glenrothes Pension: The employee will be assessed under auto-enrolment pension legislation and if eligible, minimum contributions will be made. Annual Leave: 25 days, plus public bank holidays pro rata Criminal Records Check: A Basic disclosure will be required About us: This is an exciting opportunity to join the Peace 'n' Jam (PNJ) team, a community project run by St Luke's Scottish Episcopal Church in Glenrothes. Through funding from The National Lottery Community Fund* we have refurbished run down and tired spaces in our church building to establish a community kitchen – 'The Couthy' and social hub (flexible community space) – 'The Gathering Hall', 'The Scullery' (small kitchen) and 'The Haiver' (meeting room). Over the coming years, PNJ would like to use the power of food to bring people together. PNJ aspires to make a positive difference to the lives of people within the Auchmuty/Warout neighbourhoods and beyond; and to support community groups and charities working with people and within our community. We will do this by providing a variety of different ways for food to be a part of the community. We are currently working to establish a community pantry & community fridge; and to offer a weekly community meal and gatherings. We also hire out our facilities for the use of the community, groups and individuals to deliver a range of projects, events and skills training. We want to make this a place that respects, appreciates and welcomes everybody. Job Role: The Community Pantry Development Worker will have a key role in starting up, coordinating and growing our Community Pantry initiative; with support from the team. The post holder will then oversee the daily running and operational delivery of the Community Pantry using a "hands on" approach. This will include recruitment, induction, training, and support of volunteers. You will also assist in measuring the impact of the initiative and give information (evidence) to the team that can be used to shape our community activity. You will have experience of community pantry' activity and networks, and of working alongside individuals, groups and members of the public from a range of backgrounds . You should have a willingness to work using your own initiative and as part of the team; and confidence to adapt and work under pressure. The ideal candidate will have ability to grow our vision of a dignified response to food insecurity and passion for working with and within the community, be motivated by our vision and have the ability to demonstrate our values of dignity, respect and inclusion in the work that you do. Specific Responsibilities * Start up and effectively run our Community Pantry initiative on a day-to-day basis. * Communicate with stakeholders and create sustainable relationships for food provision. * Manage, coordinate and collect deliveries and donations, and support stock control. * With the support of Community Engagement Officer, provide opportunities for individuals to volunteer and participate, including support and training. * Involve pantry members in the shaping and delivery of the community pantry. * Setting up and tidying of food pantry space/resources and community kitchen before and after activities. * Assist in measuring the impact of the initiative and give information (evidence) to the team that can be used to shape our community activity. * Support the team to develop and deliver a range of food activities. * Liaise with the Community Engagement Officer and colleagues to agree initiatives and planning for activities. * Attend local events and groups to promote the work of the project and evolving activities. * Work in cooperation with the Community Engagement Officer to promote our activities on social media. . General responsibilities * To work as part of the Peace 'n' Jam team to promote and encourage participation in the evolving Auchmuty community groups, programmes and activities. * To promote the values of Peace 'n' Jam when working in the local community. * To comply fully with the organisation's ethos, policies and procedures and relevant legislation. * To engage with our community in a way that empowers local people to take ownership of their community space and adopt sustainable behaviour changes. * To work and communicate effectively with other team members (staff, sessional workers and volunteers) to achieve goals. * To work constructively and effectively with partners, groups and organisations. * To provide an excellent participant experience. * To report on the success of allocated tasks. * To attend and contribute to team meetings and training courses. * To participate in ongoing supervision and appraisals. * To undertake other reasonable duties in line with the job purpose. This job description will be subject to review in the light of changing circumstances and may include any other duties and responsibilities as may be determined in consultation with the postholder. It is not intended to be rigid or inflexible but should be regarded as providing guidelines within which the individual works. * The full refurbishment of our building was also funded by Fife Environmental Trust, the Scottish Episcopal Church, Building Grants Fund and ourselves. Person Specification: Community Pantry Development Worker Qualifications * HNC or similar in a relevant discipline. Experience and knowledge * Experience/working knowledge of 'community pantry' activity and networks. * Experience/working knowledge of surplus redistribution and platforms. * Knowledge of adequate, nutritious and culturally appropriate food. * Knowledge and understanding of working safely and food hygiene procedures. * Knowledge and understanding of the benefits of sustainable food and waste reduction. Skills * Able to perform physical tasks including lifting and loading. * Excellent time & priority management and organisational skills. * Excellent communication skills – written and verbal. * Ability to monitor, gather and use information (evidence) to shape community activity. * Ability to build relationships with a wide variety of individuals to achieve positive outcomes and establish sustainable relationships * Ability to provide opportunities for individuals to contribute and volunteer. * IT Skills - Microsoft Word, Excel and Social Media. Ethos and approach * Confident in proactively reaching out to the food distributors and platforms. * Willingness to listen to local voices, colleagues and volunteers to acquire and share information. * Flexible and solution-focused. * Recognise the social value of food. * A commitment to working as part of a team with a vision of a dignified response to food insecurity * Ability to represent the work of Peace 'n' Jam to the public with commitment and integrity. * A willingness and commitment to undertake the role in a professional manner and maintain highquality work at all times. * To help promote an effective, positive and constructive team culture, where the work of others is valued and respected Desirable * Elementary Food Hygiene Certificate. * Emergency First Aid at Work Certificate. * Experience of working with volunteers. * Interested in food insecurity and the social value of food. * Driving licence and access to car. Application Process We welcome your interest in the Community Pantry Development Worker role. Before completing and returning an application form, we ask that you read these guidelines fully. Peace 'n' Jam is committed to equality, diversity and inclusion. The Vestry will shortlist applications, considering only information that is relevant: * what the job involves; * what skills, qualities and experience a person will need to do it; * employment history; * education, training and qualifications. We believe this approach ensures good practice recruitment with your application being considered on skills and experience, rather than on other information. Please do not send your CV as this will not be accepted as a substitute for an application form. If you need us to make certain changes (known as 'reasonable adjustments') to make sure you're not disadvantaged during the recruitment process, you should contact us as soon as possible. Email us at [email protected]. The Vestry is committed to safeguarding as an integral part of the activity of the charity. You will need a Basic disclosure for this role. If you have any other questions about this opportunity, please call 01592 754206 (office) or 07858 594430 (Fr. Gerry Dillon) or email [email protected]. Interview Interviews are scheduled to take place mid-November 2021. If you are selected for the interview, we will write to you by email to confirm the date, time and location of your interview. Due to practical constraints, receipt of application forms will not be acknowledged. Returning your application Applications should be emailed to [email protected]. Alternatively, applications can be posted to: Peace 'n' Jam, St. Luke's SEC, Ninian Quadrant, Glenrothes, Fife, KY7 4HP. All forms must be received by 12 noon on the closing date, Monday 8th November 2021. Please note that applications received after the deadline will not be considered. Equal and Diversity Statement The Scottish Episcopal Church is diverse in its tradition, outlook and culture. Such diversity enriches the Church and is expressed in warm relationships of mutual respect for one another. The Vestry of St. Luke's celebrates and welcomes diversity in our church and in society as a whole. Thus, we make every effort to promote equality, diversity and inclusion and eliminate discrimination. Our Peace 'n' Jam project puts equality at the heart of its activity. We aspire to reflect the diversity of Scotland and make the most of the skills different people in our local community can bring to our project. To support this, we seek to ensure that our recruitment and selection processes are fair and we do not discriminate against candidates. You will not be discriminated against for any of the following reasons: * age * race * gender reassignment * being married or in a civil partnership * being pregnant or on maternity leave * disability These are called protected characteristics. You will not be treated less favourably based on whether you are, or are not, a trade union member or have caring responsibilities. Asking for reasonable adjustments If you need us to make certain changes (known as 'reasonable adjustments') to make sure you're not disadvantaged during the recruitment process, you should contact us as soon as possible. Email us at [email protected]. Safeguarding, Disclosure and Criminal Record Checks The Vestry is committed to safeguarding as an integral part of the activity of the charity. We believe everyone who participates with church activities is responsible for promoting a safe place even where the role doesn't involve any direct contact with children or protected adults. You may need a criminal record check from Disclosure Scotland if you're applying for paid or unpaid work, or volunteering. Disclosure means sharing sensitive personal information. Disclosure Scotland checks and shares information about people's criminal records. This helps organisations to employ the right people for certain types of work, like working with children or protected adults. The type of check to be used depends on the voluntary or paid work you're doing or the role you are carrying out. You will need a Basic disclosure for this role. A basic disclosure is the most common and lowest level of disclosure available. It includes information on any 'unspent' convictions the person has. Under the Rehabilitation of Offenders Act 1974, some criminal convictions can be treated as 'spent' – meaning they're not relevant to basic disclosure – after a certain length of time. Spent convictions are not included on a basic disclosure. * religion or belief * sex * sexual orientation The Vestry is committed to good practice recruitment. We do not request 'unspent' criminal record information during the initial application stage of recruitment. To this end, an applicant will be assessed on their skills and experience, rather than their background, unless strictly relevant to the role. Data Protection The Data Protection Act 2018 controls how your personal information is used by us. Everyone responsible for using personal data has to follow strict rules called 'data protection principles.' Please read our Privacy Policy , together with the privacy notice below, as it contains important information about how we collect, manage, use and protect your personal data. Privacy Notice If you apply online for a position with our Peace 'n' Jam project, we will use the information you provide to assist in the recruitment selection process and as set out above. The Vestry, St Luke's may also seek additional information from other sources, for example, by using your references. References will only be taken up for applicants who are shortlisted for interview, or unless we ask your permission to do so. Information provided on the application form and any information obtained from other sources will be retained in all cases in hard copy format and/or electronically securely and only for as long as is required for the purposes of: * the administration of your application * forming the basis of your employment records, if your application is successful * discharging any legal or regulatory requirements * contacting you in relation to your application (this could be by email, post or SMS) By submitting your application online or by post you will be giving your consent to The Vestry, St Luke's to process your personal and sensitive personal data for the purposes explained above. Should you wish to withdraw your application, please contact [email protected]. Should you wish to see a copy of the information held by The Vestry, St Luke's, which you have provided as part of your application for employment, this information will be provided within 30 days of receipt of your request. Any request should be made in writing to Peace 'n' Jam Project, St. Luke's SEC, Ninian Quadrant, Glenrothes, Fife KY7 4HP or via email to [email protected].	<urn:uuid:9cd2c00d-872e-4968-8357-ad33cc265695>	CC-MAIN-2022-40	https://stlukes-glenrothes.org/wp-content/uploads/2021/10/Application-Pack-Community-Pantry-Development-Worker.pdf	2022-10-03T12:20:56+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00172-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	572,049,708	2,886	eng_Latn	eng_Latn	0.996678	eng_Latn	0.997473	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1988, 5211, 7750, 9984, 12526, 14835 ]
TITLE 410 INDIANA STATE DEPARTMENT OF HEALTH Final Rule LSA Document #12-617(F) DIGEST Adds 410 IAC 34 to establish a state trauma registry for the collection of information regarding the delivery of traumatic injury care services in Indiana for purposes of improving the statewide trauma system. Effective 30 days after filing with the Publisher. 410 IAC 34 SECTION 1. 410 IAC 34 IS ADDED TO READ AS FOLLOWS: ARTICLE 34. STATE TRAUMA REGISTRY Rule 1. Definitions 410 IAC 34-1-1 Applicability Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. The definitions in this rule apply throughout this article. (Indiana State Department of Health; 410 IAC 34-1-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-2 "Commissioner" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 2. "Commissioner" means the state health commissioner or the state health commissioner's designee. (Indiana State Department of Health; 410 IAC 34-1-2; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-3 "Department" defined IC 16-19-3-28 Authority: Affected: IC 16-19-3-28 Sec. 3. "Department" means the Indiana state department of health. (Indiana State Department of Health; 410 IAC 34-1-3; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-4 "Emergency medical services" or "EMS" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 4. "Emergency medical services" or "EMS" means the provision of emergency ambulance services or other services, including extrication and rescue services, utilized in serving an individual's need for immediate medical care in order to prevent loss of life or aggravation of physiological or psychological illness or injury. (Indiana State Department of Health; 410 IAC 34-1-4; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-5 "Health care facility" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 5. "Health care facility" includes the following: (2) Trauma centers. (1) Hospitals. (3) Rehabilitation hospitals. (Indiana State Department of Health; 410 IAC 34-1-5; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-6 "Hospital" defined Authority: IC 16-19-3-28 Affected: IC 16-21-2 Sec. 6. (a) "Hospital", except as provided in subsection (b), means a hospital that is licensed under IC 16-21-2. (b) "Hospital" means an institution, a place, a building, or an agency that holds out to the general public that it is operated for hospital purposes and that it provides care, accommodations, facilities, and equipment, in connection with the services of a physician, to individuals who may need medical or surgical services. The term does not include the following: (2) Long-term acute care hospitals (LTACHs). (1) Freestanding health facilities. (3) Hospitals that do not provide emergency services. (A) Individuals with a mental illness. (4) Hospitals or institutions specifically intended to diagnose, care, and treat the following: (B) Individuals with developmental disabilities. (6) Convalescent homes, boarding homes, or homes for the aged. (5) Offices of physicians where patients are not regularly kept as bed patients. (7) Rehabilitation facilities. (Indiana State Department of Health; 410 IAC 34-1-6; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-7 "Indiana EMS Data Dictionary" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 7. "Indiana EMS Data Dictionary" means the collection of descriptions of the data objects in the database of fire and emergent run data maintained by the Indiana EMS program at the Indiana department of homeland security and referred to as the "Indiana Department of Homeland Security Emergency Medical Services (EMS) Data Dictionary and National EMS Information System (NEMSIS) Data Elements". (Indiana State Department of Health; 410 IAC 34-1-7; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-8 "Indiana Rehabilitation Hospital Registry Data Dictionary" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 8. "Indiana Rehabilitation Hospital Registry Data Dictionary" means the collection of descriptions of the data objects in the database maintained by the Indiana state department of health and referred to as the "Indiana Rehabilitation Hospital Registry Data Dictionary". (Indiana State Department of Health; 410 IAC 34-1-8; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-9 "Indiana Trauma Registry Data Dictionary" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 9. "Indiana Trauma Registry Data Dictionary" means the collection of descriptions of the data objects in the database maintained by the Indiana State Trauma Registry and referred to as the "Indiana Trauma Registry Data Dictionary". (Indiana State Department of Health; 410 IAC 34-1-9; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-10 "National EMS Information System" or "NEMSIS" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 10. "National EMS Information System" or "NEMSIS" means the national repository for EMS data maintained by the University of Utah School of Medicine. (Indiana State Department of Health; 410 IAC 34-1-10; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-11 "National Trauma Data Bank" or "NTDB" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 11. "National Trauma Data Bank" or "NTDB" refers to an aggregation of national trauma registry data maintained by the American College of Surgeons. (Indiana State Department of Health; 410 IAC 34-1-11; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-12 "National Trauma Data Standard" or "NTDS" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 12. "National Trauma Data Standard" or "NTDS" means a data set defining standardized data elements collected by the American College of Surgeons within the National Trauma Data Bank. (Indiana State Department of Health; 410 IAC 34-1-12; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-13 "Patient medical record" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 13. "Patient medical record" means written, electronic, or printed information possessed or maintained by a provider concerning any diagnosis, treatment, or prognosis of the patient, including such information possessed or maintained on microfiche, on microfilm, or in a digital format. (Indiana State Department of Health; 410 IAC 34-1-13; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-14 "Rehabilitation hospital" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 14. "Rehabilitation hospital" means a hospital that is Prospective Payment System excluded under 42 CFR 412. (Indiana State Department of Health; 410 IAC 34-1-14; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-15 "Risk adjustment" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 15. "Risk adjustment" means methodologies applied to a data set in order to identify and control patient variables that are present that may influence patient outcome. (Indiana State Department of Health; 410 IAC 34-1-15; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-16 "Trauma center" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 16. "Trauma center" means a hospital that provides trauma care and has been verified as a trauma center by the American College of Surgeons (ACS), has been designated a trauma center under a state designation system that is substantially equivalent to the ACS verification process, or has been deemed to be in the process of ACS verification pursuant to 836 IAC 1-2.1. (Indiana State Department of Health; 410 IAC 34-1-16; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 2. Purpose of the Registry 410 IAC 34-2-1 Purpose Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The purpose of the registry is to collect and analyze data that is necessary to evaluate the delivery of trauma care within the state. (b) The data collected by the registry shall be of such a nature as to allow the department to identify and evaluate the following: (2) Criteria used to establish triage protocols. (1) Frequency, type, severity, and outcome of trauma injuries. (3) Geographic patterns of injury, including, but not limited to, areas or regions of the state where improvements are needed in the delivery of trauma care. (4) Other factors to consider in recommending, designing, or implementing the statewide trauma care delivery system, including, but not limited to, public education on trauma and injury prevention, access to trauma care, prehospital availability, and cost of trauma care. (c) Registry data will be linked between EMS providers, health care facilities, and other agencies so that the entire continuum of trauma care can be assessed for quality purposes. (Indiana State Department of Health; 410 IAC 34-2-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 3. Management of the Registry 410 IAC 34-3-1 Management Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The actions and management of the registry will be overseen by the director of the trauma and injury prevention program at the department. (b) The department may contract with individuals or organizations with specific expertise in risk adjustment and statistical analysis of medical data in order to perform risk adjustment of registry data. (Indiana State Department of Health; 410 IAC 34-3-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 4. Required Reporting 410 IAC 34-4-1 Required reporting Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. The following entities shall submit data to the registry: (A) A hospital. (1) Health care facilities, including any of the following: (B) A trauma center. (2) EMS providers, both basic life support and advanced life support, that transport patients. (C) Rehabilitation hospitals. (3) At the request of the department, any state agency possessing data or information, or both, regarding trauma care. (Indiana State Department of Health; 410 IAC 34-4-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 5. Submission of Data 410 IAC 34-5-1 Submission of data Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The department shall establish and use the registry to collect and analyze data that is necessary to evaluate the delivery of trauma care within the state as follows: (A) Incidence, mechanism, type, severity, and outcome of traumatic injuries. (1) Data collected by the department for the registry shall include, but not be limited to, data of such a nature as to allow the department to identify and evaluate the following: (B) Criteria used to establish or refine, or both, triage and transport guidelines. (2) Data submitted to and maintained by the registry shall be in such a format that: (C) Geographic patterns of injury, including, but not limited to, areas or regions of the state where improvements are needed in the delivery of trauma care. Indiana Register (A) protects the identity of specific patients to whom medical care has been rendered; (C) avoids or minimizes duplication of entries. (B) identifies specific health care facilities by a code or other designation; and (b) Data required to be provided to the registry under this article shall be submitted by direct data entry or by electronic data transfer using an xml format and data scheme that is based on the Indiana Trauma Registry Data Dictionary. (c) Hospitals must submit data to the registry using the criteria in the Indiana Trauma Registry Data Dictionary. Rehabilitation hospitals must submit data to the registry using the Indiana Rehabilitation Hospital Registry Data Dictionary. (d) EMS providers must submit data to the registry using the most current version of the NEMSIS data elements and the criteria in the Indiana EMS Data Dictionary. (Indiana State Department of Health; 410 IAC 34-5-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 6. Reporting Deadlines 410 IAC 34-6-1 Reporting deadlines Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The data required to be provided to the registry by health care facilities shall be reported to the registry according to the following schedule: (b) The data required to be provided to the registry by EMS providers must be reported to the registry by the fifteenth day of the month following the month in which the incident occurred. Patients Admitted Report Due Date January 1-March 31 June 30 April 1-June 30 September 30 July 1-September 30 January 15 October 1-December 31 May 1 (Indiana State Department of Health; 410 IAC 34-6-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 7. Failure to Report 410 IAC 34-7-1 Failure to report Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. Health care facilities that fail to submit data to the registry as specified in this article will be ineligible for designation by the department as a trauma center. Health care facilities and EMS providers that fail to submit data to the registry as specified in this article will be ineligible for other programs, including, but not limited to, grants and other ISDH-sponsored sources of funding. (Indiana State Department of Health; 410 IAC 34-7-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 8. Risk Adjustment Date: Apr 19,2018 1:43:11PM EDT 410 IAC 34-8-1 Risk adjustment Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The registry will work to improve trauma care in the state by calculating trauma-related incident response and health outcome indicator values for each health care facility and EMS provider, determining and disseminating information best practices that are associated with optimal indicator values, and establishing state benchmark standards to which each reporting entity is accountable. (b) Individual and aggregated indicator values must be risk-adjusted before comparisons can be made across groups. (c) Risk adjustment accounts for the impact of individual risk factors such as age and the severity of the initial injury that can put some patients at greater risk for medical complications and death. (d) By risk-adjusting the indicator values, variation in patient types across groups can be controlled for and appropriate comparisons can be made. (e) Risk adjustment of the indicator values will be conducted by registry staff primarily following the methodologies outlined by the American College of Surgeons. (f) Other methodologies may be evaluated and used as registry staff deems appropriate. (Indiana State Department of Health; 410 IAC 34-8-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 9. Protected Information 410 IAC 34-9-1 Protected information Authority: IC 16-19-3-28 Affected: IC 4-1-6-8.6 Sec. 1. (a) All data created by a provider and submitted to the department for inclusion in the registry will be treated as confidential and the department will follow all appropriate state and federal laws regarding the confidentiality of the medical information. (b) The department may grant any person involved in a legitimate research activity access to confidential information included in the registry under IC 4-1-6-8.6. (Indiana State Department of Health; 410 IAC 34-9-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) LSA Document #12-617(F) Notice of Intent: 20121128-IR-410120617NIA Proposed Rule: 20130703-IR-410120617PRA Hearing Held: July 29, 2013 Approved by Attorney General: October 18, 2013 Approved by Governor: October 25, 2013 Filed with Publisher: October 25, 2013, 2:39 p.m. Documents Incorporated by Reference: None Received by Publisher Small Business Regulatory Coordinator: Kelly MacKinnon, Indiana State Department of Health, 2 North Meridian Street, Section 3H-99, Indianapolis, IN 46204, (317) 233-7316, [email protected] Posted: 11/20/2013 by Legislative Services Agency An html version of this document.	<urn:uuid:b18d85a8-4fac-458f-bff0-5af50a049fad>	CC-MAIN-2018-17	http://www.in.gov/legislative/iac/20131120-IR-410120617FRA.xml.pdf	2018-04-19T17:43:11Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-17/segments/1524125937015.7/warc/CC-MAIN-20180419165443-20180419185443-00379.warc.gz	446,403,238	4,452	eng_Latn	eng_Latn	0.850566	eng_Latn	0.88385	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown" ]	false	rolmOCR	[ 1753, 4122, 6563, 8896, 11288, 13699, 16264, 16299 ]
Loose leaf teas All our teas are supplied by The Cornish Tea Company. Crafted from whole leaves of the finest tea, loose leaf is the freshest, most authentic and satisfying way to enjoy tea. Green tea: Asian green Black teas: breakfast, decaf breakfast, Darjeeling, Lapsang Souchong, chai spice, Earl Grey Infusions: chamomile, red berry, peppermint, lemon verbena, orange & passionfruit Hot drinks Macchiato Espresso Flat white Americano Cappuccino Latte Mocha Hot chocolate / white hot chocolate The 'works' hot chocolate whipped cream, marshmallows and sprinkles Soft drinks For full terms and conditions please view the website www.headlandhotel.co.uk The Headland, Fistral Beach, Newquay, Cornwall, TR7 1EW +44 (0) 1637 872 211 \| [email protected] AFTERNOON TEA FESTIVE November / December 2023 2pm – 4pm Feast on full afternoon tea with fancy cakes, delicious sandwiches, and homemade scones with oodles of Cornish clotted cream and jam. Add a little more sparkle to the occasion with a flute of champagne or an afternoon tea cocktail. Sit back and enjoy afternoon tea with a stunning view across the Atlantic, where lavish tea parties have been thrown for almost a century. Please don't forget Register your car number plate to prevent the outside company issuing a PCN. The penalty notice will require payment of the DVLA charge before it is cancelled Festive afternoon tea £39.50 per person Savoury: Sage and onion sausage roll A selection of homemade finger sandwiches on artisan bread: Smoked salmon, lemon, and soft herbs on granary Roast turkey, cranberry, gem lettuce on white Cucumber, cream cheese, and chestnut on granary Rosedown egg mayonnaise, truffle on white The most important part: Homemade fruit and plain scones with lashings of Cornish clotted cream and Cornish strawberry jam Indulge in a selection of pastries inspired by the season: Valrhona chocolate, fruit and nut Headland Christmas cake Egg custard tart, caramelised white chocolate, mincemeat Speculoos biscuit Carrot and clementine gateau TREAT YOURSELF to a glass of champagne. Go on! £15 Festive vegetarian afternoon tea £39.50 per person Savoury: Cheese and caramelised onion tart A selection of homemade finger sandwiches on artisan bread: Davidstow cheddar with apple chutney on white Romesco, piquillo peppers, hazelnut butter on granary Cucumber, cream cheese, and chestnut on granary Rosedown egg mayonnaise, truffle on white The most important part: Homemade fruit and plain scones with lashings of Cornish clotted cream and Cornish strawberry jam Indulge in a selection of pastries inspired by the season: Valrhona chocolate, fruit and nut Headland Christmas cake Egg custard tart, caramelised white chocolate, mincemeat Speculoos biscuit Carrot and clementine gateau Vegetarian Vegan Gluten free Dairy free For our younger guests £19.50 per child Savoury: Sage and onion sausage roll A selection of homemade finger sandwiches on artisan bread: Honey roast ham on white Davidstow cheddar and chutney on granary Strawberry jam on white The most important part: Homemade fruit and plain scones with lashings of Cornish clotted cream and Cornish strawberry jam Indulge in a selection of pastries inspired by the season: Pistachio and honey cake, vanilla marshmallow Blackcurrant "Christmas present" Speculoos biscuit Tea/juice/water/milk/soft drink Vintage afternoon tea parties £45.00 per person PERFECT FOR BABY SHOWERS, HEN PARTIES & BIRTHDAY CELEBRATIONS Our vintage tea parties are designed for indulgence with a hint of glamour One of our private lounges will set the sumptuous scene for your party, classically decorated with vintage crockery and silver. Relax as our staff serve luxurious loaded cake stands with all things sweet and fancy. Upgrade to fizz by selecting one of our local sparkling wines or a bottle of champagne. Pre-booking is essential. Please speak to our Events team on +44 (0)1637 872 211.	<urn:uuid:b9c202f0-be84-4dd9-bfb3-fa55f7ed7363>	CC-MAIN-2024-42	https://www.headlandhotel.co.uk/media/5w4pd4fk/renmor_menu_a4_festive-afternoon_tea_nov_2023_v2.pdf	2024-10-16T07:36:26+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-42/subset=warc/part-00134-0c083cf2-c0ed-42ad-af5c-44f7548e96a0.c000.gz.parquet	702,027,890	986	eng_Latn	eng_Latn	0.989617	eng_Latn	0.989307	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1388, 3988 ]
An Israeli Thanksgiving By Rebecca Bardach, 12.8.2013 Like many American immigrants in Israel, I found myself last Thursday night at a table filled with family, friends, turkey and all the Thanksgiving fixings. With this celebratory gathering I realized: Israel has no Thanksgiving equivalent. We observe a lot of holidays here, but not one that brings all Israelis together the way Thanksgiving does for Americans of diverse backgrounds and origins. This reflects our larger society: 20 percent of Israel's citizens are Arab, but Jews and Arabs in Israel live largely separate lives. And yet we have citizenship in common. Israeli Arabs hold the same ID card and passport we do. They pay taxes. They vote. Arabic is an official state language alongside Hebrew. We have a future in common. And every day we make choices as to what kind of future this will be. Four years ago, when my husband and I had to make the decision about where to send our oldest child to school, we faced this dilemma head on. The Israeli school system is tracked – with Hebrew-language (secular, religious and ultraorthodox) and Arabic-language tracks. On the one hand, this reflects the major social groups in Israel. It respects their differences and communal preferences. On the other hand, however, it perpetuates these differences, providing no space for students of disparate communities to come together in a broadly inclusive framework, where they can learn about or from each other, understand their differences, or identify or create common ground. And if today's students become tomorrow's citizens, what happens when children grow up rooted only in their own community, and without any opportunity to interact with others; to be challenged by and appreciative of diversity; or to jointly forge something meaningfully shared? Those were the realities we faced as we deliberated. Should we go with the natural choice – progressive Jewish schools similar to the Jewish day schools both of us grew up in? Or consider something totally out of the box: Yad B'Yad, Hand in Hand (HIH), a bilingual Jewish-Arab school? Deep inside I knew there was no debate. We started at Hand in Hand, where two of our children attend today. It's a school where Jews and Arabs study together. They learn both Hebrew and Arabic in a bilingual framework. They learn about and observe each other's holidays. They learn to appreciate and celebrate their own cultural traditions and that of one another. They learn about each other's histories. They learn how to examine things from different perspectives; to ask questions; to discuss; to listen. They learn to debate and to disagree and develop deep friendships. This has been an enormously rewarding experience. But it can also be difficult for children growing up in a divided society. But the alternative is no less challenging. I saw this one morning a year before we had to choose our children's educational path as I entered my son's daycare and the four-year-old brother of one of his friends was playing while waiting for his mother. He held his hands like a gun. As his mother came down the stairs he called out excitedly: "Mommy, Mommy, I killed Arabs, I killed Arabs!" I looked at his mother – a distant colleague, who worked at a local well-respected think tank – expectantly awaiting a shocked reprimand in this blatantly teachable moment. "Come, sweetheart," she said instead. "We're late." And she took his hand and led him off to the car. The fact that either this did not bother her, or that she could not be bothered to address it is, unfortunately, all too commonplace. For this one anecdote, there are dozens more from my own experience, from friends, from colleagues, that show that it's not just fear and hatred that are pervasive, but so too are indifference and hopelessness about viable alternatives. The shouts of "death to Arabs" that take place at Jerusalem soccer games and appear on walls after extremists' "price tag" attacks are inarguably racist. This type of indifference is far more difficult to contend with. After all, I don't want my children to grow up hating others because they are not like them, or because they are not Jewish. And I don't want my kids hated because they are Jewish. Above all, I don't want any child in Israel growing up believing that no alternative to this kind of separation and hate is possible. And I am not alone in this feeling. The Jewish and Arab students, teachers and parents at Hand in Hand to engage in both recognizing our differences, and creating something shared. Which is why we need an Israeli equivalent to Thanksgiving. We need a day that supersedes our differences – a day that can bring us together to celebrate and appreciate the core values and hopes that all citizens of Israel share. It may not overlap with Hanukka again in our lifetime, but it will nonetheless kindle light in the darkness, and help us repair the divisions that separate us in Israel. The author is a parent at Hand in Hand Jerusalem school and works at the Hand in Hand organization.	<urn:uuid:495e4531-0892-4ec7-bc16-235eedd54e3c>	CC-MAIN-2019-18	https://www.handinhandk12.org/sites/handinhand/files/images/an_israeli_thanksgiving.pdf	2019-04-26T06:27:57Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-18/segments/1555578760477.95/warc/CC-MAIN-20190426053538-20190426075538-00038.warc.gz	690,836,631	1,029	eng_Latn	eng_Latn	0.998724	eng_Latn	0.999177	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1540, 4009, 5075 ]
COMPUTING WITHOUT MEMORY MAXIMILIEN GADOULEAU* AND SØREN RIIS† Abstract. In this paper, we generalise the famous algorithm for swapping the contents of two variables without using a buffer. We introduce a novel combinatorial framework for procedural programming languages, where programs are only allowed to update one variable at a time. We first consider programs which do not have any memory. We prove that any function of all the variables can be computed this way in a number of updates which grows linearly with the number of variables. Similarly, any linear function can be computed using a linear number of linear instructions. We then derive the exact number of instructions required to compute any manipulation of variables. This shows that the idea of combining variables instead of simply moving them around not only allows for memoryless programs, but also yields shorter programs. Second, we show that allowing programs to use memory is also incorporated in our framework. We quantify the gains obtained by using memory. This leads to shorter programs and allows us to use only binary instructions, which is not sufficient in general when no memory is used. Key words. Models of computation, Computational difficulty, Symmetric group, Theory of data, Combinatorics AMS subject classifications. 68Q05 1. Introduction. How do you swap the contents of variables $x$ and $y$ using a procedural programming language? The common approach is to use a buffer $t$, and to do as follows (using pseudo-code). \[ \begin{align} t &\leftarrow x \\ x &\leftarrow y \\ y &\leftarrow t. \end{align} \] However, a famous programmer’s trick consists in using XOR, which we view as addition over a binary vector space: \[ \begin{align} x &\leftarrow x + y \\ y &\leftarrow x + y \\ x &\leftarrow x + y. \end{align} \] We thus perform the swap without any use of memory. Our aim is to generalise this idea to compute transformations without memory. While the example described above is folklore, the idea to compute functions without memory was developed in [2, 3, 4, 5, 6, 7] for the case of boolean variables. We would like to emphasize the novelty of the results of this paper and how they differ from those in the literature. First, the results presented in this paper generalise those given in the literature, as we consider any finite alphabet while only the binary alphabet was usually considered in the literature. Second, we provide simpler proofs, which is especially true for Theorems 2.4 and 3.13. Third, we also give some matching upper and lower bounds which are absent in the literature, e.g. in Theorem 3.5. Fourth, many aspects considered here, such as the study of manipulations of variables in Section 4.3, the use of binary instructions in Theorem 5.8 and the use or memory in Section 5, are completely novel. 2. Combinatorial model for memoryless computations. 2.1. Instructions and programs. We formalise our ideas as follows. Let $A$ be a finite set, referred to as the alphabet, of cardinality $q$ and let $n$ be a positive integer (without loss, we shall usually regard $A$ as $\mathbb{Z}_q$ or $\text{GF}(q)$ when $q$ is a prime power). The cases where $q = 1$ or $n = 1$ being trivial, we shall assume $q \geq 2$ and $n \geq 2$ henceforth. We refer to any element of $A^n$ as a word. We view any transformation $f$ of $A^n$ (i.e., $f : A^n \rightarrow A^n$) as a tuple of functions $f = (f_1, \ldots, f_n)$, where $f_i : A^n \rightarrow A$ is referred to as the $i$-th coordinate function of $f$. In particular, a coordinate function is trivial if it is equal to the identity, i.e. $f_i(x) = x_i$; it is nontrivial otherwise. The size of the image of $f$ is referred to as its rank. When considering a sequence of transformations, we shall use superscripts, e.g. $f^k : A^n \to A^n$ for all $k$—and hence $f^k$ shall never mean taking $f$ to the power $k$. Definition 2.1 (Instruction). An instruction is a transformation $g$ of $A^n$ with at most one nontrivial coordinate function $g_i$. We say that the instruction updates $y_i$ for $y = (y_1, \ldots, y_n) \in A^n$ and we denote it as $$y_i \leftarrow g_i(y).$$ A permutation instruction is an instruction which maps $A^n$ bijectively onto $A^n$ (i.e. is a permutation of $A^n$). By convention, the identity is an instruction, which can be represented by $y_i \leftarrow y_i$ for any $1 \leq i \leq n$. We denote the set of instructions of $A^n$ as $\mathcal{I}(A^n)$ and the set of permutation instructions as $\mathcal{I}(A^n)$. We shall simply write $\mathcal{I}$ and $\mathcal{I}$ when there is no ambiguity. For instance, if $A = \text{GF}(2)$ and $n = 2$, then $\mathcal{I}$ is given by $$\{(x_1, x_2), (x_1 + 1, x_2), (x_1 + x_2, x_2), (x_1 + x_2 + 1, x_2), (x_1, x_2 + 1), (x_1, x_1 + x_2), (x_1, x_1 + x_2 + 1)\}.$$ In update form, $\mathcal{I}$ can be written as follows: $$\begin{align} y_1 &\leftarrow y_1, \\ y_1 &\leftarrow y_1 + 1, \\ y_1 &\leftarrow y_1 + y_2, \\ y_1 &\leftarrow y_1 + y_2 + 1, \\ y_2 &\leftarrow y_2, \\ y_2 &\leftarrow y_2 + 1, \\ y_2 &\leftarrow y_1 + y_2, \\ y_2 &\leftarrow y_1 + y_2 + 1, \end{align}$$ where the identity is represented by $y_1 \leftarrow y_1$ and $y_2 \leftarrow y_2$. Definition 2.2 (Program). For any transformation $f$ of $A^n$, a program of length $L$ computing $f$ is a sequence of instructions $g^1, \ldots, g^L$ such that $$f = g^L \circ \ldots \circ g^1.$$ We shall write the instructions of a program in their update form one below the other. Although the identity is an instruction, any instruction in a program is not the identity unless specified otherwise. Also, since the set of instructions updating a given coordinate is closed under composition, without loss we can always assume that $g^{k+1}$ updates a different coordinate than $g^k$ for all $k$. We consider a basic procedural programming language which has a finite number of inputs $x = (x_1, \ldots, x_n) \in A^n$ and only allows programs of the form described above. Therefore, it only allows in-place calculations, without loops, pointers, and more importantly without any memory. We use $y = (y_1, \ldots, y_n)$ to represent the content of the registers during the program. Hence $y = x$ before the first instruction, and $y = f(x)$ after the last instruction. Note that we will also use the shortcut notation $y_i \leftarrow h(x)$ to reflect how the content of the memory relates with the program input. In particular, note that the last update of $y_i$ must be $$y_i \leftarrow f_i(x).$$ To be absolutely rigorous, we should let $y$ take into account the instruction number: $y^0 = x, y^1, \ldots, y^L = f(x)$, where $L$ is the length of the program. However, our calculations will not require such level of rigour, and we simply use $y$ instead. In order to illustrate our notations, let us rewrite the program computing the swap of two variables, i.e. $f : A^2 \to A^2$ where $f(x_1, x_2) = (x_2, x_1)$. It is given as follows: $$\begin{align} y_1 &\leftarrow y_1 + y_2 \quad (= x_1 + x_2) \\ y_2 &\leftarrow y_1 - y_2 \quad (= x_1) \\ y_1 &\leftarrow y_1 - y_2 \quad (= x_2). \end{align}$$ Definition 2.3. Let $B, C$ be two alphabets and $f, g : B \to C$. We say $g$ dominates $f$ if and only if $$g(x) = g(x') \Rightarrow f(x) = f(x')$$ for all \( x, x' \in B \). In other words, \( f = h \circ g \) for some transformation \( h \). A program for \( f \) induces a sequence of transformations \( h^1, \ldots, h^L = f \) where \( h^1 \) is an instruction, \( h^i \) and \( h^{i+1} \) differ in only one coordinate, and \( h^i \) dominates \( h^{i+1} \) for all \( i \). Indeed, simply let \( h^{i+1} = g^{i+1} \circ h^i \); equivalently \( h^i \) represents the content of \( y \) after the \( i \)-th instruction of the program. In particular, if \( f \) is a permutation, then all intermediate transformations must be permutations as well. We remark that our programming language only allows to return one output: the transformation \( f \) computed by the program. However, it may be fair to ask the program to sequentially return outputs. This can be incorporated in our framework if all the outputs are permutations. However, the case of general transformations is more troublesome: for instance, if we ask to return \( f^1(x_1, x_2) = (x_1, x_1 + 1) \) and then \( f^2(x_1, x_2) = (x_2, x_2 + 1) \), then it is clear that \( f^2 \) cannot be computed after \( f^1 \). In general, a program can sequentially compute \( f^1, \ldots, f^K \) only if \( f^i \) dominates \( f^{i+1} \) for all \( 1 \leq i \leq K - 1 \) (our results will show that this is necessary and sufficient). Therefore, this program can be broken down into \( K \) shorter programs, each computing one output. In view of these considerations, we shall only consider programs which compute one output transformation \( f \) in the remaining of this paper. ### 2.2. All transformations are computable without memory We are now interested in the general case of computing any transformation of \( n \) variables. We first prove in Theorem 2.4 that any transformation can be computed. Although the program in the proof has exponential length, we shall prove that any transformation has a program of linear length. We introduce some useful notations for any words \( u, v \in A^n \). First, the transposition of \( u \) and \( v \), denoted as \( (u, v) \), is the permutation of \( A^n \) which maps \( u \) to \( v \), \( v \) to \( u \), and fixes any other word in \( A^n \). Second, the assignment of \( u \) to \( v \), denoted as \( (u \rightarrow v) \), is the transformation which maps \( u \) to \( v \) and fixes any other word in \( A^n \). Third, we denote the all-zero word as \( e^0 \) and the \( k \)-th unit word as \( e^k \in A^n \), where \( e^k_i = \delta(i, k) \) and \( \delta \) is the Kronecker delta function. Theorem 2.4. Any transformation of \( A^n \) can be computed by a program which only consists of transpositions \( (u, v) \) where \( v = u + e^i \) for some \( i \) and the assignment \( (e^0 \rightarrow e^1) \). These instructions are respectively represented by \[ y_i \leftarrow y_i + \delta(y, u) - \delta(y, v), \] \[ y_1 \leftarrow y_1 + \delta(y, e^0). \] Proof. First of all, a generating set of \( \text{Sym}(A^n) \) together with any transformation of rank \( q^n - 1 \) generates all transformations [11, Theorem 3.1.3]. Since the assignment \( (e^0 \rightarrow e^1) \) is an instruction of rank \( q^n - 1 \) (clearly represented in the bottom row above in update form), we only need to generate \( \text{Sym}(A^n) \). Order the words of \( A^n \) according to the Gray code in [13], then any two consecutive words \( v^j \) and \( v^{j+1} \) satisfy \( v^{j+1} = v^j \pm e^{i_j} \) for some \( i_j \). The Coxeter generators \( \{(v^j, v^{j+1}) : 1 \leq j \leq q^n - 1\} \) corresponding to this ordering thus are instructions, e.g. if \( v^{j+1} = v^j + e^i \), then \( (v^j, v^{j+1}) \) is represented by \[ y_i \leftarrow y_i + \delta(y, v^j) - \delta(y, v^{j+1}). \] Our framework is particularly interesting for computing using registers only, or equivalently without requiring to use primary memory. The instructions in Theorem 2.4 are encoded in assembly in Figure 2.1. The instructions are explained as follows. - bne \( y \) \( a \) 1 (branch not equal) will jump to the instruction labelled by 1 if \( y \neq a \). - addi \( y \) \( b (add immediate) adds \( b \) to the value stored in \( y \) (without carry-out). - j 1 (jump) jumps to the instruction labelled by 1. ### 3. Procedural complexity Definition 3.1 (Procedural complexity). The shortest length of a program computing \( f \) is referred to as the procedural complexity of \( f \) and is denoted as \( L(f) \). By convention, the identity has procedural complexity 0. We have \( L(f \circ g) \leq L(f) + L(g) \) for any two transformations \( f \) and \( g \). Furthermore, if \( f \) is a permutation, then it is easy to show that \( L(f^{-1}) = L(f) \). We then obtain that \[ d(f, g) := L(f \circ g^{-1}) \] defines a metric on the symmetric group of $A^n$. This is indeed the word metric, with generators given by all the permutation instructions. We would like to emphasize that the procedural complexity strongly differs from other measures seen in complexity theory. For instance, the procedural complexity of any decision problem is simply 1, for it can be expressed as computing the instruction whose value is 1 if the instance has an affirmative answer and 0 otherwise. Also, the procedural complexity is based on the set of all instructions, and not only on circuits formed of certain types of gates. Therefore, each instruction can be arbitrarily “complex.” 3.1. Procedural complexity of permutations. The main purpose of this section is to prove that the maximum procedural complexity of a permutation in $\text{Sym}(A^n)$ is $2n - 1$, which is independent from the cardinality of the alphabet $A$. Proposition 3.2 below shows that this quantity is at least $2n - 1$. It is remarkable that the permutation which maximises the procedural complexity is very “simple” to describe; this fact highlights the difference between the procedural complexity and other complexity measures. Proposition 3.2. The procedural complexity of the transposition $(a, b)$ of two words $a, b \in A^n$ is $2d - 1$ instructions, where $d$ is the Hamming distance between $a$ and $b$: $d = \|\{i : a_i \neq b_i\}\|$. Proof. Without loss, let $a$ and $b$ disagree on their $d$ first coordinates. Denoting $v^k = (b_1, \ldots, b_k, a_{k+1}, \ldots, a_n)$ for $1 \leq k \leq d$, we obtain $$(a, b) = (a, v^1) \circ \cdots \circ (v^{d-2}, v^{d-1}) \circ (v^{d-1}, b) \circ \cdots \circ (v^1, v^2) \circ (a, v^1).$$ Each transposition involves words differing in at most one position, and hence is an instruction. For instance, $(a, v^1)$ is the instruction $$y_1 \leftarrow y_1 + (b_1 - a_1) \left( \delta(y, a) - \delta(y, v^1) \right).$$ Therefore, the procedural complexity is at most $2d - 1$ instructions. Conversely, suppose that there exists a program computing $(a, b)$ with fewer than $2d - 1$ instructions. In that program, at least two coordinates are only updated once (say $i$ before $j$). Denote the images of $a$ and $b$ before the update of $y_j$ as $a'$ and $b'$, respectively. Note that $a'_i = b_i$ and $b'_i = a_i$, since $y_i$ will not be updated any further. The update of $y_j$ is given by $$y_j \leftarrow y_j + (b_j - a_j)(\delta(y, a') - \delta(y, b')),$$ since coordinate $j$ cannot be modified for any program input other than $a$ or $b$, and it must indeed give the correct values for these two inputs. However, this update is not bijective, for $a'$ and $b'$ differ in coordinate $i$. □ To prove an upper bound on the procedural complexity, we need to study the properties of functions. We use the terminology of [9]. Although this upper bound was proved in [4], we give an alternate proof below, which connects the topic of this paper to the study of coordinate functions and combinatorial representations from [9]. Definition 3.3. Let $B, C$ be two alphabets. A function $f : B \times C \to B$ is balanced if $\|f^{-1}(b)\| = \|C\|$ for all $b \in B$. It is easily shown that for any two functions $f : B \times C \to B$ and $h : B \times C \to C$, $(f, h)$ is a permutation of $B \times C$ if and only if $f$ is balanced and $h(f^{-1}(b)) = C$ for all $b \in B$ [9]. Proposition 3.4. For any pair of balanced functions $f, g : B \times C \to B$, there exists $h : B \times C \to C$ such that $(f, h)$ and $(g, h)$ are permutations of $B \times C$. Proof. Let $G$ be the bipartite graph with vertex set given by two copies of $B$ and with $\|(f, g)^{-1}(i, j)\|$ edges between $i$ and $j$. Since $f$ and $g$ are balanced, $G$ is $\|C\|$-regular and hence its edges are $C$-colourable. Let $h$ be such colouring. Then for all $i \in B$, we have $h(f^{-1}(i)) = \bigcup_{j \in B} h((f, g)^{-1}(i, j)) = C$ and similarly $h(g^{-1}(j)) = C$. This is equivalent to $(f, h)$ and $(g, h)$ being permutations. □ Theorem 3.5. The maximum procedural complexity of a permutation of $A^n$ is $2n - 1$ instructions. Proof. Proposition 3.2 shows that the maximum complexity is at least $2n - 1$. We then prove that any permutation $f$ can be computed by a program with at most $2n - 1$ instructions. We prove the following claim: for any $1 \leq k \leq n - 1$, there exists a function $h_k : A^n \to A$ of $x$ such that $(h_1, \ldots, h_k, x_{k+1}, \ldots, x_n)$ and $(h_1, \ldots, h_k, f_{k+1}, \ldots, f_n)$ are permutations. This is clear for $k = 1$: apply Proposition 3.4 to $(f_2, \ldots, f_n)$ and $(x_2, \ldots, x_n)$. Let us assume it is true for up to $k - 1$, then by hypothesis, $g^1 := (h_1, \ldots, h_{k-1}, x_{k+1}, \ldots, x_n)$ and $g^2 := (h_1, \ldots, h_{k-1}, f_{k+1}, \ldots, f_n)$ are both balanced functions from $A^n$ to $A^{n-1}$ (since $(g^1, x_k)$ and $(g^2, f_k)$ are permutations, respectively). Applying Proposition 3.4 to these functions then proves the claim. The program then proceeds as follows: - Step 1. For $k$ from 1 to $n - 1$, do $y_k \leftarrow h_k(x)$. - Step 2. For $k$ from $n$ down to 1, do $y_k \leftarrow f_k(x)$. □ We can represent computations of any permutation of $A^n$ as progressing around the Cayley graph [12] $$\text{Cay}(\text{Sym}(A^n), \mathcal{I}).$$ The set of permutation instructions $\mathcal{I} \subseteq \text{Sym}(A^n)$ is described as follows. Let $g$ be the instruction $y_i \leftarrow g_i(y)$. Then in view of the remarks made after Definition 3.3, $g$ is a permutation if and only if $g_i : A^n \to A$ satisfies $$g_i(\{u \in A^n : (u_1, \ldots, u_{i-1}, u_{i+1}, \ldots, u_n) = v\}) = A$$ for all $v \in A^{n-1}$. There are hence $q!$ choices for the reduction of $g_i$ to each pre-image, and hence $(q!)^{q^{n-1}}$ choices for $g_i$. Since the identity has been counted $n$ times, there are $$\|\mathcal{I}\| = n(q!)^{q^{n-1}} - n + 1$$ instructions. Note that the inverse of $g$ is given by the instruction $h$ which also updates the $i$-th coordinate and satisfies $$h_i(x_1, \ldots, x_{i-1}, g_i(x), x_{i+1}, \ldots, x_n) = x_i.$$ Therefore, the set of permutation instructions updating a given coordinate forms a group, isomorphic to $\text{Sym}(A)^{q^{n-1}}$. We have determined the maximum procedural complexity in Theorem 3.5. We are now interested in the expected complexity. Proposition 3.6 gives a lower bound on that quantity. Proposition 3.6. The proportion of permutations with computational complexity at least $$\left\lfloor \frac{n \log q - 1}{q^{-1} \log q! + q^{-n} \log n} \right\rfloor + 1$$ tends to 1 when \( n \) tends to infinity. Proof. Any transformation with procedural complexity \( l \) can be expressed as a product of \( l \) instructions. Therefore, the number of permutations with procedural complexity at most \( l \) is no more than the number of \( l \)-tuples of permutation instructions, given by \( \|\mathcal{I}\|^l \). We have \[ \|\mathcal{I}\| \leq n(q!)^{q^{n-1}} \\ = \exp(\log n + q^{n-1} \log q!), \] \[ \|\text{Sym}(A^n)\| = q^n! \geq \sqrt{2\pi q^n q^{nq^n}} \exp(-q^n) \\ = \sqrt{2\pi q^n} \exp(q^n(n \log q - 1)). \] Denoting \( B = \frac{n \log q - 1}{q^{-1} \log q! + q^{-n} \log n} \) we obtain \( \|\text{Sym}(A^n)\| \geq \sqrt{2\pi q^n} \|\mathcal{I}\|^B \) and hence the proportion of permutations with procedural complexity at most \( \lfloor B \rfloor \) is upper bounded by \[ \frac{\|\mathcal{I}\|^{\lfloor B \rfloor}}{\|\text{Sym}(A^n)\|} < \frac{1}{\sqrt{2\pi q^n}}, \] which tends to zero. \( \blacksquare \) In particular, Proposition 3.6 shows that for \( n \) large, almost all permutations of \( \text{GF}(2)^n \) have computational complexity at least \( 2n - 2 \). However, the bound in Proposition 3.6 decreases with \( q \). We now show how the problem of determining the procedural complexity of a given permutation can be reduced to the case of so-called ordered permutations for nearly all permutations. Definition 3.7 (Ordered function). Let \( A \) and \( A^n \) be ordered (say, using the lexicographic order). For any balanced function \( f_i : A^n \to A \) and any \( a \in A \), we denote the minimum element of \( f_i^{-1}(a) \) as \( m(a) \). We say \( f_i \) is ordered if \( m(0) \leq m(1) \leq \ldots \leq m(q - 1) \). Any function \( f_i : A^n \to A \) can be uniquely expressed as \[ f_i = \sigma_i \circ f_i^* \] where \( \sigma_i \in \text{Sym}(A) \) and \( f_i^* \) is ordered. In this case, we say that \( f_i \) is parallel to \( f_i^* \) [9]. By extension, we say that \( f \) is ordered if all its coordinate functions are ordered. Therefore, to any permutation \( f \), we associate the ordered permutation \( f^* \) where \( f_i = \sigma_i \circ f_i^* \) for some \( \sigma_1, \ldots, \sigma_n \in \text{Sym}(A) \). Proposition 3.8. There exists a shortest program computing \( f^* \) using only ordered instructions. Furthermore, its length satisfies \[ \mathcal{L}(f^) \leq \mathcal{L}(f) \leq \mathcal{L}(f^) + T(f), \] (3.1) where \( T(f) \) is the number of nearly trivial (parallel to the trivial coordinate function) coordinate functions of \( f \): \[ T(f) = \|\{i : f_i^* = x_i, f_i \neq x_i\}\|. \] Proof. The proof of the different claims all use the idea of converting programs. We first prove that there exists a shortest program computing \( f^* \) using only ordered instructions. Let \( f^* = g^L \circ \ldots \circ g^1 \) be a shortest program computing \( f^* \). We can easily convert it to another program \( h^L \circ \ldots \circ h^1 \) using only ordered instructions as follows. First let \( h^1 = g^{1} \). Then before \( g^j \), we can express the content of the \( i \)-th cell as \( y_i = \rho_i \circ y_i^ \) for all \( 1 \leq i \leq n \). Replace the instruction \( y_i \leftarrow g_i^j(y) \) by \[ y_i \leftarrow h_i^j(y) = \tau g_i^j(\rho_1 \circ y_1, \ldots, \rho_n \circ y_n), \] where \( \tau \in \text{Sym}(A) \) guarantees that the instruction \( h_i^j \) is indeed ordered. It is easy to check that converting all instructions in this fashion does yield a program computing \( f^* \). We now prove that \( \mathcal{L}(f^) \leq \mathcal{L}(f) \). Consider a shortest program \( g^L \circ \ldots \circ g^1 \) computing \( f \) and convert it as follows to compute \( f^ \). First, replace any final update \( y_i \leftarrow f_i(x) \) by \( y_i \leftarrow \sigma_i^{-1} \circ f_i(x) = f_i^(x) \). Second, after this final update, replace any occurrence of \( y_i \) by \( \sigma_i y_i \). We finally prove that \( L(f) \leq L(f^) + T(f) \). Consider a shortest program \( h^L \circ \ldots \circ h^1 \) computing \( f^* \) (note that it may or may not update any of the coordinates \( y_i \) for which \( f_k \) is nearly trivial) and convert it as follows to compute \( f \). First, replace any final update \( y_i \leftarrow f^_i(x) \) by \( y_i \leftarrow \sigma_i \circ f^_i(x) = f_i(x) \). Second, after this final update, replace any occurrence of \( y_i \) by \( \sigma_i^{-1} y_i \). Third, update the eventual nearly trivial coordinate functions which have not been updated yet (there are at most \( T(f) \) of them). ### 3.2. Procedural complexity of all transformations We have shown that any permutation of \( A^n \) can be computed in \( 2n - 1 \) memoryless instructions. We have also shown that any transformation can be computed by some memoryless program. The aim of this section is to derive an upper bound on the procedural complexity of any transformation which only depends on \( n \); this upper bound turns out to be \( 4n - 3 \) instructions. Definition 3.9 (Lexicographic order). For any \( a = (a_1, \ldots, a_n) \in A^n \) (\( A = \mathbb{Z}_q \)), we define the lexicographic order of \( a \) as the integer \( \sum_{i=1}^{n} a_i q^{i-1} \). For the sake of conciseness and clarity of notation, we shall abuse notation and identify \( a \) with its lexicographic order. In the lexicographic order, the all-zero word is in zero-th position, then \( (1, 0, \ldots, 0) \) is in first, \( (0, 1, 0, \ldots) \) is in \( q \)-th position, and so on until \( (q - 1, \ldots, q - 1) \) in last and \( (q^n - 1) \)-th position. The lexicographic order yields the concept of interval, defined below. Definition 3.10. An interval of \( A^n \) is any subset of the form \[ [b, c] := \{ x \in A^n : b \leq x \leq c \} \] for any \( 0 \leq b \leq c \leq q^n - 1 \). Recall that an integer partition of an integer \( s \) is a sequence of positive integers whose sum is equal to \( s \). Although the terms in the sequence are usually sorted in decreasing order, we do not do so in this paper. Definition 3.11. For any integer partition \( \lambda = (\lambda_1, \ldots, \lambda_k) \) of \( q^n \), \( p^\lambda \) is defined to be the transformation of \( A^n \) such that \[ p^\lambda([0, \lambda_1 - 1]) = 0, \] \[ p^\lambda\left(\left[\sum_{i=1}^{j-1} \lambda_i, \sum_{i=1}^{j} \lambda_i - 1\right]\right) = j - 1 \quad \text{for all } 1 \leq j \leq k. \] Proposition 3.12. Let \( f \) be a permutation of \( A^n \) which can be computed as a product of \( n \) instructions updating \( y_1 \) to \( y_n \). Then for any integer partition \( \lambda \) of \( q^n \), the transformation \( g = f \circ p^\lambda \) can also be computed as a product of \( n \) instructions updating \( y_1 \) to \( y_n \). Proof. In order to simplify notations, we denote \( p^\lambda \) as \( p \). We first prove the following claim: if \( a \geq b \in A^n \) agree on coordinates \( i \) to \( n \) for some \( i \), then \( p(a)_l = p(b)_l \) for all \( l \geq i \). Proof of claim: We have \( p(c + 1) \in \{ p(c), p(c) + 1 \} \) for any \( 0 \leq c < q^n - 1 \) and hence \[ 0 \leq p(a) - p(b) \leq a - b. \] Therefore, if \( a_l = b_l \) for all \( l \geq i \), then \( a - b < q^{i-1} \), which yields \( p(a) - p(b) < q^{i-1} \) and hence these two words agree on positions from \( i \) to \( n \). Let \( f = f^n \circ \cdots \circ f^1 \), where \( f^i \) is an instruction updating \( y_i \) for all \( i \). Let \( g^i \) be the transformation obtained after the instructions \( y_m \leftarrow g_m(y) \) for \( m \) from 1 to \( i \); we have \[ g^i(x) = (g_1(x), \ldots, g_i(x), x_{i+1}, \ldots, x_n). \] Then we only need to prove that for all \( 1 \leq i \leq n - 1 \) and all \( a \geq b \in A^n \), \[ g^i(a) = g^i(b) \Rightarrow g(a) = g(b). \] For any \( m \leq i \), we have \( g^i_m = g_m = (f \circ p)_m = f_m \circ p \). Therefore, \( g^i(a) = g^i(b) \) if and only if \( f_m(p(a)) = f_m(p(b)) \) for all \( m \leq i \) and \( a_l = b_l \) for all \( l \geq i + 1 \). By the claim above, we obtain \( p(a)_l = p(b)_l \) for all \( l \geq i + 1 \). Thus \( g^i(a) = g^i(b) \) implies \( h(p(a)) = h(p(b)) \), where \[ h(x) = (f^i \circ \cdots \circ f^1)(x) = (f_1(x), \ldots, f_i(x), x_{i+1}, \ldots, x_n). \] Since $h$ is a permutation, we obtain $p(a) = p(b)$ and hence $g(a) = g(b)$. □ Theorem 3.13. Any transformation of $A^n$ can be computed in at most $4n - 3$ instructions. Proof. Let $f$ be a transformation of $A^n$ and consider the integer partition $\lambda$ induced by its pre-images: denote $f(A^n) = \{a_1, \ldots, a_k\}$ and $\lambda_i = \|f^{-1}(a_i)\|$ for all $1 \leq i \leq k$. Then $f$ can be expressed as $$f = h \circ p^\lambda \circ g,$$ where $g$ and $h$ are permutations of $A^n$ satisfying $$g(f^{-1}(a_j)) = \left[ \sum_{i=1}^{j-1} \lambda_i, \sum_{i=1}^{j} \lambda_i - 1 \right],$$ $$h(j-1) = a_j$$ for all $1 \leq j \leq k$. By Theorem 3.5, $g$ and $h$ can be computed as follows, where the superscript indicates which coordinate is updated by each instruction: $$g = \bar{g}^1 \circ \cdots \circ \bar{g}^{n-1} \circ g^n \circ \cdots \circ g^1,$$ $$h = \bar{h}^1 \circ \cdots \circ \bar{h}^{n-1} \circ h^n \circ \cdots \circ h^1.$$ By Proposition 3.12, the transformation $h^n \circ \cdots \circ h^1 \circ p^\lambda$ can be computed in $n$ instructions $p^n \circ \cdots \circ p^1$. Furthermore, $p_1$ and $\bar{g}^1$ being instructions updating $y_1$, their product $q^1 = p^1 \circ \bar{g}^1$ is another instruction updating $y_1$. Thus, $f$ can be computed by the following program of length $4n - 3$: $$f = \bar{h}^1 \circ \cdots \circ \bar{h}^{n-1} \circ p^n \circ \cdots \circ p^2 \circ q^1 \circ \bar{g}^2 \circ \cdots \circ \bar{g}^{n-1} \circ g^n \circ \cdots \circ g^1.$$ □ We conclude this section with a remark on infinite alphabets. If $A$ is infinite, there exists a bijection $h : A^n \to A$ and thus any transformation can be computed in $n + 1$ instructions by the following program: $$y_n \leftarrow h(y)$$ $$y_1 \leftarrow f_1(x)$$ $$\vdots$$ $$y_n \leftarrow f_n(x).$$ ### 4. Computing linear transformations. #### 4.1. Program computing linear transformations. We are now concerned with the case where $q$ is a prime power and the inputs $x_1, \ldots, x_n$ are elements of a finite field $A = \text{GF}(q)$, and we want to compute a linear transformation $f$ of $A^n$, i.e. $$f(x) = Mx^\top$$ for some matrix $M \in A^{n \times n}$. Each coordinate function $f_i$ of $f$ can be viewed as the inner product of a row of $M$ with the input vector $x$. Therefore, we shall abuse notations slightly and refer to that row as $f_i$: $f_i(x) = f_i \cdot x$. In this section, we restrict ourselves to linear instructions only, i.e. instructions of the form $$y_i \leftarrow a \cdot y = \sum_{j=1}^{n} a_j y_j,$$ for some $a = (a_1, \ldots, a_n) \in A^n$. This is equivalent to calculating the matrix $M$ as a product of matrices $M = M_1 \ldots M_L$, where $M_i$ is a matrix which only modifies one row. If $M$ is nonsingular, this is also equivalent to a sequence of matrices $N_0 = I_n, N_1, \ldots, N_{L-1}, N_L = M$ where $N_i$ is nonsingular and $N_i$ and $N_{i+1}$ only differ by one row for all $i$. Gaussian elimination indicates that any matrix can be computed by linear instructions involving only two rows. The number of such instructions required to compute any matrix is on the order of $n^2$. However, since we allow any linear instruction involving all $n$ rows, we can obtain shorter programs. Theorem 4.1 shows that all matrices can be computed in a linear number of instructions. Theorem 4.1. Any $n \times n$ nonsingular matrix $M$ can be computed by at most $2n - 1$ linear instructions. Furthermore, this can be done in two main steps: - The first step updates row $i$ for $i$ from 1 to $n - 1$ to produce an upper unitriangular matrix (i.e., with ones on the diagonal) - The second step updates row $i$ for $i$ from $n$ down to 1 to produce $M$. In general, any $n \times n$ matrix with rank $\rho \geq 1$ can be computed in $n + \rho - 1$ linear instructions. Proof. The proof of correctness of the algorithm for nonsingular matrices actually goes in reverse: we start from $M$ and construct the identity matrix. We first justify the first step of the reversed algorithm: $M$ can be triangularised in $n$ instructions. Let us prove that after $k$ instructions we can obtain a matrix $M_k$ where the upper left $k \times k$ submatrix is upper unitriangular, by induction on $k$ ($1 \leq k \leq n$). We shall consider the $(n - 1) \times k$ matrix $N$ formed by the first $k$ columns and all but the $k$-th row of $M_{k-1}$ ($M_0 = M$). For $k = 1$, we need to consider two cases: 1. The $(1, 1)$ entry of $M$ is nonzero, then scaling the first row will work: \[ y_1 \leftarrow M(1, 1)^{-1} y_1. \] 2. Otherwise, there exists a non-zero element $M(j, 1)$, then do \[ y_1 \leftarrow y_1 + M(j, 1)^{-1} y_j. \] Now assume the claim holds for $k - 1$. Once again, we distinguish two cases on $N$: 1. The unit vector $\bar{e}^k = (0, \ldots, 0, 1) \in A^k$ is not in the row span of $N$. Then simply replace row $y_k$ with $\bar{e}^k \in A^n$. 2. Otherwise, by hypothesis the $k \times k$ matrix whose rows are given by the first $k - 1$ rows of $N$ together with $\bar{e}^k$ is upper unitriangular. Therefore, $N$ has full rank and there is a linear combination of rows $vN$ satisfying \[ vN + (y_k)^k = \bar{e}^k, \] where $(y_k)^k$ are the first $k$ positions of $y_k$. Therefore, denoting all but the $k$-th row of $M_{k-1}$ as $N'$, perform \[ y_k \leftarrow y_k + vN'. \] We now prove the second step: any upper unitriangular matrix can be turned into the identity matrix in $n - 1$ instructions. Let us prove that we can obtain a matrix whose last $k$ rows are equal to those of the identity matrix in $k - 1$ instructions ($1 \leq k \leq n$). For $k = 1$, this is trivial. Suppose it holds for $k - 1$ and denote $y_{n-k+1} = (0, \ldots, 0, 1, a_{n-k+2}, \ldots, a_n)$, then perform \[ y_{n-k+1} \leftarrow y_{n-k+1} - \sum_{i=n-k+2}^{n} a_i y_i. \] We now consider matrices with rank $1 \leq \rho < n$. We prove the claim by induction on $n$, the claim being clear for $n = 1$. Assume it is true for up to $n - 1$ and let us compute the matrix $M \in A^{n \times n}$. Without loss of generality, let the first $\rho$ rows of $M$ be linearly independent and them as $(N\|P) \in A^{\rho \times n}$, where $N$ has $\rho$ columns and $P$ has $n - \rho$ columns. By hypothesis, there is a program with length at most $2\rho - 1$ which can compute $N$. Suppose $N$ has $k$ rows equal to those of the identity matrix. Then it is easily shown that there exists a program which computes $N$ in no more than $2(\rho - k) - 1$ instructions. This program can be appended by $k$ trivial instructions $y_j \leftarrow y_j$ to obtain a program which computes $N$, which updates all rows, and which has no more than $2\rho - 1$ instructions in total. We adapt this program so that it computes \((N\|P)\) as follows. Suppose that \(y_j \leftarrow f_j\) is the first final update therein. Then applying the program, it should yield the \(j\)-th row of \(N\) for the first \(\rho\) coordinates and the all-zero vector for the last \(n - \rho\) coordinates. However, the \(j\)-th row of \(P\), say \(v_j\), can be expressed as a linear combination of the last \(n - \rho\) rows of the \(n \times n\) identity matrix. Therefore, simply replace \(y_j \leftarrow f_j\) by \[ y_j \leftarrow f_j + v_j. \] Subsequently, replace any occurrence of \(y_j\) by \(y_j - v_j\) in the program. Do this operation for all rows, and we obtain a program which computes \((N\|P)\) in at most \(2\rho - 1\) instructions. Finally, all other \(n - \rho\) rows of \(M\) can be expressed as linear combinations of the first \(\rho\), so it only takes \(n - \rho\) final updates. 4.2. Further results for nonsingular matrices. Let us characterise the set \(\mathcal{M}(\text{GF}(q)^n)\) of invertible linear instructions. It is given by the set of nonsingular matrices with at most one nontrivial row: \[ \mathcal{M} = \{ S(i, v) : 1 \leq i \leq n, v \in A^n(i) \}, \] where \[ A^n(i) = \{ v \in A^n, v_i \neq 0 \} \text{ for all } 1 \leq i \leq n, \] \[ S(i, v) = \begin{pmatrix} I_{i-1} & 0 \\ v & I_{n-i} \end{pmatrix} \in A^{n \times n}. \] Remark that \(S(i, v)^{-1} = S(i, -v_i^{-1}v)\) for all \(i, v\) and \[ \|\mathcal{M}\| = nq^{n-1}(q-1) - n + 1. \] Computing a nonsingular matrix is hence equivalent to progressing around the Cayley graph \[ G := \text{Cay}(\text{GL}(n, q), \mathcal{M}). \] Our previous results imply that \(G\) is undirected and connected. Since it is a Cayley graph, it is vertex-transitive and in particular it is regular of valency \(\|\mathcal{M}\| - 1 = n(q^n - q^{n-1} - 1)\). The following are equivalent: 1. \(M\) and \(N\) are adjacent in \(G\). 2. \(M = S(i, v)N\) and \(N = S(i, -v_i^{-1}v)M\) for some \(i\) and \(v \in A^n(i)\). 3. \(M\) and \(N\) only differ in one row. Therefore, \(G\) is the subgraph of the Hamming graph \(H(n, q^n)\) induced by the general linear group. The diameter of \(G\) is of great interest as it gives the maximum procedural complexity \(\mathcal{L}'(M)\) of computing a nonsingular matrix by updating one row at a time. We know that it is no more than \(2n - 1\); we shall see that it is at least \(\left\lceil \frac{3n}{4} \right\rceil\) (and hence it is equal to 3 when \(n = 2\)) but it remains unknown for \(n \geq 3\). However, when the field \(A\) is large, then almost all \(n \times n\) matrices can be computed in no more than \(n\) linear instructions. Proposition 4.2. There are exactly \[ (q - 1)^n q^{n(n-1)} = \left(1 - \frac{1}{q}\right)^n q^{n^2} \] \(n \times n\) nonsingular matrices over GF\((q)\) which can be computed simply by updating their rows from 1 to \(n\) in increasing order. Proof. Let us count such matrices \(M\) with rows \(f_i\). After the first instruction, we obtain the matrix whose first row is equal to \(f_1\), while the last \(n - 1\) rows do not depend on the matrix we are computing and are equal to \((0\|I_{n-1})\). Then \(f_1\) can be chosen as any vector not in the span of the last \(n - 1\) rows: there are hence \((q - 1)q^{n-1}\) choices for \(f_1\). Once \(f_1\) is fixed, similarly there are \((q - 1)q^{n-1}\) choices for \(f_2\), and so on. Similar to the general case, we can reduce the problem of determining the complexity of nearly any nonsingular matrix to the case of so-called scaled matrices. Note that this concept is not necessarily consistent with the concept of ordered permutations; however, it can be viewed as an analogue. Definition 4.3. A nonzero vector whose leading nonzero coefficient is equal to 1 is said to be scaled. A nonsingular matrix is scaled if all its rows are scaled. For instance, the identity matrix is the only scaled diagonal matrix. For any nonzero vector $v \in \text{GF}(q)^n$ with leading nonzero coordinate $v_j$, we can express $$v = v_j v^$$ for a unique scaled vector $v^$. For any nonsingular matrix $M$ with rows $f_i$, let $M^$ be the corresponding scaled matrix with rows $f_i^$. We obtain the linear analogue of Proposition 3.8. Proposition 4.4. There exists a shortest linear program computing $M^$ with only scaled instructions. Its length satisfies $$L'(M) \leq L'(M) \leq L'(M^) + T'(M),$$ where $T'(M)$ is the number of nearly trivial (equal to multiples of the corresponding unit vectors) rows of $M$: $$T'(M) = \|\{i : f_i = \mu_i e^i, \mu_i \in \text{GF}(q) \setminus \{0,1\}\}\| = \|\{i : f_i \neq e^i, f_i^* = e^i\}\|.$$ ### 4.3. Manipulating variables We generalise the example of swapping two variables by considering any manipulation of variables. We distinguish between a transformation $\phi$ of $[n]$ (where we denote $[n] = \{1, \ldots, n\}$) which represents the formal movement of variables and the transformation $f^\phi$ of $A^n$ it induces on all the possible values of the variables. Although we do not require that $q$ should be a prime power, in such a case a manipulation of variables is indeed a linear transformation. Remark that $f^\phi \in \text{Sym}(A^n)$ if and only if $\phi \in \text{Sym}(n)$. We always use the postfix notation for $\phi$, i.e. the image of $i$ under $\phi$ is denoted as $i\phi$. For $\phi : [n] \to [n]$, $\phi^k$ does represent the $k$-th power of $\phi$ according to composition. Definition 4.5. A manipulation of variables is a transformation $f^\phi$ of $A^n$ such that there exists a transformation $\phi$ of $[n]$ for which $$f^\phi(x_1, \ldots, x_n) = (x_{1\phi}, \ldots, x_{n\phi})$$ for all $x \in A^n$. The transformation $\phi$ can be represented using a directed graph on $[n]$ with $n$ arcs $(i, i\phi)$ (see [11] for a detailed review of this representation of transformations). This directed graph has cycles of two kinds: - A cycle $(i, i\phi, \ldots, i\phi^{k-1})$ (where $i\phi^k = i$) is detached if for all $0 \leq l \leq k - 1$, there is no $j_l \neq i\phi^{l-1}$ such that $j_l\phi = i\phi^l$. Equivalently, the cycle is an entire connected component of the graph. - A cycle $(i, i\phi, \ldots, i\phi^{k-1})$ is attached otherwise, i.e. if there exists $0 \leq l \leq k - 1$ and $j \in [n], j \neq i\phi^{l-1}$ such that $j\phi = i\phi^l$. Note that if $\phi$ is a permutation, then all its cycles are detached. For instance, consider $\phi : [6] \to [6]$ defined as $1\phi = 2, 2\phi = 3, 3\phi = 1, 4\phi = 2, 5\phi = 6, 6\phi = 5$. Then the cycle $(1, 2, 3)$ is attached to 4, while the cycle $(5, 6)$ is detached, as seen on Figure 4.1. Example. Let us first consider the case of a cyclic shift of three variables, i.e. $\pi = (1, 2, 3)$ and $f^\pi : A^3 \to A^3$ such that $f^\pi(x_1, x_2, x_3) = (x_2, x_3, x_1)$. This can be computed via linear combinations: $$y_1 \leftarrow y_1 + y_2 + y_3 \quad (= x_1 + x_2 + x_3)$$ $$y_3 \leftarrow y_1 - y_2 - y_3 \quad (= x_1)$$ $$y_2 \leftarrow y_1 - y_2 - y_3 \quad (= x_3)$$ $$y_1 \leftarrow y_1 - y_2 - y_3 \quad (= x_2).$$ However, it is impossible to perform this cyclic shift in four instructions by first updating $y_1$ and then updating $y_2$ instead of $y_3$. This is an example of the more general result below. Proposition 4.6. Let $\kappa \in \text{Sym}(n)$ be a cyclic permutation, without loss $\kappa = (1, 2, \ldots, n)$. Then the cyclic shift of $n$ variables $f^\kappa : A^n \to A^n$ can be computed in $n + 1$ instructions if and only if the order of updates (up to starting point) is $y_1, y_n, \ldots, y_2, y_1$. Proof. Let us prove that if the order is correct, then we can compute the cyclic shift. This is done via the following program: \[ \begin{align} y_1 &\leftarrow \sum_{i=1}^{n} y_i \\ y_n &\leftarrow y_1 - \sum_{j=2}^{n} y_j \\ &\vdots \\ y_1 &\leftarrow y_1 - \sum_{j=2}^{n} y_j. \end{align} \] We prove the correctness of this program by induction: we claim that after the update of $y_{n-i}$, all variables $y_n, y_{n-1}, \ldots, y_{n-i}$ have the correct values $x_{n+1} = x_1, x_n, \ldots, x_{n-i+1}$ for $i$ from 0 to $n-1$. For $i = 0$, we have \[ y_n \leftarrow y_1 - \sum_{j=2}^{n} y_j = \sum_{i=1}^{n} x_i - \sum_{j=2}^{n} x_j = x_1. \] Now suppose it holds for up to $i-1$, we then have \[ y_{n-i} \leftarrow y_1 - \sum_{j=2}^{n-i} y_j - \sum_{j=n-i+1}^{n} y_j = \sum_{i=1}^{n} x_i - \sum_{j=2}^{n-i} x_j - \sum_{k=n-i+2}^{n+1} x_k = x_{n-i+1}. \] We now prove the reverse implication. Consider a program computing the shift of variables with $n+1$ instructions, and let $y_1$ be updated first. Then, for all $1 \leq k \leq n$, the update of $y_k$ must occur after that of $y_{i+1}$. Indeed, otherwise after $y_i \leftarrow x_{i+1}$, the content of $(y_i, y_{i+1})$ is $(x_{i+1}, x_{i+1})$ and the resulting transformation is not a permutation. The only order possible is hence $y_1, y_n, \ldots, y_1$. □ We can then determine the procedural complexity of a manipulation of variables. Theorem 4.7. Let $\phi : [n] \to [n]$ have $F$ fixed points and $D$ detached cycles. Then the procedural complexity of the manipulation of $n$ variables $f^\phi : A^n \to A^n$ is exactly - $n - F + D$ instructions if $\phi$ is a permutation; - $n - F + 1$ instructions if $\phi$ is not a permutation and $D > 0$; - $n - F$ instructions otherwise. Proof. Let us first suppose that $\phi$ is a permutation. Then computing one cycle after the other yields a program of length $n - F + D$ by Proposition 4.6. Conversely, assume that there is a program computing $f^\phi$ in fewer than $n - F + D$ instructions. For this program there must be at least one cycle of $\phi$ such that each coordinate in the cycle is updated only once. Then after the first such update $y_i \leftarrow x_{i\phi}$, we have $y_i = y_{i\phi} = x_{i\phi}$ and hence the resulting transformation is not a permutation. Let us now suppose that $\phi$ is not a permutation. Let $m$ denote the number of variables which are not fixed and do not belong to any cycle. The subgraph induced on these vertices is acyclic, hence we can order them as $a_1, \ldots, a_m$ such that $a_i = a_j \phi$ only if $i > j$ [1]. The first part of the program consists in updating all these vertices but the last in the correct order; for $i$ from 1 to $m-1$, do \[ y_{a_i} \leftarrow y_{a_i \phi}. \] The second part is to perform the cycles by using \( y_{a_m} \) as memory. Let \( \{i_c : 1 \leq c \leq C\} \) denote a member of each (detached or attached) cycle of length \( l_c \), then do the following instruction: \[ y_{a_m} \leftarrow \sum_{c=1}^{C} y_{i_c}. \] Then for all \( c \) from 1 to \( C \) do \[ y_{i_c} \leftarrow y_{i_c \phi} \] \[ \vdots \] \[ y_{i_c \phi^{l_c-2}} \leftarrow y_{i_c \phi^{l_c-2}} \] \[ y_{i_c \phi^{l_c-1}} \leftarrow y_{a_m} - \sum_{b=1}^{c-1} y_{i_b \phi^{l_b-1}} - \sum_{b=c+1}^{C} y_{i_b}. \] It can be easily proved by induction on \( c \) that this program does compute all cycles. Eventually, we need the final update of \( y_{a_m} \). Note that \( a_m \phi \) is either a fixed point or it belongs to a cycle; therefore \( x_{a_m \phi} \) is contained in \( y_{a_m \phi^L} \), where \( L = 0 \) if \( a_m \phi \) is a fixed point and \( L = l_c - 1 \) if it belongs to the cycle \( c \). Thus, the final update is given by \[ y_{a_m} \leftarrow y_{a_m \phi^L}. \tag{4.1} \] Since \( y_{a_m} \) is the only coordinate updated twice, this program has length \( n - F + 1 \). We now simplify this program when \( \phi \) has no detached cycles. This time, for \( i \) from 1 to \( m \), do \[ y_{a_i} \leftarrow y_{a_i \phi}. \] Then for all \( c \) from 1 to \( C \), there exists \( \alpha_c \in \{a_1, \ldots, a_m\} \) such that \( \alpha_c \phi = i_c \), therefore do \[ y_{i_c} \leftarrow y_{i_c \phi} \] \[ \vdots \] \[ y_{i_c \phi^{l_c-2}} \leftarrow y_{i_c \phi^{l_c-2}} \] \[ y_{i_c \phi^{l_c-1}} \leftarrow y_{\alpha_c}. \] Since \( y_{a_m} \) already contains \( x_{a_m \phi} \), there is no need to include the final update in (4.1). Conversely, it is clear that at least \( n - F \) instructions are needed to compute \( f^\phi \). Furthermore, assume \( D > 0 \) and that there is a program computing \( f^\phi \) in exactly \( n - F \) instructions. Let \( i \) in the cycle \( c \) be the first coordinate belonging to a detached cycle to be updated. Then the program first does \( y_i \leftarrow x_{i \phi} \) and the value of \( x_i \) is lost; therefore, the update \( y_{i \phi^{l_c-1}} \leftarrow x_i \) cannot occur. Theorem 4.7 indicates that disjoint cycles of a permutation cannot be computed “concurrently,” for the shortest program which computes two cycles exactly consists of computing one before the other. Corollary 4.8. If \( n = 2m \), then computing \( m \) disjoint transpositions of variables (e.g. \( (1,2)(3,4)\cdots(2m-1,2m) \)) takes exactly \( 3m \) instructions. If \( n = 2m + 1 \), then computing \( m - 1 \) disjoint transpositions and a cycle of length 3, (e.g. \( (1,2)(3,4)\cdots(2m-3,2m-2)(2m-1,2m,2m+1) \)) takes exactly \( 3m + 1 \) instructions. This is the maximum number of instructions for any manipulation of variables. In particular, if \( x_1, \ldots, x_{m^2} \) are the entries of an \( m \times m \) matrix over \( A \), then transposing that matrix takes exactly \( 3m(m-1)/2 \) instructions. Another consequence of Theorem 4.7 is that when \( \phi \) is not a permutation, we can obtain shorter programs by using some arithmetic than by adopting the “black box” approach used for the swap of two variables escribed in the very beginning of the paper. Figure 4.2 shows the smallest example: computing \( f^\phi \) takes 6 instructions when using the program described in the proof of Theorem 4.7, while it takes 7 instructions when we do not combine variables. Clearly, this example can be generalized by adding more cycles, thus yielding an arbitrarily large gap between the two approaches. The results are summarised in Proposition 4.9 and Corollary 4.10. Proposition 4.9. Let $\phi$ be a transformation of $[n]$ with $F$ fixed points and $D$ detached cycles. Then the manipulation of variables $f^\phi$ can be computed without memory by instructions of the form $y_i \leftarrow y_j$ for any $i, j \in [n]$ if and only if $\phi$ is not a permutation (or is the identity). In that case, the shortest length of such a program is $n - F + D$. The proof calls arguments similar to those used above and is hence omitted. Corollary 4.10. If $\phi$ is not a permutation, then the ratio between the procedural complexity of $f^\phi$ over the minimum length of a program computing $f^\phi$ using instructions of the form $y_i \leftarrow y_j$ is always greater than $2/3$. Conversely, for any $\epsilon > 0$, there exists $\phi$ for which that ratio is between $2/3$ and $2/3 + \epsilon$. ### 5. Using memory Suppose we want to compute a transformation $f$ of $A^n$ using $m$ memory cells storing values in $A$. By convention, we shall denote the content of the $m$ memory cells as $y_{n+1}, \ldots, y_{n+m}$. Then computing $f$ using $m$ memory cells is equivalent to computing some transformation $h(x_1, \ldots, x_{n+m})$ such that the first $n$ coordinate functions of $h$ coincide with those of $f$. Let us denote the set of such transformations as $D(f, m)$. The shortest length of a program computing $f$ using $m$ memory cells is hence given by $$L(f\|m) := \min_{h \in D(f,m)} L(h).$$ Therefore, there exists $h$ such that $L(h) = L(f\|m)$ but it may be difficult to characterise that transformation $h$. However, Proposition 5.1 shows that our framework also considers the case of using memory. Indeed, there is a deterministically (and easily) described transformation $h \in D(f, m)$ for which $L(h)$ and $L(f\|m)$ are in bijection. Proposition 5.1. For any transformation $f$ of $A^n$ and any $e = (e_1, \ldots, e_m) \in A^m$, let $h^e \in D(f, m)$ and $h^e_{n+i} = e_i$ for $1 \leq i \leq m$. Then $$L(h^e) = L(f\|m) + m.$$ Proof. Let $g \in D(f, m)$ such that $L(g) = L(f\|m)$, then the shortest program computing $g$ appended with the suffix $y_{n+i} \leftarrow e_i$ for $i$ from 1 to $m$ has length $L(f\|m) + m$ and computes $h^e$. Therefore, $L(h^e) \leq L(f\|m) + m$. Conversely, consider the shortest program computing $h^e$. It contains $m$ final updates $y_{n+i} \leftarrow e_i$ which, without loss, appear for $i$ from $m$ down to 1. Then any instruction $y_j \leftarrow g(y)$ occurring after $y_{n+k} \leftarrow e_k$ (hence $j \leq n + k - 1$) can be replaced by $y_j \leftarrow g'(y_1, \ldots, y_{n+k-1})$ where $g' : A^{n+k-1} \to A$ is defined as $$g'(y_1, \ldots, y_{n+k-1}) = g(y_1, \ldots, y_{n+k-1}, e_k, \ldots, e_m).$$ Now remove all the $y_{n+i} \leftarrow e_i$ updates; we are left with a program which computes some transformation in $D(f, m)$ and whose length is given by $L(h^e) - m$. Thus $L(f\|m) \leq L(h^e) - m$. □ 5.1. Shorter programs. We have shown in Theorem 2.4 that one need not use memory to compute any transformation. However, we shall prove that one may want to use memory in order to use shorter programs. In order to clarify notations, whenever $m = 1$, we denote the content of the memory cell as $t$. We have shown in Theorem 3.5 that any permutation can be computed without memory in at most $2n - 1$ instructions. On the other hand, using one memory cell necessarily yields a program with length at least $n + 1$. Propositions 3.2 and 5.2 show that these two results are simultaneously tight: there exists a permutation $f \in \text{Sym}(A^n)$ for which $\mathcal{L}(f) = 2n - 1$ while $\mathcal{L}(f\|1) = n + 1$. Proposition 5.2. The transposition $(a, b)$ of two words $a, b \in A^n$ at Hamming distance $d$ can be computed with one memory cell in $d + 1$ instructions: $\mathcal{L}((a, b)\|1) = d + 1$. Proof. Without loss, let us assume that $a$ and $b$ disagree on their first $d$ coordinates. Then the following program computes $(a, b)$: \[ \begin{align} t &\leftarrow \delta(y, a) - \delta(y, b) \\ y_1 &\leftarrow y_1 + (b_1 - a_1)t \\ &\vdots \\ y_d &\leftarrow y_d + (b_d - a_d)t. \end{align} \] In Theorem 3.13, we have given an upper bound on the complexity of any transformation which only depends on the number of variables. This upper bound is larger than $2n - 1$ obtained for permutations; however, using memory cells yields a program using $2n - 1$ instructions, as seen below. Proposition 5.3. Any transformation $f$ of $A^n$ can be computed with $n - 1$ memory cells and no more than $2n - 1$ instructions: $\mathcal{L}(f\|n - 1) \leq 2n - 1$. Proof. The following program computes $f$ using $n - 1$ memory cells $t_1, \ldots, t_{n-1}$ and $2n - 1$ instructions: \[ \begin{align} t_1 &\leftarrow y_1 \\ &\vdots \\ t_{n-1} &\leftarrow y_{n-1} \\ y_1 &\leftarrow f_1(t_1, \ldots, t_{n-1}, y_n) \\ &\vdots \\ y_n &\leftarrow f_n(t_1, \ldots, t_{n-1}, y_n). \end{align} \] Proposition 5.3 indicates that we do not need any more than $n - 1$ memory cells. Indeed, if we use $n$ memory cells, then the program will have at least $2n$ instructions (unless some memory cells are not updated, which is equivalent to not using them). Therefore, $\mathcal{L}(f\|m) = \mathcal{L}(f\|n - 1)$ for any $m \geq n - 1$. We remark that this upper bound on the amount of memory needed follows from the fact that we allow any instruction. In practice, using a large amount of memory is the price paid for using only a restricted number of basic instructions. This can be easily generalised to the case where $f$ only has $k$ nontrivial coordinate functions. In that case, using $k - 1$ memory cells yields a program of length at most $2k - 1$ instructions, and hence only $k - 1$ memory cells are needed. The ideas behind Theorem 3.5 can be adapted to the case of using memory to yield a refinement of Proposition 5.3 for permutations. Theorem 5.4. Any permutation of $A^n$ can be computed in at most $3m$ instructions with $m$ memory cells if $n = 2m$ is even and at most $3m + 3$ instructions with $m + 2$ memory cells if $n = 2m + 1$ is odd. Proof. Suppose $n = 2m$, let $f \in \text{Sym}(A^n)$ and let $t_1, \ldots, t_m$ denote the memory. By Proposition 3.4, there exist $m$ functions $g_1, \ldots, g_m : A^n \to A$ such that \[ (f_1, \ldots, f_m, g_1, \ldots, g_m) \quad \text{and} \quad (x_{m+1}, \ldots, x_n, g_1, \ldots, g_m) \] both form permutations of $A^n$. The program goes as follows: • Step 1 (m instructions). For i from 1 to m, do \( t_i \leftarrow g_i(x) \). • Step 2 (m instructions). For i from 1 to m, do \( y_i \leftarrow f_i(x) \). This is possible since \((x_{m+1}, \ldots, x_n, g_1, \ldots, g_m)\) form a permutation of \(A^n\), and hence \(f_i(x)\) can be expressed as a function of \((y_{m+1}, \ldots, y_n, t_1, \ldots, t_m)\). • Step 3 (m instructions). For i from \(m+1\) to n, do \(y_i \leftarrow f_i(x)\). This is possible since \((f_1, \ldots, f_m, g_1, \ldots, g_m)\) form a permutation of \(A^n\), and hence \(f_i(x)\) can be expressed as a function of \((y_1, \ldots, y_m, t_1, \ldots, t_m)\). Now let \(n = 2m + 1\) be odd. Then add one memory cell and consider the extended permutation \(g \in D(f, 1)\) such that \(g_{2m+2}(x) = x_{2m+2}\). Then \(g\) can be computed in \(3m + 3\) instructions and \(m + 1\) memory cells. Therefore, we do not want more than around \(n/2\) memory cells to compute any permutation; adding any more would be superfluous. There is a linear analogue to Theorem 5.4. Proposition 5.5. Any linear permutation of \(A^n\) can be computed in at most \(3m\) linear instructions with \(m\) memory cells if \(n = 2m\) is even and at most \(3m + 3\) linear instructions with \(m + 2\) memory cells if \(n = 2m + 1\) is odd. Proof. Suppose \(n = 2m\). Let \(f(x) = xM^\top\) and denote the first \(m\) rows of \(M\) as \(M_1\) and the matrix \(J = (0\|I_m) \in A^{m \times n}\). We claim that there exists a matrix \(N \in A^{m \times n}\) such that \((M_1^\top, N^\top)\) and \((J^\top, N^\top)\), both in \(A^{n \times n}\), are nonsingular. Then the algorithm simply places \(N\) in the memory, then replaces the first \(m\) rows by \(M_1\), and finally updates the last \(m\) rows to those of \(M\). We now justify our claim. This is equivalent to showing that for any two subspaces in the Grassmannian \(G(q, 2m, m)\) of \(m\)-dimensional subspaces of \(\text{GF}(q)^{2m}\), there exists a third subspace in the same Grassmannian at subspace distance \(2m\) from both [14] (where the subspace distance between \(U, V \in G(q, 2m, m)\) is given by \(2 \dim(U + V) - 2m\)). Since the Grassmannian endowed with the subspace distance forms an association scheme [10], we only have to check for the row space of \(J\) and one subspace at distance \(2d\) for each \(0 \leq d \leq m\). Let us then assume \(M_1 = (0_{m-d}\|I_m\|0_d)\) whose row space is at subspace distance \(2d\) from that of \(J\). Then it is easily checked that the row space of \[ N = \begin{pmatrix} I_m & 0_d \\ 0_{m-d} & I_{m-d} \end{pmatrix} \] is at distance \(2m\) from the row spaces of \(M_1\) and \(J\). The case \(n = 2m + 1\) is settled by considering \(M' \in A^{n+1 \times n+1}\) given by \[ M' = \begin{pmatrix} M & 0 \\ 0 & 1 \end{pmatrix}. \] For manipulations of variables, we can completely determine the gain offered by using memory. Example. Let \(\pi = (1, 2)(3, 4) \in \text{Sym}(4)\) and let \(f^\pi : A^4 \to A^4\) be the corresponding permutation of variables. By Corollary 4.8, two disjoint transpositions of variables must be computed in at least 6 instructions when no memory is used. However, adjoining one memory cell \(t\) leads to a program with only 5 instructions, as seen below. \[ \begin{align} t & \leftarrow y_1 + y_3 \quad (= x_1 + x_3) \\ y_1 & \leftarrow y_2 \quad (= x_2) \\ y_2 & \leftarrow t - y_3 \quad (= x_1) \\ y_3 & \leftarrow y_4 \quad (= x_4) \\ y_4 & \leftarrow t - y_2 \quad (= x_3) \end{align} \] More generally, we can show that using only one memory cell is sufficient to compute any manipulation of variables. Proposition 5.6. Any manipulation of \(n\) variables with \(F\) fixed points can be computed with one memory cell in at most \(n - F + 1\) instructions. Proof. By Theorem 4.7, we only need to prove the case where \(\phi\) is a permutation of \([n]\). Let \(\pi\) be the transformation of \([n + 1]\) defined as \(i\pi = i\phi\) for all \(i \in [n]\) and \((n + 1)\pi = 1\). Then by Theorem 4.7, we can compute \(f^\pi\) in \(n - F + 2\) instructions, where the last instruction updates \(y_{n+1}\). By removing that last instruction, we compute \(f^\phi\) in \(n - F + 1\) instructions while using one memory cell \(y_{n+1}\). By comparing with Theorem 4.7, we see that using only one memory cell reduces the length of the program from $n - F + C$ to $n - F + 1$ for permutations. In particular, for a disjoint product of $m$ transpositions, the complexity goes down from $3m$ to only $2m + 1$. 5.2. Binary instructions. Since the number of instructions is very large, one may want to use only a subset of instructions to compute any transformation. A natural choice is that of binary instructions, since any function can be computed as a composition of binary operations. Definition 5.7. An instruction $y_i \leftarrow g_i(y)$ is binary if $g$ only involves at most two variables: $g_i(y) = g_i(y_j, y_k)$ for some $j, k \in [n]$. Using binary instructions is not sufficient when computing without memory; however, it is sufficient when only one memory cell is used. Theorem 5.8. If $A = \text{GF}(2)$, then the set of all permutations of $A^n$ which can be computed using binary instructions is the affine group $\text{Aff}(n, 2)$. On the other hand, when using one memory cell, any transformation over any alphabet can be computed by binary instructions. Proof. Note that any binary permutation instruction is of the form $y_i \leftarrow g_i(y_i, y_j)$ for some $j \in [n]$. If $A = \text{GF}(2)$ and $n = 2$, then it is well known that $\text{Sym}(\text{GF}(2)^2) = \text{Aff}(2, 2)$. If $n > 2$, then any instruction of the form $y_i \leftarrow g(y_i, y_j)$ must correspond to a binary instruction for $\text{GF}(2)^2$ acting on the coordinates $y_i, y_j$: it is also affine. Therefore, the group generated by binary permutation instructions is affine. Conversely, extending Gaussian elimination to the affine case shows that any affine permutation can be computed via binary instructions. If the memory cell $t$ is used, we claim that the instructions in Theorem 2.4 can be computed by binary instructions. For the sake of simplicity, let us assume $i = 1$. For any $u \in A^n$ and $v = u + e^1$, we can decompose $$\delta(y, u) = \delta(y_1, u_1)\delta(y_2, u_2) \cdots \delta(y_n, u_n),$$ $$\delta(y, u) - \delta(y, v) = (\delta(y_1, u_1) - \delta(y_1, v_1))\delta(y_2, u_2) \cdots \delta(y_n, u_n).$$ Then the transposition $(u, v)$ is computed as follows: $$t \leftarrow \delta(y_1, u_1) - \delta(y_1, v_1)$$ $$t \leftarrow t\delta(y_2, u_2)$$ $$\vdots$$ $$t \leftarrow t\delta(y_n, u_n)$$ $$y_1 \leftarrow y_1 + t.$$ and the assignment $(e^0 \rightarrow e^1)$ is computed as: $$t \leftarrow \delta(y_1, 0)$$ $$t \leftarrow t\delta(y_2, 0)$$ $$\vdots$$ $$t \leftarrow t\delta(y_n, 0)$$ $$y_1 \leftarrow y_1 + t.$$ Since any transformation can be computed using these two types of instructions, it can be computed with binary instructions. □ 6. Acknowledgment. The authors would like to thank Peter J. Cameron, Ben Fairbairn, Peter Keevash and Rasmus Petersen for stimulating discussions. REFERENCES [1] J.A. Bondy and U.S.R. Murty, Graph Theory, vol. 244 of Graduate Texts in Mathematics, Springer, 2008. [2] S. Burckel, Closed iterative calculus, Theoretical Computer Science, 158 (1996), pp. 371–378. [3] ———, Elementary decompositions of arbitrary maps over finite sets, Journal of Symbolic Computation, 37 (2004), pp. 305–310. [4] S. Burckel, E. Gioan, and E. Thomé, Mapping computation with no memory, in Proc. International Conference on Unconventional Computation, Ponta Delgada, Portugal, 2009, pp. 85–97. [5] S. Burckel and M. Morillon, Three generators for minimal writing-space computations, Theoretical Informatics and Applications, 34 (2000), pp. 131–138. [6] ———, Quadratic sequential computations of boolean mappings, Theory of Computing Systems, 37 (2004), pp. 519–525. [7] ———, Sequential computation of linear boolean mappings, Theoretical Computer Science, 314 (2004), pp. 287–292. [8] P.J. Cameron, Combinatorics: Topics, Techniques, Algorithms, Cambridge University Press, Cambridge, 1994. [9] P.J. Cameron, M. Gadouleau, and S. Ruis, Combinatorial representations, submitted, (2011). Available at http://arxiv.org/abs/1109.1216. [10] P. Delsarte, Association schemes and t-designs in regular semilattices, Journal of Combinatorial Theory A, 20 (1976), pp. 230–243. [11] O. Ganyushkin and V. Mazorchuk, Classical Finite Transformation Semigroups: An Introduction, vol. 9 of Algebra and Applications, Springer-Verlag, London, 2009. [12] C.D. Godsil and G. Royle, Algebraic Graph Theory, vol. 207 of Graduate Texts in Mathematics, Springer-Verlag, 2001. [13] D.-J. Guan, Generalized Gray codes with applications, Proc. Natl. Sci. Counc. ROC(A), 22 (1998), pp. 841–848. [14] R. Kötter and F.R. Kschischang, Coding for errors and erasures in random network coding, IEEE Transactions on Information Theory, 54 (2008), pp. 3579–3591.	<urn:uuid:b759a3be-423d-4d4e-b8a4-2300b6abce9d>	CC-MAIN-2018-09	https://pdfs.semanticscholar.org/9956/a49e0f0ab162a1548bea783ba3c11027b052.pdf	2018-02-25T21:45:14Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-09/segments/1518891817437.99/warc/CC-MAIN-20180225205820-20180225225820-00417.warc.gz	706,799,487	20,366	eng_Latn	eng_Latn	0.929531	eng_Latn	0.978683	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	docling	[ 3497, 7346, 12155, 14865, 18786, 22728, 27114, 30084, 33896, 37782, 41014, 44295, 47850, 50892, 54469, 58726, 61760, 63543 ]
Open Market Property Visitors to Guernsey are often surprised by the broad and varied selection of properties available across its 10 parishes. From coast and country locations boasting traditional dwellings to modern town apartments and newly built houses, you're sure to find your dream island home. Many are attracted to the hustle and bustle of St Peter Port with its beautiful marina and cosmopolitan buzz. With modern, spacious apartments overlooking the islands of Sark and Herm, it's a great option if you're looking for a property with minimal maintenance. If a more rural family retreat is up your street, parishes such as St Andrew's, Castel and Torteval house beautiful rambling cottages nestled in idyllic valleys where more space and a slower pace of life can be found. St Martin's strikes the balance between rural and urban, offering a unique blend of cosy coastal cottages, period townhouses and tasteful new-builds. With its proximity to local amenities, strong sense of community and spectacular clifftop views, it's easy to see why this is a very popular parish. Guernsey's property market For those who are considering relocation to this diverse and stunning island, it is important to know that Guernsey has two property markets, the Open Market and the Local Market. Open Market properties may be occupied by any individual or family holding UK passports, or nationals of other countries who have achieved Indefinite Leave to Remain in the UK. Non-UK passport holders who have been granted an Investor Visa or an Entrepreneur Visa may also live in an Open Market property. For those holding a UK passport or with Right of Abode in the UK, there is no minimum income requirement to gain residency in Guernsey. The simple fact of occupying an Open Market Part A home gives you and your family the right to live and work in the island indefinitely. Open Market Part A residents holding UK passports or Right of Abode in the UK are free to work for any employer, for any length of time and are not reliant on a time-limited employment permit. Non-UK passport holders are however subject to any requirements tied to their immigration clearance, both in terms of their employment and also (in the case of Investor and Entrepreneur visa holders) in respect of a minimum investment requirement. Please speak to the team at Locate Guernsey for further information. Approximately 7% of Guernsey's properties (around 1,600) are on Guernsey's Open Market Register. They can be found all across the Island and are available to rent or purchase. However, Open Market property prices do tend to be higher than Local Market prices. Image courtesy of Savills Local Market properties are available for local residents and employment permit holders. If you are recruited to work on the island and your employment is deemed to be "essential" then your employer may apply for an employment permit which would allow you to live in a Local Market property. Whatever your circumstances, please contact Locate Guernsey to discuss your individual needs – we would be happy to provide further information about the island's property markets. Buying If you're looking to buy straight away, it's a good idea to meet with several estate agents to get an idea of the range of properties available. Local independent property finders can also search on your behalf if you are short of time. The process for buying property on the island is refreshingly straightforward and comparatively quick. The whole procedure, from instructing your advocate to completion, takes approximately four weeks and contracts can be passed more quickly in urgent cases. Fees The sale price of a property is usually split between the land, including its buildings (realty), and its contents. You'll also need to budget for the following fees when purchasing property: * Document Duty: This is payable on every conveyance registered at the Greffe by the party acquiring the property. It is calculated on the value of the realty but not the contents. The usual split for property is 97.5% realty and 2.5% contents. Document Duty starts at 2.25% rising in steps to 4.5% on values up to £2,000,000. From there it's a flat 5.5% on amounts over £2,000,000. Several of the local law firms have Document Duty calculators available on their websites so that you can see at a glance how much the duty will be on any property you are considering buying. * Legal Fees: It's important to get a quote from your advocate at the start as these fees are dependent on the complexity of the transaction and the property value. It's also worth remembering that you get what you pay for and that it is not always a good idea to take the cheapest option when it comes to something as important as conveyancing. * Court and Greffe Fees: On completion day, you'll need to attend the Royal Court with your advocate before you're handed the keys to your new property. These fees tend to be in the region of £300. * Survey Costs: These are quoted on a case-by-case basis. Please contact Locate Guernsey if you would like to obtain lists of local estate agents, advocates, property finders and surveyors. Renting If you're looking to consider your options before you buy and get to know which part of the island you would prefer to live in, renting first is a good solution. Guernsey's numerous estate agents will be able to show you the latest properties available and you can view properties online before you arrive. Many agents can also send you alerts with new property details. Whether you're renting on the Open or Local Market, you'll need to supply the following documents. Having these to hand will mean you can move quickly to secure your preferred home: * Original photo ID * Utility bill providing proof of previous address * Name/address of a previous landlord for a reference * Name/address of a Personal Referee * Bank account details for a credit check * Desired Lease start date * For Local Market rentals, a copy of your Resident's Certificate or Employment Permit To start your journey, call the Locate Guernsey team +44 (0)1481 220011 [email protected] Follow us. Search: LocateGuernsey Image courtesy of Livingroom Utilities and other costs It is easy to connect with local utility suppliers (although we only have one electricity and one water supplier) and forms are available to download on their websites. However, it's a good idea to give them as much notice as possible, especially for the installation of telephone lines and broadband. Some key utility suppliers are listed below: Guernsey Waterwww.water.gg Guernsey Electricitywww.electricity.gg Telecoms – Surewww.sure.com/guernsey Telecoms – JTwww.jtglobal.com Guernsey residents are also required to pay a local tax called Tax on Real Property (TRP) as well as local Parish Rates for community services. However these are very modest especially when compared to the equivalent tax in the UK (Council Tax). Thanks to Guernsey's low crime rate, insurance costs are correspondingly low. The island has several insurance specialists who can help with home and contents insurance. Contact Locate Guernsey for more advice on living in Guernsey and for lists of local service providers. 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Volume 47 Number 5 Turkish Journal of Agriculture and Forestry Article 5 10-16-2023 Spotted stem borer, Chilo partellus (Swinhoe) infestation in corn fields of Türkiye VAHDETTİN AKMEŞE SEVCAN ÖZTEMİZ EFKAN AKÇALI MUSTAFA GÖKHAN BİLGİN SERAP TOKER DEMİRAY See next page for additional authors Follow this and additional works at: https://journals.tubitak.gov.tr/agriculture Part of the Agriculture Commons, and the Forest Sciences Commons Recommended Citation AKMEŞE, VAHDETTİN; ÖZTEMİZ, SEVCAN; AKÇALI, EFKAN; BİLGİN, MUSTAFA GÖKHAN; DEMİRAY, SERAP TOKER; and SERTKAYA, ERDAL (2023) "Spotted stem borer, Chilo partellus (Swinhoe) infestation in corn fields of Türkiye," Turkish Journal of Agriculture and Forestry: Vol. 47: No. 5, Article 5. https://doi.org/10.55730/1300-011X.3116 Available at: https://journals.tubitak.gov.tr/agriculture/vol47/iss5/5 This Article is brought to you for free and open access by TÜBİTAK Academic Journals. It has been accepted for inclusion in Turkish Journal of Agriculture and Forestry by an authorized editor of TÜBİTAK Academic Journals. For more information, please contact [email protected]. Spotted stem borer, Chilo partellus (Swinhoe) infestation in corn fields of Türkiye Authors VAHDETTİN AKMEŞE, SEVCAN ÖZTEMİZ, EFKAN AKÇALI, MUSTAFA GÖKHAN BİLGİN, SERAP TOKER DEMİRAY, and ERDAL SERTKAYA Turkish Journal of Agriculture and Forestry http://journals.tubitak.gov.tr/agriculture/ Turk J Agric For (2023) 47: 645-651 © TÜBİTAK Research Article doi:10.55730/1300-011X.3116 Spotted stem borer, Chilo partellus (Swinhoe) infestation in corn fields of Türkiye Vahdettin AKMEŞE 1,* , Sevcan ÖZTEMİZ 2 , Efkan AKÇALI 1 , Mustafa Gökhan BİLGİN 1 , 1 3 Serap TOKER DEMİRAY , Erdal SERTKAYA 1 Biological Control Research Institute, Kışla Street, Yüreğir, Adana, Turkiye 2 Department of Plant Protection, Faculty of Agriculture, Düzce University, Düzce, Turkiye 3 Department of Plant Protection, Faculty of Agriculture, Mustafa Kemal University, Hatay, Turkiye Received: 08.01.2023 Accepted/Published Online: 24.05.2023 Final Version: 16.10.2023 Abstract: The presence of spotted stem borer, Chilo partellus Swinhoe (Lepidoptera: Crambidae) in Türkiye was recorded for the first time in 2014. Chilo partellus, an invasive species, originates in Southeast Asia and is widely distributed in Asia and Africa. It is among the most important pests of corn and sorghum with a high competitive ability among stem borers. Therefore, the study was carried out in 2018 and 2019 to determine the spread of the pest and the rate of contamination in the corn production areas which are the highest in the provinces of the Eastern Mediterranean and the Southeastern Anatolia Region of Türkiye. In both regions, sampling was carried out in 503 fields on a total area of 3.743,4 ha in 2018, and in 466 fields on a total area of 3.520,4 ha in 2019. The study revealed that C. partellus spread to Kahramanmaraş, Gaziantep, and Kilis provinces of the Southeastern Anatolia region, and entered the Erdemli district of Mersin for the first time in 2018 and the Mut district for the first time in the Eastern Mediterranean region in 2019. The infestation rate of the pest in the first crop corn production areas was found to be lower than in the second crop corn. As the number of pesticide applications increased in the fields where chemical control was applied, the rate of contamination decreased. While the contamination rate of the pest was 70% lower in the first crop corn, it reached 100% in the second crop corn. Furthermore, it has been observed that natural enemies are effective on the infestation rates of the pest. Since the pest spreads rapidly in seven provinces in both regions, it is very likely to infect other regions where corn is produced in Türkiye. If the pest is controlled especially in the vegetative period in corn, the rate of spread of the pest can be reduced. Key words: Chilo partellus, corn, infestation, Türkiye 1. Introduction S. nonagrioides is found in all regions where corn is cultivated, except the Black Sea Region (Yürüten, 1971; Öztemiz et al., 2011). Although there are many insect species in corn, the main damage is known as corn stalkborer, Sesamia nonagrioides Lef. (Lepidoptera: Noctuidae) and corn stem borer, Ostrinia nubilalis Hbn. (Lepidoptera: Crambidae). Ostrinia nubilalis is found in all regions of Türkiye, and Corn (Zea mays L.), a family of grasses, is one of the important cereal crops cultivated in Türkiye, and is grown in tropical and subtropical areas where water is sufficient. Corn plant is an important carbohydrate source used both in human nutrition and animal husbandry in the world and in our country. Corn is a strategically important product, also known for its wide use in industry. Grain and silage corn is planted on 1,217,893.7 hectares in Türkiye, and it ranks third among cereals with 6,626,142 t of grain and 27,186,949 t of silage corn production (TUİK, 2020). Approximately 30% of Türkiye's corn production is made in these provinces where the study was conducted. While there are difficulties in controlling these corn borers, Chilo partellus (Swinhoe) (Lepidoptera: Cram bidae), an invasive species that can compete with corn borers, was recorded for the first time in Türkiye during surveys conducted in first crop corn fields in Adana and Hatay provinces in 2014 (Sertkaya et al., 2014), in the same year spread to corn fields in Osmaniye (Bayram and Tonğa, 2015) and in Tarsus district of Mersin in 2016 (Öz temiz and Akmeşe, 2018). The pest, which originates from Southeast Asia and poses a great risk to the corn plant, has spread over large areas in Asia and Africa. The pest has been recorded in India (Overholt et al., 1996) before the 1930s and in Africa (Malawi) since 1930 (Overholt et al., 1994). It has spread rapidly since 1932 in the hot, low-al titude eastern and southern regions of Africa (Kfir, 1997). * Correspondence: : [email protected]; [email protected] It was determined that it spread from Tanzania in East to South Africa until 1952 (Overholt et al., 1994). By increas ing its density in South Africa since 1958 (Van Hamburg, 1979), it formed a high population in regions up to 1600 m altitude and replaced Busseola fusca (Fuller) (Lepidop tera: Noctuidae), which is the main pest of sorghum and maize, within two years (Kfir, 1997). Spotted stem borer, C. partellus is the most important pest of maize and sorghum in the Far East, East and Southern Africa (Harris 1990; Van den Berg et al. 1991; Overholt et al. 1996; Getu et al. 2001; Guofa et al. 2001; Sylvain et al. 2015). The pest has spread in Asia in Bangladesh, Cambodia, India, Indonesia, Iran, Laos, Nepal, Pakistan, Sri Lanka, Thailand, Vietnam, Yemen, and Afghanistan (Harris 1990; Rajabalee 1990). Spotted stem borer was first recorded in Africa in 1930 in Malawi Malawi (Tams, 1932). Since then, it has spread to Eritrea, Ethiopia, Kenya, Lesotho, Mozambique, Somalia, South Africa, Sudan, Swaziland, Tanzania, Uganda, Zam bia, and Zimbabwe (Overholt et al. 2000; Kfir et al. 2002; Sylvain et al. 2015). It has also been reported that this pest entered Israel in 2011 (Ben-Yakir et al. 2013). One of the reasons why C. partellus spreads faster than other harmful species and causes high contamination in corn and sor ghum is that it completes its life cycle in a shorter time de pending on the wintering period and has started to form a population earlier (Kfir, 1997). It has been inevitable to ob tain basic data for the control of the pest, which is reported to be a potential risk in corn and sorghum production. infestation in the first and second crop corn production areas of both regions, the Eastern Mediterranean and the Southeastern Anatolia Region where corn cultivation is the highest in Türkiye in 2018 and 2019. 2. Materials and methods The sampled areas and numbers of the first and second crop corn fields of the provinces are given in Table 1. The study was conducted in first and second crop corn fields of both regions in which the Eastern Mediter ranean Region (Adana, Mersin, Osmaniye, Hatay and Kahramanmaraş province) and the Southeastern Anatolia Region (Gaziantep and Kilis province) of Türkiye in 2018 and 2019 (Table 1 and 2). Samplings for the determination of distribution area and infestation rates were made between May 14, and September 11, in 2018 and between May 09, and September 03, in 2019, since the length of the seed planting interval and the possibility of the pest to infect the first crop corn in the early period. Stalks and ear left in the field during and after harvest were also sampled. In the second crop corn, field studies were carried out between June 27, and November 7, in 2018; between July 3, and November 12, in 2019. The invasive species has created a serious threat to corn production areas with the entry of C. partellus into the Türkiye. For this purpose, the study was carried out to determine distribution area of the pest and the rate of Sampling was done randomly according to the Bora and Karaca (1970), in three phonological periods (veg etative, generative and maturation) of corn and all aboveground organs of the plants were visually inspected. Based on the size of the field (0,1–5 ha and larger than 5 ha), a total of 25 or 50 plants were visually inspected at 5 or 10 different points and five plants on the same row at each point, and the percent contamination rates were deter Table 1. Corn production area and sampled area, and number of fields sampled in the provinces of the two regions. Table 2. Data of the sampled corn fields in provinces of the two regions. Table 2. Continued mined (Walker, 1971; Muhammad and Underwood, 2004; Sertkaya et al., 2014). It was considered as contaminated if any of the biological stages of pest or damage was detected and the infestation rate was determined by the formula shown below (Çetin et al., 2014). Number of infected plants Infestation rate (%) = -------------------------------- X 100 Total number of plants examined fect the infestation rate of the pest. Contamination reach ing 100% was detected in the first crop corn fields planted late and not sprayed. Especially in the second crop corn fields where chemical control was not applied, 100% yield loss was observed as a result of the invasion of C. partellus. The spotted stem borer invades plants starting from the end of the 4–6 leaf period until the pollination period in the first and second crop corn and leaves them from the milk stage. The infestation rate of C. partellus in the prov inces of the Mediterranean and the Southeastern Anatolia regions in 2018 and 2019 are given in Table 3. 3. Results In the surveys carried out in the Eastern Mediterranean (Adana, Osmaniye, Hatay, Mersin and Kahramanmaraş) and the Southeastern Anatolia (Gaziantep and Kilis) re gions in 2018 and 2019, in a significant part of the fields where C. partellus was spread but not infected, the plants were in the 4–6 leaf (seedling) stage and no contamination was detected in the Kahramanmaraş, Gaziantep and Kilis provinces, along with the Tufanbeyli district of Adana. It is thought that there was no contamination in the first crop corn fields as chemical spraying was done one or two times throughout the vegetation. Contamination rates of C. par tellus were lower in the first crop corn planted early in the spring compared to the late planted. It has been observed that the date of sowing and the application of pesticides af In the provinces of the two regions, sampling was car ried out in 503 fields (289 fields first crop corn, 214 fields second crop corn) on a total area of 3743.4 ha, of which 2475.5 ha were the first crop corn and 1267.9 ha were the second crop corn in 2018, and in 466 fields (271 fields first crop corn, 195 fields second crop corn) on a total area of 3520.4 ha, of which 2510 ha were the first crop corn and 1010.4 ha were the second crop corn in 2019. It was seen that C. partellus has spread to all provinces where survey was conducted (Table 3). More than half of the fields sampled and contaminated for two years in the provinces were in Adana in the Mediterranean region. In Southeastern Anatolia region, C. partellus, which was determined not to enter Kahramanmaraş, Gaziantep and Kilis provinces in the first crop corn in 2018, spread rap idly to the second crop corn in the same year. The distribu tion of C. partellus in these provinces of the Southeastern Anatolia region was the first record for the Türkiye. C. par tellus has been shown to infest plants between 2%–100% in first and second crop corn. The spotted stem borer con taminates the second crop corn approximately four times more than the first crop. C. partellus infected the first crop corn at an average rate of 4.69% and 4.52%, respectively, in seven provinces in both years, and 20.87% and 15.90% contamination rates in the second crop corn. 4. Discussion The first and second crop corn fields where C. partellus was not found were the fields in the districts where the pest has not yet entered or has a limited spread. Since a significant part of the fields in the first crop was planted in FebruaryAKMEŞE et al. / Turk J Agric For Table 3. The infestation rate of C. partellus spread in the provinces of the two regions in 2018 and in 2019. March and the adults of C. partellus, which emerged in late March, April, and May, depending on the climatic condi tions in the spring, preferred late sown corn fields, it was observed that some early planted fields were not infected by the pest. Since some of the first and second crop corn fields were in the 4–6 leaf stage, no contamination with the pest was recorded. Ofomata et al. (2000) reported that C. partellus prefers 6–10 leaves of corn plants for laying eggs. In the remaining limited number of first crops and especially in the second crop fields, it was observed that the pest was not transmitted due to the chemical control applications. in 6–12 leaf periods in the provinces of the Eastern Medi terranean region, with its high population, prevents the growth of plants by cutting the growth center and causes a significant part of them to completely dry out, the main pests, S. nunagriodes and O. nubilalis were prevented from infecting these fields. In a similar survey, Pehlivan and Atakan (2021) reported in their study in Adana in 2020, that the spotted stem borer did not allow the development of other corn stem borers due to early damage in second crop corns. Overholt et al. (1996) determined that C. partellus, which was known in India before the 1930s, has spread from Asia to large areas planted with maize and sorghum in the hot and low altitude eastern and southern regions of Africa since 1932 (Kfir, 1997). C. partellus, which entered the corn and sorghum fields of the Middle East country Israel in 2011 (Ben-Yakir et al., 2013). The spotted stem borer was recorded for the first time in Türkiye in 2014 in the first crop corn in the Eastern Mediterranean Region (Sertkaya et al.,2014), and two years later, it spread to other parts of our country (Öztemiz and Akmeşe, 2018). In both years in the first and second crop corn, it was revealed that C. partellus infested the plants between 2%–100%. Nabeel et. al. (2018) conducted a survey in 2016 in the seven dis tricts of Punjab where the most corn was grown, the high est infestation of C. partellus was found in Khanewal with an average of 12%, followed by Multan with 6%, and the lowest infestation at 1% in Okara. It has been revealed that C. partellus, which infects 100% of second crop corn fields It was determined that the invasive species C. partellus spreads to the first and second crop corn fields in the provinces of the Eastern Mediterranean Region (Adana, Mersin, Osmaniye, Hatay and Kahramanmaraş) and Southeastern Anatolia Region (Gaziantep and Kilis). The distribution of C. partellus to the provinces of Kahramanmaraş, Gaziantep and Kilis is the first record for the Türkiye. This study revealed that C. partellus contaminates the second crop maize approximately four times more than the first crop. C. partellus has been shown to infest plants between 1%–100% in first and second crop maize. Since C. partellus, which infects 100% of the second crop corns in 6–12 leaf periods in the Eastern Mediterranean region with its high population, prevents the growth of plants by cutting the growth center and causes a significant part of them to completely dry out, the main pests S. nunagriodes and O. nubilalis are prevented from infecting these fields. Since the invasive species, C. partellus, was found to spread rapidly in seven surveys within the scope of the study, it is known that it can invade corn production areas by spreading to other parts of our country. It is foreseen that the rate of spread can be reduced by early sowing in the first crop against the pest and by combating the two crops, especially in the vegetative development period, within the framework of integrated pest control principles. References Bayram A, Tonga A (2015). First report of Chilo partellus in Turkey, a new invasive maize pest for Europe. Journal of Applied Entomology 140 (3): 236-240. Ben-Yakir D, Chen M, Sinev S, Seplyarsky V (2013). Chilo partellus (Swinhoe) (Lepidoptera: Pyralidae) a new invasive species in Israel. Journal of Applied Entomology 137 (5): 398-400. https://doi.org/10.1111/j.1439-0418.2012.01740.x Bora T, Karaca İ (1970). Measurement of disease and damage in cultivated plants. Ege University, Faculty of Agriculture Auxiliary Textbook 167, Turkey. Çetin G, Göksel P, Dura O, Hantaş C (2014). Spreading, Infestation and Damage Rates and Adult Population Monitoring of Tomato Leaf Miner [Tuta absoluta (Meyrick) (Lepidoptera: Gelechiidae)] on Open Field Tomato Grown in the South Marmara Region of Turkey. Turkish Journal of Agricultural and Natural Sciences 1 (2): 1618-1624. https://dergipark.org. tr/en/download/article-file/142314 Getu E, Overholt WA, Kaıru E (2001). Distribution and species composition of stemborers and their natural enemies in maize and sorghum in Ethiopia. International Journal of Tropical Insect Science 4 (21): 353-359. https://doi.org/10.1017/ S1742758400008456 Guofa Z, Overholt WA, Mochiah MB (2001). Changes in the distribution of lepidopteran maize stemborers in Kenya from the 1950s to 1990s. International Journal of Tropical Insect Science 21 (4), 395-402. https://doi.org/10.1017/ S1742758400008511 Harris KM (1990). Bioecology of Chilo species. International Journal of Tropical Insect Science 11 (4-5) 467-477. https://doi. org/10.1017/S1742758400021044 Kfir R. (1997). Competitive displacement of Busseola fusca (Lepidoptera: Noctuidae) by Chilo partellus (Lepidoptera: Pyralidae). Annals of Entomological Society of America 90 (5): 619-624. https://doi.org/10.1093/aesa/90.5.619 Kfir R, Overholt WA, Khan ZR, Polaszek A (2002). Biology and management of economically important lepidopteran cereal stem borers in Africa. Annual Review of Entomology (47): 70131. https://doi.org/10.1146/annurev.ento.47.091201.145254 Muhammad L, Underwood E (2004). The maize agricultural context in Kenya. Environmental risk assessment of genetically modified organisms: A Case Study of Bt Maize in Kenya. Environmental Entomology 35 (4): 1139-1140. https://doi. org/10.1603/0046-225X-35.4.1139b Acknowledgment The study was supported by The Scientific and Technologi cal Research Council of Türkiye (TÜBİTAK) with project number 117O191. We thank TÜBİTAK for supporting us. Nabeel M, Javed H, Mukhtar T (2018). Occurrence of Chilo partellus on Maize in Major Maize Growing Areas of Punjab, Pakistan. Pakistan Journal of Zoology 50 (1): 317-323. http://doi. org/10.17582/journal.pjz/2018.50.1.317.323 Ofomata VC, Overholt WA, Lux SA, Van Huis A, Egwuatu RI (2000). Comparative studies on the fecundity, egg survival, larval feeding and development of Chilo partellus (Swinhoe) and Chilo orichalcociliellus Strand (Lepidoptera: Crambidae) on five grasses. Annals of Entomological Society of America 93: 492-499. https://doi.org/10.1603/0013-8746(2000)093 Overholt WA, Ogedah K, Lammers PM (1994). Distribution and Sampling of Chilo partellus (Swinhoe) (Lepidoptera: Pyralidae) in Maize and Sorghum at the Kenya Coast. Bulletin of Entomological Research 84 (3): 367-378. https://doi. org/10.1017/S0007485300032491 Overholt WA, Ngi-Song AJ, Omwega CO, Kimani-Njogu SW, Mbapila JMNet al. (1996). The introduction and establishment of Cotesia flavipes Cameron (Hymenoptera: Braconidae). An ecological approach to biological control of gramineous stemborers in Africa, Radcliffe's IPM World Textbook, Editör: Radcliffe, E.B. and Hutchison, W.D. University of Minnesota, USA. Overholt WA, Songa JM, Ofomata V, Jeske J (2000). The spread and ecological consequences of the invasion of Chilo partellus (Swinhoe) (Lepidoptera: Crambidae) in Africa, 52-58. In: Invasive species in Eastern Africa: Proceedings of a workshop held at ICIPE (Ed. S. Miller) (5-6 July 1999, Nairobi, Kenya), ICIPE Science Press, Lyons, 108 pp. Öztemiz S, Güllü M, Göven MA, Fidan H, Aksoy E et al (2011). Mazie Integrated Control Technical Instruction. (Ed: Atlamaz A, Gökçe AY). T.R. Ministry of Food, Agriculture and Livestock, General Directorate of Agricultural Research and Policies, Department of Plant Health Research. Ankara.128 p. Öztemiz S, Akmeşe V (2018). An Invasive Pest in Corn Production Areas in Mersin Province: Chilo partellus (Swinhoe, 1885) (Lepidoptera: Crambidae). KSU Journal of Natural Sciences 21 (4): 489-491. https://doi.org/10.18016/ksudobil.343299 Pehlivan S, Atakan E (2021). Determination of the Prevalence of Harmful Corn Wolves (Lepidoptera: Crambidae, Noctuidae) in Corn Production Areas in Adana Province. Çukurova Journal of Agricultural and Food Sciences 36 (1): 71-80. https://doi. org/10.36846/CJAFS.2021.36 Rajabalee, MA (1990). Management of Chilo spp. on sugarcane with notesonmating disruption studies withthesynthetic sexpheromone of C. sacchariphagus in Mauritius. International Journal of Tropical Insect Science 11, 825-836. https://doi. org/10.1017/S1742758400021391 AKMEŞE et al. / Turk J Agric For Sertkaya E, Akmeşe V, Atay E (2014). A new pest on maize in Turkey, Chilo partellus (Swinhoe) (Lepidoptera: Crambidae). Turkish Bulletin of Entomology 4 (3): 197-200. http://doi.org/10.16969/ teb.46488 Van Hamburg H (1979). The grain-sorghum stalk-borer, Chilo partellus (Swinhoe) (Lepidoptera: Pyralidae): seasonal changes in adult populations in grain sorghum in the Transvaal. Journal of the Entomological Society of Southern Africa 42 (1): 1-9. Sylvain NM, Manyangarirwa W, Tuarira M, Onesime MK (2015). Effect of Lepidopterous Stem borers, Busseola fusca (Fuller) and Chilo partellus (Swinhoe) on Maize (Zea mays L) Yield. A Review. International Journal Of Innovative Research & Development 4 (10): 181-188. Tams WHT (1932). New species of African Heterocera. Entomologist 65: 1241-1249. TUİK (2015). Turkish Statistical Institute, Statistics by Subject, Crop production statistics, www.tuik.gov.tr/ TUİK (2020). Turkish Statistical Institute, Statistics by Subject, Crop production statistics. www.tuik.gov.tr/ Van den Berg J, Van Rensburg JBJ, Pringle KL (1991). Comparative injuriousness of Busseola fusca (Lepidoptera: Noctuidae) and Chilo partellus (Lepidoptera: Pyralidae) on grain sorghum. Bulletin of Entomological Research 81 (2): 137–142. https:// doi.org/10.1017/S0007485300051191 Yürüten O (1971). The corn ear worm, Sesamia cretica Led. Research on the biology and control of the plant. Bulletin of Plant Protection 11 (3): 133-156.	<urn:uuid:67636df4-bef3-446e-86d0-5d6a1a56a863>	CC-MAIN-2024-10	https://journals.tubitak.gov.tr/cgi/viewcontent.cgi?article=3115&context=agriculture	2024-03-05T11:29:53+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-10/subset=warc/part-00081-d9675c6d-5c8d-45bb-9c98-c56e42022a4d.c000.gz.parquet	325,069,610	6,526	eng_Latn	eng_Latn	0.669954	eng_Latn	0.954571	[ "eng_Latn", "tur_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "dag_Latn" ]	false	rolmOCR	[ 1166, 1372, 6057, 9656, 9731, 13292, 16894, 22271, 23758 ]
TRANSFER ON DEATH REGISTRATION REQUEST AND AGREEMENT DST Systems, Inc. reserves the right to allow the following rules to apply to a TOD registration: * A TOD may only be held on Individual or Joint Tenants with Right of Survivorship (JTWROS) registration (not on an estate, trust, IRA, etc.). * The TOD beneficiary must be an individual or entity and cannot be the JTWROS person. * The TOD beneficiary must be named on this form; "spouse" or "children" is not an acceptable designation. * Add more lines if necessary to list each primary beneficiary. Secondary designations are not permitted. * More than one beneficiary may be designated. If any beneficiary fails to survive the owner, then the registration of the account in TOD form is no longer valid and all shares shall be treated as belonging to the owner's estate. If more than one beneficiary is designated, the shares will be divided equally among the beneficiaries upon the death of the owner unless otherwise specified. * To change TOD beneficiary information, please submit a new form. TO BE COMPLETED BY INVESTOR(S) By signing below, I/we request that my/our investment be registered in "transfer on death" form, and designate the following beneficiary as the one to whom the investment shall pass after I am/we are deceased. 1. You are not required to re-register the investment in name of the beneficiary unless you have received such documents as you may require to establish that I/we are both deceased. 2. You are not responsible for determining the tax consequences of the decision to register this investment as requested above. 3. I/we agree to hold harmless, indemnify, and defend you for any claim, loss, or liability resulting from (a) any breach of warranty or representation in this Agreement, and (b) any action you take in connection with the registration, any re-registration in the name of the beneficiary, and from any distribution thereafter to the beneficiary, made as requested or authorized under this Agreement. 4. If this Agreement is established under joint tenants with the right of survivorship account status, upon the death of one of the joint owners, ownership shall pass to the surviving joint owner, and you may follow the instructions of the survivor with regard to the investment, including, without limitation to (a) terminate transfer on death registration, or (b) change name of beneficiary. 5. If I have established this account individually and am married (or jointly, and am not married to my joint applicant), my spouse's waiver has been executed below. 6. You have not provided any legal advice to me, and I agree to obtain the advice of an attorney with regard to enforceability of this form of registration in my state, and its effect on my estate and tax planning. 7. By signing below, I consent to the terms and conditions of this Agreement including that my TOD account will be governed by the STA TOD Rules set forth in Section 12 of the Guidelines of the Securities Transfer Association, Inc. except to the extent specifically stated otherwise above. SPOUSAL WAIVER By signing below, I consent to the terms and conditions of this Agreement. INVESTOR NAME: TAXPAYER ID: PRINT NAME OF BENEFICIARY: PERCENTAGE OF SHARES: PRINT NAME OF BENEFICIARY: PERCENTAGE OF SHARES: PRINT NAME OF BENEFICIARY: PERCENTAGE OF SHARES: SIGNATURES ALL SIGNATURES MUST BE MEDALLION GUARANTEED. The signature(s) must correspond with the current investor(s) of record and account registration. INVESTOR SIGNATURE DATE MEDALLION SIGNATURE GUARANTEE JOINT INVESTOR SIGNATURE DATE MEDALLION SIGNATURE GUARANTEE SIGNATURE OF INVESTOR'S SPOUSE & DATE SIGNATURE OF JOINT INVESTOR'S SPOUSE & DATE SPOUSAL WAIVER By signing below, I consent to the terms and conditions of this Agreement. INVESTOR SIGNATURE DATE MEDALLION SIGNATURE GUARANTEE JOINT INVESTOR SIGNATURE DATE MEDALLION SIGNATURE GUARANTEE W. P. Carey Investor Services: 1-888-241-3737	<urn:uuid:2c8cc554-fdac-4061-9e11-459dee8857b9>	CC-MAIN-2021-04	https://www.wpcarey.com/sites/default/files/2020-11/CPA18_TOD-Medallion_20140721.pdf	2021-01-25T07:19:50+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-04/subset=warc/part-00232-364a895c-5e5c-46bb-846e-75ec7de82b3b.c000.gz.parquet	1,045,808,906	871	eng_Latn	eng_Latn	0.991922	eng_Latn	0.991922	[ "eng_Latn" ]	false	rolmOCR	[ 3969 ]
Reading Group Guide 1. Discuss the role of race in this novel. What are some examples of racial discrimination you have experienced in your own life? Do you feel race relations have improved in the more than a century that has passed since Mei Lien's time? Why or why not? 2. Discuss Mei Lien's decision to hide herself and her son away on the farm to avoid contact with other people. In her shoes, would you have done the same thing or something different? Why? 3. Before reading this novel, had you already been aware of the "driving out" of Chinese people from American and Canadian towns? Share what you know. If you weren't previously aware of these events, what was your reaction to learning of these racial purges? 4. Family relationships are a key theme in The Girl Who Wrote in Silk. In what ways do you think Mei Lien and Inara have similar familial experiences? In what ways are their experiences different? 5. Both Mei Lien and Inara struggle with the death of loved ones. Discuss how their methods of mourning and honoring their lost loved ones differ or are similar. Is there anything they do or do not do that surprises you? 6. The island setting is an important one in both time periods. Do you think that Mei Lien and Inara experience Orcas Island in the same way or differently? What causes these similarities or differences? 7. Compare and contrast the father-daughter relationships in the story. How do you think they might have been different if the women's mothers had lived? 8. After finding her grandmother's body on the beach and realizing that her family had indeed been killed, Mei Lien feels that a part of her heart has died, a part that will forever keep her from loving Joseph fully. Do you think this comes to be true for her? Have you lost a loved one and felt that a part of you is now lost forever? 9. Inara struggles with accepting the fact that her ancestor committed a heinous crime. Do you think she is able to absolve her family of this shameful act? What would you do if you discovered an honored ancestor of yours had done something shameful? 10. The "driving out" of Chinese occurred loosely about the same time in U.S. history as when Native Americans were forced onto reservations. If you had been alive at the time, how do you think you would have felt about these events? Can you think of similar ethnic cleansings occurring in today's time, in the United States or in other countries? 11. Inara turns down the Starbucks job to renovate and eventually manage the boutique hotel on Orcas Island. What motivates her to make this decision? What decision would you make in a similar circumstance? Keep in mind issues such as security, family obligations, location, social obligations, and financial peace of mind. 12. Which character, Mei Lien or Inara, did you feel more connected to? Why? Is one more or less authentic than the other? 13. If you inherited a large family estate, what would you do with the property? 14. Inara thinks of Aunt Dahlia, Gretna Campbell, and herself as the family "oddballs" because of their unique ways of relating to the world around them. Have you ever felt like an oddball? Were you able to embrace it as Inara does? Explain. 15. Mei Lien sees her loved ones in the animals around her. In the final scene of the book, Daniel and Inara hear a seal splash in the water and feel it is Mei Lien giving her approval for their relationship. Do you think loved ones could return as animals that can interact with us? If you could come back as an animal, what would you be and why? 16. What do you imagine happens next after the novel ends? Will Inara and Daniel stay together? Will the hotel and restaurant be successful? What effect, if any, will what Duncan Campbell did have on the characters' lives? 17. Finding the embroidered sleeve changes the course of Inara's life because the intricate beauty and mystery won't let her go. Have you ever come across, or do you own, an object that had a similar effect on you? 18. Another theme of this novel is belonging and acceptance. Mei Lien is ostracized because of her race. Aunt Dahlia was sent to live on the island because of her sexual orientation. Inara chose a field of study to please her father and live up to the professional success of her siblings. In what ways have you struggled in your life for acceptance? 19. Inara agonizes over whether to honor her father's wishes and keep the truth a secret, or tell the truth and know it will hurt people she cares for. If you were in a similar situation, what would you do? 20. If Mei Lien had lived, what do you think she might have done to support herself and her son? Where would their story have taken them, and what would have been different for Yan-Tao? 21. Mei Lien dresses as a boy to move freely and safely around Seattle. After she marries Joseph and starts dressing as a woman, she never really feels comfortable. Do you think her preference in clothing represents a deeper gender issue? What else might it represent for her? 22. We get hints at what Yan-Tao/Ken's life was like in the orphanage based on the curriculum taught there and about his life in Seattle based on what Vera tells her family. Do you think he found happiness? Given what you know from the story and world events of the twentieth century, what do you think his life was like? 23. Inara suspects that Vera Chin made up the Chin family's false background that Ken grew up in China and then immigrated to Seattle in the early 1900s. Vera claims it must have been a mix-up, but Inara wonders if Vera's sense of pride motivated the stories. Think of your own family history and the members of your family who are the keepers of stories. Is the validity of any of your family stories suspect? Are there any that are outrageous, but you know them to be true? 24. Do you think Yan-Tao/Ken ever went back to the island to attempt to retrieve the sleeve his mother left for him in his secret hiding hole? Why or why not? If he did go back, why might he not have been successful?	<urn:uuid:c1d832f0-d570-4d40-85b7-9af0f3285714>	CC-MAIN-2023-23	https://cdn.sourcebooks.com/assets/downloads/readinggroups/GirlWhoWroteInSilk-RGG.pdf	2023-05-29T02:23:31+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00095-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	196,390,458	1,324	eng_Latn	eng_Latn	0.999075	eng_Latn	0.999131	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 981, 2438, 3780, 5341, 6037 ]
Bank: Brice Creek - Non-Riparian The Brice Creek Mitigation Bank is located in Craven County and is a bottomland hardwood bank comprised of 636 acres. The bank is restoring 473 acres and enhancing 163 acres of intensively managed pine plantations to native nonriparian wet and swamp bottomland hardwood forest. State: North Carolina Primary HUC: 03020204 Primary Service Area: Lower Neuse	<urn:uuid:05f8484f-46cb-4454-896d-1f2740e346bf>	CC-MAIN-2019-43	https://www.weyerhaeuser.com/application/files/8515/5623/2248/Weyerhaeuser-Brice-Creek_4.24.19.pdf	2019-10-19T15:31:24Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-43/segments/1570986696339.42/warc/CC-MAIN-20191019141654-20191019165154-00266.warc.gz	1,141,781,054	92	eng_Latn	eng_Latn	0.977107	eng_Latn	0.977107	[ "eng_Latn" ]	false	rolmOCR	[ 392 ]
Cable sitcoms making their way into syndication Number of comedies available in syndication could double over next few years if cable series are added New half-hour off-network situation comedies, which are in short supply in syndication over the next several seasons, may realize a shot in the arm from an unexpected source: cable television. Comedies are the traditional lifeblood of independent stations in the early fringe (4-6 p.m.) time period, and the recent shortage of new half-hour off-network series has forced many stations to either recycle the old comedies they already own or program the time period with full-length hours instead. But there are several comedies which, because they have been on cable television for more than one season now, are well on their way to building up enough episodes so that they can be stripped by stations in syndication or scheduled on a weekly basis. Moreover, the producers of these series say they either own the syndication rights or are negotiating with distributors with an eye to releasing these series in the syndication marketplace over the next couple of years. If this happens, it would mean that double the number of comedies available to stations. Three comedy series on superstation WTBS(TV) Atlanta may be syndicated: Down to Earth, Safe at Home and the soon-to-premiere Rocky Road. Los Angeles-based Procter & Gamble Productions owns the syndication rights to Down to Earth, while Turner Broadcasting System reserves the syndication rights to both Safe at Home and Rocky Road. Pay cable service Showtime earlier this year renewed 50 episodes of Brothers from producers Gary Nardino Productions and Paramount Video on top of a previous order of 13 episodes. The total of 65 episodes of Brothers will outfit Showtime with a two-year supply of the sitcom. In addition, there are 22 episodes of Still the Beaver produced by Universal Pay Television for The Disney Channel, which Disney recently said it was dropping from the service. (Universal Pay Television is looking for another outlet to pick up the series.) Within the next couple of weeks, two other deals between producers and cable television services regarding first-run production of half-hour comedies have been announced. USA Network has ordered 22 episodes of a new sitcom, Check It Out, starring Don Adams. The series is jointly produced by D.L. Taffner, Canada's CTV Network and Program Syndication Services. It will premiere on USA Network next fall and be released for syndication on a weekly basis in the fall of 1986. And Showtime has ordered seven episodes of Washington from Telecom Entertainment, the four-year-old independent production subsidiary of Benton & Bowles. The series is based on the cartoon of the same name which appears in The Village Voice and The Washington Post. It is scheduled to premiere on Aug. 15 behind Brothers. No matter which of the above series enters syndication over the next few months, neither will be able to make the claim of being the first. That credit will remain with Bizarre, a comedy series Viacom released into syndication this past fall after four seasons on Showtime. (The series continues to be produced for the pay cable network.) Viacom sold Bizarre as a late-night vehicle for independents, and originally cleared 100 episodes on 51 stations. Since then, the series has been dropped by several stations so that it eventually fell to 27 stations. However, just last week it added two more markets where it previously was not cleared. It was picked up by RKO Television's KJH-TV Los Angeles and WOR-TV New York. One criticism some programmers have leveled against series moving from cable into syndication is that what plays in cable does not necessarily play in the broadcast television environment. The first national ratings for Bizarre might have supported this notion. According to Nielsen's Cassandra report on syndicated programming for November 1984, Bizarre averaged a 1.6 national rating, while during the February 1985 sweeps it increased slightly to a 1.9 average rating. But in New York and Los Angeles, the first overnight ratings are encouraging. According to Viacom, Bizarre averaged a 3.8/8 in Nielsen's first night on WOR-TV and a 2.1/6 on KJH-TV. Viacom now hopes the better ratings in New York and Los Angeles will renew station interest and once again boost sales. Besides half-hour comedies, there are also at least two, hour-long drama series that have the potential of moving off cable into syndication. Twenty-six episodes of Faerie Tale Theater have been produced for Showtime by Gaylord Productions and actress Shelly Duvall's Platypus Productions. Three more episodes in addition to the 26 have been ordered, and Showtime has an "open-ended" agreement with the suppliers that provides for up to another 23 episodes. There are also about 50 episodes of The Paper Chase in the can. The series, originally produced for CBS during the 1978-79 season by 20th Century Fox Television, was picked up by Showtime after CBS canceled the series. There is little doubt that station executives will become the off-cable programs in syndication, especially the half-hour comedies. The only off-network half-hour sitcom to bow in syndication next fall is Gimme a Break from MCA-TV. And there is only one presently set for the fall of 1986 —Facts of Life from Embassy Telecommunications. After that, Paramount has already sold Cheers and Family Ties for the fall of 1987, and Victory Television announced that Newton would be joining that class, too. In total, there are only three off-network prime-time sitcoms scheduled to be released in syndication between 1985 and 1987. In response, some syndicators have addressed the coming deficit with innovative marketing strategies, such as re-formatting formerly hour-long series. Columbia is distributing for release next fall vintage segments of Johnny Carson's late-night show titled Carson's Comedy Classics. In a similar move, Paramount Video is planning to offer half-hour versions of Dynasty. And Paramount has guaranteed an extra cycle of first-run production if Cheers or Family Ties is canceled by the network to insure enough episodes for stripping.	<urn:uuid:8daad319-ec9c-417c-84af-1c67edc1de78>	CC-MAIN-2022-33	https://worldradiohistory.com/hd2/IDX-Business/Magazines/Archive-BC-IDX/85-OCR/BC-1985-07-08-OCR-Page-0074.pdf	2022-08-10T19:39:11+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-33/subset=warc/part-00029-d466b69e-be2b-4525-ac34-1b10d57329da.c000.gz.parquet	566,816,237	1,267	eng_Latn	eng_Latn	0.99904	eng_Latn	0.99904	[ "eng_Latn" ]	false	docling	[ 6209 ]
Kansas Agricultural Experiment Station Research Reports Volume 0 Issue 1 Cattleman's Day (1993-2014) Article 1519 2011 Marination technique influences whole muscle beef jerky salt content and flavor intensity G.R. Skaar Elizabeth A.E. Boyle Follow this and additional works at: https://newprairiepress.org/kaesrr Part of the Other Animal Sciences Commons Recommended Citation Skaar, G.R. and Boyle, Elizabeth A.E. (2011) "Marination technique influences whole muscle beef jerky salt content and flavor intensity," Kansas Agricultural Experiment Station Research Reports: Vol. 0: Iss. 1. https://doi.org/10.4148/2378-5977.2922 This report is brought to you for free and open access by New Prairie Press. It has been accepted for inclusion in Kansas Agricultural Experiment Station Research Reports by an authorized administrator of New Prairie Press. Copyright 2011 Kansas State University Agricultural Experiment Station and Cooperative Extension Service. Contents of this publication may be freely reproduced for educational purposes. All other rights reserved. Brand names appearing in this publication are for product identification purposes only. No endorsement is intended, nor is criticism implied of similar products not mentioned. K-State Research and Extension is an equal opportunity provider and employer. Marination technique influences whole muscle beef jerky salt content and flavor intensity Abstract Beef jerky is a popular meat snack that is simple to recognize and define. The USDA Food Standards and Labeling Policy Book (FSLPB) allows labeling use of the title "jerky"? to a product that has been dried to a moisture-to-protein ratio (MPR) of 0.75:1.0 or less, and states the species or kind (such as beef, pork, or venison) in the name. As long as the product is dried to the required MPR and the species of origin is noted, all additional ingredients used, spice applications, and processing procedures are open for interpretation and application. The USDA FSLPB goes on to state that the product may be cured or uncured, dried, and may be smoked or unsmoked as well as air dried or oven dried. With such a short list of requested, jerky has a great deal of optimization potential for small- and large-scale production. Marination of sliced meat is one stage in the jerkymaking process that is open to variation. Our study compared two common beef jerky marination techniques: 1) traditional marination via extended soaking in a tub, and 2) short-time vacuum tumbling. Additionally, a liquid smoke-based anti-mold spray provided by Kerry Ingredients & Flavors (Monterey, TN) was applied after drying to evaluate the final product for taste differences. Keywords Kansas Agricultural Experiment Station contribution; no. 11-171-S; Report of progress (Kansas State University. Agricultural Experiment Station and Cooperative Extension Service); 1047; Cattlemen's Day, 2011; Beef; Beef Jerky; Salt; Flavor Creative Commons License This work is licensed under a Creative Commons Attribution 4.0 License. Marination Technique Influences Whole Muscle Beef Jerky Salt Content and Flavor Intensity G.R. Skaar and E.A.E. Boyle Introduction Beef jerky is a popular meat snack that is simple to recognize and define. The USDA Food Standards and Labeling Policy Book (FSLPB) allows labeling use of the title "jerky" to a product that has been dried to a moisture-to-protein ratio (MPR) of 0.75:1.0 or less, and states the species or kind (such as beef, pork, or venison) in the name. As long as the product is dried to the required MPR and the species of origin is noted, all additional ingredients used, spice applications, and processing procedures are open for interpretation and application. The USDA FSLPB goes on to state that the product may be cured or uncured, dried, and may be smoked or unsmoked as well as air dried or oven dried. With such a short list of requested, jerky has a great deal of optimization potential for small- and large-scale production. Marination of sliced meat is one stage in the jerkymaking process that is open to variation. Our study compared two common beef jerky marination techniques: 1) traditional marination via extended soaking in a tub, and 2) short-time vacuum tumbling. Additionally, a liquid smoke-based anti-mold spray provided by Kerry Ingredients & Flavors (Monterey, TN) was applied after drying to evaluate the final product for taste differences. Experimental Procedures Beef inside rounds were obtained from the Kansas State University Meat Laboratory. Three rounds were used, one on each of three days, resulting in three replicated jerky production batches. On the initial day of production a round was trimmed practically free of fat and heavy connective tissue, weighed as an intact muscle, and then sliced into 0.25- to 0.125-in.-thick pieces. The round slices were weighed and separated into two equal weight portions; half were designated for a traditional, long-time soaking marination and half for short-time vacuum tumbling. Those slices designated for tumbling were re-packaged in a vacuum bag and stored in a cooler to be tumble-marinated the following day. The slices for traditional long-time soaking marination were placed in a large tub with 42.7% marinade (Table 1), according to meat weight. Alternating layers of sliced beef and marinade were added until all designated beef and marinade were utilized. A single piece of plastic wrap was placed over the marinating beef to serve as a temporary seal to prevent drying of those pieces on the top layer. Beef slices soaked for 24 hours in cooler storage. Jerky Production The following day, soaked pieces were removed from the tub and weighed to find the amount of marinade picked up by the meat. This ratio (% pickup) was used to determine the amount of marinade to be added during vacuum tumbling. The remaining half of the sliced round was then placed in a vacuum tumbler (Model VTS-42, Biro Manufacturing, Marblehead, OH) with the correlating amount of marinade from above. Twenty-in. mercury (Hg) vacuum was applied and the beef slices were tumble- 65 Meat and Food Safety marinated for 20 minutes. After tumbling, both marination treatments were randomly placed on a single smoke truck to be cooked and dried. The product was cooked for 90 minutes at 140°F and dried for 2.5 hours at 145°F. Upon completion, a final dried weight for the product was recorded and each marination group was split in half by weight. Lastly, a liquid smoke-based anti-mold spray (Kerry Ingredients & Flavors, Monterey, TN) was applied to one half from each marination technique. Final production treatments were as follows: (1) soaked, not sprayed (S); (2) soaked, sprayed (SS); (3) tumbled, not sprayed (T); and (4) tumbled, sprayed (TS). Product was allowed to cool to at least 40°F for packaging and then stored for subsequent analysis. Jerky Evaluation Color was evaluated with readings taken with a HunterLab MSEZ-4500L spectrophotometer (Hunter Associates Laboratories, Reston, VA). Individual jerky pieces were placed on top of another jerky piece prior to taking each set of readings. Values were recorded for L* (lightness), a* (redness), and b* (yellowness). Water activity readings were taken with an AquaLab 4 Water Activity Meter (Decagon Devices, Pullman, WA). Readings were taken in duplicate for each treatment on the day of production. Warner-Bratzler shear force values were evaluated using an Instron Universal Testing Machine (Instron Worldwide, Norwood, MA). Six 1.2-in.-wide strips were cut and sheared from each treatment/production day, taking care to avoid areas where the product may have folded over and dried together or areas where the product appeared uncharacteristically thin. A flat blade was used to cut each strip six times with readings taken to assess total force required to shear each strip. Salt (NaCl) content was analyzed with Quantab chloride strips (Hach Company, Loveland, CO). Samples were frozen with liquid nitrogen, pulverized in a blender, and mixed with boiling water. After cooling to room temperature, samples were filtered and evaluated with an individual test strip, according to the manufacturer's printed instructions, for Quantab number and correlating NaCl concentration. Moisture and protein composition were evaluated by the Kansas State University Analytical Laboratory for use in determining the MPR. A sensory panel composed of faculty and students from the Kansas State University Department of Animal Sciences and Industry was assembled and trained over three orientation sessions on the assessments to be taken for the beef jerky samples. Panelists were asked to score jerky samples on a scale of 1 to 8 for initial bite (1 = extremely soft, 8 = extremely firm), chewiness (1 = no chews, 8 = 19 to 21 chews), moisture (1 = extremely dry, 8 = extremely moist), saltiness (1 = not at all salty, 8 = extremely salty), flavor intensity (1 = extremely bland, 8 = extremely intense), smoke flavor (1 = none, 8 = abundant), and off-flavor intensity (1 = abundant, 8 = none). Jerky from each of the four treatments made on each of the three production days resulted in 12 total "products," each of which were evaluated by the panel twice. Six panel sessions were held with each of the four treatments represented in all panels. The production day used for each panel was randomly selected from each treatment independently. 66 Results and Discussion During production, marinade pickup percentage was approximately 3% higher for soaked product compared with tumbled product. Soaked product was placed in a marinade amount equal to 42.7% of the meat weight, whereas tumbled product was placed in a marinade amount equal to the percentage pickup of the soaked product for that production day, equaling 23.5%, 20.8%, and 24.3% for productions 1, 2, and 3, respectively. Ideally, the final pickup percentages of each treatment would have been equal. Notably, vacuum tumbling does not result in 100% marinade pickup and more marinade should be added than is intended to be absorbed by the product when utilizing this form of production. The required MPR for jerky products is 0.75:1or less. Although final MPR for all treatments were lower than 0.75:1, the final MPR (P>0.05) was similar for all treatments, regardless of whether jerky had been produced by soaking or tumbling (Table 2). Therefore, any quality differences due to over- or under-drying a single product were avoided. The compared techniques of soaking marination and vacuum tumbling showed minimal differences for composition of the final product (Table 2). Although a lower (P<0.05) water activity was noted for S compared with all other treatments, this difference is not at a level that would affect final product quality. Color values for lightness, redness, and yellowness were similar (P>0.05) for all treatments (data not shown). Of greater interest is the approximately 2% higher salt content (P<0.05) for soaked product compared with tumbled treatments. This difference could be due to the similar increase in marinade pickup for the soaked product. The salt level of some marinade ingredients, such as soy sauce, is unable to be accounted for; therefore, we cannot say with any certainty that marination technique is responsible for the resulting salt difference. The increased salt level of product soaked for 24 hours was also identified in the sensory panel evaluation (Table 3), with the saltiness of both soaked treatments scoring higher than tumbled treatments (P<0.01). Additionally, soaked treatments were evaluated as having a more intense flavor (P<0.05) than tumbled treatments. A higher salt content potentially intensifies beef jerky flavor. We hypothesized that an additional smoke flavor might present itself as a result of the liquid smoke-based anti-mold spray application; however, the sensory panel did not find any differences (P>0.05) in smoke flavor or off-flavor among all treatments, suggesting that the application of this specific spray would not alter the flavor profile of beef jerky. Implications Using vacuum tumbling as a form of marination saves time compared with soaking beef slices for 24 hours and could alter final product attributes, but if an equal level of marinade pickup is expected compared with soaking then additional marinade above the desired absorption level needs to be included in the tumbler. 67 Table 1. Beef jerky marinade ingredients Soy sauce Worcestershire sauce Water Purasil P Optiform 4 Seasoned salt Monosodium glutamate Seasonings Table 2. Composition of beef jerky marinated by 24-hour soaking or 20-minute vacuum tumbling, with and without a liquid smoke-based anti-mold spray a Means within a column followed by different superscripts differ (P<0.05). † MPR: moisture-to-protein ratio. * Treatments: S – 24-hour soak marinated, SS – 24-hour soak marinated, anti-mold spray, T – 20-minute vacuum tumble marinated, TS – 20-minute vacuum tumble marinated, anti-mold spray. Table 3. Trained panel sensory evaluation † of beef jerky marinated by 24-hour soaking or 20-minute vacuum tumbling, with and without a liquid smoke-based anti-mold spray ab Means within a column followed by different superscripts differ (P<0.05). † A scale of 1 to 8 is used for all descriptors. A score of 8 for all traits would describe jerky as extremely firm, chewy, moist, and salty with an intense flavor, abundant smoke flavor, and no off-flavor. * Treatments: S – 24-hour soak marinated, SS – 24-hour soak marinated, anti-mold spray, T – 20-minute vacuum tumble marinated, TS – 20-minute vacuum tumble marinated, anti-mold spray. 68	<urn:uuid:d16d84db-34c0-4551-b129-5f14c60daec0>	CC-MAIN-2019-51	https://newprairiepress.org/cgi/viewcontent.cgi?referer=https://www.google.com/&httpsredir=1&article=2922&context=kaesrr	2019-12-07T09:44:57	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2019-51/subset=warc/part-00254-f6a32f62-993d-4292-bc8d-4b816b1c87aa.c000.gz.parquet	481,259,840	3,026	eng_Latn	eng_Latn	0.981146	eng_Latn	0.994667	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1327, 3038, 6114, 9438, 12436, 13682 ]
SNAAP Child Protection Policy Safeguarding Children Child Protection Statement SNAAP believes that it is always unacceptable for a child or young person to experience abuse of any kind and recognises its responsibility to safeguard the welfare of all children and young people, by a commitment to practice which protects them. We recognise that: * the welfare of the child/young person is paramount * all children regardless of age. Disability, gender, racial heritage, religious belief, sexual orientation or identity have the right to equal protection from all types of harm or abuse * working in partnership with children, young people, their parents, carers and other agencies is essential in promoting young people's welfare. The purpose of the policy: * To provide protection for the children and young people who receive SNAAP's services, including the children of adult members or users. * To provide staff and volunteers with guidance on procedures they should adopt in the event that they suspect a child or young person may be experiencing, or be at risk of, harm. This policy applies to all staff, including senior managers and Board of Trustees, paid staff, volunteers and Sessional workers, agency staff, students or anyone working on behalf of SNAAP. We will endeavour to safeguard children and young people by: * valuing them, listening to and respecting them * adopting child protection guidelines through procedures and a code of conduct for staff and volunteers * recruiting staff and volunteers safely ensuring all necessary checks are made * sharing information about child protection and good practice with children, parents, staff and volunteers * sharing information about concerns with agencies who need to know, and involving parents and children appropriately * providing effective management for staff and volunteers through supervision, support and training We are also committed to reviewing our policy and good practice annually. Definitions of abuse What are abuse and neglect? It is generally accepted that there are four main forms of abuse. The following definitions are based on those from Working Together to Safeguard Children (HM Government 2005). 1. Physical Abuse Physical abuse may involve hitting, shaking, throwing, poisoning, burning or scalding, drowning, suffocating or otherwise causing physical harm to a child. Physical harm may also be caused when a parent or carer fabricates the symptoms of, or deliberately induces, illness in a child. Physical abuse, as well as being a result of an act of commission can also be caused through omission or the failure to act to protect. 2. Emotional Abuse Emotional abuse is the persistent emotional ill treatment of a child such as to cause severe and persistent adverse effects on the child's emotional development. It may involve conveying to children that they are worthless or unloved, inadequate or valued only insofar as they meet the needs of another person. It may feature age or developmentally inappropriate expectations being imposed on children. These may include interactions that are beyond the child's developmental capacity, as well as overprotection and limitation of exploring and learning, or preventing the child participating in normal social interaction. It may involve causing children frequently to feel frightened or in danger, or the exploitation or corruption of children. Some level of emotional abuse is involved in all types of ill-treatment of a child, though it may occur alone. 3. Sexual Abuse Sexual abuse involves forcing or enticing a child or young person to take part in sexual activities, including prostitution, whether or not the child is aware of what is happening. The activities may involve physical contact, including penetrative (eg, rape, buggery or oral sex) or non-penetrative acts (oral sex). They may include non-contact activities, such as involving children in looking at, or in the production of, pornographic material or watching sexual activities, or encouraging children to behave in sexually inappropriate ways. Boys and girls can be sexually abused by males and/or females, by adults and by other young people. This includes people from different walks of life. 4. Neglect Neglect is the persistent failure to meet a child's basic physical and/or psychological needs, likely to result in the serious impairment of the child's health or development. Neglect may occur during pregnancy as a result of maternal substance abuse. Once a child is born, neglect may involve a parent or carer failing to provide adequate food and clothing, shelter including exclusion from home or danger, failure to ensure adequate supervision including the use of adequate care-takers, or failure to ensure appropriate medical care or treatment. It may also include neglect of, or unresponsiveness to, a child's basic emotional needs. Other Adversities Chapter 10 of Working Together to Safeguard Children (HM Government 2006) and other inter-agency guidance draws attention to other sources of stress or harm for children and families such as social exclusion, domestic violence, the untreated mental illness of a parent or carer, or drug or alcohol misuse. All these areas may have a negative impact on a child's health and development and may be noticed by someone caring for a child. If it is felt that a child's well-being is being adversely affected by any of these circumstances, the same procedure for reporting concerns should be followed. For example, children who are involved in prostitution and other forms of commercial sexual exploitation should also be treated primarily as victims of abuse and their circumstances require careful assessment by the statutory agencies. Recognising child abuse Recognising child abuse is not easy, and it is not your responsibility to decide whether or not child abuse has taken place or if a child is at significant risk. You do, however, have a responsibility to act if you have a concern about a child's welfare or safety. The following is not designed to turn you into an expert but will help you to be more alert to the signs of possible abuse. 1. Physical abuse Most children will collect cuts and bruises in their daily life. These are likely to be in places where there are bony parts of their body, like elbows, knees and shins. Some children, however, will have bruising which can almost only have been caused nonaccidentally. An important indicator of physical abuse is where bruises or injuries are unexplained or the explanation does not fit the injury. A delay in seeking medical treatment for a child when it is obviously necessary is also a cause for concern. Bruising may be more or less noticeable on children with different skin tones or from different racial groups and specialist advice may need to be taken. Patterns of bruising that are suggestive of physical child abuse include: * bruising in children who are not independently mobile * bruising in babies * bruises that are seen away from bony prominences * bruises to face, back, stomach, arms, buttocks, ears and hands * multiple bruises in clusters * multiple bruises of uniform shape * bruises that carry the imprint of an implement used, hand marks or fingertips * although bruising is the commonest injury in physical abuse, fatal non-accidental head injury and non-accidental fractures can occur without bruising. Any child who has unexplained signs of pain or illness should be seen promptly by a doctor. Other physical signs of abuse may include: * cigarette burns * adult bite marks * broken bones * scalds. Changes in behaviour which can also indicate physical abuse: * fear of parents being approached for an explanation * aggressive behaviour or severe temper outbursts * flinching when approached or touched * reluctance to get changed, for example wearing long sleeves in hot weather * depression * withdrawn behaviour * running away from home. 2. Emotional abuse Emotional abuse may be difficult to measure, and often children who appear to well cared for may be emotionally abused by being taunted, put down or belittled. They may receive little or no love, affection or attention from their parents or carers. Emotional abuse can also take the form of children not being allowed to mix/play with other children. The physical signs of emotional abuse may include: * failure to thrive or grow, particularly if the child puts on weight in other circumstances, eg, in hospital away from their parents' care * sudden speech disorder * developmental delay, either in terms of physical or emotional progress Changes in behaviour which can also indicate emotional abuse include: * neurotic behaviour, eg, sulking, hair twisting, rocking * being unable to play * fear of making mistakes * self harm * fear of parents being approached regarding their behaviour. 3. Sexual Abuse Adults who use children to meet their own sexual needs abuse both girls and boys of all ages, including infants and toddlers. Usually, in cases of sexual abuse it is the child's behaviour which may cause you to become concerned, although physical signs can also be present. In all cases, children who talk about sexual abuse do so because they want it to stop, It is important, therefore, that they are listened to and taken seriously. The physical signs of sexual abuse may include: * pain or itching in the genital/anal areas * bruising or bleeding near genital/anal areas * sexually transmitted disease * vaginal discharge or infection * stomach pains * discomfort when walking or sitting down * pregnancy. Changes in behaviour which can also indicate sexual abuse include: * sudden or unexplained changes in behaviour, eg, becoming aggressive or withdrawn * fear of being left with a specific person or group of people * having nightmares * running away from home * sexual knowledge which is beyond their age or developmental level * sexual drawings or language * bedwetting * eating problems such as overeating or anorexia * self harm or mutilation, sometimes leading to suicide attempts * saying they have secrets they cannot tell anyone * substance of drug abuse * suddenly having unexplained sources of money * not allowed to have friends (particularly in adolescence) * acting in a sexually explicit way towards adults. 4. Neglect Neglect can be a difficult form of abuse to recognise, yet have some of the most lasting and damaging effects on children. The physical signs of neglect may include: * constant hunger, sometimes stealing food from other children * constantly dirty or smelly * loss of weight, or being constantly underweight * inappropriate dress for conditions. Changes in behaviour which can also indicate neglect may include: * complaining of being tired all the time * not requesting medical assistance and/or failing to attend appointments * having few friends * mentioning their being left alone or unsupervised. The above list is not meant to be definitive but as a guide to assist you. It is important to remember that many children and young people will exhibit some of these indicators at some time, and the presence of one or more should not be taken as proof that abuse is occurring. There may well be other reasons for changes in behaviour, such as death or the birth of a new baby in their family, relationship problems between their parents/carers, etc. Safe Recruitment and Selection for Our Project Determined abusers have often managed to gain access to children and young people. Our policy and procedures are important safeguards to stop this happening. They will be understood by good applicants and will put ill intentioned people off. All volunteers and staff, including temporary personnel and helpers should be subject to a careful and rigorous selection and vetting process with the following elements: * Completion of an application form and checking the person's identity by their birth certificate or passport, preferably by something which has their photograph. * Taking up references. * An interview by at least two people. * At least one member of the panel having had Safer Recruitment Training * Identifying reasons for gaps in employment or inconsistencies. * Carrying out DBS checks. * Allow no unsupervised access to children and young people until this has been completed. * Advice is sought about recruiting someone with a criminal record. * A supervised probationary period for new people to the project and a comprehensive induction period that includes our child protection procedures. Disclosure and Barring Service (DBS) and vetting Checks to be carried out on all people applying for work with children, including volunteers. The DBS will provide checks of: * Police criminal records via the Police National Computer * PoCA list (The Protection of Children Act List) and List 99 – lists of people who are disqualified from working with children and young people. Responding to a child making an allegation of abuse * Stay Calm. * Listen carefully to what is said. * Find an appropriate early opportunity to explain that it is likely that the information will need to be shared with others – do not promise to keep secrets. * Allow the child to continue at his/her own pace. * Ask questions for clarification only, and at all times avoid asking questions that suggest a particular answer. * Reassure the child that they have done the right thing in telling you. * Tell them what you will do next and with whom the information will be shared. * Record in writing what was said using the child's own words as soon as possible – note date, time, any names mentioned, to whom the information was given and ensure that the record is signed and dated. * Contact your designated person. Remember: It is not your responsibility to decide whether or not abuse has occurred and you should not investigate any suspicions or concerns about a child. That is the role of the statutory services and any worries or concerns should be passed to the designated child protection person. Reporting allegations or suspicions of abuse Everyone should be aware of the designated person within SNAAP who should immediately always be informed of any concerns about a child being abused. Name: Sarah Selby-Bird Job Title: Family Support Worker/Designated Safeguarding Lead Address: Windchimes, Reynolds Close, Herne Bay, CT6 6DS Tel no: 01227 367555/07842 127825 If Sarah is unavailable or cannot be contacted contact the Manager, Carrie Wood, or Chair of Trustee's, Stephanie Swan on 01227 367555 If you are unable to contact any of the above, and only in the case of an emergency Children's Social Services - 03000 41 11 11 Police Station – Canterbury - 01622 690 690 NSPCC Child Protection Helpline 0808 800 5000 If for any reason you cannot tell the nominated person, then you should tell a member of staff or member of the Board of Trustees. Policy last reviewed: 12th April 2021 Next policy review date: April 2022 Legislation and Guidance There is a considerable body of legislation, government guidance and standards, which are designed to ensure that children are protected from harm. The Children Act 1989 The intention of the legislation is to ensure that the welfare and developmental needs of children are met, including their need to be protected from harm. The key principles of this act are: * The welfare of the child is paramount. * Wherever possible, children should be brought up and cared for within their own families. * All interventions must take into account race, ethnicity and culture of children. * Children with disabilities must be provided with services to promote their achievements. * Agencies must work in partnership with parents. It shall be the general duty of every local authority to safeguard and promote the welfare of children in their area. Section 17 states that local authorities have a duty of care to safeguard the welfare of children who are in need and they must promote the upbringing of such children by their families. Local authorities must provide a range and level of services appropriate to those children's needs. Section 47 places a duty on local authority social services departments to make enquiries where they have reasonable cause to suspect that a child in their area is likely to be or is suffering significant harm. This is the section that authorises children's social services to investigate concerns about child abuse. In addition to social services, social work departments and health boards, only the police and the NSPCC have the legal right and responsibility to investigate concerns about child abuse. The Children's Act 2004 This act legislates for children in England & Wales and underpins a national framework of change for children and young people. Its implementation should be part of a wider process of change for children and young people focussed on five key outcomes of wellbeing for children: being healthy, staying safe, enjoying and achieving, making a positive contribution and achieving economic well being. Every Child Matters: Change for Children sets out the national framework in England for local change programmes. The National Framework for Children, Young People and Maternity Services is useful for further reading. Section 10 establishes a duty on local authorities to make arrangements to promote cooperation between agencies in order to improve children's well-being, defined by reference to the five outcomes and a duty on key partners to take part in those arrangements. It also provides a new power to allow pooling of resources in support of these arrangements. Section 11 creates a duty for key agencies who work with children to put in place arrangements to make sure that they take into account of the need to safeguard and promote the welfare of children. Section 12 allows further secondary legislation and statutory guidance to be made with respect to setting up databases or indexes that contain basic information about children and young people to help professionals in working together. Sections 13-16 require that local authority set up statutory Kent Safeguarding Children Boards and that the key partners take part. Section 17 establishes a Single Children and Young People's Plan (CYPP) to replace a range of current statutory planning. Sections 18 & 19 require local authorities to put in place a director of children's services and lead member for children's services to be responsible for, as a minimum, education and children's social services functions. Local authorities have discretion to add other relevant functions, for instance leisure or housing, to the role if they feel it is appropriate. Sections 20-24 require an integrated inspection framework to be established by the relevant inspectorates to inform future inspections of all services for children. Human Rights Act 1998 and the United Nations Convention on the Rights of a Child (ratified by the UK Government in 1991) This act identifies the rights of adults and children, including children's rights to be protected from harm, and reflects principles that are recognised in UK legislation and international agreements. Rights include: * children having their say in their education * protection of the environment in which children live * reasonable standard of living * protection from violence, abuse and exploitation * protection from children cared away from home and for children with disabilities * children being able to use their own language, enjoy their own culture and practice their own religion * reasonable standards of health and development. The main points are: * No Discrimination – The Government must make sure that children get equal rights and protection irrespective of their race, gender, religion, nationality, political opinion, ability or developing sexuality. * Acting in the Child's Best Interests – The Government has also agreed that, in all decisions concerning children, adults should put the child's best interests first. This includes decisions in courts, in schools, in hospitals, in care or in the prime consideration. * Making it Happen – The Government has promised to make laws and change policies and procedures to give children these rights. * The Child's Right to Express An Opinion – Children should have the right to a say in all decisions affecting them, for example, in court, in school, in hospital. Their opinions should be given more weight depending on their age and maturity. A committee at the United Nations checks up on whether Governments are keeping their promises. Current legislation in the UK does not make all these rights available to children. Care Standards Act 2000 Measures identified under this Act are intended to ensure a consistent minimum quality of day care nationally available for children under eight years. Registered providers have to meet 14 national standards and are subject to a regular system of inspections by Ofsted. Criminal Justice and Court Services Act 2000 Part II of this Act relates to 'public bodies' responsibilities within child protection and is integral to child protection systems in the UK designed to prevent unsuitable people from working with children. Protection of Children Act 1999 and The Police Act 1997 These Acts change the routes by which employers can check whether a potential or actual employee has criminal offences against children or whether there has been any reason for that person to be considered unsuitable to work with children. Rehabilitation of Offenders Act 1974 This act seeks to counteract prejudice against people with convictions seeking employment and allows them to protect their privacy by not declaring spent convictions to employers. However, people seeking to work or volunteer in situations with prolonged or sustained access to children are exempt from the Rehabilitation of Offenders legislation. This means they must declare all criminal convictions whether spent or not. Their criminal record will be taken into account when deciding on their suitability for working with children. The Data Protection Act 1998 This regulated the handling of personal information and governs how such information can be shared with others. Concerns about the safety or welfare of a child is information that can be shared with social services or another professional as it is in the child's best interests. Sexual Offenders (Amendments) Act 2000 This Act sets out the range of sexual offences, including those against children. It introduces a new offence of abuse of trust, when a person aged 18 or over engages in sexual intercourse or other sexual activity with someone under that age where they are in a position of trust in relation to the younger person. This applies even if the sexual activity was consensual and in all other respects, lawful. Adults working or volunteering with children and young people are in a position of trust. Sex Offenders Act 1997 Those who have been convicted of a sexual offence must register their address with the police. If they do not, they are liable to a fine and/or imprisonment. Courts also have the power to issue a Sex Offender Order banning convicted sex offenders from going near specified places, such as schools or from specific activities such as working with children. Disclosure and Barring Service (DBS) This allows organisations recruiting individuals to work with children and vulnerable adults, the opportunity to vet these individuals. The DBS provides information about spent and unspent criminal convictions, checks against the Dept of Health and Dept of Education and Skills lists of those considered unsuitable to work with children and provides relevant information from local police authorities. Checklist for reporting suspected abuse Name of child: Age and date of birth: Ethnicity: Religion: First language: Disability: Any special factors: Parent's/carer's name(s): Home address (and phone no. if available) Are you reporting your own concerns or passing on those of somebody else? Give details. Brief description of what has prompted the concerns: include dates, times etc. of any specific incidents. Any physical signs? Behavioural signs? Indirect signs? Have you spoken to the child? If so, what was said? Have you spoken to the parent(s)? If so, what was said? Has anybody been alleged to be the abuser? If so, give details. Have you consulted anybody else? Give details. Your name and position. To whom reported and date of reporting. Signature………………………………………………………………... Today's Date………………………………………… You have concerns about a child's welfare Discuss with manager and/or other senior colleagues and designated child protection person Still have concerns No longer have concerns Refer to Children's Services and/or police. Follow up in writing within 48 hours No further child protection action, although may need to act to ensure services provided Children's services acknowledge receipt of referral and decide on course of action within one working day Initial assessment required Concerns about child's immediate safety Immediate strategy discussion between children's services, police and other agencies as appropriate Children's Services feedback to referrer on next course of action No further children's services involvement at this stage, although other action may be necessary, eg. onward referral Any concerns should be reported promptly Reporting child protection concerns (b) Supervisor/line manager not concerned but you remain so Discuss with supervisor/line manager and designated child protection person You have concerns about the behaviour of staff or a volunteer In relation to the welfare of a child/children Manager considers all facts and information Refer to SNAAP's whistle- blowing policy and/or next senior manager Concerns ongoing and they are in the category of child protection Concerns ongoing but not in category of child protection Refer to children's services and/or police. Discuss suspension of worker/volunteer with investigating agencies while investigation ongoing Refer to Disciplinary procedure Any concerns should be reported promptly	<urn:uuid:aee06fbc-09d8-4d73-b74d-e3a253a564cd>	CC-MAIN-2023-50	https://www.snaap.org.uk/SNAAP%20Child%20Protection%20Policy.pdf	2023-11-29T02:22:12+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00031-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet	1,129,695,013	5,111	eng_Latn	eng_Latn	0.997599	eng_Latn	0.998088	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1969, 4882, 7599, 9590, 11382, 12928, 14981, 17641, 20504, 23775, 24306, 24609, 25498, 26188 ]
Questions and Answers Regarding Baltimore Regional Project-Based Voucher (PBV) Program Request for Proposals #19V301B4 March 6, 2019 Question 1: There are a number of items that are in the CDA form 202, including the number of units, square footage, bedroom mix, proposed voucher rents, and utilities. Do you need to have these separately or will the 202 suffice? Answer: If you include in your CDA Form 202 information that we request elsewhere in our "Submission requirements and format," you can simply say at that point in your proposal, "See our CDA Form 202." We do ask that you complete all information requested in Certification 1. Question 2: You are requesting a good standing certificate for the owner entity. That entity may not have been formed at the time of the application. Are you saying we need to form that company or partnership for this application? Answer: No, you do not need to form that company or partnership for this application. A Good Standing Certificate does not need to be submitted for a new ownership entity if it is not yet formed, but should be submitted for any entity that may have an ownership interest in the Development and exists at the time of application. Question 3: Section 13 says that we should include information on, "Any architectural or design factors that respond to Regional PBV Design criteria." What are these Design criteria and where are they found? Answer: Those Design criteria are found on page 15, in the Selection Criteria matrix. Question 4: Is there anything that must be submitted in connection with Section 14 Affirmative Fair Housing Marketing Plan? Answer: If your development "has received or is applying for another subsidy that requires" an Affirmative Fair Housing Marketing Plan, you must submit it with your application. We realize that the Maryland Department of Housing and Community Development (DHCD) asks for this plan only after funding is awarded, but, since this program relates to the participating housing authorities' duty to affirmatively further fair housing, we believe it is important for a plan to be developed before we make our awards. Question 5: We have a new construction project in Carroll County designated an opportunity area by the Baltimore Regional Housing Partnership, but Carroll County is not listed as a location of proposed Development on page 8 of the RFP. Can you please provide some guidance? Answer: Carroll County is not a location listed for a proposed Development for the Baltimore Regional Project-Based Voucher (PBV) Program, and, therefore, a Development in Carroll County would not qualify for an award under this RFP. Question 6: We will be submitting an application for an existing community that we will be rehabbing and will have a new construction component. Should we submit this application as existing housing, substantial rehabilitation, new construction, or all of these so you can decide how you wish to award vouchers? No residents will be displaced as a result of the renovation/new construction. Answer: Since you are rehabbing your existing community and constructing new units, we suggest you apply for vouchers for your new construction and/or substantial rehabilitation. We would not want the first lease of our voucher holders to include a move to accommodate rehabilitation. Question 7: Certification 3 discusses conflicts. We are a Regional PBV Program participant, and we would need to sign the AHAP and HAP as the project owner. We will list it in the Certification, but do you see an issue? Answer: No, the Baltimore Regional Housing Partnership signs the AHAP and HAP on behalf of public housing authorities contributing vouchers to any particular development (p. 5 of the RFP) and determines the reasonable rent (p. 6), which means you actually would not be performing those functions. In addition, any Regional PBV Program partners who anticipated being part of a development team applying for vouchers under this RFP recused themselves from all development of this RFP and all decision-making under it, in order to remove that conflict of interest. So we have been careful to structure our program and this RFP to address that potential conflict of interest thoroughly and proactively. Note, if the units in the Development are classified as "PHA-owned" under HUD regulations, BRHP will need to be approved by HUD as the independent entity to perform certain functions that include execution of the AHAP and HAP, rent reasonableness, HQS inspections, and any other HUD required independent entity responsibilities. Question 8: Item 10 of the Submission Requirements asks for the proposed term of the HAP contract and requested extension periods. But there doesn't seem to be any scoring on this factor. So is this just for informational purposes or does it matter? Answer: That is just for informational purposes, we will specify the term of the HAP contract in any potential award of vouchers. Question 9: DHCD's Community Development Administration (CDA) gives credit for income targeting down to 20 percent of area median income (AMI). Would you be able to commit to referring some residents at 20 percent of AMI to units with Vouchers? Answer: Yes, we would be able to commit to referring some residents at 20 percent of AMI to Regional PBV units. Question 10: Would you be able to commit to referring some residents with disabilities to units with Vouchers? Answer: No, the families we refer may include people with disabilities, but we cannot commit to referring a particular number of people with disabilities. Question 11: Would you award project-based vouchers that would replace tenant-based vouchers on turnover of the unit? Answer: No, because we are working to create new units affordable to households at or below 30% of AMI (p. 5 of the RFP), we would not be inclined to award project-based vouchers that would simply replace tenant-based vouchers on turnover of already existing affordable units. Question 12: Would you be willing to award vouchers to a scattered-site proposal that does not yet have control of the houses? Answer: No. Item number 8 on page 11 of the RFP notes that we require evidence of site control as part of the original application. Question 13: Would you consider a proposal where the owner will not have site control until the second week in April? Answer: No. Item number 8 on page 11 of the RFP notes that we require evidence of site control as part of the original application. Question 14: Will your process mesh with DHCD's 2019 tax credit round? When do you anticipate making your decisions? Answer: We anticipate making our decisions by April 15, before DHCD's May 8 deadline. Question 15: Given that your deadline is well before DHCD's deadline, what if we need to make changes to our proposal after your deadline? Answer: We do require you to update us regarding any changes to your proposal after submission to us. If those modifications would have changed our award decision, we reserve the right to modify or withdraw our award. Question 16: How many applications for vouchers have you received, compared to how many vouchers you have awarded? Answer: Since our program began in 2016, we have received 13 proposals for 136 vouchers and awarded a total of 44 vouchers that are currently moving forward and listed on the Baltimore Regional Project-Based Voucher Program web page.	<urn:uuid:769668f1-ad90-4a2b-96a3-705ba43ef1bf>	CC-MAIN-2019-13	https://baltometro.org/sites/default/files/bmc_documents/RFP/RFP_190306_RegionalPBV_QA.pdf	2019-03-23T18:42:29Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-13/segments/1552912202924.93/warc/CC-MAIN-20190323181713-20190323203713-00263.warc.gz	427,653,860	1,504	eng_Latn	eng_Latn	0.996995	eng_Latn	0.997297	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1504, 4103, 6117, 7417 ]
Exact Solutions of Burgers' Equation Ann Author, ∗ Second Author, † and Third Author ‡ School of Computing, Electronics and Mathematics, Plymouth University, Plymouth, PL4 8AA (Dated: March 17, 2020) [This is where your brief abstract goes.] Find and discuss some exact analytical solutions to the viscous Burgers equation. I. INTRODUCTION an essay. So please refrain from any "subjective scientiﬁc writing". This can provide some historical context, the state of the art and some motivation. Be reasonably general, but concise. Instructions for your project choice are as follows: A. Oral Presentation The ﬁrst part of this module is the preparation and delivery of an oral presentation on the topic stated in the title. You should address the following topics/problems related to the viscous Burgers' equation, * Explain why this is a nonlinear diﬀusion equation. * Show that (1) has travelling wave solution of the form u = v(x − ct). * Map Burgers' equation to the heat equation using the Hopf-Cole transformation. Use this to ﬁnd exact solutions of Burgers' equation. * Discuss the inviscid limit. B. Scientiﬁc Paper In the second part you are to write a scientiﬁc article (or 'paper) on your project topic. You must use this template typeset in L A TEX. The paper will consist of a write-up of your oral presentation extended by at least one other application or natural extension of your topic, which was not covered by the oral presentation. The overall word count of your article must not exceed 4,000. II. MAIN PART I That's the ﬁrst section of your main part. Formulae should be included as this is an applied maths paper, not ∗ [email protected] ‡ [email protected] † [email protected] An (enumerated) equation is included as follows, while two aligned equations would be: The format above (equations in extra lines) is called displaystyle. If you write formulae within text, don't forget to enclose the maths expression in dollar symbols, e.g. like $a$, which yields the maths letter a. This is proper maths textstyle — I do not want to see just the ordinary letter "a"! Some additional maths typesetting rules are: * Generally avoid font sizes that are too small. In particular, in textstyle write fractions in the form a/b (rather than the ugly a b ). * Similar remarks apply to indices (powers, sub- and superscripts) in textstyle, in particular if they are more complicated expressions such as x 1 1−x . * Formulae should be treated as genuine parts of sentences, which includes the appropriate punctuation. If you want to include subsections, no problem: A. Subsection Always properly quote any work you are drawing from [1, 2, 4]. This includes books, research articles, web sites and any other written resource you have been using. Anything else will be considered as plagiarism. III. MAIN PART II Pictures and diagrams are as important as ﬁgures. If you use pdﬂatex (recommended) you can include pdf and jpg pictures as shown for Fig. 1. Note that ﬁgure ﬁles should be in the same directory as the tex ﬁle (unless you prescribe the explicit path before the ﬁlename). [1] Albert Einstein. On the electrodynamics of moving bodies. Annalen Phys., 17:891–921, 1905. [Annalen Phys.14,194(2005)]. [2] R.A. Muller. Physics for Future Presidents: The Science Behind the Headlines. W. W. Norton, 2008. IV. DISCUSSION AND CONCLUSION Summarise and discuss your ﬁndings. Provide an outlook to further work. ACKNOWLEDGMENTS Thank you! [3] Mark Senn. Albert Einstein, accessed 14-12-2010. http://en.wikipedia.org/wiki/Einstein. [4] L. Weinstein and J.A. Adam. Guesstimation: Solving the World's Problems on the Back of a Cocktail Napkin. Princeton University Press, 2009.	<urn:uuid:4c84ffc9-1a80-4c2c-a633-001789c0ba03>	CC-MAIN-2025-05	https://it.overleaf.com/latex/templates/sample-paper-for-context-paper/dznmpxjgcgxf.pdf	2025-01-14T12:38:50+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-05/subset=warc/part-00133-88b30a59-3c73-48ba-a167-077611bfd245.c000.gz.parquet	329,222,340	914	eng_Latn	eng_Latn	0.895373	eng_Latn	0.994522	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3170, 3769 ]
Teaching Freshman Design Using a Flipped Classroom Model Dr. Ann Saterbak, Rice University Dr. Matthew Wettergreen, Rice University ⃝ c American Society for Engineering Education, 2015 Paper ID #12039 Teaching Freshman Design Using a Flipped Classroom Model Abstract A team of faculty at Rice University and other institutions are creating instructional resources to support a flipped classroom for first-year engineering design. The traditional 'class' in which faculty lecture on the design process has been replaced by in-class exercises and additional team time. Since the flipped classroom model shifts course content with low cognitive load to videos, students learn this material outside of the classroom. Now, students spend even more time during class applying the design process to their projects. For example, teams develop appropriate design criteria, brainstorm and select a design solution, and build physical prototypes during class. The first objective of this project is to create educational materials to flip the first-year multidisciplinary engineering design classroom. To date, we have completed a substantial library of videos, associated quizzes, and in-class exercises. The second objective of this project is to answer the engineering education research question: Are there differences in student performance in executing the engineering design process when comparing delivery of engineering design process knowledge using a lecture format versus a flipped classroom model? The team is seeking feedback on materials that will be helpful for the academic community teaching engineering design. This work is supported by NSF DUE grant #1244928. Flipped Classroom Model A new curriculum model, known as the flipped classroom model, has emerged that inverts the traditional instructor-centered, lecture-based approach. This model takes advantage of easy access to video and the internet and addresses changing educational needs of students. The flipped classroom model shifts course content with low cognitive load outside of the classroom, thus freeing class time for students to focus on high cognitive load tasks such as design. 1, 2 In the flipped classroom, faculty commit to use multimedia technology to deliver time-shifted content via audio podcasts, screencasts, and other forms of rich media. To prepare for a flipped classroom, students complete "homework" that involves watching videos or listening to audio podcasts. During class time, teachers lead students to discover, apply, and then explain important concepts to each other. This active learning classroom model is consistent with best practices in engineering education. 3-6 K-12 STEM teachers have been early adopters of the flipped classroom. More recently, university STEM faculty have adopted this method, particularly in large, lower-level courses. During the past few years, as more faculty adopt flipped classrooms at the university level, there is a growing body of peer-reviewed literature about the efficacy of this method. 1, 2, 7-10 We are seeking to contribute to this literature in the area of engineering design. Motivation and Overall Project Aims In our comprehensive review of materials in 2012, no publicly available videos existed for teaching the engineering design process at any undergraduate level. Creating flipped classroom materials for our first-year engineering design course was driven by our commitment to adopting this model in the absence of any existing materials. Our literature review also found no completed assessment on the impact of the flipped classroom model on an undergraduate engineering design course. Building on best practices in engineering education, faculty at Rice University are creating educational resources to support a flipped classroom model for first-year multidisciplinary engineering design. Our funded NSF proposal (DUE grant #1244928) seeks to address the following three specific aims: Specific Aim #1 Develop flipped classroom instructional materials for sections of the design process including design criteria, brainstorming and evaluation solutions, and initial prototyping. Specific Aim #2 Assess the effectiveness of the flipped classroom model for a first-year engineering design course. Specific Aim #3 Collaborate and partner with the first-year engineering community to receive critical formative feedback on materials and then disseminate developed materials. Introduction to Engineering Design (ENGI 120) is a one-semester multidisciplinary design course for freshman students at Rice University. In ENGI 120, students learn the engineering design process and use it to solve meaningful problems drawn from local hospitals, local community partners, international communities, and around the university campus. The course outcomes, structure, and deliverables have been described in detail elsewhere. 11 From spring 2011 through spring 2014, ENGI 120 was taught using a lecture/team meeting model. During each class period, students listened to a lecture and also worked in their team on their design project. In fall 2014 and forward, ENGI 120 is being taught using the flipped/team meeting model using the materials described herein. Students participate in all aspects of the flipped model (video and quiz before class; in-class exercises replacing lectures) and also work with their design team on their challenge. Details on the format for the flipped/team meeting model is described elsewhere. 12 Status of Specific Aim #1 - Creation of Educational Materials The first thrust of this project is to create educational materials to transfer the delivery of content regarding the design process to an out-of-class environment and to develop in-class active learning modules that clarify, elaborate, and expand on critical design process topics. To date, nine modules have been created. Each module includes a playlist of several videos, one or two online quizzes, and three in-class exercises. - Pairwise comparison charts - Design criteria - Decomposition - Morphological charts - User-defined scales (design criteria) - Brainstorming - Pugh screening matrix - Pugh scoring matrix Videos Within these nine modules, we have completed 32 web-based videos that are 1-11 min in length. The videos feature student teams and faculty at Rice University and other institutions who teach, explain, and illustrate the steps of the engineering design process. The instructional videos are a mixture of the instructor talking, the instructor talking with text placed to the side, and slideshow panels (text, table, picture, etc.). Example videos have been made by Rice engineering design teams based on their ENGI 120 projects. Most of these playlists can be found online at http://goo.gl/YF78TY. Quizzes Online quizzes are used to monitor students' understanding of the information in the videos. A series of multiple choice questions test students' knowledge and application of the content presented in the videos. For each module, there are one or two quizzes, each with five to 14 questions. Quiz results reveal areas of student mastery of the video content. In-Class Exercises We have developed three or four in-class exercises for each module that support active learning in the classroom. These in-class exercises strengthen students' understanding of the design process by having them apply knowledge to a new problem, evaluate a completed design scenario, or apply a step in the design process to a team's specific project. In-class exercises that span the range of Bloom's taxonomy were explicitly created. Implementation In fall 2014, these eight of the nine modules were implemented in ENGI 120 at Rice University. The videos and quizzes were integrated into the university course management system. Various analytics on the videos and quizzes are available; this data is reported elsewhere. 12 Future Work The team is in the process of creating an additional six modules, which are focused on the following topics: - Design process overview - Basic physical prototyping - Researching a design problem - Understanding customer needs - Testing design solutions - Failure and iteration in engineering design Status of Specific Aim #2 – Evaluate Effectiveness of Flipped Model As part of the project, the team is evaluating two major strands of assessment data: 1) Pre- and post-testing of students' knowledge and application of the design process as measured by their critiques of a Gantt chart laying out a 14-week design process. 2) Design team technical memos that document specific steps in the design process, including establishing design criteria, brainstorming solution ideas, and applying Pugh matrices for evaluation. - Gantt charts The instructors of the first-year design course at Rice University have been teaching ENGI 120 for several years. To date, the team has collected and assessed data on student performance for courses taught using the lecture/team meeting format; dates of collection range spring 2011 through spring 2014. Specifically, the pre- and post-tests using the Gantt chart have been analyzed for several years for the lecture format and are reported elsewhere. 13, 14 Assessment with the flipped classroom model is ongoing since eight flipped classroom modules were launched in ENGI 120 in fall 2014. Preliminary results are published elsewhere. 12 Data from the flipped classroom model began in fall 2014 and will continue for four semesters. Status of Specific Aim #3 - Collaborate to Receive Feedback and Disseminate Materials For the materials to be of high value, it has been important to partner early with other members of the first-year engineering community. In addition to presenting at the 2014 and 2015 ASEE meetings, we also presented at the First Year Engineering Education (FYEE) Conference in summer 2014. During that conference, we hosted a workshop. Workshop participants reviewed videos, quizzes and in-class materials, giving us helpful feedback. Key learnings from the workshop included: - This video series and the idea of a publicly-available repository currently does not exist and, based on positive reception, could gain purchase with peer educators for a freshman engineering education model. - Use of specific technical terms may limit adoption. For example, courses at some universities use the term "design criteria," whereas others use the term "standard" when referring to the same concept. - Materials on 'soft skills' such as communication, teaming, and project planning may be more universally transferrable. - The application of the engineering design process is sufficiently unique for each course to potentially require individualized university-specific introduction videos. - In-class exercises need more context and definition. - Quizzes need to address higher levels on Bloom's Taxonomy rather than just recall, understanding, and comprehension. - There is currently no consensus on best practices to achieve high compliance of participation for out-of-class activities (watching videos, completing quizzes). Through collaboration with other engineering faculty at the FYEE conference, we created five stand-alone videos: - Characteristics of high performing teams (Tim Hinds, Michigan State) - Methods of brainstorming (Courtney Pfluger, Northeastern University) - Interacting with clients (Bill Hulette, Wake Tech Community College) - Team roles in an engineering design team (Mary Verstraete, University of Akron) - Creating a work breakdown structure (AJ Hamlin, Michigan Tech) Once edited, these videos will become part of the bank of materials. In the future, through more formal collaborations and partnerships, we will gather feedback about the quality and usability of the developed materials, including videos and quizzes. Specifically, we are hoping to partner with two schools in fall 2015 to use some of the developed materials. Acknowledgments The team is seeking feedback on developing materials that will be helpful for the academic community teaching engineering design. This work is supported by an NSF DUE grant (#1244928). References 1 V. Jungića, H. Kaurb, J. Mulhollanda, C. Xin, "On Flipping The Classroom In Large First Year Calculus Courses," in International Journal of Mathematical Education in Science and Technology, Vol 10, 2014. 2 L. Abeysekera, P. Dawson, "Motivation and cognitive load in the flipped classroom: definition, rationale and a call for research," in Higher Education Research & Development, Published online 14 Aug 2014. 3 R. Beichner, "The SCALE-UP Project: A Student-Centered, Active Learning Environment for Undergraduate Programs," National Academy of Sciences, Washington, 2008. 4 "Creating a Culture for Scholarly and Systematic Innovation in Engineering Education," American Society for Engineering Education, Washington, DC, 2009. 5 M. Prince, "Does active learning work? A review of the research," Journal of Engineering Education, vol. 93, no. 3, pp. 1-10, 2004. 6 M. Prince and R. Felder, "Inductive teaching and learning methods," Journal of Engineering Education, vol. 95, no. 2, pp. 123-138, 2006. 7 J. Bishop, M. Verleger, "The Flipped Classroom: A Survey of the Research," in American Society of Engineering Education Conference Proceedings, Atlanta, 2013. 8 L. Barba, "This CFD class is flippin'," Boston University , 1 February 2012. [Online]. Available: http://people.bu.edu/labarba/Lorena_Barba/Blog/Entries/2012/2/1_This_CFD_class_is_flippin.html. [Accessed 21 May 2012]. 9 S. Char, C. Collier, "Chalk and Talk Versus Classroom Flipping: Results of a Case Study," in IOSR Journal of Resarch & Method in Education, Vol 5, Issue 1, pages 24-28, 2015. 10 L. Deslauriers, E. Schelew and C. Wieman, "Improved learning in a large-enrollment physics class," Science, vol. 332, pp. 862-864, 2011. 11 A. Saterbak, M. Embree and M. Oden, "Client-based projects in freshman design," in American Society of Engineering Education Conference Proceedings, San Antonio, TX, June 2012. 12 A. Saterbak, M. Wettergreen, "Teaching Freshman Design Using a Flipped Classroom Model" in Advances in Engineering Education, Special Edition on Flipped Classrooms, extended abstract accepted Feb 2015. 13 A. Saterbak and T. Volz, "Assessing Design Capabilities Following a Client-Based Freshman Design Course," in 4th First-Year Engineering Experience Conference, Pittsburgh, PA, June 2012. 14 A. Saterbak and T. Volz, "Assessing Knowledge and Application of the Design Process," in American Society of Engineering Education Conference Proceedings, Indianapolis, IN, June 2014.	<urn:uuid:402e8a51-5721-43b4-a7a5-1607e7979c2e>	CC-MAIN-2019-35	https://www.asee.org/public/conferences/56/papers/12039/download	2019-08-23T16:46:01Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-35/segments/1566027318894.83/warc/CC-MAIN-20190823150804-20190823172804-00282.warc.gz	742,277,272	2,980	eng_Latn	eng_Latn	0.887319	eng_Latn	0.993726	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 203, 3140, 6193, 8774, 11967, 14647 ]
Trans-NIH Strategic Plan for Research on Women's Health Notice Number: NOT-OD-17-108 Key Dates Release Date: TBD Response Date: September 11, 2017 Related Announcements None Issued by Office of Research on Women's Health (ORWH) Purpose The Office of Research on Women's Health (ORWH) is updating the trans-NIH Strategic Plan for Women's Health Research. NIH is publishing this Notice to solicit input from the basic, clinical and translational scientists as well as advocacy and patient communities on topics under consideration for the next strategic plan. Background ORWH was established in the Office of the NIH Director by the Public Health Service Act to (a) identify projects and multidisciplinary research related to women's health; (b) encourage research on sex differences and promote coordination among research entities; (c) assist NIH efforts to include women as subjects in clinical research; and (d) develop opportunities and support for women in biomedical careers. These efforts will continue to be part of the office's core mission. ORWH is tasked with the development of a trans-NIH strategic plan for women's health research that promotes allocation of NIH resources for conducting and supporting these research efforts across NIH Institutes and Centers. Please see https://orwh.od.nih.gov/about/mission/ for more on the ORWH mission. Information Requested This Request for Information (RFI) seeks feedback on 3 cross-cutting themes and goals under consideration for the next trans-NIH strategic plan for women's health research. These themes will stimulate new research areas, priorities, and approaches to help put science to work for the health of women. Specifically, the ORWH seeks your comments on the following: What are some ways that the scope of each theme might be expanded or more narrowly focused to address the most important areas in research on women's health? What big idea or audacious goal to improve women's health should be pursued by the NIH? What topics would you recommend adding to the list of cross-cutting themes for research on women's health? Cross-Cutting Theme 1: Expand the Exploration of Sex as a Biological Variable (SABV) in NIH Research To gain a better understanding of the diseases and conditions affecting the health of women, NIH introduced the NIH Policy on Consideration of Sex as a Biological Variable in NIH-funded Research (NOT-OD-15-102) in 2015. The policy requires that investigators consider the role of sex (male and female) as a biological variable in research designs, analyses, and reporting in vertebrate animal and human studies; that is, how differences between males and females might influence the outcome of research studies. However, the SABV policy does not require investigators to test for sex-differences in their research findings or report such findings. The following objectives take the SABV policy to the next level. Proposed Goals: 1.1 Support training of researchers on the design and conduct studies that explore sex-differences in pre-clinical and clinical research, promote efforts to test for sex-differences where appropriate, and encourage reporting of any sex-differences found in NIH supported research. 1.2 Help disseminate research findings from NIH supported research on sex-differences to key stakeholders including researchers, clinicians, patients, advocacy groups, industry, and media. Strengthen women's health research through support for data sharing from studies that explore sex differences 1.3 Continue to support for basic, clinical and translational science; this includes genetic and epigenetic studies; systems biology approaches; neuroscience; and studies of the structure and function of male and female cells (including stem cells), tissues, organs, and physiological systems. Cross-Cutting Theme 2: A Multi-Dimensional Approach to the Science of Women's Health Research has revealed complex interactions among biological systems and processes that affect health status, disease presentations, and treatment responses. Also of interest are the ways in which female biology, including hormonal and reproductive phases, interacts with psychosocial factors. To capture the multidimensional interplay of these influences on women's health, novel cross disciplinary approaches and perspectives are needed. The following objectives support this aim. 2.1 Promote collaboration and sharing of ideas and methodologies across disciplines to stimulate new approaches to research on female biology as it relates to women's health and well-being. 2.2 Convene cross-disciplinary experts to discuss strategies for capturing contextual factors that contribute to the understanding of the health of women, between demographic groups and geographic regions; and among social, economic and cultural groups. 2.3 Encourage study of the interaction of social roles on sex-specific biology, including, but not limited to reproductive phase and status. Cross-Cutting Theme 3: Quality of Life and Disease Burden over the Life-Course Biological functions and unique life experiences at various stages of life have an impact on both men and women's health. Just like there are clear differences in the biological condition and needs of children versus adults, there are also important variations in health stages and challenges unique to women from early to older adulthood. Research has shown that early life experiences and physical conditions can result in cumulative health advantages and disadvantages for subsequent years. The following objectives are proposed to expand our understanding of quality of life and disease burden and across and during transitions between life stages. 3.1 Promote a life-course perspective in research on women's health promotion, disease prevention, and treatment. Support the consideration of age, life phase, and reproductive/hormonal status in research on women's health. 3.2 Encourage exploration of resilience and well-being, quality of life, and social functioning in addition to disease-specific outcomes; and encourage the exploration of common stressors that affect the health of women, such as caregiver burden and trauma. 3.3 Explore early health challenges, life experiences and physical conditions that may contribute to cumulative health advantages and disadvantages for women across the life span, between demographic groups and geographic regions; and among social, economic and cultural groups. How to Submit a Response: Responses no longer than 300 words should be submitted at https://orwh.od.nih.gov/RFI/) by 11:59:59 pm (ET) on November 10, 2017. You will see an electronic confirmation acknowledging receipt of your response. All submissions will be considered and will not be considered confidential. Responses to this RFI are voluntary. Do not include any proprietary, classified, confidential, trade secret, or sensitive information in your response. The responses will be reviewed by NIH staff, and individual feedback will not be provided to any responder. The Government will use the information submitted in response to this RFI at its discretion. The Government reserves the right to use any submitted information on public NIH websites, in reports, in summaries of the state of the science, in any possible resultant solicitation(s), grant(s), or cooperative agreement(s), or in the development of future funding opportunity announcements. This RFI is for information and planning purposes only and shall not be construed as a solicitation, grant, or cooperative agreement, or as an obligation on the part of the Federal Government, the NIH, or individual NIH Institutes and Centers to provide support for any ideas identified in response to it. The Government will not pay for the preparation of any information submitted or for the Government's use of such information. No basis for claims against the U.S. Government shall arise as a result of a response to this request for information or from the Government's use of such information. Inquiries Please direct all inquiries to: Paris Watson, Legislative Policy Analyst Office of Research on Women’s Health Telephone: 301-451-7082 Email: [email protected]	<urn:uuid:bd264315-fb26-43c0-bc89-12b4ddda78e6>	CC-MAIN-2023-14	https://orwh.od.nih.gov/sites/orwh/files/docs/ACRWH_RFI_StrategicPlan_Fall2017.pdf	2023-03-23T18:09:14+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-14/subset=warc/part-00297-39c03058-7d78-443d-9984-102329513e3d.c000.gz.parquet	478,402,752	1,569	eng_Latn	eng_Latn	0.995121	eng_Latn	0.99572	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2112, 5710, 8214 ]
) Strand yourself on an unhitched island for the ultimate getaway Biscayne Bound Concession boats dock at the harbor in front of the Dante Fascell Visitor Center at Convoy Point. by Chelle Koster Walton The seven-mile, 225-foot-wide swath down the middle of Elliott Key was cleared by developers many years ago, with the intent to bridge the dot-dash islands of Biscayne National Park with Dade County mainland and the Florida Keys. The U.S. government stepped in during the 1960s, however, to save the islands, thus exacting its spite against slash-and-build greed. Today the highway is a foot trail into a tropical hardwood hammock.Yes! Score one for the environment. 46 MARCH/APRIL 2007 Biscayne National Park—the vast, mostly underwater (95 percent of its 173,000 acres) refuge that geographically kicks off the Florida Keys and the third longest stretch of coral reef in the world—scores way more than a point, actually. For outdoor enthusiasts, it's got it all. Well, except for snow skiing. There's boating, kayaking, snorkeling, scuba diving, hiking, wilderness island camping, and even a healthy slice of history, dating back to the Tequesta Indians. Biscayne is not for the convenience adventurer, however. It takes some effort to enjoy what's best about the park, namely what's under and out on the water. First, you have to find it.Tucked into Biscayne Bay along Homestead back roads, Dante Fascell Visitor Center at Convoy Point introduces you to what lies hidden from sweeping views of mangrove islands and water, water everywhere. Artistically designed exhibits represent the different maritime habitats from mangroves and muddy shallows to coral reefs. In the auditorium, rotating exhibits show the Biscayne-related art of local painters, and videos are aired upon request. Y ou've gotta love a hiking trail named Spite Highway. Well, you don't have to, but I did, once I heard the story. Most importantly, the Visitor Center is the departure point for the park's various tours and recreational activities. If you are a casual adventurer, opt for the PHOTO BY CHELLE KOSTER WALTON A little more daring? Don mask and snorkel (and wet suit if it's winter) to immerse yourself in the reef experience. The park's concession rents it all. three-hour glass-bottom boat tour. Besides looking down at the park's vibrant coral reefs, you get a ranger's feel-and-touch lesson on the different sorts of mangroves, sponges, and corals, using props that include a "polyp puppet" to illustrate how reefs are formed. A little more daring? Don mask and snorkel (and wet suit if it's winter) to immerse yourself in the reef experience.The park's concession rents it all. We saw lobsters, a spotted yellow sting ray, angelfish, blue tangs, sergeant majors, and fish of many stripes—and spots—during our December visit. The boat tours run year-round, but if the water is too rough, the tour heads to Boca Chita Island rather than the outer coral reefs. Once a private island where Mark Honeywell, of thermostat fame, entertained the illustrious with elephant circuses and an ornamental lighthouse (which you can climb on the ranger's tour), it's now part of the park and, as a consolation prize to the reefs, it does okay. (Rangers also conduct the Boca Chita tour on certain Sundays in season.) From the lighthouse, Miami looms in the distance like a mirage of reality in a sea of escape. You can camp overnight on Boca Chita or on nearby Elliott Key, which is larger and more wooded. We opted for Elliott Key and made arrangements WWW.TIMESOFTHEISLANDS.COM 47 ) From left to right:A historic marker at Boca Chita tells about Mark Honeywell's reign on the island; some of the local wildlife on Boca Chita; Miami boaters dock at the harbor at Boca Chita. with the glass-bottom snorkel boat to drop us off.That's the only way to get to the islands, two of more than 44 keys that make up the park. That, or by private boat, which a lot of Miamians do, docking in the harbor and either sleeping aboard or, like us, setting up a tent. around the island to find whatever marine creatures are lurking. Or you can hike the mile loop that crosses Spite Highway and takes you to the ocean. If you arrive by park concession boat, pack lightly.The boat dock is a long distance (when you're carrying a lot of gear) from camping areas. Use backpacks and wheeled coolers and containers.You are required to carry out all of your trash. If it's the least bit warm, find a spot with a good breeze to deter no-see-ums. Bring along your bug juice of choice. If it's cold, select a protected spot to stay warm. Make sure food is raccoonproof. Facilities are limited to picnic tables, grills, flush toilets, cold showers, and usually drinking water. Bring bottled water in case the system loses power. (Boca Chita has no fresh water, sinks, or showers.) Pack a fishing pole, because Elliott Key is exactly the kind of place where you can kick back with nothing else to do but wait for a nibble.You can venture out into the mangroves and grass flats 48 MARCH/APRIL 2007 I recommend a one-night stay the first time out; test your ability to function totally cut off—by water, space, and time it seems—from the plugged-in world. At night Elliott Key becomes sea-breeze quiet.With no lights or noise to interfere, you can gaze at the stars and the distant glow of Miami while a chorus of insects and frogs chant, croak, and creak. The next afternoon, the snorkel boat can pick you up on its way back to Convoy Point. (Camping transportation is only available November through May, and believe me, you don't want to attempt it the rest of the year.) The very adventurous may want to embark on a weekend scuba diving voyage, if you're already certified. Or, back at the visitor center, you can rent a canoe or kayak to paddle around the bay and picnic on the grounds. If you're a windsurfer with your own equipment, take advantage of the stiff breezes. During season, rangers deliver informative talks on the park's endangered creatures, including sea turtles and the Shaus' swallowtail butterfly, which holds the rare distinction of being able to fly backwards. Ironically, the species has made a comeback thanks to Hurricane Andrew in 1992. By obliterating Boca Chita's Australian pines, old Andy made the island more hospitable for the indigenous insect. Score one more for the environment! n Travel Editor Chelle Koster Walton is author of The Adventure Guide to Tampa Bay & Florida's Gulf Coast and contributes to The Miami Herald, National Geographic Traveler, Away.com, and other local and national publications. If You Go Biscayne National Park 305-230-7275 www.nps.gov/bisc Biscayne National Underwater Park concessions 305-230-1100 [email protected] PHOTOS BY CHELLE KOSTER WALTON	<urn:uuid:0a747d9d-bb8e-4632-bf92-a1cc201278ad>	CC-MAIN-2024-51	https://bi.timesoftheislands.com/ows/archive/issue60/outdoors.pdf	2024-12-09T22:42:46+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-51/subset=warc/part-00085-b392068a-8e35-4497-8fab-a691b1a71843.c000.gz.parquet	110,583,252	1,553	eng_Latn	eng_Latn	0.998123	eng_Latn	0.998147	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2107, 3576, 6811 ]
HOUSE OF KOLOR SHIMRIN2 PREMIUM KUSTOM FINISHES SINCE 1956 KARRIER BASE HOUSE OF KOLOR KARRIER BASE & FX SERIES House of Kolor Shimrin2 Basecoat system is an intermix system composed of our S2-FX Series, and Karrier Bases. This robust system is designed with the Kustom Painter in mind. COMPONENTS \| KARRIER BASE \| \| \|-----------------------\|----------\| \| S2-01 SOLAR GOLD \| S2-07 GAMMA GOLD \| \| S2-02 CELESTIAL WHITE \| S2-08 ECLIPSE ORANGE \| \| S2-03 GALAXY GRAY \| S2-09 PLANET GREEN \| \| S2-04 STRAITO BLUE \| S2-10 PAVO PURPLE \| \| S2-05 LAPIS BLUE \| S2-11 MAYAN MAGENT \| \| S2-06 METEOR MAROON \| S2-12 ZENITH GOLD \| \| \| S2-14 LUNAR YELLOW \| \| \| S2-15 SOLARFLAIR RED\| \| \| S2-16 RE-ENTRY RED \| \| \| S2-17 AZURE BLUE \| \| \| S2-18 ALANI ORANGE \| \| S2-FX EFFECT PACKS \| LV SERIES REDUCER \| RU SERIES REDUCER \| \|-----------------------\|-------------------\|-------------------\| \| FX METALUME SERIES S2-FX01-05 \| RU300 \| RU310 \| \| FX KOSAMENE SERIES S2-FX21-26 \| RU301 \| RU311 \| \| FX KOSMATIC STYLING PEARL SERIES S2-FX30-39 \| RU312 \| \| FX METAJULS SERIES S2-FX41-47 \| RU313 \| \| FX KOSMIC SPARKS SERIES S2-FX61-67 \| RU315 \| PRODUCT INFORMATION SBC STANDARD KARRIER BASE AND FX MIX RATIO: 3 : 1 : Reduce Mixture 2:1 KARRIER BASE SIZE AVAILABLE: Quart S2-FX SERIES SIZE AVAILABLE: HPT INTERMIX FLASH TIME: Allow to flash from 30 minutes up to 4 hours maximum prior to applying clear. Note: Shop conditions can vary flash time. --- STANDARD SHIMRIN2® FORMULA DECODER The color formula code can be found on the back side of each of the individual color chips. These formula numbers indicate what components are mixed to create the Shimrin2® Kustom Kolor along with the two trailing digits corresponding to the KD Series DTS Foundation Surfacers Sealer that is being used. HOK0147-03 First two digits represent corresponding Shimrin2 Karrier Base. (Example: 01 = S2-01 Solar Gold) HOK0147-03 Second two digits represent corresponding Shimrin2 Effect Pac. (Example: 47 = S2-FX47 Metajuls - MBC Silver FX) --- SIMPLIFIED MIXING RATIO \[ \text{BASE} + \text{EFFECT} \] \[ 3 \text{ PARTS BASE (1 QT 3/4 III)} + 1 \text{ PART EFFECT (8 OZ HPT)} \] \[ 3 \text{ PARTS KARRIER BASE + 1 PART EFFECT PAC} \] \[ \text{REDUCE ABOVE MIXTURE 2:1} \] HOK0147-03 The Trailing two digits represent the corresponding KD Series DTS Foundation Color: - 00 = KD3000 Gray - 01 = KD3001 Black - 02 = KD3002 White - 03 = KD3003 Yellow - 04 = KD3004 Red - 05 = KD3005 Blue NOTE: Formulas containing a “V” have special FX mixing instructions. Please utilize the House of Kolor website when mixing these kustom colors.	<urn:uuid:7d8baf8c-9dfd-43f1-94c7-772c2a41686e>	CC-MAIN-2018-51	https://houseofkolor.com/opencms/export/sites/hok/galleries/pdf/HOK1851015.pdf	2018-12-16T12:00:12Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-51/segments/1544376827639.67/warc/CC-MAIN-20181216095437-20181216121437-00302.warc.gz	624,534,804	878	eng_Latn	eng_Latn	0.424228	eng_Latn	0.773393	[ "afr_Latn", "eng_Latn" ]	true	docling	[ 112, 2904 ]
Enfield Heights Academy Pitfield Way, Enfield Highway, Enfield, EN3 5BY Inspection dates 27−28 March 2014 \| \| Previous inspection: \| Not previously inspected \| \| \|---\|---\|---\|---\| \| Overall effectiveness \| \| \| \| \| \| This inspection: \| Requires improvement \| 3 \| \| Achievement of pupils \| \| \| \| \| Quality of teaching \| \| \| \| \| Behaviour and safety of pupils \| \| \| \| \| Leadership and management \| \| \| \| Summary of key findings for parents and pupils This is a school that requires improvement. It is not good because: Over time, expectations of what pupils can achieve have been too low. As a result, there is variation in the progress made by different groups of pupils in reading, writing and mathematics. Teachers are not effective enough in adapting tasks in response to pupils' learning. Teaching requires improvement because it has not helped some pupils, especially those in Year 1, to make good progress over time. The work set does not always help pupils to do as well as they can because it is often too easy or too hard. Pupils do not receive sufficiently clear feedback about their work that tells them how to improve it next time. They are not given time to respond to the teachers' marking. Pupils do not have enough chances to practise their writing skills by doing longer, more demanding pieces of work. The school has the following strengths: The headteacher and staff share a passion for improving the school. They are proud of what they have achieved for the local community. The school is a caring and nurturing environment in which pupils and adults respect one another. Pupils are happy in the school and wear their uniform with pride. Parents and carers are supportive of the work of the school and its staff. Not enough attention is given to making sure that pupils' handwriting is neat and legible or that pupils take pride in presenting their work. In a minority of lessons, when the work is not challenging enough, low-level disruption stops pupils from making as much progress as they could. Governors have not paid enough attention to challenging school leaders about the quality of teaching and learning. They have been too reliant on the information provided by others and not found out for themselves how accurate it is. School action plans are short term and not sharply focused. The school's values are at the heart of leaders' work to ensure that all pupils have the opportunity to succeed. Pupils know how to keep themselves safe and are well cared for. The staff and parents and carers agree. Pupils learn Spanish. They also learn to develop their gymnastic skills with appropriately trained sports coaches. Information about this inspection The inspector observed eight lessons or part-lessons. Four observations were jointly undertaken with the headteacher. The inspector looked at pupils' English and mathematics books in order to evaluate their progress over time and talked with pupils about their learning. The inspector heard four pupils read and observed an assembly. Discussions were held with members of the senior leadership team, other staff and three members of the governing body. A meeting was held with a representative of the academy trust. The inspector held a telephone conversation with the Chief Executive of the academy trust. The inspector scrutinised a range of documents, including: the school's self-evaluation; the school development plan; documents relating to safeguarding; policies; information about pupils' progress; minutes of meetings held by the governing body; and records of behaviour and incidents. The inspector also reviewed the school's website and records of the monitoring and evaluation of the quality of teaching and learning. Anonymised documents about the management of staff performance were reviewed. Account was taken of the 18 responses to the online Parent View survey as well as the views expressed by parents and carers spoken to at the school's entrance. The inspector reviewed the nine responses to the staff questionnaire. Inspection team Adam Higgins, Lead inspector Her Majesty's Inspector Full report Information about this school Enfield Heights Academy is a part of the CfBT Schools Trust. It opened in September 2012 and is smaller than the average-sized primary school. The school moved into its permanent building in September 2013. In its first year, the school admitted Reception-aged children only. Currently, in its second year, there are pupils in Reception and Year 1. Pupils come from a range of cultural heritages: the largest groups are from Black Caribbean and White British backgrounds. The proportion of pupils who speak English as an additional language is higher than the national average. The majority of these pupils are bilingual learners and only a very few are at the earliest stages of learning to speak English. The proportion of pupils for whom the school receives the pupil premium, which is additional government funding for pupils known to be eligible for free school meals, children who are looked after by the local authority and children of service families, is well above average. The proportion of disabled pupils and those who have special educational needs who are supported by school action is below average. The proportion supported at school action plus or with a statement of special educational needs is well below average. The school has a breakfast club which is open from 8am every day and an after-school club which runs until 6pm. What does the school need to do to improve further? Improve the quality of teaching so that it is good or better, by: setting tasks that are not too hard or too easy and which challenge all pupils to work hard and achieve their full potential providing pupils with guidance about how to improve their work and giving opportunities for them to respond to the comments improving the behaviour of those pupils who lose concentration in lessons by making sure work set challenges them. Ensure that pupils make at least good progress in all subjects, especially in writing, by: raising teachers' expectations of what pupils can achieve providing regular opportunities for pupils to complete longer pieces of writing using teachers' on-going assessment of pupils' understanding to reshape lessons and tasks paying greater attention to the teaching of handwriting and how pupils present their work. Increase the effectiveness of governance, by: training governors in the skills needed to challenge leaders about improvements to the quality of teaching and pupils' progress ensuring governors visit the school more frequently to evaluate for themselves the accuracy of the information provided by school leaders devising and sharing with governors a sharper improvement plan which clearly identifies the school's priorities over the next two or more years and the strategies for bringing about and monitoring the rate of improvement. An external review of governance should be undertaken in order to assess how this aspect of leadership and governance may be improved. Inspection judgements The achievement of pupils requires improvement Pupils do not achieve well. Most children start in the Reception class with skills and abilities that would normally be expected for their age. They have particular strengths in the creative aspects of their development and in their number skills. They are weaker in some aspects of their social skills and their ability to use language to communicate effectively. Helpful early morning routines ensure that children quickly become familiar with what is expected of them and smooth the transition from home to school. By the time they left the Reception class in 2013, children had made good progress. Good teaching and support from teaching assistants ensured that when they started in Year 1 pupils were well prepared for the next stage in their learning. The progress made this year by pupils from different backgrounds and those who are learning English as an additional language is variable. This is because teachers do not make enough use of their on-going assessment in lessons to reshape activities when they see that pupils are finding the work too easy or too hard. The most able pupils do not always make the progress they are capable of because of the lack of challenge in the work set. Leaders scrutinise pupils' progress carefully, ensuring that support is appropriately identified and provided for disabled pupils and those with special educational needs. Progress for these pupils is better in mathematics and reading than it is in writing. Pupils who are eligible for the pupil premium funding make progress similar to or better than that of other pupils in some subjects. This is especially the case in mathematics. Leaders have planned very carefully for the use of the extra funding that they receive for this group. By the end of Reception in 2013, the majority of eligible children were working at a similar level to that of their peers in all areas. Pupils make good progress in reading. School leaders ensure that all pupils have daily lessons that develop their early reading skills. They have prioritised the teaching of phonics (the sounds that letters make) and ensured that teachers and teaching assistants are trained to a high standard in order to deliver good quality teaching in this area. Consequently, pupils read fluently and apply their skills well when reading favourite books as well as those that are unfamiliar to them. Pupils' writing skills are improving at a slower rate than their skills in other subjects. This is because not enough attention has been given to ensuring that pupils have regular opportunities to write and practise the skills that they learn. Pupils' books contain an excess of short and frequently incomplete pieces of writing, which provide opportunities to practise sentence structure, punctuation and spelling. However, teachers do not plan for pupils to link these skills together into longer pieces of writing across a range of subjects. The progress made by pupils in mathematics is good. This is because teachers plan lessons that are interesting and exciting. For example, in the Reception class, pupils used a computer program to weigh parcels and then recorded the weight using a keypad. This introduced them to standard measures for weight and helped them to begin to understand how to record the fraction of one half. The quality of teaching requires improvement Teaching requires improvement because it is not consistently good. Expectations of what pupils can achieve remain too low. Not enough teaching ensures that all pupils make good progress. Teachers and teaching assistants work together to plan to meet the needs of all pupils. They vary the strategies that they use to engage pupils with their learning. For example, questions are used to probe pupils' understanding, but teachers do not always use the responses to reshape lessons when it is clear that pupils are confused. Work in pupils' books and observations in lessons show that although some pupils receive helpful marking and feedback about their work, it is not yet consistent. Pupils are not routinely given time to respond to the feedback that they receive, and so they go on to repeat the same mistakes. Not enough attention is given to ensuring that pupils develop a fluent handwriting style. In many books, pupils' handwriting is untidy, difficult to read and the size of letters varies considerably. Some books are uncared for, with scribbling and crossing out a regular occurrence. Teachers do not insist on high standards of presentation and it is unclear whether pupils are proud of their work. Adults have worked hard to create an attractive learning environment. Pupils' work is celebrated in bright, attractive displays. For example, in one corridor pupils had been studying the artwork of Vincent Van Gogh and had created their own interpretation of a painting. This had been attractively labelled and displayed, for pupils and visitors to enjoy. The provision of good quality reading material is helping pupils to acquire a love of books. There is a small school library and each classroom has a small but attractive book area. Pupils apply their early reading skills when reading to themselves but also enjoy sharing them with adults at the school. In daily literacy lessons, pupils learn the skills to enable them to write interesting sentences that are carefully punctuated and correctly spelt. However, pupils' books are full of short grammatical exercises and partially completed worksheets. Teachers do not provide enough opportunities for pupils to practise the discrete writing skills that they learn, in longer pieces of writing. Teaching assistants make a good contribution to the learning of pupils in mathematics, especially disabled pupils and those with special educational needs and those who are new to learning English. For example, in a Year 1 lesson, a teaching assistant worked with a group of pupils who were finding early division concepts tricky. She was able to break the task down into smaller activities, which helped them to gain a more secure understanding of the need to share objects out in equal proportions. The behaviour and safety of pupils requires improvement The behaviour of pupils requires improvement. When the work in lessons is too easy or too hard, pupils become restless and are easily distracted from what they should be doing. As a result, this slows pupils' learning and that of others around them. Pupils told the inspector that they sometimes find it hard to concentrate when others on their table or on the carpet have lost their concentration, because they fidget and distract them from what they should be doing. The majority of pupils demonstrate good attitudes towards their learning and towards each other. Pupils enjoy their learning; they come to school ready to learn and are excited about the day ahead. Leaders have prioritised the development of pupils' behaviour and social skills. Consequently, the school is a calm environment in which pupils learn tolerance and respect for each other and for adults. Most pupils behave well in and around the school. Year 1 pupils are trusted to walk to use the bathrooms that are just beyond their classroom. They do this sensibly and without any fuss. Pupils move politely and courteously around the building and are always happy to hold the door open for an adult or friend. They say please and thank you and enjoy showing their good manners. Lunchtime arrangements are exemplary. Leaders have created an environment in which pupils share their mealtime, but which has the atmosphere of eating in a restaurant. As a result, pupils' social skills are developing rapidly. They sit at mixed-age tables, eat from real plates, use metal cutlery, talk quietly and are helped by adults who are calm and respectful. Each group elects a table captain who is responsible for ensuring that pupils get along and eat appropriately. Points are awarded to each table for a range of things. The following week, the table with the most points enjoys a vase of fresh flowers and a tablecloth. Pupils say that there is almost no bullying at the school. They say that if there is any bullying, adults stop it quickly and inform parents and carers about what has happened. Pupils have an understanding of bullying, appropriate to their age. The school's work to keep pupils safe and secure is good. Pupils told the inspector that they feel safe at the school. They understand some of the risks that they have to manage such as crossing busy roads and not talking to strangers. They are developing an understanding of how to keep themselves safe when using computers and the internet. Most parents and carers who responded to the survey and who spoke to the inspector in the playground believe that this is a safe school, which promotes good standards of behaviour. Attendance at school is broadly average. The school has good procedures for following up pupils who do not attend regularly. The school is working with the families of a small number of pupils do not attend school regularly enough, in order to bring about improvement. The leadership and management require improvement Leadership and management require improvement because leaders and governors have not made sure that the quality of teaching and achievement is good. Nevertheless, the headteacher has worked to ensure that the school is a safe and tranquil learning environment. Central to this has been embedding the ethos of the school in the '5Cs': that everyone can be Caring, Confident, Contributing, Committed and Courteous. Parents and carers say that they like that the headteacher is in the playground every morning to greet pupils, parents and carers alike, with a kind word, a caring smile and a friendly handshake. The headteacher and deputy headteacher hold the roles of English and mathematics subject leaders as well as other areas of responsibility. Teachers will be appointed to take on additional leadership roles as the school grows. Teachers are trained when necessary with the skills needed to ensure that they can carry out responsibilities beyond their classroom role with confidence. For example, the Reception teacher records and submits information about how well pupils achieve at the end of the Reception Year; a role normally held by a more senior leader. The headteacher knows the school well and has an accurate view of its strengths and weaknesses. The arrangements for managing the performance of teachers are effective. There is a good cycle for monitoring the school's work, which clearly links how well pupils achieve to whether or not a teacher receives an increase in salary. The school did not receive any sports funding because pupils are all below the age eligibility threshold. However, leaders know that funds will be received in the next allocation and have already made plans to use it appropriately and to evaluate the impact of their work. The curriculum has been carefully planned for. It is broad and gives good coverage of a wide range of subjects. For example, all pupils are learning to speak Spanish and have weekly gymnastics lessons. A range of trips, visits and visitors complements it. Subjects and activities make a very good contribution to pupils' spiritual, moral, social and cultural development. Pupils participate in a small number of popular after-school clubs, which are planned appropriately for the age and development of pupils. Almost all pupils in the school attend the after school gymnastics club. School leaders plan to increase the number and type of activities available as the school population grows. The academy's sponsor has an accurate view of the school. It has provided timely support and challenge to school leaders. It has ensured access to a range of services to guarantee the efficient management of the school. Additionally, it has kept a close eye on the quality of teaching and how well pupils are doing. It provided effective support to eradicate a small amount of teaching that was inadequate. An adviser visits the school frequently to evaluate and report on the effectiveness of the actions taken by leaders to improve teaching and learning. The governance of the school: The governing body does not know the school strengths and weaknesses well enough. While it has been actively involved in establishing the school, carefully monitoring the finances and the building project, it has paid less attention to improving the quality of teaching and ensuring that every pupil achieves as well as they can. The governing body is kept well informed by the headteacher and has received termly reports from a CfBT Trust Adviser as well as from three DfE monitoring visits. However, it has been too accepting of the information. Governors have not adequately evaluated the information or found out for themselves how accurate it is. Consequently, governors have an over-generous view of how well the school is doing. The school improvement plan is short term and is nearing its end. The plan has not adequately focused on the most pressing areas for development. Governors have not been involved in the management of staff performance, but say that they do have the last say in any increase in a teacher's salary. They have planned for the use of pupil premium funding but have not evaluated its impact. Governors ensure that their statutory safeguarding duties are met. What inspection judgements mean \| School \| \| \| \|---\|---\|---\| \| Grade \| Judgement \| Description \| A school that requires special measures is one where the school is failing to give its pupils an acceptable standard of education and the school's leaders, managers or governors have not demonstrated that they have the capacity to secure the necessary improvement in the school. This school will receive regular monitoring by Ofsted inspectors. School details This inspection of the school was carried out under section 5 of the Education Act 2005. Any complaints about the inspection or the report should be made following the procedures set out in the guidance 'raising concerns and making complaints about Ofsted', which is available from Ofsted's website: www.ofsted.gov.uk. If you would like Ofsted to send you a copy of the guidance, please telephone 0300 123 4234, or email [email protected]. You can use Parent View to give Ofsted your opinion on your child's school. Ofsted will use the information parents and carers provide when deciding which schools to inspect and when and as part of the inspection. You can also use Parent View to find out what other parents and carers think about schools in England. You can visit www.parentview.ofsted.gov.uk, or look for the link on the main Ofsted website: www.ofsted.gov.uk The Office for Standards in Education, Children's Services and Skills (Ofsted) regulates and inspects to achieve excellence in the care of children and young people, and in education and skills for learners of all ages. It regulates and inspects childcare and children's social care, and inspects the Children and Family Court Advisory Support Service (Cafcass), schools, colleges, initial teacher training, workbased learning and skills training, adult and community learning, and education and training in prisons and other secure establishments. It assesses council children's services, and inspects services for looked after children, safeguarding and child protection. Further copies of this report are obtainable from the school. Under the Education Act 2005, the school must provide a copy of this report free of charge to certain categories of people. A charge not exceeding the full cost of reproduction may be made for any other copies supplied. If you would like a copy of this document in a different format, such as large print or Braille, please telephone 0300 123 4234, or email [email protected]. 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Piccadilly Gate Store St Manchester M1 2WD T: 0300 123 4234 Textphone: 0161 618 8524 E: [email protected] W: www.ofsted.gov.uk © Crown copyright 2014	<urn:uuid:ddf6e116-a860-4d89-b637-3087ef699ac0>	CC-MAIN-2021-17	https://files.ofsted.gov.uk/v1/file/2387493	2021-04-16T08:57:58+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-17/subset=warc/part-00055-74237c22-0523-49c6-9e5a-6b4aa471a042.c000.gz.parquet	366,687,990	4,716	eng_Latn	eng_Latn	0.99904	eng_Latn	0.999338	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2684, 4138, 7105, 11343, 15828, 20580, 21027, 21133, 23561 ]
Chicago, IL Board of Commissioners of Cook County Legislation Details File #: Version: 1 18-5183 Name: Oakridge-Glen Oaks Cemetery, Hillside, Illinois Status: Type: Interagency Agreement Approved File created: In control: 8/7/2018 Board of Commissioners On agenda: Final action: 9/12/2018 9/12/2018 Title: PROPOSED INTERAGENCY AGREEMENT Department(s): Cook County Sheriff's Police Department Other Part(ies): Oakridge-Glen Oaks Cemetery, Hillside, Illinois Request: Authorization to enter into an Interagency Agreement Good(s) or Service(s): Hireback Police Services provided by the Cook County Sheriff’s Police Department and Oakridge-Glen Oaks Cemetery. Agreement period: Upon execution of this agreement by all the parties and continue for one (1) year Fiscal Impact: None. Revenue Neutral Accounts: None Agreement Number(s): N/A Summary/Notes: As part of this agreement, the Sheriff’s Office will assign two (2) uniformed CCSPD officers and one (1) police car to Oakridge-Glen Oaks Cemetery, as follows: 1. Fridays from 11:00 a.m. to 3:00 p.m. 2. Saturdays from 11:00 a.m. to 3:00 p.m. Under this agreement, the Oakridge-Glen Oaks Cemetery agrees to pay the Cook County Sheriff’s Police Department the rate of $60.00 per hour Extra Duty Officer for the Extra Duty Police Services rendered by the Cook County Sheriff’s Police Department Hireback Officers. Sponsors: Indexes: THOMAS J. DART, Sheriff of Cook County Code sections: Attachments: Board of Commissioners of Cook County	<urn:uuid:c672505e-e889-40f2-b7a8-ab053b93ff1a>	CC-MAIN-2022-21	https://cook-county.legistar.com/ViewReport.ashx?M=R&N=Master&GID=301&ID=3651563&GUID=4BEA1D2F-8F85-4234-ABD3-09BD8C5103EC&Title=Legislation+Details	2022-05-27T22:13:55+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-21/subset=warc/part-00077-bd7ecbba-8e15-4123-ae07-d9c98ad96845.c000.gz.parquet	227,912,755	383	eng_Latn	eng_Latn	0.951154	eng_Latn	0.951154	[ "eng_Latn" ]	false	rolmOCR	[ 1531 ]
Application to Marton Community Committee Small Projects / Grants Fund Submissions deadlines: 28 th of Jan / Mar / May / Jul / Sep / Nov for consideration at the next Committee Meeting. The purpose of the fund is to assist entities with the purchase of small items or additional services which are not included in Council's operating budgets and which will benefit the local community. Examples would be signage, park furniture, plants, paint, a leaflet or other publication or an event, including implementing community-led initiatives. Applications are normally expected to be for the benefit of the whole Community (not for individuals or small groups eg only club members). More than one application can be submitted in any financial year. Applications cannot be for: * Provision of training or conference attendance. * Additional payment(s) for goods or services subject to a contract with Rangitikei Council. * Amounts which exceed the Committee's annual allocation. If you have any queries regarding your application please contact a committee member (or call 021-342-524). Send request to: Marton Community Committee: [email protected] or deliver c/o 7 Dalrymple Place, Marton.	<urn:uuid:291e0cf0-6807-45fa-9ce9-3af48a25d46e>	CC-MAIN-2023-23	https://www.rangitikei.govt.nz/files/meetings/marton-community-committee/2022-06-08/08-Jun-22-Funding-Application-for-Matariki.pdf	2023-05-29T09:42:54+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00215-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	1,068,691,230	241	eng_Latn	eng_Latn	0.989272	eng_Latn	0.989272	[ "eng_Latn" ]	false	rolmOCR	[ 1200 ]
CARDIFF METROPOLITAN UNIVERSITY MEETING OF THE BOARD OF GOVERNORS: TUESDAY, 11 APRIL 2017 Present: Miss B Wilding (Chair), Professor C.C.Aitchison (President & ViceChancellor), Ms.N.Amery (Vice-Chair), Ms.J.Berry, Mr.G.Davies, Mr.P.Davies, Mr.W.Fuller, Ms.S.Hay, Mr.F.Holmes, Mr.U.Hussain, C.Morgan, Rev. Canon R. Morrison, Baroness Randerson, Dr.M.Waring, Mr.B.Woolridge and Mr.G.Yorston. Attendance: Professor D.Brooksbank (PVC Enterprise), Mr.J.Cappock (COO), Professor S.Hanton (PVC Research), Professor M.Loutfi (PVC International), Mr.D.C.Price (PVC Strategy & Performance), Mr.A.Walker (Director of External Engagement), Mr.R.D.G.Walters (Secretary & Clerk to the Governors) The business recorded under minute 1626 below was treated as restricted and transacted in the presence of independent and non-staff/student co-opted governors (hereinafter 'lay governors') and the President & Vice-Chancellor and Secretary & Clerk only. PART A The division of business into Parts A and B was approved without amendment. 1610. Apologies for Absence Apologies for absence were received from Mr. John Foster Thomas, Mrs Katy Chamberlain, Mrs Monnaza Hussain and Dr. Stephen Jackson. 1611. Declarations of Conflict of Interest There were no declarations of direct or indirect pecuniary or non-pecuniary conflicts of interest. 1612. Minutes of the Board of Governors: .1 29 November 2016 The minutes of the minutes of the meeting of 29 November 2016 were approved as a correct record and signed. There were no matters arising from the minutes. .2 Special Meeting of the Board of Governors: 28 February 2017: Open Minutes The open minutes of the special meeting held on 28 February 2017 were approved as a correct record, subject to two revisions to the attendance list, and signed. There were no matters arising from the minutes. The full, restricted minutes were presented during restricted business recorded at minute 1626 below. 1613. Strategic Risk Register A written report presented the updated Strategic Risk Register for termly review. As addressed in the business of this meeting, the report recognised that the risk of poor financial health was a fundamental and systemic risk factor in the University's ability to deliver its strategic direction and that the University faced several challenges in this area which increased uncertainty across the institution. It was reported that in the current year the University had had to absorb a shortfall in fees for 2016/17 and a £3.5m pension deficit charge. It was acknowledged that an urgent imperative was to address the high proportion of income spent on staffing and that over the medium to long term the University would need to address the investment constraints arising from its current size. The meeting noted and discussed the following: that the ratings for three risks associated with the University's financial sustainability and investment were unchanged from the previous report but remained at status red; that three risks had been increased, including one to red status, viz. the risk of the University being unable to agree its Fee & Access Plan with HEFCW, the regulator; that the rating for two risks had reduced to take into account developments since the last update; that no risks had been closed or added; that there was need to address instances of incomplete or insufficient data; that there was need to address protections against cyber attacks. The governing body was pleased to note progress made in migrating the University's risk management information and processes to the new risk management system. Assurance was given that under the new system numbers of risks would be reduced and individual risks would be better and more succinctly defined and cohered. The approval of a new Strategic Plan (min. 1615 below refers) would necessitate a fundamental review of the Strategic Risk Register to ensure inter alia its continued alignment with the University's strategic aims and objectives. Resolved that the report and the Summary Strategic Risk Register be noted. 1614. Standing Items .1. Chair's Business .1 Report of the Chair of the Board of Governors .1 Meetings and Events The Chair's periodic report set out details of meetings and events attended since 11 November 2016. The report included details of meetings held in relation to the establishment of a sixth School (latterly known as the Cardiff School of Technologies). .2 Chair's Action: As reported to the meeting of the former Phoenix Project Committee held on 22 February 2017, Chair's Action had been taken to authorise the appointment of a consultant to act on behalf of the University in the development of the Cardiff School of Technologies. 3. Senior Post-Holders The appendix to the report presented the job description and person specification for the new post of Deputy Vice-Chancellor (Academic) – minute 1614.2 below refers. It was reported that, as agreed during restricted business transacted at the special meeting of the Board of Governors held on 28 February 2017, a selection and recruitment procedure for a new position of PVC (Student Engagement) was to proceed as soon as was practicable. Indicative proposals for revisions to the senior staff structure were provided under restricted business at minute 1626. 4. Strategic Planning & Performance Committee The unconfirmed minutes of the Strategic Planning & Performance Committee (SPPC) meeting of 21 March 2017 were provided for information (min. 1614.1.3 refers). Particular attention was drawn to items of SPPC business which did not appear on the agenda for this meeting, viz. i) Staff Monitoring Report; ii) Update on Teaching Excellence Framework 2 Submission and iii) Welsh Language Standards: Update. It was reported that SPPC had agreed that an additional report would be provided to this meeting providing a comprehensive explanation of the causes of the forecast deficit, the escalation of the ratio of staff spend to total income to its current level and the level of underrecruitment together with an exploration of the options for improvement (min. 1619 below refers). Resolved that: .1 the report be received; .2 Chair's action be noted. .2 Appointment of Deputy Vice-Chancellor (Academic) Confirmation was provided that the selection and recruitment procedure for the appointment of a Deputy Vice-Chancellor (Academic) had proceeded in accordance with the resolutions of the Board of Governors on 28 November 2016. It was reported that 24 applications had been received and seven applicants short-listed. Interviews had been held on 4 and 6 April 2017 and an offer of employment made to one candidate subject to Board approval, the receipt of satisfactory references and the successful outcome of negotiations on terms and conditions. Details of the successful candidate were disclosed and, subject to conditions, a formal recommendation for appointment made to lay governors as recorded at minute 1626.3 below. It was noted that a policy dealing with the granting of professorial titles to senior post-holders appointed by the Board of Governors would be presented to the July 2017 meeting for approval. The selection process for the post of Deputy Vice-Chancellor (Academic) had included the required elements of the procedure for the granting of professorial title to that post-holder by the Appointments Committee; similar arrangements for award of professorial title would apply where appropriate to other senior post-holder recruitment and selection procedures undertaken during the Summer Term 2017. Resolved that: .1 progress in the appointment of a Deputy Vice-Chancellor (Academic) and the making of a recommendation for appointment to lay governors be noted. .2 arrangements for the award of professorial title to relevant senior posts by the Appointments Committee be approved. .3 Unconfirmed Minutes of the Strategic Planning & Performance Committee Meeting of 21 March 2017 The unconfirmed minutes of the most recent meeting of the Strategic Planning & Performance Committee were tabled for information. Resolved that the unconfirmed minutes be received. .2 Report of the Vice-Chancellor The Vice-Chancellor's periodic report covered the months of December 2016 to March 2017 over which time senior staff focus had been on: reducing the financial deficit for 2016/17; improving student recruitment, retention and experience; developing the Strategic Plan 2017/18 – 2022/23; building external relations to support the repositioning of the University; the planning of, and securing support for, the new Cardiff School of Technologies. The report addressed those five topics in detail and six additional topics more briefly and was supplemented by two agenda items with separate reports relating to the Strategic Plan and the new Cardiff School of Technologies. The additional topics addressed were: international partnerships and mobility including initiatives to position the University as an outward-looking institution offering a welcome to asylum seekers and refugees; exiting the EU, with continuing lobbying activity in partnership with Universities Wales and UUK to safeguard student recruitment, student mobility, research funding and the future of existing EU staff; research and estates developments including review of the Estates Master Plan; civic contribution and community relations. In response to a steer given to HEFCW by the Cabinet Secretary for Education, it was agreed that a full review would be undertaken of the feasibility of introducing the real living wage; a proposal was to be made to a future meeting. It was noted that a review was to be undertaken of the financial and other support provided to staff undertaking PhD research funded by the University; Resolved that the report be noted. .3 Report of the Students' Union President The meeting received the report by the Student's Union President on activity during the Spring Term 2017 under the five headings described below. Executive Officer Elections Elections held in March 2017 had resulted in the election of Mr. Will Fuller, the 2016/17 Vice President, as President for 2017/18 and Mr. Ieaun Gardiner, 2016/17 School of Education representative, as Vice President for 2017/18. It was noted that these elections had recorded the highest number of votes cast in such elections for a number of years. Ways were being examined to streamline the voting process and increase engagement across the student population. Development of Representation Structure Details were presented of a review of the Students' Union's representation structure and of the introduction of six part-time officer roles for the next academic year focussing on areas which would contribute to the University's strategic plan and assist in specific areas of student engagement. These six roles were Welsh Language Officer, Equality & Diversity Officer, Communications & Technology Officer, Activities & Societies Officer, International Students Officer and Health & Wellbeing Officer. International Student Partner Event In January 2017, with the support of the International & Partnerships Office, the Students' Union had held its annual training event for student representatives of the University's international partners. STAR Society In response to a petition handed in by the Student Action for Refugees Society seeking support for asylum-seeking students wishing to enrol at the University, it had been decided that the University and the Students' Union would provide joint support for eligible applications during 2017/18. Mental Health In January 2017 the President of the Students' Union had signed the Time to Change Wales pledge on behalf of the Students' Union to address stigma attached to those suffering from mental health problems. Resolved that the report be noted. .4 Unconfirmed Committee Minutes and Reports by Committee Chairs: The meeting received the unconfirmed minutes of the most recent meetings of the Resources Committee and the Audit Committee and summary oral reports of the most significant items of business. It was reported that the Transnational Education Committee had not met during the Spring Term 2017 and would next meet in June 2017. .1 Resources Committee: 14 March 2017 In the unavoidable absence of the Committee Chair, the meeting received an oral report on significant business from the Board's Vice-Chair. The oral report covered: the Human Resources Strategic Framework; the Strategic Estates Plan Update; the Committee's approval of Halls Fees for 2017/18 and Tuition Fees for 2018/19; receipt of reports on budget preparation for 2017/18, Treasury Management, staff monitoring and Level 3 and Professorial pay and terms & conditions, the annual Transparency Exercise and the University's compliance with HEFCW's Memorandum of Assurance and Accountability; receipt of a further update on a potential enterprise opportunity (Impact Innovation). .2 Audit Committee: 28 March 2017 The Committee Chair presented a summary report of the following significant business: good progress under the Internal Audit Plan for 2016/17 with receipt of three moderate assurance reports on i) UK Visas and Immigration, ii) Fee and Access Plans and iii) the Improvement, Capacity and Efficiency Programme); receipt of a presentation on the new Symbiant Risk Management software which was due for full implementation by the end of July 2017 – it was agreed that a similar presentation would be presented to the full governing body during 2017/18; receipt of a draft Risk Management Policy in advance of submission of a further version for the Committee's endorsement and subsequent approval by the Board of Governors during the Summer Term 2017; receipt of annual reports on Information Compliance and Procurement. Resolved that the oral reports and unconfirmed minutes be received. 1615. Strategic Plan 2017/18 – 2022/23 The meeting received and approved (subject to minor matters suggested for consideration) the final version of the Strategic Plan for the period 2017/18 to 2022/23. It was noted with approval that Academic Board on 3 March 2017 had recommended that the duration of the Plan be extended from five years to six years. The Plan was supported by the three pillars of Places, People and Performance and the seven strategic priorities of i) a values-driven University; ii) the Cardiff Met EDGE (Ethical, Digital, Global, Entrepreneurial Cardiff Global), iii) the Cardiff School of Technologies; iv) Cardiff Global: an international University rooted in Wales; v) managed growth across all Schools; vi) growth in research and innovation and vii) synergy between on- and off-campus provision. The Plan included twenty measures of success, progress under which would be monitored by SPPC and Management Board. These core measures of success would be supported by a wider range of management-focussed key performance indicators which were currently under development and would be approved by Management Board. It was noted with approval that the Plan, the achievement of which would be challenging, demonstrated the University's ambition and had been designed to enable growth and to allow the University to improve and enhance its reputation. It recognised the importance of competitive advantage and provided for the review and enhancement of portfolio and analysis of risks. Assurance was given that students and the student experience were core to the Plan and that the implementation of the Plan would take account of the impact of demographic dip and alternatives to university open to school leavers. The meeting noted that the implementation of the Plan would rely in part on effective monitoring and challenge by governors. It was suggested that the implementation of the Plan and the development of mechanisms for monitoring achievement and strategies for tackling under performance against targets would be discussed at the next Board away-day, scheduled for 2017/18. It was agreed that a communication plan for the introduction of the new Strategic Plan was to be drawn up for use internally and externally and that details of progress under the communication plan would be presented to the next meeting. The meeting acknowledged and was grateful for the contributions to the development of the Plan made by governors, students and staff. Resolved that the Strategic Plan for the period 2017/18 to 2022/23 be approved. 1616. School of Technologies: Update The Vice-Chancellor presented a written progress report on the development of the Cardiff School of Technologies (4D: Data, Digidol, Dylunio, Dyfodol). The new School was described as a new and unique collaborative approach to a global industry-education partnership of significant, educational, economic and social value designed to develop the future of digital, data and design technologies, deliver a catalyst for economic growth and devise an engine for educational aspiration and social cohesion. It was noted that the development of the Cardiff School of Technologies formed 'Priority 3' in the list of seven priorities outlined in the new Strategic Plan 2017/18 – 2022/23. The report set out the next steps in the School's development which included finalisation of membership of and the programme of work for the Project Executive Group (with reconfiguration of the Phoenix Project Group), appointment of an external consultant and recruitment of a Dean of School. Resolved that the report be received 1617. Portfolio Development Group A written report, which had been presented to the Strategic Planning & Performance Committee, provided details of the business and minutes of the revised Portfolio Development Group (PDG) meetings of 17 January 2017 and 2 March 2017 and contained a progress report on the revised arrangements for portfolio development. In accordance with the resolutions of SPPC, an update on that progress report was presented which detailed progress in the development of proposed metrics for portfolio review. A further progress report was to be presented to the next SPPC meeting (scheduled for 20 June 2017). Members commented on the enhancement actions and the initial proposals for a full portfolio review and sought assurance that the work of PDG cross-referred to that of the Financial Sustainability Group (FSG). Resolved that progress made in reviewing the operation of the PDG be noted 1618. Student Recruitment Summary (2016 Entry (Home/EU) and 2017 Entry Update A written report, which has been considered by the Resources Committee on 14 March 2017 and the Strategic Planning & Performance Committee on 21 March 2017, presented an update on 2016 enrolments and on Student Applications showing underachievement in undergraduate and postgraduate enrolment for 2016/17 and progress so far in undergraduate applications for 2017/18. The report presented a graphical representation of 2016 Enrolments and Application Patterns, UCAS tracker data as at 5 March 2017 (updated orally at the meeting) and current and planned marketing activity. It was reported that Resources Committee had noted that the usefulness of the report and an understanding of the true measure of over or under-achievement would be enhanced by a comparison of current targets and performance against past targets rather than against actual numbers. The meeting noted the benefits to be gained from closer and more strategic working with local partner institutions (FE Colleges and schools) to encourage progression. It had been agreed that the report to this meeting on recruitment and applications would be supplemented by an additional report providing a comprehensive explanation of the causes of the forecast deficit (minute 1619 refers) the current ratio of staff spend to total income and the level of under-recruitment together with an exploration of the options for improvement. Resolved that the report be noted. 1619. Deficit Causes and Corrective Actions In accordance with the foregoing minute, a written report provided an assessment of the environmental and internal factors which had contributed to the current financial position and an update on ongoing work to address that position. It was noted that recent reports had highlighted concerns about lower growth in income and the consequent negative impact on the metric around growth in the staff cost base target of no more than 60% of Income in a three year period. The report argued that the deficit could be attributed to two main causes: an increase of £3.5m in the assessment of the actuarial deficit in respect of the Local Government Pension Scheme notified to the University by the Scheme Actuaries during September 2016, after the budget had been approved; a projected reduction of £3.1m in tuition fee income due to a shortfall in new and returning students - approximately 2/3 rd relating to intake and 1/3 rd to retention. These negative factors had been offset in part by the release of the contingency fund (£890K) and a contribution from International Mobility projects. Corrective action was being undertaken through the work of the Financial Sustainability Group (FSG). The projected outturn had been revised to a loss of £2M with associated cash generation through operations of £6.1M, an improvement on the previously reported position of £2.1M. This improvement, it was argued, was due predominantly to the implementation of a number of inyear efficiency measures designed to reduce both salary and non-salary costs and also to the suspension of devolved budget authority within the five Schools. The report presented a summary of corrective actions including ongoing FSG activity to identify and implement efficiencies, a fundamental review of the academic portfolio, further development of cost reduction options, revised approaches to retention, ongoing student recruitment review, continued monitoring of recruitment and refinement of the forecasting approach. Resolved that the report be noted. 1620. Finance Reports .1 Outturn 2016/17: Second Review A written report provided the second outturn review of 2016/2017 and details of the maturing financial position at the end of January 2017. Appendices provided a summary of the Income & Expenditure Account at 31 January 2017 and outline cash management, balance sheet and capital expectations. It was reported that the University had originally budgeted for a surplus of £1.1m with associated cash generation through operations of £5.7m. The budgeted expectation had been reviewed during November 2016 and revised to a loss of £4.1m with associated cash generation through operations of £4m. Subsequently the projected outturn had been further revised and was currently targeted at a loss of £2m with associated cash generation through operations of £6.1m, an improvement on the previously reported position of £2.1m. Although the University was still targeting a loss for the year of £2m, it was also targeting cash generation of £6.1m (6% of turnover). If achieved, this level of cash generation would, it was argued, represent a solid financial performance Resolved that the report be approved. .2 Fee and Access Plan 2018/19 A written report, which had been presented to the Resources Committee on 14 March 2017, provided information on the development of the University's 2018/19 Fee and Access Plan. In addition, the report described a number of matters that would need to be taken into account by the University as the 2018/19 Fee & Access Plan was developed. In a recent announcement HEFCW had set Friday, 19 May 2017 as the date for submission of the Plan. A decision by the Funding Council on whether to approve or reject the Plan was expected to be made on or by 31 July 2017. It was agreed that a draft of the Plan would be provided to members for comment prior to submission of the Plan to HEFCW under Chair's Action by 19 May. Resolved that: .1 the report be noted; .2 the Fee and Access Plan for 2018/19 be submitted to HEFCW under Chair's Action by 19 May 2017. 1621. The Quality Assurance Framework for Wales, Governing Body Annual Quality Assurance Statements and Academic Governance A written report summarised developments in the Quality Assurance environment including quality assessment aspects of the Higher Education Wales Act 2015 and the responsibilities of governors under the developing Quality Assurance Framework for Wales. It was agreed that a comprehensive report, focussing on the key elements of the quality system and covering activity since the 2014 QAA Institutional Review, would be submitted for governors' consideration either at an away-day early in the Autumn Term 2017 or at the October 2017 meeting of the Board of Governors Resolved that the report be noted. 1622. Policy Approval: .1 Data Management and Governance Policy A written report submitted a draft Data Management and Governance Policy for approval and, for information, an outline three-year schedule of proposed business for the Data Governance Committee. It was noted that the proposed Policy had been endorsed by the Resources Committee and Management Board and had been subject to a positive (no detriment) equality impact assessment. Resolved that the Data Management and Governance Policy be approved and reviewed during 2019/20. .2 Records Management Policy A written report provided for approval a draft revised Records Management Policy which had been endorsed by the Resources Committee and Management Board. The draft Policy had been subject to a positive (no detriment) equality impact assessment. Resolved that the Records Management Policy be approved and further reviewed during 2019/20. 1623. Governance Report A periodic written report summarised developments in the University's governance arrangements since November 2016. Board and Committee Membership It was reported that, as an outcome of the recent search for new governors, a short-list of five candidates had been invited to attend informal interviews with the Chair, Vice-Chair and Vice-Chancellor during May 2017. The outcomes of these interviews, which were to be attended as observers by the Students' Union's President and the Support Staff Representative, were to be reported to the Nominations & Governance Committee with a view to recommendations for appointment being made to the Board of Governors on 4 July 2017. On the recommendation of the Nomination & Governance Committee the meeting agreed to appoint: Dr. Stephen Jackson, Chair of the TNE Committee, as a member of the Strategic Planning and Performance Committee with immediate effect; Ms. Nicola Amery, Board Vice-Chair, as the University's second representative on ChUW with immediate effect in succession to Mr. John Foster Thomas who was to retire from the Board of Governors on 31 July 2017 Developments in Equality & Diversity An appendix to the report presented an update prepared by the Equality & Diversity Unit on Equality & Diversity developments achieved to date during 2016/17. Vice-Chancellor's Professorial Title It was reported that in accordance with the procedure approved by the Board of Governors on 29 November 2016 (Board minute 1603.2 refers), the Appointing Committee, conducting its business by correspondence, approved the application by the Vice-Chancellor for a Personal Chair with the title 'Professor of Geography and Cultural Economy'. Modern Slavery Confirmation was given that the first Slavery and Human Trafficking Statement had been signed by the Chair and published before the due date of 31 January 2017. Appeals Committees Two Appeals Committees had met since the November 2016 meeting of the Board of Governors. The first appeal, a staff appeal against summary dismissal, had been successful and an order for summary dismissal replaced by a final written warning. The second appeal, a student appeal against permanent exclusion, had been unsuccessful. Review of Board and Committee Effectiveness Software problems having been resolved, it was anticipated that the paperless meetings project would be launched during the Summer Term 2017. It was reported that proposals for another round of effectiveness reviews of the Board and its Committees would be presented to the next meeting. These proposals would include a follow-up review of the last full review of the Board of Governors. Resolved that: .1 the report be noted, and .2 appointments to the Strategic Planning & Performance Committee and to Chairs of Universities Wales be made as recorded above. 1624. Any Other Business .1 Restricted Business Resolved that the following items would retain restricted status: Strategic Risk Register Strategic Plan Student recruitment Deficit Causes and Corrective Actions Outturn Second Review PART B Papers under Part B were not discussed at the meeting and any recommendations therein were taken as approved. 1625. .1 Welsh Government's Remit Letter to HEFCW 2017/18 The 2017/18 Remit Letter was presented for information prior to its presentation to the Strategic Planning & Performance Committee during the Summer Term 2017 for consideration. Resolved that the contents of the Remit Letter be noted. .2 Annual Monitoring Report (2015/16) on the Implementation of the Cardiff Metropolitan University's Welsh Language Scheme A written report presented the annual monitoring report on the University's Welsh Language Scheme for the 2015/16 academic year. The report had been presented to the Strategic Planning & Performance Committee on 21 March 2017 and was to be submitted to the Welsh Language Commissioner by 30 April 2017. Resolved that the report be approved. .3 Health & Safety Committee Annual Review 2016 A written report provided a summary of progress in the management of health and safety across the University during 2016. Assurance was given that the Health and Safety Committee continued to fulfil its remit to consider all relevant aspects of Health, Safety and Well-being in the working environment and to monitor the effectiveness of the University's Occupational Health and Safety policies. The Committee's termly meetings were provided with advice on relevant Health and Safety matters which included periodic progress reports on the management of health and safety within the University. Monitoring reports on health and safety management were provided to the University's Resources and Audit Committees and Management Board (sitting as the Risk Management Committees). Attached to the report was the Health and Safety Committee's Annual Review for 2016 which had been based on the Health and Safety Executive's 'Successful Health and Safety Management' publication HSG65 and the Universities and Colleges Employers Association (UCEA) 2015 publication 'Leadership and Management of Health and Safety in Higher Education'. The review included a summary of the following key areas: Policy development Health and safety organisation Health and safety planning and implementation Health and safety monitoring Health and Safety audit/review Resolved that the report and the annual review be noted. .4 Equality & Diversity Annual Report 2015-16 The final version of the annual Equality & Diversity Report, which had been published on 31 March 2017, was presented for information. Resolved that the Equality and Diversity Annual Report for 2015/2016 be received. .5 Complaints: Report 2015-16 The annual Complaints Report provided an analysis and summary of all types of formal and informal complaints received and administered by the Acting Dean of Students and the Complaints Manager between 1 August 2015 and 31 July 2016. Assurance was given that the Complaints Procedure continued to work efficiently and operate in line with the Office of the Independent Adjudicator's Good Practice Framework and guidance on consumer law rights. Resolved that the report be received. .6 Minutes of Academic Board: The most recent minutes of the Academic Board were presented for information: .1 Minutes of the special meeting of 16 November 2016 .2 Unconfirmed minutes of the meeting of 3 March 2017 Resolved that the Academic Board minutes be received. .7 Rolling Calendar 2017-18 The most recent iteration of the rolling calendar of Board and Committee meetings was presented for members' approval. Resolved that the rolling calendar be approved. 1626. Restricted Business The minutes of the restricted business of the meeting of 11 April 2017 were recorded separately and maintained confidentially by the Clerk to the Governors. They covered confirmation of the restricted minutes of the special meeting of the Board of Governors held on 28 February 2017, a report on the business of the Remuneration Committee held on 17 January 2017 and a report on progress in the reorganisation of the University's Leadership Structure (Levels Two and Three).	<urn:uuid:c113b366-2e6c-4a91-a317-20e8d57cb53d>	CC-MAIN-2022-40	https://www.cardiffmet.ac.uk/about/structureandgovernance/Documents/Board%20Mins%20-%2020170411.pdf	2022-10-05T02:23:35+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00209-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	742,911,594	6,532	eng_Latn	eng_Latn	0.994273	eng_Latn	0.996379	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1942, 4121, 6268, 8642, 11069, 13118, 16279, 19409, 22416, 24843, 27098, 28854, 31198, 32955 ]
BIODIVERSITY POLICY The Board of Directors at Sacyr, S.A. ("Sacyr"), as part of their general and non-delegable duties to determine the company's policies and general strategies, and following the review and proposal on the part of the Commission responsible, has approved this Biodiversity Policy (hereinafter, the "Policy"). The aim of this Policy, aimed at all stakeholders, is to define and establish the principles and criteria that govern activities related to Biodiversity. 1. Purpose Sacyr, aware of the impact of its activities on the ecosystem and the importance of the conservation of biodiversity, adopts respect for these in the course of its projects and operations. Sacyr understands that such behaviour cannot be imposed from the outside, rather it should come from its own human team, as well as the other companies in its Group, as part of its culture of respect for the environment, encouraging everyone to embrace it in their working environment and also encouraging its protection on the part of different stakeholders. As a consequence, the protection of the environment and especially biodiversity is approached with a proactive attitude. For this reason, one of its strategy lines is aimed at different levels of the Sacyr organisation and other companies in the Group moving forward in the development of methods aimed at the conservation, the reestablishment and sustainable use of terrestrial ecosystems, putting a stop to the loss of biological diversity, the rehabilitation of degraded land, and the mobilisation and increase in financial resources for their conservation and use. 2. General Principles To ensure the implementation of its pledge to biodiversity, Sacyr and the other companies that belong to its Group shall follow the guidelines contained in the general principles below: a) Integrate the conservation of biodiversity and natural capital into the Group's strategy, making it an important element in decision-making, in phases of project tendering, execution and operation, and establishing objectives that ensure the responsible management of natural capital. b) Conserve and make sustainable use of biological diversity and natural capital. c) Protect species and habitats, both those that are under threat and those that represent a high value for biodiversity, through the adoption of preventive, minimising and improvement measures. d) Promote compensation for impacts generated by activities in biodiversity and, especially, on habitats and protected species. e) Encourage employee and collaborator training in responsible practices with terrestrial ecosystems and in the area of biodiversity. f) Promote knowledge and awareness in the area of biodiversity, collaborating with local communities, recovery centres, research centres, administrations and other interested parties, with the aim of conserving and protecting biodiversity. g) Encourage the enhancement of biodiversity and divulge news of actions undertaken by Sacyr for its conservation. This Biodiversity Policy was approved by the Board of Directors at Sacyr on June 11 2020.	<urn:uuid:aac5b80d-f71d-4bd3-b7ee-f623b26d8d2c>	CC-MAIN-2022-49	https://www.sacyr.com/documents/63048160/63077158/BIODIVERSITY%20POLICY_tcm30-45744.pdf/81669cf6-9bea-b71a-e3f4-27054550025b?1.0	2022-11-27T09:48:32+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-49/subset=warc/part-00211-a0906200-461b-4808-9b94-6c53daf73f61.c000.gz.parquet	1,042,174,834	577	eng_Latn	eng_Latn	0.98781	eng_Latn	0.990516	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2196, 3100 ]
Hausa and Swahili: A Common Arabic Heritage* Sergio BALDI University of Naples “L’Orientale” Tsakure Hausa da Suwahili su ne harsunan da suka fi yaduwa daga kudancin shara na Afirka. Mafiyawain al’umomin wadannan harsunan sun karbi addinin musulunci, saboda haka ne larabci ya yi tasiri matuka a kan harsunan. Sama da kashi talatin na kalmomin wadannan harsuna an aro su ne kai tsaye daga Larabci ko kuma an baddala su daga Larabci. Byan tasirin da aron kalmomin Larabci daga Al’kur’anî, akwai kuma wani aron da Hausa ta yi ta fuskar Larabcin gargaliya na mutanen Misra da wasu kare – karen Larabcin Magaribawa. Haka ma Suwahili ya yi irin wannan aro daga Larabcin gargaliya na Omaniyawa da Yamalawa. Saboda haka ire – iren wadannan kalmomin aro sun ƙara bunƙasa wadannan harsunan a dukkanin fannonin rayuwa, tunda yake shi Larabci harshe ne da tuni ya samu gatan rubutu. Wannan maƙala an nuna cewa a hanyoyi daban daban bayanan da aka gabatar sun fi karkata ne wajen nuna yadda kalmomin aro na Larabci suke tasarrufi a Hausa. A yayin da kalmomin aro na Larabci a Suwahili suke kusan kin sarrafuwa. Yawancin kalmomin aro an fi * In this paper, we use the following abbreviations: AR(rabic), BA(mbara), DA(gbani), DO(gon), FU(lfulde), HA(usa), KA(nuri), MA(ndingue), NU(pe), SA(ngo), SO(nghay), SW(ahili), WO(lof), YO(ruba). The transcription of Arabic is that one given by Wehr’s dictionary. As it concerns the other languages, the words are given according to the writing system used in dictionaries quoted in references, except for Hausa, given in the scientific transcription usually employed, which marks long vowels and tons, which are not marked in Standard Hausa, and Yoruba, where some corrections are made for words quoted from Abraham’s dictionary. In Hausa flapped r are not marked, on the contrary trilled r are given with an hyphen. Hausa and Swahili are the most widespread languages in Sub-Saharan Africa. Although they belong to linguistic phyla\(^1\), they have many features in common. Both are spoken outside a single state and are used as a communication medium in a very large part of West Africa, in the case of Hausa, and East Africa in the case of Swahili. Apart from their border crossing distribution, there is a further common factor in both languages, which lies in their heavy Arabic influence on them. Both languages were both first written in ajami, i.e. with the Arabic alphabet\(^2\). The acceptance of Islam by the majority of speakers of these languages has had such a great impact, that more than 30% of their lexicon is directly or indirectly borrowed from Arabic. Apart from classical Arabic, i.e. Arabic from the Koran, the main influence arrived from colloquial Arabic, i.e. from Egypt and some Maghrebinian dialects into Hausa and from Omani and Yemenite into Swahili. If we compare the loans which arrived into those languages, we see many astonishing similarities. Apart from the common loans related to the new religion (i.e. words related to law, customs, culture, etc.), one can find many words which substitute or --- \(^1\) Hausa is a Chadic language belonging to Afro-Asiatic phylum, whereas Swahili is a Bantu language, more specifically a member of the Sabaki subgroup of North East Coast Bantu (Nurse & Spear 1985: 46; Nurse & Hinnebusch 1993: 490-496). \(^2\) The earliest existent Swahili manuscript poem known to scholars is Utendi Wa Tambuka, an epic or heroic poem written in Pate for Fumo (Sultan) Laiti Nabhani, and is dated AD. 1728 (in the Library of the Seminar für afrikanischen Sprachen, Hamburg, No. 3554 H. 119). Hausa was comprisingly described first in a grammar by Schön in 1862. took over the old local ones, considered from that time on as vulgar: it is especially the case of words indicating some private parts of the body\textsuperscript{3}. So the loans enriched the local languages not only in the field of the new religion, but also in other spheres of their lexicon, since Arabic had the prestige to be a written language. In a work published in 1988, I compared most of the common Arabic loans in those languages and they were related to almost all semantic fields. Giving examples on these topics, I would like to examine some grammatical aspects of borrowings from Arabic. Grammar Article. In many cases the Arabic article is agglutinated in loans arrived into Hausa. Sometimes the forms with the article coexisted with those without it: \textit{miski}, \textit{almiski} (< \textit{misk} ‘musk’); \textit{tājiri}, \textit{attājiri} ‘wealthy person’ (< \textit{tājir} ‘merchant’), laifi and aibu. On this topics more examples are given by Baldi (1991: 84-85). On the contrary the article is nearly never agglutinated in Swahili loanwords. The examples are very few: \textit{alasiri} (< ‘\textit{ʿasr}’) ‘afternoon’; \textit{alfajiri} (< \textit{fajr}) ‘dawn’; \textit{alhaji} (< \textit{ḥājj}) ‘pilgrim’; \textit{Alhamdulillahi!} (< \textit{al-ḥamdu lillāh}) ‘praise be to God’; \textit{Alhamisi} (< \textit{kamīs}) ‘Thursday’. Adverbs. In Hausa adverbs are divided into several groups. Each group contains both primary and derivatory adverbs; the latter are formed in various ways. Among them there are some of Arabic origin: \textit{haka} (< \textit{hākadā}) ‘thus’; \textit{dōle} (< \textit{daula} ‘power’) ‘necessarily’; \textit{lābuddà} (< \textit{lā budda}) ‘doubtless, etc.’. As distinct grammatical or lexical items, adverbs hardly exist in Swahili\textsuperscript{4}. Most of them are derived from nouns, verbs or pronouns. \textsuperscript{3} It is the case of \textit{azakārī} ‘penis’ (< AR \textit{dakar}, cf. SW \textit{dhakari}). Robinson (1925: 23b) says: “a word used by educated men for \textit{būrā}”; or \textit{farjī} ‘vagina’ (AR < \textit{farj} ‘vulva’) at the place of \textit{dūrī}, \textit{gatō}, \textit{gūtsū}. \textsuperscript{4} Myachina (1981: 54). The non-derived adverbs are very small in number: among them most are borrowings from Arabic: afadhali ‘rather, better’ (< afḍal ‘better’); aghalabu, aghlabu (< aqlab) ‘usually’; baada (< baʿda) ‘after’; bado ‘not yet’ (< baʿdun ‘then; still, yet’); dahari ‘always’ (< dahr ‘time; age’); daima ‘perpetually’ (< dāʾim ‘lasting; perpetual’); dike, tike (< bi-diqqa) ‘exactly’; fauka, foko (< fauqa) ‘more’; ghafula ‘suddenly’ (< ḡafla ‘negligence’); hadhara ‘in public, before’ (< hadra ‘presence’); halafu ‘after a bit’ (< kalfu ‘back’); hasa ‘specially’ (< kāṣa ‘special’); hobelahobela ‘anyhow’ (< kabal ‘confusion’); hususa ‘expressly’ (< kuṣīsan ‘especially’); kadhalika ‘in like manner’ (< kadālīka ‘so, like so’); nusura ‘almost’ (< nazr ‘little’); salimini ‘safely’ (< salīm ‘safe’); sana ‘very much’ (< sanāʾ ‘brilliance’); sawia ‘then’ (< sawīya ‘equality’); tashili ‘quickly’ (< tashīl ‘facilitation’); wahedu ‘alone’ (< wāḥid ‘one; sole’); zamani ‘formerly’ (< zamān ‘time’). Conjunctions. In Hausa there are very few conjunctions of Arabic origin: lōkacin dà (< waqt ‘time’) ‘when’, sāʾad/sāʾan dà (< sāʾa ‘time; hour’) ‘when’. In Swahili there are no Bantu words which are basically conjunctions except NA which is composed of the -A of relationship and N- of association. There are, however, various ways of joining words and sentences (Ashton 1947: 197). Some are borrowings from Arabic: ama ... ama ‘either ... or’ (< a-māʾ ‘or?’); ili ‘in order that’ (< ʿalāʾ ‘according to’); kusudi ‘with the object of’ (< qaṣada v. ‘to intend’); wala ... ‘neither ... nor’ (< wāʾ-lau ‘even if, even though’). Numerals. In Hausa the decades are all Arabic-based (i.e. àshiřin, tālātīn, āṛbàʾin, hàmsin, sittin, sābàʾin, tāmānin, càsàʾin). There are also some higher numerals borrowed from Arabic which are less --- 5 Also tis(i)ʾin. commonly used, including: minyà ‘100’, mètan ‘200’, àřhàminyà ‘400’, and hàmsàminyà ‘500’, as well as the term for ‘zero’ (sifiri < sıfr). Where all the components of a compound numeral are Arabic borrowings, the Arabic conjunction wa is used instead of the Hausa word dà. In the first ten Swahili numerals three are of Arabic origin: sita ‘6’, saba ‘7’, tisa ‘9’. From 11 to 19 they coexist with the Bantu terms, but from 20 to 90, as well as the word for 100 (mia) and 1000 (elfu) they are all of Arabic origin. In such cases there is no concord. Prepositions. In Hausa very few prepositions are of Arabic origin: bilā ‘without’ (< bi-lā); hātā ‘even’ (< hattā). In Swahili there are no Bantu words which are basically prepositions (Ashton 1947: 195), so, among others, some words are borrowed from Arabic: bila ‘without’ (< bi-lā); hata ‘until, up to’ (< hattā). Arabic Nominal Loans The majority of loans is concentrated in the field of nouns. Here some examples are classified according to their semantic field. The large variety of semantic fields involved shows the enormous impact that Arabic had on these languages: NATURE: HA suràyyā, SW Thurea < AR turayyā ‘Pleiades’; HA bahār, bahārī, SW bahari < AR bahr ‘sea’; HA zaibā, SW zebaki < AR zi’baq ‘quicksilver’; HA zābib, SW zabibu < AR zabīb ‘raisin(s)’; HA alḥānzir, SW hanziri < AR kinzir<sup>6</sup> ‘pig’; MAN AS A PHYSICAL BEING: HA sautī, SW sauti < AR saut ‘sounds, voice’; HA albārās, barās, SW barasi < AR baras; HA lāfīyā, SW afya, afīa < AR ‘āfiya ‘(good) health’; HA ḥalāwā, SW halua < AR --- <sup>6</sup> The standard word for ‘pig’ in Swahili is nguruwe. Hanziri seems for me to have a connotation of moral disapproval. halwā ‘sweet’: HA jubbā, SW juba < AR jubba ‘jubbah’; HA laimā, SW hema < AR kaima ‘tent’; MAN AS A SPIRITUAL BEING: HA bāyānī, SW bayana < AR bayān ‘explanation’; HA azīnā, SW adha < AR adāh, adīya; HA lāhīrī, SW taahira < AR ta‘kīr ‘delay’; HA izīnī, SW (i)dhinī < AR iḍn ‘permission’; HA kalma, SW kalima < AR kalima ‘word’; HA hikāyā, SW hekaya < AR hikāya ‘story, tale’; HA hikāyā, SW hekaya < AR hikāya ‘story, tale’; HA imāmī, limān, SW imamū < AR imām ‘imam; leader’; MAN AS A SOCIAL BEING: HA ajālī, SW ajali < AR ajal ‘deadline’; HA zūri ā, zūriyā, SW dhuria < AR durrīya; HA ladābī, SW adabu < AR adab ‘good manners’; SOCIAL ORGANIZATION AND POLITICS: HA asalī, SW asili < AR asl ‘origin’; HA tūhumā, SW tuhuma < AR tuhma ‘suspicion’; HA jāsūsī, jāsūsi, SW jasusi < AR jāsūs ‘spy’; HA kāmūs, SW kamusi < AR qāmūs ‘dictionary’; HA bikārī, SW bikari < AR bikār ‘compass’; HA fā‘idā, ʿalfā‘idā, SW faida < AR fā‘ida ‘profit’; HA himilī, hamālī, SW himila < AR himl, haml ‘load’; NATURAL LAWS: HA sāwā, SW sawa < AR sawā ‘equality’; HA jimlā, SW jumla < AR jumla ‘sum’; HA mahallī, SW mahali < AR mahall ‘space’; HA zāmānī, SW zamani < AR zamān ‘time’; Arabic Verbal Loans In contact between two languages the majority of loans is generally from nouns - and verbs are very few. But in the case of these two languages we can observe, that the number of verbal loans is quite frequent. For Hausa, as a Chadic language, which is genetically is related to Arabic, it is not so unexpected to find many verbal loans, but for Swahili, a Bantu language, it is quite surprising to find such a --- 7 The word comes into Hausa through Kanuri läima ‘tent’, see Baldi (1992: 11). 8 In Swahili it can be a noun and a verb. 9 This variant, , arrived through Kanuri limān ‘imam’, see Baldi (1992: 12). great number of loans; sometimes in double forms of loans: safara “to travel” gives -safiri v. “to travel” and safari n. “journey”. Here some examples are given: \| Arabic \| Hausa \| Swahili \| English \| \|--------------\|-----------\|----------\|-----------------------------------------------\| \| țalā \| dàlàyà \| -taliza \| AR ‘to paint’ \| \| \| \| \| HA ‘to pare’ \| \| \| \| \| SW ‘to plaster’ \| \| ġayyara II \| gayyàrā \| -ghairi \| ‘to change’ \| \| waṣafa \| wassāfā/ \| wasifu \| AR-SW ‘to describe’ \| \| \| wassāftā \| \| HA ‘to explain’ \| \| ʻaraḍa \| ʻaralā \| -aridhia \| AR-HA ‘to happen’ \| \| \| \| \| SW ‘to explain’ \| \| ʻaliqa taʻallaqā V \| tāʻallakā/ ʻallakā \| -aliki \| AR-SW ‘to hang’ \| \| \| \| \| AR-HA ‘to be devoted; to be dependent’ \| \| kalifa kallafa II \| kallāfā \| -kalifu \| AR ‘to charge’ \| \| \| \| \| HA ‘to impose sth. on s.o.’ \| \| \| \| \| SW ‘to trouble’ \| \| kamala takāmala VI \| kammālā/ kamāltā \| -takamali \| AR-HA ‘to complete’ \| \| \| \| \| SW ‘to trouble’ \| \| balāga \| bālaga \| -balehe \| ‘to reach puberty’ \| \| halaka I hallaka II \| hālakā/ hallākā \| -hiliki \| AR-HA ‘to perish; to die’ \| \| \| \| \| SW ‘to be destroyed’ \| \| salima sallama II \| sallāmā \| -salimu \| AR-SW ‘to surrender’ \| \| \| \| \| HA ‘to give in’ \| \| FSR \| fasārā \| -fasiri \| ‘to explain’ \| \| FLS hallasa II \| fallāsā \| -filisi \| AR-SW ‘to declare bankrupt’ \| \| \| \| \| HA ‘to squander’ \| \| RTB rattaba II \| rattābā \| -ratibu \| ‘to arrange’ \| Arabic Adverbial, Conjunctional and Prepositional Loans Here few examples of common Arabic loans of these two languages can be observed: \| Word \| Meaning \| AR-HA \| AR-SW \| \|--------\|---------\|-------\|-------\| \| abadan \| for ever and ever \| never \| \| illā \| except \| \| \| \| au \| or \| whether ... or \| \| bi-lā \| without \| \| \| \| lā budda\| definitely \| perhaps \| \| bas \| only \| well; it is enough \| \| bal \| but \| used to intensify a contradiction \| \| hattā \| even \| \| \| sawīya \| equality \| at that time \| \| qatū \| ever; never \| \| \| ka-dā \| such and such \| \| \| ka-mā \| as, such as, like \| similarity, appearance \| \| lā \| no \| \| \| lākin \| but \| \| 10 See Roth-Laly (1969: 50b). 11 See Bargery (1934: 67b). 12 See Robinson (1925: 363a). 13 Bargery (1934: 586b) gives: kātsū. 14 The word is found in Sacleux’ dictionary. \| \| \| \| HA ‘for’ \| \|----------------\|----------------\|----------------\|---------------------------\| \| matalan \| masalan \| mathalan \| ‘for example’ \| \| na’am \| nà’am \| naam \| ‘yes’ \| \| wa-lākin (dà) \| wàlākin \| walakini \| AR-SW ‘but, however’ \| \| \| \| \| HA ‘there’s more than \| \| \| \| \| meets the eye’ \| Differences Hausa has received loans relatively early and not only from (classical and spoken) Arabic, but also via some local West African languages like: Bambara, Fulfulde, Kanuri, Mandingo, Songhay, Tamasheq, etc. - Hausa wàllafà v. < Fulfulde wallifa v. < Arabic alīfa v. (II) ‘to compose’; - Hausa lādī¹⁵ < Kanuri lādə < Arabic al-ahad ‘Sunday’; - Hausa lāhirà ‘the Next World’ < Kanuri lāira ‘the Next World’ < Arabic al-ākira ‘the hereafter’; - Hausa lardī ‘district’ < Kanuri lárda ‘earth; country’ < Arabic arḍ ‘earth; land’; - Hausa limān¹⁶ < Kanuri limān < Arabic imām ‘imam’; - Hausa lāyà¹⁷ ‘written charm’ < Kanuri láya ‘amulet, charm’ < Arabic āya ‘Koranic verse’; - Hausa wànzāmī ‘barber’ < Songhay wànzām ‘barber’ < Tamasheq wahaẓẓam ‘barber, cupper’ < Arabic hajjām ‘cupper’. On the contrary Swahili has received loans from Arabic and other oriental languages, like Persian, but no Arabic loans entered through any local language. The reason probably lies in its pre-eminent role in the region. The majority of Arabic loanwords entered the language --- ¹⁵ In Hausa there is also: lahàdī, arrived directly from Arabic. ¹⁶ In Hausa there is also: imāmī, arrived directly from Arabic. ¹⁷ In Hausa there is also: āyà ‘verset (surt. du Coran)’, arrived directly from Arabic. relatively recent; most date back only as far as the period of Omani Arab domination in the 18th and 19th centuries respectively (Nurse & Hinnebusch 1993: 315): Swahili balozi ‘ambassador’ < Turkish balyos, balyoz¹⁸ ‘consul of Venice’; But both languages, Hausa and Swahili, spread Arabic words into other neighbouring languages: Hausa as a medium of spreading Arabic Loans Hausa has got many loans from Arabic (few through Fulfulde, Kanuri, Songhay, Tamasheq, etc.), but it was also a donor languages: Arabic al-ahad ‘Sunday’ > Hausa lāḍī¹⁹, lahāḍi > Buli alaadi, laadi; Gurenne lasere daare, tahere daare; Vagla alaadi; Arabic ammā ‘but’ > Hausa àmmā > Dagbani amaa; Gade àmá; Gurenne ama; Songhay almāā; Vagla ama; Arabic baṣal ‘onion(s)’ > Hausa àlbasâ > Buli alabasa; Busa àlubásàn; Dagbani albasa; Gurenne alabasa; Vagla alibaasa; Yoruba àlùbọsà; Arabic talāḍī ‘Tuesday’ > Hausa tālāḍà > Buli talaata; Gurenne attalaata daare; Vagla atalaata; Yoruba àtálàà; Arabic al-itnain ‘Monday’ > Hausa littinūn > Buli tani; Gurenne attanii daare; Vagla atenee; Yoruba àtìnì; Arabic jum’a ‘Friday’ > Hausa jummaʾà > Buli azuma; Gurenne azuma daare; Kotoko jämawà; Vagla alajima; Yoruba jímọ; Arabic akbār pl. ‘news’ > Hausa lābārī > Buli labaari; Dagbani lahabali; Gade lābārī; Songhay lābbāāRi; Yoruba lābārī; Arabic duniyā ‘word; earth’ > Hausa dūniyā > Buli duninya; Dagbani dunia, duniya; Gade düniyā; Gurenne dunia; Vagla dunia; Arabic zakāh ‘alms tax (Isl. Law)’ > Hausa zākkā, zākā, zakkā > Dagbani zaka; Yoruba sáká. --- ¹⁸ The Turkish word is coming from old Italian balio (see: New Redhouse Turkish-English dictionary. Istanbul 1968: 129). ¹⁹ Via Kanuri lāḍo. Swahili as a medium of spreading Arabic Loans Swahili was not only receiving Arabic loans, but it was also a donor language. Many Bantu and non-Bantu languages have received Arabic loans in the area via Swahili: Arabic barwa ‘waste, scrap’ > Swahili barua ‘letter’ > giKuyu marua ‘letter’; luGanda ‘bbàluwà ‘letter’; Madi bàriùà ‘letter’; Arabic bunduqīya ‘rifle, gun’ > Swahili bunduki ‘gun, rifle, musket’ > giKuyu bundūki, bindūki ‘rifle, gun’; luGanda ‘mmûndu ‘gun, rifle’; Madi mundiukì, bundūki ‘gun’; Arabic kaima ‘tent’ > Swahili hema ‘tent’ > giKuyu hema ‘tent’; luGanda weemà ‘tent’; Madi kémà ‘tent’; Arabic daqīqa ‘minute (time unit)’ > Swahili dakika ‘minute’ > giKuyu ndagika, ndakinga ‘a minute’; luGanda ‘ddakiika ‘minute’; Madi dákikà ‘minute ; one minute ; a moment’; Arabic sāʾa ‘while; hour; timepiece’ > Swahili saa ‘time; watch’ > liNgala sâ (sáa) ‘watch’ > Sango sàà ‘watch’; Arabic māl ‘money’ > Swahili mali ‘wealth’ > Ila madi ‘money’; Ndonga oshimaliwa ‘money’ (via Nama); Shona mari ‘money (cash)’; isiXhosa imali ‘money’; Arabic qahwa ‘coffee’ > Swahili kahawa ‘coffee’ > liNgala káwa ‘coffee’ > Sango kávà ‘coffee’; Arabic qartas ‘paper’ > Swahili karatasi ‘paper, a piece of paper’ > Acholi kàrtaci ‘sheet of paper’; Arabic kūfīyā/kaffiyeh > Swahili kofia ‘fez’ > Acholi kòfìà ‘tarboush’. Although the grammatical structure of the language has been unaffected by its contact with Arabic, the phonological system has absorbed some Arabic sounds along with the borrowed vocabulary (Contini-Morava 1997: 842). Swahili has being one of the first languages in Africa to be appointed as a national language in Tanzania (1967) and Kenya, has increased its role, even outside the national boundaries, so that in a near future, without any doubt, it will continue to spread Arabic loans. References Abraham, Roy Clive. 1958. Dictionary of Modern Yoruba. London. University of London Press. ———. 1962. Dictionary of the Hausa language. London. Hodder and Stoughton. Ashton, E.O. 1947. Swahili Grammar (Including Intonation). London: Longman. Baldi, Sergio. 1988. A First Ethnolinguistic Comparison of Arabic Loanwords Common to Hausa and Swahili. Supplement n. 57 to AIQN, Vol. XXXXVIII (4). ———. 1992. “Arabic loanwords in Hausa via Kanuri and Fulfulde”: 9-14 in E. Ebermann, E.R. Sommerauer und K.É. Thomanek (ed.), Komparative Afrikanistik (Festschrift Mukarovsky). Beiträge zur Afrikanistik, Band 90. Wien. Veröffentlichungen der Institute für Afrikanistik und Ägyptologie der Universität Wien. ———. 2007. Dictionnaire des emprunts arabes dans les langues de l’Afrique centrale et orientale (personal database). ———. 2008. Dictionnaire des emprunts arabes dans les langues de l’Afrique de l’Ouest et en swahili. Paris: Karthala. ———. 2009. “Swahili”, in Encyclopaedia of Arabic Language and Linguistics, Vol. IV. Leiden: Brill (forthcoming). Johnson, Frederick. 1939. A Standard Swahili-English Dictionary. London-Oxford: O.U.P. Lodhi, Abdulaziz Y. 2006. “East Africa”: 660-666 in Encyclopaedia of Arabic Language and Linguistics, Vol. I (A-Ed). Leiden: Brill. Nurse, Derek, and Thomas Hinnebusch. 1993. Swahili and Sabaki: A Linguistic History. Berkeley and Los Angeles: University of California Press. Nurse, Derek, and Thomas Spear. 1985. The Swahili: Reconstructing the History and Language of an African Society, 800-1500. Philadelphia: University of Pennsylvania Press. Robinson, Charles Henry. 1925. Dictionary of the Hausa language, I. Hausa-English. Cambridge. C.U.P. Schön, James Frederick. 1862. Grammar of the Hausa Language. London: Church Missionary House. Wehr, Hans. 1966. A Dictionary of Modern Written Arabic, edited by J. Milton Cowan. Wiesbaden-London. Otto Harrassowitz.	<urn:uuid:272c7274-86b5-4e4a-a966-3c3b739cf715>	CC-MAIN-2021-43	https://unora.unior.it/retrieve/handle/11574/32768/1303/BALDI.pdf	2021-10-21T02:53:43+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-43/subset=warc/part-00160-16202947-a809-4711-8221-79ab0a79d5b1.c000.gz.parquet	676,848,699	7,495	eng_Latn	eng_Latn	0.493514	eng_Latn	0.659319	[ "hau_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "lvs_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "yor_Latn", "eng_Latn", "dag_Latn", "eng_Latn" ]	false	docling	[ 1849, 3660, 5889, 7859, 9685, 11493, 14004, 14935, 16855, 18668, 20419, 22194, 22521 ]
U.S.D.A., Agricultural Research Service Sheep Experiment Station – Montana Water Rights Compact Summary The Montana Reserved Water Rights Compact Commission was created by the Montana Legislature in 1979 to act on behalf of the State and its water users to settle the water rights associated with reserved federal land, such as the U.S. Sheep Experiment Station. The Commission (now inactive after finishing negotiations surrounding 18 compacts) is composed of nine members. Four members are appointed by the Governor, four members are legislators (two from the House and two from the Senate), and one member is appointed by the Attorney General. The Commission negotiates with federal agencies and Indian tribes that claim federal reserved water rights within Montana. A federal reserved water right is a right to use water under federal law based on a Congressional act or treaty that reserved lands for a specific purpose. In this case, the portion of the U.S. Sheep Experiment Station in Montana was set aside by Executive Order No. 3767 for "agricultural experiment" purposes. Most of the lands in the U.S. Sheep Experiment Station, managed the Agricultural Research Service, are in Idaho and were quantified as part of the Snake River adjudication. The negotiated settlement quantifies the federal reserved water rights for the U.S. Sheep Experiment Station in Montana as summarized below. The priority date for all reserved water rights for the U.S. Sheep Experiment Station in Montana is December 19, 1922. The Compact recognizes federal reserved water rights in three categories, existing uses, future uses, and emergency fire suppression. Existing Uses * The U.S. Sheep Experiment Station currently uses up to 11.72 acre-feet per year from surface water for stock water use. Future Uses * Up to a total of an additional 15 acre-feet per year. The future uses may be for stock water or for administrative uses. (Administrative uses could include water for domestic use, to conduct research, dust abatement, reclamation or other administrative purposes from surface or groundwater to fulfill the purposes of the U.S. Sheep Experiment Station. Emergency Fire Suppression * Emergency Fire Suppression, as needed.	<urn:uuid:be74177e-7c78-4289-9fe0-5d0870f80685>	CC-MAIN-2017-17	http://dnrc.mt.gov/divisions/reserved-water-rights-compact-commission/docs/compact-summaries/2017-01-24_sheep-station-fact-sheet_updated_jh.pdf	2017-04-26T21:23:24Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-17/segments/1492917121665.69/warc/CC-MAIN-20170423031201-00509-ip-10-145-167-34.ec2.internal.warc.gz	109,195,493	442	eng_Latn	eng_Latn	0.995047	eng_Latn	0.995047	[ "eng_Latn" ]	false	rolmOCR	[ 2236 ]
Mite/8U Tournament December 31 - Tulsa, Oklahoma January 2 December 31 - January 2 Registration Deadline 12/1 for 8U/Mite Red, White & Blue Teams 5 Game Guarantee Half-Ice Games Trophy for 1st Place Medals for 1st, 2nd, 3rd Swag Available Hospitality Baskets $695 per team Limited spots available! Onsite Jewelry and more! Learn More: TulsaJrOilers.com & @tulsawinterclassic Stay to Play Tournament Hotel Information will be emailed to Team Managers. USA Hockey sanction number pending Questions? Contact Sarah for questions: [email protected]	<urn:uuid:a63a4bc4-c32f-4f7f-9721-1d90e323528c>	CC-MAIN-2021-49	https://cdn1.sportngin.com/attachments/document/83b6-2530185/Tulsa_Winter_Classic_2022__3___1_.pdf	2021-12-01T16:32:19+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00013-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet	233,211,520	157	eng_Latn	eng_Latn	0.93329	eng_Latn	0.93329	[ "eng_Latn" ]	false	rolmOCR	[ 577 ]
Hyndburn Borough Council's Pavement Cafe Licensing Policy October 2020 Contents 1. Introduction Alfresco eating is becoming a more widespread aspect of urban life and the presence of tables and chairs on the pavement can make a positive contribution by adding vitality, colour, life and interest to an area. Hyndburn Borough Council supports and encourages the provision of pavement cafes in the borough? as they can help maximise the use of public spaces, aid the local economy and add to the facilities offered to people who visit, live, and work in Hyndburn. Tables and chairs placed on the highway without permission can be illegal as they could amount to an obstruction. However, permission to use the highway for pavement cafes may be granted by the Council under Section 115E of the Highways Act 1980. Accordingly, whilst the Council wishes to encourage pavement cafes, it is important that they are properly located and managed. This is to ensure that they meet the standards we expect in Hyndburn and that they do not obstruct the highway nor create a hazard for pedestrians, especially for blind, partially sighted and other disabled people. The area to be used must take into account other needs in the immediate vicinity e.g. kerbside parking, bus stops and pedestrian crossings. Pedestrians' needs must be paramount. The expanse of the pavement cafe must not conflict with any access or dropped crossings that are required for free passage of normal road users. Barriers and tapping rails should be positioned and maintained to the satisfaction of Hyndburn Council and should be totally removed outside the permitted hours of operation of the cafe, restaurant or bar. The pavement cafe is normally expected to be in an area directly in front of and be visible from the existing premises. Emergency exit routes, including those of adjacent buildings, should not be obstructed by the pavement cafe and emergency service vehicles must have access along all streets at all times, even in pedestrianised streets. In general, all parts of the highway may be used for Pavement Cafe's, assuming all safety and non-obstruction requirements are met. The exceptions are: - Any carriageway or 'shared use surface' - Any highway verge - Where width of the pavement makes it impractical. - Where authorised street furniture makes it impossible Licences will not normally be granted where; - A significant effect on road safety would arise either from the siting of the tables and chairs, or from customers visiting or leaving the licensed area, or - Where there are concerns over the recorded level of personal injury accidents in the locality where the tables and chairs will be sited, or - There would be a significant loss of amenity caused by traffic, noise, rubbish, potential for the harbourage of vermin, odour or fumes, or - There is a conflict with Traffic Orders, such as waiting restrictions, or - The site obstructs either pedestrian or vehicular access, or traffic flows, or places pedestrians in danger when in use, or - The tables and chairs obstruct the safe passage of users of the footway or carriageway, or - The area to be licensed interferes with sight lines for any road users such as at road junctions, or pedestrian crossing facilities, or - The site does not allow the licence holder, staff and customers to park in a safe manner, or - The trading activity is carried out after dusk and the site is not adequately lit to allow safe access and egress from the site for both customers and staff. - The existing toilet and washing facilities are not adequate to accommodate an increased number of customers using the pavement cafe, or - The Council is not satisfied that applicants have made satisfactory arrangements for the storage and collection of all refuse associated with their business or - The Council is not satisfied that applicants have made satisfactory arrangements for the storage of all tables and chairs off the highway without impeding any access or egress from the premises. In considering the above matters, the standard guidance will be that a licence will only be issued if an unimpeded pedestrian route can be maintained at all times. The route shall ensure that all pedestrians and particularly those with a disability can maintain their normal path where feasible. All applications will be considered on their own merits. Pavement cafe licences will only be issued to cafes, restaurants, public houses or other catering establishments that serve food and drink within the premises. The Council will carry out periodic inspections to make sure that all the terms and conditions of the licence are being observed. A pre-licensing visit will be made to each premises upon receipt of an application for the granting, renewal or variation of a pavement cafe licence, to discuss the application process, the proposed operation of the cafe etc. to provide advice and information to the applicant. Once the pavement cafe licence has been issued, a further visit will be made to the premises to review the practical day-to-day operation of the cafe. An additional visit may also be undertaken to ensure the premises is meeting licence conditions. 2. Legal Framework and Controls Permissions to use the highway for pavement cafes are granted by the issue of licences by Hyndburn Borough Council (the Council) under Section 115E of the Highways Act 1980. Tables and chairs placed on the highway without permission are an illegal obstruction and the Council will take enforcement action in such cases. A fine of up to £1,000 can be levied by a Magistrates' Court for committing an offence of obstructing the highway. Granting a licence to operate a pavement cafe does not imply an exclusive right to the area. The operator of the cafe should be aware that the Council reserves the right to gain access to the cafe area for cleaning, repairing and maintaining the highway or street furniture. Other statutory organisations may also require access for maintenance and repair of their equipment. The Council therefore reserves the right to suspend the licence temporarily if, for any reason, it becomes necessary. If it appears to the Council that a person to whom they have granted a permission under Section 115E above, has committed any breach of the terms of that permission, they may serve a notice requiring that such steps are taken to remedy the breach as are specified in the notice within such time as is so specified. If a person who is served a notice fails to comply with the notice the Council has the power to take whatever steps are necessary, themselves. Where the Council has incurred expenses in the exercise of the power, then those expenses, together with interest at a reasonable rate, may be recovered by the Council from the Licence holder. Under the terms of the Highways Act 1980, the Council cannot grant permission unless it obtains the express consent of interested frontages that may be materially affected by the proposal. (Section 115A(7) of the 1980 Act states that "frontages" means: "the owners and occupiers of any premises adjoining the part of the highway on, in or over which facilities for recreation or refreshment or both, have been, are being or would be provided.) For express consent to be required, the frontage would have to be affected by the placing of the structure etc. between his own frontage and the highway, rather than a structure adjacent to his own frontage. The Pavement Cafe must operate in accordance with the conditions of the licence. Any breach of the conditions may lead to action by the Licensing Section to revoke or refuse a licence in the future. The Council will not permit any wheeled refuse containers, beer kegs, bottle crates on or adjacent to the pavement cafe area. The barriers, table, chairs, and layout shall be as agreed by the Council and conform to the plan at all times. The premises should not place A boards or advertising signs or any other unsightly or unapproved items adjacent to the area. The Licence holder shall make no claims or charge against the Council in the event of the street furniture being lost, stolen or damaged in any way from whatever cause except where the same is attributable to negligence on the part of the Council or any of its officers. If for whatever period or reason a public liability insurance policy is not in force, the Council shall be deemed to have withdrawn this Licence for the period during which the said policy is not in force and the licence holder may be held liable for obstruction of the highway and prosecution under Section 137 of the Act. The licence holder shall not cause or undertake any alterations to the highway surface. The licence holder shall not assign, sub-let or part with his interest or possession of a licence. The Council may suspend or terminate a licence if any of the conditions of the licence are breached. The licence does not take precedence over Police powers to preserve public order. 3. Private Land This policy relates only to pavement cafes on a public highway. Cafes on private land are not covered by this policy. However, although a pavement cafe on private land may not need a licence, it may require planning permission if the structures and fittings are not of a temporary nature. Land that might be private may in fact have become part of the highway if the public have enjoyed access over it for at least twenty years or if the Council has formally adopted the land. Before proceeding, it would be wise to check with Council Planning Services to establish if planning permission is necessary. 4. Right of Access Authorised Officers of the Council and Police Officers shall have access to a pavement cafe at all reasonable times. 5. Advertising Advertising of alcoholic or smoking products or their manufacturers will not be permitted on the barriers or furniture within the Pavement Cafe area. Advertising may only relate to the premises or business and will require the approval of Hyndburn Council. 6. Designing the Pavement Cafe The size and layout of the proposed Pavement Cafe will be dependent upon the characteristics of the site outside of the premises particularly the space available taking into account the needs of other users and it is not appropriate for this Policy to set a standard size for the Pavement Café. Plans will need to be submitted with an application and shall be drawn to scale and must include: - An up-to-date location plan (1:1250 scale) showing the outline of the premises and the proposed location of the street cafe; - Site layout plan (1:100 or 1:50 scale) showing the proposed boundary, kerb and building lines, enclosure barriers, points of access, table and seating layout, location of parasols, heaters etc. The layout of furniture and means of enclosure will only be approved if adequate provision has been made for customers with disabilities. The Pavement Cafe should: - occupy an area directly in front of the Applicant's premises; - be visible from these premises; and - Not extend beyond the width of its frontage (unless in exceptional circumstances and granted by Licensing Authority). Emergency routes from adjacent buildings and the Applicant's premises should not be obstructed by the Pavement Cafe. If the emergency services object to the proposal on safety grounds, it is very likely that the Council will refuse it. 7. Minimum Unobstructed Space Criteria On a normal street, there must remain at least 1.8 metres of unobstructed space between the carriageway and the front of the pavement cafe to allow pedestrians to pass by safely. On streets with high pedestrian usage, there must remain at least 2.75 metres of unobstructed space. Each case will be judged on its merits and the unobstructed space will be set between 2.0 and 2.75 metres according to the frequency of pedestrian usage and other relevant parameters. This requirement may however be waived by the Council in certain locations but ultimately, the decision will be made on safety grounds. 8. Lighting The Applicant for a pavement cafe licence should, if intending to open beyond dusk, carefully consider the level of lighting in the proposed pavement cafe area. Whilst street lighting may be perfectly adequate for a public highway, it may need supplementing to allow the pavement café to operate safely. Any additional lighting equipment and supply must be specified in the application to enable its impact upon the highway to be considered. 9. Tables and Chairs Tables and chairs shall be of a neutral colour scheme e.g. chrome, brushed aluminium, black, brown, beige, grey or white, with natural or neutral stained timber or wicker detailing; all must be fitted with rubber feet to reduce noise when moving and damage to paved surfaces. The Council reserves the right to reject applications where inappropriate furniture is proposed. So it is advisable to discuss furniture proposals with the Planning Section before any furniture is purchased. Full details of proposed furniture will be required upon submission of the application, including metric dimensions and material and a photo or drawing. When choosing furniture regard needs to be had of the highway surface on which it will stand uneven or sloping surfaces may require more sturdy styles of furniture and tables and chairs with narrow or thin legs may cause damage to certain paving, hours of proposed furniture, accompanied with photographs or drawings. 10. Parasols/ Umbrellas If parasols are to be used, then their metric dimensions, materials and colour must be specified as part of the application and their proposed locations shown on the site layout plan. Parasols, when opened, should be safely secured and contained entirely within the boundaries of the street cafe to ensure they do not cause an obstruction or present a danger to any user of the street cafe or any other users of the highway. The design and colour of parasols will not be restricted to a particular type but they should be made of high quality materials and fabric and be of a uniform design and colour. Garden style umbrellas are not acceptable. The base of the parasol must not cause a trip hazard in the street cafe area. No canopy or umbrella shall be lower than two metres in height. The only advertising permitted on parasols is the name of the cafe/ business. Such advertising must not be too dominant and should not detract from the appearance of the building and its setting, especially in conservation areas. Parasols advertising alcohol or tobacco will not be allowed. Canopies, awnings, blinds etc. which are to be attached to the building may require advertisement consent or planning permission. Advice should be sought from Planning Services. See the contacts section at the end of this guide. 11. Space Heaters If space heaters are to be used, then their metric dimensions, materials and colour must be specified as part of the application and their proposed locations shown on the site layout. In considering an application, the Council will have regard to the inherent safety of the equipment, its location, storage of Liquid Petroleum Gas cylinders, maintenance and training arrangements. Applicants will be required to submit a formal risk assessment as required by the Management of Health and Safety at Work Regulations 1999. This should be carried out by a competent person (someone who has knowledge of the law, British Standards, and Health and Safety Executive Codes of Practice and Guidance). The Council will consider the adequacy of the risk assessment which must: - Identify the hazards e.g. fire, explosion, burns, impact from falling equipment / cylinders - Decide who may be harmed and how - Record findings - Evaluate the risks and decide whether proposed precautions will be adequate or whether more could be done. - Review assessment and revise if necessary. 12. Barriers Barriers or other means of enclosure are required in order to ease/ guide pedestrian movement, guide the visually impaired, protect users of the facility and mark the boundary of the licensed area. The agreed street cafe boundaries shown on the plan that will be attached to the licence, if successful, must be adhered to at all times. The boundaries are required to be enclosed by either barriers or planters. These must be portable. It is essential that the means of enclosure is fit for purpose and suitable for the terrain in which that the pavement cafe operates. Should the Council deem barriers unsafe, we may ask that the tables and chairs be removed until suitable barriers are provided. The means of enclosure must: - Be stable and sturdy for all weather conditions the pavement café will operate in, including windy conditions: additional weights may be necessary to ensure barriers remain stable and secure; - Not contain protruding parts; - Have a tapping rail along the bottom of the barrier that visually impaired pedestrians can use to navigate around the street café using a stick; - Only display the name of the café/ business. They must not be used to advertise products or services. No alcohol advertising or tobacco is permitted. Proposed details of means of enclosure must be provided with the application. - Hoops or post and chain type barriers and low-level objects will not be acceptable. Barriers must not be permanently fixed to the ground where this is public highway 13. Managing the Pavement cafe & Insurance The licensee will be required to indemnify the Council against all actions, demands, costs, charges or expenses arising from using the highway under the permission granted. The Council will, therefore, require the licensee to take out third party public liability insurance in the sum of at least £5,000,000. 14. Hours of Operation Hours of operation will be determined on the application merits; although the following maximum hours will apply; The Licensing hours for street furniture will only be granted between the hours of 9:30hrs to 21:00hrs. All furniture should be removed between the hours of 21:00hrs to 9:30hrs unless the premises are licensed under the Licensing Act 2003 (for sale of alcohol). In this case, barriers can remain in place until either when the premises close, or no later than 04:00hrs to create a "smoking area". No furniture other than space heaters, parasols should be present in the "smoking area" and neither alcoholic drinks nor glassware should be present in this "smoking area" after 21:00hrs. The smoking area will be required to be covered by CCTV and by SIA door staff and comply with smoking regulations. Licences are granted for a maximum of one year and are renewable annually. Licences for new sites will be subject to a three month probationary period. The Licence shall be displayed in the window of the premises to which it relates. A copy of plan must be kept on the premises at all times and be available for inspection. When the area of a street cafe has been agreed, a definitive plan of the area showing the boundaries and the dimensions will be attached to, and form part of, the Licence. 15. Granting of a licence A Pavement Cafe Licence ('the Licence') is granted by Hyndburn Borough Council ('the Council') as the licensing authority for the Hyndburn Borough. Applications should be submitted by the prospective Licensee. A pavement café licence permits the approved Licensee to operate a pavement cafe serving food and beverages within a defined area ('the Licensed Area') and to a defined list of general conditions regarding use as set out at Appendix 1 of this document. Notice of any application for a new licence shall be displayed in the window of the premises to which it relates for a period of no less than 28 days. These notices set out details of the proposals and invite representations to be made by people who may be affected. If no objections are raised, the Licence will be granted within 5 working days, if an objection is raised, the delegated Service Manager will be required to determine the application within 20 working days. A copy of the required application form is attached at Appendix 2. Appendix 1 Conditions Attached to a Pavement Licence Please note that these conditions are not an exhaustive list, and each application will be considered on its own merits and individual, specific conditions may be attached where deemed appropriate. General 1.0 The Licence will have effect for 12 months, unless surrendered or revoked earlier. 2.0 The issue of a Licence does not give, or imply any permission to supply intoxicating liquor in the street. 3.0 The Licence shall be displayed in the window of the premises to which it relates. 4.0 The use of the Licensed Area shall cease before 21.00 hours each day and shall not commence prior to 09.30 hours. 5.0 The Licensed Area shall be vacated immediately if requested by the Council, Lancashire County Council as Highway Authority, Lancashire Constabulary or other emergency service, statutory undertaker etc. without any liability for compensation, refund of application fee, or damage arising. 6.0 The Council reserve the right to request the clearing of the Licensed Area if required for special one-off events for public safety 7.0 The Licence shall be rendered invalid, should the Licensee cease to own the premises or cease employment. 8.0 The Licensee shall indemnify the Council and shall produce to the Council's Licensing Manager for inspection a policy of insurance indemnifying himself and the Council against any injury or damage to any person or property and against any claim liability expense or damage arising by reason or in consequence of the permission granted. The policy shall provide cover of not less than £5,000,000 in respect of any one accident or series of accidents arising from one incident unlimited during the period of the insurance. 9.0 Where the Council has received representation from the Lancashire Constabulary or an authorised officer of the Council, and believes that any breaches of conditions are serious enough in nature to warrant it, and could lead to public disorder, or affect public safety, revocation or suspension of the permission may take immediate effect. 10.0 Upon expiry or revocation of the permission the Licensee shall remove any structures from the highway and reinstate the highway to its former state and condition and in default thereof, the Council will be empowered to carry out such work of reinstatement and recover the expense in so doing from the Licensee. Operational 11.0 For streets with footways and carriageways, the maximum width of any licensed area shall not exceed one third of the usable width of the footpath. A minimum unobstructed footpath width of 1.8 metres must be provided for safe and convenient pedestrian movement. This distance being, measured from the edge of the licensed area to any significant amount of street furniture (such as lamp posts, bollards, parking meters etc.). Where there is a heavy pedestrian flow additional footpath space may be required. 12.0 For pedestrianised streets a minimum width of 1.8 meters or two thirds of the total width of the public highway, whichever is the greater, must remain free and unobstructed to facilitate pedestrian movement. This figure may be increased where there is a heavy pedestrian flow. The unobstructed route shall fall equally either side of the centre line of the highway to ensure the space available for tables and chairs is shared equally between premises on each side of the street. 13.0 A clear direct pathway of at least 1.2 metres wide shall be maintained to allow entry and exit from building premises. 14.0 Only the Licensed Area shall be used for trading. 15.0 Where tables and chairs are proposed directly outside a shop front, a well designed and constructed physical barrier or roped area of approximately 0.8 metres in height is required to designate the area and to guide persons with sight disability around the use. Such barriers must not be permanently fixed to the ground and must be of a style, design and type to be agreed by the Council (Head of Regeneration and Policy). 16.0 Only tables, chairs and umbrellas associated with tables shall be placed within the Licensed Area. No other furniture other than receptacles shall be placed within this area. 17.0 Tables and chairs shall be durable and suitable for outside use. No damaged furniture should be used. 18.0 The design of all chairs, tables, umbrellas, etc. shall be subject to the approval of the Council's Head of Regeneration and Policy and such street furniture together with associated outdoor and pavement areas including an area of 1 metre around the Licensed Area must be regularly cleansed and floor debris and other' waste immediately removed to the satisfaction of the Council's Head of Environmental Services. 19.0 Tables, chairs and umbrellas shall not be positioned so as to obstruct sight lines for drivers of vehicles at junctions. 20.0 No canopy or umbrella shall be lower than two metres in height and shall be adequately secured. 21.0 All street cafe furniture, including barriers shall be removed at the end of trading each day, or at the end of the approved trading hours as defined by the Licence, whichever is the earliest. 22.0 Suitable storage for street cafe furniture shall be identified by the applicant at the time of application for a licence. 23.0 There must be adequate provision made for the collection and containment of litter and, where directed, the Licensee must provide suitable litter bins. 24.0 The Licensee will ensure that the designated area is maintained in a clean and tidy condition. The Licensee shall also take appropriate precautions to prevent the immediate highway from becoming littered as a result of trading activities. 25.0 The Licensee shall at all times when the pavement cafe is in operation make available for customers toilets and hand washing facilities, to wheelchair accessible standards where it is practicable and reasonable to do so. 26.0 The Licensee will be responsible for the conduct of customers. They must not be a nuisance or annoy users of the highway or tenants of adjoining premises. 27.0 No speakers or playing of music shall be permitted. 28.0 No electrical cables shall be run along the ground in such a way that they create a trip hazard or are susceptible to mechanical damage. Alcohol licenses only 29.0 Where intoxicating liquor is permitted to be served or consumed in the licensed area polycarbonate glasses must be used at all times. 30.0 Where intoxicating liquor is permitted to be consumed in the Licensed Area this may only be served and consumed when accompanying a substantial meal. This does not include bar snacks such as crisps, nuts etc. All patrons consuming intoxicating liquor must be seated at a table within the licensed area, there will be no vertical drinking whatsoever. Guidance Planning permission must be obtained for the change of use of the highway for a pavement café and for any structural alterations to the building or its appearance. 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San Gabriel Valley Council of Governments Audited Financial Statements (Primary Government) As of and for the Year Ended June 30, 2017 with Report of Independent Auditors Audited Financial Statements San Gabriel Valley Council of Governments (Primary Government) As of and for the Year Ended June 30, 2017 with Report of Independent Auditors \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| REPORT OF INDEPENDENT AUDITORS \| 1 \| \| MANAGEMENT’S DISCUSSION AND ANALYSIS \| 4 \| \| BASIC FINANCIAL STATEMENTS \| \| \| Statement of Net Position \| 8 \| \| Statement of Revenues, Expenses and Changes in Net Position \| 9 \| \| Statement of Cash Flows \| 10 \| \| Notes to Financial Statements \| 11 \| \| REQUIRED SUPPLEMENTARY INFORMATION \| \| \| Schedule of Proportionate Share of the Net Pension Liability \| 25 \| \| Schedule of Pension Contributions \| 26 \| \| SUPPLEMENTARY INFORMATION \| \| \| Schedule of Functional Revenues, Expenses and Changes in Net Position \| 27 \| \| REPORT OF INDEPENDENT AUDITORS ON INTERNAL CONTROL OVER \| \| \| FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS \| \| \| BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN \| \| \| ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS \| 28 \| Report of Independent Auditors Members of the Governing Board San Gabriel Valley Council of Governments Report on the Financial Statements We have audited the accompanying financial statements of the primary government of San Gabriel Valley Council of Governments (SGVCOG), which comprise the statement of net position as of June 30, 2017, and the related statements of revenues, expenses and changes in net position and cash flows for the year then ended, and the related notes to the financial statements, which collectively comprise SGVCOG’s basic financial statements. Management’s Responsibility on the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors’ Responsibility Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating that appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Opinion In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of the primary government of San Gabriel Valley Council of Governments as of June 30, 2017, and the changes in its financial position and cash flows for the year then ended in accordance with accounting principles generally accepted in the United States of America. Emphasis of Matter As discussed in Note 1, the financial statements referred to above include only the primary government of the San Gabriel Valley Council of Governments, which consists of all funds and departments that comprise San Gabriel Valley Council of Governments' legal entity. These primary government financial statements do not include financial data for the San Gabriel Valley Council of Governments' component unit, the Alameda Corridor - East Construction Authority, which accounting principles generally accepted in the United States of America require to be reported with the financial data of the SGVCOG's primary government. As a result, the primary government's financial statements do not purport to, and do not, present fairly the financial position of the reporting entity of the San Gabriel Valley Council of Governments as of June 30, 2017, the changes in its financial position and its cash flows for the year then ended in accordance with accounting principles generally accepted in the United States of America. Our opinion is not modified with respect to this matter. We have audited in accordance with auditing standards generally accepted in the United States of America, the financial statements of the reporting entity of San Gabriel Valley Council of Governments as of and for the year ended June 30, 2017, and our report thereon, dated January 31, 2018, expressed an unmodified opinion on those financial statements. Other Matters Required Supplementary Information Accounting principles generally accepted in the United States of America require that the management's discussion and analysis on pages 4 through 7 and the required supplementary information on pages 25 through 26 be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management's responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Supplementary Information Our audit was conducted for the purpose of forming an opinion on the financial statements that collectively comprise SGVCOG’s basic financial statements. The schedule of functional revenues, expenses, and changes in net position is presented for the purposes of additional analysis and is not a required part of the basic financial statements. The schedule of functional revenues, expenses and changes in net position on page 27 is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the statement of functional revenues, expenses and changes in net position is fairly stated, in all material respects, in relation to the basic financial statements as a whole. Other Reporting Required by Government Auditing Standards In accordance with Government Auditing Standards, we have also issued our report dated January 31, 2018 on our consideration of SGVCOG’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is solely to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the effectiveness of SGVCOG’s internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering SGVCOG’s internal control over financial reporting and compliance. Los Angeles, California January 31, 2018 Our discussion and analysis of the San Gabriel Valley Council of Governments (the "SGVCOG") financial performance presents an overview of the SGVCOG's financial activities during the fiscal year ended June 30, 2017. We encourage readers to consider information presented here in conjunction with the financial statements (beginning on page 8). The financial statements, notes and this discussion and analysis were prepared by management and are the responsibility of management. Background The SGVCOG was created on March 17, 1994 by a Joint Powers Agreement (JPA) among various member San Gabriel Valley Cities to promote cooperation, exchange ideas, coordinate regional government programs and to provide recommendations and solutions to common problems and to general concern of member governments. In 1998, the SGVCOG created the Alameda Corridor - East Construction Authority (ACE) to mitigate the effects of increasing Union Pacific Railroad (UPRR) train traffic in the San Gabriel Valley (Valley). There were 55 “at-grade” crossings in the Valley where vehicular and pedestrian traffic cross directly over railroad tracks and must stop while trains pass by. This creates congestion, degrades the local environment, and compromises safety. The ACE Project will separate 20 crossings at the busiest intersections – by either raising or lowering the railroad or the intersecting street – along the 35-mile freight rail corridor from East Los Angeles to Pomona. Overview of Financial Statements In FY 2017, operating revenues increased by 1% from the previous year. The increase was mainly attributable to higher Energywise grant revenues earned in 2017. The financial statements present the financial picture of the SGVCOG from the economic resources measurement focus using the accrual basis of accounting. These statements include all recordable position of the SGVCOG as well as all liabilities. All of the current year’s revenues and expenses are taken into account regardless of when cash is received or paid. The statement of cash flows provides information about the SGVCOG’s cash receipts, cash payments, and net changes in cash resulting from operating, capital and related investing activities during the reporting period. The statement of net position and the statement of revenues, expenses and changes in net position report the SGVCOG’s net position and related changes. Net position is the difference between the recorded assets and liabilities. The recorded activities include all revenues from dues and operating expenses related to the operation of the SGVCOG. In addition, all of the SGVCOG’s revenues and expenses related to its other programs and services are reflected in the statements. Various disclosures accompany the financial statements in order to provide a full picture of the SGVCOG’s finances. The notes to the financial statements are on pages 11-24. Financial Analysis Statements of Net Position The following table summarizes the assets, liabilities and net position of the SGVCOG as of June 30, 2017 and 2016: \| \| June 30 2017 \| June 30 2016 \| Variance Amount \| Variance % \| \|--------------------------------\|--------------\|--------------\|-----------------\|------------\| \| Current assets \| $866,566 \| $917,083 \| $(50,517) \| -6% \| \| Deferred outflows of resources \| 148,753 \| 48,112 \| 100,641 \| 209% \| \| Total assets and deferred outflows of resources \| 1,015,319 \| 965,195 \| 50,124 \| 5% \| \| Liabilities \| 149,908 \| 146,522 \| 3,386 \| 2% \| \| Deferred inflows of resources \| 49,731 \| 23,578 \| 26,153 \| 111% \| \| Total liabilities and deferred inflows of resources \| 199,639 \| 170,100 \| 29,539 \| 17% \| \| Net position \| \| \| \| \| \| Restricted \| 110,358 \| 110,248 \| 110 \| 0% \| \| Unrestricted \| 705,322 \| 684,847 \| 20,475 \| 3% \| \| Total net position \| $815,680 \| $795,095 \| $20,585 \| 3% \| Current assets decreased this year by $50,517 or 6%, and liabilities increased by $3,386 or 2%. Decrease in current assets was largely due to lower grants receivable balance in 2017 and collection of 2016 other receivables. Increase in liabilities was primarily due to the recognition of SGVCOG’s share in the net pension liability. As previously discussed, net position can serve as an indicator of financial health. The SGVCOG’s assets and deferred outflows of resources exceeded liabilities and deferred inflows of resources by $815,680 and $795,095 as of June 30, 2017 and 2016, respectively. Statements of Revenues, Expenses and Changes in Net Position The following table presents the SGVCOG's revenues, expenses and changes in net position for the years ended June 30, 2017 and 2016: \| Operating revenues \| Year ended June 30, 2017 \| Year ended June 30, 2016 \| Variance \| \|--------------------\|-------------------------\|-------------------------\|----------\| \| \| \| \| Amount \| % \| \| Dues: \| \| \| \| \| \| General Fund \| $564,716 \| $566,734 \| $(2,018) \| 0% \| \| Transportation \| 180,394 \| 200,196 \| (19,802) \| -10% \| \| Sponsorships \| 12,551 \| - \| 12,551 \| 100% \| \| Grants and matches from other governments: \| \| \| \| \| \| Los Angeles County Metropolitan Transportation Authority \| 90,844 \| 89,378 \| 1,466 \| 2% \| \| Southern California Edison - Energywise \| 139,384 \| 173,822 \| (34,438) \| -20% \| \| Southern California Edison - California Energy Efficiency Strategic Plan Implementation \| 44,291 \| 115,946 \| (71,655) \| -62% \| \| Southern California Gas - Energywise \| 128,342 \| - \| 128,342 \| 100% \| \| Western Riverside Council of Governments - California HERO \| 14,202 \| 20,334 \| (6,132) \| -30% \| \| Total operating revenues \| 1,174,724 \| 1,166,410 \| 8,314 \| 1% \| \| Operating expenses \| Year ended June 30, 2017 \| Year ended June 30, 2016 \| Variance \| \|--------------------\|-------------------------\|-------------------------\|----------\| \| \| \| \| Amount \| % \| \| Administrative \| 738,108 \| 570,248 \| 167,860 \| 29% \| \| Energywise \| 267,726 \| 173,822 \| 93,904 \| 54% \| \| Transportation \| 105,832 \| 120,060 \| (14,228) \| -12% \| \| California Energy Efficiency Strategic Plan Implementation \| 44,291 \| 115,947 \| (71,656) \| -62% \| \| Total operating expenses \| 1,155,957 \| 980,077 \| 175,880 \| 18% \| \| Operating income \| Year ended June 30, 2017 \| Year ended June 30, 2016 \| Variance \| \|------------------\|-------------------------\|-------------------------\|----------\| \| \| \| \| Amount \| % \| \| Operating income \| 18,767 \| 186,333 \| (167,566) \| -90% \| \| Nonoperating income \| Year ended June 30, 2017 \| Year ended June 30, 2016 \| Variance \| \|---------------------\|-------------------------\|-------------------------\|----------\| \| \| \| \| Amount \| % \| \| Other income \| - \| 50,933 \| (50,933) \| 100% \| \| Interest income \| 1,818 \| 1,080 \| 738 \| 68% \| \| Total nonoperating income \| 1,818 \| 52,013 \| (50,195) \| -97% \| \| Change in net position \| Year ended June 30, 2017 \| Year ended June 30, 2016 \| Variance \| \|------------------------\|-------------------------\|-------------------------\|----------\| \| \| \| \| Amount \| % \| \| Change in net position \| 20,585 \| 238,346 \| (217,761) \| -91% \| \| Net position, beginning of year \| Year ended June 30, 2017 \| Year ended June 30, 2016 \| Variance \| \|---------------------------------\|-------------------------\|-------------------------\|----------\| \| \| \| \| Amount \| % \| \| Net position, beginning of year \| 795,095 \| 556,749 \| 238,346 \| 43% \| \| Net position, end of year \| Year ended June 30, 2017 \| Year ended June 30, 2016 \| Variance \| \|---------------------------\|-------------------------\|-------------------------\|----------\| \| \| \| \| Amount \| % \| \| Net position, end of year \| $815,680 \| $795,095 \| $20,585 \| 3% \| During fiscal year 2017, total operating revenues increased by 1% from the previous year. The increase was mainly attributable to higher Energywise grant revenues earned in 2017. Revenues for SGVCOG consist primarily of dues from 31 member cities, three Los Angeles County supervisorial districts, and a Joint Power Authority of the water agencies, which represents three municipal water districts, cost reimbursable grants from Southern California Edison (SCE), a local utility, grant matching funds from Los Angeles County MTA, and fees on the aggregate cost for the bonds issued to fund installation of renewable energy efficiency improvements from the Home Energy Renovation Opportunity (HERO) program. Grants and matches from other governments and Sponsorships were $429,614 in FY2017 compared to $399,480 in FY2016, an increase of $30,134 or 8%. The increase was mostly due to higher Energywise grant revenues earned in FY2017, reduced by lower California Energy Efficiency Strategic Plan Implementation - Phase 3 grant. This program was completed in September 2016. Operating expenses were $1,155,957 in FY2017 compared to $980,077 in FY 2016, an increase of $175,880 or 18%. The increase is primarily attributable to higher administrative salaries and wages, and fringe benefits, transportation technical support, administration, accounting, and finance support services provided by ACE staff, and an increase in grant writing services for new grants being pursued by the SGVCOG. Non-operating income, consisting of investment income, increased by $738 or 68% in FY2017 from FY2016, primarily due to higher yield on investments with the State’s Local Agency Investment Fund. During FY2016, SGVCOG was awarded a legal settlement of $50,933. Next Year’s Budget The budget for fiscal year 2018 assumes that the on-hand net position as of June 30, 2017 will be required and available to fulfill the program and administrative expense requirements. Further Information This report has been designed to provide a general overview to our stakeholders of the SGVCOG’s financial condition and related issues. Inquiries should be directed to Carlos Monroy, Director of Finance, 4900 Rivergrade Road, Suite A120 Irwindale, CA 91706. ## ASSETS ### Current assets - Cash and cash equivalents: $764,843 - Grants receivable: 75,782 - Other receivables: 14,109 - Prepaid expenses: 11,832 Total current assets: 866,566 ### Capital assets - Office equipment: 8,645 - Less accumulated depreciation: (8,645) Capital assets, net: - Total assets: 866,566 ### Deferred outflows of resources - Deferred outflows of resources related to pension: 148,753 ## LIABILITIES ### Current liabilities - Accounts payable and accrued expenses: 39,600 - Compensated absences, current portion: 17,761 Total current liabilities: 57,361 ### Noncurrent liabilities - Compensated absences: 6,849 - Net pension liability: 85,698 Total noncurrent liabilities: 92,547 Total liabilities: 149,908 ### Deferred inflows of resources - Deferred inflows of resources related to pension: 49,731 ## NET POSITION - Restricted for: - Water Quality Improvement: 55,562 - MS4-National Pollutant Discharge Elimination System: 54,796 - Unrestricted: 705,322 Net position: $815,680 --- See notes to financial statements. ## Statement of Revenues, Expenses and Changes in Net Position ### Year ended June 30, 2017 ### Operating revenues - Dues: - General Fund: $564,716 - Transportation: $180,394 - Total Dues: $745,110 - Sponsorships: $12,551 - Grants and matches: - Los Angeles County Metropolitan Transportation Authority: $90,844 - Southern California Edison - Energywise: $139,384 - Southern California Edison - California Energy Efficiency Strategic Plan Implementation: $44,291 - Southern California Gas - Energywise: $128,342 - Western Riverside Council of Governments - California HERO: $14,202 - Total Grants and matches: $436,163 - Total operating revenues: $1,174,724 ### Operating expenses - Administrative: $738,108 - Energywise: $267,726 - Transportation: $105,832 - California Energy Efficiency Strategic Plan Implementation: $44,291 - Total operating expenses: $1,155,957 ### Operating income - Operating income: $18,767 ### Nonoperating income - Interest income: $1,818 - Total nonoperating income: $1,818 ### Change in net position - Change in net position: $20,585 ### Net position, beginning of year - Net position, beginning of year: $795,095 ### Net position, end of year - Net position, end of year: $815,680 --- See notes to financial statements. ## Cash flows from operating activities \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Cash receipts from cities \| $696,751 \| \| Cash receipts from all other services \| 536,203 \| \| Cash paid for operating expenses \| (599,304) \| \| Cash paid for employee compensation and related costs \| (574,914) \| \| Net cash provided by operating activities \| 58,736 \| ## Cash flows from investing activities \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Cash receipts from interest \| 1,600 \| \| Cash provided by investing activities \| 1,600 \| ## Change in cash and cash equivalents \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Change in cash and cash equivalents \| 60,336 \| ## Cash and cash equivalents - beginning of year \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Cash and cash equivalents - beginning of year\| 704,507 \| ## Cash and cash equivalents - end of year \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Cash and cash equivalents - end of year \| 764,843 \| ### Reconciliation of operating income to net cash provided by operating activities: \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Operating income \| $18,767 \| \| Adjustment to reconcile operating income to net cash provided by operating activities: \| \| \| Changes in operating assets and liabilities: \| \| \| Member dues receivable \| 800 \| \| Other receivables \| 44,391 \| \| Grants receivable \| 62,198 \| \| Prepaid expenses \| 2,275 \| \| Deferred outflows of resources \| (100,641) \| \| Accounts payable and accrued expenses \| (57,763) \| \| Unearned revenues \| (49,159) \| \| Compensated absences \| 24,610 \| \| Net pension liability \| 87,105 \| \| Deferred inflows of resources \| 26,153 \| \| Net cash provided by operating activities \| $58,736 \| NOTE 1 SUMMARY OF SIGNIFICANT POLICIES Organization and Activities The San Gabriel Valley Council of Governments (the “SGVCOG”) was created effective March 17, 1994 by a Joint Powers Agreement (JPA) among various San Gabriel Valley Cities to promote cooperation, exchange ideas, coordinate regional government programs and to provide recommendations and solutions to common problems and to general concern of member governments. It is the immediate successor to the San Gabriel Valley Association of Cities, an unincorporated association. Its members organized the SGVCOG because they recognized a need for a more permanent and formalized structure. The SGVCOG is supported by contributions from its members and also receives grant funds to conduct regional studies on Transportation, Air Quality, Environmental Matters, as a sub-grantee of other governmental entities. The SGVCOG is a non-profit California Public Agency and it is tax exempt. The Reporting Entity These financial statements do not include funds of a component unit, the Alameda Corridor - East Construction Authority (ACE) and do not purport to, and do not, present the financial position of the reporting entity of San Gabriel Valley Council of Governments as of June 30, 2017, the changes in its financial position and cash flows for the year then ended in accordance with accounting principles generally accepted in the United States of America. Basis of Accounting The financial statements are prepared using the accrual basis of accounting. Revenues are recognized when earned, and expenses are recognized when incurred. The following are SGVCOG’s major revenue components: California Energy Efficiency Strategic Plan Implementation - Funds for the implementation of certain energy efficiency programs under the Decision 09-09-47 and 12-11-015 of the California Public Utilities Commission including the Energy Leader Partnership Program. Energywise - Funds to implement a program to reduce energy usage in the region by providing enhanced rebates for installing energy efficiency measures in municipal facilities, technical assistance, and various training and educational opportunities. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Cash and Cash Equivalents The SGVCOG considers money market funds and all equivalent liquid debt instruments purchased with a maturity of three months or less to be cash equivalents. Grants Receivable Grants receivable relate to expense reimbursement from governmental and other agencies and are expected to be fully collectible. Accordingly, an allowance for doubtful accounts is not provided. Office Equipment Office equipment is carried at historical cost. Depreciation is provided using the straight-line method over the individual assets' estimated useful life, usually five years for computers, copiers and other electronic equipment, ten years for cabinets, desks and furniture. Pension SGVCOG adopted GASB Statement No. 68, Accounting and Financial Reporting for Pensions during the fiscal year ended June 30, 2015. For purposes of measuring the net pension liability and deferred outflows/inflows of resources related to pensions, and pension expense, information about the fiduciary net position of SGVCOG's California Public Employees' Retirement System (CalPERS) plan (Plan) and additions to/deductions from the Plan's fiduciary net position have been determined on the same basis as they are reported by CalPERS. For this purpose, benefit payments (including refunds of employee contributions) are recognized when due and payable in accordance with the benefit terms. Investments are reported at fair value. Use of Estimates The presentation of financial statements in conformity with generally accepted accounting principles (GAAP) requires the use of estimates in many areas. Estimates used in these financial statements relate primarily to fixing estimated useful lives to depreciable assets. Based upon the preceding information, estimates do not have a material effect on these financial statements. NOTE 2 CASH AND CASH EQUIVALENTS Cash and cash equivalents as of June 30, 2017 consist of the following: \| Description \| Amount \| \|------------------------------------\|------------\| \| Deposits with financial institution\| $534,924 \| \| Short-term investments \| $229,919 \| \| Total cash and cash equivalents\| $764,843 \| Investments Authorized by the California Government Code and San Gabriel Valley Council of Governments’ Investment Policy The table below identifies the investment types that are authorized for SGVCOG by the California Government Code (or SGVCOG’s investment policy, where more restrictive). The table also identifies certain provisions of the California Government Code (or SGVCOG’s investment policy, where more restrictive) that address interest rate risk, credit risk, and concentration of credit risk. \| Authorized Investment Type \| Maximum Maturity \| Maximum Percentage of Portfolio \| Maximum Investment in One Issuer \| \|-----------------------------------------------------------------\|------------------\|---------------------------------\|----------------------------------\| \| U.S. Treasury Notes \| 5 years \| 100% \| None \| \| Treasury Notes of the State of California \| 5 years \| 25% \| None \| \| Indebtness of Any Local Agency within CA \| 5 years \| 25% \| None \| \| U.S. Government Agencies \| 5 years \| 50% \| 15% \| \| Banker’s Acceptances \| 180 days \| 40% \| 10% \| \| Commercial Paper \| 270 days \| 10% \| 10% \| \| Negotiable Certificates of Deposit \| 5 years \| 30% \| 10% \| \| Repurchase Agreements \| 90 days \| 20% \| None \| \| Medium-Term Notes \| 5 years \| 30% \| 10% \| \| Shares of Beneficial Interest Issued by Diversified Companies Registered with the SCE \| None \| 20% \| 10% \| \| State of CA Local Agency Investment Fund (LAIF) \| None \| None \| None \| \| Mortgage-backed Securities \| 5 years \| 15% \| None \| NOTE 2 CASH AND CASH EQUIVALENTS (CONTINUED) Disclosures Relating to Interest Rate Risk Interest rate risk is the risk that changes in market interest rates will adversely affect the fair value of an investment. Generally, the longer the maturity of an investment the greater the sensitivity of its fair value to changes in market interest rates. One of the ways that the SGVCOG manages its exposure to interest rate risk is by purchasing a combination of shorter-term and longer-term investments and by timing cash flows from maturities so that a portion of the portfolio is maturing or coming due over time as necessary to provide the cash flow and liquidity needed for operations. Information about the sensitivity of the fair values of SGVCOG's investments to market interest rate fluctuations is provided by the following table that shows the distribution of the SGVCOG's investments by maturity. \| Investment Type \| Total \| 12 Months or less \| \|-----------------\|---------\|-------------------\| \| LAIF \| $229,919\| $229,919 \| \| Total \| $229,919\| $229,919 \| Investment with Fair Values Highly Sensitive to Interest Rate Fluctuations The SGVCOG has no investments that are highly sensitive to interest rate fluctuations (to a greater degree than already indicated in the information provided above). Credit Risk Generally, credit risk is the risk that an issuer of an investment will not fulfill its obligation to the holder of the investment. This is measured by the assignment of a rating by a nationally recognized statistical rating organization. Presented below is the minimum rating required by (where applicable) the California Government Code, SGVCOG's investment policy, or debt agreements, and the actual rating as of year-end for each investment type. \| Investment Type \| Amount \| Minimum Legal Rating \| Rating as of Year End \| \|-----------------\|------------\|-----------------------\|-----------------------\| \| LAIF \| $229,919 \| N/A \| $229,919 \| \| Total \| $229,919 \| \| $229,919 \| Concentrations of Credit Risk The investment policy of the SGVCOG contains no limitations on the amount that can be invested in any one issuer beyond that stipulated by the California Government Code. As of June 30, 2017, the SGVCOG had no investments in any one issuer (other than U.S. external investment pools) that represent 5% or more of total SGVCOG investments. Custodial Credit Risk Custodial credit risk for deposits is the risk that, in the event of the failure of a depository financial institution, a government will not be able to recover its deposits or will not be able to recover collateral securities that are in the possession of an outside party. The custodial credit risk for investments is the risk that in the event of the failure of the counterparty (e.g., broker-dealer) to a transaction a government will not be able to recover the value of its investment or collateral securities that are in the possession of another party. The California Government Code and SGVCOG’s investment policy do not contain legal or policy requirements that would limit the exposure to custodial credit risk for deposits or investments, other than the following provision for deposits: The California Government Code requires that a financial institution secure deposits made by State or local governmental units by pledging securities in an undivided collateral pool held by a depository regulated under State law (unless so waived by the governmental unit). The market value of the pledged securities in the collateral pool must equal at least 110% of the total amount deposited by the public agencies. California law also allows financial institutions to secure local government units’ deposits by pledging first trust deed mortgage notes having a value of 150% of the secured public deposits. As of June 30, 2017, the SGVCOG’s cash in bank balance of $556,461 exceeded the $250,000 deposit insurance of the Federal Depository Insurance Corporation (FDIC) by $306,461. The SGVCOG is a voluntary participant in the Local Agency Investment Fund (LAIF) that is regulated by the California Government Code under the oversight of the Treasurer of the State of California. At June 30, 2017, the total market value of LAIF, including accrued interest was approximately $77.6 billion. The fair value of the SGVCOG’s investment in this pool is $229,675 at June 30, 2017 based upon the SGVCOG’s pro-rata share of the fair value provided by LAIF for the entire LAIF portfolio (in relation to the amortized cost of the portfolio). LAIF’s (and the SGVCOG’s) exposure to risk (credit, market or legal) is not currently available. NOTE 3 EMPLOYEE BENEFIT PLAN A. General Information about the Pension Plans Plan Description SGVCOG’s employee benefit plan was assigned to its component unit, ACE. SGVCOG does not have employees enrolled under the Classic Plan and currently represent 85% share of the PEPRA Plan. All qualified permanent and probationary employees are eligible to participate in ACE’s Miscellaneous Employee Pension Plan, a cost-sharing multiple employer defined benefit pension plan administered by the California Public Employees’ Retirement System (CalPERS). Benefit provisions under the Plan are established by State statute and ACE resolution. CalPERS issues publicly available reports that include a full description of the pension plans regarding benefit provisions, assumptions and membership information that can be found on the CalPERS website. Classic participants (defined as eligible participants prior to January 1, 2013) are required to contribute 7% of their annual covered salary. New participants (defined as eligible employees brought into CalPERS membership for the first time on or after January 1, 2013 (PEPRA) contribute at least half the normal cost rate as determined by CalPERS. SGVCOG contributes the remaining amounts necessary to fund the benefits for its employees, using the actuarial basis adopted by the CalPERS Board of Administration. Benefits Provided CalPERS provides service retirement and disability benefits, annual cost of living adjustments and death benefits to plan members, who must be public employees and beneficiaries. Benefits are based on years of credited service, equal to one year of full time employment. Members with five years of total service are eligible to retire at age 50 with statutorily reduced benefits. All members are eligible for non-duty disability benefits after 10 years of service. The death benefit is one of the following: the Basic Death Benefit, the 1957 Survivor Benefit, or the Optional Settlement 2W Death Benefit. The cost of living adjustments for each plan are applied as specified by the Public Employees’ Retirement Law. NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) Benefits Provided (Continued) The Plans’ provisions and benefits in effect at June 30, 2017 for PEPRA to which SGVCOG participates, are summarized as follows: \| Miscellaneous Plan \| PEPRA \| \|--------------------\|-------\| \| Hire date \| On or after Jan. 1, 2013 \| \| Benefit formula \| 2% @ 62 \| \| Benefit vesting schedule \| 5 years service \| \| Benefit payments \| monthly for life \| \| Retirement age \| 52 - 67 \| \| Monthly benefits, as a % of eligible compensation \| 1.0% to 2.5% \| \| Required employee contribution rates \| 6.25% \| \| Required employer contribution rates \| 6.25% \| Contributions Section 20814(c) of the California Public Employees’ Retirement Law requires that the employer contribution rates for all public employers be determined on an annual basis by the actuary and shall be effective on the July 1 following notice of a change in the rate. Funding contributions for both Plans are determined annually on an actuarial basis as of June 30 by CalPERS. The actuarially determined rate is the estimated amount necessary to finance the costs of benefits earned by employees during the year, with an additional amount to finance any unfunded accrued liability. SGVCOG is required to contribute the difference between the actuarially determined rate and the contribution rate of employees. For the year ended June 30, 2017, the contributions recognized as part of pension expense for the Plan were as follows: \| Contributions – employer \| $ 48,112 \| NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) B. Pension Liabilities, Pension Expenses and Deferred Outflows/Inflows of Resources Related to Pensions As of June 30, 2017, SGVCOG reported net pension liabilities for its proportionate shares of the net pension liability of the Plan as follows: \| Proportionate Share of Net Pension Liability \| $85,698 \| \|---------------------------------------------\|---------\| \| Miscellaneous (PEPRA) \| $85,698 \| SGVCOG’s net pension liability for the Plan is measured as the proportionate share of the net pension liability (asset). The net pension liability of the Plan is measured as of June 30, 2016, and the total pension liability for the Plan used to calculate the net pension liability was determined by an actuarial valuation as of June 30, 2015 rolled forward to June 30, 2016 using standard update procedures. SGVCOG’s proportion of the net pension liability was based on a projection of the SGVCOG’s long-term share of contributions to the pension plan relative to the projected contributions of all participating employers, which is actuarially determined. NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) Effective for measurement period 2015, CalPERS provides the GASB Statement No. 68 Accounting Valuation Report for the miscellaneous risk pool and allocation methodology to be used by participants in the risk pool. The schedules of employer allocation include three ratios. It includes allocation for the Total Pension Liability, Plan Fiduciary Net Position and all other pension amounts (e.g. deferred outflows/inflows of resources and pension expense). The Total Pension Liability is allocated based on the Actuarial Accrued Liability from the most recent Actuarial Valuation Report as of June 30, 2015 used for funding purposes. The Plan Fiduciary Net Position is allocated based on the sum of the Plan’s Market Value of Assets from the most recent Actuarial Valuation as of June 30, 2015 used for funding purposes plus supplemental payments made by employers during the current measurement period to reduce their unfunded actuarial accrued liabilities. All other pension amounts (deferred outflows/inflows of resources and pension expense) are allocated based on the legally or statutorily required employer contributions for the fiscal year ended June 30, 2016, including reported contribution adjustments and suspended payroll information. SGVCOG’s proportionate share for pension items as provided by CalPERS are as follows: \| Item \| 2017 \| \|-----------------------------------------------------------\|------\| \| Total pension liability \| 0.0005212 \| \| Plan fiduciary net position \| 0.0005978 \| \| All other pension amounts (deferred outflows/inflows of resources and pension expense) \| 0.0007990 \| At June 30, 2017, SGVCOG reported deferred outflows of resources and deferred inflows of resources related to pensions from the following sources: ### NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) \| Description \| Miscellaneous Plan \| PEPRA \| \|------------------------------------------------------------------------------\|---------------------\|----------------\| \| Pension contributions subsequent to measurement date \| $66,429 \| $- \| \| Differences between actual and expected experience \| 1,155 \| (195) \| \| Changes in assumption \| - \| (10,927) \| \| Differences in proportions \| - \| (2,602) \| \| Changes in employer's proportion \| 4,677 \| (32,271) \| \| Differences between the employer's contribution and the employer's proportionate share of contributions \| 15,701 \| (3,736) \| \| Net differences between projected and actual earnings on pension plan investments \| 60,791 \| $- \| \| Total \| $148,753 \| $(49,731) \| $66,429 reported as deferred outflows of resources related to contributions subsequent to the measurement date will be recognized as a reduction of the net pension liability in the year ending June 30, 2018. Other amounts reported as deferred outflows of resources and deferred inflows of resources related to pensions will be recognized as pension expense as follows: \| Year ending June 30 \| Amount \| \|---------------------\|----------\| \| 2018 \| $2,217 \| \| 2019 \| 2,857 \| \| 2020 \| 16,651 \| \| 2021 \| 10,868 \| \| 2022 \| - \| NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) Actuarial Assumptions The total pension liabilities in the June 30, 2015 actuarial valuations were determined using the following actuarial assumptions: \| Miscellaneous \| \|---------------\| \| Valuation Date \| June 30, 2015 \| \| Measurement Date \| June 30, 2016 \| \| Actuarial Cost Method \| Entry-Age Normal Cost Method \| Actuarial Assumptions: - Discount Rate: 7.50% - Inflation: 2.75% - Payroll Growth: 3.00% - Salary Increase: (1) - Investment Rate of Return: 7.5% (2) - Mortality: (3) - Post-Retirement Benefit Increase: (4) (1) Varies by entry age and service (2) Net of pension plan investment and administrative expenses, including inflation (3) Derived using CalPERS’ Membership Data for all funds (4) Contract COLA up to 2.75% until Purchasing Power Protection Allowance Floor on Purchasing Power applies, 2.75% thereafter The underlying mortality assumptions and all other actuarial assumptions used in the June 30, 2015 valuation were based on the results of a January 2015 actuarial experience study for the period 1997 to 2011. Further details of the Experience Study can be found on the CalPERS website. Discount Rate The discount rate used to measure the total pension liability was 7.65 percent. To determine whether the municipal bond rate should be used in the calculation of a discount rate for each plan, CalPERS stress tested plans that would most likely result in a discount rate that would be different from the actuarially assumed discount rate. Based on the testing, none of the tested plans run out of assets. Therefore, the current 7.65 percent discount rate is adequate and the use of the municipal bond rate calculation is not necessary. The long term expected discount rate of 7.65 percent will be applied to all plans in the Public Employees Retirement Fund (PERF). The stress test results are presented in a detailed report that can be obtained from the CalPERS website. NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) According to Paragraph 30 of GASB Statement No. 68, the long-term discount rate should be determined without reduction for pension plan administrative expense. The 7.50 percent investment return assumption used in this accounting valuation is net of administrative expenses. Administrative expenses are assumed to be 15 basis points. An investment return excluding administrative expenses would have been 7.65 percent. Using this lower discount rate has resulted in a slightly higher Total Pension Liability and Net Pension Liability. CalPERS checked the materiality threshold for the difference in calculation and did not find it to be a material difference. CalPERS is scheduled to review all actuarial assumptions as part of its regular Asset Liability Management (ALM) review cycle that is scheduled to be completed in February 2018. Any changes to the discount rate will require Board action and proper stakeholder outreach. For these reasons, CalPERS expects to continue using a discount rate net of administrative expenses for GASB Statement Nos. 67 and 68 calculations through at least the 2017-18 fiscal year. CalPERS will continue to check the materiality of the difference in calculation until such time as we have changed our methodology. The long-term expected rate of return on pension plan investments was determined using a building-block method in which best-estimate ranges of expected future real rates of return (expected returns, net of pension plan investment expense and inflation) are developed for each major asset class. The table below reflects the long-term expected real rate of return by asset class. The rate of return was calculated using the capital market assumptions applied to determine the discount rate and asset allocation. These rates of return are net of administrative expenses. \| Asset Class \| Assumed Asset Allocation \| Real Return Years 1 - 10(a) \| Real Return Years 11+(b) \| \|------------------------------\|--------------------------\|----------------------------\|--------------------------\| \| Global Equity \| 51.00% \| 5.25% \| 5.71% \| \| Global Debt Securities \| 20.00% \| 0.99% \| 2.43% \| \| Inflation Assets \| 6.00% \| 0.45% \| 3.36% \| \| Private Equity \| 10.00% \| 6.83% \| 6.95% \| \| Real Estate \| 10.00% \| 4.50% \| 5.13% \| \| Infrastructure and Forestland\| 2.00% \| 4.50% \| 5.09% \| \| Liquidity \| 1.00% \| -0.55% \| -1.05% \| \| Total \| 100.00% \| \| \| (a) An expected inflation of 2.5% used for this period. (b) An expected inflation of 3.0% used for this period. Sensitivity of the Proportionate Share of the Net Pension Liability to Changes in the Discount Rate The following presents SGVCOG’s proportionate share of the net pension liability for the Plan, calculated using the discount rate for the Plan, as well as what SGVCOG’s proportionate share of the net pension liability would be if it were calculated using a discount rate that is 1-percentage point lower or 1-percentage point higher than the current rate: \| Miscellaneous Plan \| PEPRA \| \|--------------------\|-------\| \| 1% Decrease \| \| \| Net Pension Liability \| $174,601 \| \| Current Discount Rate \| 7.65% \| \| Net Pension Liability \| $85,698 \| \| 1% Increase \| \| \| Net Pension Liability \| $12,225 \| C. Pension Plan Fiduciary Net Position Detailed information about each pension plan’s fiduciary net position is available in the separately issued CalPERS financial reports. D. Payable to the Pension Plan At June 30, 2017, SGVCOG did not have outstanding amount of contributions to the pension plan required for the year ended June 30, 2017. Other Postemployment Benefits SGVCOG did not incur any other liabilities during the year 2017 related to other postemployment benefits. NOTE 4 RELATED PARTY TRANSACTIONS For the year ended June 30, 2017, SGVCOG paid ACE a total of $95,928 for transportation technical support, administrative support, and accounting support, and travel expenses. NOTE 5 CONTINGENCIES The SGVCOG is involved in claims arising from the normal course of business. After consultation with legal counsel, management estimates that these matters will be resolved without material effect on the SGVCOG’s financial position. NOTE 6 COMMITMENTS The SGVCOG has entered into an office space lease agreement covering the period from January 1, 2013 to December 31, 2017. Future minimum rental payments including tenant improvements are as follows: \| Year ending June 30 \| Amount \| \|---------------------\|--------\| \| 2018 \| $32,936\| \| Total \| $32,936\| NOTE 7 SUBSEQUENT EVENTS SGVCOG has evaluated events subsequent to June 30, 2017, to assess the need for potential recognition or disclosure in the financial statements. Such events were evaluated through January 31, 2018, the date the financial statements were available to be issued. Based upon this evaluation, it was determined that no subsequent events occurred that require recognition or additional disclosure in the financial statements. REQUIRED SUPPLEMENTARY INFORMATION ## Schedule of Proportionate Share of the Net Pension Liability ### Last Ten Years* \| \| 2017 Miscellaneous Plan \| 2016 Miscellaneous Plan PEPRA \| 2015 Miscellaneous Plan PEPRA \| \|----------------------\|-------------------------\|-------------------------------\|-------------------------------\| \| Proportion of the net pension liability \| 0.028030% \| 0.000158% \| 0.00001% \| \| Proportionate share of the net pension liability (asset) \| $85,698 \| $(1,407) \| $538 \| \| Covered - employee payroll (1) \| $358,859 \| $164,916 \| $155,191 \| \| Proportionate share of the net pension liability as percentage of covered-employee payroll \| 23.88% \| -0.85% \| 0.35% \| \| Plan’s proportionate share of the fiduciary net position as a percentage of the plan’s total pension liability \| 12.98% \| 108.71% \| 83.02% \| \| Plan’s proportionate share of aggregate employer contributions (2) \| $243,174 \| $15,076 \| $88 \| ### Notes to Schedule 1. Covered-Employee Payroll represented above is based on pensionable earnings provided by the employer. However, GASB 68 defines covered-employee payroll as the total payroll of employees that are provided pensions through the pension plan. Accordingly, if pensionable earnings are different than total earnings for covered-employees, the employer should display in the disclosure footnotes the payroll based on total earnings for the covered group and recalculate the required payroll-related ratios. 2. The plan’s proportionate share of aggregate employer contributions may not match the actual contributions made by the employer during the measurement period. The plan’s proportionate share of aggregate contributions is based on the plan’s proportion of fiduciary net position shown on line 5 of the table above as well as any additional side fund (or unfunded liability) contributions made by the employer during the measurement period. * Fiscal year 2015 was the 1st year of implementation, therefore, only three years are shown. ## San Gabriel Valley Council of Governments (Primary Government) Schedule of Pension Contributions Last Ten Years* \| \| 2017 Misc Plan PEPRA \| 2016 Misc Plan PEPRA \| 2015 Misc Plan PEPRA \| \|----------------------\|----------------------\|----------------------\|----------------------\| \| Actuarially determined contributions \| $66,429 \| $8,824 \| $8,214 \| \| Contributions in relation to the actuarially determined contributions \| $(66,429) \| $(8,824) \| $(8,214) \| \| Contribution deficiency (excess) \| - \| - \| - \| \| Covered-Employee Payroll \| $358,859 \| $164,916 \| $155,191 \| \| Contributions as a percentage of covered-employee payroll \| 18.51% \| 5.35% \| 5.29% \| ### Notes to Schedule: Valuation date: June 30, 2015 Methods and assumptions used to determine contribution rates: - Actuarial Cost Method - Amortization method / Period: Level percent of payroll - Remaining amortization period: 15 years as of valuation date - Asset valuation method: 5 year Smoothed Market - Inflation: 2.75% - Salary increases: Varies by Entry Age and Service - Investment rate of return: 7.50%, net of pension plan investment expense and administrative expenses including inflation. - Retirement age: 55 years - Mortality: Derived using CalPERS Membership Data for all funds Fiscal year 2015 was the first year of implementation, therefore, only three years are shown. SUPPLEMENTARY INFORMATION ## Schedule of Functional Revenues, Expenses and Changes in Net Position ### Year ended June 30, 2017 \| \| G & A \| LACMTA \| SCE \| SCG \| Strategic Plan \| CEESP \| Total \| \|--------------------------------\|---------\|--------\|---------\|--------\|----------------\|-------\|-------------\| \| Operating revenues \| \| \| \| \| \| \| \| \| Dues \| \| \| \| \| \| \| \| \| General fund \| $564,716\| $- \| $- \| $- \| $- \| $- \| $564,716 \| \| Transportation \| 165,406 \| 14,988 \| - \| - \| - \| - \| 180,394 \| \| LACMTA - Transportation \| - \| 90,844 \| - \| - \| - \| - \| 90,844 \| \| General assembly ticket sales \| 12,551 \| - \| - \| - \| - \| - \| 12,551 \| \| California HERO program \| 14,202 \| - \| - \| - \| - \| - \| 14,202 \| \| Energy efficient grants \| \| \| \| \| \| \| \| \| Administration \| - \| - \| 10,854 \| 8,980 \| 1,641 \| 217 \| 21,692 \| \| Marketing \| - \| - \| 31,264 \| 35,851 \| - \| - \| 67,115 \| \| Direct implementation \| - \| - \| 97,266 \| 83,511 \| 26,803 \| 15,630\| 223,210 \| \| Total Operating revenues \| 756,875 \| 105,832\| 139,384 \| 128,342\| 28,444 \| 15,847\| 1,174,724 \| \| Direct expense \| \| \| \| \| \| \| \| \| Salaries & wages \| \| \| 3,549 \| 2,941 \| 408 \| 100 \| 6,998 \| \| Administration \| - \| - \| 3,549 \| 2,941 \| 408 \| 100 \| 6,998 \| \| Marketing \| - \| - \| 7,713 \| 11,993 \| - \| - \| 19,706 \| \| Direct implementation \| - \| - \| 34,266 \| 29,298 \| 9,927 \| 4,492 \| 77,983 \| \| Program management \| - \| - \| 14,930 \| 6,422 \| 67 \| 2,475 \| 23,894 \| \| Total direct expense \| - \| - \| 60,458 \| 50,654 \| 10,402 \| 7,067 \| 128,581 \| \| Administrative expense \| \| \| \| \| \| \| \| \| Salaries & wages \| 264,533 \| 46,335 \| 45,609 \| 10,592 \| 5,154 \| 372,223\| \| Fringe benefits - allocated \| 90,244 \| 14,344 \| 14,119 \| 3,279 \| 1,595 \| 123,581\| \| Rent - Other \| 45,648 \| 8,435 \| 8,303 \| 1,929 \| 938 \| 65,253 \| \| Utilities \| 3,366 \| 622 \| 612 \| 142 \| 69 \| 4,811 \| \| Postage \| 737 \| 80 \| 78 \| 18 \| 9 \| 922 \| \| Office Supplies \| 2,297 \| 424 \| 418 \| 97 \| 47 \| 3,283 \| \| Printing/Publications \| 7,171 \| 1,325 \| 1,304 \| 303 \| 148 \| 10,251 \| \| Insurance \| 3,767 \| 696 \| 685 \| 159 \| 77 \| 5,384 \| \| Dues & Subscriptions \| 1,246 \| 230 \| 226 \| 53 \| 25 \| 1,780 \| \| Meetings/Travel \| 21,453 \| 3,440 \| 3,386 \| 786 \| 382 \| 29,447 \| \| Administrative Fees \| 2,743 \| 507 \| 499 \| 116 \| 56 \| 3,921 \| \| Office Expense \| 6,191 \| 1,144 \| 1,126 \| 261 \| 128 \| 8,850 \| \| Storage \| 1,803 \| 333 \| 328 \| 76 \| 38 \| 2,578 \| \| Equipment & Soft Acquisition \| 3,844 \| 710 \| 699 \| 162 \| 80 \| 5,495 \| \| Webpage/Software Services \| 1,631 \| 301 \| 296 \| 69 \| 34 \| 2,331 \| \| General Assembly Expense \| 11,815 \| - \| - \| - \| - \| 11,815 \| \| Grant Writing Services \| 47,041 \| - \| - \| - \| - \| 47,041 \| \| Professional services \| 190,940 \| 105,832\| - \| - \| - \| 296,772 \| \| Legal \| 31,638 \| - \| - \| - \| - \| 31,638 \| \| Total administrative expense\| 738,108 \| 105,832\| 78,926 \| 77,688 \| 18,042 \| 8,780 \| 1,027,376 \| \| Operating income \| 18,767 \| - \| - \| - \| - \| - \| 18,767 \| \| Nonoperating income \| \| \| \| \| \| \| \| \| Interest income \| 1,818 \| - \| - \| - \| - \| - \| 1,818 \| \| Change in net position \| 20,585 \| - \| - \| - \| - \| - \| 20,585 \| \| Net position, beginning of the year \| 795,095 \| - \| - \| - \| - \| - \| 795,095 \| \| Net position, end of year \| $815,680\| $- \| $- \| $- \| $- \| $- \| $815,680 \| Report of Independent Auditors on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards Members of the Governing Board San Gabriel Valley Council of Governments We have audited, in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States, the financial statements of the San Gabriel Valley Council of Governments (the SGVCOG), as of and for the year ended June 30, 2017, and the related notes to the financial statements, which collectively comprise SGVCOG’s basic financial statements, and have issued our report thereon dated January 31, 2018. Internal Control Over Financial Reporting In planning and performing our audit of the financial statements, we considered SGVCOG’s internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of SGVCOG’s internal control. Accordingly, we do not express an opinion on the effectiveness of SGVCOG’s internal control. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weakness. However, material weaknesses may exist that have not been identified. Compliance and Other Matters As part of obtaining reasonable assurance about whether SGVCOG’s financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. Los Angeles, California January 31, 2018 (This page left intentionally blank.) Vasquez & Company LLP has over 45 years of experience in performing audit, accounting & consulting services for all types of nonprofit organizations, for-profit companies, governmental entities and publicly traded companies. Vasquez is a member of the RSM US Alliance. RSM US Alliance provides its members with access to resources of RSM US LLP. RSM US Alliance member firms are separate and independent businesses and legal entities that are responsible for their own acts and omissions, and each are separate and independent from RSM US LLP. RSM US LLP is the U.S. member firm of RSM International, a global network of independent audit, tax, and consulting firms. 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(213) 873-1700 • Fax (213) 873-1777 Alameda Corridor – East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Audited Financial Statements and Supplementary Information As of and for the Year Ended June 30, 2017 with Report of Independent Auditors Alameda Corridor – East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Audited Financial Statements and Supplementary Information As of and for the Year Ended June 30, 2017 with Report of Independent Auditors \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| REPORT OF INDEPENDENT AUDITORS \| 1 \| \| MANAGEMENT’S DISCUSSION AND ANALYSIS (UNAUDITED) \| 4 \| \| BASIC FINANCIAL STATEMENTS \| \| \| Government-wide Financial Statements: \| \| \| Statement of Net Position \| 12 \| \| Statement of Activities \| 13 \| \| Fund Financial Statements: \| \| \| Balance Sheet \| 12 \| \| Statement of Revenues, Expenditures and Changes in Fund Balance \| 13 \| \| Notes to Financial Statements \| 14 \| \| REQUIRED SUPPLEMENTARY INFORMATION \| \| \| Schedule of Proportionate Share of the Net Pension Liability \| 33 \| \| Schedule of Pension Contributions \| 34 \| \| Schedule of Revenues, Expenditures and Changes in Fund Balance \| \| \| Capital Projects Fund - Budget to Actual \| 35 \| \| REPORT OF INDEPENDENT AUDITORS ON INTERNAL CONTROL OVER \| \| \| FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS \| \| \| BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN \| \| \| ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS \| 36 \| Report of Independent Auditors The Honorable Members of the Board of Directors Alameda Corridor – East Construction Authority Report on the Financial Statements We have audited the accompanying financial statements of Alameda Corridor - East Construction Authority (ACE), a component unit of San Gabriel Valley Council of Governments (SGVCOG), which comprise the statement of net position as of June 30, 2017, and the related statement of activities for the year then ended, and the related notes to the financial statements. Management’s Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors’ Responsibility Our responsibility is to express opinions on these financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinions. Opinions In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Alameda Corridor – East Construction Authority as of June 30, 2017, and the changes in its financial position for the year then ended in accordance with accounting principles generally accepted in the United States of America. Other Matters Required Supplementary Information Accounting principles generally accepted in the United States of America require that the management's discussion and analysis on pages 4 – 11 and the required supplementary information on pages 33 – 35 be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Supplementary Information Our audit was conducted for the purpose of forming an opinion on the financial statements that collectively comprise ACE’s basic financial statements. The schedule of revenues, expenditures, and changes in fund balance – budget to actual is presented for the purposes of additional analysis and is not a required part of the basic financial statements. The schedule of revenues, expenditures and changes in fund balance – budget to actual is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the statement of revenues, expenditures and changes in fund balance – budget to actual is fairly stated, in all material respects, in relation to the basic financial statements as a whole. Other Reporting Required by Government Auditing Standards In accordance with Government Auditing Standards, we have also issued our report dated January 15, 2018, on our consideration of ACE’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is solely to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the effectiveness of ACE’s internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering ACE’s internal control over financial reporting and compliance. Los Angeles, California January 15, 2018 The management’s discussion and analysis (MD&A) of the financial performance and activity of the Alameda Corridor – East Construction Authority (ACE) provides an overview of ACE financial statements for the year ended June 30, 2017. This discussion was prepared by management and should be read in conjunction with the accompanying financial statements and notes, which follow this section. Background The San Gabriel Valley Council of Governments (SGVCOG) created ACE in 1998. ACE is a single purpose construction authority established to implement a construction program intended to mitigate the adverse impacts at rail-roadway crossings in the San Gabriel Valley of increasing rail traffic along the nationally significant Alameda Corridor East Trade Corridor. Train counts through the Valley are projected to nearly double by the year 2035 as increasing numbers of freight trains carry freight to and from the nation’s busiest container ports in San Pedro Bay. The ACE Project is a comprehensive program of constructing grade separations, where the road goes over or under the railroad, and safety and mobility upgrades at fifty-two crossings in the San Gabriel Valley. Construction has been completed on nine rail-roadway grade separations. Seven additional grade separations and a rail diversion project are under construction. Three grade separation projects are in design along with improved pedestrian and vehicle safety gate at another eight crossings. Safety improvements have been completed at 39 at-grade crossings. The cost estimate as of June 30, 2017 for the completed safety improvements and 14 grade separations either completed or going into construction is $1.662 billion. Projects under construction include the Fullerton Road, Fairway Drive, and Puente Avenue grade separations; the San Gabriel Trench; and the Temple Avenue rail diversion project. Going to construction in 2018 will be the Durfee Avenue grade separation project. Currently in design is the Montebello Corridor Project, the Turnbull Canyon Road Grade Separation Project, and the At-Grade Crossing Safety Improvements. ## Project Progress During FY 2017 \| Project \| 06/16 \| 09/16 \| 12/16 \| 03/17 \| 06/17 \| \|-------------------------------\|-------\|-------\|-------\|-------\|-------\| \| At-Grade Crossing (212) \| \| \| Design\| \| \| \| Durfee (208) \| \| \| Design / ROW Acquisitions \| \| \| \| Fairway Drive (204) \| \| \| ROW Acquisitions / Construction \| \| \| \| Fullerton (207) \| \| \| ROW Acquisitions / Construction \| \| \| \| Montebello (209) \| \| \| ROW Acquisitions / Construction \| \| \| \| Puente Avenue (202) \| \| \| ROW Acquisitions / Construction \| \| \| \| Nogales - LA (250) \| \| \| Construction \| \| \| \| S.G. Trench (201) \| \| \| Construction \| \| \| \| Temple/Pomona (119) \| \| \| Construction \| \| \| \| Turnbull Canyon (212) \| \| \| Design \| \| \| --- Alameda Corridor-East Construction Authority Los Angeles County, CA Legend: - Existing Single Track - Existing Double Track - Proposed Double Track - Grade Separation Completed - Safety Improvements in Design - Grade Separations in Design - Future Grade Separations in Design - Potential Grade Separations in Design - Street Closure/Grade Crossing Elimination - Safety and/or Traffic Signal Control Measures --- Alameda Corridor-East Project Area As of June 30, 2017, the following funding had been committed to the ACE project: ### ACE Funding Commitments \| Federal \| ($ millions) \| \|----------------------------------\|--------------\| \| TEA-21 Earmark \| $132.6 \| \| Annual Appropriations (FY 2000-10)\| 21.5 \| \| SAFETEA-LU Earmark \| 67.3 \| \| Rail-Highway Crossing Program \| 10.0 \| \| ISTEA (Nogales LA) \| 6.9 \| \| CMAQ (Nogales LA) \| 6.3 \| \| Total Federal \| $244.7 \| \| State \| ($ millions) \| \|----------------------------------\|--------------\| \| Trans. Imp. Program (FY 2000-04) \| 39.0 \| \| PUC Grade Separation Fund \| 10.0 \| \| Trans. Cong. Relief Prog. (TCRP) \| 130.3 \| \| Trade Corr. Impr. Fund (TCIF) \| 420.5 \| \| Hwy. Rail Crossing Safety Act (HRCSA) \| 46.6 \| \| Total State \| $646.4 \| \| L.A. County MTA \| ($ millions) \| \|----------------------------------\|--------------\| \| 17% - Match \| 259.9 \| \| FY 2007 Call-for-projects \| 28.8 \| \| Measure R \| 400.0 \| \| Total L.A. County MTA \| $688.7 \| \| \| ($ millions) \| \|------------------------------\|--------------\| \| City/County Funds/MWD Funds \| 12.1 \| \| Railroad Contributions \| 40.6 \| \| City/Railroad/Betterments/Property Sales \| 29.5 \| \| Total ACE Project Funding \| $1,662.0 \| The committed/pledged amounts may differ slightly from authorized funding due to budgetary holdbacks on multi-year grants, and reflect management’s best estimate as to the amount that will be available. Railroad contributions reflect a regulatory ceiling of 5% of construction cost pro-rated over the construction phase of the various projects. ACE manages its projects to avoid risk wherever possible. All projects are designed to be within the scope allowed by federal, state and local guidelines. The project host city is responsible for paying for any “betterments” not needed for the basic grade separation. In addition, the California Department of Transportation (CalTRANS) must approve each phase - design, right-of-way acquisition and utility relocation, and construction - for reimbursement in advance. ACE must pay contractors and vendors first before invoicing grantors for reimbursement. Reimbursements are currently running between two to four weeks for CalTRANS (Federal and State funding) and the Los Angeles County Metropolitan Transportation Authority (“Metro”) (local funding). Working capital therefore remains a major consideration. ACE and Metro entered into an agreement to provide ACE $45M subordinate Proposition C Sales Tax Revenue Revolving Obligation Construction Fund, which replaced the Grants Anticipation Notes as the primary bridge funding. Financial Highlights For the year ended June 30, 2017: - Net position increased by $0.9 million, an increase of 6.7%. - Construction in progress increased by $103.5 million, an increase of 17.5%. - Total revenues decreased by $31.9 million, a decrease of 23.4%. - Total project expenses decreased by $31.0 million, a decrease of 23.1%. Overview of Basic Financial Statements ACE’s basic financial statements consist of three components: (1) Government-wide Financial Statements, (2) Fund Financial Statements and (3) Notes to the Basic Financial Statements. Governmental entities are required to report information on a government-wide basis and on a fund basis (with emphasis placed on major funds of the entity). The government-wide financial statements (i.e., the statement of net position and the statement of activities) report information on all of the non-fiduciary activities of the primary government and its component units. The governmental fund financial statements (i.e., the balance sheet and the statement of revenues, expenditures and changes in fund balance) report information on individual funds of the government. A fund is considered to be a separate accounting entity with a self-balancing set of accounts. Since ACE is engaged in a single governmental activity and it has no component units, the government-wide and governmental fund financial statements have been combined with a reconciliation of the individual line items in a separate column entitled “Adjustments” on the financial statements. The government-wide financial statements are reported in the “Statement of Net Position” and “Statement of Activities” columns. The governmental fund financial statements are reported in the “Capital Projects Fund” column. Government-wide Financial Statements The government-wide financial statements are designed to give readers a broad overview of ACE’s financial position. These include all of ACE’s assets and liabilities, deferred inflows/outflows of resources, revenues and expenses. The accounting basis is full accrual (similar to private sector companies) where ACE’s revenues and expenses are reported as the causal event occurs, instead of when the revenue was received or expense paid. The “Statement of Net Position” is the basic government-wide statement of financial position. It presents information on all of ACE’s assets, deferred outflows of resources, liabilities and deferred inflows of resources, with the difference reported as net position (or equity in the private sector). While large net position might indicate that a governmental agency has not spent all available revenues and other resources, negative net position indicates that the agency has overspent. It is management’s position to maintain sufficient net position to compensate for any disallowed costs, but to allocate any surplus to construction activities. The “Statement of Activities” presents ACE’s revenues and expenses for the year ended on June 30, 2017. The statement has four primary areas: project expenses, operating revenues, nonoperating income (expense), and change in net position. Expenses are broken out into direct (those expenses that can be identified directly to individual projects) and indirect. The financing income is the interest earned on cash balances less interest and fees paid on the corresponding debt. Fund Financial Statements The fund financial statements report information on Capital Projects Fund of ACE. A fund is a grouping of related accounts that is used to maintain control over resources that have been segregated for specific activities or objectives. ACE, unlike cities, county or state governments, has one activity – construction. All of ACE’s activities are classified as a Construction Fund (Capital Projects) with the exception of the amount invested in a deferred compensation plan funded solely by the employees. Differences between the two sets of financial statements are normally determined by the complexity of the reporting agency and usually revolve around different treatments for fixed assets and depreciation, debt issuance and repayment, and pension-related account balances. ACE’s focus on a single activity results in the two statements being very similar. Notes to the Basic Financial Statements The notes to the basic financial statements provide additional information that is essential to a full understanding of the data provided in the government-wide financial statements and the governmental funds financial statements. The notes can be found on pages 14 through 32 of this report. Condensed Statements of Net Position The following table shows the condensed statements of net position for the past two years: \| \| June 30, 2017 \| June 30, 2016 \| Variance \| % \| \|--------------------------------\|---------------------\|---------------------\|-------------------\|-----\| \| Current and other assets \| $100,343,185 \| $93,669,646 \| $6,673,539 \| 7.1%\| \| Capital assets \| 12,335 \| 24,923 \| (12,588) \| -50.5%\| \| Construction in progress \| 695,912,451 \| 592,444,003 \| 103,468,448 \| 17.5%\| \| Less due to member cities and Union Pacific Railroad \| (695,912,451) \| (592,444,003) \| (103,468,448) \| 17.5%\| \| Total assets \| 100,355,520 \| 93,694,569 \| 6,660,951 \| 7.1% \| \| Deferred outflows of resources \| 2,214,048 \| 1,000,636 \| 1,213,412 \| 121.3%\| \| Liabilities \| 87,223,814 \| 79,965,009 \| 7,258,805 \| 9.1% \| \| Deferred inflow of resources \| 515,398 \| 827,531 \| (312,133) \| -37.7%\| \| Net position \| $14,830,356 \| $13,902,665 \| $927,691 \| 6.7% \| All organizations are required to report construction in progress (that is, the sum of prior and current year’s construction expense) on the statement of net position as an asset. This would normally be done by treating each year’s construction as a capital expense, which would be excluded from the statement of activities. However, the grant reimbursements generated by construction would be included in the statement of activities as revenue. ACE is obligated to transfer components of completed projects to the UPRR and the cities so that they can be included in their financial statements. The resulting reduction in assets would flow through the statement of activities as a loss. The net effect would be to produce widely fluctuating net position and fund balances depending on whether ACE was constructing (surplus) or transferring assets to member cities (deficit). Therefore, ACE elected to treat construction in progress as a matching asset and liability. This shows the total cost of ACE’s projects and the resulting liability to transfer the assets upon completion while not unduly affecting the statement of activities. Total assets increased by 7.1% to $100.4 million, mainly due to increases in cash and investments, as one participating city funded future betterment work. Construction in progress increased by 17.5% to $695.9 million, primarily because of increased construction activity on San Gabriel Trench, Puente Avenue, Fairway Drive, and Fullerton Road projects. Unearned revenue increased by 38.6% to $22.3 million, mainly because of betterment funds received in advance for the Fullerton Road project. Due to delay in funding from previously approved federal grant, unbilled receivables increased 29.7% to $31.5 million. Condensed Statements of Activities The following table shows the condensed statements of activities for the years ended June 30, 2017 and 2016. Total net position increased by $0.9 million or 6.7% for the year ended June 30, 2017. The increase was due to an adjustment to construction expenses that were incurred in the prior year. \| Years ended June 30 \| Variance \| \|---------------------\|----------------\| \| \| 2017 \| 2016 \| Amount \| % \| \| Project Expenses \| \| \| \| \| \| Direct (Construction)\| $99,658,490 \| $132,103,266 \| $(32,444,776) \| -24.6% \| \| Indirect expenses charged to operations \| 3,465,867 \| 2,025,888 \| 1,439,979 \| 71.1% \| \| Total project expenses \| 103,124,357 \| 134,129,154 \| (31,004,797) \| -23.1% \| \| Operating revenues \| \| \| \| \| \| Grant reimbursements\| 104,116,255 \| 133,732,844 \| (29,616,589) \| -22.1% \| \| Other operating revenues \| 467,489 \| 2,763,634 \| (2,296,145) \| -83.1% \| \| Total revenues \| 104,583,744 \| 136,496,478 \| (31,912,734) \| -23.4% \| \| Income/(loss) from operations \| 1,459,387 \| 2,367,324 \| (907,937) \| -38.4% \| \| Nonoperating income (expense) \| \| \| \| \| \| Financing income \| 597,423 \| 499,752 \| 97,671 \| 19.5% \| \| Financing expense \| (1,129,119) \| (394,603) \| (734,516) \| 186.1% \| \| Net financing income (loss) \| (531,696) \| 105,149 \| (636,845) \| -605.7% \| \| Change in net position \| 927,691 \| 2,472,473 \| (1,544,782) \| -62.5% \| \| Net position at beginning of year \| 13,902,665 \| 11,430,192 \| 2,472,473 \| 21.6% \| \| Net position at end of year \| $14,830,356 \| $13,902,665 \| $927,691 \| 6.7% \| Capital Assets ACE had $12,335 invested in capital assets, net of depreciation, as of June 30, 2017. Economic Factors and New Year’s Budget Budget expenditures in fiscal year 2018 increased 10.9% over 2017, as increases in construction were offset by reductions in right-of-way acquisitions. Based on 2018 first quarter expenditures, it is anticipated the 2018 budget will be within 5% of budgeted expenditures. Requests for Information: These financial statements are designed to provide citizens, taxpayers, customers, and creditors with a general overview of ACE’s finances and to demonstrate accountability for the money it receives. If there are any questions about this report or a need for additional information, please contact ACE, 4900 Rivergrade Road, Suite A120, Irwindale, CA 91706, or call (626) 962-9292. ## Alameda Corridor - East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Governmental Fund Balance Sheet/ Statement of Net Position June 30, 2017 \| ASSETS \| Capital Projects Fund \| Adjustments \| Government Activities Statement of Net Position \| \|--------\|-----------------------\|-------------\|-----------------------------------------------\| \| Current assets \| \| \| \| \| Cash and investments \| $47,737,803 \| - \| $47,737,803 \| \| Grants receivable \| 14,383,963 \| - \| 14,383,963 \| \| Unbilled receivable \| 31,530,596 \| - \| 31,530,596 \| \| Notes receivable \| 150,000 \| - \| 150,000 \| \| Interest receivable \| 3,670 \| - \| 3,670 \| \| Retention receivable \| 873,136 \| - \| 873,136 \| \| Prepaid expenses \| 387,056 \| - \| 387,056 \| \| Property held for sale \| 4,260,128 \| - \| 4,260,128 \| \| Under-recovery of indirect cost \| 1,016,833 \| - \| 1,016,833 \| \| Total current assets \| 100,343,185 \| - \| 100,343,185 \| \| Noncurrent assets \| \| \| \| \| Capital assets - Leasehold improvement and equipment \| - \| 12,335 \| 12,335 \| \| Construction in progress \| - \| 695,912,451 \| 695,912,451 \| \| Less due to member cities and Union Pacific Railroad \| - \| (695,912,451) \| (695,912,451) \| \| Total noncurrent assets \| - \| 12,335 \| 12,335 \| \| Total assets \| 100,343,185 \| 12,335 \| 100,355,520 \| ### DEFERRED OUTFLOWS OF RESOURCES \| Deferred outflows of resources related to pensions \| - \| 2,214,048 \| 2,214,048 \| \| Total deferred outflows of resources \| - \| 2,214,048 \| 2,214,048 \| Total assets and deferred outflows of resources $100,343,185 ## LIABILITIES \| Current liabilities \| Capital Projects Fund \| Adjustments \| Government Activities Statement of Net Position \| \|---------------------\|-----------------------\|-------------\|-----------------------------------------------\| \| Accounts payable and accrued expense \| $17,732,271 \| - \| 17,732,271 \| \| Accrued retention payable \| 1,131,110 \| - \| 1,131,110 \| \| Unearned revenue \| 22,254,454 \| - \| 22,254,454 \| \| Compensated absences \| 217,831 \| - \| 217,831 \| \| MTA promissory note loan \| 45,000,000 \| - \| 45,000,000 \| \| Net pension liability \| - \| 888,148 \| 87,223,814 \| \| Total current liabilities \| 86,335,666 \| 888,148 \| 87,223,814 \| ### DEFERRED INFLOWS OF RESOURCES \| Deferred inflows of resources related to pensions \| - \| 515,398 \| 515,398 \| \| Total deferred inflows of resources \| - \| 515,398 \| 515,398 \| ## FUND BALANCES/NET POSITION ### Fund balance \| Nonspendable for: \| Capital Projects Fund \| Adjustments \| Government Activities Statement of Net Position \| \|--------------------\|-----------------------\|-------------\|-----------------------------------------------\| \| Propaid expenses \| 387,056 \| \| \| \| Committed: \| CalPERS unfunded termination liability \| 6,347,036 \| \| \| Assigned: \| Capital project fund \| 7,273,427 \| \| \| Total fund balance \| 14,007,519 \| \| \| Total liabilities, deferred inflows of resources and fund balance $100,343,185 ### Net position \| Net investment in capital assets \| 12,335 \| 12,335 \| \|---------------------------------\|---------\|--------\| \| Unrestricted \| 810,502 \| 14,818,021 \| \| Total net position \| $822,837 \| $14,830,356 \| See notes to financial statements. ## Statement of Governmental Fund Revenues, Expenditures and Changes in Fund Balance/Statement of Activities ### Year Ended June 30, 2017 \| Description \| Capital Projects Fund \| Adjustments \| Statement of Activities \| \|--------------------------------------------------\|-----------------------\|-------------\|-------------------------\| \| Project Expenses \| \| \| \| \| Direct (Construction) \| $101,105,289 \| $(1,446,799)\| $99,658,490 \| \| Indirect expenses charged to operations \| 3,478,455 \| (12,588) \| 3,465,867 \| \| Total project expenses \| 104,583,744 \| (1,459,387) \| 103,124,357 \| \| Operating revenues \| \| \| \| \| Grant reimbursements \| 104,116,255 \| - \| 104,116,255 \| \| Other operating revenues \| 467,489 \| - \| 467,489 \| \| Total revenues \| 104,583,744 \| - \| 104,583,744 \| \| Income from operations \| - \| 1,459,387 \| 1,459,387 \| \| Nonoperating income (expense) \| \| \| \| \| Financing income \| 597,423 \| - \| 597,423 \| \| Financing expense \| (1,129,119) \| - \| (1,129,119) \| \| Net nonoperating income (expense) \| (531,696) \| - \| (531,696) \| \| Excess of revenues over expenditures/Change in net position \| (531,696) \| 1,459,387 \| 927,691 \| \| Fund balance/Net Position at beginning of year \| 14,539,215 \| (636,550) \| 13,902,665 \| \| Fund balance/Net Position at end of year \| $14,007,519 \| $822,837 \| $14,830,356 \| See notes to financial statements. NOTE 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES The Reporting Entity The Alameda Corridor - East Construction Authority (ACE) is a component unit of the San Gabriel Valley Council of Governments (SGVCOG). SGVCOG created ACE in 1998. ACE is a single purpose construction authority established to implement a construction program intended to mitigate the adverse impacts at rail-roadway crossings in the San Gabriel Valley of increasing rail traffic along the nationally significant Alameda Corridor East Trade Corridor. The ACE Project is a comprehensive program of constructing grade separations, where the road goes over or under the railroad, and safety and mobility upgrades at fifty-two crossings in the San Gabriel Valley. Basis of Accounting Government-wide financial statements are reported using the full accrual basis of accounting. The statement of activities presents changes in net position (This is equivalent to a statement of income and statement of changes in equity in for-profit entities). Revenues are recorded when earned and expenses are recognized at the time of the causal event. The governmental funds financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized as soon as they are both measurable and available. Expenditures are generally recorded when a liability is incurred. ACE recognizes grant revenues to the extent reimbursable obligations are earned on or before June 30, 2017, and are therefore the same under both modified accrual and full accrual basis. Description of Funds ACE uses funds and account groups to report on its financial position and results of its operations. Fund accounting is designed to demonstrate legal compliance and to aid financial management by segregating transactions related to certain government functions or activities. Governmental Fund The Capital Projects Fund accounts for the activity of obtaining support from governmental groups, determining funding and specifications for structures needed and to fund the contracts for the grade crossing improvements. NOTE 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) Fund Balance Reporting Governmental Accounting Standards Board (GASB) Statement No. 54, Fund Balance Reporting and Governmental Fund Type Definitions, establishes the following fund balance classifications that comprise a hierarchy based primarily on the extent to which a government is bound to observe constraints imposed upon the use of the resources reported in governmental funds: Nonspendable fund balance includes amounts that cannot be spent because they are either (a) not in spendable form or (b) legally or contractually required to be maintained intact. Examples are inventories, prepaid expenses, long-term receivables, or non-financial assets held for resale unless the proceeds are restricted, committed or assigned. Restricted fund balance includes resources that are subject to externally enforceable legal restrictions. It includes amounts that can be spent only for the specific purposes stipulated by constitution, external resource providers, or through enabling legislation. Committed fund balance includes amounts that can be used only for the specific purposes determined by a formal action of the Board of Directors ("Board"), ACE's highest level of decision-making authority. The Board may commit fund balance for specific purposes pursuant to constraints imposed by formal actions taken. Committed amounts cannot be used for any other purpose unless the Board removes or changes the specific use through the same type of formal action taken to establish the commitment. The ACE Board of Directors committed $6,347,036 of its fund balance for CalPERS unfunded termination liability as of June 30, 2017. Assigned fund balance consists of funds that are set aside for specific purposes by ACE’s Board or a body or official that has been given the authority to assign funds. Assigned funds cannot cause a deficit in unassigned fund balance. Unassigned fund balance is the residual classification for all spendable amounts not contained in the other classifications. This category also provides the resources necessary to meet unexpected expenditures and revenue shortfalls. The Board delegates the authority to assign fund balance to the Chief Executive Officer for purposes of reporting in the annual financial statements. ACE considers the restricted fund balances to have been spent when expenditure is incurred for purposes for which both unrestricted and restricted fund balance is available. ACE considers unrestricted fund balances to have been spent when expenditure is incurred for purposes for which amounts in any of the unrestricted classifications of fund balance could be used. When expenditures are incurred for purposes for which amounts in any of the unrestricted fund balance classifications could be used, it is the policy of ACE to reduce the committed amounts first, followed by assigned amounts, and then unassigned amounts. Budgetary Reporting It is ACE's policy not to start any phase of a project (i.e., design, right-of-way acquisition, or construction), unless there are sufficient funds to complete that phase. All project related expenses are reimbursable from existing grants and, as such, revenues are not budgeted separately, but derived from budgeted expenditures. Cash Equivalents Cash equivalents are those short-term investments readily converted into cash. Deposits with the State of California’s Local Agency Investment Fund (LAIF) Operating Fund and the bond portfolio managed by Citizens’ Business Bank are considered cash equivalents. Grant Revenues and Expenditures All grant agreements are between the SGVCOG and the granting authorities. ACE has been given authority to obtain and administer funding in the name of SGVCOG. The Los Angeles County Metropolitan Transportation Authority (METRO) grant was in existence when ACE was created and all subsequent grants are therefore administered by ACE. Historically, all grants with the exception of the Union Pacific Railroad (UPRR) contributions are, and are anticipated to be in the future, cost reimbursable. That is, ACE must first incur the expenditure and then bill for reimbursement from the grantors. Capital assets - Leasehold Improvements and Equipment Equipment and other improvements that can be capitalized in the government-wide financial statements are recorded as expenditures in the Capital Projects Fund. The threshold for capitalization is $5,000 in accordance with federal guidelines. On the government-wide financial statements, such items that meet the capitalization threshold are recorded as capital assets and are depreciated based upon their estimated useful lives on a straight-line basis. Useful lives of capital assets are as follows: \| Asset \| Useful Life \| \|------------------------------\|-------------\| \| Leasehold improvements \| 10 years \| \| Office furniture \| 10 years \| \| Computer and telephone equipment \| 5 years \| NOTE 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) Leasehold Improvements and Equipment (Continued) Under GASB Statement No. 34, construction in progress is prepared on the statement of net position as an asset. Therefore, construction costs would normally be capitalized and excluded from the statement of activities. However, the grant reimbursements generated by construction would be included in the statement of activities as program revenue. ACE is obligated to transfer components of completed projects to the UPRR and the member cities so that they can be included in their financial statements. The resulting reduction in assets would flow through the statement of activities as a loss. The net effect would be to produce widely fluctuating net position and fund balances depending on whether ACE was constructing (surplus) or transferring assets to member cities (deficit). Therefore, ACE elected to treat construction in progress as a matching asset and liability. This shows the total cost of ACE’s projects and the resulting liability to transfer the assets upon completion while not unduly impacting the statement of activities. Use of Estimates The process of presenting financial information requires the use of estimates and assumptions regarding certain assets and liabilities and their related income and expense items. Grant revenues and construction costs are especially vulnerable to such assumptions and accordingly actual results may differ from estimated amounts. Property Held for Sale The property held for sale is recorded at the lower of acquisition cost or estimated net realizable value. At June 30, 2017, property held for resale was $4,260,128. Pensions For purposes of measuring the net pension liability and deferred outflows/inflows of resources related to pensions, and pension expense, information about the fiduciary net position of the Agency’s California Public Employees’ Retirement System (CalPERS) plans and additions to/deductions from the Plans’ fiduciary net position have been determined on the same basis as they are reported by CalPERS. For this purpose, benefit payments (including refunds of employee contributions) are recognized when due and payable in accordance with the benefit terms. Investments are reported at fair value. NOTE 2 CAPITAL ASSETS Capital assets are recorded at cost and consist of the following: \| Cost: \| Balance June 30, 2016 \| Additions \| Deletions \| Balance June 30, 2017 \| \|-------\|----------------------\|-----------\|-----------\|----------------------\| \| Leasehold Improvements \| $19,762 \| - \| - \| $19,762 \| \| Computer Equipment: \| \| \| \| \| \| Hardware \| $214,141 \| - \| - \| $214,141 \| \| Software \| $114,483 \| - \| - \| $114,483 \| \| Website \| $3,393 \| - \| - \| $3,393 \| \| Telephone Equipment \| $12,086 \| - \| - \| $12,086 \| \| Office Furniture \| $31,972 \| - \| - \| $31,972 \| \| Total cost \| $395,837 \| - \| - \| $395,837 \| Less accumulated depreciation for: \| Leasehold Improvements \| $19,762 \| - \| - \| $19,762 \| \| Computer Equipment: \| \| \| \| \| \| Hardware \| $191,416 \| $10,830 \| - \| $202,246 \| \| Software \| $112,285 \| $1,758 \| - \| $114,043 \| \| Website \| $3,393 \| - \| - \| $3,393 \| \| Telephone Equipment \| $12,086 \| - \| - \| $12,086 \| \| Office Furniture \| $31,972 \| - \| - \| $31,972 \| \| Total accumulated depreciation \| $370,914 \| $12,588 \| - \| $383,502 \| Capital assets, net $24,923 $ (12,588) $ - $12,335 Depreciation expense included in indirect expenses for the year ended June 30, 2017 amounted to $12,588. NOTE 3 CASH AND INVESTMENTS Cash and investments at June 30, 2017 consist of the following: \| Description \| Amount \| \|-------------\|--------\| \| Cash in bank \| $2,713,338 \| \| Pooled funds \| $1,593,497 \| \| Money market funds \| $12,696,181 \| \| Investments \| $30,734,787 \| \| Total cash and investments \| $47,737,803 \| Investments Authorized by the California Government Code and ACE's Investment Policy The table below identifies the investment types that are authorized for ACE by the California Government Code ("Code") or ACE's investment policy ("Policy"), which is more restrictive. The table also identifies certain provisions of the Code (or the Policy) that address interest rate risk, credit risk, and concentration of credit risk. This table does not address investments of debt proceeds held by bond trustee that are governed by the provisions of debt agreements, rather than the general provisions of the Code or the Policy. \| Authorized Investment Type \| Maximum Maturity \| Maximum Percentage of Portfolio \| Maximum Investment in One Issuer \| \|---------------------------------------------------------------\|------------------\|---------------------------------\|---------------------------------\| \| U.S. Treasury Notes \| 5 years \| 100% \| None \| \| Treasury Notes of the State of California \| 5 years \| 25% \| None \| \| Indebtness of Any Local Agency within CA \| 5 years \| 25% \| None \| \| U.S. Government Agencies \| 5 years \| 50% \| 15% \| \| Banker's Acceptances \| 180 days \| 40% \| 10% \| \| Commercial Paper \| 270 days \| 10% \| 10% \| \| Negotiable Certificates of Deposit \| 5 years \| 30% \| 10% \| \| Repurchase Agreements \| 90 days \| 20% \| None \| \| Medium-Term Notes \| 5 years \| 30% \| 10% \| \| Shares of Beneficial Interest Issued by Diversified Companies Registered with the SEC \| None \| 20% \| 10% \| \| State of CA Local Agency Investment Fund (LAIF) \| None \| None \| None \| \| Mortgage-backed Securities \| 5 years \| 15% \| None \| NOTE 3 CASH AND INVESTMENTS (CONTINUED) Investments Authorized by Debt Agreements Investment of debt proceeds held by bond trustees is governed by provisions of the debt agreements, rather than the general provisions of the Code or the Policy. The table below identifies the investment types that are authorized for investments held by bond trustee. The table also identifies certain provisions of these debt agreements that address interest rate risk, credit risk, and concentration of credit risk. \| Authorized Investment Type \| Maximum Maturity \| Maximum Percentage Allowed in \| Maximum Investment One Issuer \| \|---------------------------------------------\|------------------\|-------------------------------\|------------------------------\| \| U.S Government Agencies \| 5 years \| 42% \| 15% \| \| Medium-term Notes (Corporate Bonds) \| 5 years \| 28% \| 10% \| \| Mortgage-backed Securities \| 5 years \| 7% \| None \| \| Certificate of Deposits \| 5 years \| 13% \| 10% \| \| Money Market Funds \| None \| 2% \| None \| \| State’s Local Agency Investment Fund (LAIF)\| None \| 5% \| None \| \| Municipals \| None \| 2% \| None \| Disclosures Relating to Interest Rate Risk Interest rate risk is the risk that changes in market interest rates will adversely affect the fair value of an investment. Generally, the longer the maturity of an investment, the greater the sensitivity of its fair value to changes in market interest rates. One of the ways that ACE manages its exposure to interest rate risk is by purchasing a combination of short-term and long-term investments and by timing cash flows from maturities so that a portion of the portfolio is maturing or coming close to maturity over time as necessary to provide the cash flow and liquidity needed for operations. Information about the sensitivity of the fair values of ACE's investments (including investments held by bond trustees) to market interest rate fluctuations is provided by the following table that shows the distribution of ACE's investments by maturity: \| Investment Type \| Total \| Remaining Maturity (in Months) \| \| \| \| \| \|---------------------------------\|-------------\|-------------------------------\|----------\|----------\|----------\|----------\| \| \| \| 12 Months Or Less \| 13 to 24 Months \| 25-60 Months \| More Than 60 Months \| \| LAIF \| $1,593,497 \| $1,517,010 \| $46,211 \| $30,276 \| - \| \| Money Market Funds \| $12,696,181 \| $12,696,181 \| - \| - \| - \| \| Fidelity Government Portfolio \| $744,080 \| $744,080 \| - \| - \| - \| \| Government Agencies \| $13,630,070 \| - \| - \| $13,630,070 \| - \| \| Certificates of Deposit \| $4,337,044 \| - \| - \| $4,337,044 \| - \| \| Corporate Bonds \| $9,273,853 \| - \| - \| $9,273,853 \| - \| \| Government Mortgages \| $2,026,852 \| - \| - \| $2,026,852 \| - \| \| Municipals \| $722,888 \| - \| - \| $722,888 \| - \| \| Total \| $45,024,465 \| $14,957,271 \| $46,211 \| $30,020,983 \| - \| Investments with Fair Values Highly Sensitive to Interest Rate Fluctuations ACE has no investments (including investments held by bond trustees) that are highly sensitive to interest rate fluctuations (to a greater degree than already indicated in the information provided above). Disclosures Relating to Credit Risk Generally, credit risk is the risk that an issuer of an investment will not fulfill its obligation to the holder of the investment. This is measured by the assignment of a rating by a nationally recognized statistical rating organization. Presented below is the minimum rating required by (where applicable) the Code, the Policy, or debt agreements, and the actual rating at the end of the year for each investment type. \| Investment Type \| Total \| Minimum Legal Rating \| Rating As of June 30, 2017 \| \|-------------------------------\|-----------\|----------------------\|---------------------------\| \| \| \| AAA \| AA \| A \| Not Rated \| \| LAIF \| $1,593,497\| N/A \| - \| - \| $1,593,497\| \| Money Market Funds \| $12,696,181\| A \| - \| - \| - \| \| Fidelity Government Portfolio \| $744,080 \| N/A \| - \| - \| $744,080 \| \| Government Agencies \| $13,630,070\| A \| - \| - \| - \| \| Certificates of Deposit \| $4,337,044\| N/A \| - \| - \| $4,337,044 \| \| Corporate Bonds \| $9,273,853\| A \| - \| - \| - \| \| Government Mortgages \| $2,026,852\| A \| - \| - \| - \| \| Municipals \| $722,888 \| A \| - \| - \| $464,578 \| \| Total \| $45,024,465 \| $12,954,491 \| $15,656,922 \| $9,738,431 \| $6,674,621 \| Concentration of Credit Risk ACE’s investment policy contains no limitations on the amount that can be invested in any one issuer beyond that stipulated by the Code. As of June 30, 2017, ACE had no investments in any one issuer (other than U.S. Treasury securities, mutual funds, and external investment pools) that represent 5% or more of ACE’s total investments other than funds held by the trustees. Custodial Credit Risk Custodial credit risk for deposits is the risk that, in the event of the failure of a depository financial institution, a government will not be able to recover its deposits or will not be able to recover collateral securities that are in the possession of an outside party. The custodial credit risk for investments is the risk that, in the event of the failure of the counterparty (e.g., broker-dealer) to a transaction, a government will not be able to recover the value of its investment or collateral securities that are in the possession of another party. NOTE 3 CASH AND INVESTMENTS (CONTINUED) Custodial Credit Risk (Continued) The Code and the Policy do not contain legal or policy requirements that would limit the exposure to custodial credit risk for deposits or investments, other than the following provision for deposits: The Code requires that a financial institution secure deposits made by state or local governmental units by pledging securities in an undivided collateral pool held by a depository regulated under state law (unless so waived by the governmental unit). The market value of the pledged securities in the collateral pool must equal at least 110% of the total amount deposited by the public agencies. California law also allows financial institutions to secure public agency deposits by pledging first trust deed mortgage notes having a value of 150% of the secured public deposits. As of June 30, 2017, ACE’s deposit of $15,447,370 with financial institutions is in excess of federal depository insurance limits but are held in collateralized accounts. As of June 30, 2017, the following investment types were held by the same broker-dealer (counterparty) that was used by ACE to buy the securities: \| Investment Type \| Reported Amount \| \|-----------------------\|-----------------\| \| Money Market Funds \| $12,696,181 \| Investments in State Investment Pool ACE is a voluntary participant in the Local Agency Investment Fund (LAIF) that is regulated by the Code under the oversight of the Treasurer of the State of California. At June 30, 2017, the total fair value of LAIF, including accrued interest was approximately $77.617 billion. The fair value of ACE's investment in this pool is $1,593,497 at June 30, 2017 based upon ACE's pro-rata share of the fair value provided by LAIF for the entire LAIF portfolio (in relation to the amortized cost of the portfolio). LAIF’s (and ACE’s) exposure to risk (credit, market or legal) is not currently available. NOTE 4 METRO PROMISSORY NOTE PAYABLE In June 2013, ACE entered into a promissory note to borrow up to $45,000,000, in variable rate, from the Metro to be used as working capital. The note payable balance outstanding at June 30, 2017 amounted to $45,000,000. Interest rates vary according to market conditions and have ranged from 1.26% to 1.60%. Proceeds from the note payable have been used to pay for construction activities. NOTE 4 METRO PROMISSORY NOTE PAYABLE (CONTINUED) The principal amount of the loan is to be used as working capital pursuant to the terms of the Alameda Corridor East Phase II Grade Separations Master Funding Agreement ("Master Agreement"), dated June 14, 2013. Except as otherwise provided in the Master Agreement and the promissory note, including, but not limited to, Metro's right to set off against the Measure R and/or Proposition C funds reimbursement due borrower, the entire unpaid balance of the working capital loan, all accrued and outstanding CP costs and any fees are unsecured and due on September 9, 2023, ten years after the first drawdown date. Because this is a revolving construction fund provided by Metro to facilitate the payment to the project contractors of ACE, this loan is not considered as a long-term debt. NOTE 5 GRANTS RECEIVABLE PROJECTS During the year ended June 30, 2017, ACE was the recipient, primarily from the U.S. Department of Transportation through California Department of Transportation (CalTRANS), of cost reimbursement type grants. Local matching share funds are also received from Metro. These grants are expenditure driven; funds must be expended before reimbursement is received. Certain amounts have been held back by the grantor agency pending completion of certain phases of contracted work and certain costs incurred may be subject to disallowance. Grants receivable and unbilled grants receivable at June 30, 2017 are shown net of disallowed costs. CalTRANS approved, under Uniform Guidance section 2 CFR 200.516, an indirect overhead allocation formula of 157.2% of total direct salaries and fringe benefit costs. Indirect costs incurred charged to grants for the year ended June 30, 2017 were $3,108,165. NOTE 6 EMPLOYEE BENEFIT PLANS A. General Information about the Pension Plans Plan Description All qualified permanent and probationary employees of ACE (as a component unit of SGVCOG), are eligible to participate in SGVCOG’s Miscellaneous Employee Pension Plans, cost-sharing multiple employer defined benefit pension plans administered by the California Public Employees’ Retirement System (CalPERS). Benefit provisions under the Plans are established by State statute and ACE resolution. CalPERS issues publicly available reports that include a full description of the pension plans regarding benefit provisions, assumptions and membership information that can be found on the CalPERS website. NOTE 6 EMPLOYEE BENEFIT PLAN (CONTINUED) Classic participants (defined as eligible participants prior to January 1, 2013) are required to contribute 7% of their annual covered salary. New participants (defined as eligible employees brought into CalPERS membership for the first time on or after January 1, 2013 PEPRA) contribute at least half the normal cost rate as determined by CalPERS. ACE contributes the remaining amounts necessary to fund the benefits for its employees, using the actuarial basis adopted by the CalPERS Board of Administration. Benefits Provided CalPERS provides service retirement and disability benefits, annual cost of living adjustments and death benefits to plan members, who must be public employees and beneficiaries. Benefits are based on years of credited service, equal to one year of full time employment. Members with five years of total service are eligible to retire at age 50 with statutorily reduced benefits. All members are eligible for non-duty disability benefits after 10 years of service. The death benefit is one of the following: the Basic Death Benefit, the 1957 Survivor Benefit, or the Optional Settlement 2W Death Benefit. The cost of living adjustments for each plan are applied as specified by the Public Employees’ Retirement Law. The Plans’ provisions and benefits in effect at June 30, 2017, are summarized as follows: \| \| Classic Prior to Jan. 1, 2013 \| PEPPRA On or after Jan. 1, 2013 \| \|--------------------------------\|-------------------------------\|---------------------------------\| \| Hire date \| \| \| \| Benefit formula \| 2% @ 55 \| 2% @ 62 \| \| Benefit vesting schedule \| 5 years service \| 5 years service \| \| Benefit payments \| monthly for life \| monthly for life \| \| Retirement age \| 50 - 55 \| 52 - 67 \| \| Monthly benefits, as a % of eligible compensation \| 2.0% to 2.7% \| 1.0% to 2.5% \| \| Required employee contribution rates \| 7.00% \| 6.25% \| \| Required employer contribution rates \| 8.38% \| 6.55% \| NOTE 6 EMPLOYEE BENEFIT PLAN (CONTINUED) Contributions Section 20814(c) of the California Public Employees’ Retirement Law requires that the employer contribution rates for all public employers be determined on an annual basis by the actuary and shall be effective on the July 1 following notice of a change in the rate. Funding contributions for both Plans are determined annually on an actuarial basis as of June 30 by CalPERS. The actuarially determined rate is the estimated amount necessary to finance the costs of benefits earned by employees during the year, with an additional amount to finance any unfunded accrued liability. ACE is required to contribute the difference between the actuarially determined rate and the contribution rate of employees. For the year ended June 30, 2017, the contributions made by ACE recognized as part of pension expense for the Plan were as follows: \| Miscellaneous Plan \| Contributions - employer \| $421,250 \| B. Pension Liabilities, Pension Expenses and Deferred Outflows/Inflows of Resources Related to Pensions As a component unit of SGVCOG, ACE was allocated pension liability, pension expense and deferred inflows and outflows of resources based on ACE’s share of the pension contribution during the fiscal year 2017. As of June 30, 2017, ACE reported net pension liabilities for its proportionate shares of the net pension liability of the Plan as follows: \| Miscellaneous Plan \| Net Pension Liability \| $888,148 \| ACE’s net pension liability for the Plan is measured as the proportionate share of the net pension liability. The net pension liability of the Plan is measured as of June 30, 2016, and the total pension liability for the Plan used to calculate the net pension liability was determined by an actuarial valuation as of June 30, 2015 rolled forward to June 30, 2016 using standard update procedures. ACE’s proportion of the net pension liability was based on a projection of the ACE’s long-term share of contributions to the pension plans relative to the projected contributions of all participating employers, which is actuarially determined. NOTE 6 EMPLOYEE BENEFIT PLAN (CONTINUED) Effective for measurement period 2015, CalPERS provides the GASB Statement No. 68 Accounting Valuation Report for the miscellaneous risk pool and allocation methodology to be used by participants in the risk pool. The schedules of employer allocation include three ratios. It includes allocation for the Total Pension Liability, Plan Fiduciary Net Position and all other pension amounts (e.g. deferred outflows/inflows of resources and pension expense). The Total Pension Liability is allocated based on the Actuarial Accrued Liability from the most recent Actuarial Valuation Report as of June 30, 2015 used for funding purposes. The Plan Fiduciary Net Position is allocated based on the sum of the Plan’s Market Value of Assets from the most recent Actuarial Valuation as of June 30, 2015 used for funding purposes plus supplemental payments made by employers during the current measurement period to reduce their unfunded actuarial accrued liabilities. All other pension amounts (deferred outflows/inflows of resources and pension expense) are allocated based on the legally or statutorily required employer contributions for the fiscal year ended June 30, 2016, including reported contribution adjustments and suspended payroll information. SGVCOG’s proportionate share for pension items as provided by CalPERS are as follows: \| \| 2017 \| \|--------------------------------\|----------\| \| Total pension liability \| 0.0005212\| \| Plan fiduciary net position \| 0.0005978\| \| All other pension amounts (deferred outflows/inflows of resources and pension expense) \| 0.0007990\| At June 30, 2017, ACE reported deferred outflows of resources and deferred inflows of resources related to pensions from the following sources: ### 2017 Miscellaneous Plan \| Classic \| Deferred Outflows of Resources \| Deferred Inflows of Resources \| \|---------\|--------------------------------\|-------------------------------\| \| \| $1,360,867 \| - \| \| \| 11,970 \| (2,024) \| \| \| - \| (113,244) \| \| \| - \| (26,968) \| \| \| 48,468 \| (334,448) \| \| \| 162,724 \| (38,714) \| \| \| 630,019 \| - \| \| \| $2,214,048 \| $(515,398) \| $1,360,867 reported as deferred outflows of resources related to contributions subsequent to the measurement date will be recognized as a reduction of the net pension liability in the year ending June 30, 2018. Other amounts reported as deferred outflows of resources and deferred inflows of resources related to pensions will be recognized as pension expense as follows: \| Year Ending June 30 \| Amount \| \|---------------------\|--------\| \| 2018 \| $22,978\| \| 2019 \| 29,608 \| \| 2020 \| 172,562\| \| 2021 \| 112,635\| \| 2022 \| - \| \| Thereafter \| - \| NOTE 6 EMPLOYEE BENEFIT PLAN (CONTINUED) Actuarial Assumptions The total pension liabilities in the June 30, 2015 actuarial valuations were determined using the following actuarial assumptions: \| Miscellaneous \| \|---------------\| \| Valuation Date \| June 30, 2015 \| \| Measurement Date \| June 30, 2016 \| \| Actuarial Cost Method \| Entry-Age Normal Cost Method \| Actuarial Assumptions: - Discount Rate: 7.65% - Inflation: 2.75% - Payroll Growth: 3.00% - Salary Increases: (1) - Investment Rate of Return: 7.5% (2) - Mortality: (3) - Post-Retirement Benefit Increase: (4) (1) Varies by entry age and service (2) Net of pension plan investment and administrative expenses, including inflation (3) Derived using CalPERS’ Membership Data for all funds (4) Contract COLA up to 2.75% until Purchasing Power Protection Allowance Floor on Purchasing Power applies, 2.75% thereafter The underlying mortality assumptions and all other actuarial assumptions used in the June 30, 2015 valuation were based on the results of a January 2015 actuarial experience study for the period 1997 to 2011. Further details of the Experience Study can be found on the CalPERS website. Discount Rate The discount rate used to measure the total pension liability was 7.65 percent. To determine whether the municipal bond rate should be used in the calculation of a discount rate for the plan, CalPERS stress tested plans that would most likely result in a discount rate that would be different from the actuarially assumed discount rate. Based on the testing, none of the tested plans run out of assets. Therefore, the current 7.65 percent discount rate is adequate and the use of the municipal bond rate calculation is not necessary. The long-term expected discount rate of 7.65 percent will be applied to all plans in the Public Employees Retirement Fund (PERF). The stress test results are presented in a detailed report that can be obtained from the CalPERS website. According to Paragraph 30 of GASB Statement No. 68, the long-term discount rate should be determined without reduction for pension plan administrative expense. The 7.50 percent investment return assumption used in this accounting valuation is net of administrative expenses. Administrative expenses are assumed to be 15 basis points. An investment return excluding administrative expenses would have been 7.65 percent. Using this lower discount rate has resulted in a slightly higher Total Pension Liability and Net Pension Liability. CalPERS checked the materiality threshold for the difference in calculation and did not find it to be a material difference. CalPERS is scheduled to review all actuarial assumptions as part of its regular Asset Liability Management (ALM) review cycle that is scheduled to be completed in February 2018. Any changes to the discount rate will require Board action and proper stakeholder outreach. For these reasons, CalPERS expects to continue using a discount rate net of administrative expenses for GASB Statement Nos. 67 and 68 calculations through at least the 2017-18 fiscal year. CalPERS will continue to check the materiality of the difference in calculation until such time as we have changed our methodology. The long-term expected rate of return on pension plan investments was determined using a building-block method in which best-estimate ranges of expected future real rates of return (expected returns, net of pension plan investment expense and inflation) are developed for each major asset class. The table below reflects the long-term expected real rate of return by asset class. The rate of return was calculated using the capital market assumptions applied to determine the discount rate and asset allocation. These rates of return are net of administrative expenses. \| Asset Class \| Assumed Asset Allocation \| Real Return Years 1 - 10(a) \| Real Return Years 11+(b) \| \|------------------------------------\|--------------------------\|----------------------------\|--------------------------\| \| Global Equity \| 51.00% \| 5.25% \| 5.71% \| \| Global Debt Securities \| 20.00% \| 0.99% \| 2.43% \| \| Inflation Assets \| 6.00% \| 0.45% \| 3.36% \| \| Private Equity \| 10.00% \| 6.83% \| 6.95% \| \| Real Estate \| 10.00% \| 4.50% \| 5.13% \| \| Infrastructure and Forestland \| 2.00% \| 4.50% \| 5.09% \| \| Liquidity \| 1.00% \| -0.55% \| -1.05% \| Total 100% (a) An expected inflation of 2.5% used for this period. (b) An expected inflation of 3.0% used for this period. Sensitivity of the Proportionate Share of the Net Pension Liability to Changes in the Discount Rate The following presents ACE’s proportionate share of the net pension liability for the Plan, calculated using the discount rate for the Plan, as well as what ACE’s proportionate share of the net pension liability would be if it were calculated using a discount rate that is 1-percentage point lower or 1-percentage point higher than the current rate: \| Miscellaneous Plan \| \| \|--------------------\|----------\| \| 1% Decrease \| 6.65% \| \| Net Pension Liability \| $1,809,504 \| \| Current Discount Rate \| 7.65% \| \| Net Pension Liability \| $888,148 \| \| 1% Increase \| 8.65% \| \| Net Pension Liability \| $126,693 \| C. Pension Plan Fiduciary Net Position Detailed information about each pension plan’s fiduciary net position is available in the separately issued CalPERS financial reports. D. Payable to the Pension Plan At June 30, 2017, ACE did not have outstanding balance for contributions to the pension plan required for the Year Ended June 30, 2017. E. Deferred Compensation Plan ACE has entered into a salary reduction deferred compensation plan for its employees. The plan allows employees to defer a portion of their current income from state and federal taxation. Employees may withdraw their participation at any time by giving written notice at least a week in advance prior to the effective date of the withdrawal. At June 30, 2017, plan assets with a total fair value of $1,578,809 were held by independent trustees. Accordingly, such amounts are not reflected in the accompanying basic financial statements. All amounts of compensation deferred under the plans are solely the property and rights of each beneficiary (pursuant to legislative changes effective 1998 to the Internal Revenue Code Section 457, this includes all property and rights purchased and income attributable to these amounts until paid or made available to the employee or other beneficiary). NOTE 7 COMMITMENTS AND CONTINGENCIES As discussed in Note 5, ACE receives reimbursement type grants from federal, state and local sources. Certain expenditures are not subject to reimbursement. Also, there may be disallowed costs. Management’s experience in this regard indicates disallowances, if any, will not be material. In the ordinary course of operations, ACE is the subject of claims and litigations from outside parties. In the opinion of management, there is no pending litigation or unasserted claims, the outcome of which would materially affect ACE’s financial position. Lease ACE occupies its office from Metropolitan Life Insurance Company subject to a lease expiring April 30, 2018. The monthly base rent, as defined in the lease agreement, follows: \| Period from / to \| Monthly Rent \| Annual Amount \| \|------------------------\|--------------\|---------------\| \| May 1, 2017 to April 30, 2018 \| $20,834 \| $250,009 \| \| May 1, 2018 to April 30, 2019 \| ++ \| 254,259 \| \| May 1, 2019 to April 30, 2020 \| ++ \| 261,887 \| \| May 1, 2020 to April 30, 2021 \| ++ \| 269,743 \| Total lease commitments $1,035,898 ++ Proposed Escrow Agreements for Contract Retention Pursuant to contracts entered into between ACE and several of its contractors, funds are deposited with an Escrow Agent. The Escrow Agent holds the funds for the benefit of the contractors until the escrow is terminated. The Escrow Agent, contractor or ACE may terminate this Escrow Agreement, with or without cause, by providing 30 days prior written notice to the other parties. In the event of termination of this Escrow Agreement, all the funds on deposit shall be paid to ACE and any accrued interest less escrow fees shall be paid to the contractor. ACE has recognized expenditures related to contract retention payments totaling $14,890,552 for fiscal year ended June 30, 2017. Funds are deposited in several escrow accounts until release to the contractor is authorized. NOTE 8 CONSTRUCTION IN PROGRESS AND TRANSFER OF COMPLETED PROJECTS Except for minor acquisitions that may be sold by ACE when no longer needed, all of the construction projects, when completed, will be deeded and transferred to the UPRR and the cities in which they are located at no cost to the acquirer. At June 30, 2017, $695,912,451 of costs was accumulated on projects in process and $463,758,906 had been transferred to UPRR and impacted cities. Under the modified accrual basis of accounting project expenditures would be reported as expenditures in the year incurred. On the government-wide financial statements conforming to GASB 34 reporting on these transactions would result in (accumulating such costs as construction in progress (i.e., treated as a cash flow expenditure and not a current year expense). This would substantially overstate income while reporting the disposal and expensing the accumulated costs would distort the cost of operations. In both cases, net position would greatly fluctuate, depending on the timing of construction and transfer of the completed projects. To alleviate this situation, management has elected to record a liability (same amount as the construction in progress) to UPRR and governments likely to be the eventual owner of the improvements/grade separations upon project completion. This approach will minimize the effects both the acquisition of property for construction and the accumulation of construction costs and their eventual disposal. NOTE 9 SUBSEQUENT EVENTS ACE has evaluated events subsequent to June 30, 2017 to assess the need for potential recognition or disclosure in the financial statements. Such events were evaluated through January 15, 2018, the date the financial statements were available to be issued. Based upon this evaluation, there were no subsequent events occurred that require recognition or additional disclosure in the financial statements. REQUIRED SUPPLEMENTARY INFORMATION ### Alameda Corridor - East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Schedule of Proportionate Share of the Net Pension Liability Last Ten Years* \| \| 2017 Miscellaneous Plan \| 2016 Miscellaneous Plan Classic \| 2016 Miscellaneous Plan PEPRA \| 2015 Miscellaneous Plan Classic \| 2015 Miscellaneous Plan PEPRA \| \|----------------------\|-------------------------\|---------------------------------\|-------------------------------\|---------------------------------\|-------------------------------\| \| Proportion of the net pension liability \| 0.02803% \| 0.04943% \| 0.000158% \| 0.01668% \| 0.00001% \| \| Proportionate share of the net pension liability \| $973,847 \| $835,047 \| $(469) $ \| $1,038,037 $ \| $126 \| \| Covered - employee payroll (1) \| $3,422,438 \| $2,769,467 $ \| $55,122 $ \| $2,764,711 $ \| $176,748 \| \| Proportionate share of the net pension liability as percentage of covered-employee payroll \| 28.45% \| 30.15% \| -0.85% \| 37.55% \| 0.07% \| \| Plan’s proportionate share of the fiduciary net position as a percentage of the plan’s total pension liability \| 12.98% \| 87.61% \| 108.71% \| 83.03% \| 83.02% \| \| Plan’s proportionate share of aggregate employer contributions (2) \| $243,174 \| $393,080 $ \| $15,076 $ \| $137,329 $ \| $88 \| \| ACE proportionate share of the net pension liability \| $888,148 \| \| \| \| \| ** Plan pertains to the Miscellaneous Plan of ACE and SGVCOG * Fiscal year 2015 was the first year of implementation, therefore only three years are shown. ### Notes to Schedule 1. Covered-Employee Payroll represented above is based on pensionable earnings provided by the employer. However, GASB Statement No. 68 defines covered-employee payroll as the total payroll of employees that are provided pensions through the pension plan. Accordingly, if pensionable earnings are different than total earnings for covered-employees, the employer should display in the disclosure footnotes the payroll based on total earnings for the covered group and recalculate the required payroll-related ratios. 2. The plan’s proportionate share of aggregate employer contributions may not match the actual contributions made by the employer during the measurement period. The plan’s proportionate share of aggregate contributions is based on the plan’s proportion of fiduciary net position shown on line 5 of the table above as well as any additional side fund (or unfunded liability) contributions made by the employer during the measurement period. * Fiscal year 2015 was the first year of implementation, therefore only three years are shown. See report of independent auditors. ### Schedule of Pension Contributions #### Last Ten Years* \| \| 2017 \| 2016 \| 2015 \| \|----------------------\|------\|------\|------\| \| Miscellaneous Plan \| \| \| \| \| Actuarially determined contributions \| $527,296 \| $306,775 \| $11,765 \| \| Contributions in relation to the actuarially determined contributions \| (527,296) \| (306,775) \| (11,765) \| \| Contribution deficiency (excess) \| $ - \| $ - \| $ - \| \| Covered-Employee Payroll \| $3,422,438 \| $2,769,467 \| $55,122 \| \| Contributions as a percentage of covered-employee payroll \| 15.41% \| 11.08% \| 21.34% \| Notes to Schedule: Valuation date: June 30, 2015 Methods and assumptions used to determine contribution rates: - Actuarial Cost Method: Entry age normal - Amortization method / Period: Level percent of payroll - Remaining amortization period: 15 years as of valuation date - Asset valuation method: 5 year Smoothed Market - Inflation: 2.75% - Salary increases: Varies by Entry Age and Service - Investment rate of return: 7.50%, net of pension plan investment expense and administrative expenses including inflation. - Retirement age: 55 years - Mortality: Derived using CalPERS Membership Data for all funds * Fiscal year 2015 was the first year of implementation, therefore only three years are shown. See report of independent auditors. ## Alameda Corridor - East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Schedule of Revenues, Expenditures and Changes in Fund Balance Capital Project Fund - Budget to Actual Year Ended June 30, 2017 \| \| Budgeted Amounts \| Actual Amounts \| Variance Positive (Negative) \| \|--------------------------------\|------------------\|----------------\|-----------------------------\| \| \| Original \| Amended Final \| \| \| \| Revenues \| \| \| \| \| \| Reimbursements \| \| \| \| \| \| Federal grants \| $3,684,740 \| $3,700,945 \| $6,026,263 \| $2,325,318 \| \| State grants \| 101,321,172 \| 101,766,761 \| 56,234,202 \| (45,532,559) \| \| Local grants \| 22,446,639 \| 22,545,354 \| 23,912,324 \| 1,366,970 \| \| Betterment - Other \| 4,986,912 \| 5,008,844 \| 17,943,467 \| 12,934,623 \| \| Total revenues \| 132,439,463 \| 133,021,904 \| 104,116,255 \| (28,905,649) \| \| Operating expenditures \| \| \| \| \| \| Construction \| \| \| \| \| \| Design \| 7,569,842 \| 7,569,842 \| 1,915,373 \| (5,654,469) \| \| Right-of-way acquisition \| 19,052,985 \| 19,052,985 \| 77,654,948 \| 58,601,963 \| \| Construction management \| 15,533,366 \| 15,533,366 \| 16,598,338 \| 1,064,972 \| \| Construction \| 82,976,627 \| 82,976,627 \| 1,619,056 \| (81,357,571) \| \| Betterments \| 4,247,586 \| 4,247,586 \| 3,317,574 \| (930,012) \| \| Total construction \| 129,380,406 \| 129,380,406 \| 101,105,289 \| (28,275,118) \| \| Indirect \| \| \| \| \| \| Personnel \| \| \| \| \| \| Salaries and wages \| 1,476,847 \| 1,476,847 \| 1,542,894 \| 66,047 \| \| Fringe benefits \| 766,027 \| 1,348,468 \| 1,332,772 \| (15,696) \| \| Employee related expenses \| 37,300 \| 37,300 \| 32,172 \| (5,128) \| \| Professional services \| \| \| \| \| \| Auditing/accounting \| 41,504 \| 41,504 \| 48,724 \| 7,220 \| \| Legal \| 25,000 \| 25,000 \| 23,498 \| (1,502) \| \| Brokerage \| 65,000 \| 65,000 \| 51,271 \| (13,729) \| \| Insurance \| 230,000 \| 230,000 \| 170,984 \| (59,016) \| \| Equipment expense \| 112,628 \| 112,628 \| 69,409 \| (43,219) \| \| Office rental expense \| 244,451 \| 244,451 \| 246,902 \| 2,451 \| \| Office operations \| 52,500 \| 52,500 \| 39,328 \| (13,172) \| \| Other \| 7,800 \| 7,800 \| 11,007 \| 3,207 \| \| Applied (under) indirect expense \| - \| - \| (557,995) \| (557,995) \| \| Total indirect \| 3,059,057 \| 3,641,499 \| 3,010,967 \| (630,532) \| \| Total operating expenditures\| 132,439,463 \| 133,021,905 \| 104,116,255 \| (28,905,649) \| \| Excess revenues over expenditures \| - \| - \| - \| - \| \| Other financing sources (uses) \| \| \| \| \| \| Investment revenue \| 466,300 \| 466,300 \| 597,423 \| 131,123 \| \| Interest and related expenses \| (421,000) \| (421,000) \| (1,129,119) \| (708,119) \| \| Non-project reimbursable funds \| 352,436 \| 352,436 \| 371,342 \| 18,906 \| \| Non-project reimbursable expense \| (352,436) \| (352,436) \| (371,342) \| (18,906) \| \| Intercompany revenue \| 51,246 \| 51,246 \| 96,147 \| 44,901 \| \| Intercompany expense \| (51,246) \| (51,246) \| (96,147) \| (44,901) \| \| Net other financing sources (uses) \| 45,300 \| 45,300 \| (531,696) \| (576,996) \| \| Change in fund balance \| 45,300 \| 45,300 \| (531,696) \| (576,996) \| \| Fund balance at beginning of year \| 14,539,215 \| 14,539,215 \| 14,539,215 \| - \| \| Fund balance at end of year \| $14,584,515$ \| $14,584,515$ \| $14,007,519$ \| $(576,996)$ \| See report of independent auditors. Report of Independent Auditors on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards The Honorable Members of the Board of Directors Alameda Corridor – East Construction Authority We have audited, in accordance with the auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States, the financial statements of Alameda Corridor – East Construction Authority (ACE), a component unit of San Gabriel Valley Council of Governments, as of and for the Year Ended June 30, 2017, and the related notes to the financial statements, which collectively comprise ACE’s basic financial statements, and have issued our report thereon dated January 15, 2018. Internal Control over Financial Reporting In planning and performing our audit of the financial statements, we considered ACE’s internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of ACE’s internal control. Accordingly, we do not express an opinion on the effectiveness of ACE’s internal control. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over financial reporting that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weakness. However, material weaknesses may exist that have not been identified. Compliance and Other Matters As part of obtaining reasonable assurance about whether ACE’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. Los Angeles, California January 15, 2018 Vasquez & Company LLP has over 45 years of experience in performing audit, accounting & consulting services for all types of nonprofit organizations, for-profit companies, governmental entities and publicly traded companies. Vasquez is a member of the RSM US Alliance. RSM US Alliance provides its members with access to resources of RSM US LLP. RSM US Alliance member firms are separate and independent businesses and legal entities that are responsible for their own acts and omissions, and each are separate and independent from RSM US LLP. RSM US LLP is the U.S. member firm of RSM International, a global network of independent audit, tax, and consulting firms. 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(213) 873-1700 • Fax (213) 873-1777 Audited Financial Statements and Supplementary Information Year Ended June 30, 2017 with Report of Independent Auditors San Gabriel Valley Council of Governments Audited Financial Statements and Supplementary Information Year Ended June 30, 2017 with Report of Independent Auditors \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| REPORT OF INDEPENDENT AUDITORS \| 1 \| \| MANAGEMENT'S DISCUSSION AND ANALYSIS \| 4 \| \| BASIC FINANCIAL STATEMENTS \| \| \| Governmental Fund Balance Sheet / Statement of Net Position \| 12 \| \| Statement of Governmental Fund Revenues, Expenditures and Changes in \| \| \| Fund Balance / Statement of Activities \| 13 \| \| Statement of Cash Flows \| 14 \| \| Notes to Financial Statements \| 15 \| \| REQUIRED SUPPLEMENTARY INFORMATION \| \| \| Schedule of Proportionate Share of the Net Pension Liability \| 38 \| \| Schedule of Pension Contributions \| 39 \| \| SUPPLEMENTARY INFORMATION (UNAUDITED) \| \| \| Component Unit - Statement of Revenues, Expenditures, and Changes in \| \| \| Fund Balance - Budget to Actual \| 40 \| \| REPORT OF INDEPENDENT AUDITORS ON INTERNAL CONTROL OVER \| \| \| FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS \| \| \| BASED ON AN AUDIT OF BASIC FINANCIAL STATEMENTS PERFORMED IN \| \| \| ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS \| 41 \| Report of Independent Auditors Members of the Governing Board San Gabriel Valley Council of Governments Report on the Financial Statements We have audited the accompanying financial statements of the business-type activities and the discretely presented component unit of San Gabriel Valley Council of Governments (SGVCOG), as of and for the year ended June 30, 2017, and the related notes to the financial statements, which collectively comprise SGVCOG’s basic financial statements as listed in the table of contents. Management’s Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors’ Responsibility Our responsibility is to express opinions on these financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinions. Opinions In our opinion, the financial statements referred to above present fairly, in all material respects, the respective financial position of the business-type activities and the discretely presented component unit of San Gabriel Valley Council of Governments as of June 30, 2017, and the respective changes in financial position and, where applicable, cash flows thereof for the year then ended in accordance with accounting principles generally accepted in the United States of America. Other Matters Required Supplementary Information Accounting principles generally accepted in the United States of America require that the management’s discussion and analysis on pages 4 through 11 and the required supplementary information on pages 38-39 be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the management discussion and analysis and the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Other Information Our audit was conducted for the purpose of forming opinions on the financial statements that collectively comprise SGVCOG’s basic financial statements. SGVCOG’s discretely presented component unit’s statement of revenues, expenditures and changes in fund balance – budget to actual on page 40, is presented for purposes of additional analysis and is not a required part of the basic financial statements. The statement of revenues, expenditures, and changes in fund balance – budget to actual is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the statement of revenues, expenditures and changes in fund balance – budget to actual is fairly stated, in all material respects, in relation to the basic financial statements as a whole. Other Reporting Required by Government Auditing Standards In accordance with Government Auditing Standards, we have also issued our report dated January 31, 2018, on our consideration of San Gabriel Valley Council of Governments’ internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is solely to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the effectiveness of SGVCOG’s internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering San Gabriel Valley Council of Governments’ internal control over financial reporting and compliance. Los Angeles, California January 31, 2018 Our discussion and analysis of the San Gabriel Valley Council of Governments (the SGVCOG) financial performance presents an overview of the SGVCOG’s financial activities during the year ended June 30, 2017. We encourage readers to consider information presented here in conjunction with the financial statements (beginning on page 12). The financial statements, notes and this discussion and analysis were prepared by management and are the responsibility of management. Background The SGVCOG was created on March 17, 1994 by a Joint Powers Agreement (JPA) among various member San Gabriel Valley Cities to promote cooperation, exchange ideas, coordinate regional government programs and to provide recommendations and solutions to common problems and to general concern of member governments. In 1998, the SGVCOG created the Alameda Corridor - East Construction Authority (ACE) (discretely presented component unit) to mitigate the effects of increasing Union Pacific Railroad (UPRR) train traffic in the San Gabriel Valley (Valley). There were 55 “at-grade” crossings in the Valley where vehicular and pedestrian traffic cross directly over railroad tracks and must stop while trains pass by. This creates congestion, degrades the local environment, and compromises safety. The ACE Project will separate 20 crossings at the busiest intersections – by either raising or lowering the railroad or the intersecting street – along the 35-mile freight rail corridor from East Los Angeles to Pomona. Financial Highlights In FY 2017, SGVCOG’s operating revenues increased by 1% from the previous year. The increase was mainly attributable to higher Energywise grant revenues earned in 2017. Component Unit ACE’s financial highlights for the year ended June 30, 2017: - Net position increased by $0.9 million, an increase of 6.7%. - Construction in progress increased by $103.5 million, an increase of 17.5%. - Total revenues decreased by $31.9 million, a decrease of 23.4%. - Total project expenses decreased by $31.0 million, a decrease of 23.1%. Overview of Financial Statements The SGVCOG’s basic financial statements consist of three components: (1) Government-wide Financial Statements, (2) Fund Financial Statements and (3) Notes to the Basic Financial Statements. Government-wide Financial Statements The government-wide financial statements found on pages 12 and 13 are designed to give readers a broad overview of the SGVCOG and its discretely presented component unit’s financial position. These include all of the SGVCOG and its discretely presented component unit’s assets and liabilities, deferred inflows/outflows of resources, revenues and expenses. The accounting basis is full accrual (similar to private sector companies) where the SGVCOG and its discretely presented component unit’s revenues and expenses are reported as the causal event occurs, instead of when the revenue was received or expense paid. The “Statement of Net Position” presents all of the SGVCOG and its discretely presented component unit’s assets, deferred outflows of resources, liabilities and deferred inflows of resources, with the difference reported as net position (or equity in the private sector). While large net position might indicate that a governmental agency has not spent all available revenues and other resources, negative net position indicates that the agency has overspent. It is management’s position to maintain sufficient net position to compensate for any disallowed costs, but to allocate any surplus to construction activities. The “Statement of Activities” presents the SGVCOG and its discretely presented component unit’s revenues and expenses for the year ended on June 30, 2017. Fund Financial Statements The fund financial statements can be found on pages 12 and 13 of this report. A fund is a grouping of related accounts that is used to maintain control over resources that have been segregated for specific activities or objectives. ACE, unlike cities, county or State governments, has one activity – construction. All of ACE’s activities are classified as a Construction (Capital Projects) Fund with the exception of the amount invested in a deferred compensation plan funded solely by staff. Differences between the two sets of financial statements are normally determined by the complexity of the reporting agency and usually revolve around different treatments for capital assets and depreciation, debt issuance and repayment, and pension-related account balances. ACE’s focus on a single activity results in the two statements being very similar. Notes to the Basic Financial Statements This report includes notes to the basic financial statements. They provide additional information that is important to a complete understanding of the data contained in the government-wide and fund financial statements. The notes can be found on pages 15 through 37 of this report. Financial Analysis Primary Government Condensed Statements of Net Position The following table summarizes the assets, deferred outflows of resources, liabilities, deferred inflows of resources, and net position of SGVCOG's primary government as of June 30, 2017 and 2016: \| \| June 30 \| Variance \| \|--------------------------------\|---------------\|--------------\| \| \| 2017 \| 2016 \| Amount \| % \| \| Current assets \| $866,566 \| $917,083 \| $(50,517) \| -6% \| \| Deferred outflows of resources \| 148,753 \| 48,112 \| 100,641 \| 209%\| \| Total assets and deferred outflows of resources \| 1,015,319 \| 965,195 \| 50,124 \| 5% \| \| Liabilities \| 149,908 \| 146,522 \| 3,386 \| 2% \| \| Deferred inflows of resources \| 49,731 \| 23,578 \| 26,153 \| 111%\| \| Total liabilities and deferred inflows of resources \| 199,639 \| 170,100 \| 29,539 \| 17% \| \| Net position \| \| \| \| \| \| Restricted \| 110,358 \| 110,248 \| 110 \| 0% \| \| Unrestricted \| 705,322 \| 684,847 \| 20,475 \| 3% \| \| Total net position \| $815,680 \| $795,095 \| $20,585 \| 3% \| Current assets decreased this year by $50,517, or 6%, and liabilities increased by $3,386 or 2%. Decrease in current assets was largely due to lower grants receivable balance in 2017 and collection of 2016 other receivables. Increase in liabilities was primarily due to the recognition of SGVCOG’s share in the net pension liability. As previously discussed, net position can serve as an indicator of financial health. The SGVCOG’s assets and deferred outflows of resources exceeded liabilities and deferred inflows of resources by $815,680 and $795,095 as of June 30, 2017 and 2016, respectively. Condensed Statements of Activities The following table presents the SGVCOG’s revenues, expenses, and changes in net position for the years ended June 30, 2017 and 2016: \| Year ended June 30, \| Variance \| \|---------------------\|----------\| \| \| Amount \| % \| \| Operating revenues \| \| \| \| Dues: \| \| \| \| General Fund \| $564,716 \| $566,734 \| $(2,018) \| 0% \| \| Transportation \| 180,394 \| 200,196 \| (19,802) \| -10% \| \| Sponsorships \| 745,110 \| 766,930 \| (21,820) \| -3% \| \| Grants and matches from other governments: \| \| \| \| Los Angeles County Metropolitan Transportation Authority \| 90,844 \| 89,378 \| 1,466 \| 2% \| \| Southern California Edison - Energywise \| 139,384 \| 173,822 \| (34,438) \| -20% \| \| Southern California Edison - California Energy Efficiency Strategic Plan Implementation \| 44,291 \| 115,946 \| (71,655) \| -62% \| \| Southern California Gas - Energywise \| 128,342 \| - \| 128,342 \| 100% \| \| Western Riverside Council of Governments - California HERO \| 14,202 \| 20,334 \| (6,132) \| -30% \| \| Total operating revenues \| 1,174,724 \| 1,166,410 \| 8,314 \| 1% \| \| Operating expenses \| \| \| \| Administrative \| 738,108 \| 570,248 \| 167,860 \| 29% \| \| Energywise \| 267,726 \| 173,822 \| 93,904 \| 54% \| \| Transportation \| 105,832 \| 120,060 \| (14,228) \| -12% \| \| California Energy Efficiency Strategic Plan Implementation \| 44,291 \| 115,947 \| (71,656) \| -62% \| \| Total operating expenses \| 1,155,957 \| 980,077 \| 175,880 \| 18% \| \| Operating income \| \| \| \| \| 18,767 \| 186,333 \| (167,566) \| -90% \| \| Nonoperating income \| \| \| \| Other income \| - \| 50,933 \| (50,933) \| 100% \| \| Interest income \| 1,818 \| 1,080 \| 738 \| 68% \| \| Total nonoperating income \| 1,818 \| 52,013 \| (50,195) \| -97% \| \| Change in net position \| \| \| \| \| 20,585 \| 238,346 \| (217,761) \| -91% \| \| Net position, beginning of year \| \| \| \|---------------------------------\|----------\|--------\| \| \| 795,095 \| 556,749 \| 238,346 \| 43% \| \| Net position, end of year \| \| \| \|---------------------------------\|----------\|--------\| \| \| $815,680 \| $795,095 \| $20,585 \| 3% \| During fiscal year 2017, total operating revenues increased by 1% from the previous year. The increase was mainly attributable to higher Energywise grant revenues earned in 2017. Revenues for SGVCOG consist primarily of dues from 31 member cities, three Los Angeles County supervisorial districts, and a Joint Power Authority of the water agencies, which represents three municipal water districts, cost reimbursable grants from Southern California Edison (SCE), a local utility, grant matching funds from Los Angeles County MTA, and fees on the aggregate cost for the bonds issued to fund installation of renewable energy efficiency improvements from the Home Energy Renovation Opportunity (HERO) program. Grants and matches from other governments and Sponsorships were $429,614 in FY2017 compared to $399,480 in FY2016, an increase of $30,134 or 8%. The increase was mostly due to higher Energywise grant revenues earned in FY2017, reduced by lower California Energy Efficiency Strategic Plan Implementation - Phase 3 grant. This program was completed in September 2016. Operating expenses were $1,155,957 in FY2017 compared to $980,077 in FY 2016, an increase of $175,880 or 18%. The increase is primarily attributable to higher administrative salaries and wages, and fringe benefits, transportation technical support, administration, accounting, and finance support services provided by ACE staff, and an increase in grant writing services for new grants being pursued by the SGVCOG. Non-operating income, consisting of investment income, increased by $738 or 68% in FY2017 from FY2016, primarily due to higher yield on investments with the State’s Local Agency Investment Fund. During FY2016, SGVCOG was awarded a legal settlement of $50,933. ### Component Unit #### Condensed Statements of Net Position \| \| June 30 \| \| Variance \| % \| \|--------------------------------\|---------------\|-------\|--------------\|-----\| \| \| 2017 \| 2016 \| Amount \| \| \| Current and other assets \| $100,343,185 \| $93,669,646 \| $6,673,539 \| 7.1%\| \| Capital assets \| 12,335 \| 24,923 \| (12,588) \| -50.5%\| \| Construction in progress \| 695,912,451 \| 592,444,003 \| 103,468,448 \| 17.5%\| \| Less due to member cities and Union Pacific Railroad \| (695,912,451) \| (592,444,003) \| (103,468,448) \| 17.5%\| \| Total assets \| 100,355,520 \| 93,694,569 \| 6,660,951 \| 7.1% \| \| Deferred outflows of resources \| 2,214,048 \| 1,000,636 \| 1,213,412 \| 121.3%\| \| Liabilities \| 87,223,814 \| 79,965,009 \| 7,258,805 \| 9.1% \| \| Deferred inflow of resources \| 515,398 \| 827,531 \| (312,133) \| -37.7%\| \| Net position \| $14,830,356 \| $13,902,665 \| $927,691 \| 6.7% \| 8 All organizations are required to report construction in progress (that is, the sum of prior and current year’s construction expense) on the statement of net position as an asset. This would normally be done by treating each year’s construction as a capital expense which would be excluded from the statement of activities. However, the grant reimbursements generated by construction would be included in the statement of activities as revenue. ACE is obligated to transfer components of completed projects to the UPRR and the cities so that they can be included in their financial statements. The resulting reduction in assets would flow through the statement of activities as a loss. The net effect would be to produce widely fluctuating net position and fund balances depending on whether ACE was constructing (surplus) or transferring assets to member cities (deficit). Therefore, ACE elected to treat construction in progress as a matching asset and liability. This shows the total cost of ACE’s projects and the resulting liability to transfer the assets upon completion while not unduly impacting the statement of activities. Total assets increased by 7.1% to $100.4 million, mainly due to increases in cash and investments, as one participating city funded future betterment work. Construction in progress increased by 17.5% to $695.9 million, primarily because of increased construction activity on San Gabriel Trench, Puente Avenue, Fairway Drive, and Fullerton Road projects. Unearned revenue increased 38.6% to $22.3 million, mainly because of betterment funds received in advance for the Fullerton Road project. Due to delay in funding from previously approved federal grant, unbilled receivables increased 29.7% to $31.5 million. Condensed Statements of Activities The following table shows the condensed statements of activities for the years ended June 30, 2017 and 2016. Total net position increased by $0.9 million or 6.7% for the year ended June 30, 2017. The increase was due to an adjustment to construction expenses that were incurred in the prior year. \| Years ended June 30 \| 2017 \| 2016 \| Variance \| % \| \|---------------------\|------------\|------------\|--------------\|-----\| \| Project Expenses \| \| \| \| \| \| Direct (Construction)\| $99,658,490\| $132,103,266\| $(32,444,776)\| -24.6% \| \| Indirect expenses charged to operations \| $3,465,867 \| $2,025,888 \| $1,439,979 \| 71.1% \| \| Total project expenses \| $103,124,357 \| $134,129,154 \| $(31,004,797) \| -23.1% \| \| Operating revenues \| \| \| \| \| \| Grant reimbursements \| $104,116,255 \| $133,732,844 \| $(29,616,589) \| -22.1% \| \| Other operating revenues \| $467,489 \| $2,763,634 \| $(2,296,145) \| -83.1% \| \| Total revenues \| $104,583,744 \| $136,496,478 \| $(31,912,734) \| -23.4% \| \| Income/(loss) from operations \| $1,459,387 \| $2,367,324 \| $(907,937) \| -38.4% \| \| Nonoperating income (expense) \| \| \| \| \| \| Financing income \| $597,423 \| $499,752 \| $97,671 \| 19.5% \| \| Financing expense \| $(1,129,119) \| $(394,603) \| $(734,516) \| 186.1% \| \| Net financing income (loss) \| $(531,696) \| $105,149 \| $(636,845) \| -605.7% \| \| Change in net position \| $927,691 \| $2,472,473 \| $(1,544,782) \| -62.5% \| \| Net position at beginning of year \| $13,902,665 \| $11,430,192 \| $2,472,473 \| 21.6% \| \| Net position at end of year \| $14,830,356 \| $13,902,665 \| $927,691 \| 6.7% \| Capital Assets Primary Government The SGVCOG had $0 invested in capital assets, net of depreciation, as of June 30, 2017 and 2016. The capital assets are fully depreciated as of June 30, 2017 and 2016. The SGVCOG's capital assets consist of office equipment only. Capital assets are purchased with governmental resources. Component Unit ACE had $12,335 invested in capital assets, net of depreciation, as of June 30, 2017 consisting of leasehold improvements and equipment. Economic Factors and Next Year’s Budget Primary Government The budget for fiscal year 2018 assumes that the on-hand net position as of June 30, 2017 will be required and available to fulfill the program and administrative expense requirements. Component Unit Budgeted expenditures in fiscal year 2018 increased 10.9% over 2017, as increases in construction were offset by reductions in right-of-way acquisitions. Based on 2018 first quarter expenditures, it is anticipated the 2018 budget will be within 5% of budgeted expenditures. Further Information This report has been designed to provide a general overview to our stakeholders of the SGVCOG's financial condition and related issues. Inquiries should be directed to Carlos Monroy, Director of Finance, 4900 Rivergrade Road, Suite A120 Irwindale, CA 91706. ## San Gabriel Valley Council of Governments ### Governmental Fund Balance Sheet / Statement of Net Position #### June 30, 2017 \| ASSETS \| Primary Government \| Business-type Activities \| Capital Projects Fund \| Component Unit \| Total \| \|--------\|--------------------\|--------------------------\|-----------------------\|----------------\|-------\| \| \| \| \| \| Adjustment \| \| \| Current assets \| $764,843 \| $47,737,803 \| - \| - \| $47,737,803 \| \| Cash and investments \| - \| - \| - \| - \| - \| \| Member receivable \| - \| - \| - \| - \| - \| \| Grants receivable \| $75,782 \| $14,383,963 \| - \| - \| $14,383,963 \| \| Unbilled receivables \| - \| $31,530,596 \| - \| - \| $31,530,596 \| \| Notes receivables \| - \| $150,000 \| - \| - \| $150,000 \| \| Other receivable \| $14,109 \| $3,670 \| - \| - \| $3,670 \| \| Retention receivable \| - \| $873,136 \| - \| - \| $873,136 \| \| Prepaid expenses \| $11,832 \| $387,056 \| - \| - \| $387,056 \| \| Property held for sale \| - \| $4,260,128 \| - \| - \| $4,260,128 \| \| Under-recovery of indirect costs \| - \| $1,016,833 \| - \| - \| $1,016,833 \| \| Total current assets \| $866,566 \| $100,343,185 \| - \| - \| $100,343,185 \| \| Noncurrent assets \| $8,645 \| - \| $395,837 \| - \| $395,837 \| \| Leasehold improvements and equipment \| Less accumulated depreciation and amortization \| $(8,645) \| - \| $(383,502) \| $(383,502) \| \| Construction in progress \| Less due to member cities and Union Pacific Railroad \| - \| - \| $695,912,451 \| $(695,912,451) \| \| Total assets \| $866,566 \| $100,343,185 \| $12,335 \| - \| $100,355,520 \| \| DEFERRED OUTFLOWS OF RESOURCES \| $148,753 \| - \| $2,214,048 \| - \| $2,214,048 \| \| Deferred outflows of resources relatead to pension \| - \| - \| - \| - \| - \| \| Total assets and deferred outflows of resources \| $100,343,185 \| - \| $2,214,048 \| - \| $100,343,185 \| \| LIABILITIES \| Primary Government \| Business-type Activities \| Capital Projects Fund \| Component Unit \| Total \| \|-------------\|--------------------\|--------------------------\|-----------------------\|----------------\|-------\| \| Current liabilities \| $39,600 \| $17,732,271 \| - \| - \| $17,732,271 \| \| Accounts payable and accrued expenses \| Accrued retention payable \| - \| $1,131,110 \| - \| $1,131,110 \| \| Unearned revenue \| Compensated absences, current portion \| - \| $22,254,454 \| - \| $22,254,454 \| \| Metro promissory note loan \| - \| $45,000,000 \| - \| - \| $45,000,000 \| \| Total current liabilities \| $57,361 \| $86,335,666 \| - \| - \| $86,335,666 \| \| Noncurrent liabilities \| $6,849 \| - \| - \| - \| - \| \| Compensated absences \| Net pension liability \| $85,698 \| - \| $888,148 \| $888,148 \| \| Total noncurrent liabilities \| $92,547 \| - \| $888,148 \| - \| $888,148 \| \| Total liabilities \| $149,908 \| $86,335,666 \| $888,148 \| - \| $87,223,814 \| \| DEFERRED INFLOWS OF RESOURCES \| $49,731 \| - \| $515,398 \| - \| $515,398 \| \| Deferred inflows of resources related to pension \| - \| - \| - \| - \| - \| \| FUND BALANCES/NET POSITION \| $14,007,519 \| - \| $14,830,356 \| - \| $14,830,356 \| \| Fund balance \| Nonspendable for: \| Committed \| Assigned: \| Total fund balance \| \|------------------\|-------------------\|-----------\|-----------\|-------------------\| \| Prepaid expenses \| $387,056 \| CalPERS unfunded termination liability \| $6,347,036 \| Capital project fund \| $7,273,427 \| \| Total fund balance \| $14,007,519 \| - \| - \| - \| $14,007,519 \| \| Net position \| Invested in capital assets \| Restricted \| Unrestricted \| Total net position \| \|-----------------\|---------------------------\|------------\|--------------\|-------------------\| \| - \| $110,358 \| $705,322 \| $822,837 \| $14,830,356 \| See notes to financial statements. ## San Gabriel Valley Council of Governments ### Statement of Governmental Fund Revenues, Expenditures and Changes in Fund Balance / Statement of Activities Year ended June 30, 2017 \| Functions/Programs \| Expenses \| Indirect Expense Allocation \| Program Revenues \| Capital Grants and Contributions \| Primary Government Business-type Activities \| Component Unit \| \|---------------------------------------------------------\|--------------\|-----------------------------\|------------------\|---------------------------------\|---------------------------------------------\|----------------\| \| Primary government: \| \| \| \| \| \| \| \| Business-type activities: \| \| \| \| \| \| \| \| General government \| $738,108 \| - \| $564,716 \| - \| - \| (173,392) \| \| Transportation \| 105,832 \| - \| 180,394 \| - \| - \| 74,562 \| \| Los Angeles County Metropolitan Transportation Authority\| - \| - \| - \| 90,844 \| - \| 90,844 \| \| California Energy Efficiency Strategic Plan Implementation\| 44,291 \| - \| - \| 44,291 \| - \| - \| \| Southern California - Energywise \| 267,726 \| - \| - \| 267,726 \| - \| - \| \| Others \| - \| - \| - \| 26,753 \| - \| 26,753 \| \| Total business-type activities \| $1,155,957 \| - \| $745,110 \| $429,614 \| - \| 18,767 \| \| Component unit: \| \| \| \| \| \| \| \| Project expenses \| $101,105,289 \| $3,478,455 \| - \| - \| $104,583,744 \| $1,459,387 \| \| Financing expense \| 1,129,119 \| - \| - \| - \| - \| (1,129,119) \| \| Total component unit \| $102,234,408 \| $3,478,455 \| - \| - \| $104,583,744 \| $1,459,387 \| ### General revenues: - Interest and other income: $1,818 ### Change in net position - Fund balance/Net position, beginning of year: $795,095 - Fund balance/Net position, end of year: $815,680 ### Deficiency of Revenues over Expenditures - Primary Government: $(1,129,119) - Component Unit: $(1,129,119) ### Net (Expense) Revenue and Changes in Net Position - Primary Government: $(1,129,119) - Component Unit: $(1,129,119) --- See notes to financial statements. ## Cash flows from operating activities \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Cash receipts from cities \| $696,751 \| \| Cash receipts from all other services \| 536,203 \| \| Cash paid for operating expenses \| (599,304) \| \| Cash paid for employee compensation and related costs \| (574,914) \| \| Net cash provided by operating activities \| 58,736 \| ## Cash flows from investing activities \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Cash receipts from interest \| 1,600 \| \| Cash provided by investing activities \| 1,600 \| ## Change in cash and cash equivalents \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Change in cash and cash equivalents \| 60,336 \| ## Cash and cash equivalents - beginning of year \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Cash and cash equivalents - beginning of year\| 704,507\| ## Cash and cash equivalents - end of year \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Cash and cash equivalents - end of year \| $764,843\| ## Reconciliation of operating income to net cash provided by operating activities: \| Description \| Amount \| \|--------------------------------------------------\|------------\| \| Operating income \| $18,767 \| \| Adjustment to reconcile operating income to net cash provided by operating activities: \| \| \| Changes in operating assets and liabilities: \| \| \| Member dues receivable \| 800 \| \| Other receivables \| 44,391 \| \| Grants receivable \| 62,198 \| \| Prepaid expenses \| 2,275 \| \| Deferred outflows of resources \| (100,641) \| \| Accounts payable and accrued expenses \| (57,763) \| \| Unearned revenues \| (49,159) \| \| Compensated absences \| 24,610 \| \| Net pension liability \| 87,105 \| \| Deferred inflows of resources \| 26,153 \| \| Net cash provided by operating activities \| $58,736 \| NOTE 1 SUMMARY OF SIGNIFICANT POLICIES Organization and activities The San Gabriel Valley Council of Governments (the "SGVCOG") was created effective March 17, 1994 by a Joint Powers Agreement (JPA) among various San Gabriel Valley cities to promote cooperation, exchange ideas, coordinate regional government programs and to provide recommendations and solutions to common problems and to general concern of member governments. It is the immediate successor to the San Gabriel Valley Association of Cities, an unincorporated association. Its members organized the SGVCOG because they recognized a need for a more permanent and formalized structure. The SGVCOG is supported by contributions from its members and also receives grant funds to conduct regional studies on Transportation, Air Quality, Environmental Matters, as a sub-grantee of other governmental entities. The SGVCOG is a non-profit California Public Agency and it is tax exempt. Reporting entity The accompanying financial statements present the SGVCOG (the primary government) and its component unit, the Alameda Corridor - East Construction Authority (ACE). As defined by GASB Statement No. 14, component units are legally separate entities that are included in the primary government's reporting entity because of the significance of their operating or financial relationships with the primary government. SGVCOG and its component unit are together referred to herein as the reporting entity. ACE is a single purpose construction authority created by the SGVCOG in 1998 to mitigate the effects of increasing Union Pacific Railroad train traffic in the San Gabriel Valley. ACE does not meet the criteria for a blended component because it is a legally separate entity having its own set of Board of Directors, independent of SGVCOG’s Governing Board. ACE’s Board is responsible for approving its own budget and accounting and finance related activities. SGVCOG has no fiscal responsibility over ACE and there is no financial burden or benefit relationship between the two entities. Accordingly, ACE is reported as a discretely presented component unit in a separate column in the government-wide financial statements to emphasize that it is legally separate from the SGVCOG. Separate financial statements for ACE are issued. Government-wide and fund financial statements The government-wide financial statements (i.e., the statement of net position and the statement of activities) report information about the primary government (the SGVCOG) and its discretely presented component unit (ACE). The financial statements are prepared using the accrual basis of accounting. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Measurement focus, basis of accounting and financial statement presentation The government-wide and proprietary fund financial statements are reported using the economic resources measurement focus and the accrual basis of accounting. The Statement of Activities presents changes in Net Position. (This is equivalent to an Income and Changes in Equity Statement in private sector companies.) Revenues are recorded when earned and expenses are recognized at the time of the causal event. Governmental fund financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. ACE recognizes reimbursements from grants as revenues to the extent reimbursing obligations are earned on or before June 30, 2017 and are therefore the same under both modified accrual and full accrual basis. Major interest bearing debt is short-term in nature so there is no difference relating to accrued interest owed. Based upon the nature of the operations of ACE, only a capital projects fund is utilized (a governmental fund type). Amounts reflected in the adjustment column in the financial statements of ACE represents capital assets and construction in progress (less due to member cities and Union Pacific Railroad) used in governmental activities that are not current financial resources and therefore are not reported as assets in the governmental fund balance and the related depreciation expense on the capital assets reported in the government-wide statement of activities that do not require the use of current financial resources and therefore not reported as an expenditure in the governmental funds. Description of funds Proprietary Funds The focus of proprietary fund measurement is upon determination of operating income, changes in net position, financial position, and cash flows. The generally accepted accounting principles applicable are those similar to businesses in the private sector. The following are revenue components of the SGVCOG: California Energy Efficiency Strategic Plan Implementation - Funds for the implementation of certain energy efficiency programs under the Decision 09-09-47 and 12-11-015 of the California Public Utilities Commission including the Energy Leader Partnership Program. Energywise - Funds to implement a program to reduce energy usage in the region by providing enhanced rebates for installing energy efficiency measures in municipal facilities, technical assistance, and various training and educational opportunities. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Description of funds (Continued) Governmental Fund Capital Projects Fund - Accounts for the activity of obtaining support from governmental groups, determining funding and specifications for structures needed and to fund the contracts for the grade crossing improvements. This fund accounts for all of the activities of ACE. Fund balance reporting Governmental Accounting Standards Board (GASB) Statement No. 54, Fund Balance Reporting and Governmental Fund Type Definitions, establishes the following fund balance classifications that comprise a hierarchy based primarily on the extent to which a government is bound to observe constraints imposed upon the use of the resources reported in governmental funds: Nonspendable fund balance includes amounts that cannot be spent because they are either (a) not in spendable form or (b) legally or contractually required to be maintained intact. Examples are inventories, prepaid expenses, long-term receivables, or non-financial assets held for resale unless the proceeds are restricted, committed or assigned. Restricted fund balance includes resources that are subject to externally enforceable legal restrictions. It includes amounts that can be spent only for the specific purposes stipulated by constitution, external resource providers, or through enabling legislation. Committed fund balance includes amounts that can be used only for the specific purposes determined by a formal action of the highest level of decision-making authority (Board of Directors). Assigned fund balance consists of funds that are set aside for specific purposes by ACE Construction Authority’s highest level of decision making authority or a body or official that has been given the authority to assign funds. Assigned funds cannot cause a deficit in unassigned fund balance. Unassigned fund balance is the residual classification for ACE’s general fund and includes all spendable amounts not contained in the other classifications. This category also provides the resources necessary to meet unexpected expenditures and revenue shortfalls. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Fund balance reporting (Continued) The Board of Directors, as ACE’s highest level of decision-making authority, may commit fund balance for specific purposes pursuant to constraints imposed by formal actions taken. Committed amounts cannot be used for any other purpose unless the Board of Directors removes or changes the specific use through the same type of formal action taken to establish the commitment. The ACE Board of Directors committed $6,347,036 of its fund balance for CalPERS unfunded termination liability as of June 30, 2017. The Board of Directors delegates the authority to assign fund balance to the Chief Executive Officer for purposes of reporting in the annual financial statements. ACE considers the restricted fund balances to have been spent when expenditure is incurred for purposes for which both unrestricted and restricted fund balance is available. ACE considers unrestricted fund balances to have been spent when an expenditure is incurred for purposes for which amounts in any of the unrestricted classifications of fund balance could be used. When expenditures are incurred for purposes for which amounts in any of the unrestricted fund balance classifications could be used, it is the policy of ACE to reduce the committed amounts first, followed by assigned amounts, and then unassigned amounts. Budgetary reporting It is the ACE’s policy not to start any phase of a project (i.e., design, right-of-way acquisition, or construction), unless there are sufficient funds to complete that phase. All project related expenses are reimbursable from existing grants and, as such, budgeted revenues are not budgeted separately, but derived from budgeted expenditures. Cash and investments The SGVCOG considers money market funds and all equivalent liquid debt instruments purchased with a maturity of three months or less to be cash equivalents. Deposits with the State of California’s Local Agency Investment Fund (LAIF) Operating Fund and the bond portfolio managed by Citizens’ Business Bank are considered cash equivalents. Grants receivable Grants receivable relate to expense reimbursements due from governmental and other agencies and are expected to be fully collectible. Accordingly, an allowance for doubtful accounts is not provided. Grant revenues and expenditures All grants agreements are between the SGVCOG and the granting authority. ACE has been given authority to obtain and administer funding in the name of SGVCOG. The Los Angeles County Metropolitan Transportation Authority (Metro) grant was in existence when ACE was created and all subsequent grants therefore are administered by ACE. To-date, all grants with the exception of the Union Pacific Rail Road (UPRR) contributions are, and are anticipated to be in the future, cost reimbursable. That is, ACE must first expend the money and then bill for reimbursement from the grantors. Capital assets - leasehold improvements and equipment Equipment and other improvements that can be capitalized in the government-wide financial statements are recorded as expenditures in the Capital Projects Fund. The threshold for capitalization is $5,000 in accordance with federal guidelines. On the government-wide financial statements such items that meet the capitalized threshold are recorded as capital assets and are depreciated based upon their estimated useful lives on a straight-line basis. Useful lives of assets categories are as follows: - Leasehold improvements: 10 years - Office furniture: 10 years - Computer, office and telephone equipment: 5 years Pension SGVCOG and ACE adopted GASB Statement No. 68, Accounting and Financial Reporting for Pensions during the fiscal year ended June 30, 2015. For purposes of measuring the net pension liability and deferred outflows/inflows of resources related to pensions, and pension expense, information about the fiduciary net position of SGVCOG’s California Public Employees’ Retirement System (CalPERS) plan (Plan) and additions to/deductions from the Plan’s fiduciary net position have been determined on the same basis as they are reported by CalPERS. For this purpose, benefit payments (including refunds of employee contributions) are recognized when due and payable in accordance with the benefit terms. Investments are reported at fair value. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Use of estimates The process of presenting financial information requires the use of estimates and assumptions regarding certain assets and liabilities and their related income and expense items. Grant reimbursements and construction costs are especially vulnerable to such assumptions and accordingly actual results may differ from estimated amounts. Property held for sale The property held for sale is recorded at the lower of acquisition cost or estimated net realizable value. At June 30, 2017, property held for resale was $4,260,128. NOTE 2 CASH AND INVESTMENTS Cash and cash equivalents as of June 30, 2017 are as follows: Primary government: \| Description \| Amount \| \|------------------------------------\|------------\| \| Deposits with financial institution\| $534,924 \| \| Short-term investments \| 229,919 \| \| Total cash and investments \| $764,843 \| Component unit: \| Description \| Amount \| \|------------------------------------\|------------\| \| Cash in bank \| $2,713,338 \| \| Pooled funds \| 1,593,497 \| \| Money market funds \| 12,696,181 \| \| Investments \| 30,734,787 \| \| Total cash and investments \| $47,737,803\| Investments Authorized by the California Government Code and San Gabriel Valley Council of Governments and its component unit’s Investment Policy The table below identifies the investment types that are authorized for the reporting entity by the California Government Code (or reporting entity’s investment policy, where more restrictive). The table also identifies certain provisions of the California Government Code (or reporting entity’s investment policy, where more restrictive) that address interest rate risk, credit risk, and concentration of credit risk. NOTE 2 CASH AND INVESTMENTS (CONTINUED) Primary government and component unit: \| Authorized Investment Type \| Maximum Maturity \| Maximum Percentage of Portfolio \| Maximum Investment in One Issuer \| \|---------------------------------------------------------------\|------------------\|---------------------------------\|---------------------------------\| \| U.S. Treasury Notes \| 5 years \| 100% \| None \| \| Treasury Notes of the State of California \| 5 years \| 25% \| None \| \| Indebtness of Any Local Agency within CA \| 5 years \| 25% \| None \| \| U.S. Government Agencies \| 5 years \| 50% \| 15% \| \| Banker’s Acceptances \| 180 days \| 40% \| 10% \| \| Commercial Paper \| 270 days \| 10% \| 10% \| \| Negotiable Certificates of Deposit \| 5 years \| 30% \| 10% \| \| Repurchase Agreements \| 90 days \| 20% \| None \| \| Medium-Term Notes \| 5 years \| 30% \| 10% \| \| Shares of Beneficial Interest Issued by Diversified Companies Registered with the SEC \| None \| 20% \| 10% \| \| State of CA Local Agency Investment Fund (LAIF) \| None \| None \| None \| \| Mortgage-backed Securities \| 5 years \| 15% \| None \| Investments Authorized by Debt Agreements Investment of debt proceeds held by bond trustees are governed by provisions of the debt agreements, rather than the general provisions of the California Government Code or the reporting entity's investment policy. The table below identifies the investment types that are authorized for investments held by bond trustee. The table also identifies certain provisions of these debt agreements that address interest rate risk, credit risk, and concentration of credit risk. \| Authorized Investment Type \| Maximum Maturity \| Maximum Percentage Allowed in \| Maximum Investment One Issuer \| \|---------------------------------------------------------------\|------------------\|--------------------------------\|--------------------------------\| \| U.S. Government Agencies \| 5 years \| 42% \| 15% \| \| Medium-term Notes (Corporate Bonds) \| 5 years \| 28% \| 10% \| \| Mortgage-backed Securities \| 5 years \| 7% \| None \| \| Certificate of Deposits \| 5 years \| 13% \| 10% \| \| Money Market Funds \| None \| 2% \| None \| \| State’s Local Agency Investment Fund (LAIF) \| None \| 5% \| None \| \| Municipals \| None \| 2% \| None \| NOTE 2 CASH AND INVESTMENTS (CONTINUED) Disclosures Relating to Interest Rate Risk Interest rate risk is the risk that changes in market interest rates will adversely affect the fair value of an investment. Generally, the longer the maturity of an investment the greater the sensitivity of its fair value to changes in market interest rates. One of the ways that the reporting entity manages its exposure to interest rate risk is by purchasing a combination of shorter-term and longer-term investments and by timing cash flows from maturities so that a portion of the portfolio is maturing or coming close to maturity over time as necessary to provide the cash flow and liquidity needed for operations. Information about the sensitivity of the fair values of the reporting entity’s investments to market interest rate fluctuations is provided by the following table that shows the distribution of the reporting entity’s investments by maturity. Primary government: \| Investment Type \| Total \| 12 Months or less \| \|-----------------\|-------------\|-------------------\| \| LAIF \| $229,919 \| $229,919 \| \| Total \| $229,919\| $229,919 \| Component unit: \| Investment Type \| Total \| Remaining maturity in months \| \|----------------------------------\|-------------\|------------------------------\| \| \| \| 12 Months or less \| 13 to 24 Months \| 25 to 60 Months \| \| LAIF \| $1,593,497 \| $1,517,010 \| $46,211 \| $30,276 \| \| Money market funds \| $12,696,181 \| $12,696,181 \| - \| - \| \| Fidelity government portfolio \| $744,080 \| $744,080 \| - \| - \| \| Government agencies \| $13,630,070 \| - \| - \| $13,630,070 \| \| Certificates of deposit \| $4,337,044 \| - \| - \| $4,337,044 \| \| Corporate bonds \| $9,273,853 \| - \| - \| $9,273,853 \| \| Government mortgages \| $2,026,852 \| - \| - \| $2,026,852 \| \| Municipals \| $722,888 \| - \| - \| $722,888 \| \| Total \| $45,024,465 \| $14,957,271 \| $46,211 \| $30,020,983 \| Investment with Fair Values Highly Sensitive to Interest Rate Fluctuations The SGVCOG and its component unit have no investments that are highly sensitive to interest rate fluctuations (to a greater degree than already indicated in the information provided above). NOTE 2 CASH AND INVESTMENTS (CONTINUED) Credit Risk Generally, credit risk is the risk that an issuer of an investment will not fulfill its obligation to the holder of the investment. This is measured by the assignment of a rating by a nationally recognized statistical rating organization. Presented below is the minimum rating required by (where applicable) the California Government Code, reporting entity’s investment policy, or debt agreements, and the actual rating as of year-end for each investment type. Primary government: \| Investment Type \| Minimum Legal Rating \| Exempt from Disclosure \| Rating as of Year End \| \|-----------------\|----------------------\|------------------------\|-----------------------\| \| \| \| AAA \| AA \| Not Rated \| \| LAIF \| N/A \| $ - \| $ - \| $ 229,919 \| Component unit: \| Investment Type \| Minimum Legal Rating \| Rating as of Year End \| \|-------------------------------\|----------------------\|-----------------------\| \| \| AAA \| AA \| A \| Not rated \| \| LAIF \| N/A \| $ - \| $ - \| $ 1,593,497 \| \| Money market funds \| A \| $ 12,696,181 \| $ - \| $ - \| \| Fidelity government portfolio \| N/A \| $ - \| $ - \| $ 744,080 \| \| Government agencies \| A \| $ 13,630,070 \| $ - \| $ - \| \| Certificates of deposit \| N/A \| $ - \| $ - \| $ 4,337,044 \| \| Corporate bonds \| A \| $ - \| $ 9,273,853 \| $ - \| \| Government mortgages \| A \| $ - \| $ 2,026,852 \| $ - \| \| Municipals \| A \| $ 258,310 \| $ - \| $ 464,578 \| Total $ 45,024,465 Concentrations of Credit Risk The investment policy of the SGVCOG and ACE contains no limitations on the amount that can be invested in any one issuer beyond that stipulated by the California Government Code. As of June 30, 2017, the SGVCOG and its component unit have no investments in any one issuer (other than U.S. Treasury securities, mutual funds, and external investment pools) that represent 5% or more of total SGVCOG and its component unit’s investments. NOTE 2 CASH AND INVESTMENTS (CONTINUED) Custodial Credit Risk Custodial credit risk for deposits is the risk that, in the event of the failure of a depository financial institution, a government will not be able to recover its deposits or will not be able to recover collateral securities that are in the possession of an outside party. The custodial credit risk for investments is the risk that in the event of the failure of the counterparty (e.g., broker-dealer) to a transaction a government will not be able to recover the value of its investment or collateral securities that are in the possession of another party. The California Government Code and the reporting entity’s investment policy do not contain legal or policy requirements that would limit the exposure to custodial credit risk for deposits or investments, other than the following provision for deposits: The California Government Code requires that a financial institution secure deposits made by State or local governmental units by pledging securities in an undivided collateral pool held by a depository regulated under State law (unless so waived by the governmental unit). The market value of the pledged securities in the collateral pool must equal at least 110% of the total amount deposited by the public agencies. California law also allows financial institutions to secure local government units’ deposits by pledging first trust deed mortgage notes having a value of 150% of the secured public deposits. As of June 30, 2017, the SGVCOG’s cash in bank balances of $556,461 exceeded the $250,000 deposit insurance of the Federal Deposit Insurance Corporation (FDIC) by $306,461. ACE’s deposit of $15,447,370 with financial institutions is in excess of federal depository insurance limits but are held in collateralized accounts. The SGVCOG and ACE are voluntary participants in the Local Agency Investment Fund (LAIF) that is regulated by the California Government Code under the oversight of the Treasurer of the State of California. At June 30, 2017, the total market value of LAIF, including accrued interest was approximately $77.617 billion. The fair value of the SGVCOG’s investment in this pool is $229,675 at June 30, 2017 based upon the SGVCOG’s pro-rata share of the fair value provided by LAIF for the entire LAIF portfolio (in relation to the amortized cost of the portfolio). LAIF’s (and the SGVCOG’s) exposure to risk (credit, market or legal) is not currently available. The fair value of ACE’s investment in this pool is $1,593,497 at June 30, 2017 based upon ACE’s pro-rata share of the fair value provided by LAIF for the entire LAIF portfolio (in relation to the amortized cost of the portfolio). LAIF’s (and ACE’s) exposure to risk (credit, market or legal) is not currently available. NOTE 2 CASH AND INVESTMENTS (CONTINUED) As of June 30, 2017, the following investment types were held by the same broker-dealer (counterparty) that was used by ACE to buy the securities: \| Investment Type \| Reported Amount \| \|-----------------------\|-----------------\| \| Money Market Funds \| $12,696,181 \| NOTE 3 LEASEHOLD IMPROVEMENTS AND EQUIPMENT The leasehold improvement and equipment of the component unit are recorded at cost and consist of the following: \| Cost: \| Balance June 30, 2016 \| Additions \| Deletions \| Balance June 30, 2017 \| \|------------------------\|-----------------------\|-----------\|-----------\|-----------------------\| \| Leasehold Improvements \| $19,762 \| - \| - \| $19,762 \| \| Computer Equipment: \| \| \| \| \| \| Hardware \| $214,141 \| - \| - \| $214,141 \| \| Software \| $114,483 \| - \| - \| $114,483 \| \| Website \| $3,393 \| - \| - \| $3,393 \| \| Telephone Equipment \| $12,086 \| - \| - \| $12,086 \| \| Office Furniture \| $31,972 \| - \| - \| $31,972 \| \| Total cost \| $395,837 \| - \| - \| $395,837 \| Less accumulated depreciation for: \| Cost: \| Balance June 30, 2016 \| Additions \| Deletions \| Balance June 30, 2017 \| \|------------------------\|-----------------------\|-----------\|-----------\|-----------------------\| \| Leasehold Improvements \| $19,762 \| - \| - \| $19,762 \| \| Computer Equipment: \| \| \| \| \| \| Hardware \| $191,416 \| $10,830 \| - \| $202,246 \| \| Software \| $112,285 \| $1,758 \| - \| $114,043 \| \| Website \| $3,393 \| - \| - \| $3,393 \| \| Telephone Equipment \| $12,086 \| - \| - \| $12,086 \| \| Office Furniture \| $31,972 \| - \| - \| $31,972 \| \| Total accumulated depreciation \| $370,914 \| $12,588 \| - \| $383,502 \| Capital assets, net $24,923 $ (12,588) $ - $12,335 Depreciation expense included in indirect expenses for the year ended June 30, 2017 amounted to $12,588. NOTE 4 RECEIVABLES Receivables of the component unit as of June 30, 2017, as shown in the government-wide financial statements, in the aggregate, including retention, are as follows: \| Receivables \| Amount \| \|-----------------\|--------------\| \| Grants \| $14,383,963 \| \| Notes \| 150,000 \| \| Unbilled \| 31,530,596 \| \| Retention \| 873,136 \| \| Interest \| 3,670 \| \| Total \| $46,941,365 \| NOTE 5 METRO PROMISSORY NOTE PAYABLE In June 2013, ACE entered into a promissory note to borrow up to $45,000,000, in variable rate, from the Metro to be used as working capital. The note payable balance outstanding at June 30, 2017 amounted to $45,000,000. Interest rates vary according to market conditions and have ranged from 1.26% to 1.60%. Proceeds from the note payable have been used to pay for construction activities. The principal amount of the loan is to be used as working capital pursuant to the terms of the Alameda Corridor East Phase II Grade Separations Master Funding Agreement ("Master Agreement"), dated June 14, 2013. Except as otherwise provided in the Master Agreement and the promissory note, including, but not limited to, Metro's right to set off against the Measure R and/or Proposition C funds reimbursement due borrower, the entire unpaid balance of the working capital loan, all accrued and outstanding CP costs and any fees are unsecured and due on September 9, 2023, ten years after the first drawdown date. Because this is a revolving construction fund provided by Metro to facilitate the payment to the project contractors of ACE, this loan is not considered as a long-term debt. NOTE 6 GRANT ACCOUNTING During the year ended June 30, 2017, ACE was the recipient, primarily from the Federal Department of Transportation through the California Department of Transportation (Caltrans), of cost reimbursement type grants. There were also California transportation programs paid through Caltrans. Local share was received from Metro. All of these grants are expenditure driven; funds must be expended before reimbursement is received. Certain amounts have been held back by the grantor agency pending completion of certain phases of contracted work and some costs incurred are subject to disallowance. NOTE 6 GRANT ACCOUNTING (CONTINUED) Receivable amounts at June 30, 2017, are shown net of disallowed costs. CalTRANS approved, under Uniform Guidance Section 2 CFR 200.516, an indirect overhead allocation formula of 157.2% of total direct salaries and fringe benefit costs. Indirect costs incurred in the fiscal year ended June 30, 2017 were $3,108,165. NOTE 7 ADMINISTRATIVE EXPENSES The following were the administrative expenses of the primary government for the year ended June 30, 2017: \| Administrative Expenses \| Amount \| \|-----------------------------------------\|----------\| \| Salaries & wages \| $264,533 \| \| Fringe benefits - allocated \| 90,244 \| \| Rent - other \| 45,648 \| \| Utilities \| 3,366 \| \| Postage \| 737 \| \| Office supplies \| 2,297 \| \| Printing/publications \| 7,171 \| \| Insurance \| 3,767 \| \| Dues and subscriptions \| 1,246 \| \| Meetings/travel \| 21,453 \| \| Administrative fees \| 2,743 \| \| Office expense \| 6,191 \| \| Storage \| 1,803 \| \| Equipment and soft acquisition \| 3,844 \| \| Webpage/software services \| 1,631 \| \| General assembly expense \| 11,815 \| \| Grant writing services \| 47,041 \| \| Professional services \| 190,940 \| \| Legal \| 31,638 \| \| Total \| $738,108 \| NOTE 8 RELATED PARTY TRANSACTIONS The ACE billed SGVCOG a total of $95,928 for transportation technical support, administrative and accounting support, and travel expenses. NOTE 9 EMPLOYEE BENEFIT PLAN A. General Information about the Pension Plans Plan Description SGVCOG’s employee benefit plan was assigned to its component unit, ACE. SGVCOG does not have employees enrolled under the Classic Plan and currently represent 85% share of the PEPRA Plan. All qualified permanent and probationary employees are eligible to participate in ACE’s Miscellaneous Employee Pension Plan, a cost-sharing multiple employer defined benefit pension plan administered by the California Public Employees’ Retirement System (CalPERS). Benefit provisions under the Plan are established by State statute and ACE resolution. CalPERS issues publicly available reports that include a full description of the pension plan regarding benefit provisions, assumptions and membership information that can be found on the CalPERS website. Classic participants (defined as eligible participants prior to January 1, 2013) are required to contribute 7% of their annual covered salary. New participants (defined as eligible employees brought into CalPERS membership for the first time on or after January 1, 2013 PEPRA) contribute at least half the normal cost rate as determined by CalPERS. ACE contributes the remaining amounts necessary to fund the benefits for its employees, using the actuarial basis adopted by the CalPERS Board of Administration. Benefits Provided CalPERS provides service retirement and disability benefits, annual cost of living adjustments and death benefits to plan members, who must be public employees and beneficiaries. Benefits are based on years of credited service, equal to one year of full time employment. Members with five years of total service are eligible to retire at age 50 with statutorily reduced benefits. All members are eligible for non-duty disability benefits after 10 years of service. The death benefit is one of the following: the Basic Death Benefit, the 1957 Survivor Benefit, or the Optional Settlement 2W Death Benefit. The cost of living adjustments for each plan are applied as specified by the Public Employees’ Retirement Law. NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) The Plan’s provisions and benefits in effect at June 30, 2017, are summarized as follows: \| \| Classic \| PEPRA \| \|------------------------\|---------------\|---------------\| \| Hire date \| Jan. 1, 2013 \| On or after \| \| Benefit formula \| 2% @ 55 \| 2% @ 62 \| \| Benefit vesting schedule \| 5 years service \| 5 years service \| \| Benefit payments \| monthly for life \| monthly for life \| \| Retirement age \| 50 - 55 \| 52 - 67 \| \| Monthly benefits, as a % of eligible compensation \| 2.0% to 2.7% \| 1.0% to 2.5% \| \| Required employee contribution rates \| 7.00% \| 6.25% \| \| Required employer contribution rates \| 8.38% \| 6.25% \| Contributions Section 20814(c) of the California Public Employees’ Retirement Law requires that the employer contribution rates for all public employers be determined on an annual basis by the actuary and shall be effective on the July 1 following notice of a change in the rate. Funding contributions for both Plans are determined annually on an actuarial basis as of June 30 by CalPERS. The actuarially determined rate is the estimated amount necessary to finance the costs of benefits earned by employees during the year, with an additional amount to finance any unfunded accrued liability. ACE is required to contribute the difference between the actuarially determined rate and the contribution rate of employees. For the year ended June 30, 2017, the contributions recognized as part of pension expense for the Plan were as follows: \| Miscellaneous Plan \| Contributions - employer \| $469,362 \| B. Pension Liabilities, Pension Expenses and Deferred Outflows/Inflows of Resources Related to Pensions As of June 30, 2017, SGVCOG and ACE reported net pension liabilities for their proportionate shares of the net pension liability of the Plan as follows: \| Proportionate Share of Net Pension Liability \| SGVCOG \| ACE \| \|---------------------------------------------\|--------\|-----\| \| Miscellaneous Plan \| $85,698 \| $888,148 \| NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) The net pension liability (asset) for the Plan is measured as the proportionate share of the net pension liability (asset). The net pension liability (asset) of the Plan is measured as of June 30, 2016, and the total pension liability for the Plan used to calculate the net pension liability was determined by an actuarial valuation as of June 30, 2015 rolled forward to June 30, 2016 using standard update procedures. SGVCOG’s and ACE’s proportion of the net pension liability was based on a projection of its long-term share of contributions to the pension plan relative to the projected contributions of all participating employers, actuarially determined. Effective for measurement period 2015, CalPERS provides the GASB Statement No. 68 Accounting Valuation Report for the miscellaneous risk pool and allocation methodology to be used by participants in the risk pool. The schedules of employer allocation include three ratios. It includes allocation for the Total Pension Liability, Plan Fiduciary Net Position and all other pension amounts (e.g. deferred outflows/inflows of resources and pension expense). The Total Pension Liability is allocated based on the Actuarial Accrued Liability from the most recent Actuarial Valuation Report as of June 30, 2015 used for funding purposes. The Plan Fiduciary Net Position is allocated based on the sum of the Plan’s Market Value of Assets from the most recent Actuarial Valuation as of June 30, 2015 used for funding purposes plus supplemental payments made by employers during the current measurement period to reduce their unfunded actuarial accrued liabilities. All other pension amounts (deferred outflows/inflows of resources and pension expense) are allocated based on the legally or statutorily required employer contributions for the fiscal year ended June 30, 2016, including reported contribution adjustments and suspended payroll information. The SGVCOG’s and ACE’s proportionate share for pension items as provided by CalPERS are as follows: \| 2017 Miscellaneous \| \| \|---------------------\|-------\| \| Total pension liability \| 0.0005212 \| \| Plan fiduciary net position \| 0.0005978 \| \| All other pension amounts (deferred outflows/inflows of resources and pension expense) \| 0.0007990 \| At June 30, 2017, SGVCOG and ACE reported deferred outflows of resources and deferred inflows of resources related to pensions from the following sources: \| Miscellaneous Plan \| SGVCOG \| ACE \| \|--------------------\|--------\|-----\| \| \| Deferred Outflows of Resources \| Deferred Inflows of Resources \| Deferred Outflows of Resources \| Deferred Inflows of Resources \| \| Pension contributions subsequent to measurement date \| $66,429 \| - \| $1,360,867 \| - \| \| Differences between actual and expected experience \| 1,155 \| (195) \| 11,970 \| (2,024) \| \| Changes in assumption \| - \| (10,927) \| - \| (113,244) \| \| Changes in proportions \| - \| (2,602) \| - \| (26,968) \| \| Differences in employer's proportion \| 4,677 \| (32,271) \| 48,468 \| (334,448) \| \| Differences between the employer's contribution and the employer's proportionate share of contributions \| 15,701 \| (3,736) \| 162,724 \| (38,714) \| \| Net differences between projected and actual earnings on pension plan investments \| 60,791 \| - \| 630,019 \| - \| $148,753 $ (49,731) $2,214,048 $(515,398) SGVCOG and ACE reported $66,429 and $1,360,867, respectively, as deferred outflows of resources related to contributions subsequent to the measurement date that will be recognized as a reduction of the net pension liability in the year ending June 30, 2018. NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) Other amounts reported as deferred outflows of resources and deferred inflows of resources related to pensions will be recognized as pension expense as follows: \| Year ending June 30 \| SGVCOG \| ACE \| \|---------------------\|----------\|---------\| \| 2018 \| $2,217 \| $22,978 \| \| 2019 \| 2,857 \| 29,608 \| \| 2020 \| 16,651 \| 172,562 \| \| 2021 \| 10,868 \| 112,635 \| Actuarial Assumptions The total pension liabilities in the June 30, 2015 actuarial valuations were determined using the following actuarial assumptions: \| Miscellaneous \| \|--------------------------------\| \| Valuation Date \| June 30, 2015 \| \| Measurement Date \| June 30, 2016 \| \| Actuarial Cost Method \| Entry-Age Normal Cost Method \| \| Actuarial Assumptions: \| \| Discount Rate \| 7.65% \| \| Inflation \| 2.75% \| \| Payroll Growth \| 3.00% \| \| Projected Salary Increase \| (1) \| \| Investment Rate of Return \| 7.5% (2) \| \| Mortality \| (3) \| \| Post-Retirement Benefit Increase \| (4) \| (1) Varies by entry age and service (2) Net of pension plan investment and administrative expenses, including inflation (3) Derived using CalPERS’ Membership Data for all funds (4) Contract COLA up to 2.75% until Purchasing Power Protection Allowance Floor on Purchasing Power applies, 2.75% thereafter The underlying mortality assumptions and all other actuarial assumptions used in the June 30, 2015 valuation were based on the results of a January 2015 actuarial experience study for the period 1997 to 2011. Further details of the Experience Study can be found on the CalPERS website. Discount Rate The discount rate used to measure the total pension liability was 7.65 percent. To determine whether the municipal bond rate should be used in the calculation of a discount rate for each plan, CalPERS stress tested plans that would most likely result in a discount rate that would be different from the actuarially assumed discount rate. Based on the testing, none of the tested plans run out of assets. Therefore, the current 7.65 percent discount rate is adequate and the use of the municipal bond rate calculation is not necessary. The long term expected discount rate of 7.65 percent will be applied to all plans in the Public Employees Retirement Fund (PERF). The stress test results are presented in a detailed report that can be obtained from the CalPERS website. The long-term expected rate of return on pension plan investments was determined using a building-block method in which best-estimate ranges of expected future real rates of return (expected returns, net of pension plan investment expense and inflation) are developed for each major asset class. The table below reflects the long-term expected real rate of return by asset class. The rate of return was calculated using the capital market assumptions applied to determine the discount rate and asset allocation. These rates of return are net of administrative expenses. \| Asset Class \| New Strategic Allocation \| Real Return Years 1 - 10(a) \| Real Return Years 11+(b) \| \|------------------------------\|--------------------------\|----------------------------\|--------------------------\| \| Global Equity \| 51% \| 5.25% \| 5.71% \| \| Global Fixed Income \| 20% \| 0.99% \| 2.43% \| \| Inflation Sensitive \| 6% \| 0.45% \| 3.36% \| \| Private Equity \| 10% \| 6.83% \| 6.95% \| \| Real Estate \| 10% \| 4.50% \| 5.13% \| \| Infrastructure and Forestland\| 2% \| 4.50% \| 5.09% \| \| Liquidity \| 1% \| -0.55% \| -1.05% \| \| Total \| 100% \| \| \| (a) An expected inflation of 2.5% used for this period. (b) An expected inflation of 3.0% used for this period. NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) Sensitivity of the Proportionate Share of the Net Pension Liability to Changes in the Discount Rate The following presents SGVCOG’s and ACE’s proportionate share of the net pension liability for the Plan, calculated using the discount rate for the Plan, as well as what its proportionate share of the net pension liability would be if it were calculated using a discount rate that is 1-percentage point lower or 1-percentage point higher than the current rate: \| \| SGVCOG \| ACE \| \|--------------------------------\|----------\|----------\| \| 1% Decrease \| 6.65% \| 6.65% \| \| Net Pension Liability \| $174,601 \| $1,809,504 \| \| Current Discount Rate \| 7.65% \| 7.65% \| \| Net Pension Liability \| $85,698 \| $888,148 \| \| 1% Increase \| 8.65% \| 8.65% \| \| Net Pension Liability \| $12,225 \| $126,693 \| C. Pension Plan Fiduciary Net Position Detailed information about the pension plan’s fiduciary net position is available in the separately issued CalPERS financial reports. D. Payable to the Pension Plan At June 30, 2017, SGVCOG and ACE did not have outstanding amount of contributions to the pension plan required for the year ended June 30, 2017. Other Postemployment Benefits SGVCOG and ACE did not incur any other liabilities during the year 2017 related to other postemployment benefits. NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) Deferred Compensation Plan ACE has entered into a salary reduction deferred compensation plan for its employees. The plan allows employees to defer a portion of their current income from state and federal taxation. Employees may withdraw their participation at any time by giving written notice at least a week in advance prior to the effective date of the withdrawal. At June 30, 2017, plan assets totaling $1,578,809 were held by independent trustees and, as such, are not reflected in the accompanying basic financial statements. All amounts of compensation deferred under the plans are solely the property and rights of each beneficiary (pursuant to legislative changes effective 1998 to the Internal Revenue Code Section 457, this includes all property and rights purchased and income attributable to these amounts until paid or made available to the employee or other beneficiary). NOTE 10 COMMITMENTS AND CONTINGENCIES Primary government: The SGVCOG is involved in claims arising from the normal course of business. After consultation with legal counsel, management estimates that these matters will be resolved without material effect on the SGVCOG’s financial position. The SGVCOG has entered into an office space lease agreement covering the period from January 1, 2013 to December 31, 2017. Future minimum rental payments including tenant improvements are as follows: \| Year ending June 30 \| Amount \| \|---------------------\|--------\| \| 2018 \| $32,936\| \| Total \| $32,936\| Component unit: As mentioned in Note 6, ACE receives reimbursement type grants from federal, state and local sources. Certain expenditures are not allowable and not subject to reimbursement. Also, there may be disallowed costs. Management's experience in this regard indicates disallowances, if any, will not be material. NOTE 10 COMMITMENTS AND CONTINGENCIES (CONTINUED) In the ordinary course of its operations, ACE is the subject of claims and litigations from outside parties. In the opinion of management, there is no pending litigation or unasserted claims, the outcome of which would materially affect ACE’s financial position. ACE leases its office from Metropolitan Life Insurance Company subject to a lease expiring April 30, 2018. The monthly base rent, as defined in the lease agreement, follows: \| Period from / to \| Monthly Rent \| Annual Amount \| \|---------------------------\|--------------\|---------------\| \| May 1, 2017 to April 30, 2018 \| $20,834 \| $250,009 \| \| May 1, 2018 to April 30, 2019 \| ++ \| 21,188 \| 254,259 \| \| May 1, 2019 to April 30, 2020 \| ++ \| 21,824 \| 261,887 \| \| May 1, 2020 to April 30, 2021 \| ++ \| 22,479 \| 269,743 \| Total lease commitments $1,035,898 ++ Proposed Escrow Agreements for Contract Retention Pursuant to contracts entered into between ACE and several of its contractors, funds are deposited with an Escrow Agent. The Escrow Agent holds the fund for the benefit of the contractors until the escrow is terminated. The Escrow Agent, contractor or ACE may terminate this Escrow Agreement, with or without cause, by providing 30 days prior written notice to the other parties. In the event of termination of this Escrow Agreement, all the funds on deposit shall be paid to ACE and any accrued interest less escrow fees shall be paid to the contractor. ACE has recognized expenditures related to contract retention payments totaling $14,890,552 for the fiscal year ended June 30, 2017. Funds are deposited in several escrow accounts until release to the contractor is authorized. NOTE 11 CONSTRUCTION IN PROGRESS AND TRANSFER OF COMPLETED PROJECTS Except for minor acquisitions that may be sold by ACE when no longer needed, all of the construction projects, when completed, will be deeded to the UPRR and the cities in which they are located at no cost to the acquirer. At June 30, 2017, $695,912,451 of costs was accumulated on projects in process and $463,758,906 had been transferred to UPRR and impacted cities. Under the modified accrual basis of accounting project expenditures would be reported as expenditures in the year incurred. On the government-wide financial statements conforming to GASB 34 reporting on these transactions presents a challenge. Accumulating those costs as construction in progress (i.e., treated as a cash flow expenditure and not a current year expense) would substantially overstate income while reporting the disposal and expensing the accumulated costs would distort the cost of operations. In both cases, net position would greatly fluctuate, depending on the timing of construction and transfer of the completed projects. To alleviate this situation, management has elected to record a liability (same amount as the construction in progress) to UPRR and governments likely to be the eventual owner of the improvements/grade separations. This approach will minimize the effects both the acquisition of property for construction and the accumulation of construction costs and their eventual disposal. NOTE 12 SUBSEQUENT EVENTS The SGVCOG has evaluated events subsequent to June 30, 2017, to assess the need for potential recognition or disclosure in the financial statements. Such events were evaluated through January 31, 2018, the date the financial statements were available to be issued. Based upon this evaluation, there were no subsequent events that require recognition or additional disclosure in the financial statements. REQUIRED SUPPLEMENTARY INFORMATION ## San Gabriel Valley Council of Governments ### Schedule of Proportionate Share of the Net Pension Liability #### Last Ten Years* \| \| June 30, 2017 \| \| \| June 30, 2016 \| \| \| June 30, 2015 \| \| \| \|--------------------------------\|---------------\|-------\|-------\|---------------\|-------\|-------\|---------------\|-------\|-------\| \| \| Miscellaneous Plan \| \| \| Miscellaneous Plan \| \| \| Miscellaneous Plan \| \| \| \| \| SGVCOG \| ACE \| \| SGVCOG \| ACE \| \| SGVCOG \| ACE \| \| \| Proportion of the net pension liability \| 0.02803% \| 0.02803% \| \| 0.000158% \| 0.04943% \| \| 0.00001% \| 0.01668% \| \| \| Proportionate share of the net pension liability (asset) \| $85,698 \| $888,148 \| \| $(1,407) \| $834,578 \| \| $538 \| $1,038,163 \| \| \| Covered - employee payroll (1) \| $250,677 \| $3,422,438 \| \| $164,916 \| $2,824,589 \| \| $155,191 \| $2,786,268 \| \| \| Proportionate share of the net pension liability as percentage of covered-employee payroll \| 34.19% \| 25.95% \| \| -0.85% \| 29.55% \| \| 0.35% \| 37.26% \| \| \| Plan's proportionate share of the fiduciary net position as a percentage of the plan's total pension liability \| 12.98% \| 12.98% \| \| 108.71% \| 87.61% \| \| 83.02% \| 83.03% \| \| \| Plan's proportionate share of aggregate employer contributions (2) \| $243,174 \| $243,174 \| \| $15,076 \| $393,080 \| \| $88 \| $137,329 \| \| Notes to Schedule 1. Covered-Employee Payroll represented above is based on pensionable earnings provided by the employer. However, GASB 68 defines covered-employee payroll as the total payroll of employees that are provided pensions through the pension plan. Accordingly, if pensionable earnings are different than total earnings for covered-employees, the employer should display in the disclosure footnotes the payroll based on total earnings for the covered group and recalculate the required payroll-related ratios. 2. The plan’s proportionate share of aggregate employer contributions may not match the actual contributions made by the employer during the measurement period. The plan’s proportionate share of aggregate contributions is based on the plan’s proportion of fiduciary net position shown on line 5 of the table above as well as any additional side fund (or unfunded liability) contributions made by the employer during the measurement period. * Fiscal year 2015 was the 1st year of implementation, therefore, only three years are shown. ## San Gabriel Valley Council of Governments ### Schedule of Pension Contributions #### Last Ten Years* \| \| 2017 \| \| 2016 \| \| 2015 \| \| \|----------------------\|------------\|----------\|------------\|----------\|------------\|----------\| \| \| SGVCOG \| ACE \| SGVCOG \| ACE \| SGVCOG \| ACE \| \| Actuarially determined contributions \| $66,429 \| $527,296 \| $8,824 \| $318,540 \| $8,214 \| $288,094 \| \| Contributions in relation to the actuarially determined contributions \| $(66,429) \| $(527,296)\| $(8,824) \| $(318,540)\| $(8,214) \| $(288,094)\| \| Contribution deficiency (excess) \| $- \| $- \| $- \| $- \| $- \| $- \| \| Covered-Employee Payroll \| $358,859 \| $3,422,438 \| $164,916 \| $2,824,589 \| $155,191 \| $2,786,268 \| \| Contributions as a percentage of covered-employee payroll \| 18.51% \| 15.41% \| 5.35% \| 11.28% \| 5.29% \| 10.34% \| Notes to Schedule: Valuation date: June 30, 2015 Methods and assumptions used to determine contribution rates: - Actuarial Cost Method: Entry age normal - Amortization method / Period: Level percent of payroll - Remaining amortization period: 15 years as of valuation date - Asset valuation method: 5 year Smoothed Market - Inflation: 2.75% - Salary increases: Varies by Entry Age and Service - Investment rate of return: 7.50%, net of pension plan investment expense and administrative expenses including inflation - Retirement age: 55 years - Mortality: Derived using CalPERS Membership Data for all funds * Fiscal year 2015 was the first year of implementation, therefore only three years are shown. SUPPLEMENTARY INFORMATION ## San Gabriel Valley Council of Governments ### Statement of Revenues, Expenditures, and Changes in Fund Balances – Component Unit #### Budget to Actual Year ended June 30, 2017 \| \| Budgeted Amounts \| Amended Final \| Actual Amounts \| Variance Positive (Negative) \| \|--------------------------------\|------------------\|---------------\|----------------\|-------------------------------\| \| Revenues \| \| \| \| \| \| Reimbursements \| \| \| \| \| \| Federal grants \| $3,684,740 \| $3,700,945 \| $6,026,263 \| $2,325,318 \| \| State grants \| 101,321,172 \| 101,766,761 \| 56,234,202 \| (45,532,559) \| \| Local grants \| 22,446,639 \| 22,545,354 \| 23,912,324 \| 1,366,970 \| \| Betterment - Other \| 4,986,912 \| 5,008,844 \| 17,943,466 \| 12,934,622 \| \| Total revenues \| 132,439,463 \| 133,021,904 \| 104,116,255 \| (28,905,649) \| \| Operating expenditures \| \| \| \| \| \| Construction \| \| \| \| \| \| Design \| 7,569,842 \| 7,569,842 \| 3,683,461 \| (3,886,381) \| \| Right-of-way acquisition \| 19,052,985 \| 19,052,985 \| 9,074,042 \| (9,978,943) \| \| Construction management \| 15,533,366 \| 15,533,366 \| 15,059,411 \| (473,955) \| \| Construction \| 82,976,627 \| 82,976,627 \| 60,726,190 \| (22,250,437) \| \| Betterments \| 4,247,586 \| 4,247,586 \| 12,562,185 \| 8,314,599 \| \| Total construction \| 129,380,406 \| 129,380,406 \| 101,105,289 \| (28,275,117) \| \| Indirect \| \| \| \| \| \| Personnel \| \| \| \| \| \| Salaries and wages \| 1,476,847 \| 1,476,847 \| 1,542,894 \| 66,047 \| \| Fringe benefits \| 766,027 \| 1,348,468 \| 1,332,772 \| (15,696) \| \| Employee related expenses \| 37,300 \| 37,300 \| 32,172 \| (5,128) \| \| Professional services \| \| \| \| \| \| Auditing/accounting \| 41,504 \| 41,504 \| 48,724 \| 7,220 \| \| Legal \| 25,000 \| 25,000 \| 23,498 \| (1,502) \| \| Brokerage \| 65,000 \| 65,000 \| 51,271 \| (13,729) \| \| Insurance \| 230,000 \| 230,000 \| 170,984 \| (59,016) \| \| Equipment expense \| 112,628 \| 112,628 \| 69,409 \| (43,219) \| \| Office rental expense \| 244,451 \| 244,451 \| 246,902 \| 2,451 \| \| Office operations \| 52,500 \| 52,500 \| 39,328 \| (13,172) \| \| Other \| 7,800 \| 7,800 \| 11,007 \| 3,207 \| \| Applied (under) indirect expense \| - \| - \| (557,995) \| (557,995) \| \| Total indirect \| 3,059,057 \| 3,641,498 \| 3,010,966 \| (630,532) \| \| Total operating expenditures\| 132,439,463 \| 133,021,904 \| 104,116,255 \| (28,905,649) \| \| Excess revenues over expenditures \| - \| - \| - \| - \| \| Other financing sources (uses) \| \| \| \| \| \| Investment revenue \| 466,300 \| 466,300 \| 597,423 \| 131,123 \| \| Interest and related expenses \| (421,000) \| (421,000) \| (1,129,119) \| (708,119) \| \| Non-project reimbursable funds \| 352,436 \| 352,436 \| 371,342 \| 18,906 \| \| Non-project reimbursable expense \| (352,436) \| (352,436) \| (371,342) \| (18,906) \| \| Intercompany revenue \| 51,246 \| 51,246 \| 96,147 \| 44,901 \| \| Intercompany expense \| (51,246) \| (51,246) \| (96,147) \| (44,901) \| \| Net other financing sources (uses) \| 45,300 \| 45,300 \| (531,696) \| (576,996) \| \| Change in fund balance \| 45,300 \| 45,300 \| (531,696) \| (576,996) \| \| Fund balance at beginning of year \| 14,539,215 \| 14,539,215 \| 14,539,215 \| - \| \| Fund balance at end of year \| $14,584,515 \| $14,584,515 \| $14,007,519 \| $(576,996) \| Report of Independent Auditors on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Basic Financial Statements Performed in Accordance with Government Auditing Standards Members of the Governing Board San Gabriel Valley Council of Governments We have audited, in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States, the financial statements of the business-type activities and the discretely presented component unit of the San Gabriel Valley Council of Governments (the SGVCOG) as of and for the year ended June 30, 2017 and the related notes to the financial statements, which collectively comprise the SGVCOG’s basic financial statements and have issued our report thereon dated January 31, 2018. Internal Control over Financial Reporting In planning and performing our audit of the financial statements, we considered the SGVCOG’s internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the SGVCOG’s internal control. Accordingly, we do not express an opinion on the effectiveness of the SGVCOG’s internal control. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct misstatements on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over financial reporting that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weakness. However, material weaknesses may exist that have not been identified. Compliance and Other Matters As part of obtaining reasonable assurance about whether the SGVCOG’s financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. 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EXECUTIVE COMMITTEE MINUTES September 12, 2022 Members present: Brenda Alcala, Jorden Jessup, Barry Leahy, Joshua Wood Members absent: Don Gurnard, Beverly Jagla Staff present: Rachel Evey, Mireya Sanchez CALL TO ORDER 4:02pm 1) CONSENT AGENDA B. Committee Reports A. June 2022 Minutes approved without changes or dissent 2) TREASURER'S REPORT – Brenda Alcala B. Balance Sheet- balance at CFNCW up from June. Clarifications on amount invested at community foundation vs. total asset amount. A. Income Statement (Restricted and Unrestricted)- little activity over the summer, with exceptions of Gifts, Grants &Awards to the college shown under expenses. Majority is the President's discretionary fund. C. Monthly Gift Report- large increase from last year due to large estate gifts received this year toward endowments and scholarships. 3) REPORT FROM THE COLLEGE – Rachel Evey B. Tomorrow is president's day here at WVC. Kickoff to being back on campus this year with everyone back in person (some hybrid options are still being offered). President Richardson will address and there is a keynote speaker. A. Application deadline for presidential search is at the end of this month. Brenda Alcala will be meeting with selection committee soon to go over those applications. Timeline available on the college's website. Goal is to offer the position to a selected candidate in November. C. Enrollment only down by around 1.5% this fall versus last fall, which is a huge recovery based on expectations. Running start numbers have continued to decline, but traditional student numbers have increased. D. Classes start on the 19 th . 4) EXECUTIVE DIRECTOR REPORT – Rachel Evey A. Scholarship Program- changes incoming to the structure of the scholarship program. Only offering quarterly scholarship application. This means we will not have our traditional application offered in the winter/spring months for the following academic year. All applications will be available 6-8 weeks prior to the start of the quarter they are intended for. Awarded funding is good through the end of the academic year students enroll in, so they will not have to reapply for scholarships each quarter. We will also be piloting the multi-year awarding program to provide students funding for the entirety of their program length. If they do not receive funds the first time applying, they will have the option to apply again. C. Foundation Staff- Ellora La Shier will be out November-February at the earliest, Brenda Magaña-Galvan will be out December-March at the earliest. Arrangements have been made to have a PT hourly person to help with scholarship work, with other annual giving duties split between remaining foundation staff. Discussion is being held with Cordell Neher to contract bookkeeping services in Brenda's absence. Question to clarify the scope of work for the PT scholarship person- they will have about a month to train with foundation staff and shown the methods of evaluation and selection. Workplan for events and most other concerns should be sustainable. Some projects will be outsourced, including the scholarship booklet. B. Athletics Program- new Director, Asst. Director and completely new coaching staff for all teams. Rachel Evey presented to coaches about how to fundraise with the foundation. We anticipate a much closer partnership with Athletics this year, as far as fundraising efforts go and that will result in the foundation receiving the management fees as well. D. Workshop Series Partnership- a corporate donor, Moss Adams is interested in partnering with TRIO/SSS and the Foundation to offer a series of workshops focused around career prep and networking. Fall Quarter will offer resume writing, networking, utilizing social media. Winter Quarter will offer individual industry focus with presentations. Spring Quarter will offer internship or work study opportunities. We anticipate outsourcing the workshop content (SkillSource or WorkSource), so the foundation would be here to promote it and offer the community connection. Alumni network is part of the foundation, but very quiet, so this would help rejuvenate that area of operations. F. Community Involvement- Rachel Evey serves on Estate Planning Council, this year as their Vice President/Treasurer. She is also serving as a board member for the Wenatchee Rotary, and this year as the chairperson of WAFL. Maintaining community connections is a major investment for the Foundation. E. Hispanic Business Council- Rachel Evey was invited to speak to the council and presented what the foundation does, our student demographic, etc. This is a potential resource for future board members to expand our demographic as discussed in previous executive committee sessions. 5) OLD BUSINESS B. At-Large Position- vacant position on exec committee. Brett Peterson had been recommended but has not expressed interest. Suggestion that another board member be considered. Proposal to wait until after the board retreat to submit suggestions, as it will give everyone a better idea of who might be a good fit for the position. Already have representation from all committees. Discussion deferred until after the retreat for the next executive committee session. A. Board Retreat- Monday September 19. Hosted at Cordell Neher this year starting with lunch/social time. SWOT analysis to establish goals and strategy for the year. Previous discussions have included emergency funding, student housing and family support. End of the day will include social at Watermill on the Ave. Board members and their partners are invited, along with the college's cabinet and trustees. C. RFP for Banking Services- significant issues with CVB have led to consideration to switch to another bank, as CVB does not link with our financial management software any longer. With Brenda Magana-Galvan being out for an extended period of time this year, it is recommended that this decision be deferred until we have a full-time accountant back in the office. Consensus to defer any changes until such time. 6) NEW BUSINESS B. Report to the Full Board A. 2022-23 Calendar- Newer format to show a better physical representation quarter-byquarter. Spring events are planned, but dates are TBD and so are not displayed on the calendar. Discussion regarding setting an estimate of necessary volunteers for each event to notify board members ahead of time. This will give all board members an opportunity to look ahead and hopefully get a better response from the board at large. ADJOURNMENT 4:51pm Minutes taken by Mireya Sanchez	<urn:uuid:8e0b0afb-cf3a-471e-8e6e-9118edec2d73>	CC-MAIN-2023-14	https://www.wvc.edu/foundation/media/documents/board-portal/09.12.2022%20MINUTES%20Executive.pdf	2023-03-24T06:47:45+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-14/subset=warc/part-00000-39c03058-7d78-443d-9984-102329513e3d.c000.gz.parquet	1,181,401,122	1,327	eng_Latn	eng_Latn	0.997717	eng_Latn	0.998515	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1948, 6064, 6585 ]
Claimant Cynthia Lapcheske filed a petition in arbitration on April 26, 2017, alleging she sustained injuries to her right shoulder and body as a whole while working for the defendant, Polk County, Iowa ("Polk County"), on December 29, 2015. Polk County filed an answer on May 15, 2017, denying Lapcheske sustained a work injury. An arbitration hearing was held on May 1, 2018, at the Division of Workers' Compensation in Des Moines, Iowa. Attorney Mark Hedberg represented Lapcheske. Lapcheske appeared and testified. Braedi Gloschen and Michael Lapcheske were also present, but did not testify. Assistant Polk County Attorneys Meghan Gavin and Julie Bussanmas represented Polk County. Joint Exhibits ("JE") 1 through 4, Exhibits 1 and 2, and A through AA were admitted into the record. The record was held open through May 14, 2018, for the receipt of post-hearing briefs. The briefs were received and the record was closed. After the record was closed the parties submitted a joint amendment to the hearing report on May 29, 2018, correcting the commencement date for permanent partial disability benefits to March 29, 2016. I reopened the record for the receipt of the amendment and the record was closed. Before the hearing the parties prepared a hearing report, listing stipulations and issues to be decided. Polk County waived all affirmative defenses. STIPULATIONS 1. An employer-employee relationship existed between Polk County and Lapcheske at the time of the alleged injury. 2. If the alleged injury arose out of and in the course of Lapcheske's employment with Polk County, the alleged injury is a cause of temporary disability, during a period of recovery. 3. If the alleged injury arose out of and in the course of Lapcheske’s employment with Polk County, the alleged injury is a cause of permanent disability. 4. Lapcheske was off work from December 29, 2015 through March 28, 2016, and she worked twenty-five hours per week from March 29, 2016 through April 8, 2016. 5. If Polk County is liable for the alleged injury, Lapcheske is entitled to temporary benefits from December 29, 2015 through April 8, 2016. 6. If the injury is found to be a cause of permanent disability, the disability is an industrial disability. 7. If the injury is found to be a cause of permanent disability, the commencement date for permanent partial disability benefits, if any are awarded, is March 29, 2016. 8. At the time of the alleged injury, Lapcheske’s gross earnings were $1,147.08 per week, she was married and entitled to two exemptions, and the parties believe the weekly rate to be $716.87. 9. Medical benefits are no longer in dispute. 10. Polk County is entitled to a credit of $31,662.26 paid by Lapcheske’s group health insurance plan. 11. Costs have been paid. ISSUES 1. Did Lapcheske sustain an injury on December 29, 2015, which arose out of and in the course of her employment with Polk County? 2. If Lapcheske sustained an injury arising out of and in the course of her employment with Polk County, what is the extent of disability? 3. Should costs be awarded to either party? FINDINGS OF FACT Lapcheske grew up in Marshalltown, Iowa. (Exhibit Z, pages 27-28) When she was eighteen she moved to Des Moines to attend AIB College of Business (“AIB”). (Ex. Z, p. 28) Lapcheske graduated with an associate’s degree from AIB in 1982. (Ex. Z, p. 28) After several years Lapcheske enrolled in additional classes at Grand View University. (Ex. Z, p. 28) Lapcheske later returned to AIB and earned a Bachelor of Science degree in accounting. (Ex. Z, p. 28) Lapcheske is right-hand dominant. (Tr., p. 18) At the time of the hearing she was fifty-six. (Transcript, p. 23) Lapcheske has worked since she was fourteen years old. (Tr., p. 18) Lapcheske has worked in the accounting field since she moved to Des Moines as an adult. Lapcheske worked for Blue Cross Blue Shield of Iowa and then for Blue Cross Blue Shield of Louisiana, auditing hospitals and in-home health agencies for Medicare and Medicaid compliance for six years. (Tr., p. 20) Lapcheske hauled heavy audit bags to perform her job duties. (Tr., pp. 20-21) Lapcheske initially worked as a cost report specialist. (Tr., p. 21) Lapcheske moved to Blue Cross Blue Shield of Louisiana when she was promoted to a Medicare auditor. (Tr., p. 21) After leaving Blue Cross Blue Shield of Louisiana, Lapcheske worked for Communications Data Services as an accountant, assistant manager, and temporary manager for approximately six years. (Tr., p. 19) Lapcheske sold accounting packages to fulfillment companies and her position required frequent travel. (Tr., p. 19) Lapcheske left Communication Data Services and accepted a position with Wesley Retirement Services as the office manager in accounting. (Tr., p. 18) While working for Wesley Retirement Services she was responsible for accounts payable, accounts receivable, payroll, human resources, and all other office accounting. (Tr., p. 18) Lapcheske worked a lot of overtime, and occasionally moved boxes and filed documents. (Tr., p. 18) After approximately six years, Lapcheske accepted a position with Polk County and she left Wesley Retirement Services. (Tr., p. 18) Lapcheske is a cash management technician for Polk County, in the Treasurer's Office. (Tr., p. 9; Ex. Z, p. 28) Lapcheske has worked for Polk County for twenty years. (Tr., p. 8; Ex. Z, p. 28) As a cash management technician, Lapcheske processes all of the money that flows in and out of Polk County, including cash receipts and ACH disbursements. (Tr., p. 9) One of Lapcheske's primary functions is property tax apportionment, where funds are distributed to different taxing entities. (Tr., p. 9) Lapcheske conducts wire transfers, remote deposits checks, enters data into financial spreadsheets through a keyboard, scans checks with a remote scanner, and runs checks through a repair and transmits the file. (Tr., p. 9) Earlier in her career, Lapcheske worked with large sub ledgers, but now her job is electronic. (Tr., pp. 9-10, Ex. Z, p. 28) On December 29, 2015, Lapcheske arrived at work at approximately 7:50 a.m. (Tr., pp. 10-11; Ex. Z, p. 28) Over the course of the day it snowed three inches. (Tr., p. 11) When Lapcheske arrived at work it had just started snowing lightly. (Tr., p. 11) Exhibit 1 documents it was snowing lightly at the time Lapcheske arrived at work, and it continued to snow the morning of her accident. (Ex. 1) Lapcheske testified, "by the time of the accident it was flurrying, so turned into like blizzard like." (Tr., p. 11) Lapcheske had been entering data on the computer and at 8:38 a.m., she walked from the cash management room to the interior door to the treasurer's office. (Tr., p. 12) Lapcheske testified: [w]ell, I was getting ready to swipe my badge. So we have an access door there and I felt my foot slip on the floor – floor, and then landed on my right arm and then I rolled, ended up on my back, and I immediately started screaming for help. I was screaming so loud the assessor’s office all the way down at the other end of the hallway heard me. That was Keith from the assessor’s office, and then Deb Soda from our office heard me and she opened the door and then I was just – I was so relieved, you know, that someone finely heard me that help was there. My whole body was overcome by the trauma of everything and then other people started arriving and I was in severe pain and waiting for the ambulance to come. And there were several people out there in the hallway by that time. I think ten witnesses or so and they asked me – started asking me questions about how I was feeling and etc., and if I needed a pillow etc., called - our security officer called the ambulance, I believe. (Lapcheske testified at the time of the injury, “I didn’t notice anything, but the floors are slippery. They’re routinely polished with a polishing machine and part marble in one area, which is directly in front of my cash management room, and then around the corner it switches over to cement type of flooring.” (Tr., p. 15) Lapcheske reported the area where she fell is cement that was polished at 5:00 p.m. every day at the time of her injury. (Tr., p. 16) At the time of her injury Lapcheske was responsible for locking the vault, which she did at 5:07 p.m. to 5:10 p.m. (Tr., p. 31) Lapcheske denied the machine used to clean the floors was an industrial vacuum, and relayed “I don’t think so, because it leaves a trail of wet behind it.” (Tr., p. 31) Lapcheske testified at the time of her accident Polk County was treating the floor in the evening, but she does not know whether Polk County only used water on the floor. (Tr., p. 31) John Rowan is the director of general services for Polk County. (Tr., p. 29; Ex. S, p. 19) Rowan did not testify at hearing and Polk County submitted an affidavit from him. (Ex. S, p. 19) Rowan relayed the flooring in the area where Lapcheske fell is made of terrazzo and is not uneven. (Ex. S, p. 19) Rowan relayed the last sealant was applied to the floor in 2011, and the floor is not polished or waxed and is vacuumed clean with water only in the evening. (Tr., p. 30; Ex. S, p. 19) Lapcheske noted everyone in the building knows the floor is slick. (Tr., pp. 16-17) Lapcheske testified she has slipped on the floor before, but caught herself. (Tr., p. 17) Lapcheske testified she fell forward close to the door as she was attempting to access it with her badge. (Tr., p. 27; Ex. Z, pp. 28-31) Lapcheske was wearing flat shoes with tread soles at the time of her accident. (Tr., p. 38) Lapcheske reported when she fell one of her shoes fell off and landed next to the wall next to her. (Tr., pp. 38-39) The Treasurer’s Office has a secure entrance and employees must swipe their badges to enter the office. (Tr., p. 15) Lapcheske relayed, “[s]o the employee’s come from around the corner from the exterior door, which is maybe 50 feet to that area where you swipe your badge, and they come from the outside so they potentially would be standing there with wet boots swiping their badge.” (Tr., p. 15) Polk County does not have any designated parking for Polk County employees. (Tr., p. 33) During cross-examination Lapcheske testified at the time of her accident she parked in a parking ramp and accessed the Polk County Administration Building through the skywalk, but reported most of the employees do not park in the ramp and park in outside parking lots. (Tr., pp. 32-33) Lapcheske acknowledged many Polk County employees park in the parking ramp where she parked at the time of the accident. (Tr., p. 34) Lapcheske was taken to the emergency room where she was diagnosed with a dislocated shoulder and fractured right humerus. (Tr., p. 13) The next day she received surgery. (Tr., p. 13) Lapcheske is a breast cancer survivor. (Tr., p. 26; Ex. Z, p. 31) She does not have any permanent restrictions related to her breast cancer. (Tr., p. 26) Lapcheske also has adult onset diabetes. (Tr., p. 24; Ex. Z, p. 32) Lapcheske relayed she controls her diabetes with insulin and diet. (Tr., p. 25; Ex. Z, pp. 31-32) A medical record from October 2015 documents Lapcheske’s diabetes was uncontrolled. (JE 1, p. 6) A medical record from December 27, 2015, documents her “[s]ugars are running good.” (JE 1, p. 8) Lapcheske has had problems with her cervical spine in the past, and in 2002 she underwent an allograft between C6 and C7. (Tr., p. 24) Lapcheske returned to normal duty without restrictions. (Tr., p. 24) Lapcheske has also had problems with her left shoulder, and she has received injections into her left shoulder, including an injection on December 27, 2015, before the accident. (Tr., p. 26; JE 1, p. 10; Ex. Z, pp. 31-32) Lapcheske relayed her physician told her the injection could increase her blood sugar and she should check her blood sugar two to three times per day. (Tr., pp. 34-35; JE 1, p. 10) Lapcheske took a half dose of a muscle relaxer on Sunday night, and a half dose on Monday night. (Tr., p. 36; Ex. Z, p. 32) Lapcheske reported she went to work on December 28, 2015, and did not have any issues “whatsoever.” (Tr., p. 26) Lapcheske testified that at the time of her work injury she was not having any dizzy spells and she has never had issues with passing out. (Tr., pp. 26-27) She had not checked her blood sugar the morning of the accident. Lapcheske relayed she never lost consciousness at the time of her accident, she was not dizzy or drowsy, she did not have a headache, and she was alert, talking, and answering questions. (Tr., pp. 27, 44-45) The morning of the accident James Jorgenson with Polk County prepared an incident report, as follows: [at] 0849 hours I was notified by telephone that a person was screaming in the hallway by the Treasurer’s office room 154. Upon arrival I found that an employee by the name of Cindy Lapcheske had accidentally slipped and fell on the floor and injured herself. The staff were comforting her and E911 had already been called. DMFD arrived and transported her to Methodist Hospital. While waiting for EMS Cindy said that she isn’t [sic] sure exactly why she fell. When she did fall she said that she tried to brace herself with her arm and injured her finger and arm. She was in severe pain. She advised staff and EMS that she was a cancer survivor and was diabetic. She was also currently taking some muscle relaxing medication. (Lapcheske testified there were a number of Polk County employees who came out when she fell. (Tr., p. 39) Polk County did not call any witnesses at hearing, and submitted written affidavits and statements from Lapcheske’s coworkers. (Exs. B-Y) An affidavit from Rachael Hagedorn documents she observed Lapcheske lying on the floor and Lapcheske was asked what had happened, she replied “she fell and commented about ‘these shoes.’” (Ex. B, p. 2) Hagedorn noted she did not observe any abnormal condition in the hallway that could have caused Lapcheske to slip. (Ex. B, p. 2) Hagedorn also sent an e-mail to Polk County officials stating paramedics asked Lapcheske if she had checked her blood sugar and she said no, but she had just ate, so it should be okay. (Ex. C, p. 3) Glenda Cogley submitted an affidavit reporting she observed Lapcheske lying on the floor in the hallway with one shoe off, and when Lapcheske was asked what happened, Lapcheske “said she thought maybe it was her shoes,” Lapcheske reported she had “taken muscle relaxers,” and the floor looked normal and dry. (Ex. D, p. 4) Cogley sent an e-mail to Polk County officials, noting several people asked Lapcheske if her blood sugar was low, and she said she had just ate something and she did not think so. (Ex. E, p. 5) Cogley sent a second e-mail stating Jorgenson asked Lapcheske if she was taking medication and Lapcheske responded she had taken muscle relaxers, and again reported Lapcheske relayed she did not believe her blood sugar was low because she had just eaten something, and “when her levels are low, she slurs her words and she wasn’t doing that.” (Ex. F, p. 6) An affidavit from Mary Mahnke relays Mahnke observed Lapcheske lying on the floor with one shoe off and when Lapcheske asked what happened Lapcheske "mentioned her shoes were slick on the bottom." (Ex. G, p. 7) Mahnke reported, "I did see a small puddle of water by the door." (Ex. G, p. 7) Mahnke also sent an e-mail to Polk County officials, reporting Lapcheske relayed "she did not lose consciousness when she fell" and documenting she observed the water on the floor by the door. (Ex. H, p. 8) Kyle Rice submitted an affidavit stating he saw Lapcheske lying on the floor with one shoe off, and when Lapcheske was asked what happened, Lapcheske responded, "the shoes she was wearing that day were sometimes slick in the hallway and that is probably why she fell." (Ex. I, p. 9) Rice relayed he did not notice any abnormal condition of the hallway. (Ex. I, p. 9) Rice submitted a written statement, reporting employees "asked about diabetic reaction said she was o.k. for that. She mentioned she was a 10 year cancer survivor and that she had taken a muscle relaxer earlier." (Ex. L, p. 12) An affidavit from Merle Hicks documents Hicks discovered Lapcheske lying on the floor on her back, that Lapcheske stated she did not know what happened, and Hicks did not observe any hazards on the floor. (Ex. K, p. 11) Ben Lacey submitted an affidavit stating he observed Lapcheske lying on the floor in the middle of the hallway with one shoe off, and Lapcheske "reported she was on muscle relaxers." (Ex. M, p. 13) Lacey stated he did not observe anything abnormal about the condition of the hallway. (Ex. M, p. 13) Donald Lewis submitted an affidavit reporting he observed Lapcheske lying on the floor with one shoe off, and when Lapcheske was asked about what happened, Lapcheske "said she was not sure how she had fallen." (Ex. O, p. 15) Lewis relayed he did not see any objects on the floor and the floor did not appear wet. (Ex. O, p. 15) An affidavit from Deb Soda relays she observed Lapcheske lying two feet from the door with her feet facing the wall, and when Lapcheske was asked about what happened, Lapcheske "said she slipped on the floor and tried to catch herself as she fell" and she lost one of her shoes. (Ex. Q, p. 17) Soda relayed she did not see anything on the floor. (Ex. Q, p. 17) Soda sent an e-mail to officials at Polk County reporting she noticed blood on Lapcheske's mouth, like she had bit her tongue, and she "asked her if her sugar was low, because she is a diabetic, and she said she had just eaten something and her sugar should be okay." (Ex. R, p. 18) At hearing and during her deposition Lapcheske denied making a comment about her shoes, and recalled Cogley made a comment about her shoes. (Tr., p. 40; Ex. Z, p. 33) Polk County did not call Cogley as a witness or any other witnesses to rebut Lapcheske's testimony. Polk County denied Lapcheske’s claim, and she used her group health insurance to pay for her treatment. Lapcheske initially attended sixty physical therapy visits, the maximum amount allowed by her insurance. (Tr., p. 14) Lapcheske had to wait six months before she could resume physical therapy, and she received additional treatments. (Tr., p. 14) Lapcheske testified that following surgery her diabetes went out of control due to stress. (Tr., p. 25) Lapcheske returned to work part-time, twenty-five hours per week, and she eventually returned to full-time employment. (Tr., p. 14) Lapcheske testified she received a thirty-five pound restriction from Megan Brady, M.D., her treating orthopedic surgeon. (Tr., p. 14) Lapcheske testified that when she returned to work she had difficulty performing her job due to pain and she continues to have pain. (Tr., p. 17) Lapcheske experiences pain when her “arm is outstretched for any length of time” where she is having to hold it up, and she is able to perform her job duties with her keyboard dropped. (Tr., p. 17) On January 19, 2017, Dr. Brady wrote a letter regarding Lapcheske, which provides: [t]his is a 54-year-old female who is status post open reduction and internal fixation of a right proximal humerus fracture by myself on December 30, 2015. Of note, this is a workman’s compensation injury. The patient did suffer a fall on a wet marble floor. Landing on a wet, slippery, hard surface such as a marble floor did result in a higher-energy fracture than if she would have fallen on carpet. The patient did have a direct fall resulting in a proximal humerus fracture that required surgical fixation. The patient has been doing well overall but does have some decreased range of motion of the right shoulder. She also has some numbness and tingling in her right thumb, index, and long finger. She complains of some dull achiness over the right humerus and having some issues of hygiene secondary to lack of range of motion. The patient had issues with physical therapy being suspended secondary to insurance issues. (JE 2, p. 12) Dr. Brady assessed Lapcheske with a healed right proximal humerus fracture with typical decreased range of motion. (JE 2, p. 12) Sunil Bansal, M.D., an occupational medicine physician, conducted and independent medical examination for Lapcheske on January 25, 2018. (Ex. 3) Dr. Bansal reviewed Lapcheske’s medical records and examined her. (Ex. 3) Dr. Bansal noted Lapcheske sustained a right proximal humerus fracture when she fell at work onto an outstretched arm onto a hard marble floor, which required surgery, and has resulted in a loss of range of motion in her right upper extremity. (JE 3, pp. 25-26) Using Figures 16-40 through 16-46 of the Guides to the Evaluation of Permanent Impairment (AMA Press, 5th Ed. 2001) ("AMA Guides"), and comparing to her left shoulder, Dr. Bansal opined: \| Range of Motion \| % UE Impairment \| \|-----------------------\|-----------------\| \| Flexion: \| 102, 100, and 98 degrees \| 5 \| \| Abduction: \| 136, 136, and 134 degrees \| 2 \| \| Adduction: \| 39, 39, and 40 degrees \| 0 \| \| External Rotation: \| 82, 84, and 81 degrees \| 0 \| \| Extension: \| 37, 35, and 39 degrees \| 1 \| \| Internal Rotation: \| 55, 58, and 56 degrees \| 2 \| This equals a 10% upper extremity impairment, which is equal to a 6% impairment of the body as a whole. (JE 3, p. 26) Dr. Bansal recommended permanent restrictions for the right arm of no lifting over twenty-five pounds occasionally, no lifting over ten pounds frequently, and no lifting above shoulder level. (JE 3, p. 27) Charles Mooney, M.D., an occupational medicine physician, conducted an independent medical examination of Lapcheske on April 9, 2018. (JE 4) Dr. Mooney examined Lapcheske and reviewed her medical records. (JE 4) Dr. Mooney assessed Lapcheske with status post proximal humerus fracture requiring internal fixation, after falling on a marble floor with an outstretched arm. (JE 4, p. 41) Using the AMA Guides, Dr. Mooney opined: 1. Loss of flexion in a 6% impairment based on Figure 16-40, page 476. 2. Loss of abduction in a 3% impairment based on figure 16-43 on page 477. 3. A 2% impairment based on loss of internal rotation, figure 16-46, page 479. Subsequently, an 11% impairment to the left upper extremity is applicable and when converted to whole person, equates to a 7% whole person impairment. (JE 4, p. 44) Lapcheske testified she has sustained a significant loss of range of motion in her right shoulder as a result of the accident. (Tr., p. 17) Lapcheske is able to bathe and dress herself, but she cannot put on her coat, style the back of her hair, perform housework, including any up and down motions like scrubbing her shower, or pushing or pulling with the vacuum cleaner, she cannot carry, push, or pull large, heavy objects, and she cannot reach above her head with her right arm to obtain things from shelves at home or work. (Tr., pp. 18-19, 43) Lapcheske testified she has a difficult time driving because she cannot reach across her body to make left hand turns. (Tr., p. 20) Her husband drives her everywhere since the accident, including to work. (Tr., p. 20) Lapcheske is not using any assistive devices to drive a vehicle with one hand. Before the accident Lapcheske enjoyed camping with her husband. (Tr., p. 44) Since her work injury she cannot tolerate sleeping on the bed in their camper. (Tr., p. 44) Lapcheske also struggles to stir food with her right arm while cooking. (Tr., p. 44) Lapcheske reported she is at the top of the pay scale at Polk County for her position. (Tr., p. 21) Lapcheske has applied for the financial reports specialist and accountant position twice after completing additional education, but she has not been promoted. (Tr., p. 22) Lapcheske testified she would not be able to return to her employment with Wesley Retirement Services because the job was nonstop where she would sit eight hours a day, whereas with Polk County she can get up and do a different task to give herself relief. (Tr., p. 19) Lapcheske relayed she would not be able to return to her work with Communications Data Services because she could not carry her luggage around or be able to drive after she arrived at her destination. (Tr., p. 19) She also reported she would not be able to return to Blue Cross Blue Shield because she could not haul around an audit bag. (Tr., p. 21) CONCLUSIONS OF LAW I. Arising Out of Employment To receive workers' compensation benefits, an injured employee must prove, by a preponderance of the evidence, the employee's injuries arose out of and in the course of the employee's employment with the employer. 2800 Corp. v. Fernandez, 528 N.W.2d 124, 128 (Iowa 1995). An injury arises out of employment when a causal relationship exists between the employment and the injury. Quaker Oats v. Ciha, 552 N.W.2d 143, 151 (Iowa 1996). The injury must be a rational consequence of a hazard connected with the employment, and not merely incidental to the employment. Koehler Elec. v. Willis, 608 N.W.2d 1, 3 (Iowa 2000). The Iowa Supreme Court has held, an injury occurs "in the course of employment" when: it is within the period of employment at a place where the employee reasonably may be in performing his duties, and while he is fulfilling those duties or engaged in doing something incidental thereto. An injury in the course of employment embraces all injuries received while employed in furthering the employer's business and injuries received on the employer's premises, provided that the employee's presence must ordinarily be required at the place of the injury, or, if not so required, employee's departure from the usual place of employment must not amount to an abandonment of employment or be an act wholly foreign to his usual work. An employee does not cease to be in the course of his employment merely because he is not actually engaged in doing some specifically prescribed task, if, in the course of his employment, he does some act which he deems necessary for the benefit or interest of the employer. Farmers Elevator Co. v. Manning, 286 N.W.2d 174, 177 (Iowa 1979) (emphasis in original). It is undisputed the injury occurred while Lapcheske was working for Polk County, in the course of her employment. The parties dispute whether Lapcheske's injury arose out of her employment with Polk County. Polk County asserts Lapcheske sustained and idiopathic fall, which is not compensable. Whether a claimant's injury arises out of the claimant's employment is a "mixed question of law and fact." Lakeside Casino v. Blue, 743 N.W.2d 169, 173 (Iowa 2007). The Iowa Supreme Court has held, "[t]he factual aspect of this decision requires the [trier of fact] to determine 'the operative events that [gave]rise to the injury.'" Meyer v. IBP, Inc., 710 N.W.2d 213, 218 (Iowa 2006). Once the facts are determined, a legal question remains: "[W]hether the facts, as determined, support a conclusion that the injury 'arose out of . . . [the] employment,' under our workers' compensation statute." Id. As a general rule, risks personal to the claimant are not compensable. Koehler Elec., 608 N.W.2d at 4. The Iowa Supreme Court has adopted the "actual-risk" doctrine for determining the compensability of an idiopathic fall. Lakeside Casino, 743 N.W.2d 177; Hanson v. Reichelt, 452 N.W.2d 164, 168 (Iowa 1990). Under the "actual risk" doctrine adopted by the court in Hanson, if the nature of the employment exposes the employee to the risk of such an injury, the employee suffers an accidental injury arising out of and during the course of employment. And it makes no difference that the risk was common to the general public on the date of the injury. 452 N.W.2d at 168. The court noted in Lakeside Casino, "[c]onsequently, with limited exceptions, we have abandoned the requirement that the employment subject the employee to a risk or hazard that is greater than that faced by the general public.” 743 N.W.2d at 174-75. A. “Idiopathic Fall” The appellate courts have not defined the term “idiopathic fall.” There are a number of Iowa appellate published and unpublished idiopathic fall cases involving medical conditions personal to the claimant, such as epilepsy, dizziness, syncope, and alcoholism. Lakeside Casino, 743 N.W.2d at 171 (light-headed and nauseated); Koehler Elec., 608 N.W.2d at 4 (alcohol withdrawal); AARP v. Whitacre, No. 12-1519, 2013 WL 2107398, 2 (Iowa Ct. App. 2013) (choking and passing out); Bluml v. Dee Jays, Inc., File No. 5047125 (App. July 20, 2017) (seizure disorder). The Iowa Court of Appeals has looked to the dictionary definition of the term “idiopathy” in a workers’ compensation case. Tyson Foods. Inc. v. Tameklo, No. 15-0222, 2015 WL 7075834, 2 (Nov. 12, 2015). The court noted one of the physicians “leaned toward an ‘idiopathic’ or personal cause of the injury,” and noted the term “‘idiopathy’ is defined as ‘1. a disease of unknown origin or cause; a primary disease. 2. A disease for which no cause is known.’” Tameklo, 2015 WL 7075834, 2 (quoting The American Heritage Dictionary 639 (2d College Ed. 1985)). The focus was on a disease of the claimant. The Iowa Court of Appeals has noted a distinction between idiopathic and neutral or unexplained falls. In Bartle v. Sidney Care, Inc., No. 02-1371, 2003 WL 22346956, 1-2 (Iowa Ct. App. Oct. 15, 2003), the court held “where the claimant slips or trips or falls for no specifically identifiable reason, that the cause of the fall and resulting injury is not idiopathic, but rather neutral or unexplained.” The court, affirmed the district court and agency, finding that even if the fall is neutral or unexplained, the claimant “must establish a nexus between a job duty or condition of employment and her injury,” and the claimant’s testimony indicated carrying the water pitchers did not contribute to her fall, nor did any other conditions of her employment contribute to her fall and injury. Bartle, 2003 WL 22346956, 2. As in Bartle, Lapcheske testified she did not know why she fell. Lapcheske relayed she never lost consciousness at the time of her accident, she was not dizzy or drowsy, she did not have a headache, and she was alert, talking, and answering questions. (Tr., pp. 27, 44-45) Several of Lapcheske’s coworkers heard Lapcheske speaking and responding to questions. (Exs. C, p. 3; E, p. 5; F, p. 6; L, p. 12; R, p. 18) When questioned about her diabetes, Lapcheske’s coworkers acknowledged she replied she had just eaten and she did not believe her blood sugar was low. (Exs. C, p. 3; E, p. 5; F, p. 6; L, p. 12; R, p. 18) While several of Lapcheske’s coworkers heard her say that she had taken a muscle relaxer for her left shoulder condition, there was no evidence presented at hearing that the muscle relaxer contributed to Lapcheske’s fall. (Exs. D, p. 4; L, p. 12; M, p. 13) Lapcheske was the sole witness at hearing. During the hearing I assessed her credibility by considering whether her testimony was reasonable and consistent with other evidence I believed, whether Lapcheske had made inconsistent statements, her "appearance, conduct, memory and knowledge of the facts," and her interest in the case. State v. Frake, 450 N.W.2d 817, 819 (Iowa 1990). Lapcheske has an obvious interest in the outcome of this case. I had the opportunity to observe her testify under oath. During her testimony, Lapcheske engaged in direct eye contact, her rate of speech was appropriate, and she did not make any furtive movements. Her testimony was consistent throughout the hearing, and I find it reasonable and consistent with the other evidence I believe. Based on my personal observations at hearing, I found Lapcheske to be a credible witness. Lapcheske has been diagnosed with diabetes, and she was taking a prescription muscle relaxer for her left shoulder condition at the time of her fall. Polk County has not established Lapcheske's personal disease conditions caused her fall. Lapcheske's fall was not idiopathic. This finding does not end the inquiry. Lapcheske still bears the burden of establishing a causal connection between the conditions of her employment and the injury. B. Causal Connection* Lapcheske testified when she was getting ready to swipe her badge to an interior door "I felt my foot slip on the floor – floor, and then landed on my right arm and then I rolled, ended up on my back..." (Tr., p. 12) Lapcheske testified she fell forward. (Tr., p. 27) Lapcheske was wearing flat shoes with tread soles at the time of her accident. (Tr., p. 38) Lapcheske reported when she fell one of her shoes fell off and landed next to the wall next to her. (Tr., pp. 38-39) Lapcheske relayed, "I didn't notice anything, but the floors are slippery," noting they are polished every evening. (Tr., p. 15) Lapcheske noted everyone in the building knows the floor is slick. (Tr., pp. 16-17) Lapcheske testified she has slipped on the floor before, but caught herself. (Tr., p. 17) No witnesses were present at the time of her fall. Lapcheske did not see any water on the floor before she fell. (Ex. Z, pp. 34-35) As noted above, Lapcheske was the sole witness at hearing. Polk County relied on written affidavits and witness statements at hearing. Exhibit 1 documents it was snowing lightly at the time Lapcheske arrived at work, and that it continued to snow the morning of her accident. (Ex. 1) The Treasurer's Office has a secure entrance, and employees must swipe their badges to enter the office. (Tr., p. 15) While Lapcheske did not notice the floor was wet outside the office, she testified, "[s]o the employee's come from around the corner from the exterior door, which is maybe 50 feet to that area where you swipe your badge, and they come from the outside so they potentially would be standing there with wet boots swiping their badge." (Tr., p. 15) Polk County did not present any contrary evidence at hearing. The most probative evidence of the condition of the floor at the time of the accident is from Mahnke, an employee of Polk County. (Ex. G, H) Polk County submitted Exhibits G and H, an affidavit and an e-mail from Mahnke, which were admitted into the record at hearing. Mahnke, the administrative supervisor for the Treasurer's Office, sent an e-mail to Polk County officials on January 8, 2016, reporting, I was in my office in room 155 when I heard screaming. When I came out of my office there were several people rushing out of the door by the cash room on the west side of 155. I looked out and saw Cindy laying on her back. She said that her head and back hurt and another employee was on the floor next to her looking at her left hand. Cindy said that her left arm and hand hurt and she thought she may have broken her finger. Her shoe was off of her left?? Foot. She mentioned that her shoes were slick on the bottom. I looked around and did see a small puddle of water in the area by the door. When the paramedics came she said she had eaten something in the morning but had not checked her insulin levels as she is diabetic. She said she did not lose conscienceness [sic] when she fell. I left after that and did not witness her being put on the gurney. (Ex. H, p. 8) Mahnke later signed an affidavit again stating "I did see a small puddle of water by the door." (Ex. G, p. 7) Mahnke's e-mail is very detailed concerning her observations. There was no evidence presented at hearing supporting Mahnke had any reason to be untruthful concerning the condition of the floor. Exhibits H and G were obtained by Polk County, not by Lapcheske. Given it was snowing at the time of the accident, Lapcheske's testimony that individuals could enter the area from outdoors, and Mahnke's e-mail and sworn affidavit, I find the floor was wet at the time of Lapcheske's fall. This case is distinguishable from the level floor cases, where employees sustained idiopathic falls on level surfaces. McIlravy v. N. River Ins. Co., 653 N.W.2d 323, 326 (Iowa 2002); Bluml v. Dee Jay's, Inc., Case No. CVCV116561 (Iowa Dist. Ct. Jan. 25, 2018); Khambanoun v. Ortiz Co., File No. 5052943 (Arb. Dec. 7, 2017); Falck v. West Fork Servs., File No. 5061094 (Arb. Nov. 13, 2017). The surface of the floor was wet, making it slick, causing a hazard. See Garcia v. JBS USA Holdings, Inc., File No. 5063059 (Apr. 19, 2018) (concluding while the floor was level, "[t]he slickness of the surface upon which claimant fell [which was wet] exposed the claimant to a risk of injury). The wet floor created a condition in the workplace, an actual risk Lapcheske encountered when she fell. As with the discussion of the dangerousness of stairs in Lakeside Casino, and ladders in Koehler Electric, it is a matter of common knowledge a wet surface poses an actual risk of stumbling or falling when traversing a level floor. Lakeside Casino, 743 N.W.2d at 177; Koehler Elec., 608 N.W.2d at 1, 5. While several of Lapcheske's coworkers stated they heard her make comments that her shoes may have contributed to the fall, she denied making the comment. Even assuming Lapcheske's shoes contributed to the fall, the wet condition of the floor created an actual risk Lapcheske encountered. Lapcheske has established she sustained an injury arising out of her employment with Polk County. II. Extent of Disability "Industrial disability is determined by an evaluation of the employee's earning capacity." Pease, 807 N.W.2d at 852. In considering the employee's earning capacity, the deputy commissioner evaluates several factors, including "consideration of not only the claimant's functional disability, but also [his] age, education, qualifications, experience, and ability to engage in similar employment." Swiss Colony, Inc. v. Deutmeyer, 789 N.W.2d 129, 137-38 (Iowa 2010). The inquiry focuses on the injured employee's "ability to be gainfully employed." Id. at 138. The determination of the extent of disability is a mixed issue of law and fact. Neal v. Annett Holdings, Inc., 814 N.W.2d 512, 525 (Iowa 2012). Compensation for permanent partial disability shall begin at the termination of the healing period. Iowa Code § 85.34(2). Compensation shall be paid in relation to 500 weeks as the disability bears to the body as a whole. Id. § 85.34(2)(u). Drs. Bansal and Mooney opined Lapcheske has sustained a permanent impairment as a result of the accident. (JE 3; JE 4) Dr. Bansal assigned Lapcheske a six percent impairment rating and Dr. Mooney assigned a seven percent impairment rating. (JE 3, p. 26; JE 4, p. 44) Dr. Mooney's report does not address restrictions. (JE 4) Dr. Bansal recommended permanent restrictions with the right arm of no lifting over twenty-five pounds occasionally, no lifting over ten pounds frequently, and no lifting above shoulder level. (JE 3, p. 27) I find Dr. Bansal's restrictions appropriate. Lapcheske continues to work for Polk County in the same position she held at the time of her work injury. Lapcheske continues to perform her normal duties within the restrictions imposed by Dr. Bansal. While she continues to perform the same job, Lapcheske has sustained a significant permanent loss of range of motion in her right shoulder as a result of the accident. Lapcheske's employment prior to Polk County required her to lift heavy bags and boxes, which she can no longer do. Lapcheske credibly testified at hearing she cannot put on her coat, style the back of her hair, scrub the shower, push or pull a vacuum cleaner, carry, push or pull heavy objects, or reach above her head with her right arm. (Tr., p. 20) Lapcheske struggles to stir food while cooking with her right, dominant arm. (Tr., p. 44) Before the accident Lapcheske enjoyed camping, but she cannot tolerate sleeping on the camper bed as a result of her injury. (Tr., p. 44) Considering all of the factors of industrial disability, I conclude Lapcheske has sustained a twenty-five percent industrial disability. III. Healing Period Benefits The parties stipulated Lapcheske was off work December 29, 2015 through March 28, 2016, and she returned to work twenty-five hours per week from March 29, 2016 through April 8, 2016. Iowa Code section 85.33 governs temporary disability benefits, and Iowa Code section 85.34 governs healing period and permanent disability benefits. Dunlap v. Action Warehouse, 824 N.W.2d 545, 556 (Iowa Ct. App. 2012). As a general rule, “temporary total disability compensation benefits and healing-period compensation benefits refer to the same condition.” Clark v. Vicorp Rest., Inc., 696 N.W.2d 596, 604 (Iowa 2005). The purpose of temporary total disability benefits and healing period benefits is to “partially reimburse the employee for loss of earnings” during a period of recovery from the condition. Id. An award of healing period benefits or total temporary disability benefits is not dependent on a finding of permanent impairment. Dunlap, 824 N.W.2d at 556. The appropriate type of benefit depends on whether or not the employee has a permanent disability. Id. As analyzed above, Lapcheske has sustained a permanent impairment, therefore, she is entitled to healing period benefits. In Evenson v. Winnebago Indus., Inc., the Iowa Supreme Court held that the healing period lasts until the claimant has returned to work, has reached maximum medical improvement, or until the claimant is medically capable of returning to substantially similar employment, “whichever occurs first.” 818 N.W.2d 360, 372-74 (Iowa 2016). Lapcheske returned to work on March 29, 2016. Under Evenson, when she returned to work, Lapcheske’s healing period ended. Lapcheske is awarded healing period benefits from December 29, 2015 through March 28, 2016. IV. Costs Lapcheske seeks to recover the $100.00 filing fee, the $545.00 cost of Dr. Bansal’s independent medical examination, and the $2,043.00 cost of Dr. Bansal’s report. (Ex. 2) Iowa Code section 86.40, provides, “[a]ll costs incurred in the hearing before the commissioner shall be taxed in the discretion of the commissioner.” Rule 876 IAC 4.33(6), provides, [c]osts taxed by the workers’ compensation commissioner or a deputy commissioner shall be (1) attendance of a certified shorthand reporter or presence of mechanical means at hearings and evidential depositions, (2) transcription costs when appropriate, (3) costs of service of the original notice and subpoenas, (4) witness fees and expenses as provided by Iowa Code sections 622.69 and 622.72, (5) the costs of doctors’ and practitioners’ deposition testimony, provided that said costs do not exceed the amounts provided by Iowa Code sections 622.69 and 622.72, (6) the reasonable costs of obtaining no more than two doctors’ or practitioners’ reports, (7) filing fees when appropriate, (8) costs of persons reviewing health service disputes. A. Filing Fee The administrative rule expressly allows for the recovery of the $100.00 filing fee. Lapcheske is entitled to recover the $100.00 filing fee. B. Independent Medical Examination and Report After receiving an injury, the employee, if requested by the employer is required to submit to examination at a reasonable time and place, as often as reasonably requested to a physician, without cost to the employee. Iowa Code § 85.39. If an evaluation of permanent disability has been made by a physician retained by the employer and the employee believes the evaluation is too low, the employee “shall, upon application to the employer and its insurance carrier, be reimbursed by the employer the reasonable fee for a subsequent examination by a physician of the employee’s own choosing.” Id. Polk County denied Lapcheske’s claim and she elected to seek treatment covered by her group insurance. Dr. Bansal performed an independent medical examination for Lapcheske on January 25, 2018. (Ex. 3) Dr. Mooney performed an independent medical examination for Polk County on April 9, 2018. (JE 4) The parties did not submit any records or other evidence supporting an evaluation of permanent disability had been made by a physician retained by Polk County prior to Dr. Bansal’s independent medical examination. Lapcheske is not entitled to recover the $545.00 cost of Dr. Bansal’s independent medical examination under the statute. Iowa Code § 85.39; cf. IBP, Inc. v. Harker, 633 N.W.2d 322, 326 (Iowa 2001) (holding although the employer acquiesced to the claimant’s physician choice, the claimant was not entitled to recover the cost of an independent medical examination because she chose the physicians who provided the unfavorable impairment ratings, and they were not “retained by the employer”). The administrative rule allows for the recovery of the cost of two practitioners’ reports. Rule 876 IAC 4.33(6). In the case of Des Moines Area Regional Transit Authority v. Young, the Iowa Supreme Court held: [We] conclude section 85.39 is the sole method for reimbursement of an examination by a physician of the employee’s choosing and that the expense of the examination is not included in the cost of a report. Further, even if the examination and report were considered to be a single, indivisible fee, the commissioner erred in taxing it as a cost under administrative rule 876-4.33 because the section 86.40 discretion to tax costs is expressly limited by Iowa Code section 85.39. 867 N.W.2d 839, 846-47 (Iowa 2015). Dr. Bansal’s bill is itemized. (Ex. 2, p. 2) There was no evidence presented at hearing challenging the amount of Dr. Bansal’s report fee. Under Young, Lapcheske is entitled to recover the $2,043.00 cost of Dr. Bansal’s report. Id. ORDER IT IS THEREFORE ORDERED, THAT: Defendant shall pay the claimant one hundred twenty-five (125) weeks of permanent partial disability benefits, at the rate of seven hundred sixteen and 87/100 dollars ($716.87) per week, commencing on March 29, 2016. Defendant shall pay the claimant healing period benefits from December 29, 2015 through March 28, 2016, at the rate of seven hundred sixteen and 87/100 dollars ($716.87) per week. Defendant shall pay accrued weekly benefits in a lump sum together with interest at the rate of ten (10) percent for all weekly benefits payable and not paid when due which accrued before July 1, 2017, and all interest on past due weekly compensation benefits accruing on or after July 1, 2017, shall be payable at an annual rate equal to the one-year treasury constant maturity published by the federal reserve in the most recent H15 report settled as of the date of injury, plus two (2) percent. See Gamble v. AG Leader Tech., File No. 5054686 (App. Apr. 24, 2018) Defendant is assessed one hundred and 00/100 dollars ($100.00) for the filing fee, and two thousand forty-three and 00/100 dollars ($2,043.00) for the cost of Dr. Bansal's report. Defendant shall file subsequent reports of injury as required by this agency pursuant to rules 876 IAC 3.1(2) and 876 IAC 11.7. Signed and filed this 7th day of June, 2018. HEATHER L. PALMER DEPUTY WORKERS' COMPENSATION COMMISSIONER Copies To: Mark Hedberg Attorney at Law 100 Court Ave., Ste. 425 Des Moines, IA 50309 [email protected] Meghan L. Gavin Julie Bussanmas Assistant county Attorneys 111 Court Ave., Rm. 340 Des Moines, IA 50309 [email protected] [email protected] HLP/sam Right to Appeal: This decision shall become final unless you or another interested party appeals within 20 days from the date above, pursuant to rule 876-4.27 (17A, 86) of the Iowa Administrative Code. The notice of appeal must be in writing and received by the commissioner's office within 20 days from the date of the decision. The appeal period will be extended to the next business day if the last day to appeal falls on a weekend or a legal holiday. The notice of appeal must be filed at the following address: Workers' Compensation Commissioner, Iowa Division of Workers' Compensation, 1000 E. 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These promotions will not contain Personal Information about customers. Cookies and Similar Technology We and our third party service providers, such as advertising networks and analytics service providers, may collect anonymous information automatically through the use of "cookies" and similar technology. The service providers also may collect information about your online activities over time and on other websites or apps. Cookies are small pieces of information that are stored by your browser on your computer's hard drive to collect information about your activities on our Website. Cookies do not contain any Personal Information. We use cookies to collect and store information for statistical purposes, including browsing and Service usage activity, and to improve the services we provide. For example, if you are a registered user, we will use a cookie to save your Service settings and to provide customizable and personalized services. Cookies also enable you to select products, place them in your shopping cart and purchase the items. If you select and purchase products on the Service, we keep a record of your browsing activity and purchases. Most browsers allow you to refuse cookies from websites or to remove cookies from your hard drive. If you choose to do this, you may not be able to access or use portions of the Website. Security If you place an order via our secure server, all your personal information is encrypted before it is transmitted over the Internet. We retrieve your order from our server, also via a secure connection. If you prefer not to enter your credit card online, you can call and order at 888-540-7656. Social Plug-Ins. The Website may allow you to use social media plug-ins, such as Facebook's "like" or Twitter's "tweet" functions. The social media plug-ins collect information about you, such as your IP address, when you use them. The privacy policies of the social media services, and not this Privacy Policy, apply to any data collected by the social media plug-ins. Social Media Pages. We may collect information about you when you visit our social media pages or other features. The social media website provider may provide us with information, including Personal Information, such as your name, email address, and other information made available to us. Customer Support. We may collect Personal Information through your communications with our customer-support team. As Required By Law and Similar Disclosures. We may access, preserve, and disclose collected information, if we believe doing so is required or appropriate to: comply with law enforcement requests and legal process, such as a court order or subpoena; respond to your requests; or protect your, our, or others' rights, property, or safety. Corporate Changes. We reserve the right to transfer Personal Information in the event Wine Ambassador acquires or merges with or is acquired by another company or during other corporate changes. Any information disclosed as a result of one of these events or other corporate changes will be subject to the Privacy Policy in eﬀect at the time. Returns and Refusals. If you wish to return a product or refuse delivery of a shipment, your account will be credited upon receipt of the returned items less the original and return shipping cost. If you wish to have the shipment sent out again to the same or diﬀerent address, applicable shipping rates will apply. Refunds. Credit card refunds typically take 3-5 business days to process dependent upon your ﬁnancial institutions processing policy. Check refunds will usually be processed by Wine Ambassador or the local licensee within 10 business days and then mailed via USPS. Shipping Policy Your Order will be forwarded to a designated licensee who is authorized to sell the products in your state. The designated licensee will reject your oﬀer to purchase or will accept the oﬀer to purchase and fulﬁll the order. Any sale made by a designated licensee will be subject to applicable local and state laws and sales taxes, as well as shipping and handling charges. Age Policy By placing an order, you authorize us to act on your behalf to engage a common carrier to deliver your order to you. WINES MAY BE SOLD ONLY TO PERSONS WHO ARE AT LEAST 21 YEARS OLD, WHO ARE USING THE PRODUCTS FOR PERSONAL USE AND NOT FOR RESALE AND ARE NOT INTOXICATED AT THE TIME OF DELIVERY. BY PLACING YOUR ORDER, YOU REPRESENT TO US THAT YOU ARE AT LEAST 21 YEARS OLD. When your wine is delivered to you, you will be required to show identiﬁcation proving that you are at least 21 years old. All orders legally require: Drivers License, Military, Passport, or State ID. How To Contact Us Your questions and comments are always welcome. Please feel free to email us at anytime by using our "Contact Us" email form or call our customer service line at 888-540-7656.	<urn:uuid:b8791404-e104-4c74-92f1-eb64a481affa>	CC-MAIN-2021-49	http://www.wineambassador.com/Content/documents/PrivacyPolicy.pdf	2021-12-02T06:24:45+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00070-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet	143,528,893	1,290	eng_Latn	eng_Latn	0.99683	eng_Latn	0.997227	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2908, 6431 ]
F. M. Kirby Foundation, Inc. September 15, 2023, 2:00 p.m. Agenda for the Special Meeting of the Members The Peck School, Lindenwold Library, 247 South Street, Morristown, New Jersey Zoom Conference Option ( zoom.us ) Meeting ID: 849 3888 7925 / Password: 856952 Call-In: 1-929-436-2866 AGENDA 1) Call to order 2) Approval of the Minutes of the Meeting of the Members held April 28, 2023 3) Consider approval of the attached resolution (Amended and Restated Bylaws) 4) Adjournment	<urn:uuid:303b9640-f1b3-49d5-bcee-d7690994ff15>	CC-MAIN-2025-05	https://fmkirbyfoundation.org/wp-content/uploads/2023/09/2.-September-15-2023-Special-Meeting-of-the-Members-Agenda.pdf	2025-01-22T17:50:48+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-05/subset=warc/part-00291-88b30a59-3c73-48ba-a167-077611bfd245.c000.gz.parquet	259,813,187	148	eng_Latn	eng_Latn	0.65178	eng_Latn	0.65178	[ "eng_Latn" ]	false	rolmOCR	[ 490 ]
Reporting Template Introductions & Conclusions 4-H Science Introduction 4-H Science 4-H Science programs create hands-on learning experiences to encourage young minds and help fill our nation's shortage of young leaders proficient in science, technology, engineering, and math. 4-H believes it is important to make STEM fun—engaging youth in hands-on, interactive projects that can bring the textbook concepts to life. 4-H Science programs are designed to include pathways for young people to explore STEM concepts early (as young as age 5); give them access to real-world STEM professionals; and bring STEM concepts to life through hands-on, interactive projects that are tailored to various age groups. Today over 5 million 4-H Science projects are completed by 4-H members annually. 4-H Science Conclusion Building a pipeline of STEM professionals is critical not only for American business and education, but also for our nation's global competitiveness and national security. 4-H has always demonstrated flexibility in meeting the needs of the changing population and society while continuing to use its signature hands-on learning strategies. This need for 4-H to prepare young people with STEM skills has never been greater as the data has shown that America is not keeping pace with current and projected demand for graduates with STEM skills and training. 4-H is equipped to meet this challenge. The Study of Positive Youth Development, conducted by Tufts University, highlighted that 4-H youth are more likely to pursue future courses in a career in science, engineering, or computer technology. 4-H Positive Youth Development 4-H Positive Youth Development Introduction (Universal & 4-H Experience) 4-H learning experiences are based on the principles and practices of Positive Youth Development. The structured learning, encouragement, and adult mentoring that young people receive through their participation in 4-H plays a vital role in helping them achieve future life success. Positive Youth Development views young people as vital resources with assets and potentials to be developed rather than as problems to be managed. 4-H staff and volunteers intentionally address youths' basic needs by intentionally integrating elements within 4-H experiences that create environments conducive to optimizing youth development. 4-H Positive Youth Development Conclusion Youth-driven 4-H experiences provide young people access to safe learning environments; challenging experiences that build skills, competencies, and resiliency to address life's challenges and to actively contribute to society; and partnerships with caring adults to help meet youths' basic needs of belonging, mastery, independence, and generosity. Youth who participate in 4-H report better grades, higher levels of academic competence, and an elevated level of engagement at school. They are also nearly two times more likely to plan to go to college. The structured learning, encouragement and adult mentoring that young people receive through their participation in 4-H plays a vital role in helping them achieve future life successes. 4-H Civic Engagement 4-H Citizenship Introduction 4-H Citizenship is the knowledge, skills, attitudes and motivation that give youth the capacity to move beyond one's individual self-interest and to be committed to the well-being of some larger group. 4-H Citizenship programs empower young people to be well-informed citizens who are actively engaged in their communities and the world. By providing them with opportunities to connect to their communities and adult leaders, youth gain a clear understanding of their role in civic events and are able to build their decision-making ability. This solid foundation helps youth understand and acquire the skills that will allow them to be astute leaders now and in the future. 4-H Citizenship Conclusion Through participation in 4-H Citizenship projects and activities youth have the opportunity to be involved in Community Based Service-Learning to identify and address issues of public concern; Civic Education to cultivate the virtues, knowledge, and skills necessary for political participation; Service though charitable activities performed to benefit someone besides one's self; and Personal Development through assuming leadership roles, growth of mutual respect and understanding, character development, and problem solving. 4-H Healthy Living 4-H Healthy Living Introduction: 4-H Healthy Living engages with youth and families through access and opportunities that achieve optimal physical, social, and emotional well-being. Families are integral to the Healthy Living program as youth decisions are often made within family context. By utilizing researchbased information and practices, 4-H Healthy Living programs help create supportive communities that provide access and opportunities through the acquisition of knowledge, skills, positive attitude, development of positive relationships, and engagement in behaviors that enable them to thrive. The 4-H Healthy Living programs have the capacity to mobilize young people and implement sustainable strategies that will create healthy lifestyles for America's families. 4-H Healthy Living Conclusion: Through our Healthy Living programs, 4-H youth are learning how to lead lives that balance physical, emotional, and social health. They are learning not only how to make smart and healthy decisions for themselves but also giving back to their communities so their friends and families can do the same. 4-H youth are creating change with the issues that matter the most to young people today - nutrition, childhood obesity, drug awareness, bullying, safe driving, suicide prevention, decision-making, and stress management. Working together, we can help shape the next generation of healthy youth. College and Career Readiness College and Career Readiness Introduction: In a world of rapid change, it's never been more important for young people to gather the knowledge, skills, and experiences that will enable them to effectively transition from education into the workforce. Helping youth understand how to navigate their options which will empower them to effectively reach their fullest potential is critical. Through participation in College and Career Readiness programs, youth learn to make meaningful decisions about college and career aspirations and gain professionalism skills that will last a lifetime. Through experiential learning opportunities youth develop the assets to successfully explore their postsecondary education and career options, identify the relationships between career and 4-H projects, and actively explore their future. College and Career Readiness Conclusion: Participation in 4-H College and Career Readiness programs prepare youth successfully make meaningful decisions about their postsecondary path. Preparing today's youth for tomorrow's world includes connecting youth with caring adult mentors and business and industry professionals who help them gain confidence, take ownership of their learning, and make informed decisions regarding their personal career path. College and Career Readiness programs can help lead young people to gainful employment, providing sustainable wages and opportunities for advancement in meet the demands of our ever-changing global workforce. Animal Science 4-H Animal Science Introduction 4-H Animal Science programs utilize real-world modeling of animal handling, care, training, and production to develop competent and caring consumers and industry leaders. 4-H recognizes the importance of empowering youth to make informed decisions that impact the food their animals produce, the wellbeing of their animal, and the larger world around them. Through a variety of engagement opportunities, youth in animal science programs gain valuable life skills, knowledge, and connections that will last a lifetime. 4-H Animal Science Conclusion Youth Animal Science programs develop the knowledge and skills that are necessary for youth to become responsible animal producers and/or employees in the agriculture or food industry. As a result, this instills a much larger impact of consumer confidence in our food supply. Youth not only learn about animal science, but also learn to share their knowledge with others. Youth animal science projects remain a consistent spark for many young people to develop skills like responsibility and decision making and provide many an opportunity to see science in everyday life.	<urn:uuid:444898b0-9640-478b-bf42-2cd84d7ddb20>	CC-MAIN-2024-51	https://commonmeasures.org/documents/Template_Intros_and_Conclusions.pdf	2024-12-11T09:42:14+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-51/subset=warc/part-00233-b392068a-8e35-4497-8fab-a691b1a71843.c000.gz.parquet	163,987,959	1,509	eng_Latn	eng_Latn	0.993784	eng_Latn	0.995356	[ "unknown", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 47, 3134, 5856, 8555 ]
Samco ELSS Tax Saver Fund Experience tax savings along with wealth building opportunity Disclaimer MUTUAL FUND INVESTMENTS ARE SUBJECT TO MARKET RISKS, READ ALL SCHEME RELATED DOCUMENTS CAREFULLY. The views expressed herein are based on our current views and involve known and unknown risks and uncertainties that could cause actual results, performance or events to differ materially from those expressed or implied herein. Past performance may or may not be sustained in future. Neither Samco AMC and Samco Mutual Fund (the Fund) nor any person connected with them, accepts any liability arising from the use of this document. Stocks/Sectors referred hereto are illustrative and not recommended by the Fund / Samco AMC. The Scheme(s) offered by the Fund may or may not have any present or future positions in these stocks/sectors/instruments. Samco Mutual Fund/AMC is not guaranteeing/offering/communicating any indicative yields or guaranteed returns on investments made in the scheme(s) of the Fund. Simulated data is used for the purposes of explanation of the concept. Backtested, hypothetical or simulated performance results have inherent limitations. Past hypothetical backtest results are neither an indicator nor a guarantee of future results. Actual results shall vary from analysis. SAMCO makes no representation or warranty, either expressed or implied regarding future performance. This disclaimer is to be applied all slides of the presentation. # Table of Contents \| \| Title \| Page \| \|---\|--------------------------------------------\|------\| \| 1 \| Why Samco ELSS Tax Saver Fund? \| 4 \| \| 2 \| Samco ELSS Tax Saver Fund Strategy \| 6 \| \| 3 \| Portfolio Update \| 16 \| \| 4 \| Sectoral Positioning \| 25 \| \| 5 \| Fund Management Team \| 31 \| Why Samco ELSS Tax Saver Fund? 1. Predominantly invests in Quality Mid and Small Cap Stocks 2. Diversified exposure to various quality companies from a broader universe in a single fund 3. Appropriate management of risks and active monitoring across stocks 4. Dynamic allocation based on market conditions and economic trends 5. Benefits of taxation Samco ELSS Tax Saver Fund Features - Mid and Small Cap Predominance - Flexible Rebalancing - Tax Benefits - Risk Mitigation - Quality Diversification - Higher Volatility Large Cap Top 100 Stocks by Market Capitalization Midcap Cap Next 150 Stocks by Market Capitalization Small Cap Next 251 rank onwards Stocks by Market Capitalization Our Strategy - Buy only HexaShield Tested Companies - Predominantly Mid & Small Cap Portfolio - Well Diversified Portfolio of ~35 quality businesses Samco ELSS Tax Saver Fund’s Goal To focus on longer term value creation and not chase Point to Point returns To be the best fund generating high risk adjusted returns in the long term Participate in a continuum HexaShield Framework A proprietary investment screening framework to build a universe of stocks that pass six rigorous tests - Competitive Strength and Pricing Power Tests - Corporate Governance and Leadership Tests - Balance Sheet and Insolvency Tests - Cash Flow Tests - Reinvestment and Growth Tests - Regulatory Tests HexaShield Highlights Diverse Universe A diverse universe set with companies from different market capitalizations and industry segments from the Indian equity markets. Robust Screening Framework A comprehensive screening process backed by inhouse developed HexaShield Framework which assesses every company in the target universe on six parameters to ensure robust businesses are included in the portfolio. Concentrated Portfolio A focused India only domestic portfolio comprising of ~35 qualitatively superior companies with strong underlying fundamentals and industry tailwinds. Optimal Churn An agile allocation strategy with an approach to align the portfolio with winners and prune down the losers on a periodic basis as per evolving market dynamics. Risk Management A prudent portfolio construction process backed by internal screening models to ensure effective risk management of the capital deployed. Our Investible Universe Universe of 125+ HexaShield Tested companies out of 5000+ Indian Listed Companies HexaShield Tested Efficient Companies - High Return on Capital Employed - In Cash - Adjusted - Sustainable Characteristics of HexaShield Companies - Dominant franchises which are Price Setters - Strong cash flow generators with large market opportunity - Fast growing businesses with high rate of reinvestment - Institutions backed by experienced leaders and management Peter Lynch: Not Cutting the Flowers and Watering the Weeds - Not Cutting the Flowers: - Hold on to Winners: Retain stocks that are performing well. - Long-Term Growth: Allow successful investments to grow and compound over time. - Not Watering the Weeds: - Avoid Holding Losers: Don't keep investing in underperforming stocks hoping they will recover. - Recognize Mistakes: Be willing to cut losses and reallocate resources. Exit Strategy - Stock subsequently fails HexaShield Test - More compelling opportunity - Winners hit the 10% SEBI prescribed ceiling - Significant relative underperformance Portfolio Strategy Summary - Around 35 Stock Portfolio - Efficient HexaShield Tested Quality Companies - Optimal Diversification – Predominantly Mid and Small Cap Stocks - Dynamic Monitoring - Holding Winners and Cutting Losers Samco ELSS Tax Saver Fund Portfolio Update as of Aug 2024, Factsheet \| Samco Flexi Cap Fund \| % to Net Assets \| \|--------------------------------------------\|-----------------\| \| Motilal Oswal Financial Services Ltd \| 5.90% \| \| KEI Industries Ltd \| 5.59% \| \| Godfrey Phillips India Ltd \| 4.37% \| \| Solar Industries India Ltd \| 4.03% \| \| Zensar Technologies Ltd \| 3.99% \| \| Central Depository Services (India) Ltd \| 3.80% \| \| Nippon Life India Asset Management Ltd \| 3.61% \| \| Engineers India Ltd \| 3.59% \| \| Persistent Systems Ltd \| 3.28% \| \| Voltas Ltd \| 3.21% \| \| 360 One WAM Ltd \| 2.92% \| \| GlaxoSmithKline Pharmaceuticals Ltd \| 2.76% \| \| HDFC Asset Management Company Ltd \| 2.73% \| \| Emami Ltd \| 2.66% \| \| Oracle Financial Services Software Ltd \| 2.63% \| \| KSB Ltd \| 2.54% \| \| Avanti Feeds Ltd \| 2.52% \| \| Swan Energy Ltd \| 2.51% \| \| Samco Flexi Cap Fund \| % to Net Assets \| \|--------------------------------------------\|-----------------\| \| Coromandel International Ltd \| 2.46% \| \| Amara Raja Energy & Mobility Ltd \| 2.45% \| \| Petronet LNG Ltd \| 2.44% \| \| Muthoot Finance Ltd \| 2.42% \| \| Godawari Power And Ispat Ltd \| 2.35% \| \| Apar Industries Ltd \| 2.27% \| \| Polycab India Ltd \| 2.25% \| \| Praj Industries Ltd \| 2.24% \| \| Gujarat Gas Ltd \| 2.20% \| \| Gujarat Pipavav Port Ltd \| 2.15% \| \| Cummins India Ltd \| 2.10% \| \| Carborundum Universal Ltd \| 2.05% \| \| Finolex Cables Ltd \| 2.04% \| \| Honeywell Automation India Ltd \| 1.98% \| \| JK Paper Ltd \| 1.91% \| \| Hindustan Zinc Ltd \| 1.86% \| \| Schaeffler India Ltd \| 1.66% \| TREPS, Cash, Cash Equivalents and Net Current Asset – 0.53% as of August 2024 Factsheet Market Capitalization (% of Allocation) - Large cap: 1.86% - Mid cap: 53.52% - Small cap: 44.09% As of August 2024, Factsheet Portfolio Sectoral Construction Industry Allocation of Equity Holding (As a % of Net Assets) \| Sector \| Percentage \| \|---------------------------------\|------------\| \| Capital Markets \| 18.96% \| \| Industrial Products \| 18.92% \| \| IT - Software \| 9.9% \| \| Gas \| 4.64% \| \| Cigarettes & Tobacco Products \| 4.37% \| \| Industrial Manufacturing \| 4.22% \| \| Auto Components \| 4.11% \| \| Chemicals & Petrochemicals \| 4.03% \| \| Pharmaceuticals & Biotechnology \| 2.76% \| \| Personal Products \| 2.66% \| \| Food Products \| 2.52% \| \| Diversified \| 2.51% \| \| Fertilizers & Agrochemicals \| 2.46% \| \| Finance \| 2.42% \| \| Transportation Infrastructures \| 2.15% \| \| Consumer Durables \| 3.21% \| \| Electrical Equipment \| 2.27% \| \| Paper, Forest & Jute Products \| 1.91% \| \| Non-Ferrous Metals \| 1.86% \| As of August 2024, Factsheet \| Company Name \| Weight \| ROE (%)¹ \| PE (x)² \| OPM (%)³ \| ROCE (%)⁴ \| Debt/ Equity⁵ \| \|--------------------------------------------------\|---------\|----------\|---------\|----------\|-----------\|---------------\| \| Motilal Oswal Financial Services Ltd \| 5.90% \| 32.59 \| 16.32 \| 58.65 \| 20.69 \| 1.58 \| \| KEI Industries Ltd \| 5.59% \| 20.25 \| 66.94 \| 10.46 \| 27.21 \| 0.05 \| \| Godfrey Phillips India Ltd \| 4.37% \| 18.97 \| 36.91 \| 19.92 \| 22.17 \| 0.08 \| \| Solar Industries India Ltd \| 4.03% \| 30.90 \| 106.65 \| 24.55 \| 32.47 \| 0.34 \| \| Zensar Technologies Ltd \| 3.99% \| 19.96 \| 26.57 \| 16.88 \| 25.15 \| 0.05 \| \| Central Depository Services (India) Ltd \| 3.80% \| 31.31 \| 62.08 \| 61.01 \| 40.18 \| 0.00 \| \| Nippon Life India Asset Management Ltd \| 3.61% \| 29.54 \| 36.33 \| 61.74 \| 36.24 \| 0.00 \| \| Engineers India Ltd \| 3.59% \| 20.80 \| 30.76 \| 8.98 \| 22.21 \| 0.01 \| \| Persistent Systems Ltd \| 3.28% \| 23.99 \| 68.77 \| 17.16 \| 29.17 \| 0.09 \| \| Voltas Ltd \| 3.21% \| 4.40 \| 130.75 \| 4.10 \| 8.51 \| 0.13 \| \| 360 One WAM Ltd \| 2.92% \| 24.47 \| 43.61 \| 55.18 \| 14.47 \| 2.75 \| \| GlaxoSmithKline Pharmaceuticals Ltd \| 2.76% \| 37.32 \| 62.75 \| 28.38 \| 51.33 \| 0.01 \| \| HDFC Asset Management Company Ltd \| 2.73% \| 29.51 \| 45.87 \| 76.40 \| 37.72 \| 0.00 \| \| Emami Ltd \| 2.66% \| 29.95 \| 48.37 \| 26.53 \| 31.72 \| 0.04 \| \| Oracle Financial Services Software Ltd \| 2.63% \| 28.98 \| 41.95 \| 45.22 \| 39.54 \| 0.01 \| \| KSB Ltd \| 2.54% \| 17.06 \| 71.39 \| 12.85 \| 23.29 \| 0.00 \| \| Avanti Feeds Ltd \| 2.52% \| 15.09 \| 24.47 \| 9.02 \| 20.01 \| 0.01 \| \| Swan Energy Ltd \| 2.51% \| 7.03 \| 56.78 \| 18.89 \| 8.28 \| 0.55 \| \| Coromandel International Ltd \| 2.46% \| 18.89 \| 35.00 \| 10.23 \| 25.98 \| 0.05 \| \| Amara Raja Energy & Mobility Ltd \| 2.45% \| 14.02 \| 29.19 \| 14.28 \| 18.74 \| 0.02 \| As of August 2024, Factsheet \| Company Name \| Weight \| ROE (%)¹ \| PE (x)² \| OPM (%)³ \| ROCE (%)⁴ \| Debt/ Equity⁵ \| \|------------------------------------\|---------\|----------\|--------\|----------\|-----------\|--------------\| \| Petronet LNG Ltd \| 2.44% \| 22.19 \| 13.98 \| 10.26 \| 26.41 \| 0.18 \| \| Muthoot Finance Ltd \| 2.42% \| 17.86 \| 18.91 \| 79.47 \| 13.13 \| 2.70 \| \| Godawari Power And Ispat Ltd \| 2.35% \| 21.89 \| 12.89 \| 26.11 \| 29.19 \| 0.01 \| \| Apar Industries Ltd \| 2.27% \| 26.83 \| 43.07 \| 9.49 \| 43.96 \| 0.12 \| \| Polycab India Ltd \| 2.25% \| 23.17 \| 56.66 \| 13.39 \| 31.33 \| 0.02 \| \| Praj Industries Ltd \| 2.24% \| 23.34 \| 48.23 \| 11.79 \| 29.29 \| 0.13 \| \| Gujarat Gas Ltd \| 2.20% \| 15.00 \| 37.72 \| 12.37 \| 20.15 \| 0.02 \| \| Gujarat Pipavav Port Ltd \| 2.15% \| 16.45 \| 27.17 \| 60.22 \| 22.69 \| 0.03 \| \| Cummins India Ltd \| 2.10% \| 28.11 \| 60.29 \| 20.85 \| 35.23 \| 0.02 \| \| Carborundum Universal Ltd \| 2.05% \| 15.56 \| 75.01 \| 16.22 \| 20.13 \| 0.05 \| \| Finolex Cables Ltd \| 2.04% \| 13.99 \| 29.83 \| 11.28 \| 18.52 \| 0.00 \| \| Honeywell Automation India Ltd \| 1.98% \| 14.76 \| 83.73 \| 15.25 \| 19.85 \| 0.02 \| \| JK Paper Ltd \| 1.91% \| 24.64 \| 8.40 \| 20.90 \| 21.31 \| 0.43 \| \| Hindustan Zinc Ltd \| 1.86% \| 55.19 \| 25.05 \| 47.89 \| 46.25 \| 0.57 \| \| Schaeffler India Ltd \| 1.66% \| 20.01 \| 64.05 \| 18.16 \| 26.72 \| 0.01 \| \| Wtd. Average \| 22.90 \| 47.59 \| 28.18 \| 26.61 \| 0.32 \| As of August 2024, Factsheet Source – Internal Research. The above financial analysis ratio do not constitute any research report/recommendation of the same. The fund manager(s) may or may not choose to hold the stock mentioned from time to time. 1Return on Average Equity (ROE): Return on average equity is a profitability ratio that measures the amount of net income compared to the average shareholders' equity of a company. 2Price-to-Earnings (P/E): The price-to-earnings (P/E) ratio is the proportion of a company's share price to its earnings per share. 3Operating Profit Margin (OPM): Operating Profit Margin is a profitability or performance ratio that reflects the percentage of profit a company produces from its operations before subtracting taxes and interest charges. 4Return on Average Capital Employed (ROCE): The return on average capital employed (ROCE) is a financial ratio that shows profitability versus the investments a company has made in itself. 5Debt to Equity Ratio: The debt-to-equity (D/E) ratio is used to evaluate a company's financial leverage and is calculated by dividing a company's total liabilities by its shareholder equity. What is Active Share? Active Share measures the fraction of a portfolio (based on position weights) that differs from the benchmark index. The Active Share measure was developed by Martijn Cremers and Antti Petajisto, both Yale professors. A highly active strategy with no index hugging + distinct portfolio vs benchmark + optimal churn as per evolving market dynamics. A truly actively managed scheme with a 96.71% active share and top 10 holdings entirely distinct from the benchmark \| Samco ELSS Tax Saver Fund \| Top 10 \| Nifty500 \| Top 10 \| \|---------------------------\|------------\|-------------------\|------------\| \| Motilal Oswal Financial Services Limited \| 5.90% \| HDFC Bank Ltd. \| 6.41% \| \| KEI Industries Limited \| 5.59% \| Reliance Industries Ltd. \| 5.31% \| \| Godfrey Phillips India Limited \| 4.37% \| ICICI Bank Ltd. \| 4.50% \| \| Solar Industries India Limited \| 4.03% \| Infosys Ltd. \| 3.65% \| \| Zensar Technologies Limited \| 3.99% \| ITC Ltd. \| 2.41% \| \| Central Depository Services (India) Limited \| 3.80% \| Tata Consultancy Services Ltd. \| 2.40% \| \| Nippon Life India Asset Management Limited \| 3.61% \| Larsen & Toubro Ltd. \| 2.25% \| \| Engineers India Limited \| 3.59% \| Bharti Airtel Ltd. \| 2.21% \| \| Persistent Systems Limited \| 3.28% \| Axis Bank Ltd. \| 1.74% \| \| Voltas Limited \| 3.21% \| State Bank of India \| 1.63% \| As of August 2024, Factsheet The percentage of portfolio which can be liquidated in a day is 99.47% \| Samco ELSS Tax Saver Fund \| Liquidity \| Samco ELSS Tax Saver Fund \| Liquidity \| \|-------------------------------------------------\|-----------\|-------------------------------------------------\|-----------\| \| Amara Raja Energy & Mobility Ltd \| 0.009 \| Oracle Financial Services Software Ltd \| 0.008 \| \| Avanti Feeds Limited \| 0.030 \| 360 One WAM Limited \| 0.041 \| \| Carborundum Universal Ltd \| 0.072 \| JK Paper Limited \| 0.032 \| \| Central Depository Services (India) Limited \| 0.008 \| Cummins India Ltd \| 0.008 \| \| Coromandel International Ltd \| 0.032 \| KEI Industries Limited \| 0.051 \| \| Emami Ltd \| 0.030 \| KSB Limited \| 0.125 \| \| Engineers India Ltd \| 0.020 \| Motilal Oswal Financial Services Ltd \| 0.081 \| \| Schaeffler India Limited \| 0.030 \| Muthoot Finance Ltd \| 0.020 \| \| Finolex Cables Ltd \| 0.037 \| Petronet LNG Ltd \| 0.013 \| \| Zensar Technologies Ltd \| 0.044 \| Polycab India Limited \| 0.007 \| \| Apar Industries Ltd \| 0.020 \| Praj Industries Ltd \| 0.024 \| \| Gujarat Gas Ltd \| 0.032 \| Persistent Systems Ltd \| 0.012 \| \| Glaxosmithkline Pharmaceuticals Ltd \| 0.067 \| Nippon Life India Asset Management Limited \| 0.057 \| \| Godfrey Phillips India Ltd \| 0.038 \| Solar Industries (I) Ltd \| 0.022 \| \| Godawari Power and Ispat Ltd \| 0.054 \| Swan Energy Limited \| 0.017 \| \| Gujarat Pipavav Port Ltd \| 0.021 \| Honeywell Automation India Ltd \| 0.050 \| \| HDFC Asset Management Company Limited \| 0.014 \| Voltas Ltd \| 0.011 \| \| Hindustan Zinc Ltd \| 0.011 \| \| \| Liquidity Formula – Quantity Held/ 6M Average Daily Volume. As of August 2024, Factsheet Source: Internal Research, Morning Star The Top 5 themes towards which the portfolio has the highest allocation are as follows: 1. Capital Markets 2. Industrial Products 3. IT - Software Incremental share of other financial products (excluding Fixed Deposits) to increase the asset ownership pie Share of shares & debentures (incl. MFs) in financial savings \| Year \| Share \| \|------\|-------\| \| FY14 \| 1.6% \| \| FY16 \| 1.9% \| \| FY18 \| 8.6% \| \| FY20 \| 3.4% \| \| FY21 \| 3.9% \| \| FY22 \| 8.9% \| \| FY23 \| 6.9% \| Source: RBI A strong savings rate as a percentage of GDP is indicative of higher traction towards financial products Gross savings (% of GDP), 2023 \| Country \| Savings Rate \| \|---------------\|--------------\| \| China \| 44% \| \| Singapore \| 40% \| \| Korea \| 34% \| \| Switzerland \| 32% \| \| India \| 30% \| \| Germany \| 30% \| \| Malaysia \| 27% \| \| Australia \| 24% \| \| France \| 24% \| \| Mexico \| 23% \| \| US \| 16% \| \| Brazil \| 16% \| \| UK \| 14% \| \| South Africa \| 14% \| Source: International Monetary Fund Indian savings have seen a strong trend and is expected to sustain over the years India HH savings trend (US$bn) - FY16: 437 - FY17: 485 - FY18: 628 - FY19: 660 - FY20: 652 - FY21: 707 - FY22: 759 - FY23: 813 Source: Jefferies The sustained increase in the number of UHNIs in the country would provide strong tailwinds for Wealth & Asset Managers No. of UHNIs on Rich List 2023 (>Rs10bn) - Size of list - >Rs16bn - >Rs18bn \| Year \| Size of list \| >Rs16bn \| >Rs18bn \| \|------\|--------------\|---------\|---------\| \| 2012 \| 100 \| \| \| \| 2013 \| 141 \| \| \| \| 2014 \| 230 \| \| \| \| 2015 \| 296 \| \| \| \| 2016 \| 339 \| \| \| \| 2017 \| 617 \| 680 \| 750 \| \| 2018 \| 680 \| 750 \| 828 \| \| 2019 \| 750 \| 828 \| 1,007 \| \| 2020 \| 828 \| 1,007 \| 1,103 \| \| 2021 \| 1,007 \| 1,103 \| 1,319 \| \| 2022 \| 1,103 \| 1,319 \| \| \| 2023 \| 1,319 \| \| \| Source: 360one Wealth Harun India Rich List 2023 Wires & Cables is a fast-growing industrial segment with multiple tailwinds backed by strong demand due to higher income & consumption levels leading to improved productivity levels. The exponential rise in demand for new data centres will be a growth driver for backup power solution providers. 2019-2023: - 28% 4-year CAGR in Commissioned Capacity - 31% 4-year CAGR in Data Generated IDC forecasts data volume to grow at 27% CAGR over 2023-27. Source: UBS India Source: Industry Reports Increased IT software players to benefit significantly in the next few years backed by strong adoption and evolving applications of products. The share of spending on Software has increased significantly in the last decade. Across multiple technology cycles, Software contribution has expanded ~3x from 8% in 2013 to ~20% in 2023. Software spending in India is expected to increase in the next few years. Software Revenue is expected to grow at 8.55% CAGR from FY24-28. Source: Gartner, Bernstein analysis Source: Statista ## Scheme Details \| Frequency \| Minimum Amount \| \|----------------------------\|-------------------------------------\| \| Normal STP: Daily, Weekly, Fortnightly, Monthly, Quarterly \| Rs. 500/- and in multiples of Rs. 500/- thereafter \| \| Minimal Additional Purchase Amount / Minimum SIP Amount \| Exit Load \| \|--------------------------------------------------------\|-----------\| \| Rs. 500/- and in multiples of Rs. 500/- thereafter \| Nil \| Source: Data as of August 2024 Factsheet \| Feature \| Description \| \|-------------------------------\|---------------------------------------------------------------------------------------------------------------------------------------------\| \| Deep Research Selection \| Built on proprietary HexaShield Tested investing framework that combines top-down and bottom-up research to identify companies that are innovative, efficient and resilient across markets and geographies. Companies are strictly selected from a universe of ~125 HexaShield Tested companies. \| \| Domestic Only Portfolio \| Stock selection from a diverse universe of over 5000 stocks from NSE and BSE. \| \| Growth Quality Strategy \| The fund aims to invest in companies with great growth potential predominantly from a mid and small cap universe and hence investors will get exposure to companies aggressively investing for growth. \| \| Truly Active Fund \| Fund shall be a truly active fund with an active share of over 80%-85%, highest in the category. This shall ensure that investors get a truly differentiated fund and not an index hugging fund when they pay for asset management fees. \| \| Around 35 Stock Portfolio \| The fund shall run an ~35 stock portfolio and hence investors get the benefits of diversification. \| \| Predominantly Equity Fund with substantial equity exposure \| The Funds will not undertake any debt exposure/derivative/hedging and will remain true to label of being an equity fund. \| Samco ELSS Tax Saver Fund (An open-ended Equity Linked Saving Scheme with a statutory lock-in of 3 years and tax benefit.) This product is suitable for investors who are seeking: - Long Term Capital Appreciation - Invests predominantly in equity and equity related instruments and provide tax benefits under Section 80C of the Income Tax Act, 1961 Investors should consult their financial advisers if in doubt about whether the product is suitable for them. Mutual fund investments are subject to market risks, read all scheme related documents carefully. Fund Management Team Executive Director, CIO & Fund Manager Umeshkumar Mehta Qualification: B.Com, CA, PGDBA Brief Experience: Mr. Umeshkumar Mehta has over 20 years of experience in financial services industry. He has deep understanding of price and value. He is a vivid speaker and writer at various chartered account forums and business schools. He used to lead the Samco group’s Research team, managed Public Relations through regular interaction in Business Channels and print media. He has deep understanding of securities law and is passionate about equities. He has working knowledge of marketing & advertisement. He has extensive experience in analyzing business models, assessing balance sheets, profit and Loss accounts and as part of experience he has rated and ranked almost all companies listed on the National Stock Exchange. He is associated with the group since last fifteen years. Fund Manager Nirali Bhansali Qualification: B.E., MBA (Finance) Brief Experience: Mrs. Nirali Bhansali started out as a senior analyst at Samco Securities Ltd. and has been the Head of Equity Research. She has over 9 years of work experience with more than 7 years spanning capital markets and investment research. She has been instrumental in developing Samco's flagship research and investment products like HexaShield Framework, Stock Rating, StockBasket etc. by deep-diving into the business models and number crunching nitty-gritties of varied Indian companies. Her deep understanding of fundamental analysis has enabled her to provide cutting edge insights on various stocks. She is a regular panelist on media & business news channels such as Bloomberg Quint, Money9 Live, CNBC TV18 etc. Thank You	970d22fc-0fad-4074-bb8f-46c63c1267b0	CC-MAIN-2024-46	https://media1.samco.in/scomamc/media_uploads/ELSS-Presentation-sept_1726562053.pdf	2024-11-09T22:02:57+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-46/subset=warc/part-00114-65a16d46-7179-4f3c-849a-3216b203b23b.c000.gz.parquet	352,801,088	6,820	eng_Latn	eng_Latn	0.854889	eng_Latn	0.989347	[ "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "unknown", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "unknown" ]	true	docling	[ 88, 1466, 1894, 2250, 2589, 2740, 2955, 3280, 4197, 4305, 4414, 4679, 5132, 5307, 5537, 5608, 8236, 8365, 9520, 12257, 15347, 15720, 16873, 19599, 19748, 21889, 22384, 22914, 23444, 25187, 25751, 25773, 26655, 27454, 27465 ]
orientations; or, more probably, these surfaces are triaxial ellipsoids which have the same orientation, but whose axes have different ratios. The twisting of the isophotes could then be considered as a projection effect. We see therefore that photometric studies bring a strong argument in favour of the triaxial ellipsoid hypothesis and that there are non-classical isolating integrals that may help elliptical galaxies to keep their shapes. So there is no reason to suppose that elliptical galaxies are necessarily spheroids since the most general configurations are triaxial. As long as it was not realized that non-classical integrals exist that could shape lasting triaxial configurations, it was natural to believe that elliptical galaxies were spheroids. This is because an initial triaxial distribution could not be preserved after the dynamical mixing phase which lasts for less than $10^9$ years. Now recent works seem to show that in order to produce a spheroidal rather than a triaxial galaxy one must start with peculiar initial conditions, that is from a configuration in which the isodensity surfaces have their same two main axes equal. Let us mention a very recent work to be published by Miller and Smith. These authors suggest on the basis of numerical experiments that most elliptical galaxies have reached their present state in two steps. They may have taken first the shape of a bar (prolate spheroid) during a protogalactic collapse controlled by rotation. Then they would have been slowed down by tidal interaction with their neighbourhood to finally rotate as slowly as shown by observations. Conclusion The revolution in the field of elliptical galaxies is going on. But we are far from knowing for sure what are the actual shapes and the dynamics of these objects. Many questions remain unanswered. For instance: If ellipticals are triaxial now, will they keep their shapes for a long time? We do not know how to write non-classical integrals and we are not sure whether they are isolating or non-isolating, stable, quasi-stable or unstable. Are triaxial galaxies generally closer to oblate or to prolate spheroids? How are galaxies distributed among these varieties? What is the rotation of these systems as a whole? Elliptical galaxies give rise not only to dynamical problems. We also would like to know about nuclei, interactions with the neighbourhood and resulting evolution, evolution of the stellar content, etc. The least we can say is that, contrary to the idea which was prevailing not so long ago, elliptical galaxies are very complex systems. --- The Pre-Main-Sequence Shell Star HR 5999 Unveiled P.S. Thé and H.R.E. Tjin A Djie, Astronomical Institute, University of Amsterdam The star HR 5999 is embedded in a dusty gaseous nebulosity and is surrounded by more than 10 faint T Tauri stars. From these facts and from studies so far made of the physical properties of HR 5999, we strongly believe that it is a very young pre-main-sequence object; it varies irregularly due most probably to changes in the properties of dust grains embedded in its circumstellar gas shell. In 1978 a campaign of simultaneous observations of the variable pre-main-sequence shell star HR 5999 from several observatories in the world was organized. At approximately maximum brightness ($V = 7.0$) the star was observed in the ultraviolet with the IUE, in the visual with Walraven, Johnson and Strömgren photometers, in the red and the near infrared with photometers attached to the ESO 1 m telescope. Near infrared and visual measures were obtained at the South African Astronomical Observatory. Furthermore, polarimetric and spectroscopic observations were also made. A description of this international campaign was given in Messenger No. 16 (March 1979). In this article the first results of the study of the photometric data and preliminary notes on the spectroscopic material are described. Interstellar and Circumstellar Extinction HR 5999 (= V 856 Sco) is one of the brightest pre-main-sequence stars. We have been studying this star for several years now. Due to particularly favourable circumstances it is possible to penetrate deeply into the extended atmosphere of this irregular variable star. Before its light arrives on earth it has to go through circumstellar material and through foreground interstellar medium. The way this light is attenuated by the latter is well known, but the manner in which it is dimmed by circumstellar dust grains is often different. This, in general, entails the problem of separating both types of extinction. In the case of HR 5999 it is possible to estimate the amount of foreground extinction, because it has a common proper motion companion, HR 6000, separated at an angular distance of only $45''$. The amount of foreground extinction suffered by the light of the companion is about the same as that by the light of HR 5999. Being located at a distance of approximately 270 pc only, the amounts of foreground colour excess and extinction are, actually, not excessively large: $E(B-V) = 0.06$ and $A_V = 0.19$. The star HR 5999 varies in the visual often about 1 magnitude in brightness, simultaneously with its change in colour index, in the sense that the star becomes redder when its light weakens. In general, the determination of the extinction by circumstellar matter is difficult. In the case of HR 5999 there are, however, strong indications that it is this material which causes the star to vary in brightness irregularly, perhaps triggered by a phenomenon which occurs closer to the surface of the star. Additional evidence for such a phenomenon is provided by the observations of linear polarization made simultaneously with the photometric measurements. They indicate that the degree of polarization is varying in phase with the change in colour index. Based on the way the variations in brightness and the simultaneous changes in colour index are correlated, it is possible to derive the character of the extinction law of the circumstellar dust grains. A value for the ratio of total to selective extinction, \( R = A_V / E(B-V) \), anomalously larger than for the normal interstellar dust grains was found: \( R = 4.37 \). Having also \( E(B-V) \) for the circumstellar matter separately, it is then not difficult to calculate \( A_V \) and \( A_B \) for this material: \( A_V = 0.17 \) and \( A_B = 0.21 \) at maximum brightness. The Energy Distribution Using the foreground interstellar colour excess discussed above it is possible to determine the interstellar extinction at the different passbands based on the normal extinction law. The spectral energy distribution of HR 5999 at about its maximum brightness \( V = 7.0 \), is depicted in Fig. 1 by the thick line. The ultraviolet part of this energy distribution was derived from low resolution IUE spectral observations, folded at the five ANS passbands. It should be noted that in order to obtain the true spectral energy distribution of HR 5999, the circumstellar extinction must be taken into account. Two points of the true spectral energy distribution are known at the effective wavelengths of the B and V passbands, using \( A_B \) and \( A_V \) obtained above. These points are indicated by black squares in Fig. 1. From spectrograms we know that HR 5999 is of spectral type A7 III. In the literature we have found two bright unreddened stars of the same spectral type (θ Tau and HR 3270) which were observed by Johnson in the visual, red and near infrared, and by the ANS in the ultraviolet. From the mean value of these observations we have derived an extinction-free spectral energy distribution, which is also shown (thin line) in Fig. 1, normalized at the two extinction-free points (black squares) of HR 5999. For comparison purposes we also show, by circles, the spectral energy distribution derived by Kurucz for a star of \( T_{\text{eff}} = 7750 \) K and \( \log g = 3.0 \). The agreement is quite good. We now assume that the true spectral energy distribution of HR 5999 is not much different from the above-mentioned one. ![Fig. 1: The spectral energy distribution of the star HR 5999 (thick line) freed from foreground interstellar extinction, compared to that of a Kurucz Model and of an unreddened mean A7 III comparison star. (Reproduced from Astronomy and Astrophysics Supplement Series.)](image) The Energy Balance Fig. 1 shows that the ultraviolet, visual and red energy emitted by the star HR 5999 is absorbed by the dust particles in the circumstellar shell. The total energy lost by the star to these dust grains, as estimated on earth, is about \( 1.5 \times 10^{-8} \) erg cm\(^{-2}\) s\(^{-1}\). This is about 25% of the total intrinsic energy of HR 5999. From Fig. 1 it is also clear that the absorbed energy by the dust grains is re-emitted in the infrared spectral region. This re-emitted energy can also be estimated. Up to 5 μm it turns out to be about \( 1.7 \times 10^{-8} \) erg cm\(^{-2}\) s\(^{-1}\). More towards the infrared the amount of re-emitted energy becomes negligibly small. Considering the errors in their determinations, it can be concluded that the absorbed energy (UV, visual and red) is in good balance with the re-emitted energy in the infrared. It is of interest to know the temperature of the absorbing dust grains. If we assume that the thermal dust radiation can be approximated by a Planck distribution, it is possible to fit the distribution of the excess infrared radiation at the long wavelength slope with a Planck curve. The temperature of the dust grains characterized by this curve is about 1400 K. Other physical characteristics of the dust grains can be derived. If it is assumed that our previous determination of grain size, 0.16 μm, is not far from the truth and if it is further assumed that the grains are composed of C or Fe, then it can be calculated that the radiating grains are located about 1.8 AU from the surface of the central star. However, if the dust grains are composed of Si\(_x\)O\(_y\) or Si C, then they are lying more than 3 times further away: 5.8 AU. The corresponding total dust shell masses are \( 4 \times 10^{-11} \) and \( 9.5 \times 10^{-10} \) M\(_\odot\), respectively. The Circumstellar Extinction Law It has been shown that the circumstellar extinction law is anomalous. The value of the ratio of total to selective extinction is larger than normal: \( R_J = 4.37 \). This extinction law is depicted in Fig. 2. The question is then: How is the behaviour of the circumstellar law in the ultraviolet? To answer this question, the extinction-free and real ultraviolet energy distribution have been compared, so that the UV circumstellar extinction law of the star HR 5999 could be ![Fig. 2: The extinction law of the circumstellar material of the star HR 5999. In the infrared as well as in the ultraviolet this law is anomalous. (Reproduced from Astronomy and Astrophysics Supplement Series.)](image) true, one can imagine that the dust extinction and polarization variations are the result of changes in the character of the dust grains due to perturbations in the photospheric or hot shell region, which are propagated outward supersonically through the cooler dusty surroundings. The cause and the characteristics of the perturbations are not yet clear, but the existence of instabilities in the shell of HR 5999 can be expected in view of the evolutionary stage of this pre-main-sequence star. A Supernova Discovered at La Silla Dr. André B. Muller from ESO recently described (The Messenger No. 19, p. 29, 1979) a new system allowing an easy and efficient monitoring of galaxies for the detection of supernovae. Using this system, H.E. Schuster discovered a supernova in NGC 1255 on December 30, 1980 (IAU Circular No. 3559, 1981). At the time of discovery its magnitude was 17. This was the first supernova found on La Silla. Thanks to the kind collaboration of Visiting Astronomers Dr. W. Seitter and Dr. H. Duerbeck, an immediate follow-up was carried out, showing that it was a type II supernova. P. V. ESO/ESA Workshop on “Optical Jets in Galaxies” With the aim of encouraging European cooperation and coordination in the use of the Space Telescope within some fields of research, ESO and ESA have arranged a series of workshops on the use of the Space Telescope and coordinated ground-based observations. The second of these workshops, entitled “Optical Jets in Galaxies”, took place in the auditorium of the new ESO Headquarters in Garching on February 18–19, 1981. Thanks to active contributions from 50 participants from different institutions in Europe and the USA, the meeting was very successful. Optical, radio and ultraviolet observations of jets were discussed in great detail. One of the results of the meeting is that the Space Telescope is expected to play a key role in the study of jets because of high resolution and UV sensitivity. The workshop proceedings will be published in a short time by the ESA Press. M. T. --- ALGUNOS RESUMENES Observaciones “Speckle” en infrarrojo realizadas con una cámara de televisión En principio, los grandes telescopios, como el de 3.6 m de la ESO, tienen una resolución angular mejor que 0.1 segundo de arco, vale decir, que detalles así de pequeños pueden ser vistos; pero comúnmente éste no es el caso. Las mejores fotografías tomadas con grandes telescopios pocas veces muestran detalles más pequeños que 1 segundo de arco (un segundo de arco es la separación angular de dos puntos separados por un milímetro a una distancia de 200 metros); esto se debe a la presencia de la atmósfera que es turbulenta, y esta turbulencia produce una imagen borrosa del objeto.	b75ffdc9-887f-4eed-b0ea-8c0da1f81091	CC-MAIN-2023-23	http://eso.org/sci/publications/messenger/archive/no.23-mar81/messenger-no23-25-27.pdf	2023-06-09T08:22:13+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00294-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	18,003,646	3,091	eng_Latn	eng_Latn	0.976969	eng_Latn	0.996258	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 5865, 11004, 13762 ]
The Learning Centre School Stationery List for Standard 2 Text Books and Worksheets All the books including the diary should be covered with adhesive clear plastic covers and returned to school. Uniform Monday and Thursday - PE Uniform with white socks Tuesday-Kidrobics Wednesday and Friday- Full-school uniform N.B. Students are supposed to pack their PE uniform during afternoon activities if it is Full School Uniform Day. Pack swimming costume, towel, flip-flops, swimming cap, and goggles for swimming. The labeling of the books is as follows: A4 hardcover is for homework. A4 brown brows are for: - Computers - Cultural Studies - Creative writing - French - Music - Setswana The Learning Centre School Stationery List for Standard 3 Text Books and Worksheets All the books, including the diary, should be covered with adhesive clear plastic covers and returned to school. Uniform Monday and Friday-PE Uniform with white socks Tuesday-Kidrobics Wednesday and Thursday- Full-School Uniform N.B. Students are supposed to pack their PE uniform during afternoon activities if it is Full School Uniform Day. Pack swimming costume, towel, flip-flops, swimming cap, and goggles for swimming. The labeling of books is as follows: - A4 hardcover is for homework A4 brown books are for: - Computers - Creative writing - Cultural studies - French - Music - Setswana The Learning Centre School Stationery List for Standard 4 \| 2 \| sharpeners \| \|---\|---\| \| 2 \| erasers \| \| 8 \| pencils (HB only) \| \| 1 \| box pencil crayons \| \| 2 \| glue stick \| \| 1 \| 12-inch and 30-cm ruler \| \| 1 \| A4 hardcover book (192 pages- lined) \| \| 6 \| A4 brown exercise books (lined) \| \| 1 \| clear adhesive plastic cover \| \| 2 \| boxes of tissues \| \| 1 \| pair of scissors \| \| 2 \| plastic pocket envelopes \| \| 1 \| music recorder (from Uniform Shop) \| \| 1 \| small Oxford Dictionary \| \| 1 \| parrot product writing slate (small whiteboard from the Uniform Shop) \| Text Books and Worksheets All the books, including the diary, should be covered with adhesive clear plastic covers and returned to school. Uniform Tuesday and Friday – PE Uniform Monday, Wednesday, and Thursday – Full Uniform N.B. Students are supposed to pack their PE uniform during afternoon activities if it is Full School Uniform Day. Pack swimming costume, towel, flip-flops, swimming cap, and goggles for swimming The labeling of books is as follows: - A4 hardcover is for homework. A4 brown books are for: - Computers - Cultural studies - Creative Writing - French - Music - Setswana	<urn:uuid:29d06949-0575-4370-9f09-d4cf0f679b04>	CC-MAIN-2024-46	http://www.tlcsonline.com/downloads/LowerPrimarySupplyList2025.pdf	2024-11-13T17:48:00+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-46/subset=warc/part-00209-65a16d46-7179-4f3c-849a-3216b203b23b.c000.gz.parquet	49,233,364	628	eng_Latn	eng_Latn	0.99715	eng_Latn	0.99649	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 695, 1389, 2561 ]
NORTH QUEENSLAND ENSEMBLES INC BARRIER REEF ORCHESTRA ABN: 73-365-249-138 NOTICE OF 2017 ANNUAL GENERAL MEETING All members are advised that the Annual General Meeting (AGM), of North Queensland Ensembles Inc will take place at Pimlico Performing Arts Centre, Fulham Road, Pimlico on Sunday 21 st May 2017, commencing at 2:00pm. A copy of the agenda can be provided. The following points should be noted - Membership renewals were due by 31 January 2017. You must be a current financial member to vote on any issue raised at the AGM, to be eligible for nomination for election to the Management Committee and to make such a nomination(s). - Nominations are called for the positions of President, Vice President, Secretary, and Treasurer and for seven positions of Committee Members. Nomination forms are enclosed. Nominations close on 12 th May, 2017 and will be displayed on the Association web-site, (www.nqorchestra.com.au) as from Monday 15 th May 2017. - Members are urged to consider making themselves available for Committee membership so that there is a sound level of continuity. - A Proxy Vote form is also provided. Proxy Votes are to be lodged with the Secretary prior to the commencement of the meeting. All are invited to join in an Open Members' Forum immediately following the formal meeting. If you have any ideas you would like discussed please give them to the Secretary. Please send apologies to Secretary (477 96852) or [email protected] Lorraine Gray -McConnell SECRETARY P0 Box 576 TOWNSVILLE QLD 4810	<urn:uuid:5661cf94-9a18-4fbb-b4b4-e48c0c3b4d0b>	CC-MAIN-2017-26	http://nqorchestra.com.au/wp-content/uploads/2017/04/NOTICE-OF-AGM-2017.pdf	2017-06-24T07:02:23Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-26/segments/1498128320227.27/warc/CC-MAIN-20170624064634-20170624084634-00077.warc.gz	282,461,009	375	eng_Latn	eng_Latn	0.995999	eng_Latn	0.995999	[ "eng_Latn" ]	false	rolmOCR	[ 1549 ]
Energy Grid Grade/Subject: Physics Strand/Standard: Physics 2.5 Design a solution to a major global problem that accounts for societal energy needs and wants. Define the problem, identify criteria and constraints, develop possible solutions using models, analyze data to make improvements from iteratively testing solutions, and optimize a solution. Emphasize problems that require the application of conservation of energy principles through energy transfers and transformations. Examples of devices could include one that uses renewable energy resources to perform functions currently performed by nonrenewable fuels or ones that are more energy efficient to conserve energy. (PS3.A, PS3.B, PS3.D, ETS1.A, ETS1.B, ETS1.C) Lesson Performance Expectations: * Students will analyze the electrical grid in the United States and identify the types of systems. They will then play the "Power the Grid" game and identify the type of grid and its features. Materials: * Student sheet * One computer per student with internet access Time: 50 minutes unless students wish to play again, to win. Teacher Background Information: * Play the game yourself to make sure you understand how it is set up. There are not many instructions. The students will most likely pick it up fairly easily but you may need to help. * This activity is based on a video "game" based on energy use. The link below opens the game and allows the student to balance the electrical grid in a city. The energy produced must meet the demand. * Background info: https://www.epa.gov/green-power-markets/us-electricity-grid-markets Student Background Knowledge: * Students should be aware that electricity is involved in many applications in their daily lives. Many have seen the power lines extending from very tall towers around their city. You may wish to see if they know the difference between electricity and fuel burning as cars and homes are increasingly using both sources of energy. Teacher Step by Step: A 3-D lesson should insist that students think deeply. Provide time and space for the students to experience the phenomenon and ask questions. The student sheet provided below provides guidance but is only an example of how students might respond. 1. Introduce Phenomenon: Turn off the lights and any other electrical components in your classroom. Ask students how their day would be different without electricity. Ask them where the electricity for the lights in the school comes from? 2. Share the student sheet with students and provide time to read the website. Ask them to record ideas on the student sheet that are new to them. Review these ideas and make sure students read the whole article. 3. Draw student attention to the questions before they begin. They are based on the article and the game itself. 5. After as much time as you can stand the background music (mute is a good idea), ask students to stop and record their results (using the bar across the top) and answer the questions. Ask students to determine a "winner" based on their results. 4. Introduce the "Power the Grid" game at: https://kbhgames.com/game/power-the-grid 6. Students should then answer the questions and, if time allows, play the game from a more knowledgeable perspective. Assessment of Student Learning. 1. What are parts of a power grid? Choose all that apply: a. Substations * b. Transmission lines* c. Homes* d. Gasoline powered cars e. Power station* f. Energy storage facility* g. Gas furnace or fireplace h. Transformers* 2. What is the advantage of a large network of power sources on a grid? a. If one source becomes unavailable, other sources can fill the gap.* b. There is an unlimited amount of power because of the large network. c. The electricity will be cheaper and more available for everyone. d. The electricity will move more quickly through the grid. 3. How is electricity different from solid or gas fuel sources? a. Electricity does not yet have advanced storage methods.* b. Electricity has more energy per unit mass. c. Electricity can be stored more cheaply. d. Electricity is found in all locations. 4. Which of the following is true of the electrical grid that Utah belongs in? Choose all that apply. a. It is composed of many Western States in the US.* b. Customers have only one choice of who to buy power from* c. Utahns enjoy unlimited power from many different sources. d. There is very little management of the movement of electricity. Extension of lesson and Career Connections: Ask a parent or guardian to see a power bill for your home or apartment. What information do you see? When does your living space use the most electricity? 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AUSTRALIA'S PUBLIC SECTOR : FIT FOR PURPOSE? IPAA NATIONAL CONFERENCE, 17 OCTOBER 2018 IPAA National President, Professor Peter Shergold AC In August I undertook a 9 city speaking tour as the National President of IPAA. Over 830 people attended the events. The theme of my speech was the same in every location, although the direction of questioning and commentary varied widely, reflecting the composition of the audiences. I used my presentations to reflect on the extent of which Australia's public services are fit for contemporary purpose. I talked of the leadership attributes and organisational capabilities necessary to design and delivery public policy. I spoke not only of the continued importance of conceptual and analytical skills but also on the need to enhance the status accorded to risk assessment, project management and evaluation. I argued the need to open up public administration to outsiders. I emphasised that in all jurisdictions there was an increasing requirement to move beyond the contracted management of outsourced providers to genuine cross-sectoral collaboration; to create, through commissioning, a contestable market of delivery agents; and to afford citizens greater capacity to and direct the government assistance to which they are entitled. But I was not downbeat. I tried to convey the exciting possibilities which exist to enhance the evidence-based advice provided to governments through mass data analytics (on the one hand), and greater understanding of behavioural psychology (on the other). I talked both of e-Government and of e-Democracy. Fitness-for-purpose, I suggested, would depend on preserving what was best of the past whilst embracing imaginatively the future: public services need to maintain the traditional vocational values associated with non-partisanship whilst at the same time proving that bureaucracies could be more flexible, agile and adaptive in employing new technologies and approaches. At each presentation, I sought survey feedback from participants on how they saw the state of Australian public services. I asked: are they fit for purpose; are they fit for the future? Today I report back to you. I received 817 completed surveys, many of which included extensive written comments. Most, but not all, were completed by people who had been in my audiences. About 73% of respondents worked in State or Territory public services and 15% in Commonwealth agencies and authorities. Some 12% were presently outside public administration, of whom about a quarter were retired public servants. The others, I hazard a guess, were consultants or providers who work closely with public services and, in that capacity, attend IPAA functions. Amongst the public service responders there was a good spread of experience although the distribution was skewed to more long-serving (and almost certainly more senior) individuals. That, I think, provides greater authority to the results. For, let me emphasise, this is a study of perceptions: it records how people, on the basis of their lived experience, understand their workplace and imagine how others regard it. Confidential in nature, the survey gives a glimpse into their private conversations rather than their public pronouncements. Given that the survey is not based on a random sampling, its responses should be treated as suggestive. Its findings are challenging. Indeed, I was shocked by the results. The problems of government are far too often described, by politicians and the media, as crises. Generally, public servants are more restrained in their language. The word 'crisis', I concluded when I was a public servant, was used with such frequency that it lost its potency. So I tread warily, cautious of exaggeration, when I tell you that the survey suggests to me a crisis of confidence within Australia's public services. I found the views expressed worrying. I understand them even if I do not necessarily share them. Public service background 6 \| State \| 73 \| \|---\|---\| \| Commonwealth \| 15 \| \| Other \| 12 \| THE SURVEY n = 817 6 Length of public service 6 \| Years \| Per cent \| \|---\|---\| \| 0–5 \| 16.2 \| \| 6–10 \| 19.2 \| \| 11–15 \| 18.7 \| \| 16–20 \| 16.5 \| \| 21+ \| 29.3 \| Let me begin with the more optimistic results. Most public servants still regard their organisations as professional and ethical. Just over three-quarters believe that the public service cares about the citizens they serve. PERCEIVED STRENGTHS The public service is… \| …professional \| 82.3 \| \|---\|---\| \| …ethical \| 76.6 \| (percentage who agree or strongly agree) Similarly, around three-quarters are proud to be public servants. This is a good measure of positive employee engagement. Around 73% agree with the statement, 18% are unsure and 10% disagree. ENGAGEMENT "I am proud to be a public servant" Almost the same percentage of public servants would recommend the public service as a place to work. They remain willing to promote their choice of career. This does not necessarily represent a ringing endorsement. The survey did not provide the 10-point scale necessary to calculate an employee Net Promoter Score (eNPS). However, on the basis that those who 'strongly agree' are workplace 'promoters'; those who 'agree' or are 'unsure' are 'passives'; and that those who 'disagree' or 'disagree strongly' are 'detractors', the Net Promoter Score can be calculated at +6 (the NPS ranges from -100 to +100). As context, it is generally considered that anything between + 10 and + 50 is an indicator of strong employee loyalty. PROMOTION "I would recommend the public service as a place to work" The responses on engagement and promotion are modestly reassuring and there are a few other questions the answers to which suggest that public servants perceive their work positively. Overall around 60% of public servant respondents believe that administrators still have strong policy skills. More worryingly, only 40% assess that public services deliver projects well (State public servants were somewhat more positive than their Commonwealth counterparts). Slightly more than 50% of respondents believed public services were outcome-oriented and just over 40% thought that they made effective use of taxpayers' money (in this instance it was Commonwealth public servants who felt more optimistic). MODEST SUCCESS The public service… \| \| State (%) \| \|---\|---\| \| …delivers projects well \| 42.2 \| \| …has strong policy skills \| 63.8 \| \| …is outcome-oriented \| 48.1 \| \| …makes effective use of taxpayers’ money \| 39.6 \| (percentage who agree or strongly agree) The survey suggests, however, that these modestly positive answers were overwhelmed by the scale of the negative responses. Only around a third of these surveyed affirmed that public services take a whole-of-government approach to public administration. Just over a quarter thought they were agile. Of more concern, almost three-quarters of respondents believed that public services were too hierarchical and only 18% of Commonwealth public administrators and 14% of State public servants thought that employee performance was handled well. It is difficult to put a positive spin on such abject responses. PERCEIVED WEAKNESSES The public service… \| \| State (%) \| \|---\|---\| \| …manages performance well \| 14.3 \| \| …is agile \| 25 \| \| …takes a whole-of-government approach \| 31.4 \| \| …is too hierarchical \| 72.5 \| On a few questions there were significant differences between how State and Commonwealth public servants viewed their organisations. Those who worked for the Commonwealth felt more positive about the non-partisanship and productivity of public services, whilst those employed by the States were more likely to believe that the culture of their workplace had improved. Yet even where these jurisdictional divergences are apparent, it is the shared sense of disquiet and dissatisfaction that is most striking. STATE : COMMONWEALTH DIFFERENCES The public service is… 80.0% If public servants are concerned about the performance of the organisation within which they work, the view of outsiders (almost certainly, informed outsiders) is even more disturbing. Asked whether public services were innovative, collaborative, outcomeoriented or efficient, the percentage of public servants who responded positively was modest (42%, 56%, 49% and 41% respectively). But, from the outside, the perceptions were far more negative (just 23%, 37%, 30% and 26% respectively). It is a matter of concern that 48% of public servants believe that their institutions are becoming more political. It is worse that 59% of the outsiders (with many of whom they probably work) hold that opinion. INSIDER: OUTSIDER DIFFERENCES The public service is… 80.0% 60.0% 40.0% 20.0% 0.0% 48.0% More Political Outsider Insider (percentage who agree or strongly agree) As I read through the tables my mood of despond deepened. Only around 30% of insiders maintain that public services remain frank and fearless. In this context the very high percentage who believe that public services are responsive to government may suggest a view that they are too willing to accede to government direction (and I regret not asking the question in this way). In general, public servants feel that their status is under threat. They sense a loss of situational authority. Around 60% of respondents concluded that ministerial advisers were now playing too great a role in governance and almost 70% thought the same of consultants. This is puzzling. Most public servants I talk to, like myself, do not believe that senior administrators should have a monopoly in providing advice to Ministers. I suspect that concerns relate to the transparency and accountability associated with the power wielded by advisers, and the extent to which internal budgetary constraints (rather than value) are driving the decisions to appoint consultants. Again, I wish I had posed a few more questions to test these interpretations. Perhaps most concerning, too few public servants feel loved by those whom they serve; less than a third believed that they were appreciated by governments. This is not the basis of the reciprocated trust and respect necessary for an effective working relationship. PERCEIVED THREATS The public service… Let me conclude this rather disheartening account. Asked if the public service is a better place to work than in the past, only 39% agreed. Some 34% were unsure and 27% disagreed. PROGRESS "The public service is a better place to work than in the past" And asked directly if the public service within which they worked were fit-for-purpose, just 32% agreed. Some 36% were unsure and 33% disagreed. FITNESS "The public service is fit-for-purpose" I did not expect these results. The speeches I delivered, although they addressed the scale of the challenges faced by public servants, did not lead my audiences to such pessimistic conclusions. I am left in no doubt that many well-experienced and senior public servants are troubled by the organisational capability of their workplaces. They worry whether the ethos and values that are inherent to their chosen vocation are being maintained and defended. Many respondents – in some instances, most – are uncertain or pessimistic about the future. Such gloom comes at the worst possible time. As I sought to convey in my speaking tour, the foundations of liberal democracy appear to be increasingly fragile. Populist responses to complex public policy conundrums are becoming attractive to disillusioned voters in search of simple answers. The authoritarian impulse is becoming more evident. Faith in expertise is declining. Conspiracy theories run wild. Freedom of speech is under challenge, even on our university campuses. In Australia, trust in politicians is at a low ebb. The young, in particular, seem unpersuaded of the relative merits of democratic politics. Political fragmentation and extremism, coupled with the increasing incivility of political discourse, makes the professional moderation of public servants seeking common ground less attractive. There is a rising tribalisation of Australian politics and culture. In this 'post-truth' world the value of a skilled public administration, trained in looking at all sides of a political proposition in a considered and thoughtful manner, is no longer regarded as a civic virtue. Yet the capacity to anticipate the unintended consequences of a policy proposal, and to imagine alternative solutions, is vital to government decisionmaking. This is especially true at times of electoral transition and political turmoil that are the hallmark of modern representative democracy. In today's uncertain environment, the ability of public administrators to serve successive governments in an apolitical manner has become significantly more important to the health functioning of the machinery of democratic government. Yet, perhaps in part because of the societal challenges, public servants feel less confident in their ability to administer effectively. Of course it is important for public services to improve their managerial capacity. They do need to develop their people and organise their resources in a more efficient and effective manner. Similarly, they must exhibit greater leadership in finding new and innovative approaches to the design and implementation of public policy, and which are more are responsive to the aspirations of citizens. They also need, to apply exhibit more facilitative skill to the development of cross-sectoral partnerships with business and community organisations in order to create beneficial public impact and outcomes. But the survey suggests to me that such capability enhancement is no longer enough. We do not just require new (or even newer) public management. IPAA (and its members) should expound a stronger narrative of the purpose of public service, focused on how it is central to the operations of democratic governance and to the maintenance of a civil society. We should be more proactive and vocal in framing public discourse around the role and accountability of public services. We need to present the professional face of a confident public sector. This is not impossible. After all bright young people in search of a job are still attracted to us. According to 16,000 votes from Australian university students in 2017, 11 of the top 25 employers were public sector organisations. Similarly, the most recent Randstad research report, based on almost 10,000 phone surveys, found that the Australian, Queensland, NSW and ACT governments all ranked in the top 20 most attractive employers for career seekers. Public service is still perceived as attractive. It is seen as interesting, worthwhile and meaningful. Moreover, public servants as a category, remain more than twice as trustworthy in the community as the politicians they serve. And at a time of declining respect for institutional authority, it is doctors, teachers, nurses and first responders (many of whom work in public services), who retain the highest levels of community trust. Lawyers, bankers, business and trade union leaders and ministers of religion are regarded far less favourably. But we cannot assume we can rely on an impartial public service – as an ethos – continuing to be appreciated. We need to tell of a convincing story of the way in which it is the bedrock of democratic governance. It is time for us to find ways in which to give collective voice to the profound societal value created by professional public servants, from Secretaries and Director-Generals to the frontline staff who meet and talk to citizens on a daily basis. For myself, as National President for IPAA, I will do my best to do my part in telling that tale.	<urn:uuid:da510fbb-274f-4e78-859f-11fc2d16550b>	CC-MAIN-2024-46	https://www.ipaa.org.au/wp-content/uploads/2019/06/Conference-address-Australias-Public-Sector-Fit-for-Purpose.pdf	2024-11-02T01:02:24+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-46/subset=warc/part-00090-65a16d46-7179-4f3c-849a-3216b203b23b.c000.gz.parquet	747,464,925	3,211	eng_Latn	eng_Latn	0.967291	eng_Latn	0.998979	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1282, 2176, 3254, 3954, 4212, 4437, 4580, 4773, 4822, 5550, 5620, 6322, 6585, 7192, 7400, 7909, 7974, 8676, 8848, 10245, 10285, 10466, 10541, 10687, 10737, 12382, 13658, 14766, 15771 ]
Time To Own FORGIVABLE DOWN PAYMENT ASSISTANCE The CHFA Time To Own - Forgivable Down Payment Assistance Program loan must be offered in conjunction with a CHFA first mortgage program. The Time To Own loan can also be combined with a CHFA Down Payment Assistance Program (DAP) loan to eligible applicants. The Time to Own Program is administered by CHFA on behalf of the Connecticut Department of Housing. ELIGIBILITY REQUIREMENTS - To be eligible for the CHFA Time To Own - Forgivable Down Payment Assistance Program, borrowers must receive a CHFA first mortgage loan. - Borrowers must be a current resident of Connecticut and able to demonstrate continued residency for the most recent three (3) years. - Borrowers must be first-time homebuyers or have not owned a home in the past three (3) years unless purchasing in a Targeted Area of the state. Borrowers may not own any other property at the time of the CHFA mortgage closing. (see: Targeted Areas at chfa.org) - The Time To Own Program Area Median Income (AMI) Limits and CHFA Sales Price and Income Limits apply. (see: chfa.org / Time To Own) PROGRAM IMPORTANT INFORMATION - The Time To Own Program is a 0% interest rate loan with no monthly payments. - Ten percent (10%) of the principal balance will be forgiven annually, on the anniversary date of the loan closing, until the loan is fully forgiven on the tenth anniversary. - Assistance may be used to cover up to 20% down payment and up to 5% closing costs. - Loan amounts up to $50,000 for homes located in High or Very High Opportunity Areas (per State of CT Opportunity Map). (See: CT Opportunity Areas at chfa.org) - Loan amounts up to $25,000 for homes located in areas other than High or Very High Opportunity Areas. - This is a needs based program with a minimum Housing Expense-to-Income ratio of 30%. - Applicants must meet all CHFA first mortgage and Time To Own Program eligibility and underwriting criteria. The Time To Own, CHFA - Participating Lender will work with applicants to determine complete program eligibility requirements. (see: Time To Own - Participating Lenders list at: chfa.org / Time to Own) HOW TO APPLY To learn more about the program and to apply, contact one of the Time To Own, CHFA - Participating Lenders for guidance. (see: chfa.org /Time To Own) or call us toll free at: 844-CT1-HOME (844-281-4663)	<urn:uuid:e6cc0817-ea77-4f51-9109-018ef4489257>	CC-MAIN-2022-40	https://www.chfa.org/assets/1/19/Program_Brochure_-_Time_To_Own_Rev_7-20-22.pdf?11997	2022-10-05T12:13:44+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00213-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	723,936,888	543	eng_Latn	eng_Latn	0.988734	eng_Latn	0.988734	[ "eng_Latn" ]	false	rolmOCR	[ 2364 ]
Hello, Red Nose Day is an important day as we recognise those in our wider community who we can help through a small donation. This is something we highly value and it is part of our school code, which includes the mantra help if we can. Thank you to our school councillors who I met with last week who thought carefully about how we could all help by wearing our own clothes for a small donation to the Red Nose Day charity. Building Community is an important part of our school vision and being part of a wider Trust is a community we are pleased to be part of. We have enjoyed some Trust wide events over the last few weeks - some children from across the school classes took part in a Forest School morning where they completed team building activities with children from our other TEAM Trust schools. Team work, cooperation and problem solving was the order of the day and those who took part grew in confidence and met some new friends. Then this week a few of our year 3 and 4 children went to Pilton Bluecoat for a maths challenge where they worked in mixed teams with other children from across the Trust to solve some very tricky maths puzzles. Their enthusiasm to problem solve and work as a team was excellent. Again, this occasion developed their confidence and gave them a chance to work with other like-minded mathematicians. As we move forward, there will be many other opportunities such as the Year 6 residential in May. Our staff also benefit from the wealth of knowledge and expertise that is shared across the trust in inter school working parties. We look forward to more collaboration with our school partners from High Bickington, Beaford, Brayford, Pilton Bluecoat and Infants, Horwood and Newton Tracey, Witheridge and Swimbridge. Have a lovely weekend, Mr Hick SCHOOL TERM DATES 2023/2024 Spring Term Last Day: 28th March 2024 Summer Term First Day: 15th April 2024 Bank Holiday: 6th May 2024 (school closed) Half-term: 27th-31st May 2024 (school closed) First Day: 3rd June 2024 Last Day: 23rd July 2024 FOREST SCHOOL/PE DAYS Nursery: Forest School on Thursdays Reception: Forest School on Thursday afternoons, PE on Fridays - please can all PE and Forest School kits stay in school. Class 2: Yr1 Forest School on Tuesday afternoons - bring in Forest School kit on the day. Yr2: PE on Tuesday afternoons, children to wear PE kit into school on the day. Class 3: Tennis on Wednesdays. Children will need to come to school wearing their PE kit every Wednesday. Class 4: will be going to Falcons gymnastics on a Wednesday. Children will need to come to school wearing their PE kit on Wednesdays. WE KINDLY REQUEST THAT…: • If your child is poorly, please report their absence to the school office on 01271 858373 or email [email protected] by 9.30am • All medical appointments are to be advised in advance please to the school office • Any other absences must be applied for via an absence request form • Please supply your child with a refillable water bottle every day • Warm coats for outdoor play if it’s wet or cold! Emails are monitored between 7.40am - 3pm (Mon to Thurs) and between 7.40am - 12.20pm (Friday) If you need to speak to someone urgently please call the school number 01271 858373. If no one answers, please leave a message and someone will contact you as soon as they can. Class 1 This week Class 1 have been making 3D shapes with playdough and making primrose finger painting pictures. Class 2 This week, Class 2 began their DT project by exploring different fruits and vegetables. They investigated what they looked like and how they felt and thought about adjectives to describe the fruit. They were able to taste a range of fruits, deciding which was their favourite and which one they didn’t like - if any! Class 3 This week class 3 have started some learning on fractions. So far, we have been learning some new vocabulary; denominator and numerator, and representing different fractions as pictures. We have also been working on our houses in art and next week we are hoping to finish them off. Class 4 Class 4 have been learning about Vivienne Westwood in Art. We think Lily’s outfit for Red Nose Day is in keeping with Class 4’s topic! Nursery We love our cosy book area and reading stories. This Week Breakfast Club \| Date \| Event \| \|--------------------\|----------------------------------------------------------------------\| \| Monday 18th March \| Colouring After-school Club 3.30pm - 4.15pm (Week 10) \| \| \| Cricket all day -Classes 1, 2, 3 and 4 to wear PE kits to school please \| \| \| Child Measurement Reception and Year 6 - School Nursing Team \| \| Tuesday 19th March \| Cooking After-school Club 3.30pm to 4.15pm (Final Session) \| \| \| Cosmic Yoga After-school Club 3.30pm to 4.15pm (Week 10) \| \| Wednesday 20th March \| Local Governing Body Meeting 6pm \| \| Thursday 21st March \| Coding After-school Club 3.30pm to 4.15pm (Week 10) \| \| Friday 22nd March \| TEMPEST - school class groups/vista \| There will be an extra session for Coding Club on Thursday 28th March, Colouring Club on Monday 25th March and Cosmic Yoga Club on Tuesday 26th March. TEA AT TWO This week, Tea at Two is awarded to: Class 1: Alasdair and Elle Class 2: Reemy and Ziggy Class 3: Theo and Imogen Class 4: Chester and Daenerys for behaving exceptionally in school this week PRESENTATION HERO This week, our Presentation Hero award goes to: Laith (Class 1), Teddy (Class 2), Molly (Class 3), Ruben (Class 4) Our Presentation Hero is awarded to children across the school each week who always present their work carefully. OUR SCHOOL WEBSITE IS NOW LIVE! Find us at www.hntps.devon.sch.uk We have been very careful to ensure that only those children with parental permission for photographs have been included on the school website. If your child’s photo has been included, but you would prefer us to remove it, please let Carla know in the school office. We are still working on the content of the newsletter, so please bear with us. Year 3 & 4 Maths Challenge TEAM Event ‘...it was so lovely working with all of your mathematicians on Monday. Their enthusiasm to problem-solve and work with children from across the Trust was a real pleasure to see.’ [Team Teacher] On Monday 11th March, 6 TEAM schools came together to take part in a Year 3 and 4 maths challenge. They put their mathematical skills to the test by tackling some tricky Egyptian-themed fraction problems. What a lovely opportunity to work with children from across the Trust! Each child received a certificate to mark their involvement in the event. Congratulations to Bella! For completing Stage 3 Swimming! We are pleased to announce that Ottilie Robinson-Shaw will be joining us on the 25th April. She is a freestyle kayaker who will be coming in to talk to us about her journey as an athlete. All children will take part in some exercise during the day and will be seeking sponsorship. Children will be bringing home some more information and a sponsorship form this week. HNTPS Breakfast Club Menu \| Monday \| Tuesday \| Wednesday \| Thursday \| Friday \| \|---------------------------------------------\|--------------------------------------------\|--------------------------------------------\|--------------------------------------------\|--------------------------------------------\| \| Cereals served with milk (7) \| Cereals served with milk (7) \| Cereals served with milk (7) \| Cereals served with milk (7) \| Cereals served with milk (7) \| \| Rice Krispies (2) \| Rice Krispies (2) \| Rice Krispies (2) \| Rice Krispies (2) \| Rice Krispies (2) \| \| Corn Flakes (2) \| Corn Flakes (2) \| Corn Flakes (2) \| Corn Flakes (2) \| Corn Flakes (2) \| \| Weetabix (2) (14) \| Weetabix (2) (14) \| Weetabix (2) (14) \| Weetabix (2) (14) \| Weetabix (2) (14) \| \| Fruit \| Fruit \| Fruit \| Fruit \| Fruit \| \| Toast (2) \| Toast (2) \| Toast (2) \| Toast (2) \| Toast (2) \| \| Jam (14) \| Jam (14) \| Jam (14) \| Jam (14) \| Jam (14) \| \| Marmalade (14) \| Marmalade (14) \| Marmalade (14) \| Marmalade (14) \| Marmalade (14) \| \| Honey \| Honey \| Honey \| Honey \| Honey \| \| Milk (7), water, orange juice, apple juice \| Milk (7), water, orange juice, apple juice \| Milk (7), water, orange juice, apple juice \| Milk (7), water, orange juice, apple juice \| Milk (7), water, orange juice, apple juice \| Sign up for April and May - forms available from the school office now! PLEASE RETURN FORMS BY 20TH MARCH TO SECURE YOUR CHILD’S PLACE ## Spring Dinner Menu Meal price is £2.50 per day for Class 3 and 4 children, Classes 1 and 2 qualify for universal free school meal. Jacket Potatoes with a choice of toppings are available every day. Fresh fruit, salad & wholemeal bread are available daily. Reminder: we are a nut free school. ### Week 1: 18/03 \| Day \| Main Course \| Side Dish \| \|-------\|-------------------------------------------------\|-----------------------------------------------\| \| Mon \| Fish Fingers \| Chips/Pasta/Baked Beans/Peas \| \| \| Salmon Fishcakes \| Filled Jacket Potato \| \| \| Chocolate Cake & sauce \| Fruit bowl/yoghurt \| \| Tues \| Sweet & Sour Chicken Fajitas \| Potato wedges, Mixed Veg \| \| \| Filled Jacket Potato \| Apple Muffins \| \| \| Fruit bowl/yoghurt \| \| \| Weds \| Hot Dog \| Sausage & Pasta/Veggie sausage \| \| \| Spaghetti hoops/Sweetcorn \| Filled Jacket Potato \| \| \| Ginger cake & custard \| Fruit bowl/yoghurt \| \| Thurs \| Roast Gammon, Roast Potatoes, Veg and Gravy \| Veggie Burger \| \| \| Filled Jacket Potato \| Ice Cream & Stewed Apple \| \| \| Fruit bowl/yoghurt \| \| \| Fri \| Panini (ham, cheese, tuna) \| Ham Roll \| \| \| Garlic potatoes, fruit and veg selection \| Filled Jacket Potato \| \| \| Australian Crunch \| Fruit bowl/yoghurt \| ### Week 2: 25/03 \| Day \| Main Course \| Side Dish \| \|-------\|-------------------------------------------------\|-----------------------------------------------\| \| Mon \| Cod fillets \| Chips/Pasta/Baked Beans/Peas \| \| \| Salmon Fishcakes \| Filled Jacket Potato \| \| \| Veggie Fingers \| Sprinkle Cake \| \| \| Fruit bowl/yoghurt \| \| \| Tues \| Cottage Pie/Quorn Cottage Pie \| Mixed Veg \| \| \| Filled Jacket Potato \| Apple & Blackberry Crumble & custard \| \| \| Fruit bowl/yoghurt \| \| \| Weds \| Bacon Buttie \| Veggie Burger Buttie \| \| \| Potato Wedges \| Spaghetti hoops/Sweetcorn \| \| \| Filled Jacket Potato \| Icecream and Custard Biscuit \| \| \| Fruit bowl/yoghurt \| \| \| Thurs \| Roast Chicken/Quorn Chicken Fillet, \| Roast Potatoes, Veg and Gravy \| \| \| Filled Jacket Potato \| Veggie Burger \| \| \| Sticky Chocolate Courgette Cake \| Fruit bowl/yoghurt \| \| Fri \| Panini (ham, cheese, tuna) \| Ham Roll \| \| \| Filled Jacket Potato \| Chocolate biscuits \| \| \| Fruit bowl/yoghurt \| \| #LITTER HEROES AMBASSADORS Community Clear Up Day Your Parish Needs Your Help!! HINI Parish Council are taking part in the Community Clear up campaign and invite you to join us for Community Litter Pick Saturday 30th March 2024 10-11am At Lovacott Village Hall Light refreshments provided Everyone Welcome! Equipment provided but please bring your own gloves. The Woodcott Players present Aladdin Lovacott Village Hall 22 and 23 March Adults £6 and £3 for under 16s FRIDAY 22nd March at 7.30pm SATURDAY 23rd at 2pm and at 7.30pm TICKETS Box Office opens 12th February – and not before! For tickets call Patiline on 01271 858988 or text 07802 421516 Should I keep my child off school? Yes \| Condition \| Until... \| \|---------------------------\|-----------------------------------------------\| \| Chickenpox \| at least 5 days from the onset of the rash and until all blisters have crusted over \| \| Diarrhoea and Vomiting \| 48 hours after their last episode \| \| Cold and Flu-like illness (including COVID-19) \| they no longer have a high temperature and are well enough to attend school (follow guidance if they’ve tested positive for COVID-19) \| \| Impetigo \| after they started using antiseptic washes and healers, or 48 hours after they started using antibiotics \| \| Measles \| 4 days after the rash first appeared \| \| Mumps \| 5 days after the swelling started \| \| Scarlet Fever \| 24 hours after they started taking antibiotics \| \| Whooping Cough \| 48 hours after they started taking antibiotics \| No but make sure you let their school or nursery know about... \| Condition \| Until... \| \|---------------------------\|-----------------------------------------------\| \| Hand, foot and mouth \| Glueable fever \| \| Head lice \| Tonsils \| \| Thrush/breastmilk \| Stopped cheek \| Advice and guidance To find out more, search for health posters in schools or go to our Q&As website: https://gprco.de/minfec	8513e71d-08bb-4c19-b973-5bf6231530cf	CC-MAIN-2024-46	https://www.hntps.devon.sch.uk/attachments/download.asp?file=55&type=pdf	2024-11-11T19:57:33+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-46/subset=warc/part-00290-65a16d46-7179-4f3c-849a-3216b203b23b.c000.gz.parquet	737,290,557	3,279	eng_Latn	eng_Latn	0.995903	eng_Latn	0.997909	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 1792, 3334, 4214, 4299, 5615, 6281, 6867, 7297, 10197, 14428, 16700 ]
Appetizers - LOBSTER CROQUETTES toasted sesame\|yuzu dipping sauce - BIG EYE TUNA TARTARE tamari ginger glaze\|pineapple avocado\|plantain chips - JUMBO LUMP CRAB CAKE roasted jalapeño beurre blanc - MARIGOLD TOAST multigrain\|house made ricotta spiced grapes\|granny smith apples purple radish\|rocket arugula\|hot honey - OUR LOBSTER FRIES lobster\|fontina cheese fondue - THICK CUT BACON shaved brussels sprouts\|kumquat glaze --- Chilled Bar - JUMBO SHRIMP COCKTAIL spicy cocktail sauce\|lemon wedge - SEASONAL OYSTERS sour apple mignonette - SHELLFISH SAMPLER black tiger shrimp\|seasonal oysters king crab leg\|main lobster cocktail sauce\|mignonette house-made hot sauce --- Soups - HEIRLOOM SQUASH BISQUE $13 spiced brioche\|pumpkin oil - NEW ENGLAND LOBSTER CHOWDER $15 melba toast --- Going Green - add shrimp\|crab\|lobster tail chicken\|steak - BLOOMSDALE SPINACH SALAD maple bacon vinaigrette\|butternut squash pomegranate arils\|spicy walnuts goat cheese - GOLDEN BEET SALAD butter lettuce\|honey crisp apples brioche crumbles\|heirloom carrots pernod vinaigrette - MG CAESAR SALAD baby romaine\|tuscan kale\|parmigiano herb croutons\|black garlic dressing --- Craft Buns - butter lettuce\|black sesame brioche - THE BOSS BURGER prime beef\|lobster meat\|asian slaw pickled shallots\|lemon aioli - FARMSTEAD BURGER prime beef\|american cheese dill pickles\|bacon thousand island dressing - SMOKED SPICY BURGER prime beef\|smoked cheddar\|bbq sauce green chili hash\|tempura jalapeños - SUPREME BURGER prime beef\|grilled onions forest mushrooms\|swiss cheese béchamel - GREAT VEGGIE BURGER cauliflower patty\|cucumber pea sprouts\|roasted tomato tahini aioli --- Plates - FREE RANGE ROASTED CHICKEN boursin mac & cheese\|green chile tuscan kale\|chicken jus - LOBSTER TORNNARELLI squid ink pasta\|roasted tomatoes south african lobster tail creamy lobster sauce - SLOW BRAISED SHORT RIB sunchoke purée\|roasted corn port shallots - STEAK FRITES prime hanger steak\|rosemary fries béarnaise sauce - TORCHED BLACK COD coconut yellow curry\|furikake purple cauliflower --- Sides - BUFFALO BRUSSELS SPROUTS blue cheese crumbles - CRISPY FRENCH FRIES house made ketchup - DAILY BAKED MONKEY BREAD fontina\|thyme\|pomodoro dipping sauce - OLD FASHIONED ONION RINGS smoky bacon ranch - SWEET POTATO PUFFS curry dipping sauce --- Proper Lobster and Crab Rolls - brioche roll\|malt vinegar kettle chips add extra meat - VEGAS LOBSTER ROLL santa barbara sea urchin american caviar\|dill aioli - CONNECTICUT LOBSTER ROLL melted butter\|lemon zest - MAINE LOBSTER ROLL celery\|fennel\|lemon pepper aioli - MARYLAND BLUE CRAB ROLL minced celery\|old bay aioli --- Desserts - BANANAS FOSTER BREAD PUDDING cinnamon dulce de leche ice cream orange rum syrup - BUTTERSCOTCH PUDDING pecan shortbread\|chantilly - ICE CREAM 1 or 3 scoop bowl vanilla\|roasted pineapple malted chocolate\|pistachio strawberry buttermilk cinnamon dulce de leche mango sorbet - ICE CREAM SANDWICHES chocolate chip cookie filled with choice of ice cream - SHELL-ABRATION SUNDAE choice of 3 ice cream flavors chocolate sauce\|strawberry sauce crispy almond clusters\|whipped cream black & white chocolate pearls sugar wafers\|amarena cherry diced pineapple\|sprinkles frosted sugar cookie - THE SHAKE --- Ask us about Sunday Family Supper --- CONSUMING RAW OR UNDERCOOKED MEAT, POULTRY, SEAFOOD, SHELL STOCK, OR EGG MAY INCREASE RISK OF FOODBORNE ILLNESS, ESPECIALLY IN CASE OF CERTAIN MEDICAL CONDITIONS MENU SUBJECT TO CHANGE	cbfc0faf-e195-4607-b45a-04debb666ad3	CC-MAIN-2022-40	https://www.casino.org/vitalvegas/wp-content/uploads/2021/12/menu-marigold.pdf	2022-10-02T22:40:11+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00278-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	717,234,291	1,162	eng_Latn	eng_Latn	0.727429	eng_Latn	0.727429	[ "eng_Latn" ]	true	docling	[ 3788 ]
CITY OF SULPHUR SPRINGS, TEXAS REGULAR MEETING OF THE CITY COUNCIL JUNE 2, 2015 7:00 p.m. Mayor Freddie Taylor called the regular meeting of the Sulphur Springs City Council to order at 6:30 p.m. Councilman Craig Johnson moved to adjourn to executive session in accordance with Texas Government Code 551.071, consultation with attorney - pending litigation. Mayor Pro Tem Kayla Price seconded the motion. There was no one present to speak to the issue. The vote was unanimous. The following council members and staff were present: Mayor Freddie Taylor Mayor Pro Tem Kayla Price Councilman Craig Johnson Councilman Clay Walker Councilman Oscar Aguilar Councilwoman Emily Glass Councilman John Sellers – 7PM Absent: None Staff: Marc Maxwell, City Manager Gale Roberts, City Secretary Jim McLeroy, City Attorney Shane Shepard, Community Development Director – 7P Gordon Frazier, Director Human Resources – 7P Phyllis Rogers, Municipal Court Judge – 7P RECONVENE INTO OPEN SESSION Mayor Taylor reconvened the meeting into open session at 7:01 p.m. PLEDGE AND INVOCATION Mayor Taylor led in the pledge of allegiance to the United States Flag and the Pledge to the Texas Flag as well as the invocation. PRESENTATIONS, ANNOUNCEMENTS AND PROCLAMATIONS Mayor Pro Tem Price reminded everyone of the 2015 Independence Day Celebration which will be held Saturday, June 27 th , with the concert by the Northeast Texas Symphony Orchestra. Councilman Aguilar thanked those that participated in the UPRA Rodeo by accepting the challenge of either riding a bull or paying a fee. It was a very successful endeavor. OATHS OF OFFICE WILL BE GIVEN TO COUNCILMAN CRAIG JOHNSON, COUNCILMAN CLAY WALKER, AND COUNCILMAN OSCAR AGUILAR City Secretary Gale Roberts administered the Oath of Office to Councilman Craig Johnson, Councilman Clay Walker, and Councilman Oscar Aguilar. DISCUSSION/ACTION ON SELECTION OF MAYOR Councilman Sellers moved to nominate Kayla Price as Mayor. Councilwoman Glass seconded and the vote was unanimous. The motion carried. Newly appointed Mayor Price presented the outgoing Mayor, Freddie Taylor, with an engraved gavel and striking block in its own walnut presentation box for his hard work and efforts as Mayor of the City of Sulphur Springs, Texas. Freddie Taylor thanked everyone and stated that he enjoys working with the current City Council and looks forward to the first Tuesday of the month. In the interim he enjoys visiting with the public. It has been a pleasure to serve the citizens of Sulphur Springs as their Mayor and he is thankful for the opportunity. He also stated that it is a pleasure to serve with the current, like-minded City Council and will continue to do so as we go forward to do what is best for the City of Sulphur Springs. Councilman Taylor appreciatively recognized the long-term of City Manager Marc Maxwell and his leadership. Incoming Mayor Kayla Price presented Freddie Taylor with a red rose to give to his lovely wife, Rita, for her support during his tenure as mayor. Mayor Price then recognized her boyfriend, Michael Mitchell, and presented him with a red rose. DISCUSSION/ACTION ON SELECTION OF MAYOR PRO TEM Councilman Johnson (addressing Mayor Price as Madame Mayor – wanting to be the first to do so) moved to nominate Councilwoman Emily Glass as Mayor Pro Tem. Councilman Taylor seconded and the vote was unanimous. The motion carried. Mayor Price noted that she had been told by our local historian, John Sellers, and City Secretary, Gale Roberts, this is the first time in Sulphur Springs' history where a woman has served as mayor and mayor pro tem at the same time. MANAGER'S REPORT STREETS, WATER AND SEWER - The FM 2285 waterline replacement project is moving slowly. The heavy rains have taken their toll on the project. We've installed 6,500 feet of pipe, and three of four bores have been completed. This project will replace 2.5 miles of undersized and dilapidated water main at a cost of $862,800. The project begins at S.H. 19 and extends past the Lake Sulphur Springs dam. The old water main generates more repairs that any other water main in the City. The Rockdale Road reconstruction project is on deck. You may recall that in the past five years we have replaced two out of four segments of Rockdale Road (on the north side of the interstate). This project will reconstruct the remainder of Rockdale Road. Expect the Davis Street waterline re-placement project to follow Rockdale Road. This project will replace 1,500 feet of water main on North Davis from Park to Glover. This will clear the way for this street segment to be paved this summer. STORM CLEANUP – During the past week city crews manned the spring cleanup site to receive trees and tree limbs that were downed by the recent storms. They also worked through the night after a recent storm to reopen streets where trees had fallen across them. We are compiling the cost of the cleanup effort. We might be able to obtain disaster relief from the state. CLAIMS – We did not have any worker's compensation claims in May. We did receive 3 liability claims in May, one for damage to a Verizon line, one for a minor vehicle accident, and one for damage allegedly arising from a pothole incident. The city also submitted a claim to TML for Wind and lightning damage to buildings, mobile equipment and real property at Airport, Service Center, Kids Kingdom and Downtown Plaza. CITY BUSINESS OFFICE – Reconstruction is moving right along at the old City Hall. The walls are painted, and tile flooring is being installed now. We expect to move in sometime in July. WASTEWATER TREATMENT PLANT - Total suspended solids (TSS) came in at 2.97 mg/L, not bad for such a rainy month. REVENUES AND EXPENDITURES – Finance Director, Peter Karstens will present the year-to-date summary of revenues and expenditures. Elsewhere around the city, employees: * Conducted 23 building inspections, 21 electrical inspections, 11 plumbing inspections, 1 mechanical inspection and issued 22 building permits. * Conducted 8 health inspections, opened 4 code enforcement complaints and pursued 59 ongoing code enforcement investigations. * Responded to 140 fire/rescue calls, including 4 structure fires. * Conducted 53 fire safety inspections. * Tested and performed preventative maintenance on 80 fire hydrants. * Made a temporary repair to the airport terminal roof. * Retrofit L.E.D. lights on the flag poles at the Hopkins County Veterans Memorial. * Relocated the radio tower at old city hall. * Repaired the airport fountain. * Repaired the car wash at the service center. * Repaired the fountain at Celebration Plaza. * Performed preventative maintenance and repairs on numerous apparatuses at the wastewater treatment plant and the water treatment plant. * Replaced 11 water meters. * Repaired 7 water mains and 2 sewer mains. * Unstopped 24 sewer mains. * Rebuilt gates at College Street water tower. * Washed 78,000 feet of sewer mains. * Repaired or replaced caps on 47 sewer cleanouts discovered while smoke testing. * Opened flood gates at Lake Sulphur Springs for a total of 12 days in May. * Flushed 36 dead end water mains. * Treated 120 million gallons of Cooper Lake water. * Responded to 199 animal control calls and achieved a 24% adoption rate. * Made 76 arrests, responded to 43 accidents, recorded 61 offences, and wrote 689 traffic citations. * Made 8 felony arrests in the special crimes unit. * Checked out 3,876 items from the library. DISCUSSION/ACTION ON THE CONSENT AGENDA Consider for approval the special City Council meeting minutes of April 30, and May 1, 2015; the regular City Council meeting minutes of May 5, 2015; the Special City Council meeting minutes of May 12, 2015; the City Council Retreat meeting minutes for May 12, 2015; and the Economic Development Corporation meeting minutes of April 27, 2015. There was no one to speak to the issue. Councilman Johnson moved to approve the consent agenda as presented. Councilman Sellers seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON PUBLIC HEARING AS REQUIRED BY CHAPTER 312 OF THE TEXAS TAX CODE, AND FIRST READING OF ORDINANCE NO. 2665 ESTABLISHING A REINVESTMENT ZONE FOR ALUF PLASTICS Mayor Price opened the public hearing. There was no one to speak to the issue. The public hearing was closed. Economic Development Executive Director, Roger Feagley, presented the staff report. Aluf Plastics purchased the property located at 1212 Elm Street. This was the old Winzen Film building and more recently Pari Olefins. Aluf Plastics, makers of draw-string trash bags, is in the process of getting their plant running efficiently and bringing on more equipment. This is a request to create a reinvestment zone which establishes geographical boundaries of an area where a taxing entity can offer a tax incentive. If the ordinance is approved and adopted they will request a tax abatement in the near future. There was no one else to speak to the issue. Councilman Sellers moved to approve the ordinance on first reading. Councilwoman Glass seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON RESOLUTION NO. 1086 AUTHORIZING THE SUBMISSION OF A REQUEST TO BECOME A RESERVATION SYSTEM PARTICIPANT TO THE TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS FOR HOME FUNDS Human Resources Director Gordon Frazier presented the staff report and was available to answer any questions. The HOME program consists of Homeowner Rehabilitation Assistance for housing reconstruction and rehabilitation. Funds are reserved for the city, and we can access those funds (when and if they are available) when we have a qualified homeowner. This is similar to the Reservation System the city recently participated which expired March 28, 2015. There was no one else to speak to the issue. Councilman Taylor moved to approve the resolution as presented. Councilman Aguilar seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON RESOLUTION NO. 1087 APPROVING A NEGOTIATED SETTLEMENT BETWEEN THE ATMOS CITIES STEERING COMMITTEE ("ACSC") AND ATMOS ENERGY CORP., MID-TEX DIVISION REGARDING THE COMPANY'S 2014 AND 2015 RATE REVIEW MECHANISM FILINGS; APPROVING A SETTLEMENT AGREEMENT WITH ATTACHED RATE TARIFFS AND PROOF OF REVENUES; DECLARING EXISTING RATES TO BE UNREASONABLE; ADOPTING TARIFFS THAT REFLECT RATE ADJUSTMENTS CONSISTENT WITH THE NEGOTIATED SETTLEMENT; FINDING THE RATES TO BE SET BY THE SETTLEMENT TARIFFS TO BE JUST AND REASONABLE AND IN PUBLIC INTEREST; REQUIRING THE COMPANY TO REIMBURSE ACSC'S REASONABLE RATEMAKING EXPENSES; DETERMINING THAT THIS RESOLUTION WAS PASSED IN ACCORDANCE WITH THE REQUIREMENTS OF THE TEXAS OPEN MEETING ACT; ADOPTING A SAVINGS CLAUSE; DECLARING AN EFFECTIVE DATE; AND REQUIRING DELIVERY OF THIS RESOLUTION TO THE COMPANY AND THE ACSC'S LEGAL COUNSEL City Manager Marc Maxwell presented the staff report. There was a brief general discussion. There was no one else to speak to the issue. Councilman Taylor moved to approve the resolution as presented. Mayor Pro Tem Glass seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON BOARD APPOINTMENT TO THE (1) ECONOMIC DEVELOPMENT CORPORATION, (2) ZONING BOARD OF ADJUSTMENTS, (3) AIRPORT ADVISORY BOARD, (4) SULPHUR RIVER MUNICIPAL WATER DISTRICT BOARD, (5) LIBRARY BOARD, (6) BOARD OF TOURISM AND PROMOTION, (7) CONSTRUCTION BOARD OF ADJUSTMENTS AND APPEALS, (8) PLANNING AND ZONING COMMISSION, (9) ARK-TEX COUNCIL OF GOVERNMENTS, AND (10) THE DOWNTOWN REVITALIZATION BOARD Councilman Sellers made a motion to accept the list of board and commission recommendations as was discussed and submitted in the City Council packet. Councilman Taylor seconded and the vote was as follows: The motion carried. Mayor Price read the list for the record: 2015-2016 BOARD AND COMMISSION RECOMMENDATIONS ECONOMIC DEVELOPMENT CLAY WALKER TOM SELLERS ZONING BOARD OF ADJUSTMENT CARRIE NUCKOLLS JEFF CARPENTER KYLE ROBINSON AIRPORT ADVISORY BOARD DAVID BAUCOM DR. CHARLES JONES SULPHUR RIVER MUNICIPAL WATER DISTRICT SAM JOHNSON LIBRARY BOARD LINDA MABE RITA TAYLOR BOARD OF TOURISM AND PROMOTION PAM SELLERS DON FAUSETT CONSTRUCTION BOARD OF ADJUSTMENT AND APPEALS JOHN COOPER RICKEY PAYNE JEFF REDDING PLANNING AND ZONING COMMISSION CHUCK SICKLES DAVE GRAVES BRANDON WILLIAMS ARK-TEX COUNCIL OF GOVERNMENTS JOHN SELLERS EMILY GLASS KAYLA PRICE DOWNTOWN REVITALIZATION BOARD TIFFANY WALKER MIKE ELLIOTT PHYLLIS ROUNDTREE DISCUSSION/ACTION ON RESOLUTION NO. 1089 AUTHORIZING THE APPOINTMENT OF A REPRESENTATIVE TO SERVE AS A DIRECTOR ON THE ARK-TEX COUNCIL OF GOVERNMENTS BOARD OF DIRECTORS Councilman Sellers moved to appointed Mayor Pro Tem Emily Glass to this board. Councilman Johnson seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON CONSIDERATION OF AMENDMENT #2 WITH GARVER ENGINEERING AUTHORIZING SPECIFIC ENGINEERING TASKS FOR DESIGN, PREPARATION OF CONTRACT AND BID DOCUMENTS AND OTHER ENGINEERING SERVICES FOR IMPROVEMENTS AND REHABILITATION OF THE SULPHUR SPRINGS WASTEWATER TREATMENT PLANT Finance Director Peter Karstens presented the staff report. Lance Klements and Scott Botti of Garver Engineering were present to answer any questions. City Manager Maxwell displayed a slide show presentation and explained in great detail about the wastewater treatment plant's operation and the proposed improvements. In November the City Council selected Garver Engineering to prepare a Conceptual Engineering Report detailing the proposed improvements and rehabilitation necessary to bring the wastewater treatment plant into continued compliance with TCEQ and the EPA as well as create a facility which will serve the city's wastewater treatment needs for the next 20 – 40 years. The Conceptual Engineering Report was just completed with the recommended option being Amendment #2 which would cost $1,282,402.00. There was a general discussion. There was no one else to speak to the issue. Councilman Aguilar moved to approve Amendment #2. Councilman Walker seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON REIMBURSEMENT RESOLUTION NO. 1088 Finance Director Peter Karstens presented the staff report. As mentioned in the previous agenda item, this resolution would allow the city to include some or all of the wastewater plant design engineering costs in the Texas Water Development Board loan or our own bonds (if it should come to that). This is a process required by the IRS to maintain the tax exempt status of the bonds. There was no one to speak to the issue. Councilman Taylor moved to approve the resolution as presented. Councilman Johnson seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON APPOINTMENT OF MUNICIPAL COURT JUDGE Councilman Sellers moved to reappoint Phyllis Rogers as the Municipal Court Judge. Councilman Taylor seconded and the vote was unanimous. The motion carried. At this time the Oath of Office was administered to Municipal Court Judge Phyllis Rogers by City Secretary Gale Roberts. VISITORS/PUBLIC FORUM Charles Oxford addressed the City Council regarding untethered pets in boats and pickup trucks. He believes an ordinance should be created to make pet owners tether their pets. ADJOURN With all business complete the meeting was adjourned at 7:57 p.m.	<urn:uuid:db79ad10-d34e-4fdc-9e0d-ffeeffa109d1>	CC-MAIN-2021-17	http://sulphurspringstx.org/060215.pdf	2021-04-21T21:22:56+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-17/subset=warc/part-00243-74237c22-0523-49c6-9e5a-6b4aa471a042.c000.gz.parquet	75,317,206	3,636	eng_Latn	eng_Latn	0.935115	eng_Latn	0.995054	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1214, 3426, 5760, 8080, 10489, 12075, 12927, 15209, 15487 ]
As a young, twenty-one year old, Ron Husman bought his first Nova in 1969 right off the showroom floor at Brown Chevrolet in Cherokee, Iowa for $2,575. Those new car prices have been gone for a long time. “The car was a nothing-special version with a 307, an automatic transmission, and black interior with a bench front seat,” Ron shared. Being smaller than most cars at the time made it fun to drive and cruise around in. He drove the car for a couple years and traded it for a newer Chevy pickup. Ron then traded the pickup for another Chevy pickup that had a 454 big block for an engine. He liked the big engine’s power enough to keep it for 22 years, eventually trading it for the Ford diesel pickup that he still has today. In 1986, Ron bought another unfinished Nova. It was a 1973 model with a (you guessed it) 454 engine that the previous owner had installed. Small cars with big engines were growing on Ron. He restored the car over a three-year period and eventually put it up for sale, and it was gone before he could blink. For the next 20 years, Ron wondered many times why he sold that big-engined Nova. In October of 2010, he found his current 1971 Chevrolet Nova advertised for sale online in Moline, Illinois. The Nova article listed a 396-cubic-inch V8 with a 4 speed; features interesting enough for him to make the trip to check it out. Upon arrival he saw that the car had a great paint job that was done recently, along with a good running 396 and a 4 speed. It was everything Ron was looking for. The owner had lost interest and wanted to build a Mopar because of recent auction sales prices. The car needed a little interior work as noted by Ron, so after some price negotiation, he brought the car home. Ron has been having fun bringing the car up to his standards. From redoing the interior to the correct original form, to installing 4-wheel disc brakes, along with new springs to help the ride. He has also tuned it to run on 30% ethanol, which helps the engine run better and stronger. One interesting fact Ron found out about the engine when he was checking things out was that the serial number on it had a “J O” in it, which means the engine came out of a Bel Air police car. The car has headers and Flowmaster exhaust for cool sound. Ron’s wife, Maritta, gets a kick out of riding in the Nova, which makes Ron smile and feel like a kid again. Happy wife, cool car, what more could you ask for?	<urn:uuid:a90263a1-c9d3-4b4c-b800-66ac5a98e76c>	CC-MAIN-2018-51	https://www.greatplainsstreetrodders.com/app/download/5193374/2011+07+GPSR+Feature+Story.pdf	2018-12-16T13:48:21Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-51/segments/1544376827727.65/warc/CC-MAIN-20181216121406-20181216143406-00065.warc.gz	902,843,748	555	eng_Latn	eng_Latn	0.999321	eng_Latn	0.999321	[ "eng_Latn" ]	false	docling	[ 2431 ]
Enrolment Form Group Health, Life and Disability Benefits Group Health, Life and Disability Benefits Enrolment Form Employer completes section 1. Employee completes section 2, 3 and 4. Employee and employer signatures are required on page 2. CLEAR FORM NEW: Complete and submit this form entirely online at bfm.bm/online-health-life-disability-enrolment 1. Group employer information (to be completed by the employer) Group policy name: Policies available: Health insurance Date employed (dd-mmm-yyyy): Life/Disability enrolment date (dd-mmm-yyyy): Annual salary (Life/Disability benefits): BMD/USD $ 2. Employee information (to be completed by the employee) Name (first/middle/last): DOB (dd-mmm-yyyy): Address: Phone: Occupation: Email: W C H 3. Health and Dental benefits (to be completed by the employee) Clear Section You must remain on the chosen health/dental plan for 2 years. You may switch up or down one plan level without medical underwriting upon completing the 2-year period. Person(s) to be insured: Self Spouse/Domestic partner Children (18 years or younger) Students (18 years - 26 years) Have you been insured with BF&M during the past 31 days? Yes Select your health coverage: Global Health Global Plus Select your dental coverage: * No Dental Previous employer: No Global Elite Basic Comprehensive Standard Health Benefits Health insurance dependents (Complete this section to add your child(ren), stepchild(ren), legally adopted child(ren), spouse or domestic partner as dependents.) Eligible child(ren) must be unmarried, 18 or younger, or 18-26 years attending school, college or university as a full-time student. Age limits do not apply to dependents with disabilities who are reliant on the insured for support and maintenance. Dependent spouse information (Complete section only if your spouse is to be insured.) Clear Section Employment status: Unemployed Self-employed Employed Coverage required: Full (Standard Health and Supplemental Health benefits for non-working/self-employed spouse) Supplemental only (Standard Health benefits covered by spouse's employer) Previous insurance carrier: Termination date (dd-mmm-yyyy): SHB* Other: Nationality: Life insurance Group policy number: Long Term Disability insurance Short Term Disability insurance Hours worked per week (Health/Disability benefits): Hours worked per month (Life benefits): Gender: Male Clear Section Female CLEAR PAGE Dependent child school information Beneficiary name (first/middle/last) Nationality DOB(dd-mmm-yyyy) Relationship Primary Contingent Total share %: Declaration Employee declaration and signature: I confirm that I am applying for benefits that are available through the group policy provided by my employer and that the information provided is factual and true. I confirm that I have had the opportunity to review BF&M's Privacy Policy (www.bfm.bm/privacy) and I consent to the processing of my personal information for the purposes described within the Privacy Policy. If I have provided personal information relating to any third party, I confirm that I have received their consent for BF&M to process their personal information in line with the Privacy Policy. Employee name: Sign: Date (dd-mmm-yyyy): Signatory name: Sign: Date (dd-mmm-yyyy): Employer declaration and signature (authorised signatory): I confirm that I have all necessary consents and notices in place to enable the lawful transfer of employees' personal data to BF&M for the purposes described in BF&M's Privacy Policy (www.bfm.bm/privacy). I confirm that I have verified the identity and details of this member from section 1, of this form, and that the information provided is accurate. Dependent child name(first/middle/last) School, college or university name Location Trustee name (first/middle/last) Nationality DOB (dd-mmm-yyyy) Relationship to beneficiary Trustee A Trustee must be named if any beneficiary(ies) is under the age of 18. Beneficiaries 4. Life insurance benefits (Please complete this section if you are eligible to be enrolled in Life (LF) Insurance benefits.) The person(s) or entity(ies) designated as a primary beneficiary is first in line to inherit your life insurance benefit when you pass away. Benefits are only payable if the group and/or employee policy is active when submitting the claim. If more than one primary beneficiary is named, the beneficiaries share the inheritance when you die. If one or more of the primary beneficiaries do not take their share of the inheritance, it will be split equally between any remaining primary beneficiaries. The contingent beneficiary is the person(s) who becomes the beneficiary(ies) if the primary beneficiary(ies) dies or is otherwise disqualified. Contingent beneficiaries inherit only if none of the primary beneficiaries can be located, if they refuse the inheritance or if they die before you do. In other words, contingent beneficiaries will be second in line behind your primary beneficiaries and inherit nothing as long as one of your primary beneficiaries accepts their inheritance. I hereby appoint the following beneficiaries to receive any amount due under this policy upon my death. The total share % for all primary beneficiaries and contingent beneficiaries must add to 100%. Share % Policy #: HL cert #: For BF&M official use only NHL cert #: HL date: NHL date: Category: Prob. period: LF: ADD: LTD: WI: Admin: Complete this section for all children 18-26 years attending school, college or university as a full-time student. Attach school receipts to verify current enrolment. % % % % % % % % % % Clear Section Clear Section BF&M Life Insurance Company Limited is part of the BF&M Limited group of companies.	<urn:uuid:c9bee4e8-25d2-44e8-97d7-61ee73e4b695>	CC-MAIN-2023-23	https://www.bfm.bm/getattachment/cb14bd53-6894-46c7-bce1-dfa5a6267363/Enrollment-Form.aspx	2023-06-11T01:38:28+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00032-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	736,866,619	1,225	eng_Latn	eng_Latn	0.978281	eng_Latn	0.98431	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2471, 5814 ]
Attachment D-3 Full-time Campus Security Monitors (School Year 2021-22) \| First Name \| Title \| School \| 2021-22 Step \| 2021-22 Salary \| 2021-22 Longevity \| \|---\|---\|---\|---\|---\|---\| \| Michele \| Campus Monitor \| District \| 12 \| $44,638 \| $1,100 \| \| Gene \| Campus Monitor \| District \| 3 \| $36,438 \| \| \| Patricio \| Campus Monitor \| District \| 3 \| $36,438 \| \| \| Arthur \| Campus Monitor \| District \| 3 \| $36,438 \| \| \| Ronald \| Campus Monitor \| District \| 13 \| $46,938 \| $1,700 \| \| Salvatore \| Campus Monitor \| District \| 2 \| $36,138 \| \| \| Anthony \| Campus Monitor \| District \| 4 \| $36,738 \| \| \| Michael G. \| Campus Monitor \| District \| 2 \| $36,138 \| \| \| Paul \| Campus Monitor \| District \| 4 \| $36,738 \| \| \| Jeffrey \| Campus Monitor \| District \| 4 \| $36,738 \| \| \| Michael \| Campus Monitor \| District \| 4 \| $36,738 \| \| \| Luis \| Campus Monitor \| District \| 2 \| $36,138 \| \| \| Tracey \| Campus Monitor \| District \| 1 \| $35,838 \| \|	<urn:uuid:c702a5c3-d517-4553-924d-8dfd7d3f1359>	CC-MAIN-2023-23	https://resources.finalsite.net/images/v1648555268/sayrevillek12net/gfswz4v4g03gvdw33afi/AttachmentD-3CampusMonitorsSchoolYear2021-222.pdf	2023-06-04T17:06:22+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00181-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	519,240,394	317	eng_Latn	eng_Latn	0.711324	eng_Latn	0.711324	[ "eng_Latn" ]	false	rolmOCR	[ 931 ]
IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF TEXAS MARSHALL DIVISION COMPLAINT FOR PATENT INFRINGEMENT COMES NOW, Plaintiff Telinit Technologies, LLC ("Telinit"), through the undersigned attorneys, and respectfully alleges, states, and prays as follows: NATURE OF THE ACTION 1. This is an action for patent infringement under the Patent Laws of the United States, Title 35 United States Code ("U.S.C.") to prevent and enjoin defendant Ooma, Inc. (hereinafter "Defendant") from infringing and profiting, in an illegal and unauthorized manner and without authorization and/or of the consent from Telinit, from U.S. Patent No. 6,192,123 (the "'123 patent", attached hereto as Exhibit "A") pursuant to 35 U.S.C. §271, and to recover damages, attorneys fees, and costs. THE PARTIES 2. Plaintiff Telinit is a Texas corporation with its principal place of business at 2500 Dallas Parkway, Suite 260, Plano, Texas 75093-4871. 3. Defendant is a corporation organized under the laws of the state of Delaware with its principal place of business at 1880 Embarcadero Road, Palo Alto, California 94303 and may be served with process through its agent, Eric Stang at 1880 Embarcadero Road, Palo Alto, California 94303. 4. Defendant is in the business of manufacturing, distributing and/or selling network-based telephony initiation systems and/or services throughout the United States, including within this judicial jurisdiction. JURISDICTION AND VENUE 5. The Court has subject matter jurisdiction over this action pursuant to 28 U.S.C. §§1331 and 1338(a) because the action arises under the Patent Laws of the United States, 35 U.S.C. §§ 1 et seq. 6. This Court has personal jurisdiction over Defendant by virtue of its systematic and continuous contacts with this jurisdiction, as alleged herein, as well as because of the injury to Telinit, and the cause of action Telinit has risen, as alleged herein. 7. Defendant is subject to this Court's specific and general personal jurisdiction pursuant to due process and/or the Texas Long Arm Statute, due at least to its substantial business in this forum, including: (i) at least a portion of the infringements alleged herein; and (ii) regularly doing or soliciting business, engaging in other persistent courses of conduct, and/or deriving substantial revenue from goods and services provided to individuals in Texas and in this judicial district. 8. Defendant has conducted and does conduct business within the state of Texas, including the geographic region within the Eastern District of Texas, directly or through intermediaries, resellers or agents, or offers for sale, sells, advertises (including the through use of interactive web pages with promotional material) products or services, or uses or induces others to use services or products in Texas, including this judicial district, that infringe the '123 patent. 9. Specifically, Defendant solicits business from and markets its services to consumers within Texas by offering to set connections for potential Texas consumers enabling them to communicate with other parties using said connection. 10. In addition to Defendant continuously and systematically conducting business in Texas, the causes of action against Defendant are connected (but not limited) to Defendant's purposeful acts committed in the state of Texas, including the geographic region within the Eastern District of Texas, including Defendant's making, using, offering for sale, or selling network-based products and services for initiating telephony communications systems which include features that fall within the scope of at least one claim of the '123 patent. 11. Venue lies in this judicial district pursuant to 28 U.S.C. §§1391 and 1400(b). FACTUAL ALLEGATIONS 12. On February 20, 2001, the United States Patent and Trademark Office ("USPTO") duly and legally issued the '123 patent, entitled "Method and apparatus for initiating telephone calls using a data network" after a full and fair examination. (Exhibit A). 13. Telinit is presently the owner of the patent, having received all right, title and interest in and to the '123 patent from the previous assignee of record. Telinit possesses all rights of recovery under the '123 patent, including the exclusive right to recover for past infringement. 14. The '123 patent is valid and enforceable. 15. The '123 patent contains two independent claims and six dependent claims. Defendant uses methods that perform one or more steps of the claims, and also makes, uses, sells and/or offers to sell products that encompass one or more of the claims. 16. The invention claimed in the '123 patent includes a system and process for initiating a telephone call using a data network request, that request signaling a switch, and that switch triggering a means of monitoring and providing status updates to a user of the telephone system. 17. The above described network-based method and process of connecting and monitoring communication by telephony is often accomplished when a user of a computer encounters a web-based interface with a button that it can push in order to be connected with another person, such as another user of the service or a contact stored in a compatible computer application. Meanwhile, the status of their call is monitored for such things as quality and connectivity. DEFENDANT'S PRODUCTS 18. Defendant is a company offering voice over internet protocol (VoIP) products and solutions for businesses. Defendant's products allow users to call contacts either by manually inputting a telephone number into a telephonic interface or accessing a contact's phone number from a database connected to a telephonic interface. These various cloud-based applications can be referred to as "Defendant's Products." 19. Defendant's Products are systems and components of devices for performing a process for initiating telephone calls on a voice network in response to requests from a data network. 20. Defendant's Products facilitate communication between devices such as Internet phones, cellular phones, tablets and landline phones. 21. Defendant's Products provide an interface that solicits generation of a network request to initiate telephone call connections based on a user telephone number that it then connects with stored telephone numbers. Call status is monitored by Defendant's Products and reported to users based on the status of such calls. 22. The cloud-based applications infringing the '123 patent include, but are not limited to, the system enabling the Ooma Mobile smartphone interface ("the Ooma Mobile System"), which is a system that performs a process for initiating telephone calls on a voice network in response to requests from a data network. 23. The Defendant's Products are accessible over a data network, and perform functions such as receiving data requests over the network enabling users and third parties to initiate telephony communications with each other. The requests include a user telephone number, such as telephone numbers identifying the users and/or third parties. For example when the call button is pressed, the Ooma Mobile System performs the step of receiving a data network request to initiate a telephone call. A user's Ooma telephone number is included in said request, and is used as the caller-ID for outgoing calls. 24. The Defendant's Products also identify stored telephone numbers, such as by handling requests to initiate telephone calls with users at a pre-designated user telephone number and/or with third parties. Ooma allows users create and store contacts with phone number information. When a contact is selected and the call button is pressed, the Ooma Mobile System performs the step of identifying a stored telephone number corresponding to the request. For example, the stored telephone number associated with the contact being called. 25. The Defendant's Products signal a switch to call a voice network, such as a public switched telephone network (PSTN), to other telephone devices identified by stored telephone numbers, such as by initiating telephone calls with a pre-designated user telephone number and/or third parties. For example, when placing a call to a stored telephone number designating a phone on the voice network, such as a cellular phone, the Ooma Mobile System performs the step of signaling a switch to make said call on the voice network. 26. Defendant's Products monitor call status. For example, the Ooma Mobile System performs the step of monitoring call status for indications of call progress and call history. 27. Defendant's Products provide users with an indication of a change in the status of the call. For example, the Ooma Mobile System performs the step of providing a user with an indication of a change in the status of the call, at least via visual indicators, such as a call timer, changed menu options, and a mute indicator. 28. Also, The Defendant's system includes an input component designed to receive data requests over the network enabling Defendant's customers and third parties to initiate telephony communications with each other. Those requests include a user telephone number, such as telephone numbers identifying the user and/or third party. For example when the call button is pressed, an Ooma input component is configured to receive a data network request to initiate a telephone call. A user's Ooma telephone number is included in said request, and is used as the caller-ID for outgoing calls. 29. Defendant's system includes processing components designed to identify stored telephone numbers, such as by handling requests to initiate telephone calls at a pre-designated user telephone number and/or with third parties. Ooma allows users create and store contacts with phone number information. When a contact is selected and the call button is pressed, an Ooma processing component is configured to identify a stored telephone number corresponding to the request. For example, the stored telephone number associated with the contact being called. 30. Defendant's system includes a signaling component configured to signal a switch to make a call on the voice network to an instrument identified by the stored telephone number. For example, placing a call to a stored telephone number designating a phone on the voice network, such as a cellular phone, is an indication of Ooma's use of a signaling component configured to signal a switch to make said call on the voice network. 31. Defendant's system includes a monitoring component configured to monitor a status of the call. For example, an Ooma monitoring component is configured to monitor call status for indications of call progress and call history. 32. Defendant's system includes a status component configured to provide a user with an indication of a change in the status of the call. For example, an Ooma status component is configured to provide a user with an indication of a change in the status of the call, at least via visual indicators, such as a call timer, changed menu options, and a mute indicator. DIRECT INFRINGEMENT 33. Plaintiff realleges and incorporates by reference the allegations set forth in paragraphs 1 to 32. 34. Taken together, either partially or entirely, the features included in Defendant's system including, but not limited to, the Ooma Mobile System, perform the process recited in one or more of Claims 1-4 of the '123 patent. 35. Taken together, either partially or entirely, the features included in Defendant's system including, but not limited to, the Ooma Mobile System, use the system recited in one or more of Claims 5-8 of the '123 patent. 36. Defendant directly infringes one or more of claims 1-8 of the '123 patent by making, using, selling, offering to sell and/or importing the process and the system for cloudbased services for initiating telephony communications in violation of 35 USC § 271(a). For example, and without limitation, Defendant directly infringes at least one claim of the '123 patent by offering to sell and conveying Defendant's Products to end users including a license to a fully-operational software program implementing and thus embodying the patented method. 37. By engaging in the conduct described herein, Defendant has injured Telinit and is thus liable for infringement of the '123 patents, pursuant to 35 U.S.C. §271. 38. Defendant has committed these acts of infringement without license or authorization. 39. To the extent that facts learned in discovery show that Defendant's infringement of the '123 patent is or has been willful, Telinit reserves the right to request such a finding at the time of trial. 40. As a result of Defendant's infringement of the '123 patent, Telinit has suffered monetary damages and is entitled to a monetary judgment in an amount adequate to compensate for Defendant's past infringement, together with interests and costs. 41. Telinit will continue to suffer damages in the future unless Defendant's infringing activities are enjoined by this Court. As such, Telinit is entitled to compensation for any continuing and/or future infringement up until the date that Defendant is finally and permanently enjoined from further infringement. 42. Telinit has also suffered and will continue to suffer severe and irreparable harm unless this Court issues a permanent injunction prohibiting Defendant, its officers, directors, agents, servants, employees, attorneys, affiliates, divisions, branches, parents, and those persons in active concert or participation with it from directly or indirectly infringing the '123 patent. INDUCING INFRINGEMENT 43. Plaintiff realleges and incorporates by reference the allegations set forth in paragraphs 1 to 42. 44. Defendant has had knowledge of its infringement at least as of service of the present complaint. 45. Defendant indirectly infringes one or more claims of the '123 patent by actively inducing the infringement of their respective customers, users, subscribers and licensees who directly infringe by performing the patented process in violation of 35 USC § 271(b). For example, Defendant instructs customers to install, setup, and use the Defendant's Products in an infringing manner. 46. With knowledge of the patents in suit, Defendant has infringed, and upon service of the complaint continues to indirectly infringe, the '123 patent by inducing the direct infringement of a class of actors which includes the end-users of the infringing products, as well as customers, users, subscribers and/or licensees, by selling, offering for sale, and otherwise encouraging the class of actors to use the infringing products which perform all the steps of the patented method or contain all the features of the apparatus described in one or more claims of the '123 patent, aware of the fact that such acts amount to infringement of one or more claims of the '123 patent. Such acts evidence specific intent to induce infringement of the '123 patent. CONTRIBUTORY INFRINGEMENT 47. Plaintiff realleges and incorporates by reference the allegations set forth in paragraphs 1 to 46. 48. Products sold by Defendant for implementation of Defendant's Products are components of a patented device covered by the '123 patent. Such components constitute a material part of the invention as they are the main focus of Defendant's advertisement. Such components are part of an apparatus for initiating telephone calls using a data network and, due to specific design of such technology, are not a staple article or commodity of commerce suitable for non-infringing use. 49. Defendant's Products, including but not limited to the Ooma Mobile System, are apparatuses for use in practicing a patented process covered by at least Claim 1 of the '123 patent. Such components constitute a material part of the invention as they are the main focus of Defendant's advertisement. Such components are part of an apparatus for initiating telephone calls using a data network and, due to specific design of such technology, are not a staple article or commodity of commerce suitable for non-infringing use. 50. Defendant's software included in, or sold as part of Defendant's Products, including but not limited to the Ooma Mobile System, is an apparatus for use in practicing a patented process covered by at least one of claims 1-8 of the '123 patent. Such component is part of an apparatus for initiating telephone calls using a data network and, due to specific design of such technology, is not a staple article or commodity of commerce suitable for non-infringing use. 51. Defendant has known that devices that implement Defendant's Products are especially made or especially adapted for use in infringement of the '123 patent at least as of service of the present complaint. 52. Defendant contributes to the direct infringement by others, such as their customers and licensees, of one or more of claims 1-8 of the '123 patent in violation of 35 USC § 271(c). 53. With knowledge of the patents in suit, Defendant has infringed, and upon service of the Complaint continues to indirectly infringe, the '123 patent by contributing to the direct infringement of a class of actors which includes the end-users of the infringing products, as well as customers, users, subscribers and/or licensees, by selling, offering for sale, and otherwise encouraging the class of actors to use the infringing products which perform all the steps of the patented method as described in one or more claims of the '123 patent, aware of the fact that such acts amount to infringement of one or more claims of '123 patent. Such acts evidence specific intent to contribute to the infringement of the '123 patent. DEMAND FOR JURY TRIAL 54. Telinit demands a trial by jury of any and all causes of action. PRAYER FOR RELIEF WHEREFORE, Telinit prays for the following relief: 1. That Defendant be adjudged to have infringed the '123 patent, directly and/or indirectly, by way of inducement and/or contributory infringement, literally and/or under the doctrine of equivalents; 2. That Defendant, its officers, directors, agents, servants, employees, attorneys, affiliates, divisions, branches, parents, and those persons in active concert or participation with any of them, be preliminarily and permanently restrained and enjoined from directly and/or indirectly infringing the '123 patent; 3. An award of damages pursuant to 35 U.S.C. §284 sufficient to compensate Telinit for the Defendant's past infringement and any continuing or future infringement up until the date that Defendant is finally and permanently enjoined from further infringement, including compensatory damages; 4. An assessment of pre-judgment and post-judgment interest and costs against Defendant, together with an award of such interest and costs, in accordance with 35 U.S.C. §284; 5. That Defendant be directed to pay enhanced damages, including Telinit's attorneys' fees incurred in connection with this lawsuit pursuant to 35 U.S.C. §285; and 6. That Telinit have such other and further relief as this Court may deem just and proper. Dated: June 4, 2013 Respectfully Submitted, By: /s/ William E. Davis, III William E. Davis, III Texas State Bar No. 24047416 The Davis Firm, PC 111 West Tyler Street Longview, Texas 75601 Telephone: (903) 230-9090 Facsimile: (903) 230-9661 Email: [email protected] Of Counsel Eugenio J. Torres-Oyola USDC No. 215505 Ferraiuoli LLC 221 Plaza, 5th Floor 221 Ponce de León Avenue San Juan, PR 00917 Telephone: (787) 766-7000 Facsimile: (787) 766-7001 ATTORNEYS FOR PLAINTIFF TELINIT TECHNOLOGIES, LLC	<urn:uuid:1a5dd507-189f-48f3-9052-6a26c68e1cf0>	CC-MAIN-2024-51	https://insight.rpxcorp.com/litigation_documents/10092071	2024-12-10T01:59:33+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-51/subset=warc/part-00272-b392068a-8e35-4497-8fab-a691b1a71843.c000.gz.parquet	285,360,876	3,994	eng_Latn	eng_Latn	0.978936	eng_Latn	0.995797	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1229, 2878, 4602, 6428, 8406, 10053, 12198, 13598, 15579, 16964, 18664, 19619 ]
PUBLIC STATEMENT TURKEY Fear for prisoner safety as gendarmes brought to prison gate The Justice Minister should ensure that gendarmes and police are not used to quell the crisis at Buca Prison and other disturbances developing in prisons throughout Turkey, Amnesty International said in a letter to the minister yesterday. In view of the many fatalities which have occurred in the past as a result of using police and gendarmes to suppress such prison unrest, the organization is concerned that gendarmes have been brought to quell disturbances in Ward 7 at Buca Prison, near Izmir, and have attempted to enter the ward. Disturbances have also been reported at Bergama Prison, Ankara Closed Prison and Ümraniye Special Type Prison in Istanbul. Amnesty International has written to the Turkish authorities on several past occasions, urging that sufficient resources be allocated so that prison services are not required to call upon Interior Ministry security forces -- police and gendarmes -- to handle such crises. The letter drew attention to the history of ill-treatment and fatalities which have occurred during such crises. When entering wards on previous occasions, police and gendarmes have consistently used excessive force to restore order, and have subsequently "punished" convicted members of illegal armed organizations who have participated in disturbances by dealing out severe beatings with sticks. In September 1995 when prisoners in Ward 6 at Buca Prison refused to appear for roll-call in protest at brutal treatment by gendarmes while being taken to and from court, a large group of gendarmes forced entry into Ward 6. After subduing the prisoners, the gendarmes allegedly brought them into the courtyard one by one and beat them with chains, iron bars, sticks and truncheons. Three prisoners, Yusuf Ba_ , U_ur Sariaslan and Turan Kilinç, were beaten to death. The injuries documented in Turan Kilinç's autopsy report suggested a ferocious attack: "general body trauma, broken skull, subdural and subarachnoidal haemorrhage, broken ribs, laceration and haemorrhage of the left lung." A few months after this incident, in January 1996, Orhan Özen, Riza Boyba_ and Abdülmecit Seçkin were beaten to death, and Gültekin Beyhan died later in hospital from head injuries, after police and gendarmes entered Ümraniye Special Type Prison to subdue a prisoners' protest action. ENDS.../	<urn:uuid:afb42cd2-ae73-4cdf-a6f8-d3fffaca2d76>	CC-MAIN-2023-50	https://www.amnesty.org/es/wp-content/uploads/2021/06/eur440151998en.pdf	2023-12-09T03:10:12+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00235-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet	689,953,215	523	eng_Latn	eng_Latn	0.997906	eng_Latn	0.997906	[ "eng_Latn" ]	false	rolmOCR	[ 2407 ]
BACHELOR DEGREE IN INTERNATIONAL HOSPITALITY MANAGEMENT Breakdown of fees & expenses SEPTEMBER 2018 International Students Tuition & Fees are indicated in Swiss francs (CHF) and include VAT \| BREAKDOWN OF TUITION & SERVICE FEES \| PREP. YEAR \| YEAR 1 \| YEAR 2 \| YEAR 3 \| \|---\|---\|---\|---\|---\| \| Academic Tuitions \| 21’423 \| 35’236 \| 21’423 \| 30’363 \| \| Infrastructure & fees \| 8’892 \| 12’621 \| 7’868 \| 10’517 \| \| Prepaid Food & Beverage credit \| 2’950 \| 3’740 \| 2’057 \| 2’864 \| \| TOTAL \| 33’265 \| 51’597 \| 31’348 \| 43’744 \| \| OTHER COMPULSORY FEES (NOT INCLUDED IN THE BREAKDOWN) \| PREP. YEAR \| YEAR 1 \| YEAR 2 \| YEAR 3 \| \|---\|---\|---\|---\|---\| \| Lodging on campus \| 3’775* \| - \| - \| - \| \| Health insurance \| 1’620 \| 1’620 \| 1’620 \| 1’620 \| \| TOTAL \| 5’395 \| 1’620 \| 1’620 \| 1’620 \| EHL started to build its new campus and parking and lodging will be confirmed as the new student residences are ready. Prices are subject to change. ACADEMIC PROGRAM TUITION INCLUDES: Academic courses, exam fees, guest lectures, preparatory year including field trips and workshop in different locations, support for internships and access to industry partners for student business projects and thesis, language courses. INFRASTRUCTURE AND FEES INCLUDE: Student Affairs Services: coaching, psychological support, sport and health center * Access to all sports facilities and sports activity training * Internships and Career Services: Internship planning & monitoring, job fairs on campus * Access to Digital Centre and professional print-shop services * Mandatory Swiss insurances: accident, public liability, theft, computer equipment insurance covering theft and damage * Extracurricular student activities * Equipment for practical and theory classes (wines, utensils, etc.) * Kitchen and service uniforms * 3-zone public transportation card (Mobilis) * Alumni lifelong membership PREPAID FOOD AND BEVERAGE ACCOUNT At the beginning of each academic year, student cards are charged with a mandatory minimum amount to cover meals and beverages taken in the outlets on campus. The prepaid amount must be used before the end of the academic year and is not refundable. Any remaining amount at the end of the academic year is transferred to EHL's scholarship fund. Students can recharge their card at any time. The recharged amount can be refunded at the end of their studies if not used. HEALTH INSURANCE Basic health and accident insurance is mandatory by law in Switzerland. Students whose fiscal residence – or whose parents' fiscal residence- is outside Switzerland are automatically enrolled in EHL's health and accident insurance plan. An exemption may be obtained by providing proof of adequate coverage to the Swiss authorities. TERMS & CONDITIONS OF PAYMENT DOWN PAYMENT After confirmation of admission to EHL, students are required to pay an advance on tuition fees of CHF 6,000 in order to guarantee their place. This amount is non-refundable, except in extreme circumstances. This down payment amount is then deducted from the total amount due. INVOICING The total amount of the compulsory fees is invoiced before the beginning of each academic year and payment is due within 30 days of reception. Students are charged the totality of compulsory fees as a lump sum (in accordance with Art. 160 & ff, Code des Obligations) even if they do not take up their place at the start of term or complete the academic year. In case a student suspends or repeats an academic year, the latest official fees apply. DEPOSIT (REIMBURSED AT THE END OF STUDIES) A deposit of CHF 5,000 is required from all new students. This deposit covers any exceptional costs which may arise, for example from damage to rooms or materials. The deposit will be reimbursed at the end of the student's studies at EHL. Interest earned on the deposit will accrue and be added to EHL's scholarship fund, as part of the institution's social responsibility policy for the education of students with financial difficulties. Students who abandon their studies during the academic year must inform EHL of their decision one month before the beginning of the next academic session in order to be eligible to request a refund of the deposit. These prices are defined based on the inflation rate forecasted by the Swiss National Bank (BNS). If there is a strong variation, EHL will make adjustments accordingly. For further information please consult our website: www.ehl.edu. CONTACT US FOR MORE INFORMATION: Admissions: [email protected] Finances: [email protected] Housing: [email protected] SWISS RESIDENCE TAX & VISA EXPENSES Administrative taxes are collected by the Swiss authorities for residence permits and visas. Other communal and cantonal fees may apply. NOTE : Swiss authorities require students from outside the EU/ EFTA to make an initial payment of CHF 18'000 before submitting a visa, this amount will be deducted from their first invoice. A tourist tax of CHF 18.50.- per 15 days will be invoiced to students whose legal address is not in Switzerland (legal obligation) for the duration of their stay on campus. ON-CAMPUS ACCOMMODATION & PARKING EXPENSES * Preparatory Year: Students are required to live on campus during the first semester. * Following years: Accommodations are available at EHL but are limited. Monthly leases range between CHF 800 and CHF1400 depending on location and features. For comparison purposes, a simple studio in the Lausanne region leases in general for 12 months at approximately CHF 1400 per month, excluding heating, electricity, linen, wifi etc. * Heating, electricity and internet costs as well as bed linen, towels and weekly cleaning are included in the price. * Interior and exterior parking spaces are available on the campus for an average monthly fee of CHF 200.-. Prices vary according to location and whether it is free or assigned spaces.* ADDITIONAL EXPENSES Other expenses such as textbooks and application fees are not included: plan a budget of CHF 150 per semester on average for study material. Application fee amounts to CHF 175 payable when students submit their application. If students need to retake examinations, the fee is CHF 300 per retake. All students are required to register at HES-SO (150.-). *EHL started to build its new campus and parking and lodging will be confirmed as the new student residences are ready. Prices are subject to change.	<urn:uuid:f5ee922d-c64d-495c-afa9-6dcaac4c312c>	CC-MAIN-2019-09	https://europeanuniversities.eu/wp-content/uploads/2018/08/fees_bachelor_ap_-_international_students_-_september_2018_.pdf	2019-02-18T19:20:53Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247487624.32/warc/CC-MAIN-20190218175932-20190218201932-00163.warc.gz	538,490,729	1,489	eng_Latn	eng_Latn	0.997119	eng_Latn	0.996947	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 937, 6406 ]
AGENDA REGULAR MEETING OF THE CITY COUNCIL IN THE CITY OF SAVANNA, CARROLL COUNTY, ILLINOIS, ON TUESDAY, AUGUST 23, 2016 AT 7:00 P.M. IN THE COUNCIL CHAMBERS AT 333 CHICAGO AVENUE, SAVANNA, ILLINOIS 61074 ____________________________________________________________________________________________________________ CALL TO ORDER: PLEDGE OF ALLEGIANCE: ROLL CALL: ESTABLISHMENT OF QUORUM: APPROVAL OF AGENDA: APPROVAL OF MINUTES: Consideration of the Minutes of the August 9, 2016 Regular and Executive Session Meetings COMMITTEE REPORTS: WARRANT #4A: Additional Invoices Totaling $574.50 COMMUNICATIONS: Winkel, Parker & Foster CPA PC, Presentation of Fiscal Year 2015/2016 Audit MONTHLY REPORTS: Public Works for July 2016 UNFINISHED BUSINESS: Wastewater Treatment Facility, Main and Bowen Street Lift Stations and In-System Sewer Improvements Project Update and Associated Action Items Ordinance Officer Update TIF, Update Ordinance Amending, Title 7, Chapter 2, Section 7-Noxious Weeds NEW BUSINESS: Hotel/Motel 2016-2017 Ad Plan Advertising Signs, Regulations-Tabled Intersection Solicitors License, VFW Post 2223 Intersection Solicitors License, Council K of C Charities, Inc. TBC Billing Service Agreement, Savanna Fire Department TIF Ordinance #1-‘Approving the Highway 84 and Wacker Road Redevelopment Plan’ TIF Ordinance #2-‘Designating the Proposed Highway 84 and Wacker Road Redevelopment Project Area’ TIF Ordinance #3-‘Adopting Tax Increment Allocation Financing for the Highway 84 and Wacker Road Redevelopment Project Area’ CITIZENS, COUNCIL MEMBERS: EXECUTIVE SESSION: *5ILCS 120/2 (c)(1) Consideration and Discussion of the Appointment, Employment, Compensation, Discipline, Performance, Dismissal of Specific Employees or to Hear Testimony on a Complaint Lodged Against an Employee ADJOURNMENT: Finance APPOINTED MAY 2016 COMMITTEES AND MEMBERS Water/Sewer/Refuse/Street and Alley Tony McCombie, Mayor William Robinson-Chairperson Patrick Sanchez Christine Lee Building & Public Property/Health & Safety Tony McCombie, Mayor Scott Law-Chairperson Lisa Robinson John Peterson Hotel/Motel Tony McCombie, Mayor William Robinson-Chairperson Scott Law Patrick Sanchez Personnel/Ordinance/Public Relations Tony McCombie, Mayor Christine Lee-Chairperson John Peterson Jeff Griswold Contracts & Lease/Collective Bargaining Tony McCombie, Mayor Peg Haffey-Chairperson Lisa Robinson Kathy Christensen Tony McCombie, Mayor William Robinson-Chairperson Peg Haffey Jeff Griswold	<urn:uuid:580987f4-02d6-4787-935e-923aea99a41e>	CC-MAIN-2018-43	http://savannaillinois.com/meetingagendas/20160823council.pdf	2018-10-15T11:16:28Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-43/segments/1539583509170.2/warc/CC-MAIN-20181015100606-20181015122106-00064.warc.gz	323,715,237	658	eng_Latn	eng_Latn	0.556595	eng_Latn	0.695436	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1864, 2549 ]
Business Performance January-June 2018 The information contained herein does not constitute an offer of securities in the United States. Offers and sales of securities in The United States may not be made absent made registration under the U.S. Securities Act of 1933, as amended, or an applicable exemption therefrom. This document does not solicit money, securities or any other type of consideration, and if any money, securities or other type of consideration is sent in response hereto, it will not be accepted. First half 2018 - Bolsas y Mercados Españoles (BME) reported a net profit for the second quarter of 2018 of €33.4 million, down 18.4% on the same period of the previous year. The accumulated net profit for the first half of 2018 totalled €71.3 million, 11.2% less than in 2017. - Total revenue, less variable costs for the provision of services, which from 18 September 2017 include the costs for the settlement and information services associated with Target2 Securities (T2S), amounted to €153.9 million for the first half of the year, down 6.3% compared to the previous year. - The operating costs for the second quarter and first half increase 3.5% and 1.8%, respectively, excluding the effect of certain costs associated to staff renewal measures. - The REITs sector has displayed the highest activity in terms of additions to the market. As of 30 June there were 58 REITs listed and their total market value has doubled during last year to stand at €22.4 billion. Already in July, seven new REITs have joined the BME Alternative Securities Market (MAB). - At the end of the second quarter, BME Fixed Income market has finalised the listing of all the German, French, Dutch, Belgian, Italian, Austrian, Portuguese and Irish Government Debt. After this inclusion, added to the Spanish Government and Corporate Debt, the outstanding balance on SEND trading platform, goes beyond €6.7 trillion. - The Spanish Alternative Fixed-Income Market (MARF) accumulated during the first half of 2018 an issued volume of €3.0 billion, 46.9% up on the same period the previous year, and an outstanding balance of €2.8 billion, 21.9% more than 12 months ago. - The activity of the BME Clearing unit has expanded since June with the inclusion of natural gas contracts in the energy segment, in its day-ahead formats and the entire future maturities curve of this product: weekly, monthly, quarterly, seasonal or annual. - An agreement between BME, owner of BME Clearing, and Nex Markets, BrokerTec Operator, the main trading platform for repos on Spanish Debt, has been announced. This new agreement allows the clearing in BME Clearing of Nex Markets operations, platform with a relevant presence of Spanish Banks. ## CONSOLIDATED PROFIT AND LOSS ACCOUNTS \| \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|--------------------------------\|----------\|----------\|----------\|----------\|----------\|----------\| \| Operating Income \| \| \| \| \| \| \| \| Revenue \| 76,474 \| 82,900 \| -7.8% \| 157,065 \| 163,979 \| -4.2% \| \| Other operating income \| 311 \| 380 \| -18.2% \| 567 \| 1,284 \| -55.8% \| \| Own work capitalised \| 350 \| 345 \| 1.4% \| 694 \| 656 \| 5.8% \| \| Variable direct cost of operations \| (2,237) \| (814) \| 174.8% \| (4,414) \| (1,618) \| 172.8% \| \| Net Revenue \| 74,898 \| 82,811 \| -9.6% \| 153,912 \| 164,301 \| -6.3% \| \| Operating Expenses \| \| \| \| \| \| \| \| Employee benefits expense \| (18,918) \| (16,764) \| 12.8% \| (37,702) \| (35,028) \| 7.6% \| \| Other operating costs- external services \| (10,201)\| (9,823) \| 3.8% \| (19,678) \| (19,168) \| 2.7% \| \| Taxes \| (229) \| (84) \| 172.6% \| (316) \| (201) \| 57.2% \| \| Earnings before interest, taxes, net impairment losses and depreciation \| 45,550 \| 56,140 \| -18.9% \| 96,216 \| 109,904 \| -12.5% \| \| Amortisation \| (2,013) \| (2,031) \| -0.9% \| (3,961) \| (4,062) \| -2.5% \| \| Depreciation \| 0 \| 0 \| - \| 16 \| (1) \| - \| \| Earnings before interest and taxes \| 43,537 \| 54,109 \| -19.5% \| 92,271 \| 105,841 \| -12.8% \| \| Net financial income \| 473 \| 370 \| 27.8% \| 494 \| 370 \| 33.5% \| \| Share of profit (loss) of associates \| 373 \| (22) \| - \| 1,655 \| 422 \| 292.2% \| \| Profit before tax \| 44,383 \| 54,457 \| -18.5% \| 94,420 \| 106,633 \| -11.5% \| \| Income tax expense \| (11,021) \| (13,467) \| -18.2% \| (23,191) \| (26,338) \| -11.9% \| \| Consolidated profit for the period \| 33,362 \| 40,990 \| -18.6% \| 71,229 \| 80,295 \| -11.3% \| \| Profit attributable to non-controlling interests \| (62) \| 13 \| - \| (92) \| (1) \| 9,100.0% \| \| Profit attributable to owners of the parent \| 33,424 \| 40,977 \| -18.4% \| 71,321 \| 80,296 \| -11.2% \| \| Earnings per share \| 0.40 \| 0.49 \| -18.4% \| 0.86 \| 0.97 \| -11.2% \| Bolsas y Mercados Españoles (BME) reported a net profit for the second quarter of 2018 of €33.4 million, down 18.4% on the same period of the previous year. The accumulated net profit for the first half of 2018 totalled €71.3 million, 11.2% less than in 2017. Total revenue for the second quarter and first half of the year, less variable costs for the provision of services, which from 18 September 2017 include the costs for the settlement and information services associated with Target2 Securities (T2S), amounted to €74.9 and €153.9 million respectively, down 9.6% and 6.3% compared to the previous year. The total operating costs for BME Group for the second quarter stood at €29.3 million, an increase of 10.0% compared to the same period of the previous year, whereas in the first half of the year this amounted to €57.7 million, an increase of 6.1%. EBITDA for the second quarter stood at €45.6 million, 18.9% down compared to the same period of 2018. The accumulated EBITDA for the first six months of 2018 amounts to €96.2 million, 12.5% lower than in 2017. Earnings per share for the second quarter of 2018 is €0.40, 18.4% down year-on-year. Whereas for the first half of the year it stands at €0.86, a decrease of 11.2%. The operating costs for the second quarter and first half totalled 3.5% and 1.8%, respectively, excluding the effect of certain costs associated to staff renewal measures. Excluding the effect of certain costs associated to staff renewal measures, the operating costs for the second quarter and first half increase 3.5% and 1.8%, respectively, whilst EBITDA decreases 15.7% and 10.2% in the quarter and semester, respectively, and net profit 15.2% and 8.9%. ## CONSOLIDATED BALANCE SHEETS AT CLOSING DATES \| \| as of 30/06/2018 (Th.Eur.) \| as of 30/06/2017 (Th.Eur.) \| Δ % \| \|--------------------------------\|----------------------------\|---------------------------\|-----\| \| NON-CURRENT ASSETS \| \| \| \| \| Goodwill \| 88,718 \| 88,718 \| 0.0%\| \| Other intangible assets \| 14,072 \| 17,451 \| -19.4%\| \| Property, plant and equipment \| 42,432 \| 42,852 \| -1.0%\| \| Non-current financial assets \| 19,870 \| 17,672 \| 12.4%\| \| Deferred tax assets \| 8,524 \| 8,111 \| 5.1% \| \| CURRENT ASSETS \| \| \| \| \| Trade and other receivables \| 15,460,280 \| 21,987,902 \| -29.7%\| \| Current financial assets \| 96,838 \| 96,144 \| 0.7% \| \| Other current financial assets- non Group \| 7,815 \| 47,209 \| -83.4%\| \| Other current assets \| 15,044,240 \| 21,567,233 \| -30.2%\| \| Cash and cash equivalents \| 3,234 \| 3,250 \| -0.5%\| \| TOTAL ASSETS \| 15,633,896 \| 22,162,706 \| -29.5%\| \| EQUITY ATTRIBUTABLE TO OWNERS OF THE PARENT \| \| \| \| \| Capital \| 435,712 \| 439,492 \| -0.9%\| \| Reserves \| 250,847 \| 250,847 \| 0.0% \| \| Parent company shares or equity holdings \| 118,827 \| 112,002 \| 6.1% \| \| Profit/(loss) for the period \| (11,801) \| (11,961) \| -1.3%\| \| Other equity instruments \| 71,321 \| 80,296 \| -11.2%\| \| Valuation adjustments \| 4,205 \| 5,501 \| -23.6%\| \| Non-controlling interests \| 2,313 \| 2,807 \| -17.6%\| \| TOTAL EQUITY AND LIABILITIES \| 15,198,107 \| 21,722,957 \| -30.0%\| The group includes as a balance of assets and liabilities the amounts related to: - Guarantees received from participants - Financial instruments in which it acts as central counterparty - Receivables balance (payables) on settlement of daily operations with options and futures - Receivables balance (payables) of cash withheld for settlement These amounts increase, for the same amount, the balances of the accounts "Other current financial assets- non Group" in the assets of the balance sheet and "Other current financial liabilities - non Group" in the liabilities of the balance sheet. This presentation criterion has no impact on income or equity. ## CONSOLIDATED CASH FLOW STATEMENT \| \| 1H18 \| 1H17 \| Δ \| \|--------------------------------\|----------\|----------\|----------\| \| \| (Th.Eur.)\| (Th.Eur.)\| % \| \| Profit before tax \| 94,420 \| 106,633 \| -11.5% \| \| Adjustments to profit \| 4,152 \| 4,334 \| -4.2% \| \| Changes in working capital \| 5,912 \| 11,387 \| -48.1% \| \| Trade and other receivables \| (16,565) \| (14,363) \| 15.3% \| \| Current financial assets \| (1,240) \| (1,593) \| -22.2% \| \| excluding non-Group \| \| \| \| \| Trade and other payables \| 12,732 \| 14,391 \| -11.5% \| \| Other current liabilities \| 11,682 \| 11,546 \| 1.2% \| \| Other non-current assets and \| (697) \| 1,406 \| -149.6% \| \| liabilities \| \| \| \| \| Other amounts received/ (paid) \| (23,208) \| (26,386) \| -12.0% \| \| in operating activities \| \| \| \| \| Net cash flows from operating \| 81,276 \| 95,968 \| -15.3% \| \| activities \| \| \| \| \| Net cash flows from investing \| 6,736 \| 9,758 \| -31.0% \| \| activities \| \| \| \| \| Net cash flows from financing \| (55,598) \| (56,089) \| -0.9% \| \| activities \| \| \| \| \| Net increase/(decrease) in cash\| 32,414 \| 49,637 \| -34.7% \| \| and cash equivalents \| \| \| \| \| Total cash and cash equivalents\| 275,739 \| 224,429 \| 22.9% \| \| at beginning of year \| \| \| \| \| Total cash and cash equivalents\| 308,153 \| 274,066 \| 12.4% \| \| at period end \| \| \| \| Note: For the purpose of clear presentation of changes in working capital, cash flows from Other current financial assets and liabilities - non Group are included in the consolidated cash flow statement by its net amount. --- ## CHANGE IN SHAREHOLDERS’ EQUITY \| \| as of 30/06/2018 \| as of 30/06/2017 \| \|-----------------------------------------------------------------\|------------------\|------------------\| \| Equity attributable to owners of the parent Opening balance \| 430,147 \| 423,792 \| \| Distribution of dividends \| (64,819) \| (66,473) \| \| Transactions with parent company shares and equity holdings \| (661) \| 0 \| \| Acquisitions / (disposals) of non-controlling interests \| (175) \| 0 \| \| Equity-settled share-based payments \| (1,610) \| (86) \| \| Total recognised income and expense \| 72,830 \| 82,259 \| \| Profit for the year \| 71,321 \| 80,296 \| \| Measurement of financial instruments \| 160 \| 1,937 \| \| Actuarial gains and losses and other adjustments \| 1,834 \| 688 \| \| Translation differences \| 14 \| (6) \| \| Tax effect \| (499) \| (656) \| \| Equity attributable to owners of the parent Closing balance \| 435,712 \| 439,492 \| Highlights - The combined trading in equities during the second quarter of 2018 amounted to €192.1 billion, 6.3% lower than that registered for the same period in 2017, but 30.2% up on that for the previous quarter. The accumulated total trading for the first half of 2018 stands at €339.7 billion, 7.0% less than the first half of 2017. A total of €1.2 billion during the second quarter of 2018 and €5.8 billion during the first half of the year in new investment flows and financing in shares have been channelled to the market in the form of IPO, other new listings and capital increases of already listed companies. The largest increase in this activity was in the small and medium-sized listed companies with the value of these capital increases rising from €106.7 million in the first half of 2017 to €934.6 million in the first six months of 2018. REITs continue to play a major role during the year. As of 30 June there were 58 REITs listed and their total market value has doubled during last year to stand at €22.4 billion. Already in July, seven new REITs have joined the BME Alternative Securities Market (MAB). \| Bolsas y Mercados Españoles (Quarterly Overview) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|--------------------------------------------------\|--------\|--------\|---------\|--------\|--------\|---------\| \| Equity \| \| \| \| \| \| \| \| Trading \| \| \| \| \| \| \| \| Turnover (€ Mill.) \| 192,148\| 205,120\| -6.3% \| 339,695\| 365,133\| -7.0% \| \| Number of trades \| 10,850,035\| 13,805,046\| -21.4% \| 23,355,504\| 26,670,897\| -12.4% \| \| Number of shares (Million) \| 39,563 \| 70,430 \| -43.8% \| 80,774 \| 122,653\| -34.1% \| \| Average amount per trade (Euros) \| 17,709 \| 14,858 \| 19.2% \| 14,545 \| 13,690 \| 6.2% \| \| Listing (€ Mill.) \| \| \| \| \| \| \| \| Market Capitalisation \| \| \| \| 1,103,042\| 1,125,136\| -2.0% \| \| Investment Flows channelled through Exchange \| 1,235 \| 11,310 \| -89.1% \| 5,751 \| 20,758 \| -72.3% \| \| Fixed Income \| \| \| \| \| \| \| \| Trading \| \| \| \| \| \| \| \| Turnover (€ Mill.) \| 53,325 \| 61,165 \| -12.8% \| 106,833\| 143,263\| -25.4% \| \| Number of Operations \| 11,684 \| 22,134 \| -47.2% \| 27,632 \| 45,452 \| -39.2% \| \| Listing \| \| \| \| \| \| \| \| AIAF volume admitted (nominal € Mill.) \| 60,561 \| 83,137 \| -27.2% \| 165,819\| 195,559\| -15.2% \| \| Public Debt \| 49,386 \| 57,294 \| -13.8% \| 121,995\| 122,761\| -0.6% \| \| Corporate Fixed Income \| 9,853 \| 24,669 \| -60.1% \| 40,802 \| 70,741 \| -42.3% \| \| MARF \| 1,322 \| 1,174 \| 12.6% \| 3,022 \| 2,057 \| 46.9% \| \| Derivatives \| \| \| \| \| \| \| \| Futures (number of contracts) \| \| \| \| \| \| \| \| Index Futures \| 2,005,225\| 1,901,762\| 5.4% \| 4,153,212\| 3,806,285\| 9.1% \| \| Stock Futures \| 3,281,405\| 3,690,533\| -11.1% \| 6,288,725\| 6,594,702\| -4.6% \| \| Options (number of contracts) \| \| \| \| \| \| \| \| Index Options \| 760,095\| 861,912\| -11.8% \| 1,847,815\| 1,657,207\| 11.5% \| \| Stock Options \| 5,143,339\| 5,045,726\| 1.9% \| 9,940,282\| 10,309,071\| -3.6% \| \| Open interest (number of contracts) \| \| \| \| 9,693,982\| 9,682,357\| 0.1% \| \| Clearing \| \| \| \| \| \| \| \| Financial Derivatives (number of contracts) \| 11,190,064\| 11,499,933\| -2.7% \| 22,230,034\| 22,367,265\| -0.6% \| \| Energy Derivatives (Volume MWh) \| 3,277,141\| 4,581,819\| -28.5% \| 5,922,131\| 9,386,221\| -36.9% \| \| Repo (Turnover Mill. Eur.) \| 41,492 \| 57,434 \| -27.8% \| 76,981 \| 164,935\| -53.3% \| \| Interest Rates Derivatives (Notional value reg. € Mill.) \| 45 \| 168 \| -73.2% \| 60 \| 423 \| -85.8% \| \| Equity (Transactions cleared) \| 21,699,268\| 27,603,230\| -21.4% \| 46,709,570\| 53,334,268\| -12.4% \| \| Settlement & Registration \| \| \| \| \| \| \| \| Operations settled \| 2,321,099\| 2,925,580\| -20.7% \| 4,651,332\| 5,823,489\| -20.1% \| \| Turnover settled (€ Billion daily avg.) \| \| \| \| 81.2 \| 174.5 \| -53.5% \| \| Volume registered - end of period- (€ Billion) \| \| \| \| 2,335.9\| 2,359.4\| -1.0% \| The capitalisation of companies admitted to listing on markets managed by BME at 31 March 2018 reached €1.10 trillion, 2.0% lower year-on-year. In order to lend support to the liquidity of the securities of smaller companies that do not have analysis cover, BME announced the partnership with the Spanish Institute of Financial Analysts (IEAF) to start up an independent analysis service for securities without cover. - The close of the second quarter saw the completion of the inclusion into the market managed by BME Renta Fija of all German, French, Dutch, Belgian, Italian, Austrian, Portuguese and Irish debt. After these inclusions, and combined with the admitted Spanish public debt and private fixed income, the outstanding balance incorporated to the electronic SEND platform that can be traded, exceeds €6.7 trillion. 48 companies of varying sizes, many of which do not have a presence on the capital markets, have sought financing from the MARF Alternative Fixed Income Market since its creation in 2013. The first half of 2018 ended with an issued volume of €3.0 billion, 46.9% up year-on-year, and an outstanding balance of €2.8 billion, 22.0% more than 12 months ago. - With implied volatility remaining at low levels, IBEX 35® future products had an outstanding performance with a growth of 8.0% in the second quarter of 2018 and 10.0% in the first half of the year, compared to the same period of the previous year. Other derivative products whose underlying asset is the IBEX 35® have also grown during the first half of the year: options grew by 11.5%, Mini futures by 5.3% and Impacto Dividendo Futures by 30.4%. The open position of index-linked contracts increased by 48.7% at the close of the second quarter, with more than 1.1 million open contracts. - The Settlement and Registration unit for securities traded made ground with the adaptation of the business model to the new regulatory framework. This results in a greater weight of registration activities, the volume of which grew by 10.2% in the second quarter of 2018, as well as the development of a range of cross-border settlement and custody services for participants. The activity of the BME Clearing unit has expanded since June with the inclusion of natural gas contracts in the energy segment, in its day-ahead formats and the entire future maturities curve of this product. The beginning of July saw the announcement of the agreement between BME, owner of BME Clearing, and Nex Markets, the operator of BrokerTec, the main trading platform for Spanish debt repos, to allow BME Clearing to clear all trades executed via the platform, in which the Spanish banks would have a prominent role. - REGIS-TR®, the European trade repository for derivatives managed jointly by BME and Deutsche Börse, closed the second quarter of the year with a growth of 5.3% in the number of open accounts and 16.6% in the number of registered contracts. - The BME General Shareholders’ Meeting was held on 26 April 2018. All the proposals presented were approved by the vast majority, among these being, the approval of the financial statements, separate and consolidated, corresponding to the financial year 2017 and the distribution of the profit for the financial year, which resulted in the distribution of a final dividend for the amount of €0.78 gross per share, which was paid on 11 May. The General Shareholders’ Meeting also approved the re-election of Ignacio Garralda Ruiz de Velasco as Director and the appointments of Ana Isabel Fernández Álvarez, David Jiménez-Blanco Carrillo de Albornoz, Isabel Martín Castellá and Juan Carlos Ureta Domingo, as independent Directors. With the appointment of the aforementioned Directors, in line with the best practices in corporate governance, the Board of Directors is comprised of six independent Directors, representing more than 50% of its members. The Board of Directors during its meeting convened on 28 May 2018, appointed David Jiménez-Blanco Carrillo de Albornoz as Lead Director. On 26 July 2018, the Spanish National Securities Market Commission (CNMV) was notified of the resolution adopted as of that same date by the Board of Directors to distribute the first interim dividend out of the 2018 profit for the amount of €0.40 per share, gross, which will be paid on 14 September 2018 to the shareholders entered in the Shareholders Register on 13 September 2018 (record date). The ex-dividend trading date (ex-date) will be 12 September 2018. On 4 October 2018 BME plans to hold the first Investors Day of the Company at the Palacio de la Bolsa (Stock Exchange Palace) in Madrid. The event can be followed by any interested person via the webcast available on the corporate web page, www.bolsasymercados.es. Key performance indicators The monitoring and comparison with other companies in the sector in which the BME operates is performed through three indicators. The efficiency ratio measures the operating costs over total net revenue, the ROE measures the return on equity and the ratio of revenues not linked to volumes (RNLV) over operating costs. The ratio of revenues not linked to volumes over the cost base presented a value of 125% at the close of the first half of the year, reflecting the degree to which revenues not directly linked to cyclical contexts of the trading volumes of the financial instruments markets in which the company operates are capable of covering the costs incurred for their generation. The efficiency ratio, which is more favourable when the value of the indicator is lower, in 2018 presented a value of 39.2% for the second quarter and 37.5% for the year so far, compared to the values in 2017 of 32.2% and 33.1% respectively. The unfavourable performance of the indicator is the result of the higher costs incurred at the same time as a difference in the generation of revenue compared to the period of greater activity in volumes of 2017. The values of the indicator remain steady at the close of the first half of the year, however, the reference levels for the market and the sector with a difference in margins of 3.6 points compared to the average of the comparable companies operating globally in the same sector as BME. The return on equity (ROE) has ended the first half of the year at 33.1%, down 4.3 basis points on 2017. In terms of return, the difference compared to the average of comparable companies in its sector is 13.9 percentage points. \| Bolsas y Mercados Españoles Group (KPIs) \| 2Q18 \| 2Q17 \| 1H18 \| 1H17 \| \|-----------------------------------------\|------\|------\|------\|------\| \| RNLV/Cost base ratio \| \| 125% \| 127% \| \| \| Efficiency ratio (%) \| 39.2%\| 32.2%\| 37.5%\| 33.1%\| \| ROE (%) \| 29.7%\| 36.5%\| 33.1%\| 37.4%\| BME efficiency ratio (Quarterly series) Consolidated efficiency ratio evolution Note: Quarterly comparative data calculated using net revenues Staff \| Bolsas y Mercados Españoles (Staff) \| 2Q18 \| 2Q17 \| 1H18 \| 1H17 \| \|-------------------------------------\|------\|------\|------\|------\| \| Average number of staff \| 741 \| 745 \| 742 \| 745 \| \| Employees as at balance sheet date \| 744 \| 744 \| 744 \| 744 \| The performance of the BME share for the first half of 2018 has improved by 6.5%, a better performance than that of the market average, measured using the IBEX 35® underlying index, which presented a fall of 4.2%. The total return for the first half of the year, including the amount and reinvestment of the dividends, totalled 9.4%. The second quarter of 2018 saw an upward trend in the BME stock quotes. The share price hit a low of €27.22 at the start of the period and a maximum of €30.20 on 18 June to close the quarter at €28.28, 2.8% up on the close of the trading price for the first quarter. The performance of the market, measured using the IBEX 35® index, ended the quarter up 0.2% compared to the close of the previous quarter. Both the average daily cash volume and the number of securities traded in BME shares have fallen over the quarter and also for the six-month period. The average daily cash volume traded fell by 16.9% over the quarter and 15.4% for the six months up until June, whereas the fall in the number of securities traded was 4.5% and 9.8%, respectively. The number of trades for the quarter shows a drop of 8.2% and for the six-month period fall by 10.2%. ### BME: Share performance #### Quarterly BME's turnover and share performance evolution \| Date \| Volume (Mill. Euros) \| Closing Price \| \|------------\|----------------------\|---------------\| \| 03/04 \| 1.2 \| 27.0 \| \| 09/04 \| 1.3 \| 27.2 \| \| 13/04 \| 1.2 \| 27.0 \| \| 19/04 \| 1.2 \| 27.0 \| \| 25/04 \| 1.2 \| 27.0 \| \| 01/05 \| 1.2 \| 27.0 \| \| 07/05 \| 1.2 \| 27.0 \| \| 13/05 \| 1.2 \| 27.0 \| \| 19/05 \| 1.2 \| 27.0 \| \| 25/05 \| 1.2 \| 27.0 \| \| 01/06 \| 1.2 \| 27.0 \| \| 07/06 \| 1.2 \| 27.0 \| \| 13/06 \| 1.2 \| 27.0 \| \| 19/06 \| 1.2 \| 27.0 \| \| 25/06 \| 1.2 \| 27.0 \| \| 01/07 \| 1.2 \| 27.0 \| \| 07/07 \| 1.2 \| 27.0 \| \| 13/07 \| 1.2 \| 27.0 \| #### BME's share performance \| \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|----------------------\|------\|------\|-------\|------\|------\|-------\| \| Higher quote \| 30.20\| 33.60\| -10.1%\| 30.20\| 33.60\| -10.1%\| \| Lower quote \| 27.22\| 31.00\| -12.2%\| 26.20\| 28.00\| -6.4% \| \| Average quote \| 28.90\| 32.26\| -10.4%\| 28.19\| 30.73\| -8.3% \| \| Closing quote \| 28.28\| 31.62\| -10.6%\| \| \| \| #### BME's trading daily turnover (Mill. Euros) \| \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|----------------------\|------\|------\|-------\|------\|------\|-------\| \| Higher daily turnover\| 12.0 \| 13.8 \| -13.0%\| 12.0 \| 13.8 \| -13.0%\| \| Lower daily turnover \| 1.9 \| 1.8 \| 5.6% \| 1.5 \| 0.8 \| 87.5% \| \| Average daily turnover\| 4.9 \| 5.9 \| -16.9%\| 4.4 \| 5.2 \| -15.4%\| #### BME's shares trading (Mill. Shares) \| \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|----------------------\|------\|------\|-------\|------\|------\|-------\| \| Higher daily turnover\| 12.0 \| 13.8 \| -13.0%\| 12.0 \| 13.8 \| -13.0%\| \| Lower daily turnover \| 1.9 \| 1.8 \| 5.6% \| 1.5 \| 0.8 \| 87.5% \| \| Average daily turnover\| 4.9 \| 5.9 \| -16.9%\| 4.4 \| 5.2 \| -15.4%\| #### BME's number of trades \| \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|----------------------\|------\|------\|-------\|------\|------\|-------\| \| Higher daily turnover\| 12.0 \| 13.8 \| -13.0%\| 12.0 \| 13.8 \| -13.0%\| \| Lower daily turnover \| 1.9 \| 1.8 \| 5.6% \| 1.5 \| 0.8 \| 87.5% \| \| Average daily turnover\| 4.9 \| 5.9 \| -16.9%\| 4.4 \| 5.2 \| -15.4%\| ## Business Units Quarter Overview \| Business Units 2Q18 (Thousands of Euros) \| Equity \| Fixed Income \| Derivatives \| Clearing \| Settlement & Registration \| Market Data & VAS \| \|----------------------------------------\|--------\|--------------\|-------------\|----------\|--------------------------\|------------------\| \| Net Revenues \| 67,599 \| 3,769 \| 5,697 \| 13,752 \| 29,948 \| 32,960 \| \| Operating Costs \| (20,156)\| (2,365) \| (3,592) \| (5,036) \| (7,795) \| (11,975) \| \| EBITDA \| 47,443 \| 1,404 \| 2,105 \| 8,716 \| 22,153 \| 20,985 \| ### Key Investment Highlights Key Financial Business Units overview #### EBITDA evolution by Business Unit (1H18) ![EBITDA evolution by Business Unit](image) #### Net Revenues \| Business Units Net Revenues (Thousands of Euros) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|-------------------------------------------------\|------\|------\|-------\|------\|------\|-------\| \| Equity \| 32,098 \| 38,366 \| -16.3% \| 67,599 \| 76,087 \| -11.2% \| \| Fixed Income \| 1,685 \| 2,242 \| -24.8% \| 3,769 \| 4,556 \| -17.3% \| \| Derivatives \| 2,772 \| 2,520 \| 10.0% \| 5,697 \| 5,119 \| 11.3% \| \| Clearing \| 6,316 \| 6,825 \| -7.5% \| 13,752 \| 13,366 \| 2.9% \| \| Settlement & Registration \| 14,877 \| 16,955 \| -12.3% \| 29,948 \| 32,845 \| -8.8% \| \| Market Data & VAS \| 17,099 \| 15,574 \| 9.8% \| 32,960 \| 31,298 \| 5.3% \| \| Total \| 74,847 \| 82,482 \| -9.3% \| 153,725\| 163,271\| -5.8% \| \| Corporate Unit \| 4,607 \| 4,882 \| -5.6% \| 9,143 \| 10,460 \| -12.6% \| \| Consolidation adjustments \| (4,556)\| (4,553)\| 0.1% \| (8,956)\| (9,430)\| -5.0% \| \| Consolidated \| 74,898 \| 82,811 \| -9.6% \| 153,912\| 164,301\| -6.3% \| #### EBITDA \| Business Units EBITDA (Thousands of Euros) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|-------------------------------------------\|------\|------\|-------\|------\|------\|-------\| \| Equity \| 22,035 \| 28,127 \| -21.7% \| 47,443 \| 55,513 \| -14.5% \| \| Fixed Income \| 521 \| 1,127 \| -53.8% \| 1,404 \| 2,267 \| -38.1% \| \| Derivatives \| 954 \| 977 \| -2.4% \| 2,105 \| 2,011 \| 4.7% \| \| Clearing \| 3,804 \| 4,471 \| -14.9% \| 8,716 \| 8,689 \| 0.3% \| \| Settlement & Registration \| 10,817 \| 13,138 \| -17.7% \| 22,153 \| 25,168 \| -12.0% \| \| Market Data & VAS \| 10,910 \| 9,965 \| 9.5% \| 20,985 \| 20,086 \| 4.5% \| \| Total \| 49,041 \| 57,805 \| -15.2% \| 102,806 \| 113,734 \| -9.6% \| \| Corporate unit \| (3,491)\| (1,665)\| 109.7% \| (6,590)\| (3,830)\| 72.1% \| \| Consolidation adjustments \| 0 \| 0 \| 0.0% \| 0 \| 0 \| 0.0% \| \| Consolidated \| 45,550 \| 56,140 \| -18.9% \| 96,216 \| 109,904\| -12.5% \| Note: The information presented in the first quarter of 2017 of the Derivatives, Clearing and Market Data & VAS business units as well as the amount of eliminations correspond to proforma data in which, for comparability purposes, have been collected as if had been produced linearly from January 1, 2017, the economic effects resulting from the agreements between the different infrastructures of the Group as a result of their adaptation to the MiFID II regulations, which were fully booked in the fourth quarter of 2017. Therefore, the information corresponding to the first half of 2017 differs from public information presented in the year 2017. Equity The net revenue obtained by the Equities business unit in the first half of 2018 amounted to €67,599 thousand, 11.2% down on that obtained the previous year. Revenue from listing activities fell by 7.0% to stand at €11,445 thousand, a change relatively better than that for trading which totalled €56,154 thousand with a fall of 12.0% for the first half of the year. Of the unit’s total net revenue for the first half of the year, 16.9% came from the contribution of listing activities and 83.1% from trading operations. The EBITDA of €47,443 thousand for the first half of the year was 14.5% lower than 2017. The fall of 2.0% in operating costs for the first half of the year totalling €20,156 thousand has served to partially offset the fall in revenue. The second quarter of 2018 closed with a revenue of €32,098 thousand, 16.3% lower than 2017, with falls in both listing and trading activities. Costs fell 1.7% giving rise to an EBITDA of €22,035 thousand, 21.7% lower than the second quarter of 2017. Trading in equities for the second quarter of 2018 has shown better results in terms of turnover than in trades. In turnover, trading reached €192.1 billion, 6.3% lower than 2017, but improving on the previous quarter by 30.2%, although trades fell 21.4% year-on-year. The cumulative figure up to June totalled €339.7 billion in turnover, 7.0% less than the first half of 2017, with trades showing a cumulative decrease of 12.4%. In March 2018 started a new equity tariff scheme for those stocks that belong to companies above the 10 billion free float market capitalizations, consisting of a rate of 0.3 basis points over the value traded. Turnover during the second quarter by these stocks reached 59% of the total equity turnover during the quarter. On May BME announced a collaboration and financing agreement with the Spanish Institute of Financial Analysts (IEAF) to start-up an independent analysis service for securities without coverage, with the aim of encouraging investor access and an adequate valuation of securities, as well as being an instrument to lend support to the liquidity of these types of companies. \| Bolsas y Mercados Españoles (Equity Business Unit Income) (Th.Eur.) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|---------------------------------------------------------------------\|------\|------\|-------\|-------\|-------\|-------\| \| Net Revenues \| \| \| \| \| \| \| \| Per transaction and regarding characteristics of the orders \| \| \| \| \| \| \| \| Listing and other services \| \| \| \| \| \| \| \| Operating Costs \| \| \| \| \| \| \| \| EBITDA \| \| \| \| \| \| \| \| Bolsas y Mercados Españoles (Equity Business Unit Activity Overview) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|---------------------------------------------------------------------\|------\|------\|-------\|-------\|-------\|-------\| \| TRADING (Mill. Euros) \| \| \| \| \| \| \| \| Equity \| \| \| \| \| \| \| \| Turnover (Mill. Euros) \| \| \| \| \| \| \| \| Number of trades \| \| \| \| \| \| \| \| Average amount per trade (Euros) \| \| \| \| \| \| \| \| Exchange Traded Funds (ETFs) \| \| \| \| \| \| \| \| Turnover (Mill. Euros) \| \| \| \| \| \| \| \| Number of trades \| \| \| \| \| \| \| \| Warrants \| \| \| \| \| \| \| \| Turnover (Mill. Euros) \| \| \| \| \| \| \| \| Number of Trades \| \| \| \| \| \| \| \| Number of shares (Mill. Shares) \| \| \| \| \| \| \| \| LISTING \| \| \| \| \| \| \| \| Number of Companies listed \| \| \| \| \| \| \| \| Market Capitalisation listed (Mill.Euros) \| \| \| \| \| \| \| \| Investment Flows channeled through Exchange (Mill. Euros) \| \| \| \| \| \| \| \| New listed companies \| \| \| \| \| \| \| \| Already listed companies \| \| \| \| \| \| \| With regard to warrants and ETFs there was a fall in trading compared to the previous year. For the first half of the year the cash volume fell by 10.3% for warrants and 15.4% for ETFs. The assets of the ETFs admitted to trading at 30 June totalled €1.4 billion, whereas the number of outstanding warrants at the close of the first half of the year showed an increase of 14% from the beginning of the year. The capitalisation of the companies admitted to trading in the markets managed by BME at 30 June 2018 totalled €1.1 trillion, 2.0% less than in June 2017. Over the last twelve months the IBEX 35® has fallen 7.9%. This fall during this period is in stark contrast to the increase of 31.2% experienced by the share prices of the group of 30 companies making up the IBEX® Small Cap. The growth of the market base originating from investment flows channelled through the stock exchange has been lower than in previous quarters. €1.2 billion have been booked during the second quarter and a total of €5.8 billion for the first six months of the year, including new admissions and the admissions of already listed companies. The largest increase in activity in this section was in the small and medium-sized listed companies with the value of these increases rising from €106.7 million in the first half of 2017 to €934.6 million in the first six months of 2018. The payment of dividends for all the listed companies totalled €14.8 billion for the quarter, 9.7% more than in the same period of the previous year. The total for the first half of the year stood at €18.3 billion. Of these payments, scrip dividends required capital increases of €1.86 billion. No new secondary public offerings were registered during the second quarter of 2018, therefore, so far only Metrovacesa, in February, has an entry in this section this year, after some issuers decided to postpone their decision in this regard. The MAB has registered six additions during the second quarter making a total of ten new companies for the first half of the year. Of which seven are REITs, to which another seven will be added in July, among those already executed and announced. The REITs sector has shown greater activity in terms of additions to the market. On 30 June there were 58 listed companies and their total market value has doubled during last year to €22.4 billion. These companies have also distributed €368.2 million in dividends during the first half of the year, of which €217.9 million correspond to those listed on the MAB. During this period, the REITs listed on the MAB have also increased their capital by the amount of €54.1 million, 45% more than during the same months in 2017. Fixed Income The extensive structural and operational changes due to the entry into force at the beginning of 2018 of the new European MiFID II regulations, have resulted in stricter market rules and transparency for fixed income trades, similar to those for the equities market. Within this demanding scenario, BME aims to cover the widest possible combination of services to facilitate the intermediaries and their clients in the transactions of these assets. During the first six months of the year, the BME Renta Fija markets and platforms included a variety of new formats, such as the option to trade according to the signs of interest for illiquid instruments, as well as increasing the number of issues available for trading. During the first quarter more than 80 main references for government debt from European countries such as Germany, Austria and the Netherlands were included in the market and made available to intermediaries and end investors; the inclusion of all German, French, Dutch, Belgian, Italian, Austrian, Portuguese and Irish debt had been completed by 30 June. After these inclusions, and combined with the admitted Spanish public debt and private fixed income, the outstanding balance incorporated to the electronic SEND platform that can be traded exceeds €6.7 trillion. Of which, the outstanding balance for national public debt at the close of the first half of the year totalled €1.04 trillion whereas private debt stood at €482.3 billion. The regulatory changes have had a greater impact on trading. Trades during the first second and second quarter of 2018 are not comparable under the MiFID II Directive, only trades performed using electronic trading systems can be reported. Taking into account the comparable trading performed using the electronic platforms of BME Renta Fija, trading reached €53.3 billion during the second quarter of 2018, 62.2% higher than the trading reported in the same period in 2017. The accumulated volume during the first six months of the year amounted to €106.8 billion (+29.0%) mostly centred on trading in government debt. The amount of national debt admitted to trading in BME Renta Fija during the second quarter of 2018 reached €60.6 billion, 27.2% down year-on-year. Admissions to trading national debt, both private and public, for the first half of the year amounted to €165.8 billion, representing a fall of 15.2%. The MARF Alternative Fixed Income Market closed the first half of 2018 with an issue volume of €3.0 billion, 46.9% up on the same period of the previous year, and with an outstanding balance of €2.8 billion, 22% up year-on-year. Since its launch in 2013, a total of 48 companies have sought financing through issues on this market. The revenue from the Fixed Income business unit corresponding to the second quarter of 2018 totalled €1,685 thousand, 24.8% lower than that obtained in the same period of 2017. The cumulative for the first half of the year is a fall of 17.3%. \| Net Revenues \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|--------------\|------\|------\|-----\|------\|------\|-----\| \| Trading \| 1,056\| 1,284\| -17.8% \| 2,231 \| 2,748 \| -18.8% \| \| Listing \| 629 \| 958 \| -34.3% \| 1,538 \| 1,808 \| -14.9% \| \| Operating Costs \| (1,164) \| (1,115) \| 4.4% \| (2,365) \| (2,289) \| 3.3% \| \| EBITDA \| 521 \| 1,127\| -53.8% \| 1,404 \| 2,267 \| -38.1% \| \| TRADING (Mill. Euros) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|-----------------------\|------\|------\|-----\|------\|------\|-----\| \| Platform \| 53,325 \| 61,165 \| -12.8% \| 106,833 \| 143,263 \| -25.4% \| \| Public Debt \| 53,220 \| 32,737 \| 62.6% \| 106,552 \| 82,495 \| 29.2% \| \| Private Fixed Income \| 105 \| 149 \| -29.5% \| 281 \| 302 \| -7.0% \| \| Bilateral \| 0 \| 28,279 \| -100.0% \| 0 \| 60,466 \| -100.0% \| \| Total Operations \| 11,684 \| 11,866 \| -1.5% \| 27,632 \| 25,894 \| 6.7% \| \| Platform \| 0 \| 10,268 \| -100.0% \| 0 \| 19,558 \| -100.0% \| \| Bilateral \| 60,561 \| 83,137 \| -27.2% \| 165,819 \| 195,559 \| -15.2% \| \| Volume admitted (nominal) \| 49,386 \| 57,294 \| -13.8% \| 121,995 \| 122,761 \| -0.6% \| \| Public Debt \| 9,853 \| 24,669 \| -60.1% \| 40,802 \| 70,741 \| -42.3% \| \| Private Fixed Income \| 1,322 \| 1,174 \| 12.6% \| 3,022 \| 2,057 \| 46.9% \| Note: During the first half 2018 have been admitted to trading foreign Governments Bonds for the amount of €5.3 billion, which have not been included in the figures corresponding to Public Debt. Growth in IBEX 35® products has fuelled the revenue of the BME derivatives unit by 10.0% in the second quarter of 2018 compared to the same period year-on-year, totalling €2,772 thousand. The cumulative total for the first half of the year has recorded a growth of 11.3%. Costs during the second quarter amounted to €1,818 million (+17.8% year-on-year), whereas the cumulative total for the first half of the year stood at €3,592 thousand (+15.6%). The cumulative EBITDA for the first six months of the year rose 4.7% to €2.105 thousand. With implied volatility remaining at low levels (14.9%, the same as the previous year), the product with the largest margin of the unit, IBEX 35® futures, continue to perform well with a growth of 8.0% in the second quarter of 2018 and 10.0% in the first half of the year, compared to the same period of the previous year. Other derivative products whose underlying asset is the IBEX 35® have also performed well during the first six months in terms of volume: options grew by 11.5%, Mini futures by 5.3% and Impacto Dividendo Futures by 30.4%. The open interest at the end of June in index-linked derivatives had an outstanding performance, with growth compared to the previous year of 48.7%. The main individual equity derivatives have had an uneven performance, with the best performing products being those most recently launched. The individual equity futures have fallen year-on-year by 13.0% during the second quarter and by 6.9% for the first half of the year; equity options grew 1.9% during the quarter and fell by 3.6% for the first six months; and equity dividend futures, a younger product, recorded an increase of 74.7% during the second quarter and 98.0% for the first six months. Overall, the total number of financial derivative contracts traded during the first half of 2018 on the regulated market managed by BME amounted to 22.2 million, in line with the same period in 2017. The second quarter registered a decrease of 2.7% year-on-year. In the trading of electrical energy derivative products, the total volume of MWh fell by 28.5% during the second quarter and by 36.9% for this first six months of the year, in line with what happened in the national over-the-counter (OTC) spot market for electrical energy. Growth compared to the previous year has only been recorded in contracts with a monthly maturity, 43% for the second quarter and 65.4% for the first half of the year. The number of trades has risen in quarterly terms as well as for the first half of the year with increases of 12.8% and 11.3% respectively. \| Bolsas y Mercados Españoles (Derivatives Business Unit Income) (Th.Eur.) \| 2Q18 \| 2Q17* \| Δ \| 1H18 \| 1H17* \| Δ \| \|------------------------------------------------------------------------\|--------\|--------\|--------\|--------\|--------\|--------\| \| Net Revenues \| 2,772 \| 2,520 \| 10.0% \| 5,697 \| 5,119 \| 11.3% \| \| Operating Costs \| (1,818)\| (1,543)\| 17.8% \| (3,592)\| (3,108)\| 15.6% \| \| EBITDA \| 954 \| 977 \| -2.4% \| 2,105 \| 2,011 \| 4.7% \| () Correspond to proforma data as indicated on page 12. \| Bolsas y Mercados Españoles (Derivatives Business Unit Activity Overview) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|--------------------------------------------------------------------------\|--------\|--------\|--------\|--------\|--------\|--------\| \| Financial Derivatives (number of contracts) \| \| \| \| \| \| \| \| Index Derivatives (number of contracts) \| \| \| \| \| \| \| \| IBEX 35® Index Futures \| 1,595,835\| 1,477,189\| 8.0% \| 3,299,886\| 3,000,069\| 10.0% \| \| Mini IBEX 35® Index Futures \| 395,437\| 409,501\| -3.4% \| 822,926\| 781,509\| 5.3% \| \| IBEX 35® Div Impact Futures \| 13,247\| 13,332\| -0.6% \| 28,835\| 22,112\| 30.4% \| \| IBEX® Sectorial Futures \| 706 \| 1,740 \| -59.4% \| 1,565 \| 2,595 \| -39.7% \| \| IBEX 35® Index Options \| 760,095\| 861,912\| -11.8% \| 1,847,815\| 1,657,207\| 11.5% \| \| Open Interest \| \| \| \| 1,108,126\| 745,353\| 48.7% \| \| Total notional value (Mill.Euros) \| 168,802\| 170,998\| -1.3% \| 353,377\| 328,923\| 7.4% \| \| Equity Derivatives (number of contracts) \| \| \| \| \| \| \| \| Equity Futures \| 3,138,663\| 3,608,843\| -13.0% \| 6,003,282\| 6,450,512\| -6.9% \| \| Equity dividend Futures \| 142,742\| 81,690\| 74.7% \| 285,443\| 144,190\| 98.0% \| \| Equity Options \| 5,143,339\| 5,045,726\| 1.9% \| 9,940,282\| 10,309,071\| -3.6% \| \| Open Interest \| \| \| \| 8,585,856\| 8,937,004\| -3.9% \| \| Total notional value (Mill.Euros) \| 5,662 \| 6,558 \| -13.7% \| 10,890 \| 12,443 \| -12.5% \| \| Energy Derivatives (MWh) \| 3,277,141\| 4,581,819\| -28.5% \| 5,922,131\| 9,386,221\| -36.9% \| \| Number of Trades \| 957,296\| 848,472\| 12.8% \| 1,895,051\| 1,702,748\| 11.3% \| Clearing The activity of the BME Clearing unit has expanded since June with the inclusion of natural gas contracts in the energy segment, in its day-ahead formats and the entire future maturities curve of this product: weekly, monthly, quarterly, seasonal or annual. Accordingly, the current activity includes the spot trades in equities traded on the systems managed by BME, the clearing and settlement of all financial and electricity derivatives traded on the MEFF, the natural gas derivatives recently accepted for clearing, the repo transactions in fixed income securities (Spanish public debt repos) and interest rate derivatives traded outside the organised markets (OTC). The Clearing transactions taken as a whole have generated a revenue of €13,752 thousand during the first half of 2018, with an increase of 2.9% year-on-year. The EBITDA of the unit grew 0.3% to stand at €8,716 thousand for the first six months. In the equities segment, 46.7 million trades were processed during the first half of 2018, down 12.4%, with a cash volume of €645.3 billion. The positive performance in index-linked derivatives has been the driving force behind the clearing figures. During the first half of 2018, 6 million IBEX 35® or IBEX 35 Impacto Dividendo linked financial derivative contracts were cleared, 9.8% more than those cleared during the same period of 2017. 16.2 million equity derivatives or stock dividends were also cleared, representing a fall of 4.0% compared to contracts for the same period of the previous year. In line with the low level of activity of electricity spot market, the volume of cleared electricity derivatives for the first quarter of 2018 was 5.9 TWh, 36.9% less than the same period of the previous year and showing an open position at the end of the quarter of 5.8 TWh, a 41.9% decrease year-on-year. A total of 1,072 transactions with fixed-income securities (repos) were cleared in the first half of 2018, down 54.1% year-on-year, for a value of €77 billion, a fall of 53.3%. Trades in interest rate derivatives in the first half of 2018 had a notional value of €60 million, with the open interest at the end of the quarter of €500 million. The beginning of July saw the announcement of the agreement between BME, owner of BME Clearing, and Nex Markets, operator of BrokerTec, the main trading platform for Spanish debt repos, to permit BME Clearing to clear all trades executed via the platform, in which the Spanish banks have a prominent role. \| Bolsas y Mercados Españoles (Clearing Business Unit Income) (Th.Eur.) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17* \| Δ \| \|-----------------------------------------------------------------------\|------\|-------\|-----\|------\|-------\|-----\| \| Net Revenues \| 6,316\| 6,825 \| -7.5%\| 13,752\| 13,366\| 2.9%\| \| Operating Costs \| (2,512)\| (2,354)\| 6.7%\| (5,036)\| (4,677)\| 7.7%\| \| EBITDA \| 3,804\| 4,471 \| -14.9%\| 8,716\| 8,689 \| 0.3%\| () Correspond to proforma data as indicated on page 12. \| Bolsas y Mercados Españoles (Clearing Business Unit Activity Overview) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|------------------------------------------------------------------------\|------\|------\|-----\|------\|------\|-----\| \| Financial Derivatives \| \| \| \| \| \| \| \| Index Derivatives (number of contracts) \| 2,765,320\| 2,763,674\| 0.1%\| 6,001,027\| 5,463,492\| 9.8%\| \| Equity Derivatives (number of contracts) \| 8,424,744\| 8,736,259\| -3.6%\| 16,229,007\| 16,903,773\| -4.0%\| \| Open Interest (number of contracts) \| \| \| \| 9,693,982\| 9,682,357\| 0.1%\| \| Energy Derivatives \| \| \| \| \| \| \| \| Volume (MWh) \| 3,277,141\| 4,581,819\| -28.5%\| 5,922,131\| 9,386,221\| -36.9%\| \| Open Interest (MWh) \| \| \| \| 5,799,026\| 9,986,419\| -41.9%\| \| Repo \| \| \| \| \| \| \| \| Turnover (€ Mill.) \| 41,492\| 57,434\| -27.8%\| 76,981\| 164,935\| -53.3%\| \| Number of Operations \| 540\| 987\| -45.3%\| 1,072\| 2,333\| -54.1%\| \| Interest Rates Derivatives \| \| \| \| \| \| \| \| Notional value registered (€ Mill.) \| 45\| 168\| -73.2%\| 60\| 423\| -85.8%\| \| Open Interest (€ Mill.) \| \| \| \| 500\| 1,018\| -50.9%\| \| Equity \| \| \| \| \| \| \| \| Number of transactions cleared \| 21,699,268\| 27,603,230\| -21.4%\| 46,709,570\| 53,334,268\| -12.4%\| \| Equity turnover cleared (€ Mill.) \| 355,179\| 406,346\| -12.6%\| 645,259\| 723,296\| -10.8%\| Settlement & Registration After the connection to Target2 Securities, which was completed last September, at the close of the second quarter of 2018 the accounts reflected the adaptation of the business unit’s model to the new regulatory environment. This translates into less weight in the generation of revenue by the settlement component in favour of those deriving from registration activities. Accordingly, whereas revenue from Registration activities has increased 10.2% in the second quarter of 2018 year on year, those originating from Settlement have fallen 51.4%. Comparatively for the first half of the year this has resulted in an increase in revenue for the Registration activity of 13.1% and a fall of 47.9% for the Settlement activity. The first half of the year has ended with a fall of 20.1% in the number of settled trades and 53.5% in the daily average of cash volume settled. In the registration activity, the total volume registered at 30 June, the amount of €2.34 trillion, indicated a decrease of 1.0% compared to the previous year, as a result of an increase of 1.1% in the nominals registered in fixed income and a fall of 4.6% in the cash volumes registered in equities. The unit’s combination of businesses at the end of the first half of the year has resulted in a net revenue of €29,948 thousand, 8.8% lower than that registered a year ago. The operating costs have grown by 1.5% compared to the first half of 2017, resulting in an EBITDA for the first half of 2018 down 12.0%, amounting to €22,153 thousand. In comparison to the 2017, the weight of the revenue originating from the settlement activity has changed from 29.5% of the total to 16.9% in the first half of 2018, whereas the registration activities have moved from 49.6% of the total revenue to 61.5%. The accounts close with the contribution of revenue originating from other services totalling €6,488 thousand in the first half of the year, with a relative weight of 21.6% of the total, practically equaling that for the same period of 2017. The second quarter of 2018 saw the continued progress of the project for the development of a range of cross-border settlement and custody services for its participants. \| Bolsas y Mercados Españoles (Settlement Business Unit Income) (Th.Eur.) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|------------------------------------------------------------------------\|------\|------\|-------\|------\|------\|-------\| \| Net Revenues \| 14,877 \| 16,955 \| -12.3% \| 29,948 \| 32,845 \| -8.8% \| \| Settlement \| 2,441 \| 5,025 \| -51.4% \| 5,050 \| 9,696 \| -47.9%\| \| Registration \| 9,246 \| 8,392 \| 10.2% \| 18,410 \| 16,282 \| 13.1% \| \| Other services \| 3,190 \| 3,538 \| -9.8% \| 6,488 \| 6,867 \| -5.5% \| \| Operating Costs \| (4,060)\| (3,817)\| 6.4% \| (7,795)\| (7,677)\| 1.5% \| \| EBITDA \| 10,817 \| 13,138 \| -17.7% \| 22,153 \| 25,168 \| -12.0%\| \| Bolsas y Mercados Españoles (Settlement Business Unit Activity Overview) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17 \| Δ \| \|------------------------------------------------------------------------\|------\|------\|-------\|------\|------\|-------\| \| Operations settled \| 2,321,099 \| 2,925,580 \| -20.7% \| 4,651,332 \| 5,823,489 \| -20.1% \| \| Turnover settled (€ Billion daily avg.) \| 81.2 \| 174.5 \| -53.5% \| \| Volume registered - end of period- (€ Billion) \| 2,335.9 \| 2,359.4 \| -1.0% \| \| Nominal Registered in Fixed Income \| 1,502.7 \| 1,486.3 \| 1.1% \| \| Market Cap registered in Equity \| 833.2 \| 873.1 \| -4.6% \| Market Data & VAS The second quarter of 2018 saw the unit’s revenue grow by 9.8% compared to the same period of 2017 and the EBITDA by 9.5%. The first six months of the year closed with a revenue of €32,960 thousand, this being 5.3% up on that for the same period of 2017 which, after deducting costs, results in an EBITDA for the amount of €20,985 thousand, an increase of 4.5%. With regard to international consultancy, the implementation in Venezuela of the Fixed Income segment on the SMART platform, together with the development of a FIX for Fixed Income has been completed. In this line of the business, the works on the implementation in clients in Bolivia and Algeria continue. The value-added services provided by BME through this business unit are gaining weight within the unit’s revenue structure. The relative weight of the contribution of net revenue originating from value-added services has almost grown 4 points, increasing from 35.6% to 39.4%, to stand at €12,999 thousand at the close of June. This figure is 16.8% higher than that obtained during the first half of 2017, whereas the net revenue corresponding to the second quarter increased 23.6% compared to that of the previous year. The increase in revenue deriving from the value added services and products of this business unit are supported by the generalised growth in the majority of its business areas. The second quarter has seen the consolidation in the provision of Approved Publication Agent (APA) and Approved Information System (AIS) services provided by BME Regulatory Services. This section has also displayed growth in the contracting of the Integrated Service Against Market Abuse (SICAM) to control suspicious transactions. Turning to the Spanish financial market, it is worth highlighting the increase of clients contracting the Transaction Cost Analysis (TCA) service. An increase in demand for solutions for Portfolio Consultancy and Management Solutions has also been recorded within the area of the Spanish management entities. The penetration of BME Inntech into the markets of Mexico, Colombia, Costa Rica and Chile through several of its products continues to move forward. Together with other projects already under way, new opportunities have been confirmed to supply our investment management technological platform as part of the Digital Transformation strategy of clients. Among the functional areas covered are the broker-on-line services, Consultancy, Roboadvisor and Discretionary Portfolio Management. With regard to the information services activity, during the second quarter of 2018 there was an increase of 4.1% in the number of clients of “End-of-Day” information products compared to the same period in 2017. The number of clients with a direct connection to the BME information servers remained at record levels, although the total number of end users subscribed to “Real Time” products had 12.4% fewer subscribers than at the end of the second quarter of 2017. Revenue from these activities for the first six months of the year totalled €19,961 thousand, a drop of 1.0% compared to the previous year, whereas revenue for the second quarter rallied 1.5% to €9,892 thousand. \| Bolsas y Mercados Españoles (Information Business Unit Income) (Th.Eur.) \| 2Q18 \| 2Q17 \| Δ \| 1H18 \| 1H17* \| Δ \| \|------------------------------------------------------------------------\|--------\|--------\|--------\|--------\|--------\|--------\| \| Net Revenues \| 17,099 \| 15,574 \| 9.8% \| 32,960 \| 31,298 \| 5.3% \| \| Primary Source information services \| 9,892 \| 9,743 \| 1.5% \| 19,961 \| 20,168 \| -1.0% \| \| Value Added services \| 7,207 \| 5,831 \| 23.6% \| 12,999 \| 11,130 \| 16.8% \| \| Operating Costs \| (6,189)\| (5,609)\| 10.3% \| (11,975)\| (11,212)\| 6.8% \| \| EBITDA \| 10,910 \| 9,965 \| 9.5% \| 20,985 \| 20,086 \| 4.5% \| (*) Correspond to proforma data as indicated on page 12.	<urn:uuid:09d27edb-439f-4055-b749-d0a6540bff9b>	CC-MAIN-2018-34	https://www.bolsasymercados.es/docs/inf_legal/ing/economico/2018/Business%20performance%201H18.pdf	2018-08-17T13:55:10Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-34/segments/1534221212323.62/warc/CC-MAIN-20180817123838-20180817143838-00585.warc.gz	830,869,026	17,515	eng_Latn	eng_Latn	0.995475	eng_Latn	0.998204	[ "unknown", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	docling	[ 38, 517, 2733, 5314, 7013, 10218, 13832, 19165, 23914, 26391, 30363, 34362, 39733, 42412, 46886, 52692, 57996, 62003, 66169 ]
Industrial spare parts Parsons Peebles is a leading supplier of power transmission products for all types of industries. As well as stocking a wide range of specialist, bespoke, standard, OEM or made to measure parts onsite, we also have access to a global network of partnerships and can provide all types of components from concept to delivery. Our round the clock operations mean we can supply your engineering parts and spares 24 hours a day, 365 days a year. Our flexible engagement models mean we can create accounts for large repeated purchases as well as accepting all major debit and credit cards for small one off purchases. We stock and supply a range of specialist, OEM and off-the-shelf spares and parts We can also manufacture bespoke spare parts, including components for equipment that is now obsolete Key Services - Bearings, couplings & clutches - Seals, tools, adhesives - Belts & pulleys - Chain & sprockets - Hydraulics and pneumatics - Lubricants - Conveyor parts - Maintenance products - Wheels & castors - Gears & racks Brands we stock - SKF - FAG & INA - NSK/RHP - COOPER - LOCTITE - RENOLD - SMC - FESTO - BROOK CROMPTON - TIMKEN Powered by Technology. Driven by Service. www.parsons-peebles.com We provide a complete portfolio of service solutions for motors, generators, pumps, gearboxes and compressed air solutions. With 11 manufacturing and service workshops in the UK as well as representation worldwide, we are well positioned to ensure you receive a high quality, rapid service for all your electromechanical requirements. Our locations \| Location \| Address \| Phone Number \| \|-------------------\|--------------------------\|--------------------\| \| Avonmouth \| BS11 9HS \| +44 (0) 1179 820 081 \| \| Cardiff \| CF10 4DF \| +44 (0) 2920 481 831 \| \| Castle Donington \| DE74 2NP \| +44 (0) 1332 850 346 \| \| Cornwall \| PL26 7YH \| +44 (0) 1726 828 987 \| \| London \| IG11 0BA \| +44 (0) 20 8591 9957 \| \| Reading \| RG30 1DZ \| +44 (0) 845 408 4699 \| \| Rosyth \| KY11 2EA \| +44 (0) 1383 421 150 \| \| Rotherham \| S26 5NU \| +44 (0) 114 248 4391 \| \| Somerset \| BA20 2YB \| +44 (0) 1935 703 685 \| \| Stonehouse \| GL10 3RF \| +44 (0) 1453 826 433 \| \| Swindon \| SN3 4TA \| +44 (0) 1793 832 828 \| For more information visit www.parsons-peebles.com or email: [email protected]	<urn:uuid:3ab39204-4b3b-4935-aef3-f5468925b2b6>	CC-MAIN-2018-51	https://www.parsons-peebles.com/wp-content/uploads/2017/04/Industrial-spare-parts.pdf	2018-12-10T16:28:57Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-51/segments/1544376823348.23/warc/CC-MAIN-20181210144632-20181210170132-00123.warc.gz	1,010,955,536	682	eng_Latn	eng_Latn	0.990746	eng_Latn	0.993702	[ "eng_Latn", "eng_Latn" ]	true	docling	[ 1232, 2604 ]
Peer-to-Peer Accommodation Guidelines For a safe and enjoyable accommodation experience, please follow these guidelines. Regulations vary from location to location so ensure you are aware of the relevant regulations applicable to your vessel. General • Obtain permission from the marina to offer overnight accommodation • Comply with all laws and regulations relevant to your boat location and use • Inland Waterways require a non-private Boat Safety Certificate - see: www.boatsafetyscheme.org • Boats must not leave their mooring • Guests on board must not exceed max person capacity on the vessels builders plate • Guests on board must not exceed the number of guests booked • Follow marina guidelines (safety/noise/toilets etc) • Manage the guest and the stay yourself, or with your own agent • Complete a handover with a person familiar with the boat and marina, that includes; - Safety & access - Operating instructions of the boat and its systems - Environmental issues of being on board (toilets and rubbish etc) - Marina guidelines - Emergency contact number Safety • Make sure the boat is a safe environment for guests; - Trip hazards - Getting on and off the boat - Check all electrical appliances and connections - Provide a torch for the guest to use when going ashore • The boat should have a current gas safety certificate, if relevant • Gas and CO alarm to be fitted and working • The boat should have a current fire safety certificate • The boat should have a current electrical certificate • Marina safety instructions to be included in the handover; - Alcohol - Pontoons & ladders - Flotation devices • Provide access to lifejackets for children and non-swimmers Insurance • All boats must be covered by their insurance policy to provide overnight accommodation • If in any doubt please contact your insurance broker or insurer for confirmation • Check the booking agent provides a level of personal accident cover for guests	<urn:uuid:6179e2c6-cd13-44cf-85d9-090d26346c4a>	CC-MAIN-2019-04	https://s3-eu-west-1.amazonaws.com/bedsonboard/upload/bedsonboard+peer-to-peer+accommodation+guidelines.pdf	2019-01-15T23:46:23Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-04/segments/1547583656530.8/warc/CC-MAIN-20190115225438-20190116011438-00022.warc.gz	638,269,455	417	eng_Latn	eng_Latn	0.991893	eng_Latn	0.991893	[ "eng_Latn" ]	false	docling	[ 1972 ]
April 24, 2018 City of Chino Hills Community Development Department Attn: Michael Hofflinger, Senior Planner 14000 City Center Drive Chino Hills, CA 91710 Dear Mr. Hofflinger Pursuant to your request, we have conducted a study of the potential impact on the city of Chino Hills’ existing hotel market from the opening of the under-construction TownePlace Suites and the proposed Holiday Inn Express, located at the northeast quadrant of Pomona Rincon Road and Soquel Canyon Parkway. The conclusions set forth in this report are based on an analysis of the existing and potential future supply and demand for the competitive lodging market as well as the city of Chino Hills’ hotel market, as of the completion of our fieldwork in March 2018. This report has been prepared for the City of Chino Hills, intended for use in reviewing the revised site plans for The Rincon development, and specifically the application to develop a second hotel on the site. The terms of our engagement are such that we have no obligation to revise our conclusions to reflect events or conditions that occur subsequent to the date of completion of our fieldwork. However, we are available to discuss the necessity for revisions in view of changes in the economy or market factors impacting the competitive lodging market or the city of Chino Hills’ lodging market. Since the hotel market’s future performance is based on estimates and assumptions that are subject to uncertainty and variation, we do not present them as results that will actually be achieved. However, our analysis has been conscientiously prepared on the basis of information obtained during the course of this assignment and our experience in the industry. This report is subject to the Terms and Conditions presented in the Addendum. A list of key definitions can also be found in the Addendum. After you have had an opportunity to review this report, please feel free to contact us with any questions or comments. It has been a pleasure to work with you on this interesting engagement. If CBRE Hotels can be of any further assistance in the interpretation of our findings, please do not hesitate to contact us. Respectfully submitted, Jeff Lugosi, CRE, MAI, FRICS, ISHC Managing Director # TABLE OF CONTENTS \| Section \| Page Number \| \|----------------------------------------------\|-------------\| \| SECTION I INTRODUCTION \| I-1 \| \| OVERVIEW OF THE STUDY \| I-1 \| \| ASSUMPTIONS USED FOR PROJECTIONS \| I-1 \| \| METHODOLOGY \| I-1 \| \| SUMMARY OF CONCLUSIONS \| I-2 \| \| SECTION II PROPERTY DESCRIPTIONS \| II-1 \| \| SITE DESCRIPTION \| II-1 \| \| Location, Access, and Visibility \| II-1 \| \| BRAND DESCRIPTIONS \| II-6 \| \| TownePlace Suites by Marriott \| II-6 \| \| Holiday Inn Express by Intercontinental Hotel Group \| II-7 \| \| IHG Rewards Club \| II-7 \| \| SECTION III AREA REVIEW \| III-1 \| \| INTRODUCTION \| III-1 \| \| RIVERSIDE-SAN BERNARDINO COUNTY OVERVIEW \| III-1 \| \| Economic and Demographic Overview \| III-2 \| \| Employment \| III-2 \| \| Unemployment \| III-3 \| \| Industrial Space Market \| III-3 \| \| Commercial Office Market \| III-5 \| \| Port Activity \| III-6 \| \| Transportation \| III-6 \| \| Air \| III-6 \| \| Highways \| III-7 \| \| AREA CONCLUSIONS \| III-7 \| \| NEIGHBORHOOD ANALYSIS \| III-8 \| \| CITY OF CHINO HILLS \| III-8 \| \| OVERVIEW \| III-8 \| \| Population \| III-8 \| \| Employment \| III-9 \| \| Transportation \| III-10 \| \| Recreational Amenities \| III-10 \| \| Future Development \| III-10 \| \| City of Chino Hills’ Sources of Hotel Demand \| III-11 \| \| SECTION IV HOTEL MARKET AND TOT ANALYSIS \| IV-1 \| \| INTRODUCTION \| IV-1 \| \| National Hotel Overview \| IV-1 \| \| Local Competitive Market \| IV-2 \| \| OVERALL COMPETITIVE SUPPLY \| IV-2 \| \| Competitive Lodging Supply \| IV-5 \| \| Historical Market Performance \| IV-5 \| \| City of Chino Hills Lodging Supply \| IV-5 \| \| Historical Market Performance \| IV-5 \| \| PROJECTED MARKET PERFORMANCE \| IV-7 \| \| Scenario A - Projected Market Performance (Overall Competitive Supply) \| IV-7 \| \| Scenario A – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) \| IV-8 \| \| Scenario B - Projected Market Performance (Overall Competitive Supply) \| IV-8 \| \| Scenario B – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) \| IV-9 \| \| Scenario C - Projected Market Performance (Overall Competitive Supply) \| IV-9 \| \| Scenario C – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) \| IV-10 \| \| SUMMARY OF IMPACT \| IV-10 \| \| TOT ANALYSIS AND CONVERSION TO FISCAL YEAR \| IV-10 \| \| Historical Transient Occupancy Tax Collections \| IV-11 \| \| Existing Chino Hills’ Hotel Market Transient Occupancy Tax Collections \| IV-11 \| \| Absolute Transient Occupancy Tax Collections \| IV-12 \| \| Conclusions \| IV-14 \| Section I INTRODUCTION INTRODUCTION OVERVIEW OF THE STUDY CBRE Hotels (“CBRE”) was retained by the City of Chino Hills to assist with the determination of the market supporting the addition of two hotel developments. The scope of this study includes an analysis of the impact on the existing hotel market in the city of Chino Hills (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) by the under-construction TownePlace Suites and the proposed Holiday Inn Express (“Subject Hotels”). The 116-room TownePlace Suites and the 120-room Holiday Inn Express will be located at The Rincon on the northeast corner of Pomona Rincon Road and Soquel Canyon Parkway. ASSUMPTIONS USED FOR PROJECTIONS Our analysis was based on the following set of assumptions: - The under-construction TownePlace Suites will open in July 2018 with 116 guestrooms and the proposed Holiday Inn Express will open in July 2019 with 120 guestrooms; - The hotels will be located at The Rincon, a mixed-use development site; - The subject hotels will offer facilities and services consistent with Marriott’s TownePlace Suites brand standards and InterContinental Hotel Group’s Holiday Inn Express brand standards; and, - The subject hotels will be managed by Twenty Four Seven Hotels, a third-party management company, familiar with the local market. METHODOLOGY In order to meet the objectives of this study, the scope of our analysis included, but was not limited to, the following: - Visited the development site and assessed the impact of its accessibility, visibility, and location, relative to demand generators; - Visited the existing hotel supply in the city of Chino Hills to evaluate demand segmentation, market mix, and potential future positioning; - Analyzed the economic and demographic factors of the market area to assess the environment which influences the existing lodging market; - Researched brand presence and potential future demand in the market through discussions with General Managers, Directors, Brand Representatives, and Management Companies; - Determined the overall competitive supply of lodging facilities for the subject hotels; - Prepared a summary of historical performance levels for the competitive lodging supply as well as the city of Chino Hills’ current lodging supply; - Estimated anticipated growth in rooms supply and demand in the market area; - Calculated future occupancy levels based on the estimated growth rates and specific additions to room supply; • Estimated the impact of the subject hotels on the competitive hotel market and the city of Chino Hills’ hotel market under three distinct scenarios: no additions to the competitive hotel market, the addition of the TownePlace Suites, and the addition of the TownePlace Suites as well as the Holiday Inn Express; • Prepared a summary of transient occupancy tax estimated to be collected by the city of Chino Hills under two scenarios: no addition to the hotel market and the addition of the TownePlace Suites as well as the Holiday Inn Express to the hotel market. Several resources were utilized in compiling the analytical information and preparing the analysis in this report. The resources included, but were not limited to: Hotel Horizons and Trends in the Hotel Industry, CBRE Hotels; data on the lodging market assembled from research independent of CBRE publications; planning departments in the local area; CBRE Economic Advisors; Moody’s Analytics; other local agencies; and, interviews with local industry professionals. SUMMARY OF CONCLUSIONS Based on our research and analysis conducted, we have made a determination of the potential impact of the under-construction TownePlace Suites and the proposed Holiday Inn Express on the three, existing city of Chino Hills hotels. The following list contains our conclusions of the factors that mitigate the impact of the TownePlace Suites and the Holiday Inn Express on the local hotel market: - Overall Market Strength: The city of Chino Hills has experienced positive economic growth in recent years and the existing hotel market has benefited from this growth. We are of the opinion that the Chino Hills’ existing hotel market is likely performing above its long-term level of stabilized occupancy and even without any additions to supply, is anticipated to regress during the projection period from recent peak levels. The existing hotel market has experienced occupancy levels around 80 percent during the last two calendar years; however, we anticipate occupancy levels to return to 78 percent on a stabilized basis, assuming no additions to supply. With the addition of the TownePlace Suites and the Holiday Inn Express hotels, the existing Chino Hills’ hotel market is estimated to stabilize at a 76 percent occupancy. - Turndown Activity/Unsatisfied Demand: As previously discussed, the city of Chino Hills’ existing hotel market has operated around 80 percent during the last two calendar years with higher occupancy percentages during the middle of the week (Tuesdays and Wednesday) and on weekends (Fridays and Saturdays). Demand for the middle of the week is primarily generated by the region’s prime location for warehousing, distribution, and logistics. Demand on the weekend is derived from leisure travelers visiting family, attending local events, or exploring the rest of Southern California. Due to the high demand during these parts of the week, travelers may be turned away and are forced to look for accommodations outside of the city. As a result, there exists unsatisfied demand in this market, which can be accommodated by the addition of the TownePlace Suites and the Holiday Inn Express hotels. - Supply Impact: While the addition of the TownePlace Suites and the Holiday Inn Express is anticipated to impact the existing Chino Hills’ hotel market, this impact is anticipated to be dispersed among a larger overall competitive supply. The TownePlace Suites and Holiday Inn Express will not only compete with the hotels in the city of Chino Hills, but the larger competitive market, herein identified as hotels in the Cities of Diamond Bar, Pomona, and Corona. The level of impact on the overall competitive supply and the city of Chino Hills’ existing hotel market is presented in further detail herein. - Brand Presence/Induced Demand: The city of Chino Hills’ hotel market does not currently have any Marriott or InterContinental Hotel Group hotels. Both of these hospitality groups have more than 100 million members that participate in their brand loyalty program and feature benefits that keep guests loyal based on their preferences. The closest TownePlace Suites is located in the city of Ontario, approximately 10.6 miles northeast of The Rincon development site. The closest Holiday Inn Express is located approximately 10.7 miles southeast of the Rincon development site. Therefore, it is anticipated that the planned additions to supply for the Chino Hills market will induce chain and/or brand loyal guests to stay in the city of Chino Hills that are currently staying elsewhere. - Product Differentiation: The TownePlace Suites hotel is an extended-stay product that appeals to the traveler looking to stay five nights or more. This product type includes a kitchen, larger public spaces, and other extended-stay amenities that are intended to capture different demand segments. The Holiday Inn Express is a limited-service hotel product that operates in a similar service segment as the existing hotels in the city of Chino Hills; however, the design and facilities proposed for this hotel are anticipated to be equal to or superior to the product that currently exists in the local marketplace. The following table includes our projected operating results for the existing hotel market in the city of Chino Hills (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) under the following three scenarios studied herein: - Scenario A - no additions to the hotel market - Scenario B - the addition of the under-construction TownePlace Suites with 116 guestrooms in July 2018 - Scenario C - the addition of the under-construction TownePlace Suites with 116 guestrooms and the addition of the Holiday Inn Express with 120 guestrooms in July 2019 \| Year \| Scenario A \| Scenario B \| Scenario C \| Scenario B Impact \| Scenario C Impact \| \|------\|------------\|------------\|------------\|------------------\|------------------\| \| \| Occ \| ADR \| Occ \| ADR \| Occ \| ADR \| \| 2018 \| 80% \| $122.00 \| 79% \| $121.00 \| 79% \| $120.00 \| \| 2019 \| 79 \| 126.00 \| 78 \| 124.00 \| 75 \| 122.00 \| \| 2020 \| 78 \| 129.00 \| 77 \| 128.00 \| 74 \| 125.00 \| \| 2021 \| 78 \| 133.00 \| 77 \| 132.00 \| 76 \| 129.00 \| \| 2022 \| 78 \| 137.00 \| 77 \| 136.00 \| 76 \| 133.00 \| \| 2023 \| 78 \| 141.00 \| 77 \| 140.00 \| 76 \| 137.00 \| Source: CBRE Hotels We are of the opinion, that the under-construction TownePlace Suites and the proposed Holiday Inn Express are anticipated to have moderate impact on the existing city of Chino Hills’ hotel However, the additional transient occupancy tax collection that the TownePlace Suites and the Holiday Inn Express are estimated to achieve will more than mitigate the loss of transient occupancy tax collections of the existing three hotels from the impact of these additions. Overall, the city of Chino Hills is estimated to have a larger absolute transient occupancy tax collection with the addition of the TownePlace Suites and the Holiday Inn Express. The following tables include our estimated TOT collections under each scenario. The first table includes the difference in TOT collections from Scenario A, which includes no additions to the Chino Hills’ hotel market, and Scenario C, which includes the addition of the TownePlace Suites and the Holiday Inn Express. The second table includes the difference in TOT collections from Scenario B, which includes the addition of the TownePlace Suites only, and Scenario C, which includes the addition of the TownePlace Suites and the Holiday Inn Express. Our analysis for estimated transient occupancy tax collections is presented in further detail herein. It is important to note that any mention of future TOT collections in our analysis assumes that 100 percent of guests are paying the tax, although there are exemptions (such as a certain government employees or stays of longer than 30 days) and therefore the figures presented herein may not actually be achieved. ### Total Estimated TOT Collections for City of Chino Hills’ Hotel Market #### Fiscal Years (July-June) – Scenario A/Scenario C \| Year \| Annual TOT* \| Percent Change \| \|----------\|-------------\|----------------\| \| \| Scenario A \| Scenario B \| Scenario C \| Difference (A and C) \| \| \| 2018/19 \| $1,154,000 \| $1,582,000 \| $1,582,000 \| $408,000 \| 34.8% \| \| 2019/20 \| 1,187,000 \| 1,629,500 \| 2,022,000 \| 831,000 \| 69.8 \| \| 2020/21 \| 1,220,000 \| 1,689,500 \| 2,127,000 \| 910,000 \| 74.8 \| \| 2021/22 \| 1,257,000 \| 1,740,500 \| 2,225,000 \| 971,000 \| 77.4 \| \| 2022/23 \| 1,294,000 \| 1,793,000 \| 2,292,000 \| 1,001,000 \| 77.5 \| \| 2023/24 \| 1,336,000 \| 1,846,000 \| 2,360,000 \| 1,027,000 \| 77.0 \| \| Total\| \| \| \| $5,148,000 \| \| Rounded and does not include TOT collection for timeshare, penalties, & interest charges Source: CBRE Hotels ### Total Estimated TOT Collections for City of Chino Hills’ Hotel Market #### Fiscal Years (July-June) – Scenario B/Scenario C \| Year \| Annual TOT* \| Percent Change \| \|----------\|-------------\|----------------\| \| \| Scenario A \| Scenario B \| Scenario C \| Difference (B and C) \| \| \| 2018/19 \| $1,154,000 \| $1,582,000 \| $1,582,000 \| $0 \| 0.0% \| \| 2019/20 \| 1,187,000 \| 1,629,500 \| 2,022,000 \| 393,000 \| 24.1 \| \| 2020/21 \| 1,220,000 \| 1,689,500 \| 2,127,000 \| 438,000 \| 25.9 \| \| 2021/22 \| 1,257,000 \| 1,740,500 \| 2,225,000 \| 485,000 \| 27.8 \| \| 2022/23 \| 1,294,000 \| 1,793,000 \| 2,292,000 \| 499,000 \| 27.8 \| \| 2023/24 \| 1,336,000 \| 1,846,000 \| 2,360,000 \| 514,000 \| 27.8 \| \| Total\| \| \| \| $2,329,000 \| \| Rounded and does not include TOT collection for timeshare, penalties, & interest charges Source: CBRE Hotels Section II PROPERTY DESCRIPTIONS PROPERTY DESCRIPTIONS SITE DESCRIPTION Location, Access, and Visibility The subject hotels will be part of the 10.3-acre Rincon planned mixed-use development, which is located at the northeast intersection of Pomona Rincon Road and Soquel Canyon Parkway. The site is adjacent to the California State Route 71 in the eastern Chino Hills. California State Route 60 is approximately 5.3 miles north and California State Route 91 is approximately 6.1 miles south. The most recent approved site plans for The Rincon include a 60,000-square foot medical building, a 116-room hotel, and 37,000 square feet of retail/restaurant space in four separate buildings. The developer has since submitted modified plans with the addition of a day care facility, additional office space, and the replacement of the 60,000-square foot medical building with a 120-room hotel. Currently, the retail buildings, the day care, and the 116-room hotel are under construction. All of these buildings are projected to be completed by August 2018. The full build-out of The Rincon is expected to be completed in 2019. The site has good visibility from both cross streets including the 71 Highway (Chino Valley Freeway). The following table summarizes the surrounding uses neighboring the development site. \| Direction \| Description \| \|-----------\|-------------\| \| North \| Soquel Canyon Parkway on/off ramp for the Chino Valley Freeway, Central Avenue, Hotel Chino Hills, Fairfield Ranch Plaza, BAPS Shri Swaminarayan Mandir Temple, \| \| East \| Fairfield Ranch Commons, Big League Dreams, Chino Creek, NFI Industries Warehouses, vacant land \| \| South \| The Santa Barbara mixed-use development, Chino Hills High School, resident homes, The Capriana at Chino Hills, Chino Hills State Park \| \| West \| Bristol Chino Hills housing development, Los Serranos Country Club \| The following maps depict the location of the subject site. We have also included proposed site plans for The Rincon, site plans for the TownePlaces Suites, and proposed site plans for the Holiday Inn Express, which have all been provided by the City of Chino Hills. The Rincon Site Chino Hills Hotel Market, Chino Hills, CA TownePlace Suites Chino Hills Site Plans First Floor Plan Second Floor Plan Holiday Inn Express Chino Hills Preliminary Site Plans First Floor Plan Second Floor Plan Chino Hills Hotel Market, Chino Hills, CA BRAND DESCRIPTIONS Based on our discussions with the developer and the City of Chino Hills, we have assumed that the development site will include a TownePlace Suites consisting of 116 guestrooms with a projected opening date of July 1, 2018 and a Holiday Inn Express consisting of 120 guestrooms with a projected opening date of July 1, 2019. It is our understanding that the hotels will be constructed within brand development standards and operate under brand guidelines. TownePlace Suites by Marriott TownePlace Suites was introduced by Marriott in 1997 with designs that primarily appeal to extended-stay travelers. The brand is positioned at a mid-priced level within the extended-stay product line and offers a residential atmosphere with the conveniences of home. The lobby offers expansive public space with soft seating and areas to collaborate and enjoy meals. The guest suites include the Elfa closet system, designed in partnership with The Container Store, which offers guests a custom closet loaded with storage options and flexibility. Other amenities include a GetFit exercise room and pool, Weber Grills in the BBQ patio, on site guest laundry, and scalable meeting space. There are currently over 300 TownePlaces Suites with a combined 32,000 guestrooms that exist and more than 180 projects in the pipeline. TownePlace Suites enjoys a loyal customer base with Marriott Rewards Member Paid Nights representing approximately 56 percent of total TownePlace Suites Nights. Additionally, Marriott’s channels generate approximately 64 percent of TownPlace Suites’ reservations. Marriott Rewards Club Marriott Rewards is the frequent traveler program that rewards guests with points and exclusive membership privileges with over 6,500 participating hotels in 127 countries. The portfolio of hotels includes more than 30 distinctive brands including TownePlace Suites. Marriott acquired Starwood Hotels and Resorts in 2016, making it the largest hotel company. With more than 100 million members, the Marriott Rewards program categorizes members into four separate levels: Member, Silver Elite, Gold Elite, and Platinum Elite. Benefits for the various levels include the following: - Elite night credit earned on paid and redemption stays - Additional bonus points for eligible stays - Reward points earned for meetings and events - Lowest rates, all the time when booking directly - No blackout dates - Complimentary in-room internet access when booking direct - Guaranteed room type - Complimentary room upgrade - Guaranteed 4 p.m. late checkout, subject to availability at resort and convention hotels - Guaranteed lounge access and breakfast for two • 48-hour guaranteed room availability • Arrival gift of bonus points, a food and beverage amenity or air miles Holiday Inn Express by Intercontinental Hotel Group Holiday Inn Express is a limited-service brand within the InterContinental Hotel Group (IHG). The brand combines the leisure appeal of the Holiday Inn Brand and the business frequency of the IHG Rewards Club. Originally introduced in 1991, Holiday Inn Express includes over 2,500 hotels in 33 countries. The design is adaptable to varying markets and can fit different site and market specifications. Holiday Inn Express is targeted specifically to mid-to-upper income Gen X business travelers and individual guests who expect modern conveniences and product design; the brand strives to create a comfortable yet high-tech environment to accommodate guests’ multi-tasking lifestyles. Amenities found in Holiday Inn Express properties include: in room microwaves ovens, same-day laundry and dry cleaning services, fax and photocopying services, Forget Something?™ personal care program, choice of soft or hard pillows, multi-function showerhead, premium toiletries, free high-speed internet access, and Free Express Start™ Breakfast Bar. IHG Rewards Club As part of the InterContinental Hotels Group portfolio of hotel brands, guests of the Holiday Inn Express are able to participate in IHG Rewards Club, the chain’s loyalty program. This incentive program strengthens brand loyalty of the Holiday Inn and IHG travelers and provides a competitive advantage over independent hotels and smaller chains. The program includes nearly 5,200 open hotels and resorts worldwide with more than 100 million members. The IHG Rewards Club includes four separate levels: Club Member, Gold Elite, Platinum Elite, and Spire Elite. Benefits for the various levels include the following: - Complimentary internet - Customer Stay Preferences - $30 in-room spa credit at participating hotels - Extended check-out based on availability - Priority check-in/early check-in - Welcome amenity - Bonus earnings on top of base points - Complimentary room upgrades based on availability - Guaranteed room availability - Inner Circle Amenity - Complimentary Chef’s Taste at participating hotels BRAND LOYALTY Brand loyalty preferences include room quality, hotel accessibility (such as convenience, ease of finding, and sheer number of locations), promotions, and service. Loyalty is also tied to price-related deals as well as the availability of a range of brands and price points within a hotel company’s portfolio. In recent years, brand loyalist value personalized experiences, including: courteous check-in process, acknowledgement of program participation, and welcome gifts. In addition, impactful first impressions, simple booking processes, incentives, relevant rewards, personal touches, and quality technology are all sought after in a brand loyalty program. Marriott Rewards and IHG Rewards Club are two of the largest hotel rewards programs with members returning to stay at the company’s portfolio of hotels. Furthermore, both programs include hotel brands that are highly ranked in customer service experience. Marriott Rewards Member paid nights represent more than 50 percent of total TownePlace Suites nights and Marriott’s reservation channel generates more than 60 percent of TownePlace Suites’ reservations. IHG Rewards Members Club is estimated to drive more than 70 percent of room nights at IHG branded hotels, including Holiday Inn Express. CONCLUSIONS The addition of the under-construction TownePlace Suites introduces an extended-stay hotel product into the City of Chino Hills’ hotel market with amenities such as a full-kitchen and open public spaces. We anticipate the addition of this product type will attract demand currently staying outside of the market and not compete directly with the existing three City Chino Hills hotels. Furthermore, loyal Marriott Rewards Members seeking to stay in the City of Chino Hills will now have the option to do so with the addition of this hotel. While the proposed Holiday Inn Express operates in a similar service segment as the existing hotels in Chino Hills, we anticipate the strength of the brand and IHG Rewards Club to differentiate itself from the rest of the products currently being offered. Guests seeking accommodations at a Holiday Inn Express specifically are staying outside of Chino Hills in the surrounding cities. We also anticipate the TownePlace Suites to compete for different demand than the Holiday Inn Express based on the aforementioned product differences. Section III AREA REVIEW AND NEIGHBORHOOD ANALYSIS AREA REVIEW INTRODUCTION The economic climate of the market area is an important consideration in forecasting hotel demand and growth potential. Economic and demographic trends that highlight the amount of visitation provide a basis for hotel demand projections. The purpose of this section is to review available economic and demographic data to determine whether the local market area will experience future economic growth. Accordingly, presented in the following section is an overview of the Riverside-San Bernardino Area (Inland Empire), followed by an analysis of the city of Chino Hills. RIVERSIDE-SAN BERNARDINO COUNTY OVERVIEW The “Inland Empire” is bordered by Los Angeles and Orange County to the west, and by the states of Nevada and Arizona to the east. This metropolitan area is broadly defined as the cities in Riverside County and San Bernardino County. Riverside County covers 7,303 square miles while San Bernardino covers 20,105 square miles. The population of the area totaled approximately 4.5 million people in 2017. The majority of the county’s acreage is a mixture of mountainous terrain and arid deserts. The center of the Inland Empire is located approximately 60 miles east of the center of Los Angeles, 110 miles northeast of San Diego, and 200 miles southwest of Las Vegas. The Inland Empire has become an international gateway for Southern California with infrastructure, facilities, and services to accommodate the increasing demand. It is a major transportation hub for both rail and truck services, is home to the Ontario International Airport (a UPS hub for both small packages and air freight), and is a major distribution center for firms moving goods through Southern California’s ports to the rest of the U.S. Strategic freeway access, two rail lines, and service by Amtrak and MetroLink are also favorable benefits for making this area a transportation hub. This area also has an impressive array of higher educational institutions, including the University of California Riverside (UCR), Cal State San Bernardino, University of Redlands, Loma Linda School of Medicine, and the University of La Verne College of Law. University of La Verne College of Law is the Inland Empire’s only ABA accredited law school. Additionally, Claremont College is a consortium of five undergraduate and two graduate schools located to the west of the county line. The two-county area also offers desert resorts with championship golf courses, mountain resorts with skiing in the winter as well as biking in the summer, Temecula Valley Wine Country, natural hot springs and spa, performing arts centers, the Auto Club Speedway, and relative proximity to internationally recognized destinations such as Los Angeles and Orange County. Affordable home ownership had historically been the primary motivating factor behind growth in the Inland Empire as homes in these communities are generally less expensive than comparable homes in Orange and Los Angeles Counties. Furthermore, employees are willing to work for less to avoid long commutes. Although these trends reversed during the recession, with the Inland Empire being one of the local economies hit hardest, encouraging signs have emerged and the area is continuing to grow in a positive manner. As unemployment trends downwards, the region is anticipated to experience widespread growth, fueling the region’s prosperity in coming years. Economic and Demographic Overview Employment There is a diverse economic base in the Inland Empire. In December 2017, the leading industries of employment were: trade, transportation and utilities with 371,600 jobs, education and health services with 226,500 jobs, and leisure and hospitality with 176,300 jobs. Of all industries, the construction sector has seen the greatest increase recently in employment on a percentage basis, increasing by 9.7 percent over the past six years. The following table depicts the historical trend in employment, segmented by sector, from 2012 through 2017, in San Bernardino and Riverside Counties. \| Title \| 2012 \| 2013 \| 2014 \| 2015 \| 2016 \| 2017 \| CAAG \| \|--------------------------------------------\|--------\|--------\|--------\|--------\|--------\|--------\|------\| \| Total Nonfarm Employment \| 1,185,200 \| 1,233,300 \| 1,289,300 \| 1,347,400 \| 1,400,800 \| 1,495,700 \| 4.0% \| \| Construction \| 62,600 \| 70,000 \| 77,600 \| 85,200 \| 94,600 \| 108,900 \| 9.7 \| \| Manufacturing \| 86,700 \| 87,300 \| 91,300 \| 95,600 \| 100,000 \| 100,800 \| 2.5 \| \| Trade, Transportation, & Utilities \| 287,600 \| 299,700 \| 314,900 \| 332,500 \| 368,200 \| 371,600 \| 4.4 \| \| Information \| 11,700 \| 11,500 \| 11,300 \| 11,300 \| 11,600 \| 11,500 \| -0.3 \| \| Financial Activities \| 40,200 \| 41,300 \| 42,300 \| 43,200 \| 46,200 \| 47,800 \| 2.9 \| \| Professional and Business Services \| 127,500 \| 132,400 \| 139,300 \| 144,400 \| 147,900 \| 152,800 \| 3.1 \| \| Education and Health Services \| 173,600 \| 187,600 \| 194,800 \| 205,000 \| 217,800 \| 226,500 \| 4.5 \| \| Leisure and Hospitality \| 129,400 \| 135,900 \| 144,800 \| 151,500 \| 165,400 \| 176,300 \| 5.3 \| \| Other Services \| 40,100 \| 41,100 \| 43,000 \| 44,000 \| 45,900 \| 46,900 \| 2.6 \| \| Government \| 224,600 \| 225,200 \| 228,800 \| 233,400 \| 247,400 \| 251,800 \| 1.9 \| Source: California Employment Development Department, Labor Market Information Division The following table includes a list of the largest employers in Riverside and San Bernardino County. \| Top Employers for Riverside County and San Bernardino County \| Corporation \| Employees \| \|-------------------------------------------------------------\|--------------------------------------------------\|-----------\| \| Stater Brothers Markets \| 18,000 \| \| Arrowhead Regional Medical Center \| 18,000 \| \| U.S Marine Corps. Air Ground Combat Center \| 16,266 \| \| Fort Irwin \| 13,805 \| \| Wal-Mart Stores, Inc. \| 12,263 \| \| Loma Linda University \| 8,582 \| \| March Air Reserve Base \| 8,500 \| \| U.C. Riverside \| 7,618 \| \| Ontario International Airport \| 7,510 \| \| Amazon \| 7,500 \| \| VA Loma Linda Healthcare System \| 6,147 \| \| Kaiser Permanente \| 5,739 \| \| Target Brands Inc. \| 4,800 \| \| Pechanga Resort & Casino \| 4,000 \| \| Riverside County Regional Medical Center \| 3,876 \| \| Eisenhower Medical Center \| 3,665 \| \| San Manuel Band of Mission Indians \| 3,261 \| \| Morongo Casino, Resort & Spa \| 3,000 \| \| JW Marriott Desert Springs Resort and Spa \| 2,304 \| Source: Moody’s Analytics Unemployment The following table presents a history of unemployment rates for the Riverside-San Bernardino County MSA and the State of California. The unemployment rate in the Riverside-San Bernardino-Ontario MSA was 4.1 percent in December 2017, down from a rate of 5.9 percent in the previous year. This rate is comparable with the unemployment rate of 4.2 percent for California and 4.1 percent for the nation during the same period. \| Year \| Riverside/San Bernardino MSA \| State of California \| \|------\|-----------------------------\|---------------------\| \| 2006 \| 4.9% \| 4.9% \| \| 2007 \| 5.8 \| 5.4 \| \| 2008 \| 8.3 \| 7.2 \| \| 2009 \| 13.2 \| 11.3 \| \| 2010 \| 14.3 \| 12.4 \| \| 2011 \| 13.6 \| 11.8 \| \| 2012 \| 11.5 \| 10.4 \| \| 2013 \| 9.8 \| 8.9 \| \| 2014 \| 8.1 \| 7.5 \| \| 2015 \| 6.6 \| 6.2 \| \| 2016 \| 5.9 \| 5.4 \| \| 2017 \| 4.1 \| 4.2 \| Source: State of California Employment Development Dept. Industrial Space Market The Inland Empire is comprised of 483.7 million square feet and represents more than 25 percent of the total industrial space in the Los Angeles Basin for buildings 10,000 square feet and greater. Considered the premier big-box market in Southern California, approximately 88 percent of the space in this market is contained in buildings 100,000 square feet and greater. The vast majority (90 percent) of its space was built in the past 25 years. The Inland Empire continues to attract large distributors, warehousemen and logistics firms seeking to consolidate their operations into large, state-of-the-art facilities. For descriptive and research purposes, the Inland Empire industrial market is comprised of East (Riverside, San Bernardino, and Corona) and West (Ontario, Rancho Cucamonga, and Fontana) Submarkets. The overall asking lease rate in Q4 2017 was $0.53 per square foot in the Inland Empire industrial market, unchanged from the previous quarter. Year over year the average asking lease rate increased by 4.0 percent; rental growth didn’t experience a significant jump due to large supply increases in certain pockets of the Inland Empire. The once “soft part” of the market, product within the size range 600,000 to 850,000 square feet, gained considerable traction due to increased tenant interest and landlord willingness to divide facilities. The market was red hot for buildings below 300,000 square feet where some of the higher rent increases and sale comps occurred, driven by constricted supply and new construction. Market demand moved eastward along the I-10 and I-210 freeways to cities with ample supply of available land for industrial development as space and land in the Inland Empire West became scarce. It is expected that as available supply tightens further in the Inland Empire West, the Inland Empire East market will no longer be viewed as maturing, but rather mirror asking rates in the Inland Empire West. The overall vacancy rate in the Inland Empire at the end of Q4 2017 was unchanged since Q1 2017 at 3.7 percent. The vacancy rate in the Inland Empire West was down as compared to Q1 2017 while the Inland Empire East saw an increase in vacancy rate due primarily to new completions outpacing net absorption. Over the course of 2017, nearly 20.0 million square feet of new construction was completed, while Q4 2017 alone saw 7.7 million square feet of new completions. The vacancy rate in the Inland Empire East continued to rise incrementally due to the endless wave of newly completed industrial product hitting the market. Availability is expected to follow a similar trend to vacancy as most available space on the market is occupied with tenants set on renewing, freeing them of the cumbersome task of searching for space in an already constricted market. Industrial development levels remained strong in the Inland Empire with construction activity under way in all size segments, indicative of strong fundamentals. Most large available land sites remain tied up in some phase of entitlement, however, opportunities for developers exist to acquire land sites in the Inland Empire East, particularly in the Riverside, Moreno Valley and Perris area. As a result, developers have remained patient and flexible reacting to opportunities as the competition for sites intensifies. In addition, developers continued to watch the market closely tracking activity levels and absorption, not wanting to overbuild the market. As a result, development activity and demand have remained in sync, which has mitigated the risk of overbuilding the market. CBRE Econometric Advisors forecast that the Inland Empire in 2018 will have more than 22 million square feet in new completions. The Inland Empire continues to be one of the most dynamic industrial markets in the nation, benefiting from excellent logistics advantages, solid demand and an ample amount of available land for future industrial developments. As a result, the region’s industrial base continues to grow adding hundreds of distribution and warehouse jobs to the local economy. Given how consistent demand has become, it is expected that net absorption will continue to keep pace with a steady amount of new deliveries scheduled to complete in 2018. The overall availability rate is projected to drop slightly over the next 12 months. CBRE Economic Advisors forecasts the overall average asking lease rate to continue to increase and grow by 1.7 percent in 2018. The following table summarizes the Inland Empire industrial market performance from Q4 2013 to Q4 2017, along with CBRE’s 12-month forecast. ![12-Month Forecast](image-url) Commercial Office Market The Inland Empire office market is comprised of 24.7 million square feet, representing 7.0 percent of the total inventory of office buildings 20,000 square feet and greater within the Los Angeles basin. Most of the office tenants located in the Inland Empire are firms predominantly in the finance, insurance, real estate and professional services sectors, businesses that have been hard hit by the collapse of the region’s construction industry. On the back of the strongest employment growth in Southern California, the Inland Empire office market has significantly improved over the past five years. The vacancy rate dropped from 11.7 percent in Q3 2017 to 10.9 percent in Q4 2017. There is still no construction in the pipeline in the region and the market would likely have to tighten even further to put enough upward pressure on rental rates to warrant any development. The market, however, continues to reach new post-recession highs in all key fundamental metrics. The strong employment and population growth in the region should continue to provide tail winds for the office market in the short and medium term. Despite the overall slow pace of growth in the Inland Empire, 2017 marked the sixth consecutive year of positive net absorption; the Inland Empire West dropped below 10.8 percent vacancy for the first time since 2007. Activity was essentially flat in most cities with larger office markets like Rancho Cucamonga, San Bernardino, and Corona leading the way in terms of positive net absorption. Net absorption was the highest in Riverside where it totaled 39,802 square feet in Q4 2017. Net absorption was also strong in the city of Corona with 39,274 square feet of positive absorption. A growing population and work force in the Inland Empire is opening up opportunities and needs for government, healthcare, insurance, and business services companies. Improvements in Inland Empire office market fundamentals have been slow and steady and this trend is expected to continue. With the lack of development activity and increased tenant demand, the existing office space in the Inland Empire is steadily being absorbed. CBRE EA forecasts vacancy to continue its downward trend, dropping within the 10.0 percent range by the end of the year. As a result, lease rates are projected to reach north of $2.00 per square foot by the end of 2018. The following table summarizes the Inland Empire office market performance from Q4 2013 to Q4 2017, along with CBRE’s 12-month forecast. Source: CBRE Econometric Advisors, Q4 2017. Port Activity As mentioned previously, Southern California’s ports are key Inland Empire economic drivers as much of their cargo is processed through inland warehouses, creating jobs in the region. The Port of Los Angeles is located in San Pedro Bay and encompasses 7,500 acres, 43 miles of waterfront and features two passenger terminals and 21 cargo terminals, including container, automobile, and dry and liquid bulk. In 2016, these 21 terminals handled 189.9 million metric revenue tons of cargo, a 4.5 percent increase over tonnage handled in 2016. In 2017, the Port moved an estimated 9.3 million TEUs (20-foot equivalent units), a 5.5 percent increase over 2016. The port generates approximately 1.5 million jobs in the United States and nearly $6.0 billion in local and state tax revenue. With continued capital improvement funding, the port is expected to keep upgrading and expanding its production. The Port of Los Angeles processed 725,059 TEUs in February 2018, the busiest February in the port’s 111-year history. Volumes jumped 16.0 percent compared to last February. Two months into 2018, overall volumes have increased 5.6 percent compared to 2017, which was the Port’s best year ever. The surge in February volumes is due in part to the Lunar New Year, which fell later this year. Shippers moved cargo ahead of the holiday celebrated in Asia and thus March volumes are expected to be lighter this year with the advance shipments coming in February. The Port of Long Beach, directly next to the Port of Los Angeles, is the second busiest port in the U.S. only behind its sister Port of Los Angeles, moving approximately 7.5 million TEUs annually. With 3,200 acres of land and 4,600 acres of water, the port features 22 shipping terminals that handle nearly one-third of all loaded containers passing through California’s ports. The port generates 316,000 jobs in Southern California, and 1.4 million jobs throughout the U.S. Transportation Air Ontario International Airport (ONT) is a medium-hub, full-service airport with direct service to major US cities and several international destinations. It is located approximately 38 miles east of downtown Los Angeles. Ontario International Airport’s service area includes San Bernardino and Riverside Counties and portions of north Orange County and East Los Angeles County. The following table provides year-end data on Ontario International Airport passenger and cargo statistics from 2007 through 2017. \| Year \| Passengers \| Cargo (Tons) \| \|------\|--------------\|--------------\| \| 2007 \| 7,207,150 \| 532,865 \| \| 2008 \| 6,232,761 \| 481,284 \| \| 2009 \| 4,886,695 \| 391,060 \| \| 2010 \| 4,808,241 \| 392,427 \| \| 2011 \| 4,551,875 \| 417,686 \| \| 2012 \| 4,305,426 \| 454,880 \| \| 2013 \| 3,969,974 \| 460,535 \| \| 2014 \| 4,127,280 \| 474,502 \| \| 2015 \| 4,209,311 \| 509,809 \| \| 2016 \| 4,251,903 \| 567,295 \| \| 2017 \| 4,552,225 \| 654,378 \| CAAC = Compound Annual Average Change Source: Fly Ontario It was estimated by the Southern California Association of Governments (SCAG) that Ontario International Airport could service as many as 20 million air passengers by 2025. Despite the steep declines during the recession this estimate may not be overly optimistic considering recent developments in the transfer of ownership. After a long legal process and negotiations, the City of Los Angeles has agreed to return local control of the Ontario International airport to the City of Ontario. The City of Ontario relinquished control of the Airport in 1985, but had been fighting to regain control of the airport since alleged mismanagement and apathy by the city of Los Angeles led to sharp passenger declines from 2007 to 2012. The City of Ontario had filed a lawsuit in order to regain control of operations with an impending court date in August 2015, but prior to this date, the City of Los Angeles agreed to return the airport to local control provided that roughly $250 million in reimbursement costs and debt be paid and assumed. This local ownership which officially transferred on November 1, 2016, has allowed the Ontario airport to reduce its cost structure and increase marketing, advertising, and promotion of the airport. The change has allowed Ontario to better compete with other Southern California destinations and ultimately benefit the local and regional hotel communities. Due to strong customer demand, China Airlines will be the first carrier to offer service between Taiwan Taoyuan International Airport (TPE) and Ontario International Airport (ONT) scheduled for launch during the week of March 25, 2018. Highways* Because the primary mode of transportation in Southern California is the automobile, San Bernardino and Riverside Counties both benefit from an extensive transportation network, with major roadways traveling both north/south and east/west. Interstate 10, State Route 60, and State Route 91 are the major east/west thoroughfares connecting the San Bernardino and Riverside County area with the Los Angeles basin to the west, and the Coachella Valley to the east. Interstates 15 and 215 and State Route 71 are the primary north/south thoroughfares in the area. While State Route 71 and Interstate 215 are used primarily as intraregional transportation, Interstate 15 connects the area with San Diego to the south and Las Vegas to the north. AREA CONCLUSIONS After review of the general economic and demographic information for the Inland Empire, it is evident that the local and regional economy has been experiencing strong overall growth since the beginning of the decade. The trend is expected to continue in the near-term as business and housing costs remain lower than nearby California coastal areas. The Inland Empire will also continue to have comparative advantages in transportation, distribution, and warehousing. Furthermore, we are of the opinion that Riverside and San Bernardino County will continue to facilitate demand for hotels in the general region. NEIGHBORHOOD ANALYSIS CITY OF CHINO HILLS To properly assess the future potential of hotel demand, it is necessary to have a general understanding of the dynamics specific to the Chino Hills area. The following paragraphs summarize our review of selected demographic and economic data pertaining to the greater Chino Hills market area. Future growth in lodging demand has been estimated in part based on our analysis of these key indicators. OVERVIEW The city of Chino Hills is located along State Route 71, an approximately 15-mile highway, which begins at Interstate 10 in Pomona to the north and terminates at the 91 Freeway in Corona. Due to its topography of rolling hills, Chino Hills was primarily rural prior to the mid-1970s; most land was utilized for equestrian purposes and for dairies. Rapid and extensive housing developments followed throughout the 1980s and 1990s, which continued at a similar pace in recent years, although according to local City representatives, future development in the city of Chino Hills is anticipated to slow as vacant sites become more limited. Most neighborhoods are arranged in a village-type format with shopping centers and parks designed to be within walking distance of nearby homes. Areas of the city adjoining the Orange County line are still primarily rural due to their relative isolation from transportation networks. Chino Hills is also home to the Vellano Country Club, a private golf course and housing development designed by golf champion Greg Norman, his first project in the greater Los Angeles area. Chino Hills is well known for its high quality of life and beautiful rural atmosphere. The community, with its population of more than 80,000 residents, boasts 3,000 acres of publicly-owned open space, 42 parks, and 47 miles of trails. The city of Chino Hills continues to be identified as one of the premier communities in the nation by various publications, persons, and institutions. Population The city of Chino Hills lies within San Bernardino County, the fifth most populated county in the State of California. The city of Chino Hills is the ninth largest city in San Bernardino County, of the 24 reporting cities in the county. The following table details the population for the city of Chino Hills, San Bernardino County, and the State of California. As can be seen in the table above, the city of Chino Hills has grown steadily from 2008 through 2017 except for a slight decrease from 2008 to 2009. The city of Chino Hills has a compounded growth rate of 0.7 percent, similar to the rate experienced in both the State of California and the County of San Bernardino. The recent growth can be accounted for, in part, by the increasing commercial and residential real estate development in the Chino Valley. This increase in real estate has increased business residency in the area, and as a result, an overall increase in city population. Nearly 45 percent of Chino Hills’ adult residents have a bachelor’s degree or higher and the community ranks among the top 15 Southern California cities in its share of residents employed as executives, professionals, or technology specialists. Additionally, many of the people who have moved to the area since 2000 have done so to find relatively less expensive housing on larger tracts of land than can be found in the communities of Los Angeles and Orange Counties. Employment According to the most recent U.S. Census Bureau survey the city of Chino Hills was home to nearly 800 business establishments. Of these firms, the most prevalent in the community included retail trade (101 firms), professional scientific and technical services (100 firms), and healthcare and social assistance (78 firms). In order to further identify the mix of business establishments in the city of Chino Hills, we have detailed the major employers in the city as of 2017. \| Corporation \| Employees \| \|-----------------------------------\|-----------\| \| Chino Valley Unified School District \| 2,509 \| \| Costco \| 321 \| \| City of Chino Hills \| 284 \| \| Boys Republic \| 237 \| \| Lowe’s Home Improvement \| 211 \| \| Kaiser Permanente Laboratory \| 190 \| \| Albertson’s \| 178 \| \| Harkins Theatres \| 140 \| \| Chino Valley Independent Fire District \| 139 \| \| BJ’s Restaurant/Brewhouse \| 126 \| Source: City of Chino Hills Transportation The main artery of transportation in the city of Chino Hills is State Route 71, which is also known as the Chino Valley Freeway. The Chino Valley Freeway (SR-71), offers access to the Pomona Freeway (SR-60) as well as the San Bernardino Freeway (I-10) to the north and the Riverside Freeway (SR-91) to the south. This freeway/expressway serves as an important commuter traffic corridor between the cities in the Pomona Valley (eastern Los Angeles County) and the cities of western Riverside County. It is heavily traveled and is used as an alternative to the Orange Freeway, California State Route 57 (CA/SR-57) located to the west and the Ontario Freeway, Interstate 15 (I-15) located to the east. Recreational Amenities Chino Hills has steadily drawn more travelers for recreation purposes. Big League Dreams Sports Park, a 33-acre recreation facility, provides adult softball and youth baseball players with the opportunity to play in Major League replica stadiums complete with lifelike fans in the bleachers. This multi-use sports facility attracts tournaments, new visitors, and commercial ventures to Chino Hills. Several beautiful public and private golf courses exist in Chino Hills including Western Hills Golf and Country Club, the North and South Courses at Los Serranos Country Club and the private Valleno Country Club designed by Greg Norman. Additionally, the Chino Hills State Park that stretches for more than 30 miles, attracts cyclists, hikers and equestrians that seek to experience the park that has preserved an early California experience. Future Development As the city of Chino Hills matures, developments in the Inland Empire is moving rapidly southeast along the Chino Valley Freeway (SR-71) corridor. The following list contains a number of planned commercial, industrial, residential and recreational developments in the city of Chino Hills. 1) The Santa Barbara is a 30.3-acre mixed-use development project located at the southeastern corner of Soquel Canyon Parkway and Pomona Rincon Road. This development project is adjacent to The Rincon site. The project is currently under-construction and will include 324 residential apartment units and approximately 15,700 square feet of retail/restaurant space. 2) Trumark is a mixed-use development project located at the northwestern side of Soquel Canyon Parkway and Pomona Rincon Road. The project is currently under-construction and is expected to include 42 townhomes and 68 small lot single-family residences, and an 18,000-square foot commercial building. 3) Vila Borba, surrounding Butterfield Ranch Road at the intersection of Pine Avenue, is a 336-acre development that includes four separate sites. In total, there are 702 single-family homes, 280 high-density homes, more than five acres of public park, and approximately 5 acres of commercial space. The first planning area is currently under-construction and remaining planning areas are currently being graded or still being finalized. 4) Largo Los Serranos is a 95-unit town home development, that is located at the southwest corner of Ramona Avenue and Birdfarm Road adjacent to the Los Serranos Golf Club. The units are expected to range in size from approximately 1,600 square feet to 1,850 square feet. Amenities will include sports courts, a swimming pool and spa, and open space. 5) Fairfield Ranch Commons is a business park development located on the northeast side of Fairfield Ranch Road and Monte Vista Avenue, east of California State Route 71. The project site is approximately 17.4 acres and will include three industrial buildings ranging in size from 100,120 to 120,516 square feet. City of Chino Hills’ Sources of Hotel Demand The city of Chino Hills’ hotel market derives demand primarily from three segments: corporate, leisure, and group. Corporate demand is generated from the businesses in the surrounding cities such as Corona, Ontario, and Pomona. Chino Hills/Ontario is a large warehousing area for numerous companies and weekday demand is driven largely by the companies themselves or the packaging/shipping service providers working with these companies. Best Buy, Wal-Mart, and Amazon are several companies that have warehouses in the Inland Empire, while Amcor is a company that provides packaging solutions. Leisure demand is comprised of travelers visiting family or relatives in the city of Chino Hills. The hotel market also benefits from an excellent location proximate to six major freeways, which allow guests to drive to numerous Southern California destinations. Also, nearby is the BAPS Hindu Temple, Raging Waters Waterpark, Big League Dreams sports park, and several colleges/universities in Pomona/Claremont. Group demand is comprised of social group business, such as wedding parties, SMERF (social, military, educational, religious, and fraternal), crew, association, and government business. Additionally, group demand is generated from the Fairplex in Pomona. Section IV HOTEL MARKET AND TOT ANALYSIS INTRODUCTION National Hotel Overview CBRE Hotels, Americas Research compiles an economics-based hotel forecasting model that projects supply, demand, occupancy, average daily room rates (ADR), and revenue per available room (RevPAR) for the U.S. lodging industry. Hotel Horizons® reports are published on a quarterly basis for 60 markets and six national chain-scales. The following provides an excerpt from the recently released March - May 2018 edition Hotel Horizons® report. The historical data (2013 through 2017) is provided by STR Inc., while the projections were developed by CBRE Hotels’ Americas Research. The U.S. lodging industry finished 2017 on a strong note. During 4Q17, lodging demand rose by a healthy 3.7 percent. With supply increasing at 1.9 percent, the national occupancy level reached 61.7 percent, the highest fourth quarter occupancy rate recorded since 1988. The strong fourth quarter performance boosted the 2017 national annual occupancy rate by 0.9 percent to 65.9 percent—another all-time record occupancy level. With the national average daily rate increasing by 2.1 percent, RevPAR growth during 2017 was 3.0 percent. CBRE Hotel’s Americas Research is forecasting a slight drop in occupancy for 2018. For the year, occupancy is projected to decline by 0.1 percent to 65.8 percent. Beyond 2018, lodging supply and demand are forecast to grow at roughly the same pace, thus sustaining occupancy levels in the mid-60s. Despite the sustained occupancy levels, nominal ADR growth is expected to moderate somewhat as the market absorbs new supply. National Snapshot: Next Four Quarters The arrows show the forecast direction of change over the next 4 quarters vs. the previous 4 quarters. Green indicates the change will be above the long run average, and orange indicates it will be below. \| Occupancy \| Occupancy will decrease to 65.8%, a decline over the past 4 quarters' rate of 65.9%, but above the long run average of 62.3% \| \|-----------\|------------------------------------------------------------------------------------------------------------------\| \| Average Daily Rate \| ADR growth expectations are increasing, 2.6% vs. the past 4 quarters' rate of 2.1%, but are below the long run average of 3.0% \| \| Revenue Per Available Room \| RevPAR growth projections for the next 4 quarters are falling to 2.5% as compared to the past 4 quarters' rate of 3.0%, and are lower than the long run average of 3.3% \| \| Supply (orange indicates above long-term average) \| Supply growth is climbing, 2.0% vs. the past 4 quarters' rate of 1.8%, and greater than the long run average of 1.8% \| \| Demand \| Forecast demand growth is falling, 1.8% vs. the past 4 quarters' rate of 2.7%, and is below the long run average of 2.0% \| The following tables include CBRE Hotel’s Americas Research national forecast summary from 2013 through 2022. \| YEAR \| OCC \| Δ OCC \| ADR \| Δ ADR \| REVPAR \| Δ REVPAR \| \|------\|-------\|-------\|-------\|-------\|--------\|----------\| \| 2013 \| 62.2% \| 1.4% \| $110.02 \| 3.8% \| $68.48 \| 5.2% \| \| 2014 \| 64.4% \| 3.4% \| $115.13 \| 4.6% \| $74.09 \| 8.2% \| \| 2015 \| 65.3% \| 1.5% \| $120.31 \| 4.5% \| $78.61 \| 6.1% \| \| 2016 \| 65.4% \| 0.0% \| $124.12 \| 3.2% \| $81.13 \| 3.2% \| \| 2017 \| 65.9% \| 0.9% \| $126.71 \| 2.1% \| $83.54 \| 3.0% \| \| 2018F\| 65.8% \| -0.1% \| $130.00 \| 2.6% \| $85.60 \| 2.5% \| \| 2019F\| 65.8% \| 0.0% \| $132.63 \| 2.0% \| $87.32 \| 2.0% \| \| 2020F\| 65.3% \| -0.8% \| $134.84 \| 1.7% \| $88.05 \| 0.8% \| \| 2021F\| 65.5% \| 0.4% \| $137.18 \| 1.7% \| $89.90 \| 2.1% \| \| 2022F\| 65.8% \| 0.4% \| $139.92 \| 2.0% \| $92.06 \| 2.4% \| Source: CBRE Hotels’ Americas Research, STR, Q4 2017. Local Competitive Market In order to develop conclusions relative to the impact of the city of Chino Hills’ hotel market from the addition of the subject hotels, we have determined the overall competitive lodging environment in which the subject hotels will likely compete with as this impact is expected to not only be concentrated in the city of Chino Hills’ hotel market. We analyzed the historical market performance of the city of Chino Hills’ lodging independently and in aggregate with the overall competitive market. We then project future operating performance for each market under three scenarios: no addition to the hotel market, the addition of the 116-room TownePlace Suites, and the addition of both the 116-room TownePlace Suites and the 120-room Holiday Inn Express. Utilizing these projections, we have estimated future transient occupancy tax collections to determine the positive or negative impact from the aforementioned scenarios to the city of Chino Hills. OVERALL COMPETITIVE SUPPLY The overall competitive properties have been selected based on their facilities, location, market performance and orientation, property rating, and rate structure. The competitive supply offers a reasonable basis of historical demand and operating performance on which to base our amount of impact from the subject hotels. We have considered the subject hotels to compete with the existing supply in the city of Chino Hills and the greater surrounding area including the cities of Diamond Bar, Pomona, and Corona. The hotels in the competitive market are located proximate to the demand generators of the general hotel market and compete for similar business. The following chart presents the competitive set for the subject hotels. \| Map Code \| Property \| Number of Rooms \| \|----------\|----------------------------------------------\|-----------------\| \| ★ \| TownePlace Suites and Holiday Inn Express Chino Hills \| 116/120 \| \| 1 \| Hampton Inn & Suites Chino Hills \| 104 \| \| 2 \| Ayres Hotel Chino Hills \| 124 \| \| 3 \| Hotel Chino Hills \| 99 \| \| 4 \| Holiday Inn Select Diamond Bar \| 175 \| \| 5 \| Ayres Suites Diamond Bar \| 101 \| \| 6 \| Sheraton Suites Fairplex Pomona \| 247 \| \| 7 \| Residence Inn Corona \| 95 \| \| 8 \| Fairfield Inn Corona \| 96 \| \| 9 \| SpringHill Suites Corona \| 130 \| Competitive Market Total (without the city of Chino Hill’s Hotel Market) 842 Competitive Market Total 1,169 It should be noted that there are other lodging facilities within the market that may be considered secondarily competitive and have not been included in our analysis due to facilities, market orientation, average rate, and/or location. The following map indicates the location of various properties which comprise the competitive set for the subject hotels. Map of the Competitive Supply Chino Hills Hotel Market, Chino Hills, CA Competitive Lodging Supply Historical Market Performance The following table presents a summary of the historical market performance of the aforementioned competitive set of the nine hotels including the city of Chino Hills’ three currently open and operating hotels (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel). Table 1: \| Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| REVPAR \| Percent Change \| \|------\|---------------\|----------------\|----------------\|----------------\|------------------\|--------------------\|----------------\|--------\|----------------\| \| 2013 \| 391,645 \| N/A \| 288,824 \| N/A \| 74% \| $99.90 \| N/A \| $73.67 \| N/A \| \| 2014 \| 409,165 \| 4.5% \| 307,552 \| 6.5% \| 75 \| 106.61 \| 6.7% \| 80.13 \| 8.8% \| \| 2015 \| 426,685 \| 4.3% \| 329,941 \| 7.3% \| 77 \| 112.58 \| 5.6% \| 87.05 \| 8.6% \| \| 2016 \| 426,685 \| 0.0% \| 331,319 \| 0.4% \| 78 \| 121.12 \| 7.6% \| 94.05 \| 8.0% \| \| 2017 \| 426,685 \| 0.0% \| 325,682 \| -1.7% \| 76 \| 125.96 \| 4.0% \| 96.14 \| 2.2% \| \| CAAG \| 2.2% \| \| \| 3.0% \| \| \| 6.0% \| \| 6.9% \| Source: CBRE Hotels Supply in the competitive market has increased on a compound annual basis of 2.2 percent from 2013 through 2017. In 2013, the room supply in the competitive market increased by 4.5 percent with the opening of the Fairfield Inn Corona/Norco in July 2014. In the following year, annual supply increased by 4.3 percent from the annualized rooms of the Fairfield Inn Corona/Norco being absorbed in the competitive market. Occupied room nights increased by 3.0 percent annually; however, the competitive supply experienced a 1.7 percent decline in 2017. This is mostly attributed to the extensive renovation that occurred at the Holiday Inn Diamond Bar. As a result, occupancy has increased each year except for 2017. The average daily room rate (ADR) of the competitive set increased by 6.0 percent on an average basis over the historic period. The competitive market achieved an average daily rate of $125.96 in 2017. Revenue per available room (RevPAR), a combination of occupancy and average daily room rate, increased by 6.9 percent on an annual basis over the last five years. RevPAR at the end of 2017 was $96.14, a 2.2 percent increase over the previous year. City of Chino Hills Lodging Supply Historical Market Performance We have derived the historical performance of the city of Chino Hills’ hotel market using historical transient occupancy tax collections alongside our data and knowledge of the hotel market. The current transient occupancy tax for the City is 10 percent of total room revenue. The transient occupancy tax collection for each property was used to determine the total revenues collected on a calendar year basis. Utilizing the total revenue of each property, we’ve estimated occupancy levels and average daily rate based on positioning, product offerings, internal data, and our knowledge of the Chino Hills’ hotel market. We have also accounted for a percentage variance based on the following exemptions as described in the City of Chino Hills’ Code of Ordinances, section 3.32.040: 1. Any person as to whom, or any occupancy as to which, it is beyond the legal authority of the city to impose the tax; 2. Any federal officer or employee when on official business; 3. Any officer or employee of a foreign government who is exempt by reason of express provision of federal law or international treaty; nor, 4. Any person who occupies a room in a hotel for more than thirty (30) consecutive days; 5. If the occupancy is of one permitted living unit for the owner/manager; or, 6. If the occupancy of a room in a hotel is by an employee of the operator and/or owner which room is utilized by such employee while visiting the premises for business purposes and for which no rent is charged. The aggregate average annual available and occupied rooms, resulting occupancy levels, average daily rate, and revenue per available room for the city of Chino Hills’ hotel market between 2013 and 2017 are presented in the following table. Table 2: \| Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| REVPAR \| Percent Change \| \|------\|---------------\|----------------\|----------------\|----------------\|------------------\|-------------------\|----------------\|--------\|----------------\| \| 2013 \| 119,355 \| N/A \| 87,389 \| N/A \| 73% \| $95.29 \| N/A \| $69.77 \| N/A \| \| 2014 \| 119,355 \| 0.0% \| 91,645 \| 4.9% \| 77 \| 102.83 \| 7.9% \| 78.95 \| 13.2% \| \| 2015 \| 119,355 \| 0.0 \| 94,219 \| 2.8 \| 79 \| 107.78 \| 4.8 \| 85.09 \| 7.8 \| \| 2016 \| 119,355 \| 0.0 \| 95,696 \| 1.6 \| 80 \| 115.25 \| 6.9 \| 92.40 \| 8.6 \| \| 2017 \| 119,355 \| 0.0 \| 96,378 \| 0.7 \| 81 \| 119.35 \| 3.6 \| 96.38 \| 4.3 \| \| CAAG \| 0.0% \| 2.5% \| \| \| \| 5.8% \| \| 8.4% \| \| Source: CBRE Hotels Supply in the city of Chino Hill’s hotel market has remained unchanged over the historical period, with the latest supply change occurring in 2011 from the opening of the 99-room Hotel Chino Hills. It should be noted that this hotel originally opened in January 2011 as a Holiday Inn Express Hotel, but its franchise with InterContinental Hotels was terminated in July 2011 and since that time it has operated as an independent hotel. Demand for rooms, as demonstrated by occupied room nights, has increased at a rate of 2.5 percent annually with the largest percent change of 4.9 percent from 2013 to 2014. These increases can be attributed to the improved economic health of the Inland Empire. Although occupied rooms have been increasing each year, it should be noted that the percentage increase has gradually declined. This is a result of the hotel market likely operating at or above stabilized levels in recent years. The average daily room rate (ADR) of the city of Chino Hill’s hotel market increased by 5.8 percent on an average basis over the historic period. The hotel market achieved an average daily rate of $119.35 at the end of 2017. As aforementioned, the growth in the market for average daily rate has been a result of improving economic conditions as well as increased development in and around the surrounding cities. However similar to the growth in occupied rooms, the percentage gains in average rate are anticipated to moderate to a level more in line with inflation in the coming years. Revenue per available room (RevPAR), a combination of occupancy and average daily room rate, increased by 8.4 percent on an annual basis over the last five years. RevPAR at the end of 2017 was $96.38, a 4.3 percent increase over the previous year. This is the highest RevPAR that has been achieved for the hotel market in the city of Chino Hills. PROJECTED MARKET PERFORMANCE As a component of our analysis, we have projected future operating projections for the overall competitive supply and the existing city of Chino Hills’ hotel market under the following three scenarios: - Scenario A - no additions to the hotel market - Scenario B - the addition of the under-construction TownePlace Suites with 116 guestrooms in July 2018 - Scenario C - the addition of the under-construction TownePlace Suites with 116 guestrooms and the addition of the Holiday Inn Express with 120 guestrooms in July 2019 It should be noted that the projected market performance tables of the overall competitive supply display the annual supply change from the addition of the TownePlace Suites in Scenario B and the addition of the TownePlace Suites as well as the Holiday Inn Express in Scenario C. The projected market performance tables of the existing Chino Hills’ hotel market (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) does not display the annual supply change as we have analyzed the impact of the addition of the TownePlace Suites and the Holiday Inn Express in each scenario specifically on the three existing Chino Hills hotels. Scenario A - Projected Market Performance (Overall Competitive Supply) \| Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| RevPAR \| Percent Change \| \|------\|---------------\|----------------\|----------------\|----------------\|------------------\|--------------------\|----------------\|--------\|----------------\| \| 2018 \| 426,685 \| 0.0% \| 332,800 \| 2.2% \| 78% \| $128.00 \| 1.6% \| 99.84 \| 3.8% \| \| 2019 \| 426,685 \| 0.0 \| 328,500 \| -1.3 \| 77 \| 132.00 \| 3.1 \| 101.63 \| 1.8 \| \| 2020 \| 426,685 \| 0.0 \| 324,300 \| -1.3 \| 76 \| 136.00 \| 3.0 \| 103.37 \| 1.7 \| \| 2021 \| 426,685 \| 0.0 \| 324,300 \| 0.0 \| 76 \| 140.00 \| 2.9 \| 106.41 \| 2.9 \| \| 2022 \| 426,685 \| 0.0 \| 324,300 \| 0.0 \| 76 \| 144.00 \| 2.9 \| 109.45 \| 2.9 \| \| 2023 \| 426,685 \| 0.0 \| 324,300 \| 0.0 \| 76 \| 149.00 \| 3.5 \| 113.25 \| 3.5 \| \| CAAG \| 0.0% \| -0.5% \| \| \| \| 3.1% \| \| 2.6% \| \| Source: CBRE Hotels As can be noted in the preceding table, annual supply is expected to remain unchanged without any additions or deletions for the competitive supply. With regard to growth in demand in future years, overall demand is expected to gradually decline as the overall market and economic conditions stabilize. We are of the opinion, that the market has experienced positive conditions and will eventually return to a stabilized market occupancy of 76 percent as reflected in the table. Average daily rate is anticipated to grow at or around inflationary rates over the projection period. As a result, RevPAR is expected to grow at 2.6 percent annually. Scenario A – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) Table 4: Projected Performance of the Chino Hills’ Hotel Market – Scenario A \| Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| RevPAR \| Percent Change \| \|------\|---------------\|----------------\|----------------\|----------------\|------------------\|--------------------\|----------------\|--------\|----------------\| \| 2018 \| 119,355 \| 0.0% \| 95,300 \| -1.1% \| 80% \| $122.00 \| 2.2% \| $97.41 \| 1.1% \| \| 2019 \| 119,355 \| 0.0 \| 94,000 \| -1.4 \| 79 \| $126.00 \| 3.0 \| $99.23 \| 1.9 \| \| 2020 \| 119,355 \| 0.0 \| 92,900 \| -1.2 \| 78 \| $129.00 \| 3.0 \| $100.41\| 1.2 \| \| 2021 \| 119,355 \| 0.0 \| 92,900 \| 0.0 \| 78 \| $133.00 \| 3.0 \| $103.52\| 3.1 \| \| 2022 \| 119,355 \| 0.0 \| 92,900 \| 0.0 \| 78 \| $137.00 \| 3.0 \| $106.63\| 3.0 \| \| 2023 \| 119,355 \| 0.0 \| 92,900 \| 0.0 \| 78 \| $141.00 \| 3.0 \| $109.75\| 2.9 \| \| CAAG \| 0.0% \| -0.5% \| \| \| \| \| \| \| \| Source: CBRE Hotels Demand for rooms is estimated to decrease by 0.5 percent on a compound annual basis similarly to the overall competitive supply. We are of the opinion that the existing Chino Hills’ hotel market has also been operating above stabilized levels in the previous years and will eventually return to a stabilized market occupancy of 78 percent. The average daily rate for the hotel market of Chino Hills’ is expected to increase by 2.9 percent annually, while RevPAR is expected to increase by 2.4 percent annually. Scenario B - Projected Market Performance (Overall Competitive Supply) Table 5: Projected Performance of the Competitive Supply – Scenario B \| Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| RevPAR \| Percent Change \| \|------\|---------------\|----------------\|----------------\|----------------\|------------------\|--------------------\|----------------\|--------\|----------------\| \| 2018 \| 447,855 \| 5.0% \| 336,500 \| 3.3% \| 75% \| $128.00 \| 1.6% \| $96.17 \| 0.0% \| \| 2019 \| 469,025 \| 4.7 \| 347,600 \| 3.3 \| 74 \| $132.00 \| 3.1 \| 97.83 \| 1.7 \| \| 2020 \| 469,025 \| 0.0 \| 356,500 \| 2.6 \| 76 \| $136.00 \| 3.0 \| 103.37 \| 5.7 \| \| 2021 \| 469,025 \| 0.0 \| 356,500 \| 0.0 \| 76 \| $140.00 \| 2.9 \| 106.41 \| 2.9 \| \| 2022 \| 469,025 \| 0.0 \| 356,500 \| 0.0 \| 76 \| $144.00 \| 2.9 \| 109.45 \| 2.9 \| \| 2023 \| 469,025 \| 0.0 \| 356,500 \| 0.0 \| 76 \| $149.00 \| 3.5 \| 113.25 \| 3.5 \| \| CAAG \| 0.9% \| 1.2% \| \| \| \| \| \| \| \| Source: CBRE Hotels The annual supply is expected to increase by 5.0 percent in 2018 from the projected opening of the under-construction TownePlace Suites in July. The annualized rooms of the TownePlace Suites will be fully reflected in the following year, 2019. Occupied rooms are expected to increase by 1.2 percent from demand induced by the TownePlace Suites. This increase can be attributed to the travelers seeking extended-stay hotel options in the city of Chino Hills. Additionally, the hotel is expected to attract loyal Marriott Rewards members that were previously staying outside of the competitive market given the limited number of Marriott branded hotels in the local market. Average daily rate of the competitive supply is expected to remain the same as the TownePlace Suites is expected to be positioned similarly in terms of rate. RevPAR is anticipated to grow at a greater rate from Scenario A due to the market operating at lower levels in the first two years before stabilizing in the remaining projection period. Scenario B – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) Table 6: Projected Performance of the Chino Hills’ Hotel Market – Scenario B \| Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| RevPAR \| Percent Change \| \|------\|---------------\|----------------\|----------------\|----------------\|------------------\|--------------------\|----------------\|--------\|----------------\| \| 2018 \| 119,355 \| 0.0% \| 94,800 \| -1.6% \| 79% \| $121.00 \| 1.4% \| $96.11 \| -0.2% \| \| 2019 \| 119,355 \| 0.0 \| 92,600 \| -2.3 \| 78 \| $123.00 \| 2.0 \| $95.43 \| -0.7 \| \| 2020 \| 119,355 \| 0.0 \| 91,900 \| -0.8 \| 77 \| $127.00 \| 3.0 \| $97.79 \| 2.5 \| \| 2021 \| 119,355 \| 0.0 \| 91,900 \| 0.0 \| 77 \| $131.00 \| 3.0 \| $100.87\| 3.1 \| \| 2022 \| 119,355 \| 0.0 \| 91,900 \| 0.0 \| 77 \| $135.00 \| 3.0 \| $103.95\| 3.1 \| \| 2023 \| 119,355 \| 0.0 \| 91,900 \| 0.0 \| 77 \| $139.00 \| 3.0 \| $107.03\| 3.0 \| \| CAAG \| 0.0% \| -0.6% \| \| \| \| \| \| \| 2.8% \| Source: CBRE Hotels The city of Chino Hills’ Hotel Market is anticipated to absorb the addition of the TownePlace Suites with minimal impact to the lodging market. Occupied rooms across the existing hotel market is expected to decrease by 0.6 percent annually. In 2018 and 2019, demand for rooms is projected to decrease by 1.6 percent and 2.3 percent respectively. In 2020, demand for rooms is expected to further decrease by 0.8 percent. We are of the opinion, that the existing Chino Hills’ hotel market will stabilize at 77 percent or one percent less than scenario A. The TownePlace Suites is expected consume some demand from the existing hotel market, as demonstrated by the reduction in occupied rooms in the existing market upon stabilization. The average daily rate is projected to increase by 2.8 percent on a compound annual basis as the existing Chino Hills’ hotel market modifies their rate positioning to attract more demand. Overall, RevPAR is expected to increase by 2.2 percent on an annual basis from 2018 through 2023. Scenario C – Projected Market Performance (Overall Competitive Supply) Table 7: Projected Performance of the Competitive Supply – Scenario C \| Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| RevPAR \| Percent Change \| \|------\|---------------\|----------------\|----------------\|----------------\|------------------\|--------------------\|----------------\|--------\|----------------\| \| 2018 \| 447,855 \| 5.0% \| 336,500 \| 3.3% \| 75% \| $128.00 \| 1.6% \| $96.17 \| 0.0% \| \| 2019 \| 490,925 \| 9.6 \| 348,600 \| 3.6 \| 71 \| $132.00 \| 3.1 \| $93.73 \| -2.5 \| \| 2020 \| 512,825 \| 4.5 \| 365,300 \| 4.8 \| 71 \| $136.00 \| 3.0 \| $96.88 \| 3.4 \| \| 2021 \| 512,825 \| 0.0 \| 379,800 \| 4.0 \| 74 \| $140.00 \| 2.9 \| $103.68\| 7.0 \| \| 2022 \| 512,825 \| 0.0 \| 389,800 \| 2.6 \| 76 \| $144.00 \| 2.9 \| $109.45\| 5.6 \| \| 2023 \| 512,825 \| 0.0 \| 389,800 \| 0.0 \| 76 \| $149.00 \| 3.5 \| $113.26\| 3.5 \| \| CAAG \| 2.7% \| 3.0% \| \| \| \| \| \| \| 3.1% \| Source: CBRE Hotels The annual supply of the competitive market is expected to increase by 2.7 percent annually with the addition of the TownePlace Suites in July 2018 and the Holiday Inn Express in July 2019. Similarly, to Scenario B, the Holiday Inn Express is anticipated to induce additional demand from loyal brand members and those seeking select-service accommodations with a complimentary hot breakfast in the city of Chino Hills. As identified previously, there is only one InterContinental Group affiliated hotel within the competitive supply, and the closest Holiday Inn Express Hotels are located more than ten miles away in the city of San Dimas to the northwest and the city of Corona to the southeast. The market occupancy will decrease to 71 percent in 2019 and 2020, but eventually return to a stabilized level of 76 percent in 2022. The average daily rate and RevPAR is expected to increase at similar ratios as the previous Scenarios. Scenario C – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) \| Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| REVPAR \| Percent Change \| \|------\|---------------\|----------------\|----------------\|----------------\|------------------\|-------------------\|----------------\|--------\|----------------\| \| 2018 \| 119,355 \| 0.0% \| 94,800 \| -1.6% \| 79% \| $121.00 \| 1.4% \| $96.11 \| -0.2% \| \| 2019 \| 119,355 \| 0.0 \| 89,600 \| -5.5 \| 75 \| $122.00 \| 1.0 \| $91.59 \| -4.7 \| \| 2020 \| 119,355 \| 0.0 \| 88,000 \| -1.8 \| 74 \| $125.00 \| 2.5 \| $92.16 \| 0.6 \| \| 2021 \| 119,355 \| 0.0 \| 90,900 \| 3.3 \| 76 \| $129.00 \| 3.0 \| $98.25 \| 6.6 \| \| 2022 \| 119,355 \| 0.0 \| 90,900 \| 0.0 \| 76 \| $133.00 \| 3.0 \| $101.29\| 3.1 \| \| 2023 \| 119,355 \| 0.0 \| 90,900 \| 0.0 \| 76 \| $137.00 \| 3.0 \| $104.34\| 3.0 \| \| CAAG \| 0.0% \| -0.8% \| \| \| \| \| 2.5% \| \| 1.7% \| Source: CBRE Hotels The existing city of Chino Hills’ hotel market is expected to be further impacted from the addition of the Holiday Inn Express in Scenario C. Demand for rooms is anticipated to decrease by 0.8 percent on a compounded annual basis. The market occupancy is anticipated to stabilize at 76 percent in 2021, two percent less than Scenario A and one percent less than Scenario B. The average daily rate is expected to be $122.00 in 2019 and increase by 2.5 on an annual basis through 2023. The Holiday Inn Express is expected to marginally decrease the market’s growth in average daily rate due to an increased level of competition in the local market. Overall, RevPAR is expected to increase by 1.7 percent annually. SUMMARY OF IMPACT The following table includes a summary of the occupancy and average daily rate impact from the previous three scenarios evaluated. \| Year \| Scenario A \| Scenario B \| Scenario C \| Scenario B Impact \| Scenario C Impact \| \|------\|------------\|------------\|------------\|-------------------\|-------------------\| \| \| Occ \| ADR \| Occ \| ADR \| Occupancy Impact \| ADR Impact \| \| 2018 \| 80% \| $122.00 \| 79% \| $121.00 \| -1% \| ($1.00) \| \| 2019 \| 79 \| $126.00 \| 78 \| $124.00 \| -1 \| (2.00) \| \| 2020 \| 78 \| $129.00 \| 77 \| $128.00 \| -1 \| (1.00) \| \| 2021 \| 78 \| $133.00 \| 77 \| $132.00 \| -1 \| (1.00) \| \| 2022 \| 78 \| $137.00 \| 77 \| $136.00 \| -1 \| (1.00) \| \| 2023 \| 78 \| $141.00 \| 77 \| $140.00 \| -1 \| (1.00) \| Source: CBRE Hotels TOT ANALYSIS AND CONVERSION TO FISCAL YEAR We have estimated transient occupancy tax collections under each Scenario on a fiscal year basis for the purposes of analyzing the impact of the TownePlace Suites and the Holiday Inn Express on the existing city of Chino Hills’ hotel market. For the purpose of this analysis, it should be noted that the TOT collections are direct calculations of total room revenue and do not include a percentage variance as previously accounted for in the historical performance. Historical Transient Occupancy Tax Collections The following table contains figures for historical transient occupancy tax collections on a fiscal year basis from July 2012 through June 2017 for the existing city of Chino Hills’ hotel market. \| Year \| Annual TOT Collected \| Percent Change \| \|------------\|----------------------\|----------------\| \| 2012/13 \| $649,807 \| N/A \| \| 2013/14 \| 770,469 \| 18.6% \| \| 2014/15 \| 928,703 \| 20.5 \| \| 2015/16 \| 1,011,338 \| 8.9 \| \| 2016/17 \| 1,080,990 \| 6.9 \| \| CAAG \| 10.7% \| \| Source: City of Chino Hills Existing Chino Hills’ Hotel Market Transient Occupancy Tax Collections The following table presents the estimated transient occupancy tax collection for the existing city of Chino Hills’ three hotels (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) based on our projections from Scenario A without any hotel additions to the market. It should be noted that the projections for TOT and the proposed additions to supply presented herein are estimates based upon our understanding of the local market. These estimates should not be relied upon by the City of Chino Hills or any other party as results that will actually be achieved without further study and a more detailed analysis. \| Fiscal Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| RevPAR \| Percent Change \| TOT* \| Percent Revenue Change \| \|-------------\|---------------\|----------------\|----------------\|----------------\|------------------\|--------------------\|-----------------\|--------\|-----------------------\|------\|------------------------\| \| 2018/19 \| 119,355 \| N/A \| 94,650 \| N/A \| 79% \| $124.00 \| N/A \| $98.33 \| N/A \| $1,174,000 \| N/A \| \| 2019/20 \| 119,355 \| 0.0% \| 93,450 \| -1.3% \| 78 \| 127.50 \| 2.8% \| 99.83 \| 1.5% \| 1,191,000 \| 1.4% \| \| 2020/21 \| 119,355 \| 0.0 \| 92,900 \| -0.6 \| 78 \| 131.00 \| 2.7 \| 101.96 \| 2.1 \| 1,217,000 \| 2.2 \| \| 2021/22 \| 119,355 \| 0.0 \| 92,900 \| 0.0 \| 78 \| 135.00 \| 3.1 \| 105.08 \| 3.1 \| 1,254,000 \| 3.0 \| \| 2022/23 \| 119,355 \| 0.0 \| 92,900 \| 0.0 \| 78 \| 139.00 \| 3.0 \| 108.19 \| 3.0 \| 1,291,000 \| 3.0 \| \| 2023/24 \| 119,355 \| 0.0 \| 92,900 \| 0.0 \| 78 \| 143.50 \| 3.2 \| 111.69 \| 3.2 \| 1,333,000 \| 3.3 \| \| CAAG \| 0.0% \| -0.3% \| \| \| 2.5% \| \| 2.1% \| \| \| \| \| Rounded and does not include TOT collection for exemptions, penalties, & interest charges Source: CBRE Hotels The following table presents the estimated transient occupancy tax collection for the existing city of Chino Hills’ hotel market (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) based on our projections from Scenario B with the impact from the TownePlace Suites. Table 12: Projected Market Performance of City of Chino Hills’ Hotel Market – Scenario B \| Fiscal Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| RevPAR \| TOT Revenue \| % Change \| \|-------------\|---------------\|----------------\|----------------\|----------------\|------------------\|-------------------\|--------\|--------------\|----------\| \| 2018/19 \| 119,355 \| N/A \| 93,700 \| N/A \| 79% \| $122.00 \| $95.78 \| $1,143,000 \| N/A \| \| 2019/20 \| 119,355 \| 0.0% \| 92,250 \| -1.5% \| 77 \| $125.00 \| 96.61 \| 1,153,000 \| 0.9% \| \| 2020/21 \| 119,355 \| 0.0% \| 91,900 \| -0.4 \| 77 \| $129.00 \| 99.33 \| 1,186,000 \| 2.9% \| \| 2021/22 \| 119,355 \| 0.0% \| 91,900 \| 0.0 \| 77 \| $133.00 \| 102.41 \| 1,222,000 \| 3.0% \| \| 2022/23 \| 119,355 \| 0.0% \| 91,900 \| 0.0 \| 77 \| $137.00 \| 105.49 \| 1,259,000 \| 3.0% \| \| 2023/24 \| 119,355 \| 0.0% \| 91,900 \| 0.0 \| 77 \| $141.00 \| 108.57 \| 1,296,000 \| 2.9% \| \| CAAG \| 0.0% \| -0.3% \| \| \| \| 2.4% \| 2.1% \| 2.1% \| \| Rounded and does not include TOT collection for exemptions, penalties, & interest charges Source: CBRE Hotels The following table presents the estimated transient occupancy tax collection for the existing city of Chino Hills’ hotel market (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) based on our projections from Scenario C with the impact from both hotel additions (TownePlace Suites and Holiday Inn Express). Table 13: Projected Market Performance of City of Chino Hills’ Hotel Market – Scenario C \| Fiscal Year \| Annual Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| RevPAR \| TOT Revenue \| % Change \| \|-------------\|---------------\|----------------\|----------------\|----------------\|------------------\|-------------------\|--------\|--------------\|----------\| \| 2018/19 \| 119,355 \| N/A \| 93,700 \| N/A \| 79% \| $122.00 \| $95.78 \| $1,143,000 \| N/A \| \| 2019/20 \| 119,355 \| 0.0% \| 88,800 \| -3.7% \| 74 \| $123.50 \| 91.88 \| 1,097,000 \| -4.0% \| \| 2020/21 \| 119,355 \| 0.0 \| 89,450 \| 0.7 \| 75 \| $127.00 \| 95.18 \| 1,136,000 \| 3.6 \| \| 2021/22 \| 119,355 \| 0.0 \| 90,900 \| 1.6 \| 76 \| $131.00 \| 99.77 \| 1,191,000 \| 4.8 \| \| 2022/23 \| 119,355 \| 0.0 \| 90,900 \| 0.0 \| 76 \| $135.00 \| 102.82 \| 1,227,000 \| 3.0 \| \| 2023/24 \| 119,355 \| 0.0 \| 90,900 \| 0.0 \| 76 \| $139.00 \| 105.86 \| 1,264,000 \| 3.0 \| \| CAAG \| 0.0% \| -0.5% \| \| \| \| 2.2% \| 1.7% \| 1.7% \| \| Rounded and does not include TOT collection for exemptions, penalties, & interest charges Source: CBRE Hotels Utilizing the preceding tables, we’ve summarized the hypothetical difference in the estimated TOT to be collected from the existing three Chino Hills hotels (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) under Scenario A, Scenario B, and Scenario C. Table 14: Estimated TOT Collections from the Existing Three City of Chino Hills Hotels \| Fiscal Years (July-June) \| Scenario A \| Scenario B \| Scenario C \| Difference of TOT Collected (A and C) \| Percent Change \| \|--------------------------\|------------\|------------\|------------\|--------------------------------------\|----------------\| \| 2018/19 \| $1,154,000 \| $1,143,000 \| $1,143,000 \| ($31,000) \| N/A \| \| 2019/20 \| $1,187,000 \| $1,153,000 \| $1,097,000 \| ($94,000) \| -2.6% \| \| 2020/21 \| $1,220,000 \| $1,186,000 \| $1,136,000 \| ($81,000) \| -7.9% \| \| 2021/22 \| $1,257,000 \| $1,222,000 \| $1,191,000 \| ($63,000) \| -6.7% \| \| 2022/23 \| $1,294,000 \| $1,259,000 \| $1,227,000 \| ($64,000) \| -5.0% \| \| 2023/24 \| $1,336,000 \| $1,296,000 \| $1,264,000 \| ($69,000) \| -5.0% \| \| Total Difference \| \| \| \| ($402,000) \| \| Source: CBRE Hotels Absolute Transient Occupancy Tax Collections While annual TOT collections from the existing hotel market is expected to moderately decrease, the addition of the TownePlace Suites and the Holiday Inn Express hotels are expected to increase absolute TOT collections to the City of Chino Hills. The following tables include presumed operating figures in occupancy and average daily rate of the TownePlace Suites and Holiday Inn Express to demonstrate the potential increase of TOT collections from the subject hotels based on estimates and assumptions. These estimates and assumptions are subject to uncertainty and variation, we do not present them as results that will actually be achieved. Further, our analysis has been conscientiously prepared on the basis of information obtained during the course of this assignment including our discussion with the developer, the potential management company, brand representatives, and our general knowledge in the industry. Table 15: TownePlace Suites (116 Rooms) – July 2018 Opening \| Year \| Occ \| ADR \| RevPAR \| TOT (Rounded) \| \|------\|-------\|--------\|--------\|---------------\| \| 2018 \| 72% \| $138.00\| $99.36 \| $421,000 \| \| 2019 \| 76 \| 142.00 \| 108.03 \| 457,000 \| \| 2020 \| 80 \| 146.00 \| 117.12 \| 496,000 \| \| 2021 \| 80 \| 151.00 \| 120.64 \| 511,000 \| \| 2022 \| 80 \| 155.00 \| 124.26 \| 526,000 \| \| 2023 \| 80 \| 160.00 \| 127.98 \| 542,000 \| \| 2024 \| 80 \| 165.00 \| 131.82 \| 558,000 \| Source: CBRE Hotels Table 16: Holiday Inn Express (120 Rooms) – July 2019 Opening \| Year \| Occ \| ADR \| RevPAR \| TOT (Rounded) \| \|------\|-------\|--------\|--------\|---------------\| \| 2018 \| - \| - \| - \| - \| \| 2019 \| 70% \| $140.00\| $98.00 \| $429,000 \| \| 2020 \| 74 \| 144.00 \| 106.71 \| 467,000 \| \| 2021 \| 78 \| 149.00 \| 115.85 \| 507,000 \| \| 2022 \| 78 \| 153.00 \| 119.33 \| 523,000 \| \| 2023 \| 78 \| 158.00 \| 122.91 \| 538,000 \| \| 2024 \| 78 \| 162.00 \| 126.59 \| 554,000 \| Source: CBRE Hotels The following table includes our estimated transient occupancy tax collections on a fiscal year basis (July – June) from the estimated projections of the TownePlace Suites and the Holiday Inn Express. For the purpose of this analysis, we have taken half the estimated TOT collections of each calendar each to calculate the estimated fiscal year TOT collections. Table 17: Estimated Fiscal TOT Calculation (from TownePlace Suites) \| Year \| TOT (Rounded) \| \|---------------\|---------------\| \| 2018/19 \| $439,000 \| \| 2019/20 \| 476,500 \| \| 2020/21 \| 503,500 \| \| 2021/22 \| 518,500 \| \| 2022/23 \| 534,000 \| \| 2023/24 \| 550,000 \| Source: CBRE Hotels Table 18: Estimated Fiscal TOT Calculation (from TownePlace Suites and Holiday Inn Express) \| Year \| TOT \| \|------------\|--------------\| \| 2018/19 \| $439,000 \| \| 2019/20 \| 925,000 \| \| 2020/21 \| 990,500 \| \| 2021/22 \| 1,033,500 \| \| 2022/23 \| 1,064,500 \| \| 2023/24 \| 1,096,000 \| Source: CBRE Hotels To derive at our absolute TOT collections for the City of Chino Hills, we have added our estimated TOT collections of the three existing Chino Hills hotels from each scenario and added the estimated fiscal year TOT collections from the TownePlace Suites and the Holiday Inn Express. The following table includes our estimated TOT collections as well as the difference in TOT collections from Scenario A, which includes no additions to the Chino Hills’ hotel market and Scenario C, which includes the addition of the TownePlace Suites and the Holiday Inn Express. Table 19: Total Estimated TOT Collections for City of Chino Hills’ Hotel Market Fiscal Years (July-June) \| Year \| Annual TOT \| Percent Change \| \|------------\|-------------\|----------------\| \| \| Scenario A \| Scenario B \| Scenario C \| Difference (A and C) \| \| \| 2018/19 \| $1,154,000 \| $1,582,000 \| $1,582,000 \| $408,000 \| 34.8% \| \| 2019/20 \| 1,187,000 \| 1,629,500 \| 2,022,000 \| 831,000 \| 69.8 \| \| 2020/21 \| 1,220,000 \| 1,689,500 \| 2,127,000 \| 910,000 \| 74.8 \| \| 2021/22 \| 1,257,000 \| 1,740,500 \| 2,225,000 \| 971,000 \| 77.4 \| \| 2022/23 \| 1,294,000 \| 1,793,000 \| 2,292,000 \| 1,001,000 \| 77.5 \| \| 2023/24 \| 1,336,000 \| 1,846,000 \| 2,360,000 \| 1,027,000 \| 77.0 \| \| Total \| \| \| \| $5,148,000 \| \| Rounded and does not include TOT collection for timeshare, penalties, & interest charges Source: CBRE Hotels Conclusions We anticipate the addition of the TownePlace Suites to slightly impact the existing city of Chino Hills’ hotel market and the addition of the Holiday Inn Express to result in a greater level of impact. Although transient occupancy tax collections are estimated to decrease from the existing three hotels, the addition of the TownePlace Suites and the Holiday Inn Express are anticipated to increase TOT collections on an absolute basis. This is due to the additional supply, the anticipated positioning of the TownePlace Suites and Holiday Inn Express, and increased demand in the area induced by these hotels. The TOT collections from the existing Chino Hills’ hotel market (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) are estimated to decrease by approximately $402,000 from July 2018 through June 2024 as shown in the preceding table; however, the difference of the absolute TOT collections from Scenario A and Scenario C is estimated to be a positive approximately $5.1 million from July 2018 through June 2024, which more than mitigates the TOT collection decrease on the existing Chino Hills’ hotel market. Addendum A Terms and Limiting Conditions TERMS AND CONDITIONS 1. 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Addendum B Key Definitions KEY DEFINITIONS: The following definitions were provided by STR Global, a global benchmarking and analytics firm in the hospitality industry. Average Daily Rate (ADR)* - A measure of the average rate paid for rooms sold, calculated by dividing room revenue by rooms sold. \[ \text{ADR} = \frac{\text{Room Revenue}}{\text{Rooms Sold}} \] Demand - The number of rooms sold in a specified time period (excludes complimentary rooms). Meeting Space - Space designed for catering and banquet events, used for meal functions and meeting room sets and physically located on the property. Occupancy (Occ) - Percentage of available rooms sold during a specified time period. Occupancy is calculated by dividing the number of rooms sold by rooms available. \[ \text{Occupancy} = \frac{\text{Rooms Sold}}{\text{Rooms Available}} \] Percent Change (% Chg.) - The amount of growth - positive, negative, or flat - expressed as a percentage comparing a period versus the same period last year. Calculated as \((\frac{\text{This Year} - \text{Last Year}}{\text{Last Year}}) \times 100\). Revenue (Room Revenue) - Total room revenue generated from the guestroom rentals or sales. Refer to Data Reporting Guidelines for more specific application. Revenue Per Available Room (RevPAR) - Total room revenue divided by the total number of available rooms. See Room Revenue, Rooms Available. \[ \text{Room Revenue/Rooms Available} = \text{RevPAR} \] Rooms Available (Room Supply) - The number of rooms in a hotel or set of hotels multiplied by the number of days in a specified time period. Annual Supply Example: 100 rooms in subject hotel x 365 days in the year = Annual Room Supply of 36,500 for the year. January 24, 2019 City of Chino Hills Community Development Department Attn: Michael Hofflinger, Senior Planner 14000 City Center Drive Chino Hills, CA 91710 Dear Mr. Hofflinger Pursuant to the request by members of the Planning Commission, we are pleased to submit this supplemental letter relative to the hotel developments at The Rincon in the City of Chino Hills. Specifically, CBRE Hotels Advisory has been further engaged to study the potential impact of three additional hotel properties in Pomona on the City of Chino Hills’ lodging market. Additionally, we have further defined and expounded on our understanding of the local market and identified the level to which the City of Chino Hills’ hotel market is competitive with other municipalities in the general area. To obtain data on current conditions, market mix, and likely future results, we conducted primary research in the area including interviews with representatives of the competitive hotels, real estate professionals, and representatives of various local governmental and planning entities. Moreover, we arrived at our conclusions as a result of our fieldwork, knowledge of the local lodging market, and our review of market supply and demand. This analysis is subject to the Terms and Conditions presented in our prior study dated, April 24, 2018. We would be pleased to hear from you if we can be of further assistance in the interpretation of our findings and conclusions. Sincerely, Jeff Lugosi, CRE, MAI, FRICS, ISHC Managing Director Brandon Feighner Director ADDITIONAL POMONA HOTELS Our most recent report to the City of Chino Hills was submitted to the Community Development Department (CDD) in October 2018. Our report was utilized by the CDD as a part of their presentation to the City of Chino Hills Planning Commission on November 6, 2018. At the November 6th meeting, members of the Planning Commission expressed a potential concern that new hotels being developed outside the City of Chino Hills may negatively impact the performance of the existing Chino Hills’ lodging market. As such we have conducted additional detailed market research with principals involved with each of the three projects in question. More specifically, the three hotel developments considered in our supplemental analysis include: 1. DoubleTree by Hilton Pomona The DoubleTree by Hilton Pomona opened in March 2018 and is located at 3101 West Temple Avenue. The property was formerly the Hilltop Suites Pomona and was purchased from a seller out of a foreclosure auction by SCG America in 2014. After undergoing an extensive multi-million-dollar renovation, the hotel reopened as the DoubleTree Pomona. The hotel includes 132 guestrooms, Vita Bar & Grill, 24-hour fitness center, outdoor swimming pool and whirlpool spa, and approximately 8,000 square feet of event space. 2. Hilton Garden Inn Pomona – Rio Rancho Towne Center The Hilton Garden Inn Pomona is currently being constructed at the Rio Rancho Towne Center along Rancho Valley Drive adjacent to the 71-Freeway. The 149-room hotel is anticipated to consist of five stories and include a restaurant with a bar, approximately 3,000 square feet of banquet space, a fitness room, outdoor patio, and a swimming pool. The hotel is part of a master plan by Lewis Management to complement the existing retail center. Construction of the hotel began in August 2018 and is expected to take approximately 14 to 18 months to complete. 3. Hyatt House/Hyatt Place Pomona – Pomona Ranch Plaza A dual-branded Hyatt House Hotel and Hyatt Place Hotel is being proposed at the southern end of the Pomona Ranch Plaza. The plaza consists of 72 acres with a Wal-Mart, WinCo Foods Supermarket, retail space, and office space. Original plans for the dual-branded hotel totaled 200 rooms as well as a banquet hall. Developer YK America is seeking to increase the number of rooms to 170 for the Hyatt Place and 110 for the Hyatt House. The site is still being graded and plans have not yet been finalized. The following page includes a map of the three aforementioned hotels as well as the Rincon Development in the City of Chino Hills. Generally, the three hotels are located approximately seven to ten miles northwest of The Rincon with a drive time of approximately 20 to 30 minutes during peak periods. Map of Additional Pomona Hotels The Rincon Development SUMMARY OF FINDINGS: Based on our research, we are of the opinion that the additional Pomona hotels will have minimal to no impact on the existing Chino Hills’ hotel market primarily due to the three reasons presented further herein. Our determination of impact is based on the following findings. 1. Brand Representation/Differentiation: The hotel brands currently represented in the City of Chino Hills include Hampton Inn & Suites by Hilton, Ayres Hotels, TownePlace Suites by Marriott, and the Hotel Chino Hills with independent affiliation. Additionally, the second proposed hotel at The Rincon is anticipated to be branded as a Holiday Inn Express by InterContinental Hotel Group. The brands of the three additional Pomona hotels do not currently exist in the local competitive market including the City of Chino Hills. These hotels are anticipated to generate demand from their loyalty base and membership program including guests that may have not previously stayed in the local market. While the DoubleTree and Hilton Garden Inn in Pomona are/will be affiliated with the same Hilton Honors membership program as the Hampton Inn & Suites in Chino Hills, these brands all have distinct differences in the services and amenities offered; i.e., the Hampton Inn brand features limited facilities and amenities, whereas the DoubleTree brand typically features one or more full-service restaurants and meeting and banquet facilities. The brands of the three additional Pomona hotels are described as follows: DoubleTree by Hilton As part of Hilton Hotel and Resorts, the DoubleTree brand benefits from its connection with the award-winning Hilton Honors loyalty program which currently hosts more than 70 million members. The DoubleTree by Hilton brand offers warm, comfortable, and friendly design and service to guests around the world. Amenities like the Sweet Dreams sleep experience, Wake-up DoubleTree Breakfast buffet, and spacious workout facilities target corporate and leisure travelers to this upscale lodging chain. Hilton Garden Inn Brand by Hilton The Hilton Garden Inn brand by Hilton serves as the upscale, mid-priced lodging chain in Hilton’s portfolio of hotels. The brand features designs and amenities to serve both corporate and leisure travelers. Amenities found in Hilton Garden Inn hotels typically include: a lobby seating area, an on-site restaurant, pool, fitness center, business center, and a 24-hour “Pavilion Pantry” for guests to purchase snacks, drinks, and sundries. Hyatt House/Hyatt Place by Hyatt Hotels: The proposed hotel at the Pomona Ranch Plaza will consist of two brands, Hyatt House and Hyatt Place by Hyatt Hotels. Guests of these brands are able to participate in World of Hyatt, the chain’s loyalty program. Hyatt House hotels are upscale, residential-style hotels that offer contemporary apartment-style suites. Spacious studio and one-bedroom suites include full kitchens, comfortable living rooms, large bedrooms and stylish bathrooms. Typical features include the Morning Spread breakfast with made-to-order omelets, H BAR with menu and full bar, the Guest Market, a workout room, laundry facilities and a business center. Hyatt Place is Hyatt Hotels’ upscale, select-service hotel brand, originally launched in 2007. Hyatt Place is targeted specifically to mid-to-upper income Gen X business travelers and individual guests who expect modern conveniences and product design; the brand strives to create a comfortable yet high-tech environment to accommodate guests’ multi-tasking lifestyles. Amenities found in Hyatt Place properties include: a lobby lounge featuring Hyatt’s “Gallery Host” model with spacious gathering areas and an “e-room” with complimentary access to computers and printers; complimentary high-speed wireless internet connection; swimming pool; flexible workspace in guestrooms; 24-hour “Stayfit” fitness centers; “Kitchen Skillet” breakfast; “Grab ‘n Go” case; a 24/7 Gallery dining menu; and a Bakery Café with Starbucks coffee offerings. 2. Year-To-Date Hotel Market Performance: The following table includes the overall competitive properties that were selected in our original analysis based on their facilities, location, market performance and orientation, property rating, and rate structure. Hypothetically and as a point of comparison, we have included the 132-room DoubleTree Pomona into our previously defined competitive market in order to analyze year-to-date performance before and after the property opening. This analysis is being evaluated to determine the impact (if any) of the recently opened DoubleTree on the competitive hotel market that was used in our original study and to demonstrate the difference in overall market performance. It should be noted that the under-construction Hilton Garden Inn and the proposed Hyatt House/Hyatt Place in Pomona have not been included as these hotels are not yet open. \| Number \| Property \| Number of Rooms \| \|--------\|---------------------------------\|-----------------\| \| 1 \| Hampton Inn & Suites Chino Hills\| 104 \| \| 2 \| Ayres Hotel Chino Hills \| 124 \| \| 3 \| Hotel Chino Hills \| 99 \| \| 4 \| Holiday Inn Select Diamond Bar \| 175 \| \| 5 \| Ayres Suites Diamond Bar \| 101 \| \| 6 \| Sheraton Suites Fairplex Pomona \| 247 \| \| 7 \| Residence Inn Corona \| 95 \| \| 8 \| Fairfield Inn Corona \| 96 \| \| 9 \| SpringHill Suites Corona \| 130 \| \| 10 \| DoubleTree Pomona (March 2018 Opening) \| 132 \| \| \| Competitive Market Total \| 1,301 \| Additionally, as described in our original study, there are other lodging facilities within the market area such as those in the City of Chino that may be considered secondarily competitive and have not been included in our analysis due to market orientation, average rate, and/or location. As an example, a lodging facility that has an average rate of roughly half that of the competitive market average would generally not be deemed competitive or affect the overall market performance of this set. The aggregate average annual available and occupied rooms, resulting occupancy levels, average daily rate (ADR), and revenue per available room (RevPAR or Average Daily Rate multiplied by Occupancy) for this sample set for year-to-date through November 2018 compared to the same period in the previous year are presented in the following table. Table 1. \| Year \| Total Supply \| Percent Change \| Occupied Rooms \| Percent Change \| Market Occupancy \| Average Daily Rate \| Percent Change \| REVPAR \| Percent Change \| \|------------\|--------------\|----------------\|----------------\|----------------\|------------------\|--------------------\|----------------\|--------\|----------------\| \| 11/17 YTD \| 390,446 \| N/A \| 299,538 \| N/A \| 76.7% \| $125.69 \| N/A \| $96.42 \| N/A \| \| 11/18 YTD \| 424,634 \| 8.8% \| 336,764 \| 12.4% \| 79.3 \| 128.73 \| 2.4% \| 102.09 \| 5.9% \| Source: CBRE Hotels As can be seen in the preceding table, the overall competitive market has increased 8.8 percent in terms of annual supply with the March 2018 opening of the 132-room DoubleTree in Pomona. Demand, as demonstrated by occupied rooms, increased by 12.4 percent, which demonstrates the DoubleTree was more than absorbed within its first partial year of operations. Demand outpaced supply growth therefore resulting in an occupancy of 79.3 percent, greater than the occupancy of the same period in the previous year. Average daily rate has also increased by 2.4 percent year-to-date November 2018. This level of rate growth is consistent with the national average of 2.5 percent ADR growth in 2018. The growth in demand and average daily rate displays the on-going strength of the market and the potential for new supply to be absorbed as well. To further elaborate on the impact of the DoubleTree Pomona without isolating the hotel’s specific data, the supply of the hotel market from January 2017 to November 2017 (number of rooms available in the market on a year-to-date basis) totaled 390,446 prior to the opening of the DoubleTree. During the same period, the number of occupied rooms totaled 299,538. As the DoubleTree Pomona opened in March 2018 and was introduced into the overall market, the supply of hotel rooms increased accordingly. Most importantly, the number of occupied rooms increased by a greater percentage than the level of new supply added, resulting in an occupancy of 79.3 percent. The increase in this key metric indicates that the overall market had actually improved and was positively impacted. If the DoubleTree Pomona had a negative impact to the competitive market, e.g., it cannibalized a material amount of demand from the Chino Hills hotels, we would have expected the year-to-date 2018 occupancy figure to have declined. Based on the historical data that actually occurred during the period of survey, this was clearly not the case. While we made several attempts to determine the level of new hotel supply entering the marketplace in our original analysis, it is impossible to determine every hotel that will be developed in the future, when they will be completed, or their potential impact to the Chino Hills’ lodging market. The inherent risk of any future new hotel supply had previously been considered in our determination of a long-term, stabilized occupancy level. The existing hotels in the City of Chino Hills’ had recently operated at occupancy levels near 80 percent and our long-term stabilized occupancy was projected to gradually ramp down to 76 percent to account for potential unforeseen additions to the market, including hotels such as those specifically noted herein. 3. Demand Generators/Competitive Market: Located further north on California State Route 71 and California State Route 57, the three additional hotels in Pomona are anticipated to compete primarily with the Cities of Ontario, Diamond Bar, Claremont, and Covina. This is attributed to the demand sources that are present in the markets surrounding the City of Pomona, especially in the City of Ontario. Additionally, the City of Pomona includes various State Routes providing accessibility to each of the aforementioned Cities. Larger sources of demand for the lodging market in the City of Pomona include: - Fairplex and Conference Center - California State Polytechnic University - Western University of Health Sciences - Pomona Valley Medical Center - Ontario International Airport - Claremont Colleges - Inland Empire’s Industrial/Office Market While the hotels located in the City of Chino Hills may on occasion compete for similar demand sources as the hotels in the City of Pomona, most of the demand is expected to come from other sources. Given its geography and major transportation routes, the demand for hotel rooms in the City of Chino Hills is generally derived from guests conducting business or visiting friends and family along the 71 Freeway. The City of Chino Hills’ lodging market also derives demand generated in the City of Corona given its accessibility via California State Route 71. Moreover, demand is also generated locally from sources such as displaced residents and corporate offices in the Cities of Chino Hills and Chino. To a lesser extent, demand for Chino Hills hotels is derived from Los Angeles County and Orange County as guests, especially international guests, visit other parts of the Southern California region. While there are several demand generators that overlap with hotels located in the City of Pomona and the City of Chino Hills, there are numerous demand generators that exist in the City of Chino Hills that do not generate demand in the City of Pomona. CONCLUSION Based on our research and the foregoing, we are of the opinion that the additional planned hotels in Pomona will have minimal to no impact on the existing City of Chino Hills’ lodging market. Specifically, the hotels of concern noted by the Planning Commission are anticipated to have minimal to no impact on our conclusions for the potential TOT collections of the Chino Hills hotel market. Our findings are based in part by the opening and ramp-up of the Doubletree Pomona, which opened in the beginning of 2018 and was more than absorbed by the local market within its first year of operations. Furthermore, the additional two hotels in varying stages of development do not alter the conclusions in our original report regarding the impact of the hotel developments at The Rincon on the rest of the Chino Hills’ hotels. The three hotels in Pomona are or will be branded as products that do not currently exist in the local market including the City of Chino Hills. Additionally, the November year-to-date performance of the local market displays positive growth and the potential to absorb new supply. Lastly, the primary demand generators and the competitive market for the hotels located in the City of Pomona vary from that of the hotels in the City of Chino Hill.	f75cf5db-6d47-476b-af14-578d42239761	CC-MAIN-2023-14	https://agendaquick.chinohills.org:8086/docs/2019/CC/20190212_175/992_Exhibit%20C%20-%20Hotel%20Study%20with%20Addendum.pdf	2023-03-31T03:33:11+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-14/subset=warc/part-00242-39c03058-7d78-443d-9984-102329513e3d.c000.gz.parquet	113,751,206	32,232	eng_Latn	eng_Latn	0.956954	eng_Latn	0.996677	[ "eng_Latn", "eng_Latn", "unknown", "unknown", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 2050, 2255, 5200, 6155, 6180, 8640, 12177, 15557, 19268, 19303, 21431, 21491, 21570, 21706, 24379, 27122, 29000, 29052, 32470, 37246, 40572, 43267, 45838, 48881, 51900, 54230, 56418, 59681, 61419, 61462, 64222, 66896, 68325, 68399, 72170, 76158, 79542, 84322, 89357, 93255, 97118, 102395, 104934, 108128, 108171, 114403, 120366, 124550, 124578, 126308, 127856, 130644, 130701, 133485, 137157, 141152, 144026 ]
Waterhead Moor - Muirshiel Wild Land Area Produced by the Geographical Information Group, SNH, September 2014 © Crown copyright and database rights 2014. Ordnance Survey 100017938 Waterhead Moor - Muirshiel is one of only three WLAs to the south of the Highland Boundary Fault, all of which are relatively isolated and small in extent (at 50 km$^2$ this is the smallest of all mainland WLAs). It consists of open, rolling plateau moorland which forms the high moorland core of the Clyde Muirshiel Regional Park, dissected by steep-sided glens and punctuated by several small but steep peaks. Lying less than 30 km from the centre of Glasgow it is the most accessible of all the WLAs and offers a wide range of recreational activities, attracting many visitors. Facilities include Muirshiel visitor centre, which lies nearby to the east and Greenock Cut visitor centre, further to the north. The disused barytes mine at Muirshiel is accessed by the heritage trail from the visitor centre and an off road driver training area is based in the same area.$^1$ The WLA lies partly within North Ayrshire and partly in Renfrewshire. The south western area forms part of a Special Landscape Character Area (SLCA)$^2$ and much of the area is included within the Renfrewshire Heights Special Protection Area. From within the WLA, its extent is generally obvious from the views of roads, settlements, forest plantations and infrastructure which surround and lie outwith it. Some narrow glens and lower-lying parts of the interior are more enclosed with fewer views, where the extent is less evident and the wild land qualities stronger. From outside the WLA, the rolling plateau is widely visible from the settled lowlands that surround it, forming a simple backdrop that contrasts strongly with the urbanised landscape. Misty Law is a distinctive landmark in wider views of the uplands from the east and the cluster of hills around Irish Law feature on the skyline in views from the west. Steep, often wooded slopes limit views from the west, from nearby settlements such as Largs and from the minor road that follows the Noddsdale Water, but the uplands within the centre of this WLA are widely visible from the Firth of Clyde and from the diverse, small scale landscape of the Garnock valley. Key attributes and qualities of the wild land area - A wild land area with a surprisingly strong sense of naturalness Much of the plateau is covered in wet moorland, consisting of a diverse mix of rough grassland, heather moorland and blanket mire, providing a strong sense of naturalness. Small lochans occur on areas of flatter ground and several steeply incised glens, such as those of Raith Burn and Greeto Water, dissect the plateau. Within these glens, rock outcrops, natural burns, waterfalls, broadleaved trees and luxuriant vegetation add to the sense of naturalness, unaffected by contemporary land uses. The plateau is also punctuated by well-defined, steep sided summits such as Misty Law, which provide a greater sense of physical challenge. Grassland tends to be more prominent on these drier slopes and the hills are often fringed by rocky crags and scree, adding to the sense of naturalness. Sheep grazing is evident and some of the lower-lying parts are also drained by parallel lines of ditches. There is no forestry within the WLA, although some forest plantations to the north east and south east and smaller conifer blocks amongst improved fields to the south of Muirshiel are visible from within. These signs of contemporary land use are not widespread and have a relatively localised effect upon the otherwise strong sense of naturalness. - Few human elements within the WLA, in contrast to the surrounding landscape The WLA is notable for the relative absence of human artefacts and contemporary land use, in sharp contrast to the lowland areas that surround it. The moorland is generally unenclosed, but a few post and wire fences cross the area, the most noticeable of these follows the county boundary. There are few obvious footpaths, but stone cairns mark the more prominent hills. Small timber posts and other markers dot the lower areas and some ATV tracks are evident, appearing to randomly cross the moorland. Together with signs of land drainage, these unobtrusive and isolated human artefacts have a limited effect on the overall sense of remoteness and sanctuary. A constructed track, which provides access to Misty Law (510 m) from the south east, has a more noticeable effect on these wild land qualities. Although there are few human artefacts within the WLA, various types of built development including wind farms outwith the WLA are visible from most of the area. From tops such as the Hill of Stake, human elements are visible in all directions, except to the south west towards Arran. To the north, several power lines are prominent in views towards Ben Lomond and the Arrochar Alps. Mining infrastructure, river engineering and tracks along the River Calder, Muirshiel visitor centre buildings and designated car parks have a localised but noticeable effect on the wild land qualities of the north western part of the WLA, especially near the former barytes mine track, where there are areas of hard standing, abandoned pipes, concrete abutments, palisade fencing and ground disturbance. Longer distance views towards the tower blocks of Glasgow, Helensburgh and other settlements along the Clyde valley also have a marked effect on the sense of remoteness and sanctuary, due to the extent of the view occupied by built development and the way in which buildings to the north tend to reflect sunlight, so making them more noticeable. From southern parts of the WLA the dispersed settlement pattern of the Ayrshire lowlands is evident beyond several reservoirs, with the cranes at Hunterston ore terminal and shipping on the Firth beyond, visible to the south west. At night, lighting within settlements is visible in most directions. The sound of traffic on the surrounding roads can be heard and the proximity of Glasgow airport results in regular overhead air traffic. These human elements have a noticeable effect on the sense of remoteness and sanctuary but encroach more where there is combined visibility of for example, nearby tracks and fences, power lines, forest plantations, wind turbines and settlements, or where they appear to encircle the WLA. - An area where wild land qualities are restricted in extent, but which can be widely appreciated from the surrounding areas From much of the interior, with the exception of the narrow incised glens, the relatively small extent of this WLA is evident from the surrounding human elements outwith the WLA, visible in all directions. There are also parts of the WLA where extensive views of rolling and deeply dissected moorland are possible, especially from the margins towards the interior, but these tend to be in the context of wider views containing settlements, infrastructure and forest plantations, which reduce the sense of remoteness and sanctuary. The restricted extent of the WLA and the predominantly gentle rolling moorland topography reduces the sense of risk, although burn crossings, bog holes and drainage ditches filled with vegetation provide a degree of physical challenge. Although the rolling moorland is not generally arresting, from the hill tops there are some extensive and inspiring panoramas over the Firth of Clyde to the islands of Cumbrae, Bute and Arran and of Ben Lomond and the Arrochar Alps. The smooth moorland hills form a comparatively rugged backdrop to the surrounding settled and urbanised lowlands, and large numbers of people are consequently able to experience this wild land quality as they move around the surrounding area. Whereas the sharp contrast between the WLA and its surroundings adds value to the area as a recreational resource, the proximity to the settled landscape, ease of access and relatively small extent of the area combine to limit the sense of remoteness and the potential for solitude. Endnotes 1 http://www.clydemuishiel.co.uk accessed February 2014 2 Designated by North Ayrshire Council Site assessment carried out November 2013	5df0b08f-af10-4b61-9845-a0bf99c12523	CC-MAIN-2024-30	https://www.nature.scot/sites/default/files/2017-11/Consultation-response-Description-of-Wild-Land-Waterhead-Moor-Muirshiel-July-2016-04.pdf	2024-07-13T19:44:38+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-30/subset=warc/part-00001-65338ae2-db7f-48fa-a620-71777c40d854.c000.gz.parquet	819,747,604	1,739	eng_Latn	eng_Latn	0.916343	eng_Latn	0.997308	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 180, 2293, 4861, 7109, 8257 ]
Biosorption and Bioaccumulation Capacity of Arthospira platensis toward Europium Ions Nikita Yushin 1,2, Inga Zinicovscaia 1,3,4,†, Liliana Cepoi 5, Tatiana Chiriac 5, Ludmila Rudi 5‡ and Dmitrii Grozdv 1§ 1 Joint Institute for Nuclear Research, 141980 Dubna, Russia; [email protected] (N.Y.); [email protected] (D.G.) 2 Doctoral School Biological, Geonomic, Chemical and Technological Science, State University of Moldova, MD-2006 Chisinau, Moldova 3 Horia Hulubei National Institute for R&D in Physics and Nuclear Engineering, 077125 Magurele, Romania 4 Institute of Chemistry, MD-2028 Chisinau, Moldova 5 Institute of Microbiology and Biotechnology, MD-2028 Chisinau, Moldova; [email protected] (L.C.); [email protected] (T.C.); [email protected] (L.R.) Correspondence: [email protected]; Tel.: +7-4962165609 Abstract: Europium recovery from wastewater is determined by its high significance for industry and toxicity for living organisms. The capacity of cyanobacteria Arthospira platensis (Spirulina) to remove Eu(III) through biosorption and bioaccumulation was evaluated. In biosorption experiments, the effects of four variables pH, metal concentration, time, and temperature on metal removal were studied. In bioaccumulation experiments, the effect of Eu(III) concentrations on biomass bioaccumulation capacity and biochemical composition was assessed. The efficiency of Eu(III) uptake in both experiments was determined using ICP-AES techniques. Maximum biosorption of Eu(III) was achieved at pH 3.0. Equilibrium data fitted well with the Langmuir and Freundlich models, with maximum adsorption capacity of 89.5 mg/g. The pseudo-first-, pseudo-second-order, and Elovich models were found to correlate well with the experimental data. According to thermodynamic studies the sorption was feasible, spontaneous, and endothermic in nature. At addition of Eu(III) ions in the cultivation medium in concentrations of 10–30 mg/L, its accumulation in biomass was 9.8–29.8 mg/g (removal efficiency constituting 98–99%). Eu(III) did not affect productivity and content of carbohydrates and pigments in biomass but led to the decrease of the content of protein and an increase in the amount of MDA. The high Eu(III) biosorption and bioaccumulation efficiency of Arthospira platensis may constitute an effective and eco-friendly strategy to recover it from contaminated environment. Keywords: europium; removal; bioremediation; cyanobacteria 1. Introduction Eu(III), with a content of circa 0.000106% in earth, is one of the most critical rare earth elements [1]. Recently Eu(III) has been widely requested in the production of LED and LCD flat screen displays, batteries, fiber optics, portable wireless installations, superconductors, magnets, light emitting diodes and fluorescent lighting, and catalysts [2–4]. Beside wide application in industry, Eu(III) complexes are of interest for sensing and targeting specific DNA structures, bioimaging, melamine detection, and cellular imaging [3]. Eu(III) is also used in studies investigating trivalent metal ion surface interactions as a non-radioactive analog for Am(III) and Cm(III) due to complexities in dealing with transuranic elements [5]. In view of the high commercial value of Eu(III), it is important to apply innovative technologies to recover it from secondary resources, for example, electronic wastes or wastewater [4,6]. Equally important is the need to reduce the impact of Eu(III) ions on water, soil, agricultural crops, and consequently human health. It is known that Eu(III) can enter into reaction with biologically active compounds by replacing calcium, zinc, and magnesium irons [2,7]. High concentrations of europium resulted in the decrease of rat body, hyperkeratosis of the forestomach, and eosinocyte infiltration of the stomach submucosa [8]. Several methods are traditionally used for Eu(III) recovery, in particular solvent extraction, ion exchange, co-precipitation, electrochemical reduction, and leaching in sulfuric acid [4,9,10]. However, these techniques have several serious limitations, such as the requirement of large volumes of solvents and other chemicals, high energy consumption, and generation of large amount of hazardous waste products. They are usually time-consuming and labor-intensive [9,10]. As an alternative to the abovementioned techniques can be considered the application of biological objects (living or dead biomass). Use of biological objects for metal recovery has many advantages over the conventional methods, such as high sorption/accumulation capacity, ability of microorganisms to grow in polluted media for several life cycles and adaptation to high metals concentrations, applicability for remediation of dilute solutions, low price, low quantity of sewage sludge disposed, simple design of experiments, possibility of integration in existing schemes of wastewater treatment, and possibility of multiple use of biosorbents [10,11]. The use of biological object for Eu(III) sorption and accumulation has attracted interests in recent years. However, in comparison with heavy metals, the potential of biological sorbents for rare earth elements removal is not so well-scrutinized. Brown marine alga, Turbinaria conoides, was applied for lanthanum, cerium, europium, and ytterbium sorption [12]. Sargassum polycystum Ca-loaded biomass used for lanthanum, europium, and ytterbium sorption from single-component and multi-component batch systems showed the highest affinity for europium ions [13]. Bacteria Bacillus thuringiensis demonstrated excellent biosorption capacity (160 mg/g) toward Eu(III) (Pan et al. 2017). Equally good results were obtained when Deinococcus radiodurans was used for Eu(III) recovery from aquatic solutions [4]. Studying the bioaccumulation of Eu(III) by a thermophilic bacterium, Thermus scotoductus SA-01, authors revealed that strain can survive at Eu levels up to 1 mM [3]. The scope of the present study was to explore the biosorption and bioaccumulation potential of cyanobacteria Arthospira (Spirulina) platensis (A. platensis). To achieve the aim of the study the following objectives were addressed: (i) the effect of pH, initial Eu(III) concentration, time, and temperature on A. platensis sorption capacity was evaluated; (ii) the equilibrium, kinetics, and thermodynamics of the process were described; (iii) the bioaccumulation capacity of A. platensis grown in Eu-loaded medium was assessed; and (iv) the effect of Eu(III) on biochemical composition of biomass was examined. 2. Materials and Methods 2.1. Arthospira platensis Cyanobacteria Arthospira platensis (spirulina) CNMN-CB-02 used in the present study was obtained from collection of non-pathogenic microorganisms (Institute Microbiology and Biotechnology, Chisinau, Moldova). For biomass cultivation the medium with the following composition, major components (in g/L), namely NaNO₃—2.5; NaHCO₃—8.0; NaCl—1.0; K₂SO₄—1.0; Na₂HPO₄—0.2; MgSO₄·7H₂O—0.2; and in 1 mL/L of solution of microelements (mg/L), namely H₃BO₃—2.86; MnCl₂·4H₂O—1.81; CuSO₄·5H₂O—0.08; MoO₃—0.00015; FeEDTA—1 mL/L, were prepared. For biosorption experiments, biomass was grown at temperature of 25–28 °C, illumination ~37 μM photons/m²/s, and pH 8–9 during first two days of growth and temperature of 30–32 °C, pH —9–10, illumination ~55 μM photons/m²/s during next four days of cultivation. Then, it was separated from the culture medium by filtration, dried at 105 °C, homogenized, and used as biosorbent. Cultivation of biomass in bioaccumulation experiments is presented in details in Section 2.3. 2.2. Biosorption Experiment The solutions with desired Eu(III) concentrations were prepared by dissolving a suitable amount of Eu$_2$(SO$_4$)$_3$·8H$_2$O (Sigma Aldrich, Darmstadt, Germany). Biosorption experiments were performed in conic flask of 50 mL volume using 20 mL of solution and 100 mg of biosorbent. To obtain biosorption isotherms, Eu(III) initial concentration varied from 10 to 100 mg/L at fixing pH (3.0), contact time (30 min), and temperature (22 °C). To evaluate the kinetics of biosorption, samples were withdrawn at predetermined time intervals (3, 7, 15, 30, 45, 60, and 120 min), maintaining pH (3.0), Eu(III) concentration (10 mg/L), and temperature (22 °C) constant. The thermodynamic of the process was determined by varying the temperature of the solution from 20 to 50°, keeping other parameters constant. The effect of pH on Eu(III) removal was assessed in the pH range 2.0–6.0. Concentrated HNO$_3$ and NaOH solutions were used to obtain required values of pH. The concentration of Eu(III) in initial and experimental solution was determined by ICP-OES PlasmaQuant PQ 9000 Elite spectrometer (Analytik Jena, Jena, Germany). The sorption capacity q (mg/g) of A. platensis and efficiency of metal removal E (%) were calculated using Equations (1)–(2): \[ q = \frac{V(C_i - C_f)}{m} \] (1) \[ E = \frac{C_i - C_f}{C_i} \times 100 \] (2) where V is the volume of the solution, ml; $C_i$ and $C_f$ are the initial and final metal concentrations in mg/L, and m is the mass of sorbent in g. 2.3. Bioaccumulation Experiment In bioaccumulation experiment, on the first day of biomass growth in the cultivation medium described in the Section 2.1, Eu was added (standard for AAS, Merck, Germany) in concentrations 10–30 mg/L by metal. Spirulina was grown in europium-loaded medium during six days maintaining the following parameters: temperature of 25–28 °C, illumination ~37 µM photons/m$^2$/s, and pH 8–9 during first two days of growth and temperature of 30–32 °C, pH ~9–10, illumination ~55 µM photons/m$^2$/s during next four days of cultivation. Biomass cultivation was carried out in 250 mL Erlenmeyer flasks with a working volume of 100 mL. Biomass used as reference was cultivated in the same cultivation medium, but without addition of Eu(III). At the end of the cultivation cycle, the spirulina from the experimental and control variants was filtered, and the resulting biomass was standardized at a concentration of 10 mg/mL and subjected to freezing-thawing for three times in order to prepare biomass for biochemical analyzes. The concentration of Eu(III) in control and experimental solution was determined by ICP-OES. 2.4. Amount of Biomass The amount of biomass, expressed in g/L, was determined according to procedure described in [11]. 2.5. Biochemical Tests The protein content was measured according to the Lowry method, while phycobiliprotein content was determined by the method described by Siegelman and Kycia. The carbohydrates and lipids were determined spectrophotometrically based on the interaction with anthrone reagent and phospho-vanillin reagent, respectively. The content of chlorophyll $\alpha$ and $\beta$-carotene was determined spectrophotometrically at 665 nm for chlorophyll $\alpha$ and at 450 nm for $\beta$-carotene. Malondialdehyde (MDA) content was determined spectrophotometrically based on the reactive products of thiobarbituric acid. More details about biochemical test can be found in our previous study [14]. 2.6. Antioxidant Activity Ethanolic and water extracts were prepared for antioxidant tests. The antioxidative activity was determined by application of non-biological tests with radicals ABTS (2,2'-azino-bis(3-ethylbenzothiazoline-6-sulphonic acid)) [15]. 2.7. Statistical Analysis The experiments were performed in triplicate, and the data are presented as average of three experiments ± standard deviation. One-way analysis of variance (ANOVA) was performed using Student’s t-test. 3. Results and Discussion 3.1. Biosorption The pH is one of the key parameters in the adsorption experiments since it affects the charge of the binding sites of the biosorbent and chemical speciation of metals [4]. Figure 1 shows the pH dependence of Eu(III) adsorption on A. platensis at pH range 2.0–6.0. The experiments were not performed at higher pH values since, at pH > 6.5, Eu(III) is present in solution in the form of Eu(OH)$_2$ or Eu(OH)$_3$ [4]. At pH 2.0, the relatively low efficiency of Eu(III) removal (53%) can be explained by competition of metal ions and H$^+$ for binding sites. Main europium species at pH < 6.5 are Eu$^{3+}$ and Eu(OH)$_2$$^{+}$ [16]. ![Figure 1](image.png) Figure 1. Effect of pH on Eu(III) biosorption by S. platensis (C$_i$ 10 mg/L, time 60 min, temperature 22 °C). The highest rate of Eu(III) biosorption was attained at pH 3.0 (82%), and at the pH range of 4.0–6.0, it was reduced to 53%. High Eu(III) biosorption at pH 3 can be associated with the protonation of the functional groups and decrease of competing H$^+$ ions [2]. Decrease of Eu(III) biosorption between pH 4.0 and 6.0 can be explained by the reduced effect of protonation of the metal binding sites, associated with the increase of the number of hydroxyl groups due to the addition of sodium hydroxide to increase the pH of experimental solutions [2]. Reduction of Eu(III) removal with the increase of pH is possible in the case when ionic binding on cell surface is the main mechanism of metal adsorption [17]. The maximum Eu$^{3+}$ biosorption by Bacillus thuringiensis [1] was at pH 8.0. About 99% of Eu(III) was adsorbed on TiO$_2$ at pH > 6 [16]. Experiments on Eu(III) biosorption by Deinococcus radiodurans were conducted at pH 6.0 [14]. Thus, in the present study, the kinetics, isotherm, and thermodynamic studies were performed at pH 3.0. The evaluation of the sorption kinetics is important since it provides valuable information about the mechanism of a sorption reaction [12]. Results presented in Figure 2a showed that sorption of Eu(III) on A. platensis was very quick process, 75% of ions being removed from solution in the first 3 min of sorbent–sorbate interaction. This initial quick phase of sorption associated with the presence of a large number of exchangeable binding sites was followed by the slow attainment of equilibrium due to saturation of the binding sites. Three classical kinetic models were applied to describe Eu(III) biosorption (Figure 2a). The Lagergren-first-order model (PFO) describes adsorption in solid–liquid systems, representing a reversible sorption process [2,18]. It is assumed that one europium ion is sorbed on one sorption site on the A. platensis surface: \[ q = q_e \left(1 - e^{-k_1 t}\right) \] The pseudo-second-order (PSO) model is applied to analyze chemisorption kinetics from liquid solutions [18]. \[ q = \frac{q_e^2 k_2 t}{1 + q_e k_2 t} \] The Elovich equation is used to describe chemical adsorption mechanism in nature [19]. \[ q_t = \frac{1}{\beta} \ln(1 + \alpha \beta t) \] where \( q_e \) and \( q_t \) are the content of metal (mg/g) adsorbed at equilibrium and at time \( t \), \( k_2 \) (g/mg-min) and \( k_1 \) (1/min) are rates constant of pseudo-first order and pseudo-second order, and \( \alpha \) (g/mg-min) and \( \beta \) (g/mg) are the Elovich equation constants. The parameters of applied models are listed in Table 1. Extremely high values of \( k_2 \) in PSO model and \( \alpha \) in Elovich model indicate that these models are not applicable for description of experimentally obtained data. Table 1. Parameters of the kinetics and isotherm of Eu(III) sorption on A. platensis. \| Model Parameters \| Eu(III) \| Kinetics \| Isotherms \| \|------------------\|---------\|----------\|-----------\| \| \| \| PFO \| PSO \| Elovich \| \| \| \| \( q_e \) \| \( q_e \) \| \( q_m \) \| \( b \) \| \( K_F \) \| \( n \) \| \( R^2 \) \| \| \| 0.99 \| 1.79 \| 0.99 \| 0.99 \| 0.0009 \| 0.99 \| 0.98 \| \| Model Parameters \| Eu(III) \| \( k_1 \) \| \( k_2 \) \| \( \alpha \) \| \( \beta \) \| \( R^2 \) \| \|------------------\|---------\|-----------\|-----------\|-------------\|------------\|-----------\| \| \| \| 0.99 \| 2.83·10\(^{-44}\) \| 1.07·10\(^{-44}\) \| 108 \| 0.99 \| \| Model Parameters \| Eu(III) \| \( R^2 \) \| \( R^2 \) \| \( R^2 \) \| \|------------------\|---------\|-----------\|-----------\|-----------\| \| \| \| 0.99 \| 0.99 \| 0.98 \| High correlation coefficient conveys that the adsorption of Eu(III) onto A. platensis follows the PFO model. Good agreement between $q$ values, both calculated and experimental supports this fact. Applicability of PFO model suggest that the adsorption proceed by diffusion of Eu(III) through the boundary layer on the adsorbent surface, and this may be the rate-determining step of the overall process [12]. Eu(III) removal by other sorbents, e.g., bacteria Bacillus thuringiensis [1] and cellulose–yeast surface [6], was better described by the PSO model. On the next step, equilibrium experiments were performed to evaluate the adsorption capacity of A. platensis. The effect of initial Eu(III) concentration on adsorption capacity was studied by varying its concentration in solution from 10 to 100 mg/L, maintaining other parameters as constant. According to obtained data, the biosorption capacity of A. platensis increased with the increase of Eu(III) concentration in solution from 0.8 to 7.25 mg/g (Figure 2b), which can be explained by the provision of more Eu(III) for the available adsorption sites [2]. The adsorption of Eu(III) onto the A. platensis was described using Langmuir and Freundlich models. The Langmuir model is applicable for monolayer adsorption on the sorbent containing definite number of identical binding sites [16] and is presented as: $$q_e = \frac{q_m bC_e}{1 + bC_e}$$ where $C_e$ is Eu(III) concentration at equilibrium in mg/L, $q_e$ and $q_m$ are amount of metal adsorbed at equilibrium and maximum adsorption capacity in mg/g, and $b$ is Langmuir constant in L/mg. The Freundlich expression is an empirical equation describing adsorption onto heterogeneous surface. It presupposes firstly that stronger binding sites are occupied and that the binding strength is reduced due to an increase in the degree of site occupation [6,16]. The equation is presented as: $$q_e = K_F C_e^{\frac{1}{n}}$$ where $K_F$ and $n$ are Freundlich constants. The correlation coefficient values of both applied models were 0.99, indicating their applicability for the description of experimentally obtained data (Table 1). Maximum sorption capacity calculated from Langmuir model was 89.5 mg/g, and $b$ indicates high affinity between the sorbate and sorbent. The high $R^2$ values of the Langmuir model indicate that that chemisorption may be the main mechanism of Eu(III) biosorption. The values of $n$ from Freundlich model higher than 1 support this fact [2]. The applicability of Langmuir and Freundlich models for the description of Eu(III) sorption onto bare TiO$_2$ was shown in [16]. Maximum sorption capacity of A. platensis was compared with the data presented in the literature (Table 2). According to present values, the sorption capacity of spirulina was lower compared to Bacillus thuringiensis [1] and Acutodesmus acuminatus [17] but higher than values obtained for other sorbents listed in the Table 2. The difference in the maximum Eu(III) sorption capacity of different sorbents can be explained by different conditions, temperature, pH, the sorbate and sorbent concentrations, and way of biomass pretreatment by which experiments were performed. Temperature is another important factor influencing the sorption process. The effect of temperature on the Eu(III) biosorption on A. platensis was studied at range of 20–50 °C. An increase in the temperature (Figure 3a) resulted in the decrease of Eu(III) adsorption, indicating that the process is exothermic. Biosorption of Eu(III) onto the cellulose–yeast surface was spontaneous and exothermic [6]. Table 2. Comparison of A. platensis sorption capacity with the literature data. \| Sorbent \| $q_e$ mg/g \| Reference \| \|--------------------------------\|------------\|-----------------\| \| Spirulina platensis \| 89.5 \| Present study \| \| Bacillus thuringiensis \| 160 \| [1] \| \| Native cellulose \| 18.5 \| [6] \| \| Saccharomyces cerevisiae \| 14.2 \| [6] \| \| Yeast-immobilized cellulose \| 25.9 \| [6] \| \| Arthrobacter sp. \| 9.53 \| [2] \| \| Chitosan powder \| 48.3 \| [2] \| \| Chitosan beads \| 18.4 \| [2] \| \| Acutodesmus acuminatus \| 174.2 \| [17] \| Figure 3. (a) Effect of temperature on Eu(III) removal and (b) ln$K_d$ versus 1/T. The free energy, enthalpy, and entropy changes were obtained from the plot of ln$K_d$ against 1/T (Figure 3b) and are presented in Table 3. $$\ln K_d = \frac{\Delta S^0}{R} - \frac{\Delta H^0}{RT}$$ \hspace{1cm} (8) $$\Delta G^0 = \Delta H^0 - T\Delta S^0$$ \hspace{1cm} (9) where $K_d$ is the distribution coefficient, and it is calculated according to Equation (15): $$K_d = \frac{(C_0 - C_e)V}{mC_e}$$ \hspace{1cm} (10) Table 3. Thermodynamics parameters for Eu(III) biosorption on A. platensis. \| Temperature, K \| $\Delta G^\circ$, kJ/mol \| $\Delta H^\circ$, kJ/mol \| $\Delta S^\circ$, J/mol·K \| \|----------------\|---------------------------\|---------------------------\|---------------------------\| \| 293 \| −10.5 \| −4.7 \| 19.9 \| \| 303 \| −10.7 \| \| \| \| 313 \| −10.9 \| \| \| \| 323 \| −11.1 \| \| \| Negative values of $\Delta G^\circ$ indicate spontaneous adsorption and the degree of spontaneity of the reaction increases with increasing temperature. The negative charge $\Delta H^\circ$ indicate the exothermic character of the sorption, while the positive $\Delta S^\circ$ reflects the affinity of the biosorbent toward Eu(III). 3.2. Bioaccumulation In bioaccumulation experiments, the effect of different concentrations of Eu(III) on A. platensis was assessed. According to ICP-AES data, the content of Eu in biomass increased directly proportionally to its concentration in medium. At Eu(III) concentration of 10 mg/L, its content in biomass constituted 9.8 mg/g and increased up to 29.8 mg/g at Eu(III) concentration in solution of 30 mg/L. The removal efficiency of A. platensis was at an extremely high level, constituting 98–99% at all studied Eu(III) concentrations. According to obtained results (Figure 4), the amount of biomass accumulated in the control and experimental samples was very close but without statistically significant differences and constituted 0.96–1.07 g/L dry biomass. ![Biomass vs Concentration](image) Figure 4. Influence of Eu(III) applied at a concentration of 10–30 mg/L on the A. platensis biomass. It is known that the effect of the rare earth elements on microorganisms depends on element and its concentration [20–23]. In our previous research, it has been shown that spirulina has a high degree of tolerance to rare earths elements in the concentration range of 10–30 mg/L. However, depending on the element added to the nutrient medium, different response patterns have been observed. Thus, Sm, Tb, and Nd at concentrations 10–30 mg/L did not influence amount of biomass, and Dy and La induced an increase of biomass up to 19.3%, while Yb, the on contrary, led to its decrease by 26.8% compared to control [14]. Although there were no pronounced effect of Eu(III) on biomass, it induced significant changes in the biochemical composition of biomass, especially at a concentration of 30 mg/L. The tendency of the decrease of protein content was observed at all applied concentrations, and at concentrations of 20 and 30 mg/L, the reduction of protein content was statistically significant (Figure 5). Thus, at Eu(III) concentration 20 mg/L, the content of protein in the biomass was 55.36%, which was 10.2% lower compared to control \((p = 0.0213)\), and at the concentration of 30 mg/L, it comprised 50.7% of the biomass, which was 17.7% less than in control \((p = 0.0097)\). Proteins are the basic components of spirulina biomass, constituting, depending on the conditions, 60–70% of biomass. Decreasing of their amount below 50% is associated with significant degradation of biomass. Usually, the content of protein below 45% is a result of a toxic effect, to which the culture is not able to adapt or adapts very poorly [24,25]. In the case of Eu(III), the toxic effect was directly proportional to increase of its concentration in the medium and at 30 mg/L reached the values close to the critical level for spirulina. The content of carbohydrates (Figure 5) in spirulina biomass at Eu(III) concentrations of 10 and 20 mg/L did not differ significantly from that characteristic for control, while at a concentration of 30 mg/L, it was reduced significantly, by 27.4% compared to control ($p = 0.0048$). Comparing results obtained in the present study with data obtained for other rare earth elements the different response of the culture was observed. Thus, in the case of Sm and Tb, which did influence the amount of biomass, the content of carbohydrates increased [14], which is associated with elimination of toxic element from the cell. The effect of Eu(III) was similar to those of Nd, resulting in a decrease of the content of carbohydrates at all studied concentrations. Spirulina is an organism with a low content of lipids, which are mainly located in the membranes and ensure the functioning of the cell as a whole. The control biomass contained 4.4% lipids, while in the experimental variants, their levels was reduced (Figure 6). At concentrations of 20 and 30 mg/L, the reduction was statistically significant ($p = 0.0269$ and $p = 0.0242$, respectively), and it was about 35% lower compared to the control. The content of the product of oxidative degradation of lipids (malonic dialdehyde) in the experimental samples increased by 41–73% compared to the control sample. Since MDA is considered a proper marker of oxidative stress, it can be suggested that presence of Eu(III) in the cultivation medium led to pronounced oxidative stress, which is associated with a decrease in the amount of total lipids. Under these conditions, the physiological processes in the spirulina cells can be compromised. Other rare earth elements can change the content of lipids in spirulina biomass in a very different way. Thus, Sm and Nd at concentrations of 10–30 mg/L did not produce quantitative changes in the total lipids content, and La caused their slight increase, while Tb, Dy, and Yb resulted in the decrease of the content of lipids [14]. Eu(III) provoked effect very similar to Yb ions. Regarding the amount of MDA, the Eu(III) effect on biomass can also be compared with the effect of Yb and Nd ions, which led to a considerable increase in the amount of MDA at all applied concentrations. Maintaining of the productivity of Eu-loaded biomass on the level of control was possible, due to retention of the adequate level of photosynthetic pigments (Figure 7). Thus, the amount of $\alpha$-chlorophyll and $\beta$-carotene at the first two concentrations of Eu(III) did not differ from the control. Their decrease was observed only at Eu(III) concentration of 30 mg/L. The total amount of phycobiliproteins also was not influenced significantly by addition of Eu(III) in the cultivation media. In this sense, Eu(III) behaved differently from other rare earth elements, which led to a significant reduction (by 10–50% compared to the control) of total phycobiliproteins [14]. Figure 6. The content of lipids and MDA in A. platensis biomass exposed to Eu(III) in concentrations 10–30 mg/L (a—p < 0.01, b—p < 0.05, c—p < 0.005 for the difference between sample and control). Figure 7. The content of pigments in A. platensis biomass exposed to Eu(III) in concentrations 10–30 mg/L (a—p < 0.01 for the difference between sample and control). The antioxidant activity of biomass was also maintained at a stable level (Figure 8). The activity of ethanolic extract obtained from spirulina biomass grown on medium loaded with Eu(III) was on the level of the control for all Eu(III) concentrations. The activity of the water extract at Eu(III) concentrations of 10 and 20 mg/L was higher compared to the control, while at concentration of 30 mg/L it was on the level of control. Data reported previously for La, Dy, Sm, and Tb showed a marked increase in the antioxidant activity of water extract from spirulina biomass, while Nd and Yb in concentrations of 10–30 mg/L caused its considerable decrease [14]. Figure 8. The antioxidant activity of extracts obtained from A. platensis biomass exposed to Eu(III) in concentrations 10–30 mg/L (a—$p < 0.01$, b—$p < 0.05$ for the difference between sample and control). Biosorption and bioaccumulation showed to be suitable approaches for Eu(III) removal from wastewater. Both processes occur permanently in natural environment in uncontrolled conditions and are also applied in the industrial practice under controlled conditions [26]. In the present study, in bioaccumulation experiments, higher efficiency of Eu(III) uptake was achieved that can be explained by presence of the functional groups on the surface and inside the cell and increase of biomass concentration, which make possible the binding of more Eu(III). However, bioaccumulation requires resources for biomass cultivation, and high metal concentrations can inhibit its growth; therefore, biosorption seems to be more suitable process for industrial application. The main limitation of biological sorbents is their short life in comparison with traditional sorbents [26]. Often, the parameters (pH, metal concentration) of real wastewater are different from batch systems; in this case, the efficiency of metal ions removal can be increased in several ways: by effluent dilution or application of a two-or-more-step scheme of metal removal with the addition of a new dosage of biosorbent, as it was shown in our previous studies [27,28]. 4. Conclusions Cyanobacteria Arthrospira platensis was tested for its ability to remove Eu(III) by means of biosorption and bioaccumulation experiments. Maximum Eu(III) removal in biosorption experiments can be achieved at pH 3.0, contact time 3 min, and temperature 20 °C. Equilibrium of the sorption can be described by both Langmuir and Freundlich models, while kinetics fits better to the pseudo-first-order model. From the thermodynamic point of view, it is an exothermic, spontaneous process. In bioaccumulation experiments, Arthrospira platensis showed a high rate of Eu(III) uptake, up to 98–99% at its concentration in the medium of 10–30 mg/L. Although Eu-loaded spirulina maintained a high level of productivity and a normal content of carbohydrates and pigments, Eu(III)’s toxic effect was manifested by the decrease of the content of protein and an increase in the amount of MDA. These two factors denote a state of pronounced oxidative stress, which can significantly impair the quality of spirulina biomass in the long term or in repeated action of metal ions. Author Contributions: Conceptualization, N.Y., L.C. and I.Z.; methodology, L.C. and I.Z.; software, D.G.; validation, L.C. and I.Z.; investigation, N.Y., T.C. and L.R.; writing—original draft preparation, L.C. and I.Z.; funding acquisition N.Y.; writing—review and editing, all authors; visualization, I.Z and N.Y. All authors have read and agreed to the published version of the manuscript. Funding: The study was carried out with financial support of Association of Young Scientists and Specialist of the JINR Grant No 22-402-11. Institutional Review Board Statement: Not applicable. Informed Consent Statement: Not applicable. Data Availability Statement: Not applicable. Conflicts of Interest: The authors declare no conflict of interest. References 1. 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TO WHOM IT MAY CONCERN IBAN: DE 78 540 515 50 00000 36 566 BESTMALZ AG Postfach 10 43 20 D-69033 Heidelberg Luisenstraße 14 D-69115 Heidelberg Tel. +49 (62 21) 64 66-0 Fax +49 (62 21) 64 66-99 [email protected] www.bestmalz.de Your Ref.: Your contact: Email: Direct line: Thomas Schumacher [email protected] +49 (6221) 6466-62 November 11, 2015 Declaration of Conformity Concerning Our Malt We are writing to confirm that to the best of our knowledge and in good conscience the production of malt in our facilities conforms to all German and European legal requirements known to us as well as to all legal requirements and statutory provisions governing food production. All products of BESTMALZ are fully traceable and thus in accordance with Directives 2002/178/EC and 2004/1935/EC. European laws require that a company has a system of traceability in place and can also guarantee that its products are free from harmful substances. As part of our compliance with these laws, we regularly participate in a testing program performed by the SGS and the Organization of German maltsters, in which our products are regularly subject to analysis for the presence of harmful substances. The complete set of data collected from the participants in this system is evaluated and summarized on an annual basis and subsequently made available to the participants, and therefore to their customers. Therefore we always go below the maximum levels of nitrosamine, residues of pesticides, heavy metals and mycotoxins in accordance with the existing EC Directives. Kind regards from Heidelberg BESTMALZ AG Thomas Schumacher Head of Quality Management Konto 740 207 2000 ∙ BLZ 600 501 00 BIC: SOLADEST IBAN: DE 86 600 501 01 740 207 2000	<urn:uuid:677f999b-a542-4b86-aa14-82dc546c8240>	CC-MAIN-2018-43	http://bintani.com.au/wp-content/uploads/filebase/documents/Malt/Best/Cert/Malt%20-%20Best%20-%20Cert%20-%20Organic.pdf	2018-10-18T11:50:14Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-43/segments/1539583511806.8/warc/CC-MAIN-20181018105742-20181018131242-00277.warc.gz	46,724,777	448	eng_Latn	eng_Latn	0.915769	eng_Latn	0.915769	[ "eng_Latn" ]	false	rolmOCR	[ 1741 ]
IN THE HIGH COURT OF JUDICATURE AT BOMBAY BENCH AT AURANGABAD INCOME TAX APPEAL NO. 79 OF 2018 Souvenir Developers (I) Pvt. Ltd. Shop No. 1, Animesh Apartment, Plot No. 3, Janki Nagar, Wadibhokar Road, Deopur, Dhule-424 002. …. Appellant. Versus The Union of India Through Assistant Commissioner of Income Tax, Circle-3(1), Dhule. Mr. S. P. Shah, Advocate for appellant. Dr. Kalpalata Bharaswadkar-Patil, Advocate for respondent. ... CORAM : R. D. DHANUKA & S. G. MEHARE, JJ. Date on which reserved for judgment : 20 th April, 2022. Date on which judgment pronounced : 06 th May, 2022. JUDGMENT : [PER R. D. DHANUKA, J.] :- 1. The appeal by the assessee under section 260-A of the Income Tax Act, 1961 raises the following substantial questions of law :- (i) Whether on the facts and circumstances of the case and in law, the Tribunal was justified in confirming any addition on ::: Uploaded on - 06/05/2022 ::: Downloaded on - 19/05/2022 14:56:05 ::: .… Respondent. 2 transaction in derivatives on recognized stock exchange as defined under Section 43 (5) (d) of the Income Tax Act, 1961 with reference to explanation given to Section 73 of the Income Tax Act, 1961 which is applicable to speculative transactions. (ii) Whether loss suffered by the appellant on the transactions in respect of trading in derivatives referred to in clause (ac) of Section 2 of the Securities Contracts (Regulation) Act, 1956 carried out in a recognized stock exchange by the appellant could have been set off against the income of the appellant arisen out of infrastructure business carried on by the appellant under Section 70 of the Income Tax Act, 1961. 2. By consent of parties appeal is heard finally. Some of the relevant facts for the purpose of deciding this appeal are as under :- The relevant assessment year is 2009-10 and financial year is 2008-09. The appellant is a domestic company and derives income from business. The appellant is dealing in collection of Toll fees in the name and style "M/s. Souvenir Developer (India), Pvt. Ltd., Dhule". The appellant is also carrying business of shares and derivatives. The return of income declaring total income of Rs.85,43,220/- was 3 submitted electronically by assessee on 30 th September 2009. The same was processed on 28 th March 2011 under section 143 (1) of the Income Tax Act, 1961 by accepting the return of income. Subsequently the case of the appellant was picked up for scrutiny. The statutory notice under section 143(2) of the Income Tax Act, 1961 was issued on 28 th September 2010. The appellant was granted an opportunity of being heard by the assessing officer. The appellant produced the information called as per questionnaire before the assessing officer. The assessing officer passed order on 29 th December 2011 assessing the income of the appellant as Rs.90,79,092/-. TAXPUNDIT.ORG 3. In the said assessment order, the assessing officer made addition of the income to the extent of Rs.5,35,872/- under three different heads. The assessing officer refused to consider the loss suffered by the assessee on transaction in derivatives while computing net taxable income. The application for rectification under section 154 made by the appellant was rejected by order dated 14 th May 2012. On 4 th June 2012 the appellant preferred an appeal before the Commissioner of Income Tax (Appeals) against the assessment order. The appellant did not challenge the additions made by the Assessing Officer. 4. On 27 th February 2014, the Commissioner of Income Tax (Appeals) passed order refusing to consider the loss suffered by the appellant on transaction in derivatives while computing the net income of the appellant. The Commissioner of Income Tax (Appeal) was of the view that the appellant would not be entitled to set-off loss suffered from transactions in securities because of the provisions of section 73. The Commissioner held that as provided under section 73, the loss suffered by the assessee would be a loss from speculative business and as such the appellant would not be entitled to claim setoff against the income from a non-speculative business. TAXPUNDIT.ORG 5. Being aggrieved by the said order, the appellant preferred an appeal before the Income Tax Appellate Tribunal on 2 nd July 2014. On 31 st October 2017 the Income Tax Appellate Tribunal dismissed the said appeal. The Income Tax Appellate Tribunal was of the view that the appellant would not be entitled to claim set-off in view of the provisions of Section 73. Being aggrieved by the said decision of the Income Tax Appellate Tribunal, the appellant has preferred this appeal under section 260-A of the Income Tax Act, 1961. 6. Some of the relevant provisions for deciding this appeal are extracted as under :- Definitions of certain terms relevant to income from profits and gains of business or profession. 43. In Sections 28 to 41 and in this section, unless the context otherwise requires — (5) "speculative transaction" means a transaction in which a contract for the purchase or sale of any commodity, including stocks and shares, is periodically or ultimately settled otherwise than by the actual delivery or transfer of the commodity or scrips: Provided that for the purpose of this clause : (d) an eligible transaction in respect of trading in derivatives referred to in clause (ac) of section 2 of the Securities Contracts (Regulation) Act, 1956 (42 of 1956) carried out in a recognized stock exchange; or Explanation 1. — For the purposes of clause (d), the expressions — (i) "eligible transaction" means any transaction, — TAXPUNDIT.ORG (A) carried out electronically on screen-based systems through a stock broker or sub-broker or such other intermediary registered under section 12 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) in accordance with the provisions of the Securities Contracts (Regulation) Act, 1956 (42 of 1956) or the Securities and Exchange Board of India Act, 1992 (15 of 1992) or the Depositories Act, 1996 (22 of 1996) and the rules, regulations or bye-laws made or directions issued under those Acts or by banks or mutual funds on a recognised stock exchange; and (B) which is supported by a time stamped contract note issued by such stock broker or sub-broker or such other intermediary to every client indicating in the contract note the unique client identity number allotted under any Act referred to in sub-clause (A) and permanent account number allotted under this Act; (ii) "recognized stock exchange" means a recognized stock exchange as referred to in clause (f) of section 2 of the Securities Contracts (Regulation) Act, 1956 (42 of 1956) and which fulfils such conditions as may be prescribed and notified 79 by the Central Government for this purpose; (2) Where the result of the computation made for any assessment year under sections 48 to 55 in respect of any short-term capital asset is a loss, the assessee shall be entitled to have the amount of such loss set off against the income, if any, as arrived at under a similar computation made for the assessment year in respect of any other capital asset. Set off of loss from one source against income from another source under the same head of income. 70. (1) Save as otherwise provided in this Act, where the net result for any assessment year in respect of any source falling under any head of income, other than "Capital gains", is a loss, the assessee shall be entitled to have the amount of such loss set off against his income from any other source under the same head. TAXPUNDIT.ORG (3) Where the result of the computation made for any assessment year under sections 48 to 55 in respect of any capital asset (other than a short-term capital asset) is a loss, the assessee shall be entitled to have the amount of such loss set off against the income, if any, as arrived at under a similar computation made for the assessment year in respect of any other capital asset not being a short-term capital asset. Losses in speculation business. 73. (1) Any loss, computed in respect of a speculation business carried on by the assessee, shall not be set off except against profits and gains, if any, of another speculation business. (2) Where for any assessment year any loss computed in respect of a speculation business has not been wholly set off under sub-section (1), so much of the loss as is not so set off or the whole loss where the assessee had no income from any other speculation business, shall, subject to the other provisions of this Chapter, be carried forward to the following assessment year, and — (i) it shall be set off against the profits and gains, if any, of any speculation business carried on by him assessable for that assessment year; and (ii) if the loss cannot be wholly so set off, the amount of loss not so set off shall be carried forward to the following assessment year and so on. (3) In respect of allowance on account of depreciation or capital expenditure on scientific research, the provisions of sub-section (2) of section 72 shall apply in relation to speculation business as they apply in relation to any other business. TAXPUNDIT.ORG (4) No loss shall be carried forward under this section for more than four assessment years immediately succeeding the assessment year for which the loss was first computed. Explanation. — Where any part of the business of a company (other than a company whose gross total income consists mainly of income which is chargeable under the heads "Interest on securities", "Income from house property", "Capital gains" and "Income from other sources", or a company the principal business of which is the business of trading in shares or banking]or the granting of loans and advances) consists in the purchase and sale of 8 shares of other companies, such company shall, for the purposes of this section, be deemed to be carrying on a speculation business to the extent to which the business consists of the purchase and sale of such shares. 7. Mr. Shah, learned counsel for the appellant submits that, during the financial year 2008-2009 the appellant had ventured into transactions in securities in derivatives at recognized stock exchange and through registered brokers. The appellant had suffered losses to the tune of Rs.1,90,66,444/- in those transactions in securities in the derivatives. He submitted that, though the Commissioner of Income Tax (Appeals) was pleased to accept that the appellant had suffered loss in the transactions in securities in derivatives, he refused to consider the said loss while computing the net income of the appellant on the ground that under Section 73, the loss suffered by the assessee would be a loss from speculative business and as such, the appellant would not be entitled to claim set-off against the income from a nonspeculative business. 8. It is submitted by the learned counsel that, in view of Section 28 Explanation-2 r/w Section 43(5) proviso (d) such transactions are kept out of the definition of speculative transactions. 9. The learned counsel for the appellant placed reliance on Section 73 of the Income Tax Act, 1961 and would submit that, the appellant was entitled to set-off the loss suffered by the appellant in the transactions in securities in the derivatives against the income derived by the appellant from the business of collection of toll and business of infrastructure. He submits that, the Commissioner of Income Tax (Appeals) did not deal with Section 43(5)(d) of the Income Tax Act, 1961 at all in the impugned order and erroneously held that, the entire transaction carried out by the appellant was speculative and thus loss suffered on such speculative transaction could not be claimed as set off against other heads of income. The learned counsel fairly states that, there is no dispute that, losses having arisen to the appellant on the trading in shares being speculative cannot be set-off against the other heads of income. 10. Learned counsel for the appellant placed reliance on the judgment delivered by a Division Bench of this court in case of The Commissioner of Income Tax, Central-IV Vs. Shri. Bharat R. Ruia (HUF) reported in (2011) 337 ITR 452 in particular paragraph nos.6, 7, 17, 18, 21, 23, 29, 30, 33, 35 and 37 in support of the submission that, the loss suffered by the appellant in the transactions arising out of securities in derivatives were not speculative transaction under Section 43(5) of the Income Tax Act, 1961. 11. Learned counsel for the appellant submits that, Proviso (d) to Section 43(5) of the Income Tax Act was inserted by Finance Act, 2005 with effect from 01.04.2006. He submits that, the said proviso to Section 43(5) carved out an exception to the definition of 'speculative transaction'. He submits that, the loss suffered in the transactions in derivatives before insertion of the proviso to Section 43(5) were considered as speculative and were not entitled to be setoff against the profit under any other heads of income except profit from speculative business. However, in view of the said proviso to Section 43(5) inserted by the Finance Act, 2005 with effect from 01.04.2006, the transactions in derivatives were not considered as speculative business. 12. The learned counsel for the appellant placed reliance on the judgment of the Hon'ble Supreme court in case of Snowtex Investment Limited Vs. Principal Commissioner of Income Tax, Central-2, Kolkata reported in 2019 SCC OnLine SC 749 and in particular paragraph nos.3 to 5, 14, 18, 25, 26, 33 and 34 in support of the submission that, the losses having arisen from trading in futures and options were not profits from a speculative business. 13. The learned counsel for the appellant distinguished the judgment of the Hon'ble Supreme Court in case of Commissioner of Income Tax Vs. Lokmat Newspapers P. Ltd. reported in (2010) 322 ITR 43 and would submit that, in the said judgment there were no derivative transactions involved. The transactions considered by this Court in the said judgment were arising out of trading in shares. The said judgment is thus clearly distinguishable on facts. 14. Smt. Bharaswadkar-Patil, learned counsel for the revenue on the other hand invited our attention to the grounds of Appeal before the Income Tax Appellate Tribunal and would submit that, it was clearly admitted by he appellant that no set-off of loss suffered in speculative transaction was permissible. The appellant had not claimed any set-off before the Assessing Officer. The Income Tax Appellate Tribunal, however, allowed the Rectification Application filed by the appellant. TAXPUNDIT.ORG 15. The learned counsel for the revenue invited our attention to Section 43(5) (d), Section 73 and would submit that, in view of the definition of speculative transaction and in view of Section 73 of the Income Tax Act, 1961, losses in speculation business would not be governed by Section 43(5) read with proviso thereto. She submits that, deeming fiction is created under Section 73 of the Income Tax Act, 1961. The learned counsel for the revenue placed reliance on the judgment of the Delhi High Court in case of The Commissioner of Income Tax Vs. DLF Commercial Developers Limited reported in (2013) 218 Taxman 45 and in particular paragraph nos.5, 6, 9 and 10. She submits that, in the said judgment it is clearly held that, objective of Section 73 apparent from the tenor of its language is to deny speculative businesses the benefit of carry forward of losses. 16. The learned counsel for the revenue made an attempt to distinguish the judgment of the Hon'ble Supreme Court in case of Snowtex Investment Limited (supra) on the ground that, the Hon'ble Supreme Court in the said judgment had considered the principal business of assessee. The issue before the Hon'ble Supreme Court was different. The learned counsel for the revenue strongly placed reliance on the judgment of this court in case of Commissioner of Income Tax Vs. Lokmat Newspapers P. Ltd. (supra) and would submit that, the authorities below have rightly considered the said judgment, though the same was not directly on the issue. In support of this submissions she placed reliance on paragraph no.6 of the said judgment. TAXPUNDIT.ORG 17. The learned counsel for the revenue made an attempt to distinguish this judgment in case of The Commissioner of Income Tax, Central-IV Vs. Shri. Bharat R. Ruia (HUF) (supra). She submits that, question felt for consideration by this Court in this judgment was whether proviso inserted to Section 43(5) was clarificatory or not and the ratio in the said judgment would not apply to the facts of this case. The learned counsel for the revenue tenders the explanatory notes on the provisions of the Finance Act, 2005 dated 27 th February, 2006 for showing the purpose and object of insertion of proviso to Section 43(5) of the Income Tax Act, 1961. 18. Mr. Shah, learned counsel for the appellant in his rejoinder argument would submit that, Section 43 of the Income Tax Act, 1961 falls under the Part (iv) of the Income Tax Act whereas, Section 43 of the said Act falls under Part (vi). It is submitted that, the appellant in this case had three sources of income i.e. (i) income arisen out of infrastructure business, (ii) losses incurred in the transaction in derivatives and (iii) losses suffered in transaction in equity shares. The appellant had claimed set-off in respect of the loss derived in the derivative transaction against the profits having arisen from the infrastructure business. He invited our attention to Section 73 of the Income Tax Act, 1961 and would submit that, the business of the infrastructure carried out by the appellant is not a speculative TAXPUNDIT.ORG business. It is not the case of the revenue that, loss in trasactions in securities carried out by the appellant in derivatives is a speculative business. He submits that, since business in derivative is not included in the definition of speculative business, the loss suffered by the appellant is permitted to be set-off against income having arisen to the appellant out of infrastructure business. 19. The learned counsel for the appellant strongly placed reliance on Section 70 of the Income Tax Act and would submit that, loss suffered by the appellant in the transactions in securities in derivatives being one of the distinct business falling under head of the income from business, the appellant is entitled to set-off the loss under the said source against the income having arisen from the infrastructure business which is also a distinct business falling under Section 28 of the Income Tax Act, 1961. He submits that, loss suffered by the assessee under distinct business under the said head can be also adjusted against the income of another business under the head of income under Section 28. Section 73 deals with the set-off of speculative business and thus reliance placed by the learned counsel for the revenue on the proviso thereto is totally misplaced. Learned counsel for the appellant invited our attention to the paragraph no.14, TAXPUNDIT.ORG 17, 25 and 36 of the judgment of the Hon'ble Supreme court in case of Snowtex Investment Limited (supra) and would submit that, the Hon'ble Supreme Court has considered the Memorandum issued by the Government explaining the amendment to Section 43(5) of the Income Tax Act, 1961. REASONS AND CONCLUSIONS 20. The Assessing Officer did not consider the effect of insertion of proviso to Section 43(5) of the Income Tax Act in the impugned order at all. The Commissioner of Income Tax (Appeals) allowed the Rectification Application filed by the appellant under Section 143(3) read with Section 143 (1). The said order passed by the Commissioner of Income Tax (Appeals) allowing the Rectification Application filed by the appellant was not challenged by the respondent-revenue at any stage. 21. The Commissioner of Income Tax (Appeals) observed that, the Assessing Officer had not impugned anything in regard to the share trading loss in the assessment order under Section 143(3) and had rejected the Rectification Application stating that as per the return of income there was an income of Rs.85,43,220/- and hence there was no mistake apparent from record which required rectification. In paragraph no.9 of the said order passed by the Commissioner of Income Tax (Appeals) it was observed that, on verification of the case record, it was noticed that the appellant company had carried out activity of share trading in derivatives and had incurred loss amounting to Rs.1,90,66,444/-. 22. The Commissioner of Income Tax (Appeals), however, considered the explanation to Section 73 of the Act and erroneously observed that, income from share trading is to be regarded as speculative income. The Commissioner of Income Tax (Appeals), adverted to the judgment of the Delhi High court in The Commissioner of Income Tax Vs. DLF Commercial Developers Limited (supra) and held that, the loss claimed by the appellant company in respect of the share trading in derivative at Rs.1,90,66,444/- is to be assessed as speculative loss. However, the set-off being speculative loss could not be set-off against the regular business income assessed by the Assessing Officer at Rs.90,79,092/- as claimed by the appellant. The Commissioner of Income Tax (Appeals) did not consider or dealt with the contention of the appellant that, in view of amended provisions of Section 43(5)(d), the trading of shares in derivatives was to be assessed as the regular business and not speculative business and thus loss if any in transaction in derivative was required to be set-off against the other heads of income. 23. In the impugned order, the Income Tax Appellate Tribunal has dealt with the grounds raised by the appellant that the learned CIT(A) erred in law and on facts in confirming an addition on transactions in derivatives on recognized stock exchange as defined in Section 43(5)(d) of the Income Tax Act 1961 with reference to explanation given to Section 73 of the Income Tax Act, 1961 which is applicable to speculative transactions. The Income Tax Appellate Tribunal, however, considered the judgment of this Court in case of Commissioner of Income Tax Vs. Lokmat Newspapers P. Ltd. (supra) and more particularly paragraph nos. 6 to 10 and erroneously held that, in view of the admitted facts of the case, the ground no.3 raised in Appeal filed by the appellant-assessee is dismissed. The Income Tax Appellate Tribunal did not consider the effect of insertion of the proviso in Section 43(5) of the Income Tax Act, 1961 by the Finance Act, 2005 with effect from 01.04.2006 at all. 24. Chapter IV of the Income Tax Act, 1961 provides for computation of total income under five heads. Section 28 to 44DB deals with profits and gains of any business or profession and about various permissible deductions out of such income. Section 43 provides for definitions of certain terms relevant to income from profits and gains of business or profession and more particularly under Section 28 to 41 of the Income Tax Act, 1961. Section 43(5) of the Income Tax Act defines that 'speculative transaction' means a transaction in which a contract for the purchase or sale of any commodity, including stocks and shares, is periodically or ultimately settled otherwise than by the actual delivery or transfer of the commodity or scrips. 25. In this case the appellant has not claimed any set-off of the loss suffered by the appellant in the transactions in shares where delivery was actually effected. The appellant has admittedly claimed set-off of the loss suffered in respect of transactions in derivatives in view of the Finance Act, 2005 with effect from 01.04.2006. It is thus clear beyond reasonable doubt that the transaction in derivative was carved out as an exception in the definition of speculative transaction. None of the Authorities below, however, considered and dealt with the effect of said proviso (d) to Section 43(5) of the Income Tax Act, 1961 inserted by the Finance Act, 2005 with effect from 01.04.2006 in the impugned orders. TAXPUNDIT.ORG 26. The explanatory notes on the provisions of the Finance Act, 2005 clearly indicates that the existing provision before such amendment of Clause (5) to Section 43 defines "speculative transaction" means a transaction in which a contract for the purchase or sale of any commodity, including stocks and shares, is periodically or ultimately settled otherwise than by the actual delivery or transfer of the commodity or scrips. Proviso to Section 43(5) list out certain transaction which are not deemed to be speculative transaction. 27. By the said explanatory note it was made clear that, the Finance Act, 2005 has amended Section 43(5) to provide that an eligible transaction in respect of trading in derivatives of securities carried out on a recognized stock exchange shall not be deemed as speculative transaction. The notification prescribing the transaction which are not deemed to be speculative transaction. It was made clear that the Finance Act, 2005 has, accordingly, amended Section 43 (5) to provide that an eligible transaction in respect of trading in derivatives of securities carried out on a recognized stock exchange shall not be deemed as speculative transaction. The notification prescribed the rules and the conditions to be fulfilled by a stock exchange to be recognized by the Central Government for the purposes of Section 43(5) [i.e., Rules 6DDA and 6DDB of the Income Tax Rules, 1962] TAXPUNDIT.ORG published in the Official Gazette on 1 st July, 2005 vide S.O. No.932(E). 28. The Hon'ble Supreme Court in case of Snowtex Investment Limited (supra) had considered an appeal arising out of the judgment of the High Court holding that the profits which had arisen from trading in futures and options were not profits from a speculative business and hence loss arising out of trading in shares could not be set off against the profits arising from the business of futures and options. In paragraph No. 15 of the said judgment, the Hon'ble Supreme Court held that the impact of the amendment to Section 43 (5) of the Income Tax Act by Finance Act, 2005 was that an eligible transaction on a recognized stock exchange in respect of trading in derivatives was deemed not to be a speculative transaction. TAXPUNDIT.ORG 29. With effect from 01.04.2006, trading in derivatives was by a deeming fiction not regarded as a speculative transaction when it was carried out on a given stock exchange. Prior to the amendment, Section 43 (5) defined a "speculative transaction" to mean a transaction in which a contract for the purchase or the sale of any commodity including stocks and shares which settled otherwise other than by the actual delivery or transfer of the commodity or scrips. The Hon'ble Supreme Court also considered the circular issued by the Central Board Direct Taxes dated 27.02.2006 and observed that the amendment by the Finance Act, 2005 was occasioned by the changes which were introduced by SEBI both at the legal and technological level for bringing in greater transparency in the market for derivatives. 30. The Hon'ble Supreme Court also considered the memorandum explaining the amendment introduced in the provisions of sub-section 43 (5) by the Finance Act, 2005 with effect from 01.04.2006. It is held that while amending the provisions of Section 43 (5), the Parliament indeed was cognizant of the provisions which were contained in Section 73 (4) of the Income Tax Act, 1961. It is held that it was only with effect from 01.04.2015 that an amendment was brought about to exclude trading in shares from the deeming provision contained in the Explanation to Section 73. 31. The Hon'ble Supreme Court held that it would be difficult to hold that the provisions which were contained in the Finance Act (No. 2) of 2014 in so far as they amended the Explanation to Section 73 were clarificatory or that notwithstanding the provision by which the amendment was brought into force with effect from 01.04.2015, that it should be given retrospective effect. The Hon'ble Supreme Court held that the amendment which was brought by Parliament to the Explanation to Section 73 by the Finance (No. 2) Act, 2014 was with effect from 01.04.2015. In its legislative wisdom, the Parliament amended Section 43 (5) with effect from 01.04.2006 in relation to the business of trading in derivatives, the Parliament brought about a specific amendment in the Explanation to Section 73, in so far as trading in shares is concerned, with effect from 01.04.2015. The latter amendment was intended to take effect from the date stipulated by Parliament. 32. The Hon'ble Supreme Court accordingly showed no reason to hold either that it was clarificatory or that the intent of Parliament was to give it retrospective effect. The Hon'ble Supreme Court accordingly held that in the assessment year 2008-2009, the loss which occurred to the assessee as a result of its activity of trading in shares (a loss arisen from the business of speculation) was not capable of being set off against the profits which it had earned against the business of futures and options since the latter did not constitute profits and gains of a speculative business. The Hon'ble Supreme Court accordingly did not interfere with the view taken by the High Court. The principles of law laid down by the Hon'ble Supreme Court in the said judgment in case of Snowtex Investment Limited (supra) apply to the facts of this case. TAXPUNDIT.ORG 33. Section 73 (1) of the Income Tax Act provides that any loss, computed in respect of a speculation business carried on by the assessee, shall not be set off except against profits and gains, if any, of another speculation business by Taxation Laws (Amendment) Act, 1975 with effect from 01.04.1977. The Explanation was inserted below Section 73 (4) of the Income Tax Act. 34. A perusal of the Explanation indicates that where any part of the business of a company other than the exceptions carved out therein consist in the purchase and sale of shares of other companies, such companies shall, for the purpose of section 73, be deemed to be carrying on a speculation business to the extent to which the business consist of the purchase and sale of shares. Proviso (d) to Section 43 (5) which defined "speculation transaction" was admittedly inserted by Finance Act, 2005 with effect from 01.04.2006. The said provision has been interpreted by the Hon'ble Supreme Court in case of Snowtex Investment Limited (supra). TAXPUNDIT.ORG 35. It is thus clear that, the transactions in respect of trading in derivatives referred to in Clause (ac) of Section 2 of Securities Contracts (Regulation) Act, 1956 carried in a recognized stock exchange are excluded from the definition of "speculation transaction" described under Section 43 (5) of the Income Tax Act, 1961. In our view, the respondents thus, cannot be allowed to contend that the appellant had claimed any set off of the losses suffered by the appellant in respect of the speculation business carried on by the assessee against the profits and gains, if any, of another speculation business. 36. In our view, Section 73 (1) as well as the explanation inserted by Taxation Laws (Amendment) Act, 1975 with effect from 01.04.1977 thus would not apply to the loss having arisen in the trading in derivatives being not speculative transaction which is excluded from the definition of "speculation transaction" described under Section 43 (5) of the Income Tax Act. In the facts of this case, the appellant has claimed set off in respect of the loss suffered by the appellant in the transaction in derivatives against the income arising of infrastructure business under the head of income from business or profession under Section 28 of the Income Tax Act, 1961. TAXPUNDIT.ORG 37. The Division Bench of this Court in case of Commissioner of Income Tax Vs. Shri Bharat R. Ruia (HUF) has considered the substantial question of law i.e. "whether the transactions in exchange traded financial derivatives are speculative transactions" as defined in Section 43 (5) of the Income Tax Act, 1961. In the facts of that case, proceedings arising out of the assessment year 2003-2004 were in question. In paragraph No. 23 of the said judgment, this Court held that plain reading of clause (d) of Section 43 (5) makes it clear that with effect from 01.04.2006 only those eligible transaction in derivatives referred to under Section 2 (ac) of 1956 Act which were carried out in a recognized stock exchange shall not be deemed to be a speculative transaction. It is only because, the transactions in derivatives referred to under Section 2 (ac) of the Act carried out in a recognized stock exchange were covered under Section 43 (5) of the Act, the legislature could exclude those transactions from the purview of Section 43 (5) with effect from 01.04.2006. TAXPUNDIT.ORG 38. This Court in the said judgment also considered the "Handbook on Derivatives Trading" published by the National Stock Exchange of India. This Court clearly held that the legislature by Finance Act, 1995 has specifically provided that clause (d) to the proviso to Section 43 (5) shall come into operation prospectively with effect from 01.04.2006. After insertion of clause (d), all transactions in derivatives are not taken outside the purview of Section 43 (5). It is only those derivative transactions which are covered under clause (d) are taken outside the purview of Section 43 (5) and the rest of the transactions in derivatives would continue to be covered under Section 43 (5) of the Income Tax Act. This Court rejected the submission made by the revenue that clause (d) was inserted to proviso to Section 43 (5) had retrospective effect. This Court accordingly held that the exchange traded derivative transaction carried on by the assessee during the assessment year 2003-2004 (i.e. prior to insertion of Clause (d) to the proviso to Section 43 (5) of the Finance Act, 2005) were speculative transactions covered under Section 43 (5) of the Act and the loss incurred in those transactions were liable to be treated as speculative loss and not bus ness loss. TAXPUNDIT.ORG 39. In the facts of this case, admittedly the assessment year in question is 2009 2010 and financial year is 2008-2009 i.e. after insertion of the said Clause (d) to the proviso to Section 43 (5) of the Income Tax Act, 1961. The principles laid down by this Court in the said judgment in case of Commissioner of Income Tax Vs. Shri Bharat R. Ruia (HUF) interpreting clause (d) inserted in the proviso to Section 43 (5) by Finance Act, 2005 with effect from 01.04.2006 apply to the facts of this case. Transactions in derivatives carried out by the assessee after 01.04.2006 thus would not be speculative transactions. 40. In so far as the judgment of this Court in case of Commissioner of Income Tax Vs. Lokmat Newspapers Pvt. Ltd. (supra) relied upon by the learned counsel for revenue is concerned, the substantial question of law fell for consideration of this Court in the said judgment was "whether, on the facts and in the circumstances of the case and in law, the Tribunal was justified in allowing brought forward speculation loss to be set off against delivery based profits earned by the assessee-company from sale and purchase of shares". 41. The assessee in that matter had offered the profit as a profit of speculation business and had claimed set off against a speculation loss brought forward from the assessment years 19961997 to 1998-1999. This court in the said judgment had not considered the clause (d) inserted to proviso to Section 43 (5) of the Income Tax Act and had considered unamended Section 43 (5) and Section 73. The said judgment in our view is clearly distinguishable on the facts and thus would not advance the case of the revenue. The reliance placed by the Income Tax Appellate Tribunal on the said judgment in case of Commissioner of Income Tax Vs. Lokmat Newspapers Pvt. Ltd. (supra) is totally misplaced. TAXPUNDIT.ORG 42. In so far as judgment of Delhi High Court in case of the Commissioner of Income Tax Vs. DLF Commercial Developers Limited (supra) relied upon by the learned counsel for revenue is concerned, the Delhi High Court has taken a view contrary to the view taken by this Court in case of Commissioner of Income Tax Vs. Shri Bharat R. Ruia (HUF) (supra). The Judgment of the Hon'ble Supreme Court in case of Snowtex Investment Limited (supra) was not brought to the notice of Delhi High Court while dealing with the case of Commissioner of Income Tax Vs. DLF Commercial Developers Limited. The said judgment of Delhi High Court would not advance the case of the revenue. 43. In our view the Income Tax Appellate Tribunal could not have confirmed any addition on transaction in derivatives on recognised stock exchange as defined in Section 43 (5) (d) of the Income Tax Act, 1961 with reference to explanation given to Section 73 of the Income Tax Act, 1961 which is applicable to speculative transaction. By virtue of insertion of clause (d) to the proviso to Section 43 (5) of the Income Tax Act, 1961, the transactions in respect of the trading in derivatives as prescribed in clause (d) inserted in proviso to Section 43(5) would not be a speculative transaction. TAXPUNDIT.ORG 44. The appellant was thus entitled to claim set off of the loss suffered by the appellant in the said transactions in derivatives against the business income of the appellant from infrastructure business under Section 70 of the Income Tax Act 1961. 45. We accordingly pass the following order :- (i) Substantial question of law No. 1 fell for consideration is answered in negative and in favour of the assessee. (ii) Substantial question No. 2 is answered in affirmative and in favour of the assessee. 46. Income Tax Appeal No. 79 of 2018 is allowed in aforesaid terms. No order as to costs. ( S. G. MEHARE, J. ) ( R. D. 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EL SALVADOR STATEMENT BY FCO SPOKESMAN: 25 FEBRUARY HMG have now had an opportunity to study the information provided by the US Government about arms supplies to insurgent groups in El Salvador. This points to activities which can only be regarded as gross interference in the internal affairs of El Salvador and HMG support the Government of the United States in calling for it to end. HMG note, with concern, the continuing violence inside El Salvador and the suffering and hardship this causes to the people of that country. HMG condemn such violence from whatever quarter. They look to the Government of El Salvador to take all possible steps to protect the Salvadorean people from violations of basic human rights and, in particular, to exercise firm control over all government institutions and organisations. HMG consider that the people of El Salvador should be able to determine their own future peacefully and democratically.	<urn:uuid:312c1e8d-1ae9-4e31-a254-aaa138e999ef>	CC-MAIN-2021-49	https://e8e62e492b4a1a43cd16-77325458036aa340f9e5dfc158bde804.ssl.cf2.rackcdn.com/810225%20FCO%20sta%20EL%20SAV%20PREM19-0600%20f209.pdf	2021-12-02T23:04:05+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00279-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet	291,475,172	186	eng_Latn	eng_Latn	0.994859	eng_Latn	0.994859	[ "eng_Latn" ]	false	docling	[ 939 ]
DRAFT REPORT 2017 MONITORING REPORT GRAND COUNTY, COLORADO Prepared for: Grand County, Colorado 308 Byers Avenue P.O. Box 264 Hot Sulphur Springs, CO 80451 with support from Northern Colorado Water Conservancy District Denver Water Trout Unlimited Colorado River Water Conservation District Prepared by: TETRA TECH 130 Ski Hill Road, Suite 140 P.O. Box 1659 Breckenridge, CO 80424 and HabiTech, Inc. P.O. Box 944 Laramie, WY 82073 February 26, 2018 Revised April 13, 2018 Page Intentionally Left Blank EXECUTIVE SUMMARY Fraser River 2017 spring runoff in the Fraser River and Ranch Creek exceeded the magnitude and duration of the recommended flushing flows for the fourth consecutive year. Spawning bar habitat on both the Fraser River and Ranch Creek were in good condition with embeddedness the lowest recorded since monitoring began in 2010. Neither spawning bar was impaired by finer sediments (<8mm) based on the Colorado Water Quality Control Commission (CWQCC 2014) guidelines as outlined in Policy 98-1 (CWQCC guidelines). Riffle bed material mobilization occurred on both streams as it had in 2014, 2015 and 2016. Riffle Stability Index analyses indicated bed material up to small cobble size had been transported, with an estimated 34 to 43% of the riffle substrates mobilized. These findings are supportive of observations that flows in the range of the 3-year return interval, estimated to be 1,072 cubic feet per second for the Fraser River at Granby, Colorado, can initiate cobble mobilization and riffle maintenance. The Ranch Creek macroinvertebrate community has remained quite stable in recent years and has consistently attained its aquatic life use designation. Fraser River sites have shown more variability. Overall, the health of the Fraser River watershed macroinvertebrate community was the best in the downstream sites. The site downstream of Granby has consistently achieved the highest Colorado Multi-Metric Index (MMI) scores and attained its aquatic life use designation in all sample years and provides habitat for giant stoneflies. Upstream, the 2017 macroinvertebrate sites have been found to be impaired in at least one sample year. In 2017, both the above Winter Park and Rendezvous Bridge sites failed to attain their aquatic life use designation. All riffle habitats sampled in 2017 were well below the CWQCC guidelines threshold for fine sediment impairment (<2 mm). Trout populations at both the Kaibab Park and the Safeway stations once again exceeded Colorado Parks and Wildlife (CPW) Gold Medal benchmarks in 2017 (Ewert 2018a). At Fraser Flats both trout biomass and quality trout density exceed pre-project levels. The trout population at Confluence Park has shown the greatest variability of the Fraser River stations with both trout biomass and quality trout numbers below the Gold Medal biological benchmarks, with brook and brown trout out-competing stocked rainbow trout. No fish sampling was conducted on Ranch Creek in 2017. Colorado River 2017 spring runoff in the Colorado River exceeded the magnitude and duration of the recommended flushing flows for the fourth consecutive year. All four spawning bars sampled on the Colorado River were exceptionally clean, with little embeddedness. None of the bars were impaired by finer sediments based on the CWQCC guidelines. Riffle bed material mobilization occurred at all four sites, as it had in 2014, 2015 and 2016, with particles up to medium cobble transported and an estimated 40 to 50% of riffle substrates potentially mobilized. These findings are supportive of 2016 observations that flows in the range of the 3-year return interval, estimated to be 3,890 cubic feet per second for the Colorado River at Kremmling, Colorado, can initiate cobble mobilization and riffle maintenance. Overall, the health of the Colorado River macroinvertebrate community appeared satisfactory in 2017, with all sites attaining their designated aquatic life use. Giant stoneflies were collected immediately below Windy Gap for the first time since the LBD macroinvertebrate monitoring began. All riffle habitats sampled in 2017 were well below the CWQCC guidelines threshold for fine sediment impairment. Fish population sampling was only conducted at the Parshall-Sunset station in 2017, with trout biomass and density consistently excellent, similar to 2015 and 2016 levels (Ewert 2018b). However, quality trout numbers (trout greater than 14 inches in length) continue to decline. CPW has raised concerns that this reach of the Colorado River is uncomfortably close to not meeting Gold Medal standards and is a fishery in decline due to long-term trout forage base and habitat degradation. # Table of Contents 1 INTRODUCTION ........................................................................................................... 1 2 METHODS .................................................................................................................. 3 2.1 Objective #1 – Spawning Habitat Monitoring .................................................... 3 2.2 Objective #2 – Macroinvertebrate Sampling ...................................................... 4 2.3 Objective #3 – Fish Sampling ............................................................................. 9 2.4 Objective #4 – Trends and Relationships .......................................................... 10 3 RESULTS AND DISCUSSION .................................................................................... 11 3.1 Fraser River ....................................................................................................... 11 3.1.1 2017 Streamflow Regime ........................................................................... 11 3.1.2 Spawning Habitat ...................................................................................... 11 3.1.3 Macroinvertebrate Community ................................................................. 16 3.1.4 Fish Populations ....................................................................................... 22 3.2 Colorado River .................................................................................................. 26 3.2.1 2017 Streamflow Regime .......................................................................... 26 3.2.2 Spawning Habitat ...................................................................................... 30 3.2.3 Macroinvertebrate Community ................................................................. 34 3.2.4 Fish Populations ....................................................................................... 40 4 SUMMARY, CONCLUSIONS AND RECOMMENDATIONS .................................. 43 4.1 Summary and Conclusions ................................................................................ 43 4.1.1 Fraser River and Ranch Creek .................................................................. 43 4.1.2 Colorado River .......................................................................................... 43 4.2 Recommendations ............................................................................................. 44 5 LITERATURE CITED .................................................................................................. 45 ## List of Figures Figure 1 Site map ........................................................................................................... 7 Figure 2 April through October hydrographs for Fraser River (2010-2017) and Ranch Creek below Meadow Creek (2014-2017) in Grand County, CO .................................................. 12 Figure 3 Percent of spawning bar embedded at Fraser River and Ranch Creek sites, 2010-2017 ................................................................. 14 Figure 4 Riffle Stability Index (RSI) results for the Fraser River and Ranch Creek sites, 2017 ................................................................. 14 Figure 5 Trend of Fraser River and Ranch Creek MMI scores from upstream to downstream for 2015-2017. Red and green dashed lines depict boundaries of MMI “gray zone.” .................................................. 20 Figure 6 CPW trout biomass estimates (2003-2017) for Fraser River sites sampled in 2017 ................................................................. 25 Figure 7 Hydrographs for April through October 2010-2017 for five Colorado River stream gage stations in Grand County, Colorado .................................................. 26 Figure 8 Percent of spawning bar embedded at the four Colorado River sites, 2010-2017 ................................................................. 31 Figure 9 Riffle Stability Index (RSI) results for the four Colorado River spawning bar sites, 2017 ................................................................. 32 Figure 10 Trend of Colorado MMI scores from upstream to downstream, 2015-2017. Red and Green dashed lines depict boundaries of MMI "gray zone." .................................................. 38 Figure 11 CPW trout population estimates for Colorado River Parshall-Sunset reach, 2007-2017 ................................................................. 41 List of Tables Table 1 Locations for the six spawning bar sites sampled in 2017 ................................................................. 7 Table 2 2017 LBD macroinvertebrate sites in the LBD study area sampled September and October, 2017. ........................................................................................................................................................................... 7 Table 3 Summary of macroinvertebrate sampling protocols used by LBD partners on the Fraser and Colorado Rivers and Ranch Creek, 2008-2017. Table content, except Sample Type, provided by Northern Colorado Water Conservancy District. .................................................................................................................. 8 Table 4 Comparison of flushing flow recommendations (Q_{FF})\textsuperscript{1} to stream flow records for Fraser River monitoring sites, 2010-2017. ........................................................................................................................................................................... 13 Table 5 Pebble count summary for Fraser River Grand County spawning bar study sites, September 2017. ........................................................................................................................................................................... 13 Table 6 Pebble count summary for Fraser River Grand County Riffle Stability Index (RSI) spawning bar study sites, September 2017. ........................................................................................................................................................................... 15 Table 7 Comparison of Riffle Stability Index (RSI) at Fraser River monitoring sites, 2014-2017. ...................... 15 Table 8 Individual metrics and MMI scores from benthic macroinvertebrate samples collected in the LBD Fraser River study area by Timberline Aquatics, Inc. on September 18, 2017. All metric scores based on the MMI (v3) subsampling process. .................................................................................................................. 17 Table 9 Additional metrics for benthic macroinvertebrate samples collected in the LBD Fraser River study area. All metric scores based on full count Hess samples. .................................................................................................................. 18 Table 10 Colorado MMI and other key metric scores at the Fraser River and Ranch Creek sites sampled from 2011-2017. Sample types are described in Table 3. .................................................................................................................. 19 Table 11 Pebble count summary at macroinvertebrate sites on the Fraser River and Ranch Creek, 2015-2017. ........................................................................................................................................................................... 21 Table 12 Summary of CPW fish population data for the Fraser River in Grand County, 2003-................. 24 Table 13 Comparison of flushing flow recommendations (Q_{FF})\textsuperscript{1} to stream flow records for Colorado River monitoring sites, 2010-2017. ........................................................................................................................................................................... 29 Table 14 Pebble count summary for Colorado River Grand County spawning bar study sites, September 2017. ........................................................................................................................................................................... 30 Table 15 Pebble count summary for Colorado River, Grand County Riffle Stability Index (RSI) spawning bar study sites, September 2017. ........................................................................................................................................................................... 33 Table 16 Comparison of Riffle Stability Index (RSI) at Colorado River monitoring sites, 2014-2017. ......... 34 Table 17 Individual metrics and MMI scores from benthic macroinvertebrate samples collected in September and October, 2017. All metric scores based on MMI (v3) subsampling process. .................................................................................................................. 35 Table 18 Additional metrics and comparative values for macroinvertebrate samples collected at Colorado River sampling sites in September and October, 2017. .................................................................................................................. 36 Table 19 Colorado MMI and other key metric scores at the Colorado River sites sampled by GCWIN and Timberline Aquatics, Inc. from 2011-2017. .................................................................................................................. 37 Table 20 Pebble count summary at Colorado River Macroinvertebrates sampling sites. 2015-2017. ...... 39 Table 21 Summary of CPW fish population data by year for the Colorado River, 2007-2017. .................... 42 List of Appendices APPENDIX A: Chronology of Spawning Bar Site Sampling, Flood-frequency Analyses APPENDIX B: Macroinvertebrates Sampling APPENDIX C: CPW Fish Population Data APPENDIX D: Location Maps APPENDIX D.1: Core Sample Location Maps, GPS and Photo Logs APPENDIX D.2: Pebble Counts at Macroinvertebrate Sites: Location Maps, GPS and Photo Logs List of Acronyms \| Acronym or Abbreviation \| Full Phrase or Description \| \|-------------------------\|----------------------------\| \| cfs \| Cubic feet per second \| \| CPW \| Colorado Parks and Wildlife\| \| CR4 \| Colorado River, Fraser River confluence at Windy Gap to Williams Fork confluence \| \| CR4¹ \| Colorado River downstream of Windy Gap at Chimney Rock \| \| CR4² \| Colorado River at Paul Gilbert CPW \| \| CR4³ \| Colorado River below Pioneer Park at Hot Sulphur Springs. \| \| CR5 \| Colorado River, Williams Fork to KB Ditch \| \| CR6 \| Colorado River, KB Ditch to Blue River Confluence \| \| CR7 \| Colorado River, Blue River Confluence to County Line \| \| CWQCC \| Colorado Water Quality Control Commission \| \| EPT \| Ephemeroptera, Plecoptera, and Trichoptera \| \| F9 \| Fraser River, Canyon to Granby \| \| F-RC2 \| Fraser River Trib, Ranch Creek (lower) \| \| HBI \| Hilsenhoff Biotic Index \| \| LBD \| Learning By Doing \| \| MMI \| Colorado Multi-Metric Index \| \| RSI \| Riffle Stability Index \| \| SDI \| Shannon Diversity Index \| \| SMP \| Grand County Stream Management Plan \| \| STE \| Survival-To-Emergence \| \| QFF \| Flushing flow, cubic feet per second \| \| Qp \| Peak flow, cubic feet per second \| Page Intentionally Left Blank 1 INTRODUCTION The field sampling and analysis described in this monitoring report are undertaken in support of the draft Grand County Stream Management Plan (SMP) (Tetra Tech et al. 2010) and the “Learning By Doing” (LBD) Cooperative Effort. Members of the LBD Management and Technical Committees include Grand County (GC), Denver Water (DW), Northern Colorado Water Conservancy District – Municipal Subdistrict (Northern Water), Middle Park Water Conservancy District (MPWCD), Colorado River Water Conservation District (CRWCD), Colorado Parks and Wildlife (CPW), and Trout Unlimited (TU). This monitoring effort was originally initiated in 2010 to document the habitat quality of select trout spawning bars along the Fraser and Colorado Rivers within Grand County in response to the annual stream flow regimes. The primary goal was to evaluate the draft flushing flow recommendations contained in the SMP. These recommendations were based on maintenance of the structure and function of these important spawning habitats. Beginning in 2014, the LBD Management Committee requested the scope of the annual monitoring report be expanded to also include the results of macroinvertebrate and fish sampling being conducted by several of the LBD partners. The macroinvertebrate and fish sampling in combination with the habitat monitoring will provide a baseline of conditions to assist in detecting changes over time and to evaluate future projects. The goal of this report has been to provide a more comprehensive description of the health of the aquatic community and the habitats which support it, with a focus on changes relative to flow, spawning habitat quality and other pertinent habitat features. For 2017, specific study objectives were to: 1. Continue to monitor surface substrate conditions and riffle stability at six long-term spawning bar sites on the Fraser and Colorado Rivers and Ranch Creek; 2. Report on the existing data and results for macroinvertebrate communities at 12 sites on these three streams; 3. Report on the current status of fish populations on the Fraser and Colorado Rivers based on sampling by CPW, and 4. Discuss trends and potential relations between habitat conditions, the benthic community, fish populations, and stream flow regimes relative to the proposed flushing flow recommendations and other LBD management actions. The surface substrate conditions and riffle stability results stemming from Objective 1 can be used to evaluate the draft flushing flow recommendations, assess the condition of spawning gravel environments to promote survival-to-emergence (STE) of larval trout, investigate stream flows that may be needed periodically to maintain riffle habitat quality, and evaluate effects of LBD management actions. The results of the macroinvertebrate sampling program (Objective 2) inform on trends and changes to the health of the macroinvertebrate communities and can be used to assess compliance with Colorado’s aquatic life standard, and evaluate effects of LBD restoration efforts. Likewise, the information generated from Objective 3 can help to inform the LBD on the trends and changes in the size, health and status of Fraser and Colorado River fish populations and their response to various water, sediment and channel management activities. Objective 4 covers the discussion of trends and potential relations between habitat conditions, the benthic community, fish populations, and stream flow regimes relative to the proposed flushing flow recommendations and other LBD management actions, and is integrated into the results presented for Objectives 1 to 3. This report presents the results of the 2017 monitoring and where applicable, compares current with past conditions. The Methods section of the report is organized by objective, while the Results and Discussion chapter, at the request of the LBD in 2016, is organized by major river systems. The Results and Discussion chapter addresses all four objectives and includes a variety of topics such as an evaluation of spawning habitat quality within the context of spring runoff flows and the draft flushing flow recommendations, an assessment of Grand County spawning habitat conditions, and a discussion of the current condition and status of the aquatic communities in both the Fraser and the Colorado Rivers. 2 METHODS 2.1 Objective #1 – Spawning Habitat Monitoring 2017 field sampling was conducted during the week of September 6 at four long-time sampling sites on the Fraser River, Ranch Creek and Colorado River (F9, F-RC2, CR4\textsuperscript{4} and CR6), while work at CR5 and CR7 could not be completed until October 27 due to extended high flow releases from William’s Fork and Green Mountain Reservoirs. Site descriptions and locations are provided in Table 1 and Figure 1, while the sampling chronology at each of these trout spawning stations is provided in Appendix A. Pebble counts were made at each spawning site to describe the composition of the streambed surface and in particular to document the degree of embeddedness by finer sediments for each of the 100 measured particles. Pebble counts were made following the procedure described by Wolman (1954) and Kappesser (2002), and were in accordance with the guidance provided by the CWQCC in Policy 98-1 (CWQCC guidelines) for the sampling of small, targeted stream habitat types such as the trout spawning bars specifically identified for this study. A surface particle was recorded as embedded if the particle diameter was more than 50% covered by finer sediments. The 50% criterion was based upon the relationship between density of juvenile salmonids and the percent embeddedness of the substrate as reported in Bjornn and Reiser (1991), as well as the embeddedness rating system presented in Bain and Stevenson (1999). In this system, 50% is the lower threshold for the “high” embeddedness classification. The presence of aquatic vegetation at each particle measured was also noted and site photographs were taken to document conditions. McNeil-Ahnell core samples were not collected in 2017 for the LBD monitoring because streamflow was forecast to be similar to recent years and no differences were expected in the inter-gravel environments being sampled. Riffle Stability Index (RSI) (Kappesser 2002) analyses were also performed in 2017 at each of these six sites because the magnitude and duration of spring runoff flows had been sufficient to cause substantial bed-material mobilization and bar deposition. RSI measurements were taken at a riffle-point bar complex adjacent to or near the measured spawning bar and consisted of a 200-count pebble count within the riffle and the measurement of the 30 largest recently deposited sediment particles on the point bar. A particle size distribution plot was then developed from the measured riffle particles and the mean diameter of the largest point bar particles was calculated. Entering the distribution plot with the mean diameter, the percentage of riffle particles that potentially were mobilized during the preceding spring runoff was determined. Examples of these plots are provided in the Results chapter of this report and include comparisons to previous year’s results. Note that there were no RSI analyses were performed in 2012 and 2013 as inspection of spawning bar substrates and adjacent point bars indicated the magnitude and duration of spring runoff flows had not been sufficient to cause substantial bed material mobilization and bar deposition. The RSI protocol is intended for use only following runoff events of sufficient magnitude and duration to cause scour and deposition of coarse bed materials. 2.2 Objective #2 – Macroinvertebrate Sampling The primary objective of macroinvertebrate data collection is to assess the health of the aquatic community. One way this can be accomplished is with the Colorado Multi-Metric Index (MMI) which was developed by the Colorado Water Quality Control Division (CWQCC) to assess compliance with aquatic life use standards. The MMI is Colorado specific for use across a range of stream classes (e.g., Class 1 – Cold Water, Class 1 – Warm Water, Class 2- Cold and Warm Water) and biotypes (Transition, Mountains, Plains & Xeric). The MMI is composed of separate indices calibrated to respond to stressors affecting aquatic communities in one of these three analytically defined biotypes (CDPHE 2010). MMI’s are calibrated for each biotype with each index composed of several metrics selected to represent categories of community characteristics including richness, composition, functional feeding group, mode of locomotion and pollution tolerance. Each metric is scaled from 0 (worst case) to 100 (best case) and these values are then mathematically combined to generate an overall MMI score also scaled from 0 to 100. Aquatic life use thresholds for MMI scores are then applied to determine if a water body is attaining its use or if it is impaired. Since data collection began (see Table 3) there has been a lack of standardization in macroinvertebrate sample collection and analytical procedures. This leads to difficulty in making temporal and spatial comparisons between results. LBD felt there was a need to a standardized approach for sampling and analytical protocols, and documentation of previous protocols that were used. Two documents have been generated by LBD: 1. A table describing the sampling protocols, timing, and analytical procedures used by different LBD partners in recent years (Table 3); and 2. Grand County’s Learning By Doing 2017 Macroinvertebrate Sampling Program which appears in Appendix B. The MMI requires specific sampling and analytical protocols to be followed to produce the most representative MMI scores. While an MMI score can be calculated using a variety of sampling and analytical protocols, caution should be used when comparing the resulting MMI scores as they may not be totally comparable to those calculated following the protocol specific to the tool. Table 3 shows the various sampling protocols and analytic protocols that have been used to calculate MMI scores since 2011. The CWQCC and Timberline are the only two entities that have followed the MMI specific protocol. The BLM sampling and analytical methods are used nationally in BLM’s Assessment, Inventory, and Monitoring (AIM) program, but a formal comparison of results obtained using BLM sampling and analytical protocols versus results from CDPHE methods has not been conducted. The same holds true for the CPW sample and analytical methods. MMI results obtained using these sampling and analytical protocols are likely to be different, and caution is needed when comparing metrics between samples collected by different entities at different times. 2017 LBD macroinvertebrate sampling was conducted by Timberline Aquatics, Inc., Fort Collins, Colorado on September 18 at 12 riffle sites on the Fraser River (6 sites), Ranch Creek (1 site), and Colorado River (5 sites). These sites are described in Table 2 and their location is shown on Figure 1. A detailed description of the sampling and analysis procedures followed in 2017 is provided in the document entitled, “Grand County’s Learning By Doing 2017 Macroinvertebrate Sampling Program”, in Appendix B. Also in 2017, one macroinvertebrate sample was collected at site CR7 (Tables 1 and 2; Figure 1) by Grand County Water Information Network (GCWIN) personnel on October 27 in support of Grand County’s monitoring effort for the Gore Canyon Whitewater Feature. This sample was collected and analyzed following the procedures described in the 2016 LBD monitoring report (Tetra Tech and HabiTech, 2017) and results are reported herein. In addition, CPW’s 2017 macroinvertebrate sampling program included 8 sites upstream and downstream of Windy Gap Reservoir with 7 sites on the Colorado River and one site on the Fraser River. These samples have been collected to establish baseline conditions in support of the proposed connectivity channel around Windy Gap Reservoir. Results are not yet available for inclusion in this annual monitoring report, but will be presented in CPW’s annual Federal Aid Report at a later date. MMI Version 3.0 was used to calculate MMI scores for the 2017 macroinvertebrate data collected by both Timberline Aquatics, Inc. and GCWIN and developed by CDPHE. Figure 1 Site map Table 1 Locations for the six spawning bar sites sampled in 2017. \| SMP Reach \| Site Name \| Description \| Latitude \| Longitude \| Elevation (m) \| Years \| \|-----------\|-----------------\|--------------------------------------------------\|------------\|--------------\|---------------\|-----------\| \| F-RC2 \| RC blw MC \| Ranch Creek below Meadow Creek (Miller Property) \| 39.999722 \| -105.82958 \| 2542 \| 2010-17 \| \| F9 \| FR GranbyRanch \| Fraser River at Granby Ranch below golf course \| 40.079089 \| -105.904255 \| 2443 \| 2010-17 \| \| CR4 \| CR at Ppark \| Colorado River at Pioneer Park \| 40.072185 \| -106.111498 \| 2341 \| 2014-17 \| \| CR5 \| CR Blw WF \| Colorado River below Williams Fork near Game Warden House \| 40.062829 \| -106.186273 \| 2279 \| 2010-17 \| \| CR6 \| CR Blw KB Ditch \| Colorado River below KB Ditch \| 40.055494 \| -106.285214 \| 2249 \| 2010-17 \| \| CR7 \| CR Blw Pumphouse\| Colorado River below Pumphouse below campground area \| 39.978197 \| -106.515681 \| 2117 \| 2011-17 \| Table 2 2017 LBD macroinvertebrate sites in the LBD study area sampled September and October, 2017. \| SMP Reach \| River Mile ID \| Site Name \| Description \| Latitude \| Longitude \| Elevation (m) \| Collected Sample \| \|-----------\|---------------\|----------------\|--------------------------------------------------\|------------\|--------------\|---------------\|------------------\| \| F2 \| FR 23.2 \| FR abvWPSD \| Fraser River upstream of Winter Park Sanitation District \| 39.8945 \| -105.7682 \| 2878 \| Timberline \| \| F4 \| FR 20 \| FR Rendezvous \| Fraser River at Rendezvous Bridge \| 39.9341 \| -105.7896 \| 2678 \| Timberline \| \| F6 \| FR 15 \| FR FrSpProj \| Fraser River upstream of Fraser Flats restoration \| 39.9813 \| -105.8249 \| 2372 \| Timberline \| \| F6 \| FR 14 \| FR CR83 \| Fraser River upstream of Tabernash below bridge on CR83 \| 39.9905 \| -105.8299 \| 2558 \| Timberline \| \| F-RC2 \| RC 1.1 \| RC blwMC \| Ranch Creek downstream of Meadow Creek \| 39.9991 \| -105.8275 \| 2561 \| Timberline \| \| F7 \| FR 12.4 \| FR blwCrccr \| Fraser River downstream of Crooked Creek \| 40.011 \| -105.8524 \| 2500 \| Timberline \| \| F10 \| FR 1.9 \| FR abvGSD \| Fraser River upstream of Granby Sanitation District \| 40.0853 \| -105.9546 \| 2420 \| Timberline \| \| CR3 \| CR 31 \| CR WGU \| Colorado River upstream of Fraser and Windy Gap \| 40.1005 \| -105.9725 \| 2401 \| Timberline \| \| CR4 \| CR 28.7 \| CR WGD \| Colorado River downstream of Windy Gap \| 40.1083 \| -106.0036 \| 2374 \| Timberline \| \| CR4 \| CR 22.9 \| CR HSU \| Colorado River upstream of Hot Sulfur Springs \| 40.0803 \| -106.0986 \| 2341 \| Timberline \| \| CR4 \| CR 16.7 \| CR WFU \| Colorado River upstream of Williams Fork \| 40.0503 \| -106.1725 \| 2305 \| Timberline \| \| CR6 \| CR 9.1 \| CR KBDitch \| Colorado River at CR39 Bridge at KB Ditch \| 40.0538 \| -106.2895 \| 2285 \| Timberline \| \| CR7 \| \| CR blw Pumphouse \| Colorado River below Pumphouse at Campsite 11 \| 39.9845 \| -106.5134 \| 2118 \| GCWIN \| Table 3 Summary of macroinvertebrate sampling protocols used by LBD partners on the Fraser and Colorado Rivers and Ranch Creek, 2008-2017. Table content, except Sample Type, provided by Northern Colorado Water Conservancy District. \| Entity \| Sampling Device \| Sampling Protocol \| Analytical Protocol \| Maximum Organisms Counted \| \|--------\|-----------------\|-----------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------\|---------------------------\| \| BLM \| Hess Sampler \| Collect samples at 8 cross sections, fully scrubbing rocks that are within in the sampler area. Combine the 8 samples into a single sample for analysis. \| A grid subsample of 600 organisms \| 600 \| \| CDPHE \| Kick Net \| Collect one sample by kicking substrate for 60 seconds. \| A grid subsample of 300 organisms \| 300 \| \| CPW \| Hess Sampler \| 5 replicate samples @ each site fully scrubbing rocks inside a Hess Sampler (0.086 m²) with a 350 µm mesh net; 0.43 m² area sampled. Samples collected from the same riffle with predominant cobble substrate, and disturbance of streambed to 10 cm. \| 5 samples per site analyzed separately using the standard USGS 300-count protocol (see Moulton et al. 2000) \| 1500 \| \| Timberline \| Hess Sampler \| 3 replicate samples @ each site, fully scrubbing rocks inside a Hess Sampler; 0.258 m² area sampled. Samples collected from riffle habitat with similar size substrate, depth, and velocity. \| 3 samples per site analyzed separately; entire sample analyzed by identification to the lowest practical taxonomic level and enumeration of all individuals \| Full count \| \| Entity \| Year \| Sampling Protocol \| Analytical Protocol \| Funding Sources \| \|------------\|------------\|-------------------\|---------------------\|--------------------------\| \| GCWIN \| 2010-2014 \| CDPHE \| CDPHE \| EPA & State \| \| GCWIN \| 2015 \| CDPHE \| BLM \| Funding Partners & BLM \| \| GCWIN \| 2016-2017 \| BLM \| BLM \| Funding Partners & BLM \| \| Northern \| 2008-2017 \| Timberline \| Timberline \| Northern \| \| Northern - Select sites Colorado \| 2010-2017 \| CDPHE \| Both Timberline and CDPHE \| Northern \| The 2017 macroinvertebrate sampling sites on the Fraser and Colorado Rivers, and Ranch Creek, are classified as Class 1 – Cold Water and are in the Transition biotype. Given this designation, the metrics comprising the MMI include the number of mayfly and stonefly (Ephemeroptera and Plecoptera) taxonomic groups present in a sample (the number typically declines with increasing perturbation); the percent of individual organisms that are midge (Chironomid) larvae (typically increases with increasing perturbation); the percent of sensitive families represented (typically decreases with increasing perturbation); the number of predator and shredder taxa (typically decreases with increasing perturbation); the number of clinger taxa (typically decreases with increasing perturbation); and the percent of non-insect taxa present (typically increases with increasing perturbation). Additional explanation of these metrics and the 2017 results are provided in Appendix B. The attainment threshold for the transition biotype is a score of 52, while the impairment threshold is a score of 42 or less. If a score falls in the “gray zone” between 42 and 52, the Hilsenhoff Biotic Index (HBI) and the Shannon Diversity Index (SDI) scores are used to determine if a site has attained use or is impaired. The HBI is a widely-used indicator of organic pollution with high values (>5.4) indicating a predominance of tolerant species (i.e., sensitive species have been lost) and an impaired macroinvertebrate community. SDI values typically range from about 1.5 to 4.0, with high SDI scores (>2.4) indicating a good diversity of species present and a healthier community. If a “gray zone” site fails to meet either of these criteria, it is considered impaired. Additional metrics provided by Timberline Aquatics, Inc. and GCWIN for each site were the total density of macroinvertebrates (# per m²), taxa richness (the total number of taxonomic groups represented, typically decreases with increasing perturbation), EPT (the number of mayfly, stonefly and caddisfly taxa present, typically decreases with increasing perturbation), the density of Pteronarcys californica (# per m², typically decreases with increasing perturbation), the percent EPT excluding family Baetidae (typically decreases with increasing perturbation), and percent Chironomidae (midge larvae, typically increases with increasing perturbation). Again, variation in these metrics may be present because of the different sample collection and analytical methods used by Timberline Aquatics and GCWIN. A 100-count pebble count was conducted by Tetra Tech during the week of September 6 at riffles in close proximity to 2017 macroinvertebrate sample sites where collections were made by Timberline and GCWIN. Some of these riffle sites are located in the same location as the spawning bar sites, and results are used for both the pebble count and RSI analysis. Embeddedness of each measured particle was evaluated and the presence of aquatic vegetation noted. ### Objective #3 – Fish Sampling Fish population data were provided in early 2018 by Mr. Jon Ewert, CPW Fisheries Biologist, Hot Sulphur Springs, CO (see Ewert 2018a and 2018b in Appendix C). Fraser River 2017 fish collections were made in September and October at four sites, including Kaibab Park in Granby, Grand County Water and Sanitation District #1 (GCWSD#1) property just upstream of Tabernash, at Safeway in Fraser, and at Confluence Park in Winter Park (Figure 1). At each site, mark-recapture population estimates were made by electrofishing while wading. Colorado River 2017 fish collections were made in September at the two-mile Parshall to Sunset monitoring site by raft-mounted electrofishing. A mark-recapture population estimate was made. 2.4 Objective #4 – Trends and Relationships Where appropriate, statistical analyses were performed using Statistix 10 software (Analytical Software 2013) to investigate trends and relationships between the monitored parameters. For the 2017 analysis, we applied the Wilcoxon Rank Sum Test to compare MMI and other macroinvertebrate metrics between different sample types employed at the same sites and times. Comparisons were also made between MMI values for samples collected in the dry year 2012 with those from more recent wetter years. The significance level was set at $p \leq 0.05$. The Wilcoxon Rank Sum Test is a non-parametric procedure that tests for differences in the central values of samples from two independent samples. Non-parametric statistics have been consistently applied since the initiation of this annual monitoring effort due to the lack of normality commonly associated with the distribution of environmental data. Stream flow data required for the assessment outlined in the four objectives is provisional, obtained from the U.S. Geological Survey (USGS) for gage 09033100 (Ranch Creek below Meadow Creek near Tabernash, CO), gage 09034250 (Colorado River at Windy Gap), and gage 09058000 (Colorado River near Kremmling, CO). Northern Water provided 2017 stream flow data for their gages on Fraser River at Granby, Colorado River at Hot Sulphur Springs, Colorado River near Parshall, and Colorado River below KB Ditch. Flood frequency analysis by the Log Pearson III Method for water years 1986 – 2016 was conducted for the Fraser River at Granby, the Colorado River at Windy Gap, the Colorado River near Parshall, and the Colorado River at Kremmling (http://ponce.sdsu.edu/onlinepearson.php). These analyses can be found in Appendix A. The 3-year return interval flow events were estimated for each of these stations by interpolation between the 2- and 5-year events. Sediment composition in the spawning bars and channel riffles were reviewed and compared to threshold values identified by the CWQCC 2014 guidelines. Threshold values for salmonid spawning habitat protection at spawning bars is based on levels that are less than 20% fines smaller (finer) than 8 mm, and for macroinvertebrate protection these levels are less than 27.5% fines smaller (finer) than 2 mm in the riffles. 3 RESULTS AND DISCUSSION 3.1 Fraser River 3.1.1 2017 Streamflow Regime 2017 spring runoff in the Fraser River watershed was lower than those observed in 2014 to 2016, but 6.5 and 1.6 times higher than those experienced in the dry years of 2012 and 2013, respectively (Figure 2 and Table 4). The Fraser River at Granby peaked near mid-June at 1,028 cubic feet per second (cfs), while the peak observed on its tributary Ranch Creek was 272 cfs. The peak on the Fraser has a return interval slightly lower than 3-years based on the 1986 to 2016 period of record (Appendix A). Flows remained high throughout June declining to base levels in July. The recommended flushing flows (Table 4) on the Fraser River and Ranch Creek were exceeded in both magnitude and duration. 3.1.2 Spawning Habitat The predominant substrate type observed at both the Ranch Creek and Fraser River spawning bar sites in 2017 was coarse gravel (32 – 64 mm), while small cobble was the sub-dominant particle size (64 – 128 mm) (Table 5). Both spawning bars were exceptionally clean, with only 5% embeddedness observed at F-RC2 and 2% at F9. Both embeddedness values were the lowest recorded for these sites since monitoring began in 2010 (Figure 3) and likely reflect the effects of high spring runoff, which exceeded the flushing flow recommendations at both sites the past several years. Based on the CWQCC 2014 guideline for salmonid spawning habitat protection of less than 20% of surface particles less than 8 mm, neither bar was impaired by sediment. Filamentous green algae were observed at the Ranch Creek site at 38% of the pebble count locations, while no aquatic vegetation was observed on the Fraser River at site F9. Bed material mobilization occurred in 2017 at both the Fraser River and Ranch Creek sites based upon RSI analyses (Figure 4 and Table 6). Calculations indicate that at F9, the mean size of the largest particles transported was 111 mm (small cobble) and 43% of the riffle substrate was estimated to have been mobilized. Results were similar at F-RC2, where the mean was 104 mm (small cobble) and the percent mobilized was estimated to be 34%. These findings are comparable to those of 2014 to 2016 (Table 7), and support our observation last year (Tetra Tech and HabiTech 2017) that peak flows in the range of the 3-year return interval (1,072 cfs for the Fraser River at Granby) are sufficient for cobble mobilization and riffle cleaning. Both RSI riffles were found to be clean in 2017, with only 4% embeddedness at F9 and 9% at F-RC2. Observations of the riffles at both sites indicate minimal to non-existent presence of sand and finer sediments (< 2mm), well below the CWQCC guideline threshold of 27.5% to prevent sediment impacts to macroinvertebrate communities in Sediment Region 1. Figure 2 April through October hydrographs for Fraser River (2010-2017) and Ranch Creek below Meadow Creek (2014-2017) in Grand County, CO. Hydrographs depict time period of interest or as limited by available data. Table 4 Comparison of flushing flow recommendations ($Q_{FF}$) to stream flow records for Fraser River monitoring sites, 2010-2017. \| SMP Reach \| $Q_{FF}$ SMP Recommended Flushing Flow (CFS) \| 2010 Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| 2011 Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| 2012 Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| 2013 Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| 2014 Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| 2015 Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| 2016 Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| 2017 Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| \|-----------\|---------------------------------------------\|-------------------------------\|------------------\|-------------------------------\|------------------\|-------------------------------\|------------------\|-------------------------------\|------------------\|-------------------------------\|------------------\|-------------------------------\|------------------\|-------------------------------\|------------------\|-------------------------------\|------------------\| \| F9 \| 400 \| 1767 \| 41 \| 1519 \| 81 \| 157 \| 0 \| 650 \| 16 \| 2256 \| 76 \| 1425 \| 44 \| 1351 \| 54 \| 1028 \| 21 \| \| F-RC2 \| 150 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 1 Recommended minimum peak flow for 3 days, 1 in 2 years. 2 Multiple consecutive day periods occurred. Table 5 Pebble count summary for Fraser River Grand County spawning bar study sites, September 2017. \| Class Size (mm) \| F-RC2 RC Blw MC Sept 2017 \| F9 FR Granby Ranch Sept 2017 \| \|-----------------\|---------------------------\|------------------------------\| \| 0-2 \| 0 \| 0 \| \| 2-4 \| 0 \| 0 \| \| 4-8 \| 0 \| 0 \| \| 8-16 \| 2 \| 2 \| \| 16-32 \| 6 \| 17 \| \| 32-64 \| 58 \| 50 \| \| 64-128 \| 33 \| 28 \| \| 128-256 \| 1 \| 2 \| \| 256-512 \| 1 \| \| \| 512-1024 \| \| \| \| 1024-2048 \| \| \| \| 2048-4096 \| \| \| \| Sum \| 100 \| 100 \| \| % Embedded \| 5 \| 2 \| Figure 3 Percent of spawning bar embedded at Fraser River and Ranch Creek sites, 2010-2017. Figure 4 Riffle Stability Index (RSI) results for the Fraser River and Ranch Creek sites, 2017 (red line represents sample gradation, blue line represents percent of mobilized riffle substrate, and black line represents mean of the largest bar size material mobilized). Table 6 Pebble count summary for Fraser River Grand County Riffle Stability Index (RSI) spawning bar study sites, September 2017. \| SMP Reach \| F-RC2 \| F9 \| \|-----------\|-------\|----\| \| Site Name \| RC blw MC \| FR Granby Ranch \| \| Date \| Sept 2017 \| Sept 2017 \| \| Class Size (mm) \| Count \| Count \| \| 0-2 \| 0 \| 0 \| \| 2-4 \| 0 \| 0 \| \| 4-8 \| 1 \| 0 \| \| 8-16 \| 4 \| 2 \| \| 16-32 \| 10 \| 23 \| \| 32-64 \| 87 \| 81 \| \| 64-128 \| 77 \| 70 \| \| 128-256 \| 18 \| 23 \| \| 256-512 \| 4 \| 1 \| \| 512-1024 \| \| \| \| 1024-2048 \| \| \| \| 2048-4096 \| \| \| \| Sum \| 201 \| 200 \| \| Mean Bar Particle Size (mm) \| 104 \| 111 \| \| RSI (%) \| 34 \| 43 \| \| % embedded \| 9.0 \| 4.0 \| Table 7 Comparison of Riffle Stability Index (RSI) at Fraser River monitoring sites, 2014-2017. \| LBD Reach \| Year \| Mean Daily Peak Flow (Qp) (cfs) \| Qp Times>QFF \| # Days >QFF \| Mean Bar Particle Size (mm) \| % Riffle Mobilized \| % Riffle Embedded \| \|-----------\|------\|---------------------------------\|--------------\|-------------\|-----------------------------\|--------------------\|-------------------\| \| F-RC2 \| 2014 \| ND \| ND \| \| 125 \| 49 \| 6.0 \| \| \| 2015 \| 417 \| 2.8 \| 30 \| 114 \| 45 \| 13.2 \| \| \| 2016 \| 404 \| 2.7 \| 49 \| 81 \| 17 \| 13.0 \| \| \| 2017 \| 272 \| 1.8 \| 17 \| 104 \| 34 \| 9.0 \| \| F9 \| 2014 \| 2256 \| 5.6 \| 76 \| 136 \| 30 \| 12.2 \| \| \| 2015 \| 1425 \| 3.6 \| 44 \| 105 \| 31 \| 4.5 \| \| \| 2016 \| 1351 \| 3.4 \| 54 \| 59 \| 20 \| 6.5 \| \| \| 2017 \| 1028 \| 2.6 \| 21 \| 111 \| 43 \| 4.0 \| 1 Mean diameter of 30 largest recently deposited on bar 2 Estimated % of riffle potentially mobilized QFF=flushing flow, Qp=peak flow 3.1.3 Macroinvertebrate Community 2017 benthic macroinvertebrate sample results are provided in Tables 8 and 9. Table 8 presents the individual metric and MMI scores as well as the auxiliary metrics and aquatic life use designations, while Table 9 presents the additional metrics described in the Methods chapter, Section 2.2. The Colorado Division of Water Quality’s Bioassessment Reports are provided in Appendix B. Overall, the health of the Fraser River watershed macroinvertebrate community improves in a downstream direction based on the 2017 results (Figure 5), with good diversity and density to support the aquatic system. Giant stoneflies (Pteronarcys californica), an important food source for trout and other aquatic/riparian organisms, were collected in the lower Fraser River. The two upstream sites, FR-abv WPSD and FR-Rendezvous, were designated as impaired, while the FR-FrSpProj site at the head of Fraser Flats fell into the “gray zone” based on its MMI score, but was designated as not impaired due to its low HBI and high SDI scores. All other Fraser River and Ranch Creek sites attained their aquatic life use designation in 2017. Individual MMI metrics that rated especially low at the two impaired sites on the Fraser River were the number of clinger taxa and the percent of sensitive families present (Table 8). Clingers are those benthic macroinvertebrates that attach or “cling” to substrate surfaces that are typically free of silt and fine sediment, while the sensitive families’ metric varies inversely with a variety of environmental stressors (Rees 2009). Taxa richness and the number of EPT taxa (mayflies, stoneflies, caddisflies) were also the lowest observed at any of the Fraser River watershed sites (Table 9), both of which vary inversely with environmental stress, while the percent of chironomid larvae was the highest observed, a metric which typically increases with perturbation. Although it is difficult to identify the exact cause of impairment at these sites, it is certainly possible that the long history of traction sand loading to the upper Fraser River watershed and the release of semi-volatile organic carbons into the Fraser from the Moffat Railroad Tunnel upstream of Winter Park may have contributed (Tetra Tech and HabiTech 2017). The health of the Ranch Creek macroinvertebrate community has remained quite stable in recent years and has achieved its aquatic life use designation for all sample years and sites (Table 10 and Figure 5). The Fraser River sites have shown more variability over time, although the improving downstream trend observed in 2017 generally holds true. In all years for which samples were collected, the highest MMI scores occurred at the lowermost site, FR-abvGSD, and in all cases, aquatic life use designation was achieved (Table 10). All other Fraser River sites have been designated as impaired in at least one sample year, with the FR-Rendezvous site so designated in 5 of the 6 years the macroinvertebrate community has been sampled. Likewise, both the FR-abvWPSD above Winter Park and the FR-CR83 upstream of Tabernash have been impaired in 4 of 6 years, although this latter site attained its designated use in both 2016 and 2017. Improved condition was also observed in 2017 at the FR-FrSpPro site at Fraser Flats where the macroinvertebrate community diversity improved sufficiently for the site to achieve attainment. While no clear trends between streamflow and macroinvertebrate community health are evident from Table 10, it is of interest to note the lowest MMI scores were realized at 3 of 4 sample sites in the low water year of 2012 when flushing flow levels were not reached, embeddedness was the highest observed since monitoring began, and some water quality/contamination effects may have been magnified by the low flow conditions. Table 8 Individual metrics and MMI scores from benthic macroinvertebrate samples collected in the LBD Fraser River study area by Timberline Aquatics, Inc. on September 18, 2017. All metric scores based on the MMI (v3) subsampling process. \| Metric \| F2 \| F4 \| F6 \| F6 \| F-RC2 \| F7 \| F10 \| \|-------------------------\|--------\|--------\|--------\|--------\|--------\|--------\|--------\| \| SMP Reach \| \| \| \| \| \| \| \| \| RM \| FR-23.2\| FR-20 \| FR-15 \| FR-14 \| RC-1.1 \| FR-12.4\| FR-1.9 \| \| Site ID \| FR abvWPSD \| FR Rendezvous \| FR FrSpProj \| FR CR83 \| RC blwMC \| FR blwCrcr \| FR abvGSD \| \| EP Taxa \| 37.3 \| 39.1 \| 68.9 \| 46.6 \| 57.1 \| 93 \| 100 \| \| % Chironomidae \| 31.6 \| 30.4 \| 28.6 \| 64.4 \| 59.6 \| 81.7 \| 85.9 \| \| % Sensitive Families\| 14.2 \| 10 \| 10 \| 64.1 \| 33.2 \| 45.4 \| 71.2 \| \| Predator/Shredder \| \| \| \| \| \| \| \| \| Taxa \| 85.7 \| 92.9 \| 64.3 \| 100 \| 100 \| 100 \| 100 \| \| Clinger Taxa \| 0 \| 2.5 \| 71.7 \| 60.7 \| 69 \| 55.6 \| 100 \| \| % Non-Insect Taxa \| 28.8 \| 36.4 \| 44.4 \| 56.9 \| 34.4 \| 39 \| 64.4 \| \| MMI \| 32.9 \| 35.2 \| 48 \| 65.4 \| 58.9 \| 69.1 \| 86.9 \| \| Aquatic Life Use Designation \| Impair \| Impair \| Attain \| Attain \| Attain \| Attain \| Attain \| \| Diversity \| 3.44 \| 3.08 \| 3.49 \| 3.82 \| 3.97 \| 3.46 \| 4.24 \| \| HBI \| 4.23 \| 4.78 \| 4.69 \| 3.54 \| 3.37 \| 2.94 \| 3.16 \| Table 9 Additional metrics for benthic macroinvertebrate samples collected in the LBD Fraser River study area. All metric scores based on full count Hess samples. \| Station ID \| F2 \| F4 \| F6 \| F6 \| F-RC2 \| F7 \| F10 \| \|------------\|--------\|--------\|--------\|--------\|--------\|--------\|--------\| \| RM \| FR-23.2\| FR-20 \| FR-15 \| FR-14 \| RC-1.1 \| FR-12.4\| FR-1.9 \| \| Site Name \| FR abvWPSD \| FR Rendezvous \| FR FrSpProj \| FR CR83 \| RC blwMC \| FR blwCrcr \| FR abvGSD \| \| Metric \| \| \| \| \| \| \| \| \| Density (#/m²) \| 3,866 \| 10,789 \| 8,284 \| 8,908 \| 9,388 \| 11,725 \| 7,934 \| \| Taxa Richness \| 34 \| 39 \| 42 \| 47 \| 43 \| 53 \| 50 \| \| EPT \| 15 \| 14 \| 16 \| 22 \| 19 \| 24 \| 28 \| \| Density of Pteronarcys californica (#/m²) \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| 4 \| \| Percent EPT excluding Baetidae \| 14.49% \| 10.36% \| 22.50% \| 46.51% \| 40.28% \| 55.51% \| 57.79% \| \| Percent Chironomidae \| 48.99% \| 47.45% \| 48.57% \| 25.33% \| 25.89% \| 15.01% \| 11.56% \| Table 10 Colorado MMI and other key metric scores at the Fraser River and Ranch Creek sites sampled from 2011-2017. Sample types are described in Table 3. \| SMP Reach \| Site Name \| Year \| MMI \| HBI ¹ \| Shannon ² \| Use Status \| Sample Type ⁴ \| \|-----------\|--------------------\|------\|-------\|--------\|-----------\|------------\|---------------\| \| CR3 \| CR WGU \| 2011 \| 61.2 \| 3.11 \| 4.03 \| Attain \| 4 \| \| \| \| 2015 \| 66.6 \| 2.41 \| 3.01 \| Attain \| 4 \| \| \| \| 2016 \| 74.8 \| 2.27 \| 3.52 \| Attain \| 4 \| \| \| \| 2016 \| 69.2 \| 2.35 \| 3.13 \| Attain \| 2 \| \| \| \| 2017 \| 66.6 \| 3.21 \| 4.23 \| Attain \| 4 \| \| CR4 \| CR WGD \| 2011 \| 62.70 \| - \| - \| Attain \| 2 \| \| \| \| 2011 \| 70.80 \| 2.36 \| 2.97 \| Attain \| 4 \| \| \| \| 2012 \| 43.90 \| 4.93 \| 4.28 \| Attain \| 2 \| \| \| \| 2012 \| 60.80 \| 2.37 \| 3.29 \| Attain \| 2 \| \| \| \| 2012 \| 65.60 \| 2.34 \| 3.49 \| Attain \| 4 \| \| \| \| 2015 \| 59.60 \| 3.89 \| 2.10 \| Attain \| 2S, 1A \| \| \| \| 2015 \| 61.80 \| 2.48 \| 2.50 \| Attain \| 2 \| \| \| \| 2015 \| 61.00 \| 2.80 \| 2.83 \| Attain \| 4 \| \| \| \| 2016 \| 64.70 \| 3.10 \| 2.43 \| Attain \| 1 \| \| \| \| 2016 \| 83.00 \| 2.67 \| 3.62 \| Attain \| 2 \| \| \| \| 2016 \| 80.20 \| 2.63 \| 3.77 \| Attain \| 4 \| \| \| \| 2017 \| 74.60 \| 2.28 \| 3.94 \| Attain \| 4 \| \| CR4 \| CR HSR \| 2011 \| 51.20 \| - \| - \| ID ³ \| 2 \| \| \| \| 2012 \| 54.10 \| 5.58 \| 4.05 \| Attain \| 2 \| \| \| \| 2014 \| 50.00 \| 3.61 \| 3.38 \| Attain \| 2 \| \| \| \| 2015 \| 57.90 \| 2.83 \| 2.12 \| Attain \| 2S, 1A \| \| \| \| 2016 \| 62.30 \| 4.14 \| 2.37 \| Attain \| 1 \| \| \| \| 2017 \| 77.70 \| 2.64 \| 3.40 \| Attain \| 4 \| \| CR4 \| CR WFU \| 2017 \| 78.80 \| 2.38 \| 2.38 \| Attain \| 4 \| \| CR5 \| CR Kids' Pond \| 2011 \| 52.50 \| - \| - \| Attain \| 2 \| \| \| \| 2012 \| 61.40 \| 1.54 \| 2.53 \| Attain \| 2 \| \| \| \| 2014 \| 59.70 \| 3.33 \| 4.00 \| Attain \| 2 \| \| \| \| 2015 \| 59.90 \| 3.01 \| 2.50 \| Attain \| 2S, 1A \| \| \| \| 2016 \| 63.40 \| 3.61 \| 2.27 \| Attain \| 1 \| \| CR6 \| CR KBDitch \| 2011 \| 61.70 \| - \| - \| Attain \| 2 \| \| \| \| 2012 \| 42.30 \| 3.63 \| 4.17 \| Attain \| 2 \| \| \| \| 2014 \| 45.80 \| 3.22 \| 3.61 \| Attain \| 2 \| \| \| \| 2015 \| 68.30 \| 2.51 \| 2.02 \| Attain \| 2S, 1A \| \| \| \| 2016 \| 64.00 \| 3.50 \| 2.38 \| Attain \| 1 \| \| \| \| 2017 \| 73.20 \| 3.03 \| 4.23 \| Attain \| 4 \| \| CR7 \| CR Blw Pumphouse \| 2015 \| 53.70 \| 4.77 \| 1.75 \| Attain \| 2S, 1A \| \| \| \| 2016 \| 73.90 \| 4.52 \| 1.90 \| Attain \| 1 \| \| \| \| 2017 \| 60.10 \| 4.33 \| 1.98 \| Attain \| 1 \| ¹Hilsenoff Biotic Index ²Shannon Diversity Index (log base 2) ³Based on Hilsenoff Biotic and Shannon Diversity Indices ⁴Sample types are described in Table 3 and A = analytical protocol; S = sampling protocol NS = Not Sampled; “-” = Data not provided Figure 5 Trend of Fraser River and Ranch Creek MMI scores from upstream to downstream for 2015-2017. Red and green dashed lines depict boundaries of MMI “gray zone.” Pebble count summaries for each of the 2017 macroinvertebrate sample sites on the Fraser River and Ranch Creek are presented in Table 11 and compared with 2015 and 2016 values. Small cobble (64-128 mm) was the predominant substrate size at each riffle site, while the sub-dominant varied between very coarse gravel (32-64 mm) and medium cobble (128-256 mm), dependent upon site and year. Areas of sand and finer sediments (< 2 mm) at the time of sampling were minimal to non-existent at all sites, well below the CWQCC guideline threshold of 27.5% to prevent sediment impacts to macroinvertebrate communities in Grand County (Sediment Region 1). Substrate embeddedness was low in 2017 ranging from about 4 up to 17%. The highest degree of embeddedness occurred on the Fraser River above County Road 83, Fr CR83 83 at the FrSpProj site. Table 11 Pebble count summary at macroinvertebrate sites on the Fraser River and Ranch Creek, 2015-2017. \| SMP Reach \| F2 \| F4 \| F6 \| F6 \| F7 \| F10 \| F-RC2 \| \|-----------\|-------------\|-------------\|-------------\|-------------\|-------------\|-------------\|-------------\| \| RM \| FR 23.2 \| FR 20 \| FR 15 \| FR 14 \| FR 12.4 \| FR 1.9 \| RC-1.1 \| \| Site Name \| FR AbvWPSD \| FR Rendevous\| FR FrSpProj \| FR CR83 \| FR blw CrCk \| FR abv GSD \| RC blw MC \| \| Class Size (mm) \| 2015 \| 2016 \| 2017 \| 2015 \| 2016 \| 2017 \| 2015 \| 2016 \| 2017 \| 2015 \| 2016 \| 2017 \| 2015 \| 2016 \| 2017 \| 2015 \| 2016 \| 2017 \| \| 0-2 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2-4 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 4-8 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 8-16 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 16-32 \| 5 \| 3 \| 7 \| 3 \| 2 \| 1 \| 2 \| 3 \| 5 \| 6 \| 2 \| 1 \| 1 \| 2 \| 26 \| 4 \| \| \| \| 32-64 \| 19 \| 30 \| 27 \| 18 \| 11 \| 7 \| 18 \| 25 \| 9 \| 8 \| 15 \| 28 \| 24 \| 19 \| 32 \| 20 \| 37 \| 58 \| 29 \| \| 64-128 \| 56 \| 50 \| 48 \| 46 \| 71 \| 53 \| 46 \| 57 \| 57 \| 57 \| 49 \| 45 \| 56 \| 67 \| 46 \| 55 \| 55 \| 10 \| 44 \| \| 128-256 \| 15 \| 16 \| 16 \| 27 \| 18 \| 35 \| 29 \| 13 \| 28 \| 33 \| 35 \| 20 \| 11 \| 14 \| 22 \| 24 \| 6 \| 2 \| 17 \| \| 256-512 \| 8 \| 2 \| 2 \| 10 \| 1 \| 4 \| 3 \| 2 \| 5 \| 5 \| 2 \| 1 \| 1 \| \| \| \| \| \| \| \| 512-1024 \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 1024-2048 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2048-4096 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Sum \| 104 \| 101 \| 101 \| 104 \| 101 \| 103 \| 100 \| 103 \| 102 \| 106 \| 101 \| 101 \| 100 \| 102 \| 101 \| 100 \| 100 \| 101 \| 101 \| \| % Embedded \| 27 \| 2 \| 8 \| 14 \| 1 \| 4 \| 20 \| 17 \| 6 \| 10 \| 13 \| 12 \| 9 \| 36 \| 2 \| 4 \| 5 \| 8 \| 13 \| 3.1.4 Fish Populations A summary of Fraser River fish population estimates made by CPW in 2017 are presented in Figure 6 and Table 12, and compared with other years and sites. 2017 results are presented and discussed in greater detail in the CPW publication, “Fraser River, Fish Survey and Management Information” (Ewert 2018a) which is provided in Appendix C. At the Kaibab Park site, located immediately downstream of Highway 40 in Granby, brown trout (Salmo trutta) standing crop (114 lbs/acre) and fish per mile (1464 > 6” per mile) estimates were the highest observed since monitoring began in 2009. An estimated nineteen brown trout exceeded 14” in length. Applying the CPW biological criteria of 60 lbs/acre and at least 12 trout > 14”/acre to be classified as a “Gold Medal” fishery, the Kaibab Park site would qualify again in 2017 as it did in 2009 to 2011 and 2013 to 2015. “Gold Medal” is an administrative designation placed on a water body by the CPW Commission and at present, no section of the Fraser River has been so designated. Ewert (2018a) points out that these high brown trout numbers and biomass may be due to 2017 being a mid-range flow year with high flows not great enough to flush out juvenile fish and lower flows sufficient to hold larger fish. Few rainbow trout (Oncorhynchus gairdneri) and no brook trout (Salvelinus fontinalis) were captured at this site in 2017. Mottled sculpin (Cottus bairdi) were again collected at Kaibab Park in 2017. The Fraser River on the GCWSD#1 property located between Fraser and Tabernash has been sampled several times in recent years and serves as the monitoring site to gauge success of the habitat improvement project just completed on Fraser Flats, which is also located on the GCWSD#1 property. Project objectives were to reduce the high width-to-depth ratio, provide better thalweg definition, increase the number and depth of pools, and reduce excessive riffles (Ewert 2018a). Based on the 2017 fish collections made just several weeks after completion, early results suggest the project has been a success. The total trout biomass, predominantly brown trout, increased from 33 lbs/acre in 2016 to 127 lbs/acre in fall 2017, almost a four-fold increase, and the number of quality trout (>14”) went from 8 to 41/acre, a five-fold increase (Figure 6 and Table 12). These numbers well-exceed the Gold Medal benchmarks discussed earlier. Also encouraging was the continued collection of wild-spawned age-0 rainbow trout, suggesting a wild rainbow fishery may be developing in this area. Mottled sculpin were again collected in 2017. The Safeway station at Fraser is the most long-term of the Fraser River fish collection sites, with sampling initiated in 2003 just prior to a habitat improvement project located within the sampling station. Based upon the results presented in Figure 6 and Table 12, it is apparent the project has been a success. In recent years the total trout biomass has been stable, measuring 190 lbs/acre in 2017, with brown trout the predominant species accounting for about 64% of this total. Rainbow trout accounted for 14%, a proportion that has been declining in recent years with the cessation of rainbow stocking in 2013. The remaining 22% of the total trout biomass was composed of brook trout in 2017. The number of quality trout (>14”) has been gradually declining in recent years, with an estimate of 19/acre in 2017, down from 40/acre in 2013 and 70/acre in 2008. The high number observed in 2008 was the result of stocking large rainbows in an attempt to initiate a wild-spawned population. However, it is interesting to note that in recent years the percentage of these trophy fish that are rainbow trout has been increasing from 25% in 2013 to 58% in 2017. Ewert (2018a) indicates 2018 fish collections will be important for determining if the rainbow trout population here will be capable of sustaining itself in the long-term. Several factors may contribute to the decline in larger brown trout, including 1) the loss of small stocked rainbows as a food source, 2) recent high water years that may displace juvenile browns downstream thereby reducing recruitment, and 3) cooler water temperatures associated with high spring runoff that may place brown trout at a disadvantage (Ewert 2018a). Despite the observed decline in trophy fish numbers, this site continues to exceed the “Gold Medal” biological benchmarks. Mottled sculpin have been collected over the years at the Safeway site. The trout population at the Confluence Park station, located at the confluence of the Fraser and Vasquez Creek in Winter Park, has been more variable than at other Fraser River long-term sites. In 2017, total trout biomass was estimated at 54 lbs/acre, the lowest estimate in the 8 years of sampling since 2006, and only 2 fish of trophy size were collected, both metrics less than the “Gold Medal” benchmarks. An interesting aspect of this fish population has been the shift in species composition over the period of record. In 2006, brook trout accounted for over 90% of the biomass. By 2012, following successful stocking of fingerlings, rainbow trout comprised over 96% of the population by weight and brook and brown trout had virtually disappeared. Once rainbow trout stocking ceased in 2013, both brook and brown trout populations rebounded, comprising 48 and 37%, respectively, of the total trout biomass by 2017. Most of these fish were small (< 10”) reflecting the small size of the stream at this location and the cooler water temperatures at this elevation, although one 18” brown trout was collected. These findings suggest a rainbow trout population can’t be sustained here in the absence of stocking (Ewert 2018a) and has rapidly been outcompeted by both other species. Mottled sculpin have been collected over the years at Confluence Park since 2006. Fish sampling was not conducted at the Idlewild Campground station, located near Winter Park ski resort, in 2017, where declines were reported for populations of all three trout species present in 2016. This site will again be monitored in the future (Ewert 2018a). The Behler Creek station was also not sampled in 2017. Table 12 Summary of CPW fish population data for the Fraser River in Grand County, 2003-2017. \| Site \| Year \| Brown Trout (lbs/acre) \| (#>14" /acre) \| Rainbow Trout (lbs/acre) \| (#>14" /acre) \| Brook Trout (lbs/acre) \| Total Trout (lbs/acre) \| Sculpin (#) \| \|---------------\|------\|-----------------------\|---------------\|--------------------------\|---------------\|------------------------\|------------------------\|-------------\| \| Idlewild \| 2014 \| 15 \| 0 \| 34 \| 0 \| 65 \| 114 \| 69 \| \| \| 2016 \| 11 \| 0 \| 16 \| 0 \| 39 \| 66 \| 60 \| \| Confluence Park \| 2006 \| 6 \| 0 \| 2 \| 0 \| 81 \| 89 \| 80 \| \| \| 2007 \| 2 \| 0 \| 40 \| 8 \| 29 \| 71 \| 188 \| \| \| 2009 \| 4 \| 3 \| 13 \| 3 \| 48 \| 65 \| 38 \| \| \| 2012 \| 0 \| 0 \| 123 \| 0 \| 4 \| 127 \| 211 \| \| \| 2013 \| 0 \| 0 \| 53 \| 0 \| 10 \| 63 \| 234 \| \| \| 2014 \| 3 \| 0 \| 74 \| 0 \| 31 \| 108 \| 99 \| \| \| 2015 \| 7 \| 0 \| 48 \| 0 \| 34 \| 89 \| 121 \| \| \| 2017 \| 20 \| \| 8 \| \| 26 \| 54 \| \| \| Safeway \| 2003 \| 1 \| 0 \| 1 \| 0 \| 10 \| 12 \| 159 \| \| \| 2006 \| 34 \| 0 \| 35 \| 13 \| 29 \| 98 \| 178 \| \| \| 2007 \| 56 \| 10 \| 70 \| 23 \| 15 \| 141 \| 160 \| \| \| 2008 \| 81 \| 17 \| 139 \| 53 \| 27 \| 247 \| 191 \| \| \| 2009 \| 57 \| 20 \| 30 \| 10 \| 19 \| 106 \| 176 \| \| \| 2010 \| 47 \| 17 \| 7 \| 3 \| 44 \| 98 \| 431 \| \| \| 2011 \| 55 \| 27 \| 30 \| 3 \| 17 \| 102 \| 292 \| \| \| 2012 \| 69 \| 17 \| 69 \| 0 \| 25 \| 163 \| 550 \| \| \| 2013 \| 116 \| 30 \| 48 \| 10 \| 16 \| 180 \| 355 \| \| \| 2014 \| 92 \| 20 \| 53 \| 14 \| 15 \| 160 \| 122 \| \| \| 2015 \| 94 \| 11 \| 50 \| 11 \| 39 \| 183 \| 249 \| \| \| 2016 \| 100 \| 11 \| 46 \| 17 \| 31 \| 177 \| 148 \| \| \| 2017 \| 121 \| 8 \| 27 \| 11 \| 42 \| 190 \| \| \| GCWSD#1 \| 2007 \| 33 \| 3 \| 9 \| 3 \| 2 \| 44 \| \| \| \| 2016 \| 26 \| 6 \| 6 \| 2 \| 1 \| 33 \| 971 \| \| \| 2017 \| 111 \| 33 \| 16 \| 8 \| 0 \| 127 \| 264 \| \| Behler Creek \| 2015 \| 148 \| 39 \| 9 \| 4 \| \| 157 \| 452 \| \| Granby Ranch \| 2016 \| 41 \| 11 \| - \| - \| \| 41 \| 45 \| \| Kaibab Park \| 2009 \| 76 \| 18 \| - \| - \| \| 76 \| 256 \| \| \| 2010 \| 62 \| 23 \| - \| - \| \| 62 \| 466 \| \| \| 2011 \| 60 \| 14 \| - \| - \| \| 60 \| 533 \| \| \| 2012 \| 56 \| 4 \| - \| - \| \| 56 \| 1279 \| \| \| 2013 \| 87 \| 16 \| - \| - \| \| 87 \| 521 \| \| \| 2014 \| 73 \| 22 \| - \| - \| \| 73 \| 262 \| \| \| 2015 \| 71 \| 16 \| - \| - \| \| 71 \| 469 \| \| \| 2017 \| 114 \| 19 \| - \| - \| \| 114 \| 249 \| Figure 6 CPW trout biomass estimates (2003-2017) for Fraser River sites sampled in 2017. 3.2 Colorado River 3.2.1 2017 Streamflow Regime 2017 spring runoff on the Colorado River through Grand County was somewhat lower than those observed in 2014 to 2016, but 3.7 to 9.1 times higher than those experienced in the dry years of 2012 and 2013 (Figure 7 and Table 13). Streamflows peaked in mid- to late June and ranged from 2,238 cfs below Windy Gap to 4,280 cfs at Kremmling. These peaks had an estimated return interval of about 4 years based upon the 1986 to 2016 period of record (Appendix A). Flows generally remained high through June and early July declining toward base flow levels by mid-July. Late summer releases from William’s Fork and Green Mountain Reservoirs kept baseflows somewhat elevated through Reaches CR5, 6, and 7, delaying some field sampling until October. The recommended flushing flows (Table 13) on the Colorado River through Grand County were exceeded in both magnitude and duration during 2017. Figure 7 Hydrographs for April through October 2010-2017 for five Colorado River stream gage stations in Grand County, Colorado. Hydrographs depict time period of interest or as limited by available data. Figure 7 continued. Hydrographs for April through October 2010-2017 for five Colorado River stream gage stations in Grand County, Colorado. Hydrographs depict time period of interest or as limited by available data. Figure 7 continued. Hydrographs for April through October 2010-2017 for five Colorado River stream gage stations in Grand County, Colorado. Hydrographs depict time period of interest or as limited by available data. Table 13 Comparison of flushing flow recommendations ($Q_{FF}$)$^1$ to stream flow records for Colorado River monitoring sites, 2010-2017. \| SMP Reach \| $Q_{FF}$ SMP Recommended Flushing Flow (CFS) \| 2010 \| 2011 \| 2012 \| 2013 \| 2014 \| 2015 \| 2016 \| 2017 \| \|-----------\|---------------------------------------------\|------\|------\|------\|------\|------\|------\|------\|------\| \| \| Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| Peak Flow (mean daily cfs) \| #Days > $Q_{FF}$ \| \| CR4 \| 600 \| 2160 \| 40 \| 4930 \| 134 \| 245 \| 0 \| 693 \| 3 \| 3210 \| 10,60,4,4 \| 4140 \| 81 \| 2501 \| 60 \| 2238 \| 8, 28 \| \| CR5 \| 800 \| 3512 \| 40 \| 5718 \| 137 \| 460 \| 0 \| 1088 \| 3 \| 4419 \| 93,4 \| 4539 \| 80 \| 3206 \| 63 \| 2739 \| 10, 5, 30 \| \| CR6 \| 850 \| 3596 \| 38 \| 4993 \| 141 \| 573 \| 0 \| 1119 \| 4 \| 4348 \| 80,4,4 \| 4565 \| 77 \| 3080 \| 61 \| 2972 \| 10, 3, 28 \| \| CR7 \| 2500 \| 5870 \| 30 \| 9480 \| 96 \| 1160 \| 0 \| 1680 \| 0 \| 7670 \| 79,3 \| 7820 \| 8,54 \| 4770 \| 49 \| 4280 \| 21 \| $^1$ Recommended minimum peak flow for 3 days, 1 in 2 years. $^2$ Multiple consecutive day periods occurred. 3.2.2 Spawning Habitat The predominant substrate type observed at three of the four Colorado River spawning bar sites in 2017 was very coarse gravel (32 – 64 mm), similar to previous years, with small cobble (64 – 128 mm) and coarse gravel (16 – 32 mm) the sub-dominant particle sizes (Table 14). At the CR5 site, small cobble again predominated the substrate, with very coarse gravel the sub-dominant. All four spawning bars were exceptionally clean, with no embedded particles at CR4 and CR6, and less than 3% at CR5 and CR7. These embeddedness values were among the lowest recorded for these sites since monitoring began in 2010 (Figure 8) and likely reflect the effects of high spring runoff, which exceeded flushing flow recommendations at all four sites. Based on the CWQCC (2014) guideline for salmonid spawning habitat protection of less than 20% of surface particles less than 8 mm, none of the four Colorado River spawning bars were impaired by sediment. Pebble counts at CR5 and CR7 indicated only about 1% of their bed surfaces were < 8 mm, while no such areas were observed at CR4 and CR6. Aquatic vegetation was sparse in 2017, with filamentous green algae observed at 1% of pebble count locations at CR4 and 6% at the CR6 site. No aquatic vegetation was noted at CR5 and CR7. Table 14 Pebble count summary for Colorado River Grand County spawning bar study sites, September 2017. \| Class Size (mm) \| CR4 \| CR5¹ \| CR6 \| CR7 \| \|-----------------\|--------------\|--------------\|--------------\|--------------\| \| \| CR at Ppark \| CR Blw WF \| CR Blw KB Ditch \| CR Blw Pumphouse \| \| Sept 2017 \| Oct 2017 \| Sept 2017 \| Oct 2017 \| \| 0-2 \| 0 \| 2 \| 0 \| 0 \| \| 2-4 \| 0 \| 0 \| 0 \| 0 \| \| 4-8 \| 0 \| 0 \| 0 \| 1 \| \| 8-16 \| 2 \| 0 \| 0 \| 14 \| \| 16-32 \| 20 \| 6 \| 7 \| 37 \| \| 32-64 \| 59 \| 78 \| 74 \| 45 \| \| 64-128 \| 18 \| 91 \| 17 \| 4 \| \| 128-256 \| 3 \| 22 \| 2 \| \| \| 256-512 \| 2 \| 0 \| \| \| \| 512-1024 \| \| \| \| \| \| 1024-2048 \| \| \| \| \| \| 2048-4096 \| \| \| \| \| \| Sum \| 102 \| 201 \| 100 \| 101 \| \| % Embedded \| 0 \| 2.5 \| 0 \| 3 \| ¹RSI conducted at spawning bar sample site Bed material mobilization occurred in 2017 at all four Colorado River sites based upon RSI analyses (Figure 9 and Table 15). Calculations indicate that at CR4, the mean size of the largest particles transported was 129 mm (medium cobble) and an estimated 50% of the riffle substrate was mobilized. Results were similar at the other sites, with a mean size of 126.5 mm (small cobble) and up to 42% mobilization at CR5, 112 mm mean (small cobble) and up to 40% mobilization at CR6, and 132.9 mm mean (medium cobble) and up to 42% mobilization at CR7. These findings are comparable to those of 2014 to 2016 (Table 16), and are supportive of observation last year (Tetra Tech and HabiTech 2017) that peak flows in the range of the 3-year return interval event are sufficient to initiate cobble mobilization and riffle maintenance. The 3-year events for the three Colorado River gage stations analyzed are estimated to be 1,702 cfs at Windy Gap, 2,239 cfs near Parshall, and 3,890 cfs at Kremmling (Appendix A). All four of the Colorado River RSI riffles were exceptionally clean in 2017, with less than 3% embeddedness at each. Likewise, sand and finer (<2 mm) substrate was observed at less than 1% of pebble count locations in the RSI riffles, well below the CWQCC guideline threshold of 27.5% to prevent impacts to macroinvertebrate communities in Sediment Region 1. Figure 9 Riffle Stability Index (RSI) results for the four Colorado River spawning bar sites, 2017 (red line represents sample gradation, blue line represents percent of mobilized riffle substrate, and black line represents mean of the largest bar size material mobilized). Table 15 Pebble count summary for Colorado River, Grand County Riffle Stability Index (RSI) spawning bar study sites, September 2017. \| SMP Reach \| CR4 \| CR5 \| CR6 \| CR7 \| \|-----------\|--------------\|--------------\|--------------\|--------------\| \| Site Name \| CR at Ppark \| CR Blw WF \| CR Blw KB Ditch \| CR blw Pumphouse \| \| Date \| Sept 2017 \| Oct 2017 \| Sept 2017 \| Oct 2017 \| \| Class Size (mm) \| Count \| Count \| Count \| Count \| \| 0-2 \| 0 \| 2 \| 0 \| 0 \| \| 2-4 \| 0 \| 0 \| 0 \| 0 \| \| 4-8 \| 0 \| 0 \| 0 \| 0 \| \| 8-16 \| 2 \| 0 \| 0 \| 3 \| \| 16-32 \| 21 \| 6 \| 7 \| 50 \| \| 32-64 \| 78 \| 78 \| 90 \| 131 \| \| 64-128 \| 90 \| 91 \| 100 \| 25 \| \| 128-256 \| 12 \| 22 \| 7 \| \| \| 256-512 \| 2 \| 0 \| \| \| \| 512-1024 \| \| \| \| \| \| 1024-2048 \| \| \| \| \| \| 2048-4096 \| \| \| \| \| \| Sum \| 203 \| 201 \| 204 \| 209 \| \| Mean Bar Particle Size (mm) \| 129 \| 126.5 \| 112 \| 133 \| \| RSI (%) \| 50 \| 42 \| 40 \| 46 \| \| % embedded \| 0.5 \| 2.5 \| 0.5 \| 3.0 \| Table 16 Comparison of Riffle Stability Index (RSI) at Colorado River monitoring sites, 2014-2017. \| LBD Reach \| Year \| Mean Daily Peak Flow ($Q_p$) (cfs) \| $Q_p$ Times > $Q_{FF}$ \| # Days > $Q_{FF}$ \| Mean Bar Particle Size (mm) \| % Riffle Mobilized (%) \| % Riffle Embedded (%) \| \|-----------\|------\|-----------------------------------\|------------------------\|------------------\|-----------------------------\|-----------------------\|-----------------------\| \| CR4 \| 2014 \| 3210 \| 5.4 \| 78 \| 139 \| 22 \| 100.0 \| \| \| 2015 \| 4140 \| 6.9 \| 81 \| 144 \| 44 \| 3.9 \| \| \| 2016 \| 2501 \| 4.2 \| 60 \| 117 \| 12 \| 5.0 \| \| \| 2017 \| 2238 \| 3.7 \| 36 \| 129 \| 50 \| 0.5 \| \| CR5 \| 2014 \| 4419 \| 5.5 \| 97 \| 134 \| 21 \| 7.9 \| \| \| 2015 \| 4539 \| 5.7 \| 80 \| 129 \| 39 \| 4.6 \| \| \| 2016 \| 3206 \| 4.0 \| 63 \| 133 \| 34 \| 12.9 \| \| \| 2017 \| 2739 \| 3.4 \| 45 \| 126.5 \| 42 \| 2.5 \| \| CR6 \| 2014 \| 4348 \| 5.1 \| 88 \| 121 \| 32 \| 3.8 \| \| \| 2015 \| 4565 \| 5.4 \| 77 \| 110 \| 30 \| 4.5 \| \| \| 2016 \| 3080 \| 3.6 \| 61 \| 96 \| 30 \| 6.5 \| \| \| 2017 \| 2972 \| 3.5 \| 41 \| 112 \| 49 \| 0.5 \| \| CR7 \| 2014 \| 7670 \| 3.1 \| 82 \| 105 \| 37 \| 18.0 \| \| \| 2015 \| 7820 \| 3.1 \| 62 \| 136 \| 40 \| 8.5 \| \| \| 2016 \| 4770 \| 1.9 \| 49 \| 132 \| 37 \| 6.4 \| \| \| 2017 \| 4280 \| 1.7 \| 21 \| 132.9 \| 46 \| 3.0 \| 1 Mean diameter of 30 largest recently deposited on bar 2 Estimated % of riffle potentially mobilized 3 Heavy didymo bloom $Q_{FF}=$ flushing flow, $Q_p=$ peak flow ### 3.2.3 Macroinvertebrate Community 2017 benthic macroinvertebrate sample results are provided in Tables 17 and 18. Table 17 presents the individual metric and MMI scores as well as the auxiliary metrics and aquatic life use designations, while Table 18 presents the additional metrics described in the Methods chapter, Section 2.2. The Colorado Division of Water Quality’s Bioassessment Reports are provided in Appendix B. Samples from CR3, CR4, and CR6 were collected by Timberline Aquatics, Inc. The sample from CR7 was collected by GCWIN. Based on benthic macroinvertebrate sampling in 2017 the overall health of the Colorado River through Grand County appears to have good diversity and density and is supportive of the aquatic community. All sites attained their designated use, with none found to be impaired. Giant stoneflies were collected at 5 of the 6 Colorado River sites and for the first time for LBD sampling, the species was found at all sites downstream of Windy Gap reservoir. As noted in Table 3, Timberline sampling methodologies used in 2017 use a full count method whereas in past years the sampling used a partial set, so it is possible that results differ in part due to methodology. Densities ranged from 4 per m$^2$ below Windy Gap and KB Ditch sites up to 175 per m$^2$ at the most downstream site, Pumphouse. The Pumphouse site did have the lowest overall density and diversity of the Colorado River sites, perhaps the result of extended late season flows delaying sample collection until October 27, well past the October 1 deadline recommended by CDPHE (CDPHE 2010) for evaluating optimum benthic macroinvertebrate conditions. Also, the difference in sampling and analytical protocols used at the Pumphouse site (Type 1 versus Type 4 at all other sites, (see Table 3). Table 17 Individual metrics and MMI scores from benthic macroinvertebrate samples collected in September and October, 2017. All metric scores based on MMI (v3) subsampling process. \| Station ID \| CR3 \| CR4 \| CR4 \| CR4 \| CR6 \| CR7 \| \|------------\|-------\|-------\|-------\|-------\|-------\|-------\| \| RM \| CR 31 \| CR 28.7 \| CR 22.9 \| CR 16.7 \| CR 9.1 \| \| \| Site Name \| CR WGU \| CR WGD \| CR HSU \| CR WFU \| CR KBDitch \| CR blw Pumphouse \| \| Metric \| EP Taxa \| % Chironomidae \| % Sensitive Families \| Predator/Shredder Taxa \| Clinger Taxa \| % Non-Insect Taxa \| MMI \| \|-------------------------\|---------\|----------------\|----------------------\|------------------------\|--------------\|-------------------\|-----\| \| \| 100 \| 52.9 \| 21.3 \| 78.6 \| 100 \| 46.6 \| 66.6\| \| \| 100 \| 99.8 \| 36.8 \| 92.9 \| 100 \| 17.9 \| 74.6\| \| \| 100 \| 92 \| 48.8 \| 92.9 \| 100 \| 32.7 \| 77.7\| \| \| 100 \| 90.1 \| 36.4 \| 100 \| 100 \| 46.6 \| 78.8\| \| \| 100 \| 75 \| 46.2 \| 78.6 \| 100 \| 39.2 \| 73.2\| \| \| 63.4 \| 47.6 \| 16.5 \| 57.1 \| 100 \| 76.3 \| 60.1\| \| Auxiliary Metrics \| Attain \| Attain \| Attain \| Attain \| Attain \| Attain \| \|-------------------------\|--------\|--------\|--------\|--------\|--------\|--------\| \| Diversity \| 4.23 \| 3.94 \| 3.4 \| 4.11 \| 4.23 \| 1.98 \| \| HBI \| 3.21 \| 2.28 \| 2.64 \| 2.38 \| 3.03 \| 4.33 \| Table 18 Additional metrics and comparative values for macroinvertebrate samples collected at Colorado River sampling sites in September and October, 2017. \| Station ID \| CR3 \| CR4 \| CR4 \| CR4 \| CR6 \| CR7 \| \|------------\|-------\|-------\|-------\|-------\|-------\|-------\| \| RM \| CR 31 \| CR 28.7 \| CR 22.9 \| CR 16.7 \| CR 9.1 \| \| \| Site Name \| CR WGU \| CR WGD \| CR HSU \| CR WFU \| CR KBDitch \| CR blw Pumphouse \| \| Metric \| \| \| \| \| \| \| \| Density (#/m²) \| 8,488 \| 6,589 \| 8,736 \| 6,938 \| 8618 \| 5791 \| \| Taxa Richness \| 52 \| 49 \| 49 \| 53 \| 49 \| 24 \| \| EPT \| 25 \| 28 \| 27 \| 29 \| 25 \| 15 \| \| Density of Pteronarcys californica (#/m²) \| 0 \| 4 \| 19 \| 116 \| 4 \| 175 \| \| Percent EPT excluding Baetidae \| 27.8 \| 24.7 \| 32.8 \| 33.7 \| 48.4 \| 25.2 \| \| Percent Chironomidae \| 31.7 \| 2.1 \| 6.9 \| 5.7 \| 17.0 \| 35.5 \| Most individual MMI metrics at the Colorado River sites in 2017 scored near or well above the mid-range of the 0 to 100 scale (Table 18). Those metrics scoring near or at the optimum (100) for most or all sites were the number of clinger taxa, the number of mayfly and stonefly taxa, and the number of predator/shredder taxa present. All of these metrics are known to be inversely related to perturbation, with increasing numbers as environmental stress declines (CDPHE 2010). Two metrics were generally found to score lower system-wide, percent sensitive insect families and percent non-insect taxa, the cause of which is unknown at this time. A summary of Colorado River MMI analyses conducted since 2011 and made available by LBD partners for this monitoring report are presented in Table 19 and Figure 10. For years and sites having multiple MMI values, the highest value is plotted in Figure 10. The sample type, as described previously in Table 3, for each site and year is provided. A concern discussed by the LBD at their June 2017 meeting was the equitable comparison of these findings due to the different sample protocols employed over the years for collecting and analyzing these data. The data provided by Northern Water for samples collected and analyzed on the same dates at site CR-WGU in 2016 and at site CR-WGD in 2012, 2015 and 2016 present an opportunity, albeit limited by small sample size, to compare results from the Type 2 and Type 4 protocols. Results of the paired comparisons indicated no differences in MMI scores based on protocol type (p= 0.47). Likewise, no differences were found in HBI scores (p = 0.68). However, when SDI scores were compared, differences were found between the two protocols (p = 0.02), with diversity of Type 4 samples higher than Type 2 samples. While these results are based on a sample size of just four data pairs, they do suggest that equitable comparisons of MMI and HBI values developed through these two sample types may be possible, but comparison of SDI scores should be viewed with caution. Other such comparisons between sample types are limited by small sample sizes. Table 19 Colorado MMI and other key metric scores at the Colorado River sites sampled by GCWIN and Timberline Aquatics, Inc. from 2011-2017. \| SMP Reach \| Site Name \| Year \| MMI \| HBI ¹ \| Shannon ² \| Use Status \| Sample Type ⁴ \| \|-----------\|-----------------\|------\|-------\|--------\|-----------\|------------\|---------------\| \| CR3 \| CR WGU \| 2011 \| 61.2 \| 3.11 \| 4.03 \| Attain \| 4 \| \| \| \| 2015 \| 66.6 \| 2.41 \| 3.01 \| Attain \| 4 \| \| \| \| 2016 \| 74.8 \| 2.27 \| 3.52 \| Attain \| 4 \| \| \| \| 2016 \| 69.2 \| 2.35 \| 3.13 \| Attain \| 2 \| \| \| \| 2017 \| 66.6 \| 3.21 \| 4.23 \| Attain \| 4 \| \| CR4 \| CR WGD \| 2011 \| 62.70 \| - \| - \| Attain \| 2 \| \| \| \| 2011 \| 70.80 \| 2.36 \| 2.97 \| Attain \| 4 \| \| \| \| 2012 \| 43.90 \| 4.93 \| 4.28 \| Attain \| 2 \| \| \| \| 2012 \| 60.80 \| 2.37 \| 3.29 \| Attain \| 2 \| \| \| \| 2012 \| 65.60 \| 2.34 \| 3.49 \| Attain \| 4 \| \| \| \| 2014 \| 45.90 \| 5.22 \| 4.30 \| Attain \| 4 \| \| \| \| 2015 \| 59.60 \| 3.89 \| 2.10 \| Attain \| 25,1A \| \| \| \| 2015 \| 61.80 \| 2.48 \| 2.50 \| Attain \| 2 \| \| \| \| 2015 \| 61.00 \| 2.80 \| 2.83 \| Attain \| 4 \| \| \| \| 2016 \| 64.70 \| 3.10 \| 2.43 \| Attain \| 1 \| \| \| \| 2016 \| 83.00 \| 2.67 \| 3.62 \| Attain \| 2 \| \| \| \| 2016 \| 80.20 \| 2.63 \| 3.77 \| Attain \| 4 \| \| \| \| 2017 \| 74.60 \| 2.28 \| 3.94 \| Attain \| 4 \| \| CR4 \| CR HSR \| 2011 \| 51.20 \| - \| - \| ID ³ \| 2 \| \| \| \| 2012 \| 54.10 \| 5.58 \| 4.05 \| Attain \| 2 \| \| \| \| 2014 \| 50.00 \| 3.61 \| 3.38 \| Attain \| 2 \| \| \| \| 2015 \| 57.90 \| 2.83 \| 2.12 \| Attain \| 25,1A \| \| \| \| 2016 \| 62.30 \| 4.14 \| 2.37 \| Attain \| 1 \| \| \| \| 2017 \| 77.70 \| 2.64 \| 3.40 \| Attain \| 4 \| \| CR4 \| CR WFU \| 2017 \| 78.80 \| 2.38 \| 2.38 \| Attain \| 4 \| \| CR5 \| CR Kids' Pond \| 2011 \| 52.50 \| - \| - \| Attain \| 2 \| \| \| \| 2012 \| 61.40 \| 1.54 \| 2.53 \| Attain \| 2 \| \| \| \| 2014 \| 59.70 \| 3.33 \| 4.00 \| Attain \| 2 \| \| \| \| 2015 \| 59.90 \| 3.01 \| 2.50 \| Attain \| 25,1A \| \| \| \| 2016 \| 63.40 \| 3.61 \| 2.27 \| Attain \| 1 \| \| CR6 \| CR KBDitch \| 2011 \| 61.70 \| - \| - \| Attain \| 2 \| \| \| \| 2012 \| 42.30 \| 3.63 \| 4.17 \| Attain \| 2 \| \| \| \| 2014 \| 45.80 \| 3.22 \| 3.61 \| Attain \| 2 \| \| \| \| 2015 \| 68.30 \| 2.51 \| 2.02 \| Attain \| 25,1A \| \| \| \| 2016 \| 64.00 \| 3.50 \| 2.38 \| Attain \| 1 \| \| \| \| 2017 \| 73.20 \| 3.03 \| 4.23 \| Attain \| 4 \| \| CR7 \| CR Blw Pumphouse\| 2015 \| 53.70 \| 4.77 \| 1.75 \| Attain \| 25,1A \| \| \| \| 2016 \| 73.90 \| 4.52 \| 1.90 \| Attain \| 1 \| \| \| \| 2017 \| 60.10 \| 4.33 \| 1.98 \| Attain \| 1 \| ¹Hilsenoff Biotic Index ²Shannon Diversity Index (log base 2) ³Based on Hilsenoff Biotic and Shannon Diversity Indices ⁴Sample types are described in Table 3 and A = analytical protocol; S = sampling protocol NS = Not Sampled; “-” = Data not provided From Table 19, it is important to note that although the sampling methods differ, across all Colorado River macroinvertebrate sample sites and years, aquatic life use designation was attained and there are similar trends. Since the exceptionally dry year of 2012, when flushing flow levels were not achieved at any site, MMI values have generally been improving. Comparisons between years found that 2012 values did not differ from those of either 2014 ($p = 0.71$) or 2015 ($p = 0.39$), but did differ significantly from 2016 ($p = 0.03$) and 2017 ($p = 0.02$). Results indicate MMI scores improved significantly in these wetter years likely due to improved habitat quality. As discussed in the 2016 monitoring report (Tetra Tech and HabiTech 2017), percent embeddedness was found to be significantly higher in 2012 than in those years when flushing flow levels were met or exceeded. Reduced embeddedness likely contributed to the improved health of the benthic community, and changes in other water quality-related parameters. Pebble count summaries for each of the 2017 macroinvertebrate sample sites on the Colorado River are presented in Table 20 and compared with 2015 and 2016 values. Small cobble (64 – 128 mm) was the predominant particle size at each riffle in 2017, with medium cobble (128 – 256 mm) the sub-dominant. Areas of sand and finer sediments (< 2 mm) at the time of sampling were non-existent at all sites, well below the CWQCC guideline threshold of 27.5% to prevent sediment impacts to macroinvertebrate communities in Sediment Region 1. Substrate embeddedness was again low in these riffle habitats, being observed on less than 2% of particles. These results are supportive of those presented above regarding habitat conditions in years when flushing flows were met or exceeded. Figure 10 Trend of Colorado MMI scores from upstream to downstream, 2015-2017. Red and Green dashed lines depict boundaries of MMI "gray zone." Table 20 Pebble count summary at Colorado River Macroinvertebrates sampling sites. 2015-2017. \| SMP Reach \| CR3 \| CR4 \| CR4 \| CR4 \| CR6 \| CR7 \| \|-----------\|--------------\|--------------\|--------------\|--------------\|--------------\|--------------\| \| Site Name \| CR WGU \| CR WGD \| CR HSU \| CR WFU \| CR KBDitch \| CR Blw Pumphouse \| \| Class Size (mm) \| 2017 \| 2015 \| 2016 \| 2017 \| 2015 \| 2016 \| 2017 \| 2017 \| 2015 \| 2016 \| 2017 \| 2015 \| 2016 \| 2017 \| \| 0-2 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2-4 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 4-8 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 8-16 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 16-32 \| 2 \| 0 \| \| 7 \| 16 \| 1 \| 1 \| 1 \| 0 \| 1 \| 1 \| 1 \| \| \| \| 32-64 \| 8 \| 12 \| 8 \| 5 \| 40 \| 59 \| 19 \| 12 \| 14 \| 23 \| 4 \| 11 \| 6 \| 6 \| \| 64-128 \| 61 \| 72 \| 68 \| 71 \| 48 \| 19 \| 72 \| 59 \| 86 \| 71 \| 82 \| 49 \| 52 \| 58 \| \| 128-256 \| 30 \| 20 \| 24 \| 26 \| 5 \| 4 \| 9 \| 26 \| 9 \| 7 \| 16 \| 38 \| 37 \| 36 \| \| 256-512 \| \| 1 \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| 512-1024 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 1024-2048 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| 2048-4096 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Sum \| 101 \| 104 \| 101 \| 103 \| 100 \| 100 \| 101 \| 100 \| 109 \| 102 \| 102 \| 100 \| 100 \| 101 \| \| % Embedded \| 2 \| 5 \| 3 \| 2 \| 7 \| 5 \| 1 \| 0 \| 0 \| 8 \| 0 \| 1 \| 4 \| 2 \| 3.2.4 Fish Populations A summary of the Colorado River fish sampling through the Parshall to Sunset reach by CPW in 2017 is presented in Figure 11 and compared with other sites and years in Table 20. 2017 results are presented and discussed in greater detail in the CPW publication, “Colorado River near Parshall, Fish Survey and Management Information” (Ewert 2018b) which is provided in Appendix C. The Parshall to Sunset reach is located downstream of the confluence with the William’s Fork. Total trout population estimates for Parshall-Sunset in 2017 were relatively stable when compared with the past several years (Figure 11 and Table 20). Total trout biomass was estimated to be 149 lbs/acre, up slightly from the 146 lbs/acre estimated in 2016 and 132 lbs/acre in 2015. Brown trout comprised 90% of the standing crop in 2017, a similar proportion to the 2016 and 2015 results. Total trout numbers have also remained steady over the short-term, with 4298 trout > 6”/mile in 2017 compared to 4129 in 2016 and 4087 in 2015. When compared to the record high year of 2007 as reported in Ewert (2018b) however, 2017 values reflect a substantial decline in the fishery. Over this 11-year period, both trout biomass and numbers declined 44%. Quality trout (>14”) density estimates were down to 18 fish in 2017, compared to 32 in 2016 and 42 in 2015. The 2017 total is the lowest since 2013 and the second lowest recorded since 2007. While these declines in the trout population within the Parshall-Sunset reach are substantial, without confidence limits around these estimates it is not known if they are statistically significant reductions. The Parshall-Sunset reach is an officially designated “Gold Medal” fishery. The 2017 trout population estimates continue to support this status with 149 lbs/acre and 18 trout > 14”, as did the low estimates in 2012 and 2013. However, these declining trends have lead Ewert (2018b) to conclude this reach of the Colorado River has come uncomfortably close to not meeting the Gold Medal benchmarks and a case could be made this is a declining fishery. These declines are likely due to several inter-related factors including long-term degradation in the quality of the forage base, long-term degradation in the quality of physical habitat, especially over-winter habitat, and as a result, more frequent weak juvenile year classes and poor recruitment to adulthood (Ewert 2018b). Several CPW studies have documented the decline in the forage base due to sparse populations of giant stoneflies and mottled sculpin, both important trout food items, below Windy Gap reservoir (Nehring et al 2011a; Nehring et al 2011b). It is encouraging however, that giant stonefly nymphs were collected in 2017 at all five Colorado River sites below Windy Gap, with the second highest density (116 per m$^2$) at the site immediately upstream of the Williams Fork confluence, a short distance above the Parshall-Sunset reach. Regarding habitat degradation, the surveys conducted for the draft Stream Management Plan (Tetra Tech et al 2010) identified the same habitat deficiencies as noted by Ewert (2018b). The channel through much of this section of the river is wide and shallow with a high width-to-depth ratio, high quality pools are limited, and trout cover is sparse, all characteristics which can foster severe winter icing conditions and poor over-winter trout habitat. These habitat conditions coupled with the forage base deficiencies point toward the importance of the Windy Gap Connectivity Channel project now being planned and the downstream physical habitat improvement effort being developed for downstream of Windy Gap. These projects, when implemented, should address such issues and improve trout recruitment and population size in the affected reaches. Figure 11 CPW trout population estimates for Colorado River Parshall-Sunset reach, 2007-2017. Rainbow trout density in the Parshall-Sunset reach continued to respond positively in 2017 to the fry stocking policy adopted in 2010 (Ewert 2018b). The population estimate for rainbows > 6” climbed to 205 fish/mile and contributed about 10% of the total trout biomass estimated in the reach and about 17% of the quality trout. Successful natural reproduction has been documented, but it is not yet known if this will be sufficient to increase their proportion of the total trout population. Also in 2017, mountain whitefish (Prosopium williamsoni) were again collected indicating the “invasion” first documented in 2013 continues. In total, 33 were collected in 2017 with size ranging from 4 to 16” and several age classes represented. Effects of mountain whitefish on the trout population are not yet known (Ewert 2018b). Once again, no mottled sculpin were reported in the 2017 fish collections, not an unexpected finding as sampling was done by raft-mounted electrofishing. The status of mottled sculpin in this section of the Colorado River remains unclear. Table 21 Summary of CPW fish population data by year for the Colorado River, 2007-2017. \| Site \| Year \| Brown Trout (lbs/acre) \| (#>14"/acre) \| Rainbow Trout (lbs/acre) \| (#>14"/acre) \| Brook Trout (lbs/acre) \| Total Trout (lbs/acre) \| Sculpin (#) \| Mountain Whitefish (#) \| \|---------------\|------\|-----------------------\|--------------\|--------------------------\|--------------\|------------------------\|------------------------\|-------------\|------------------------\| \| Shorefox - Lower \| 2016 \| 223 \| 65 \| 3 \| 2 \| \| 226 \| 19 \| \| \| Shorefox - Upper \| 2016 \| 193 \| 75 \| 12 \| 6 \| \| 205 \| 27 \| \| \| Paul Gilbert \| 2013 \| 74 \| 11 \| 13 \| 5 \| \| 87 \| \| \| \| \| 2016 \| 132 \| 28 \| 13 \| 6 \| \| 145 \| \| 1 \| \| Parshall-Sunset \| 2007 \| 264 \| 19 \| \| \| \| 264 \| \| \| \| \| 2008 \| 187 \| 24 \| \| \| \| 187 \| \| \| \| \| 2009 \| 158 \| 28 \| 3 \| 1 \| \| 161 \| \| \| \| \| 2010 \| 131 \| 52 \| 4 \| 2 \| \| 135 \| \| \| \| \| 2011 \| 111 \| 44 \| 1 \| 1 \| \| 112 \| \| \| \| \| 2012 \| 108 \| 17 \| 6 \| 3 \| \| 114 \| \| \| \| \| 2013 \| 117 \| 13 \| 5 \| 4 \| \| 122 \| \| \| \| \| 2014 \| 126 \| 33 \| 9 \| 5 \| \| 135 \| 2 \| \| \| \| 2015 \| 122 \| 39 \| 10 \| 3 \| \| 132 \| 22 \| \| \| \| 2016 \| 134 \| 26 \| 12 \| 6 \| \| 146 \| 49 \| \| \| \| 2017 \| 134 \| 15 \| 15 \| 3 \| \| 149 \| 33 \| \| \| Radium \| 2010 \| 103 \| 36 \| 17 \| 10 \| \| 120 \| 307 \| \| \| \| 2011 \| 110 \| 44 \| 47 \| 28 \| \| 157 \| 162 \| \| \| \| 2012 \| 143 \| 46 \| 6 \| 3 \| \| 149 \| 273 \| \| \| \| 2013 \| 162 \| 50 \| 4 \| 2 \| \| 166 \| 248 \| \| \| \| 2015 \| 129 \| 56 \| 26 \| \| \| 155 \| 219 \| \| Equipment problems prevented valid brown trout population estimate 4 SUMMARY, CONCLUSIONS AND RECOMMENDATIONS 4.1 Summary and Conclusions 4.1.1 Fraser River and Ranch Creek 2017 spring runoff in the Fraser River watershed was again relatively high with peak flows well exceeding the magnitude and duration of the recommended flushing flows for the fourth consecutive year. Spawning bar habitats had the lowest embeddedness recorded since monitoring began in 2010 and neither bar was impaired by finer sediments (<8mm) based on the CWQCC guideline. Riffle bed material mobilization occurred on both streams, as it had in 2014-2016. Riffle Stability Index analyses indicated bed material up to small cobble size had been transported, with an estimated 34 to 43% of the riffle substrates mobilized. Overall, the health of the Fraser River watershed macroinvertebrate community improved in a downstream direction. The Ranch Creek macroinvertebrate community has remained quite stable in recent years and has consistently attained its aquatic life use designation. Fraser River sites have shown more variability. The lowermost site in Granby has consistently achieved the highest MMI scores, has attained its aquatic life use designation in all sample years and provides habitat for giant stoneflies. Upstream, the remainder of the 2017 macroinvertebrate sites have been found to be “impaired” in at least one sample year. In 2017, both the above Winter Park and Rendezvous sites failed to attain their aquatic life use designation. All riffle habitats sampled in 2017 were well below the CWQCC guideline threshold for fine sediment impairment. Trout populations at both the Kaibab Park and the Safeway stations once again exceeded CPW Gold Medal benchmarks in 2017 (Ewert 2018a). At Fraser Flats, early results following completion of the habitat improvement project indicate success, with both trout biomass and quality trout density well exceeding pre-project levels. The trout population at Confluence Park has shown the greatest variability of the Fraser River stations. Both trout biomass and quality trout numbers here are below the Gold Medal biological benchmarks, with brook and brown trout out-competing stocked rainbow trout. No fish sampling was conducted on Ranch Creek in 2017. 4.1.2 Colorado River 2017 spring runoff on the Colorado River was relatively high with peak flows exceeding the magnitude and duration of the recommended flushing flows for the fourth consecutive year. All four spawning bars sampled were exceptionally clean, with little embeddedness. None of the bars were impaired by finer sediments based on the CWQCC guideline. Riffle bed material mobilization occurred at all four sites, as it had in 2014 to 2016, with particles up to medium cobble transported and an estimated 40 to 50% of riffle substrates potentially mobilized. These findings are supportive of our 2016 observation that flows in the range of the 3-year return interval event can initiate cobble mobilization and riffle maintenance. Overall, the health of the Colorado River macroinvertebrate community appeared satisfactory in 2017, with all sites attaining their designated aquatic life use. Giant stoneflies were collected at all LBD sites below Windy Gap. All riffle habitats sampled in 2017 were well below the CWQCC guideline threshold for fine sediment impairment. Fish population sampling was only conducted at the Parshall-Sunset station in 2017, with trout biomass and density similar to 2015 and 2016 levels (Ewert 2018b). However, quality trout numbers continue to decline. CPW has raised concerns that this reach of the Colorado River is uncomfortably close to not meeting Gold Medal standards and is a fishery in decline due to long-term trout forage base and habitat degradation. These conditions emphasize the importance of the Windy Gap Connectivity Channel project and the downstream Habitat Project improvement efforts now being planned. 4.2 Recommendations Recommendations at this time are general, awaiting improved spring runoff forecasts and guidance from the LBD Committees on future direction of monitoring activities. Following are several general recommendations which can be revised as the review process proceeds into spring 2018: 1. If spring runoff forecasts indicate 2018 flows will be low, similar to the drier 2012-2013 period, we recommend the LBD Committee consider a full scope of sampling and reporting for both spawning bar and pebble counts at macroinvertebrate sampling sites to provide additional documentation of aquatic habitats and communities under these more extreme conditions and to further examine the efficacy of the flushing flow recommendations. 2. If spring runoff forecasts indicate 2018 flows will be relatively high, similar to the 2014 to 2017 period, the LBD Committee may wish to consider a reduced scope and extent of the spawning bar monitoring effort to avoid continued duplication of recent results. Spawning bar monitoring could be delayed until such time as flow forecasts for future years indicate reduced spring runoff conditions. 3. The LBD may wish to consult with Timberline Aquatics, Inc. on a potential reduction in macroinvertebrate sampling that could be implemented without jeopardizing the knowledge gained to date from previous years efforts. In particular if there are trends relating the health of the macroinvertebrate community relative to flow magnitude and duration perhaps monitoring could be curtailed accordingly. 4. The LBD Committee may wish to consider having the entity conducting the macroinvertebrate sampling and analysis to also prepare the associated macroinvertebrate monitoring report. 5. Continue to work with CPW who has responsibility for sampling and managing fish populations throughout the LBD study area and in recent years have authored comprehensive and concise summary reports describing current conditions of the Fraser and Colorado River fisheries (e.g. Ewert 2018a and 2018b). 6. Consider employing an independent fourth party to review and assess trends in stream health and flows, by combining the annual monitoring reports for aquatic habitat (spawning bar and pebble counts at macroinvertebrates sampling sites), macroinvertebrate sampling, and fish sampling. It is possible this effort could be done less frequently than sampling. The timing and frequency of the assessments should consider project implementation and other factors that may influence trends and conclusions. 5 LITERATURE CITED Analytical Software. 2013. Statistix 10 User’s Manual. Tallahassee, Florida. Bain, M. B. and Stevenson, N. J. (eds). 1999. Aquatic Habitat Assessment: common methods. American Fisheries Society, Bethesda, MD. Bjornn, T. C. and Reiser, D. W. 1991. Habitat requirements of salmonids in streams. Ch. 4, pp. 83 – 138. In Meehan, W. R. (ed.) Influences of Forest and Rangeland Management on Salmonid Fishes and Their Habitat. American Fisheries Society Special Publication 19, Bethesda, MD. Colorado Department of Public Health and Environment (CDPHE). 2010. Aquatic Life Use Attainment - Methodology to determine use attainment for rivers and streams. Policy Statement 10 – 1. Water Quality Control Commission. Denver, CO. CDPHE. 2017. Section 303(d) Listing Methodology 2018 Listing Cycle. Water Quality Control Commission, Denver, CO. Colorado Water Quality Control Commission. 2014. Guidance for Implementation of Colorado’s Narrative Sediment Standard Regulation #31, Section 31.11(1)(a)(i), Policy 98 – 1. Denver, CO. Ewert, Jon. 2018a. Fraser River, Fish Survey and Management Information. Colorado Parks and Wildlife Department, Hot Sulphur Springs, CO. Ewert, Jon. 2018b. Colorado River near Parshall, Fish Survey and Management Information. Colorado Parks and Wildlife Department, Hot Sulphur Springs, CO. Kappesser, G. B. 2002. Riffle stability index to evaluate sediment loading to streams. Journal of the American Water Resource Association 38(4), pp. 1069 – 1081. Nehring, R. B., Heinhold, B. and Pomeranz, J. 2011a. Colorado River Aquatic Invertebrate Investigations. Job 1, Colorado River Aquatic Resources Investigations, Federal Aid Project F-237R-18. Colorado Division of Parks and Wildlife, Fort Collins, CO. Nehring, R. B., Heinhold, B., and Pomeranz, J. 2011b. Colorado River Mottled Sculpin Population Studies. Job 2, Colorado River Aquatic Resources Investigations, Federal Aid Project F-237R-18. Colorado Division of Parks and Wildlife, Fort Collins, CO. Rees, D. E. 2009. Summary Report Benthic Macroinvertebrate Biomonitoring Program, Fall 2008. Timberline Aquatics, Inc. Report Prepared for Northern Colorado Water Conservancy District, Berthoud, CO. Tetra Tech, Inc., HabiTech, Inc., and Walsh Aquatics, Inc. 2010. Draft report, Stream Management Plan, Phase 3, Grand County, Colorado. Prepared for Grand County, CO with support from Denver Water and Northern Colorado Water Conservancy District. Hot Sulphur Springs, CO. Tetra Tech, Inc. and HabiTech, Inc. 2017. 2016 Monitoring Report, Grand County, CO. Final draft report. Breckenridge, CO. April 7, 2017. Wolman, M. G. 1954. A method of sampling coarse river-bed material. Eos Trans. AGU, 35(6), 951. March 2018 APPENDIX A Chronology of Spawning Bar Site Sampling Flood-frequency Analyses Table A1. Sampling chronology at Grand County spawning bar monitoring sites, 2010-2017. \| Location Information \| Sample Date (month/year) \| \|----------------------\|--------------------------\| \| \| July 2010 \| Aug & Sep 2011 \| Oct 2011 \| June 2012 \| Oct 2012 \| July 2013 \| July-Aug 2014 \| Oct 2014 \| Aug & Oct 2015 \| Sept & Oct 2016 \| Sept & Oct 2017 \| \| Fraser River \| \| \| \| \| \| \| \| \| \| \| \| \| F2 \| \| √ \| \| \| \| \| \| \| \| \| \| \| F-RC2 \| √ \| √ \| \| \| \| \| \| \| \| \| \| \| F9 \| √ \| √ \| \| \| \| \| \| \| \| \| \| \| Colorado River \| \| \| \| \| \| \| \| \| \| \| \| \| CR4 \| √ \| √ \| \| \| \| \| \| \| \| \| \| \| CR4 \| \| \| \| \| \| \| \| \| \| \| \| \| CR4 \| \| \| \| \| \| \| \| \| \| \| \| \| CR5 \| √ \| √ \| \| \| \| \| \| \| \| \| \| \| Cr6 \| √ \| √ \| \| \| \| \| \| \| \| \| \| \| CR7 \| √ \| √ \| \| \| \| \| \| \| \| \| \| \| Tributaries \| \| \| \| \| \| \| \| \| \| \| \| \| MC2 \| √ \| √ \| \| \| \| \| \| \| \| \| \| \| BR \| √ \| \| \| \| \| \| \| \| \| \| \| \| BR \| √ \| \| \| \| \| \| \| \| \| \| \| 1 At Chimney Rock Ranch: sampling discontinued due to absence of spawning gravels 2 At Paul Gilbert Public Access Area; trout spawning observed in fall 2011; Cr4 site moved due to lack of spawning gravels Oct 2014 3 Below Pioneer Park at Hot Sulphur Springs; trout spawning observed October 2014 4 Access denied at Blue River Trough Road site after 2010 5 Stream restoration work at Blue Valley Ranch site removed spawning bar site in 2014 6 Ocular survey only in 2016 7 Core samples not collected on spawning bar Table A1. Fraser River at Granby, Colorado. \| Return period T (yr) \| Probability P (percent) \| Frequency factor K \| y = log(Q) \| Peak flood discharge Q (cfs) \| \|---------------------\|------------------------\|--------------------\|------------\|-----------------------------\| \| 1.05 \| 95.24 \| -1.874 \| 2.245 \| 176 \| \| 1.11 \| 90.09 \| -1.34 \| 2.43 \| 269 \| \| 1.25 \| 80 \| -0.76 \| 2.631 \| 428 \| \| 2 \| 50 \| 0.162 \| 2.95 \| 892 \| \| 3 \| \| \| \| 1072 \(^1\) \| \| 5 \| 20 \| 0.852 \| 3.19 \| 1547 \| \| 10 \| 10 \| 1.131 \| 3.286 \| 1932 \| \| 25 \| 4 \| 1.372 \| 3.37 \| 2342 \| \| 50 \| 2 \| 1.5 \| 3.414 \| 2594 \| \| 100 \| 1 \| 1.599 \| 3.448 \| 2806 \| \| 200 \| 0.5 \| 1.677 \| 3.475 \| 2986 \| \(^1\) Based on interpolation of log values, the 3-yr event was estimated to be about 1072 cfs. --- Table A2. Colorado River at Windy Gap Reservoir, Colorado. \| Return period T (yr) \| Probability P (percent) \| Frequency factor K \| y = log(Q) \| Peak flood discharge Q (cfs) \| \|---------------------\|------------------------\|--------------------\|------------\|-----------------------------\| \| 1.05 \| 95.2 \| -1.707 \| 2.51 \| 323 \| \| 1.11 \| 90.1 \| -1.303 \| 2.654 \| 451 \| \| 1.25 \| 80 \| -0.828 \| 2.825 \| 668 \| \| 2 \| 50 \| 0.037 \| 3.135 \| 1366 \| \| 3 \| \| \| \| 1702 \(^1\) \| \| 5 \| 20 \| 0.851 \| 3.427 \| 2675 \| \| 10 \| 10 \| 1.254 \| 3.572 \| 3735 \| \| 25 \| 4 \| 1.67 \| 3.721 \| 5266 \| \| 50 \| 2 \| 1.93 \| 3.815 \| 6529 \| \| 100 \| 1 \| 2.158 \| 3.897 \| 7882 \| \| 200 \| 0.5 \| 2.363 \| 3.97 \| 9337 \| \(^1\) Based on interpolation of log values, the 3-yr event was estimated to be about 1702 cfs. Table A3. Colorado River near Parshall below Williams Fork Reservoir, Colorado. \| Return period T (yr) \| Probability P (percent) \| Frequency factor K \| y = log (Q) \| Peak flood discharge Q (cfs) \| \|---------------------\|-------------------------\|--------------------\|-------------\|-----------------------------\| \| 1.05 \| 95.2 \| -1.732 \| 2.65 \| 447 \| \| 1.11 \| 90.1 \| -1.311 \| 2.794 \| 622 \| \| 1.25 \| 80 \| -0.821 \| 2.961 \| 915 \| \| 2 \| 50 \| 0.054 \| 3.26 \| 1821 \| \| 3 \| 33 \| \| \| 2239¹ \| \| 5 \| 20 \| 0.853 \| 3.533 \| 3413 \| \| 10 \| 10 \| 1.241 \| 3.666 \| 4629 \| \| 25 \| 4 \| 1.633 \| 3.799 \| 6301 \| \| 50 \| 2 \| 1.874 \| 3.882 \| 7618 \| \| 100 \| 1 \| 2.083 \| 3.953 \| 8977 \| \| 200 \| 0.5 \| 2.268 \| 4.017 \| 10388 \| ¹Based on interpolation of log values, the 3-yr event was estimated to be about 2239 cfs. Table A4. Colorado River at Kremmling, Colorado. \| Return period T (yr) \| Probability P (percent) \| Frequency factor K \| y = log (Q) \| Peak flood discharge Q (cfs) \| \|---------------------\|-------------------------\|--------------------\|-------------\|-----------------------------\| \| 1.05 \| 95.2 \| -1.656 \| 3.026 \| 1063 \| \| 1.11 \| 90.1 \| -1.286 \| 3.134 \| 1362 \| \| 1.25 \| 80 \| -0.84 \| 3.264 \| 1836 \| \| 2 \| 50 \| 0.007 \| 3.51 \| 3236 \| \| 3 \| 33 \| \| \| 3890¹ \| \| 5 \| 20 \| 0.844 \| 3.753 \| 5666 \| \| 10 \| 10 \| 1.277 \| 3.879 \| 7574 \| \| 25 \| 4 \| 1.736 \| 4.013 \| 10300 \| \| 50 \| 2 \| 2.031 \| 4.099 \| 12549 \| \| 100 \| 1 \| 2.295 \| 4.175 \| 14974 \| \| 200 \| 0.5 \| 2.537 \| 4.246 \| 17604 \| ¹Based on interpolation of log values, the 3-yr event was estimated to be about 2890 cfs. Appendix B Macroinvertebrate Sampling Learning By Doing (LBD) 2017 Macroinvertebrate Sampling Program CDPHE Benthic Macroinvertebrate Bioassessment Reports Fraser River and Ranch Creek, 2017 CDPHE Benthic Macroinvertebrate Bioassessment Reports for Colorado River, 2017 2017 Macroinvertebrate Sample Analysis Information for CR7-Pumphouse from BLM/USU National Aquatic Monitoring Center Sample results on Excel File Appended in CD Taxa List for 2017 Fraser River and Ranch Creek Benthic Macroinvertebrate Samples Taxa List for 2017 Colorado River Benthic Macroinvertebrate Samples 2017 Monitoring Report Draft Report Grand County’s Learning By Doing 2017 Macroinvertebrate Sampling Program Macroinvertebrate (aquatic organisms) communities are a good indicator of overall stream health. Macroinvertebrate communities are sensitive to a wide range of environmental disturbances and pollution. While water quality monitoring provides a snapshot of conditions at a specific time, monitoring the health of the macroinvertebrates is a better indicator of fluctuating environmental conditions. Changes in macroinvertebrate communities signal whether there might be impacts from urban development land use changes and changes in the riparian habitat or stream channel. Community diversity and presence (or absence) of certain sensitive species are indicators of the biological and ecological integrity of the rivers. The objectives of this macroinvertebrate monitoring program are to: - Assess the existing state of macroinvertebrate communities in the Colorado and Fraser Rivers and their tributaries; - Monitor trends and changes to the health of the macroinvertebrate communities; - Support 401 Certification and U.S. Army Corps of Engineers permit conditions (Colorado Department of Public Health and Environment, Water Quality Control Division, WGFP, 2016) (Colorado Department of Public Health and Environment, Water Quality Control Division, Moffat, 2016). - Assess compliance with Colorado’s aquatic life standard; - Monitor and assess impacts of restoration efforts performed by Learning by Doing. Data collected through this program are assessed using the Colorado Water Quality Control Division’s (Division’s) Multi Metric Index (MMI) to determine compliance with Colorado’s aquatic life standard. LBD has elected to compute additional standard metrics as a part of this program to provide a complete assessment of the macroinvertebrate community. The methods utilized are consistent with the Division’s protocols for collection and analysis of macroinvertebrates. The program is reviewed annually. Monitoring Sites The 2017 macroinvertebrate monitoring program consists of 12 sites; 5 sites in the Colorado River, 6 sites in the Fraser River and one site in a Fraser River tributary, Ranch Creek. Generally, monitoring sites are intended to provide a long-term record. It is anticipated that only minor changes in the location of the sites sampled would occur from one year to the next. During the annual review of the monitoring program, sites may be added or removed, especially in the short-term. As the macroinvertebrate monitoring program for LBD is evolving, changes may need to take place in the list of sites to better meet the objectives of the program. Table 1 summarizes all 2017 sites and indicates which sites are long-term monitoring sites. A map of the 2017 macroinvertebrate sampling sites is provided at the end of the program summary. In effort to normalize the naming convention of the monitoring sites, each site is assigned a river mile ID. The river mile ID is composed of abbreviated text representing the water body followed by a numeric value representing the river mile. For example, the river mile ID for the Colorado River at river mile 10 is CR-10. River mile zero is located at the most downstream portion of a waterbody, generally the confluence with a larger river. The river miles increase at upstream sites. For the Colorado River, river mile zero is at the Cooperative Effort Area boundary (the confluence with the Blue River). Table 1 – 2017 Macroinvertebrate Sampling Sites \| River Mile ID \| Station ID \| Station Description \| Latitude \| Longitude \| Long-Term Site? \| \|---------------\|--------------\|----------------------------------------------------------\|-----------\|------------\|-----------------\| \| FR-23.2 \| FR-abvWPSD \| Fraser River upstream of Winter Park Sanitation District \| 39.8945 \| -105.7682 \| Yes \| \| FR-20 \| FR-Rendezvous\| Fraser River at Rendezvous Bridge \| 39.9341 \| -105.7896 \| Yes \| \| FR-15 \| FR-FrSpProj \| Fraser River upstream of Fraser Flats restoration \| 39.9813 \| -105.8249 \| No \| \| FR-14 \| FR-CR83 \| Fraser River upstream of Tabernash below bridge on CR83 \| 39.9905 \| -105.8299 \| Yes \| \| RC-1.1 \| RC-blwMC \| Ranch Creek downstream of Meadow Creek \| 39.9991 \| -105.8275 \| Yes \| \| FR-12.4 \| FR-blwCrcr \| Fraser River downstream of Crooked Creek \| 40.0110 \| -105.8524 \| Yes \| \| FR-1.9 \| FR-abvGSD \| Fraser River upstream of Granby Sanitation District \| 40.0853 \| -105.9546 \| Yes \| \| CR-31 \| CR-WGU \| Colorado River upstream of Fraser and Windy Gap \| 40.1005 \| -105.9725 \| Yes \| \| CR-28.7 \| CR-WGD \| Colorado River downstream of Windy Gap \| 40.1083 \| -106.0036 \| Yes \| \| CR-22.9 \| CR-HSU \| Colorado River upstream of Hot Sulfur Springs \| 40.0803 \| -106.0986 \| Yes \| \| CR-16.7 \| CR-WFU \| Colorado River upstream of Williams Fork \| 40.0503 \| -106.1725 \| Yes \| \| CR-9.1 \| COR-KBDitch \| Colorado River at CR39 Bridge at KB Ditch \| 40.0538 \| -106.2895 \| Yes \| Project Specific Sampling Sites Sites that are established specifically to assess the effectiveness of restoration projects might be monitored on a short-term basis and have reduced sampling frequency or be discontinued once a post project baseline is established. In 2017, the site FR-15 (FR-FrSpProj) is associated with the Fraser Flats Restoration Project; this site is not considered a long-term monitoring site. Funding The cost of the macroinvertebrate monitoring program is shared between LBD’s cooperative partners. Some sites are individually sponsored by parties with interest in a specific site. The rest of the sites are equally cost-shared between the parties that have a stake in those sites. Table 2 shows what partners funded each site in 2017. Table 2 – Funding Partners for Monitoring Sites \| River Mile ID \| Denver Water \| Grand County \| LBD \| Northern Water \| River District \| Town of Winter Park \| Trout Unlimited \| Winter Park WSD \| \|---------------\|--------------\|--------------\|-----\|----------------\|----------------\|---------------------\|-----------------\|----------------\| \| FR-23.2 \| X \| X \| \| \| \| X \| X \| X \| \| FR-20 \| X \| X \| \| \| \| X \| X \| X \| \| FR-15 \| \| \| X \| \| \| \| \| \| \| FR-14 \| X \| X \| \| \| \| X \| X \| \| \| RC-1.1 \| X \| X \| \| \| \| X \| X \| \| \| FR-12.4 \| X \| X \| \| \| \| X \| X \| \| \| FR-1.9 \| X \| X \| \| \| \| X \| X \| \| \| CR-31 \| \| \| \| \| \| \| \| \| \| CR-28.7 \| \| \| \| \| \| \| \| \| \| CR-22.9 \| \| \| \| \| \| \| \| \| \| CR-16.7 \| \| \| \| \| \| \| \| \| \| CR-9.1 \| X \| X \| \| \| \| X \| X \| \| Sample Collection Macroinvertebrate sampling will be conducted during the period from late September to early October (fall) to target macroinvertebrate communities during annual periods of high density. This sampling period is consistent with the Division’s methodology for macroinvertebrate sampling (Colorado Department of Public Health and Environment, 2010). All samples are collected by Timberline Aquatics, Fort Collins, Colorado. Three (3) quantifiable samples (Hess samples) are taken from riffle habitat at each of the sites during the fall season. Each sample is taken from an area of similar size substrate and velocity (if possible) to avoid any bias from these physical parameters when making comparisons among sites (Timberline Aquatics, Inc., 2017). Samples are collected per the Division’s Section 303(d) Listing Methodology 2018 Listing Cycle (Colorado Department of Public Health and Environment, Water Quality Control Division, March 2017) Macroinvertebrate Analysis Timberline Aquatics performs the macroinvertebrate analysis for all samples. Experienced taxonomists conduct the analysis utilizing a wide selection of the most recent species. keys for aquatic insects. They are familiar with common and uncommon species that are specific to Colorado. Timberline Aquatics performs identification and enumeration for each entire sample (i.e. all macroinvertebrates in the sample are counted), or a full-count method of analysis. Macroinvertebrates are identified to the “lowest practical taxonomic level” based primarily on Merritt et al. (Merritt, 2008) and Ward et al. (Ward, 2002). The “lowest practical taxonomic level” means that all specimens will be identified to a level that is permitted by available physical characteristics and species keys using a dissecting microscope. This level of identification will be consistent with the Operational Taxonomic Unit (OTU) developed by the Division, which usually consists of genus or species for mayflies, stoneflies, caddisflies and many dipterans. Chironomidae will also be identified to the genus level. As part of the quality control protocols at Timberline Aquatics all sorted macroinvertebrate samples and approximately 10% of identifications are checked by another qualified taxonomist (Timberline Aquatics, Inc., 2017). Laboratory Reports Final data from Timberline Aquatics are provided in Excel files to the LBD Monitoring Committee. The files include a species list and count of all identified macroinvertebrates for each sample at each site. Nine metrics are calculated for each site and included in the excel file. The metrics are shown in Table 3. \| Metric \| Description \| \|---------------------------------------------\|---------------------------------------------------------------------------------------------------------------------------------------------\| \| Multi-Metric Index (MMI) \| Colorado Division of Water Quality assessment tool. Provides a score which determines health of aquatic community. \| \| % Chironomidae (MMI Metric) \| MMI score based on percent composition of chironomidae taxa. Chironomidae are tolerant to stress, a high score indicates a stressed environment. \| \| % EPT excluding Baetis (MMI Metric) \| MMI score based on a classification of species specific to Colorado which are sensitive to zones that transition from pristine to anthropogenic. Based on community composition rather than the richness of sensitive taxa. \| \| Ephemeroptera Plecoptera Trichoptera (EPT) \| Total number of distinguishable taxa in the orders Ephemeroptera, Plecoptera, and Trichoptera. \| \| Hilsenhoff Biotic Index (HBI) \| Indicator of nutrient enrichment as well as other stressors. \| \| Shannon Diversity \| Indicator of macroinvertebrate community structure and balance. \| \| Total Taxa Richness \| Total number of identifiable taxa, indicator of general community health and stability. \| \| Pteronarcys Californica Density \| Pteronarcys Californica abundance, mean number per square meter. \| \| Total Density \| Macroinvertebrate abundance, mean number per square meter. \| Colorado Parks and Wildlife Sampling Colorado Parks and Wildlife’s (CPW) 2017 macroinvertebrate sampling includes 8 additional sites upstream and downstream of Windy Gap Reservoir; 7 sites in the Colorado River and 1 site in the Fraser River (Table 4). CPW’s 2017 sampling was done to establish baseline conditions in support of the proposed connectivity channel around Windy Gap Reservoir. The macroinvertebrate data generated by CPW are specific to their sampling and analytical protocols and objectives. Therefore, although these data are of value, they may not be appropriate for comparison to macroinvertebrate data generated by LBD. These data are not included in Grand County’s annual Stream Management Plan Monitoring Report but will be available in CPW’s annual Federal Aid Report. Map of LBD 2017 Macroinvertebrate Sampling Sites** \| River Mile ID \| Station ID \| Station Description \| Latitude \| Longitude \| \|---------------\|------------\|----------------------------------------------------------\|------------\|-------------\| \| FR-0.1 \| FR-WGU \| Fraser River upstream of Windy Gap \| 40.0986 \| -105.9729 \| \| CR-31 \| CR-WGU \| Colorado River upstream of Fraser River and Windy Gap \| 40.1005 \| -105.9725 \| \| CR-30.8 \| CR-FRD \| Colorado River downstream of Fraser, upstream of Windy Gap\| TBD \| TBD \| \| CR-28.7 \| CR-WGD \| Colorado River downstream of Windy Gap \| 40.1083 \| -106.0036 \| \| CR-22.9 \| CR-HSU \| Colorado River at Pioneer Park upstream of Hot Sulfur Springs \| 40.0803 \| -106.0986 \| \| CR-16.7 \| CR-WFU \| Colorado River upstream of Williams Fork \| 40.0503 \| -106.1725 \| \| CR-14.9 \| CR-WFD \| Colorado River downstream of Williams Fork at Kid’s Pond \| 40.0634 \| -106.1907 \| \| CR-12.6 \| CR-CON \| Colorado River at ConRitschard \| 40.0656 \| -106.2318 \| References Colorado Department of Public Health and Environment. (2010). Aquatic life use attainment: Methodology to determine use attainment for rivers and streams. Policy Statement 2010-1. Colorado Department of Public Health and Environment, Water Quality Control Division. (March 2017). Section 303(d) Listing Methodology 2018 Listing Cycle. Colorado Department of Public Health and Environment, Water Quality Control Division, Moffat. (2016, June). Rationale for Conditional 401 Certification of the Moffat Collection System Project. Denver, CO. Retrieved from https://www.colorado.gov/pacific/sites/default/files/Moffat%20Collection%20System%20Final%20401%20Certification.pdf Colorado Department of Public Health and Environment, Water Quality Control Division, WGFP. (2016, March). Rationale for Conditional 401 Certification of the Windy Gap Firming Project. Denver, Colorado, USA. Retrieved from https://www.colorado.gov/pacific/sites/default/files/WQ_WindyGapFirmingProject_ConditionalCertification.pdf Merritt, R. W. (2008). An Introduction to the Aquatic Insects of North America (Fourth ed.). Dubuque, Iowa: Kendall/Hunt. Timberline Aquatics, Inc. (2017). Proposal - Benthic Macroinvertebrate Collection and Sample Processing, Submitted to Learning by Doing (LBD) Program, Grand County. Ward, J. V. (2002). An Illustrated Guide to the Mountain Stream Insects of Colorado (Second ed.). Boulder, Colorado: University Press of Colorado. ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| CR-9.1 \| \|------------------\|-----------------\| \| Waterbody Name: \| Colorado River \| \| Location: \| at CR39 Bridge - KB Ditch \| \| Latitude: \| 40.05377 \| \| Longitude: \| -106.28945 \| \| Reference Status:\| Not Reference or Degraded \| \| BenSampID: \| 1 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 73.2 \| Metric Name \| Metric Value \| Metric Score \| \|--------------------------------------------------\|--------------\|--------------\| \| Total Taxa \| 41 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 13 \| 100.0 \| \| Chironomidae Pct \| 17.7 \| 75.0 \| \| Sensitive Plains Famillies Pct \| 28.6 \| 46.2 \| \| Predator+ Shredder Taxa \| 11 \| 78.6 \| \| Clinger Taxa \| 21 \| N/A \| \| Clinger Taxa adjusted with Elevation \| 21 \| 100.0 \| \| Insect Taxa \| 34 \| N/A \| \| Non-Insect % of taxa \| 17.1 \| 39.2 \| \| Ephemeroptera Pct \| 15.0 \| N/A \| \| BeckBI \| 37.0 \| N/A \| \| Dominant01 Taxon Pct \| 17.0 \| N/A \| \| Sprawler Pct \| 1.0 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| FR-1.9 \| \|------------\|--------\| \| Waterbody Name: \| Fraser River \| \| Location: \| abv Granby Sanitation District \| \| Latitude: \| 40.08526 \| \| Longitude: \| -105.95464 \| \| Reference Status: \| Not Reference or Degraded \| \| BenSampID: \| 2 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 86.9 \| Metric Name \| Metric Value \| Metric Score \| \|-------------\|--------------\|--------------\| \| Total Taxa: \| 40 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 13 \| 100.0 \| \| Chironomidae Pct: \| 10.5 \| 85.9 \| \| Sensitive Plains Famillies Pct: \| 44.0 \| 71.2 \| \| Predator+ Shredder Taxa: \| 14 \| 100.0 \| \| Clinger Taxa: \| 21 \| N/A \| \| Clinger Taxa adjusted with Elevation: \| 21 \| 100.0 \| \| Insect Taxa: \| 36 \| N/A \| \| Non-Insect % of taxa: \| 10.0 \| 64.4 \| \| Ephemeroptera Pct: \| 16.2 \| N/A \| \| BeckBI: \| 41.0 \| N/A \| \| Dominant01 Taxon Pct: \| 18.4 \| N/A \| \| Sprawler Pct: \| 6.4 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| FR-12.4 \| \|------------------\|------------------\| \| Waterbody Name: \| Fraser River \| \| Location: \| blw Crooked and Ranch Creeks \| \| Latitude: \| 40.011 \| \| Longitude: \| -105.852417 \| \| Reference Status:\| Not Reference or Degraded \| \| BenSampID: \| 3 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 69.1 \| Metric Name \| Metric Value \| Metric Score \| \|--------------------------------------------------\|--------------\|--------------\| \| Total Taxa \| 35 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 12 \| 93.0 \| \| Chironomidae Pct \| 13.3 \| 81.7 \| \| Sensitive Plains Famillies Pct \| 28.0 \| 45.4 \| \| Predator+ Shredder Taxa \| 15 \| 100.0 \| \| Clinger Taxa \| 12 \| N/A \| \| Clinger Taxa adjusted with Elevation \| 12 \| 55.6 \| \| Insect Taxa \| 29 \| N/A \| \| Non-Insect % of taxa \| 17.1 \| 39.0 \| \| Ephemeroptera Pct \| 39.6 \| N/A \| \| BeckBI \| 26.0 \| N/A \| \| Dominant01 Taxon Pct \| 33.5 \| N/A \| \| Sprawler Pct \| 2.6 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| FR-14 \| \|------------\|-------\| \| Waterbody Name: \| Fraser River \| \| Location: \| at Tabernash below bridge on CR83 \| \| Latitude: \| 39.99053 \| \| Longitude: \| -105.8299 \| \| Reference Status: \| Not Reference or Degraded \| \| BenSampID: \| 4 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 65.4 \| Metric Name \| Metric Value \| Metric Score \| \|-------------\|--------------\|--------------\| \| Total Taxa: \| 33 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 8 \| 46.6 \| \| Chironomidae Pct: \| 24.6 \| 64.4 \| \| Sensitive Plains Famillies Pct: \| 39.6 \| 64.1 \| \| Predator+ Shredder Taxa: \| 14 \| 100.0 \| \| Clinger Taxa: \| 13 \| N/A \| \| Clinger Taxa adjusted with Elevation: \| 13 \| 60.7 \| \| Insect Taxa: \| 29 \| N/A \| \| Non-Insect % of taxa: \| 12.1 \| 56.9 \| \| Ephemeroptera Pct: \| 17.5 \| N/A \| \| BeckBI: \| 27.0 \| N/A \| \| Dominant01 Taxon Pct: \| 14.6 \| N/A \| \| Sprawler Pct: \| 8.2 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| FR-15 \| \|------------\|-------\| \| Waterbody Name: \| Fraser River \| \| Location: \| upstream Fraser Flats restoration \| \| Latitude: \| 39.981338 \| \| Longitude: \| -105.824946 \| \| Reference Status: \| Not Reference or Degraded \| \| BenSampID: \| 5 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 48.0 \| Metric Name \| Metric Value \| Metric Score \| \|-------------\|--------------\|--------------\| \| Total Taxa: \| 32 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 9 \| 68.9 \| \| Chironomidae Pct: \| 48.1 \| 28.6 \| \| Sensitive Plains Famillies Pct: \| 6.2 \| 10.0 \| \| Predator+ Shredder Taxa: \| 9 \| 64.3 \| \| Clinger Taxa: \| 13 \| N/A \| \| Clinger Taxa adjusted with Elevation: \| 13 \| 71.7 \| \| Insect Taxa: \| 27 \| N/A \| \| Non-Insect % of taxa: \| 15.6 \| 44.4 \| \| Ephemeroptera Pct: \| 21.2 \| N/A \| \| BeckBI: \| 25.0 \| N/A \| \| Dominant01 Taxon Pct: \| 30.1 \| N/A \| \| Sprawler Pct: \| 16.8 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| FR-20 \| \|------------\|-------\| \| Waterbody Name: \| Fraser River \| \| Location: \| at Rendezvous Bridge \| \| Latitude: \| 39.93412 \| \| Longitude: \| -105.7896 \| \| Reference Status: \| Not Reference or Degraded \| \| BenSampID: \| 6 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 35.2 \| Metric Name \| Metric Value \| Metric Score \| \|-------------\|--------------\|--------------\| \| Total Taxa: \| 28 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 8 \| 39.1 \| \| Chironomidae Pct: \| 46.9 \| 30.4 \| \| Sensitive Plains Famillies Pct: \| 6.2 \| 10.0 \| \| Predator+ Shredder Taxa: \| 13 \| 92.9 \| \| Clinger Taxa: \| 7 \| N/A \| \| Clinger Taxa adjusted with Elevation: \| 7 \| 2.5 \| \| Insect Taxa: \| 23 \| N/A \| \| Non-Insect % of taxa: \| 17.9 \| 36.4 \| \| Ephemeroptera Pct: \| 6.2 \| N/A \| \| BeckBI: \| 21.0 \| N/A \| \| Dominant01 Taxon Pct: \| 42.9 \| N/A \| \| Sprawler Pct: \| 2.2 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| FR-23.2 \| \|------------------\|------------------\| \| Waterbody Name: \| Fraser River \| \| Location: \| abv Winter Park Sanitation District \| \| Latitude: \| 39.89445 \| \| Longitude: \| -105.76821 \| \| Biotype: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 32.9 \| Metric Name \| Metric Value \| Metric Score \| \|--------------------------------------------------\|--------------\|--------------\| \| Total Taxa \| 30 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| \| \| \| Chironomidae Pct \| 46.2 \| 31.6 \| \| Sensitive Plains Famillies Pct \| 8.8 \| 14.2 \| \| Predator+ Shredder Taxa \| 12 \| 85.7 \| \| Clinger Taxa \| 8 \| N/A \| \| Clinger Taxa adjusted with Elevation \| 8 \| 0.0 \| \| Insect Taxa \| 24 \| N/A \| \| Non-Insect % of taxa \| 20.0 \| 28.8 \| \| Ephemeroptera Pct \| 15.4 \| N/A \| \| BeckBI \| 22.0 \| N/A \| \| Dominant01 Taxon Pct \| 36.6 \| N/A \| \| Sprawler Pct \| 5.5 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| RC-1.1 \| \|------------------\|-----------------\| \| Waterbody Name: \| Ranch Creek \| \| Location: \| blw Meadow Creek\| \| Latitude: \| 39.99912 \| \| Longitude: \| -105.82746 \| \| Reference Status:\| Not Reference or Degraded \| \| BenSampID: \| 8 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 58.9 \| Metric Name \| Metric Value \| Metric Score \| \|--------------------------------------------------\|--------------\|--------------\| \| Total Taxa \| 38 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| \| \| \| Chironomidae Pct: \| 27.8 \| 59.6 \| \| Sensitive Plains Famillies Pct: \| 20.5 \| 33.2 \| \| Predator+ Shredder Taxa: \| 14 \| 100.0 \| \| Clinger Taxa: \| 14 \| N/A \| \| Clinger Taxa adjusted with Elevation: \| 14 \| 69.0 \| \| Insect Taxa: \| 31 \| N/A \| \| Non-Insect % of taxa: \| 18.4 \| 34.4 \| \| Ephemeroptera Pct: \| 19.3 \| N/A \| \| BeckBI: \| 31.0 \| N/A \| \| Dominant01 Taxon Pct: \| 17.8 \| N/A \| \| Sprawler Pct: \| 2.4 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| CR-HSU \| \|------------------\|-----------------\| \| Waterbody Name: \| Colorado River \| \| Location: \| Hot Sulphur upstream \| \| Latitude: \| 40.07394 \| \| Longitude: \| -106.10959 \| \| Reference Status:\| Not Reference or Degraded \| \| BenSampID: \| 1 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 77.7 \| Metric Name \| Metric Value \| Metric Score \| \|--------------------------------------------------\|--------------\|--------------\| \| Total Taxa \| 37 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 12 \| 100.0 \| \| Chironomidae Pct \| 6.6 \| 92.0 \| \| Sensitive Plains Famillies Pct \| 30.1 \| 48.8 \| \| Predator+ Shredder Taxa \| 13 \| 92.9 \| \| Clinger Taxa \| 18 \| N/A \| \| Clinger Taxa adjusted with Elevation \| 18 \| 100.0 \| \| Insect Taxa \| 30 \| N/A \| \| Non-Insect % of taxa \| 18.9 \| 32.7 \| \| Ephemeroptera Pct \| 32.8 \| N/A \| \| BeckBI \| 34.0 \| N/A \| \| Dominant01 Taxon Pct \| 29.9 \| N/A \| \| Sprawler Pct \| 5.7 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| CR-WFU \| \|------------------\|-----------------\| \| Waterbody Name: \| Colorado River \| \| Location: \| Williams Fork upstream \| \| Latitude: \| 40.04689 \| \| Longitude: \| -106.14299 \| \| Reference Status:\| Not Reference or Degraded \| \| BenSampID: \| 2 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 78.8 \| Metric Name \| Metric Value \| Metric Score \| \|--------------------------------------------------\|--------------\|--------------\| \| Total Taxa \| 40 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| \| \| \| Chironomidae Pct \| 7.8 \| 90.1 \| \| Sensitive Plains Famillies Pct \| 22.5 \| 36.4 \| \| Predator+ Shredder Taxa \| 14 \| 100.0 \| \| Clinger Taxa \| 20 \| N/A \| \| Clinger Taxa adjusted with Elevation \| 20 \| 100.0 \| \| Insect Taxa \| 34 \| N/A \| \| Non-Insect % of taxa \| 15.0 \| 46.6 \| \| Ephemeroptera Pct \| 37.8 \| N/A \| \| BeckBI \| 39.0 \| N/A \| \| Dominant01 Taxon Pct \| 24.4 \| N/A \| \| Sprawler Pct \| 4.4 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| CR-WGD \| \|------------------\|-----------------\| \| Waterbody Name: \| Colorado River \| \| Location: \| below Windy Gap \| \| Latitude: \| 40.1083 \| \| Longitude: \| -106.00356 \| \| Reference Status:\| Not Reference or Degraded \| \| BenSampID: \| 3 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 74.6 \| Metric Name \| Metric Value \| Metric Score \| \|--------------------------------------------------\|--------------\|--------------\| \| Total Taxa \| 39 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 14 \| 100.0 \| \| Chironomidae Pct \| 1.4 \| 99.8 \| \| Sensitive Plains Famillies Pct \| 22.8 \| 36.8 \| \| Predator+ Shredder Taxa \| 13 \| 92.9 \| \| Clinger Taxa \| 18 \| N/A \| \| Clinger Taxa adjusted with Elevation \| 18 \| 100.0 \| \| Insect Taxa \| 30 \| N/A \| \| Non-Insect % of taxa \| 23.1 \| 17.9 \| \| Ephemeroptera Pct \| 27.4 \| N/A \| \| BeckBI \| 34.0 \| N/A \| \| Dominant01 Taxon Pct \| 19.6 \| N/A \| \| Sprawler Pct \| 1.8 \| N/A \| ## Benthic Macroinvertebrate Bioassessment Report \| StationID: \| CR-WGU \| \|------------------\|-----------------\| \| Waterbody Name: \| Colorado River \| \| Location: \| WG upstream \| \| Latitude: \| 40.10045 \| \| Longitude: \| -105.97248 \| \| Reference Status:\| Not Reference or Degraded \| \| BenSampID: \| 4 \| \| RepNum: \| 1 \| ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 66.6 \| Metric Name \| Metric Value \| Metric Score \| \|--------------------------------------------------\|--------------\|--------------\| \| Total Taxa \| 40 \| N/A \| \| Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): \| 15 \| 100.0 \| \| Chironomidae Pct \| 32.2 \| 52.9 \| \| Sensitive Plains Famillies Pct \| 13.2 \| 21.3 \| \| Predator+ Shredder Taxa \| 11 \| 78.6 \| \| Clinger Taxa \| 18 \| N/A \| \| Clinger Taxa adjusted with Elevation \| 18 \| 100.0 \| \| Insect Taxa \| 34 \| N/A \| \| Non-Insect % of taxa \| 15.0 \| 46.6 \| \| Ephemeroptera Pct \| 29.2 \| N/A \| \| BeckBI \| 33.0 \| N/A \| \| Dominant01 Taxon Pct \| 21.3 \| N/A \| \| Sprawler Pct \| 15.5 \| N/A \| ## Table D.1. Colorado River at Pump House macroinvertebrate summary. \| SampleID \| 164310 \| \|----------\|--------\| \| Station (NAMC) \| COR-Pump \| \| Station (Customer) \| COR-Pumphouse \| \| Waterbody \| COR-Pumphouse \| \| County \| Grand \| \| State \| CO \| \| Latitude \| 39.984714 \| \| Longitude \| -106.514223 \| \| Collection Date \| 10/27/2017 \| \| Habitat Sampled \| Targeted Riffle \| \| Collection Method \| Hess net \| \| Field Notes \| NULL \| \| Lab Notes \| NULL \| \| Area sampled (m^2) \| 0.688 \| \| Field Split \| 100 \| \| Lab Split \| 15.63 \| \| Split Count \| 616 \| ### OUT Code \| Phylum \| Class \| Order \| Family \| Genus \| Species \| OTUName \| #/m² \| \|----------\|-----------\|-------------\|----------------\|----------\|---------\|------------------\|------\| \| 5915 \| Annelida \| Clitellata \| NULL \| NULL \| NULL \| Oligochaeta \| 19 \| \| 5020 \| Arthropoda\| Arachnida \| NULL \| NULL \| NULL \| Trombidiformes \| 37 \| \| 51285 \| Arthropoda\| Arachnida \| Trombidiformes \| Sperchonidae \| NULL \| NULL \| Sperchon \| 74 \| \| 5012 \| Arthropoda\| Insecta \| Coleoptera \| Elmidae \| NULL \| NULL \| Optioservus \| 121 \| \| 5929 \| Arthropoda\| Insecta \| Coleoptera \| Elmidae \| Optioservus \| NULL \| Optioservus quadrrimaculatus \| 1 \| \| 51424 \| Arthropoda\| Insecta \| Coleoptera \| Elmidae \| Zaitzevia \| NULL \| Zaitzevia parvulus \| 9 \| \| 5266 \| Arthropoda\| Insecta \| Diptera \| Chironomidae \| NULL \| NULL \| Chironominae \| 9 \| \| 5381 \| Arthropoda\| Insecta \| Diptera \| Chironomidae \| NULL \| NULL \| Diamesinae \| 97 \| \| 5942 \| Arthropoda\| Insecta \| Diptera \| Chironomidae \| NULL \| NULL \| Orthocladiinae \| 1946 \| \| 51269 \| Arthropoda\| Insecta \| Diptera \| Simuliidae \| NULL \| NULL \| Simulium \| 178 \| \| 5098 \| Arthropoda\| Insecta \| Diptera \| Tipulidae \| Antocha \| NULL \| Antocha monticola \| 28 \| \| 5029 \| Arthropoda\| Insecta \| Ephemeroptera \| Baetidae \| NULL \| NULL \| Acentrella \| 11 \| \| 5139 \| Arthropoda\| Insecta \| Ephemeroptera \| Baetidae \| NULL \| NULL \| Baetis \| 1798 \| \| 5007 \| Arthropoda\| Insecta \| Ephemeroptera \| Ephemerellidae \| NULL \| NULL \| Ephemerella \| 290 \| \| 5454 \| Arthropoda\| Insecta \| Ephemeroptera \| Heptageniidae \| NULL \| NULL \| Epeorus \| 65 \| \| 51210 \| Arthropoda\| Insecta \| Ephemeroptera \| Heptageniidae \| NULL \| NULL \| Rhithrogena \| 87 \| \| 51379 \| Arthropoda\| Insecta \| Ephemeroptera \| Leptophyphidae \| NULL \| NULL \| Tricorythodes \| 19 \| \| 51034 \| Arthropoda\| Insecta \| Plecoptera \| NULL \| NULL \| NULL \| Perlodidae \| 37 \| \| 5690 \| Arthropoda\| Insecta \| Plecoptera \| Perlodidae \| NULL \| NULL \| Isoperla \| 19 \| \| 51183 \| Arthropoda\| Insecta \| Plecoptera \| Pteronarcyidae \| Pteronarcys \| NULL \| Pteronarcys californica \| 175 \| \| 5543 \| Arthropoda\| Insecta \| Trichoptera \| NULL \| NULL \| NULL \| Glossosomatidae \| 67 \| \| 5660 \| Arthropoda\| Insecta \| Trichoptera \| NULL \| NULL \| NULL \| Hydropsychidae \| 74 \| \| 5181 \| Arthropoda\| Insecta \| Trichoptera \| Brachycentridae \| Brachycentrus \| NULL \| Brachycentrus americanus \| 19 \| \| 5540 \| Arthropoda\| Insecta \| Trichoptera \| Glossosomatidae \| NULL \| NULL \| Glossosoma \| 67 \| \| 51148 \| Arthropoda\| Insecta \| Trichoptera \| Glossosomatidae \| NULL \| NULL \| Protoptila \| 19 \| \| 5260 \| Arthropoda\| Insecta \| Trichoptera \| Hydropsychidae \| NULL \| NULL \| Cheumatopsyche \| 19 \| \| 5655 \| Arthropoda\| Insecta \| Trichoptera \| Hydropsychidae \| NULL \| NULL \| Hydropsyche \| 302 \| \| 5662 \| Arthropoda\| Insecta \| Trichoptera \| Hydropsilidae \| NULL \| NULL \| Hydropsila \| 169 \| \| 5721 \| Arthropoda\| Insecta \| Trichoptera \| Lepidostomatidae \| NULL \| NULL \| Lepidostoma \| 28 \| \| 51213 \| Arthropoda\| Insecta \| Trichoptera \| Rhyacophilidae \| NULL \| NULL \| Rhyacophila \| 9 \| Appendix C CPW Fish Population Data 2017 Monitoring Report Draft Report General Information: The Fraser River is a highly diverse river offering many transitions in habitat type through the course of its length. Public access is somewhat limited in some sections and care should be taken to avoid trespass problems. Please consult with local agencies regarding access locations. Guided fishing is available on some privately held reaches. Location: Eastern Grand County—towns of Winter Park, Fraser, and Granby. Recreational Management: US Forest Service, towns of Winter Park, Fraser and Granby, and BLM. Amenities and General Info. - The Fraser River flows through multiple towns which offer general amenities in close proximity to the river. - Guide services available through several area outfitters. Regulations Fraser River - Grand County a. From the headwaters downstream to the confluence with St. Louis Creek: 1. Fishing is by artificial flies and lures only. 2. All rainbow trout must be returned to the water immediately upon catch. b. From the confluence with St. Louis Creek downstream to the Colorado River: 1. The bag and possession limit for trout is two fish. Previous Stocking Whirling Disease-resistant Rainbow trout were stocked at various sizes from 2010-2013 with the goal of establishing a wild, self-sustaining rainbow fishery. Due to the success of this stocking, beginning in 2014 rainbow trout stocking ceased in order to give the rainbows a chance to sustain themselves. See discussion on following pages. Sportfishing Notes - The Fraser offers an enjoyable mix of fishing for brook, rainbow and brown trout. The composition of these three species depends on the location in the river one fishes. It is home to the highest densities of mottled sculpin in the area. Streamer fishing for large browns beneath undercut banks is always an option. The most prolific insect hatch is caddis, which takes place after runoff. Golden stoneflies and various mayflies are also abundant. Terrestrial fishing can be productive in late summer as well. This 5” sculpin had recently consumed a 3” dace. This is the only time we have documented sculpin piscivory in this area. This brown trout, captured in the same reach, had recently eaten a sculpin. The Kaibab Park station is located in the town of Granby where the river flows between the park and the fire station, immediately downstream of the Highway 40 crossing. This is the farthest downstream site on the Fraser that we survey regularly. Population estimates are shown in the table above and the graphs display the size distribution of brown and rainbow trout. Only brown trout population estimates appear in the table because rainbows have not constituted a significant portion of the fish population, despite the fact that rainbows have been stocked here on the same occasions that have been successful farther upstream. 2017 saw the highest biomass and fish-per-mile estimates to date for brown trout in this reach. Extreme high-water years such as 2014 likely have a flushing effect on juvenile brown trout in this reach, while drought years such as 2012 see decreases in large fish density estimates. 2017 conditions probably represent a “happy medium” situation in which the river has benefitted from the flush of recent high water years, yet the 2017 runoff wasn’t high enough to displace juveniles. The rainbow trout appearing in the 2015 sample were fingerlings stocked that year. This is the only location on the Fraser that rainbow fingerlings have been stocked since 2013. The 2014 and 2017 samples found that recruitment from rainbow fingerling stocking in this reach was poor. \| Peak flows at Granby \| \|----------------------\| \| Date \| Flow (cfs) \| \| 6/4/09 \| 991 \| \| 6/8/10 \| 1767 \| \| 7/1/11 \| 1519 \| \| 4/27/12 \| 157 \| \| 5/18/13 \| 651 \| \| 5/31/14 \| 2256 \| \| 6/12/15 \| 1425 \| \| 6/13/16 \| 1351 \| \| 6/11/17 \| 1027 \| This reach is on property owned by Grand County Water and Sanitation District 1 immediately outside of Tabernash, and is slated to be opened to public access in 2018. In 2017 an in-stream physical habitat improvement project was constructed on the site. This project was a cooperative effort by the Learning By Doing stakeholder group (for more information visit https://co.grand.co.us/737/Learning-by-Doing). Prior to the habitat project, this reach had relatively poor trout habitat, characterized by a high width-to-depth ratio, poor thalweg definition, sparse and shallow pools, and excessive riffles. All of these deficiencies were addressed in the habitat improvement project. The table above contains the trout population estimates obtained on the three occasions that we have surveyed the site. Prior to the habitat project (2007 and 2016), this site yielded the poorest estimates of any location discussed in this report, and among the lowest population estimates ever obtained in any location on the Fraser. We observed an immediate benefit after completion of the project, with greatly increased numbers of adult fish and a nearly four-fold increase in total trout biomass from 2016 to 2017. Rainbow and brown trout size distribution is displayed in the graphs above. Prior to the habitat project, we found high numbers of juvenile trout in their first two years of life, but by age 3 the fish had mostly vacated the reach in search of more suitable habitat. This did not appear to be the case any more after completion of the project. Interestingly, on all occasions we collected a number of age-0 rainbow fry. These fish were not stocked, and are the product of wild reproduction. This is an encouraging observation suggesting that a productive wild rainbow fishery may develop in this reach. The sharp decline in sculpin numbers captured in 2017 is most likely due to the fact that the electrofishing survey took place approximately two weeks after the habitat work was completed, which is a short amount of time for sculpin to recolonize after a high level of disturbance to the stream bed. If adult trout numbers continue to improve in the future, sculpin numbers may not return to their previous levels, due to increased predation. The Safeway station is located immediately behind the Safeway store in the town of Fraser. This station has the longest and most consistent history of surveys. The Town of Fraser, in partnership with other entities including Trout Unlimited and the Colorado Division of Wildlife (now CPW), completed a habitat improvement project in this area in 2005. These surveys show that the habitat project has proven to be overwhelmingly successful. 2003 was the only year that this station was surveyed prior to the habitat project construction. The survey that year yielded population estimates that were quite poor in all parameters of the trout population. All subsequent sampling occasions have produced estimates that are many times greater than the 2003 values. The figure above contains biomass estimates in pounds per surface acre by species. Many of the changes in the rainbow population can be directly attributed to stocking patterns. Soon after the habitat project was completed, we stocked rainbows in this reach at high densities in order to quickly occupy habitat and possibly gain a competitive advantage over the brown trout. In 2007 and 2008, we stocked several hundred large brood fish, averaging 14-15”, which produced the elevated rainbow biomass and quality fish density estimates in those years. The intention of stocking those fish was to “kick start” the rainbow population in the newly-improved habitat. These fish occupied the stream for a couple of seasons but did not accomplish natural reproduction. In 2010, we began a four-year period of stocking approximately 50,000 whirling-disease resistant rainbow fingerlings at 3-5”. These plants had good success, and rainbow fingerling stocking ceased after 2013 due to the success of the program. We were concerned about overstocking, and we also wanted to observe whether or not the rainbows would begin sustaining themselves through natural reproduction. 2017 yielded the lowest biomass estimate for rainbows since fingerling stocking ceased, which may indicate that more stocking in the future is warranted. The figure below contains estimates of fish greater than 14” per surface acre. No brook trout >14” have been captured at this site, which is not unexpected. The general downward trend in large fish that we have observed since 2013 is probably an effect of the cessation of rainbow stocking, because in addition to establishing a rainbow fishery, the abundance of small rainbows also provided forage for large, predatory browns, likely enhancing their numbers in the 2011-2014 period. It is encouraging that large rainbows outnumbered large browns in 2016 and 2017, and 2018 will be a critical year in determining whether or not the rainbows will sustain themselves long-term (see discussion on following page). High water years may disadvantage brown trout on this section, probably by displacing juveniles to points downstream. Those years produce colder temperature regimes, which would also disadvantage browns. The lower-water years of 2012 and 2013 saw much higher recruitment of brown trout, resulting in increased population estimates beginning in 2012. The period of 2013-2017 saw the highest brown trout biomass estimates on this reach to date. The graphs at left display the size distribution of rainbow and brown trout captured at the Safeway station over the past four years. 2013 was the last year that rainbow fingerlings were stocked. They were stocked on August 1, averaging 3.75” in length. In 2013 we also caught a large number of 2” rainbows, which were not explained by stocked fish and were likely the result of wild reproduction. Because of this, and the success of these plants that we have observed here and at Confluence Park, after 2013 we ceased the stocking of rainbows in order to observe whether or not they will sustain themselves through natural reproduction. This data set nicely captures the progression of the 2013 year class of brown trout, which had grown to 5” by 2014, 8” in 2015, 10” in 2016, and 12+” in 2017. This is actually the last large year class of browns that we observed in this reach. We did not capture any Age-0 fish in 2014, which is probably a reflection of the high water that year having an impact on fry survival. In 2015, 2016, and 2017 we captured moderate numbers of age-0 rainbow fry. Because we have not stocked since 2013, we know that these fish are the product of natural reproduction. It is especially encouraging to note that in ‘15 and ‘16, age-0 rainbows outnumbered age-0 brown trout by a significant margin. We found roughly equal numbers of age-0 fish of the two species in 2017. However, recruitment of rainbows from age-0 to age-1 appears to be poor, which is evident in the overall lack of rainbow trout in the 5-10” range from 2015 onward. If this trend continues into 2018 and adult rainbow densities dwindle, we will likely stock rainbow fingerlings again beginning in 2019. \| Dates of Safeway Station surveys \| \|----------------------------------\| \| 9/30/2003 \| 9/6/2012 \| \| 10/21/2006 \| 9/4/2013 \| \| 8/23/2007 \| 9/3/2014 \| \| 10/03/2008 \| 9/2/2015 \| \| 9/3/2009 \| 8/31/2016 \| \| 9/7/2010 \| 9/5/2017 \| \| 9/1/2011 \| \| A Fraser River sculpin. Photo by Kevin Birznieks The Confluence Park station is located in the town of Winter Park. The upstream end of the station is the pool where Vasquez Creek joins the Fraser. The graph at right contains biomass estimates in pounds per surface acre. This reach was not sampled in the years with no data. This is a higher-gradient, forested reach with a colder temperature regime, which explains the relative scarcity of brown trout. Trout populations here have been highly dynamic, with 2017 revealing an unprecedented influx of brown trout, but also the lowest total trout biomass estimates to date. Fingerling rainbow trout stocking in 2010-2013 was very successful at this site. By 2012 the data suggested that our rainbow stocking may be overpopulating the reach, which was one of the factors that led to the decision to cease rainbow stocking as discussed previously. The 2017 data suggests that rainbow trout will not sustain themselves here without fingerling stocking. The size distribution of the trout captured in the last four surveys is displayed below. These data reflect a dynamic situation with regard to competition between brook trout and stocked rainbows. During the period of 2012-2014, the high density of rainbows in the 5-12” range appeared to be suppressing the adult brook trout population, which is an unusual occurrence. By 2015, brook trout began regaining the upper hand, with multiple age classes in the smaller sizes outnumbering juvenile rainbows, which were nonexistent in that survey. Two distinct size-groups of brown trout appeared for the first time in 2017, as well as an 18” brown, the largest ever captured here. It is unlikely that the influx of brown trout was due to spawning movements, because the survey has occurred close to the same date on every occasion. This site is located adjacent to the Forest Service campground just upstream of the town of Winter Park. This station is 675 feet in length and averages 20.2 feet in width. The table at right contains population estimates collected on the two occasions we have surveyed this reach. Every parameter of the trout population listed in this table experienced significant declines in 2016, and the estimate of total trout biomass declined by 49.6%. Sculpin capture declined only slightly, and this was not by a significant margin. The nearest other site that we surveyed in 2016 is the Safeway station in the town of Fraser. We did not observe similar declines in any of these parameters at that station compared to previous years. In 2013, the Confluence Park site saw a decline in biomass similar to this one; however, the decline was among rainbow trout only (brook trout actually increased) and is easily explained by changes in our stocking strategy at that time. Such a decline across three species of trout is unprecedented in the history of our Fraser River monitoring. The figures below display the size structure of brook trout and rainbow trout captured at this station in 2014 and 2016. It is important to be aware that 2013 was the last year that we stocked rainbow trout fingerlings in the Fraser, and some of the decline in the rainbow trout population can be attributed to this change. The rainbows in the 5-10” range in 2014 are the result of past fingerling stocking. The two small rainbows we captured in 2014, 1-2” in length, are evidence of successful natural reproduction that year. The information collected in 2016 suggests that rainbows may not sustain themselves in this reach without the aid of future stocking. The 2” brook trout captured in 2016 are young-of-the-year fish, and are evidence of a successful 2016 year class. We captured very few Age-0 fish in 2014. This is likely the result of a spring runoff that year that was far above normal. In some locations, unusually high spring runoff can either displace or kill an entire year class of juvenile brook or brown trout. This is likely what occurred here. Because this station was a new location surveyed for the first time in 2014, it is impossible to know which of the two years is out of the ordinary. It is possible that the 2016 data reflects a return to “normal” fish densities for the site and that 2014 happened to be a particularly productive year. However, it is more common to observe a short-term suppression of fish populations in years with extremely high runoff such as 2014. This reach has been the recipient of multiple discharge events in recent years that originate from the Moffat Tunnel. High levels of turbidity have occurred and CPW has received multiple reports from the public and other entities. While we have not observed a direct fish kill as a result of these events, this data appears to provide at least circumstantial evidence of some level of environmental stress or disturbance on the trout population here. We will continue to monitor this location in the future. General Information: The Colorado River offers approximately 4 miles of public access on the Kemp-Breeze, Lone Buck, and Paul Gilbert State Wildlife Areas and BLM Sunset property unit. Location: Approximately 10 miles east of Kremmling, CO on US highway 40. Recreational Management: Colorado Parks and Wildlife, Bureau of Land Management Fishery Management: Gold medal river trout fishery Amenities and General Info. - 4 miles of public river access for wade or bank angling at multiple access points - Picnic Areas - Kids fishing pond - Primitive restrooms - Guide services available through several area businesses Regulations - All fishing is by flies and lures only, and all trout must be returned to the water immediately. Previous Stocking Rainbow trout of various sizes have been stocked through 2015 (see report), with the goal of reestablishing a wild, self-sustaining rainbow population. Sportfishing Notes This section of The Colorado River is one of the most well-known and heavily fished sections of river in the state. - Despite heavy fishing pressure, trout populations are consistently excellent - Fly fishing is the most common method of choice. There is a wide spectrum of aquatic insect varieties to imitate, from midges in the winter to various mayflies in the spring, stoneflies in early summer, caddis, terrestrial, and more mayflies later in the summer. Usually the biggest challenge for catching fish is figuring out what the trout happen to be focused on that particular day. - These fish are well-educated and demand an accurate presentation. This and all the following information reflects trout population data collected on the two-mile reach of river beginning just upstream of the “Parshall Hole” and extending downstream to the irrigation diversion on the BLM Sunset property. This survey is conducted in the third or fourth week of September annually. Population estimates are obtained by raft electrofishing using standard mark-recapture methodology. The figure at top left displays trout population estimates in fish per mile 6” or larger. The high brown trout estimate in 2007 is the result of multiple large year classes of young brown trout recruiting during the relatively low-water years leading up to that year. It is common to see high recruitment of juvenile brown trout during drought periods, simultaneous with declining numbers of large fish. The increase in rainbow trout estimates beginning in 2012 reflects the introduction of Whirling Disease resistant rainbows to this section of river (see following discussion). The middle figure at left displays estimates for trout biomass in pounds per surface acre over the 2-mile reach. The lower figure at left displays density estimates of trout greater than 14” per surface acre. Biomass and density of quality trout are important parameters because these are the estimates used to confirm a river’s status as a Gold Medal fishery. In order to maintain Gold Medal status, a fishery must produce at least 60 pounds per acre of total trout biomass AND at least 12 trout per acre greater than 14” in length. In recent years such as 2012 and 2013, this reach of the Colorado River has come uncomfortably close to failing to meet those standards. Each of these three graphs show a point in recent history when the particular parameter being measured has reached a historic low point. This information makes a strong case that this is a declining fishery. All the reasons for this are not known, but some of the most likely culprits are a long-term degradation in the quality of invertebrate forage, long-term degradation in the quality of physical habitat (particularly overwinter habitat), resulting in more frequent weak juvenile year classes and poor recruitment into the adult population. These declines are probably attributable to a combination of these factors, which are interrelated. Brown trout population size structure These figures (and the following page) display the size distributions for all brown trout captured in the Parshall-Sunset reach in September from 2010-2017. The vertical axis on all graphs is the same, enabling comparisons among years. The vertical bars represent the number of fish that were captured in each size class by centimeter (15 cm = 6"). Viewing the data in this way reveals a wealth of useful information including rough estimates of annual growth and survival rates. Fish less than 15 cm are not effectively captured during these surveys, so it is difficult to assess the abundance of the age-0 year class (fish that were born the year of the survey) from this data. However, the age-1 year class (born the year prior to the sample), in the 12-20 cm range, is represented more accurately. When studying this survey data, a question sometimes arises regarding movement of trout. The question is whether or not the data represents the “true” resident population of fish, or whether the fish move so much that it is more of a single snapshot in time of the trout that happen to be occupying the reach on that day. There are a few aspects of this data which at least partially answer that question. First, the survey is conducted as close to the same date as possible every year. If the results are heavily influenced by fish movements, those movements should at least be similar among years as long as the dates of the survey are consistent. Anecdotally, many fish are collected each year that have small scars in the tail where they were marked in previous years’ surveys, proving that those fish occupy the same reach across multiple years. Also, the analysis below demonstrates that year class strength is a strong predictor of the future adult population. If the population was heavily influenced by emigration or immigration, this would not necessarily be the case. There are examples of other reaches of the Colorado (such as the Radium survey reach) where the number of juvenile fish has never explained the high density of adult fish present, meaning that the reach “gains” fish from elsewhere. The strength of the age-1 year class in any given year is of great interest because of its ability to predict trends in the adult population in future years. Due to high mortality rates in small fish, strong age-1 year classes are necessary in order to maintain the adult population. We found strong age-1 classes in 2007, 2010, 2011, 2012, 2015, and 2016. Weak age-1 classes were observed in 2008, 2009, 2013, 2014, and 2017. The result of weak age-1 recruitment in 2008 and 2009 can be seen in the weakening adult population in 2011 and 2012. That weakening of the adult population is evident on page 2 in the biomass and quality trout estimates for those years. In 2012 the age-2 fish were poised to bolster the adult population, which took place in 2013 and 2014. This also appears on page 2 in the improving biomass estimates in those years and the increase in quality trout in 2014. 2013 revealed another strong age-2 year class; however, the age-1 group was weak in both 2013 and 2014. The adult population in 2014 reflects the benefit of the strong age-1 groups of 2011 and 2012. This is also evident in the increased number of quality trout that we observed in 2014. However, the weak recruitment years of 2013 and 2014 resulted in moderate decreases in the adult population in 2015 and 2016, which was ultimately manifested in the lower quality fish estimate in 2016. Age-1 recruitment in 2015 and 2016 returned to strong levels, which should again bolster the adult population in 2017 and 2018. Age-0 capture in 2016 was low, resembling that of 2012 and 2013, suggesting that 2017 would reveal another weak Age-1 year class. Quality trout density estimates in 2017 were among the lowest ever (page 2). However, the 2017 sample revealed a large, overlapping group of Age-2 and 3 fish (peaking at 28 cm) resulting from the strong age-1 groups in 2015 and 2016. These fish should recruit into larger size classes in 2018 and 2019 and improve the densities of 14+ fish. Age-0 capture in 2017 mirrored that of 2016, predicting another weak Age-1 group for 2018. We do not have a strong understanding of factors that produce strong or weak year classes in any given year on this reach of the Colorado. In some rivers, above-average runoff results in high mortality of brown trout, thus forming poor year classes, while drought years see high survival of age-0 fish due to the lack of intense flows. However, we have seen counterexamples of that dynamic in the Colorado River in recent years. 2011 produced a peak runoff period that was far above average, yet a strong year class survived. Conversely, 2012 was a drought year that produced a weak age-1 group. Intensity of runoff probably plays a role in some years, but does not appear to be the chief factor determining year class strength on this reach. Spawning habitat quality could act as a limiting factor in the formation of year classes. However, if there was a general lack of spawning habitat, there would be no reason for the variability in year class strength that we have observed. All year classes would be equally poor. In some winters, anchor ice, frazil ice, and various formations of ice damming are common on this reach of the Colorado. It is possible that harsh winter conditions exacerbated by low flows lead to high mortality rates of brown trout eggs that are incubating in the gravel, which would result in poor year class formation. We do not currently have a way to quantify those conditions, and the degree to which they vary among winters. However, in-channel habitat improvements would address this issue by enhancing the quality of spawning riffles as well as overwintering habitat, making these areas less vulnerable to the harsh winter conditions that can take place during periods of cold weather and low flows. The Colorado River in Grand County historically supported one of the most productive wild rainbow trout fisheries in the world. In 1981, there were estimated to be 75 rainbow trout per acre over 14”. These fish were all the product of wild reproduction and unsupported by stocking. Brown trout comprised 25% of the trout population in the river that year. Whirling disease appeared in the river in 1987. The proliferation of this parasite ended virtually all successful reproduction of rainbow trout. In the following years, the brown trout population exploded to fill the habitat that was vacated due to lack of reproduction in the rainbow population. It has always been the goal of CPW to restore some level of a wild rainbow trout fishery to this reach of the Colorado. Beginning in 1994, CPW began stocking fingerling rainbow trout to attempt to compensate for the lost natural reproduction. Research has shown that rainbow trout mortality from whirling disease drops dramatically when the fish have reached a length of 5”. Based on this information, that is the size of fish that was stocked throughout the 2000’s. Due to the timing of rainbow spawn in the hatchery, fish of that size were not available until the fall, usually October. 40,000 5” fish per year were stocked annually in October in this reach of river. The figure to the left demonstrates the failure of the stocking strategy described above. Even though 5” fish should be able to survive in the presence of whirling disease, recruitment rates from stocking these fingerlings was abysmal, and rainbow trout continued to constitute a tiny fraction of the total trout population of this reach. In 2008 and 2009, the fingerlings stocked were a hybrid strain of Colorado River rainbow trout (the historic strain that had been developed in the river over the previous 100+ years), crossed with German rainbow trout which have been found to be highly resistant to whirling disease. The fish were still 5” long, and stocked in October. We did not observe any evidence that this strain was any more successful at recruiting into the population when stocked at that size. In 2010, we adopted a different stocking strategy based on the hypothesis that the limitation on recruitment in the 5” plants is timing rather than WD infection (if this was not the case we should have seen a positive response with the introduction of the WD-resistant strain in 2008). We stocked a larger number (60,000) of smaller (1.6 inches average) fish during the third week of July. We stocked these small fish out of a raft, only in the most ideal fry habitat. At this small size the fish are not habituated to being fed yet, and will hopefully quickly develop wild behaviors that are likely already lost in fish that have been raised to 5” in a hatchery environment. After encouraging results in 2010, in 2011 and 2012 we continued this stocking strategy and increased the number of fry stocked to 100,000. Pictures of the stocking operation are shown below. Our 2012 survey detected the recruitment of these fish into the adult rainbow trout population for the first time (above). Subsequent surveys have not yielded population estimates as high as 2012, but they have remained above pre-2012 levels. We have documented successful natural reproduction, but it remains to be seen if it will be enough for the percentage of rainbows in the trout population to increase (see discussion following page). The figures above display the size distribution of all the rainbow trout captured over the past six years in this reach. In 2010 we captured rainbow trout smaller than 6” for the first time. These were the 2” fry that had been stocked two months previously. In 2011, we found that the fry stocked in 2010 had grown to an average of 8 inches in length, which was an excellent growth rate, and were present in good numbers. 2012 saw the largest age-1 year class to date, and the 2010 year class was now in the 12-15” range. We did not capture age-0 fish in 2012 during the raft survey. 2013 revealed the continued development of a more robust adult population in the 12-16” range. We also observed another age-1 year class, although much weaker than 2012’s age-1 group, which explained why we did not find them in 2012. In 2014, we found the most fully developed adult rainbow population to date. The density estimate for rainbows larger than 14” was 5 fish per acre, which was the highest estimate in the post-WD era, until 2016 yielded an estimate of 6 per acre. We also did not detect an age-1 year class in 2014 for the first time since fry stocking began, for unknown reasons. However, we did collect some age-0 (fry stocked in 2014) fish. 2015 and 2016 saw the return of moderate age-1 groups. Due to a disease issue in our hatchery system, 2015 was the last year that we stocked rainbow trout fry. The 8” age-1 year class seen in 2016, and the 12” Age-2 group in 2017, represent the last stocked rainbow fry. This strain of rainbows will not be available until approximately 2019, and thus we are in a new period of no rainbow stocking and observation to determine if there are enough adult rainbows in the river now to sustain and increase their numbers through natural reproduction. The 7-9” group in 2017 are wild fish, and through fry monitoring we have observed some successful natural reproduction. We are hopeful that this trend will continue. Mountain Whitefish Invasion In 2013, we collected four juvenile mountain whitefish on this reach for the first time. This species had never been captured on this reach of river in a history of biological survey work that extends back to 1981. There are no historical records of mountain whitefish occurring anywhere in Middle Park upstream of Gore Canyon. This species is native to the White and Yampa river drainages but not to the Colorado. There is an established population in the Colorado downstream of Gore Canyon. The graphs at left display the size distribution of whitefish that we have captured since 2014. That year, we captured two juvenile whitefish. By 2015, we captured 22 whitefish representing three age-classes, which corresponded to the juveniles we had caught the two previous years. In 2016 our catch increased to 49 mountain whitefish representing four year-classes and ranging up to 19” in length. We captured fewer in 2017, but still found at least three year-classes. In other surveys, in 2016 we also captured single adult whitefish as far upstream as Windy Gap dam. These findings suggest that we are witnessing the beginning of a significant invasion of the species into the upper Colorado. The reasons that this is occurring now are unknown. 2011 saw the highest flows on the Colorado River since the early 1980’s, and our current theory is that the prolonged high flows during that summer allowed adult whitefish to find their way through Gore Canyon for the first time. Impacts of mountain whitefish on the trout fishery are unknown at this time. There are ways in which they might benefit the fishery (for example, providing an additional prey source for large, predatory brown trout), but they may also present new competition with trout for food and habitat. Catch-and-release regulations on this reach apply to trout only, so these fish are available for angler harvest. We will closely monitor this invasion over the coming years and continually assess whether or not any management changes are warranted. Mountain whitefish captured in the Parshall Hole. On April 19 & 21, 2016, we conducted a raft electrofishing survey of the Colorado River beginning just downstream of the Byers Canyon bridge and extending to the downstream border of the Lone Buck State Wildlife Area. This encompassed a river reach of approximately 7,000 feet in length. The main reason for this survey was to determine the number of spawning rainbow trout in this reach, which contains locations where rainbows regularly spawned historically. This was the first time since 2013 that we had surveyed this section. These are the only two occasions in recent history that the reach has been surveyed in the spring. Results of the 2013 and 2016 surveys are contained in the table at right. Rainbow estimates remained essentially the same across the two occasions, while the number of large brown trout increased dramatically. This resulted in a greatly increased estimate of brown trout biomass. The size distribution of both species is shown in the graphs below. In the 2016 survey, we also captured one mountain whitefish measuring 16”. At that time this was the farthest-upstream location that we had captured a whitefish; however, the following month we captured two more whitefish upstream of the town of Hot Sulphur Springs, indicating that they are present in the river up to Windy Gap dam. \| Colorado River, Paul Gilbert—Lone Buck \| 2013 \| 2016 \| \|--------------------------------------\|------\|------\| \| Date of survey \| 5/6 & 8 \| 4/19 & 21 \| \| Rainbows: #> 6”/mile \| 214 \| 182 \| \| #>14”/surface acre \| 5 \| 6 \| \| Biomass (lbs./acre) \| 13 \| 13 \| \| Browns: #> 6”/mile \| 1,537 \| 1,178 \| \| #>14”/acre \| 11 \| 28 \| \| Biomass (lbs./acre) \| 74 \| 132 \| A Whirling Disease-resistant rainbow from the Lone Buck reach. This handsome Parshall Hole rainbow in 2015 had recently enjoyed a meal of a 10” brown. The largest brown captured in 2014. 21 inches, 4.6 pounds This 15” brown had recently eaten some kind of rodent. APPENDIX D.1 Core Sample Location Maps, GPS, and Photo Logs Location Map: Fraser River. F2, coordinates represent downstream limits of ocular survey. N39°52'01.1", W105°44'58.5" No photos: ocular survey at F2 was not conducted in 2017 Location Map: Core Sample Site, Ranch Creek, F-RC2 N39°59' 57.96", W105°49'48.36" Core Sample Site: Ranch Creek, F-RC2. Sample Date: September 6, 2017 Ranch Creek, F-RC2, looking upstream. Ranch Creek, F-RC2, looking downstream. Location Map: Core Sample Site, Fraser River, FR9 N40°04'43.74", W105°54'15.32" Core Sample Site: Fraser River, FR9. Sample Date: September 7, 2017 Fraser River, FR9, looking upstream. Fraser River, FR9, looking downstream. Location Map: Core Sample Site, Colorado River CR4 (Chimney Rock Ranch) N40°06' 2.16", W106°01'36.36" No photos; sampling at Chimney Rock was not conducted in 2017 due to lack of spawning gravels. Location Map: Core Sample Site, Colorado River, CR4 (CDPW Paul Gilbert Public Access) N40°06'03.8", W106°01'33.1" No photos; sampling at CR4 (CDPW Paul Gilbert Public Access) was not conducted in 2017 due to lack of spawning gravels. Location Map: Core Sample Site, Colorado River, CR4-(Pioneer Park) N40°04'20.35", W106°06' 41.60" Core Sample Site: Colorado River, CR4-PP Sample Date: September 7, 2017 Colorado River, CR4-PP looking upstream. Colorado River, CR4-PP looking downstream. Location Map: Core Sample Site, Colorado River, CR5 N40°03'46.08", W106°11'02.16" Core Sample Site: Colorado River, CR5. Sample Date: October 27, 2017 Colorado River, CR5, looking upstream. Colorado River, CR5, on island looking downstream. Location Map: Core Sample Site, Colorado River, CR6 N40°03'20.98", W106°17'06.77" Core Sample Site: Colorado River, CR6. Sample Date: September 8, 2017 Colorado River, CR6, looking upstream. Colorado River, CR6, looking downstream. Location Map: Core Sample Site, Colorado River, CR7 N39°58'41.51", W106°30'56.45" Core Sample Site: Colorado River, CR7. Sample date: October 27, 2017 Colorado River, CR7, looking upstream. Colorado River, CR7, looking downstream. Core Sample Site: Colorado River, CR7. Sample date: October 27, 2017 Colorado River, CR7, looking at bar for pebble count. APPENDIX D.2 Pebble Counts at Macroinvertebrate Sites: Location Maps, GPS, and Photo Logs 2017 Monitoring Report Draft Report Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-abvWPSD N39° 53' 40.02", W105° 46' 5.58" Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-abvWPSD. Date: September 6, 2017 Fraser River, FR-abvWPSD, looking upstream. Fraser River, FR-abvWPSD, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-Rendezvous N39° 56’ 02.832”, W105° 47’ 22.56” Pebble Count at Macroinvertebrate Site: Fraser River, FR-Rendezvous. Date: September 6, 2017 Fraser River, FR-Rendezvous, looking upstream. Fraser River, FR-Rendezvous, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-FrSpProj N39° 58’ 54.11”, W105° 49’ 49.50” Pebble Count at Macroinvertebrate Site: Fraser River, FR-FrSpProj. Sample Date: September 6, 2017 Fraser River, FR-FrSpProj, looking upstream at site. Fraser River, FR-FrSpProj, looking downstream at site. Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-CR83 N39° 59' 25.99", W105° 49' 45.83" Pebble Count at Macroinvertebrate Site: Fraser River, FR-CR83. Sample Date: September 6, 2017 Fraser River, FR-CR83, looking upstream Fraser River, FR-CR83, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, Ranch Creek below Meadow Creek, RC-blwMC (labeled RC-CR84 in 2015) N39° 59’ 56.57”, W105° 49’ 39.11” Pebble Count at Macroinvertebrate Site: Ranch Creek, RC-blwMC Date: September 6, 2017 Ranch Creek, RC-CR84, looking upstream. Ranch Creek, RC-blwMC, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, FR-abvFrCan N 40° 00' 0.46", W 105° 50' 52.80" Pebble Count at Macroinvertebrate Site: Fraser River, FR-abvFrCan Sample Date: September 6, 2017 Fraser River, FR-abvFrCan, looking upstream Fraser River, FR-abvFrCan, looking downstream Location Map: Pebble Count at Macroinvertebrate Site, FR-abvGSD N 40° 05' 06.936", W 105° 57' 16.704" Pebble Count at Macroinvertebrate Site: FR-abvGSD. Date: September 7, 2017 Fraser River, FR-abvGSD, looking upstream. Fraser River, FR-abvGSD, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, COR-blwWG N 40° 06' 30.64", W 106° 00' 10.80" Pebble Count at Macroinvertebrate Site: COR-blwWG Date: September 7, 2017 Colorado River, COR-blwWG, looking upstream Colorado River, COR-blwWG, looking downstream Location Map: Pebble Count at Macroinvertebrate Site, COR-abvHSR N 40° 04' 25.60", W 106° 06' 36.00" Pebble Count at Macroinvertebrate Site: COR-abvHSR Date: September 7, 2017 Colorado River, COR-abvHSR, looking upstream Colorado River, COR-abvHSR, looking downstream Location Map: Pebble Count at Macroinvertebrate Site, COR-abvKidPond N 40° 03’ 48.31”, W 106° 11’ 27.60” Pebble Count at Macroinvertebrate Site: COR-abvKidPond Date: October 27, 2017 Colorado River, COR- abvKidPond, looking upstream (left bank) Colorado River, COR- abvKidPond, looking downstream (left bank) Location Map: Pebble Count at Macroinvertebrate Site, COR-KBDitch N 40° 03' 13.57", W 106° 17' 22.20" Pebble Count at Macroinvertebrate Site: COR-KBDitch Date: September 8, 2017 Colorado River, COR- KBDitch, looking upstream Colorado River, COR- KBDitch, looking downstream Location Map: Pebble Count at Macroinvertebrate Site, COR-Pumphouse N 39° 59' 04.68", W 106° 30' 51.55" Pebble Count at Macroinvertebrate Site: COR-Pumphouse. 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News Release Wabtec Opens Its Largest Engineering Lab in India BENGALURU, October 13, 2021 – Wabtec Corporation (NYSE: WAB), a leading technology supplier for the freight and transit rail industries, inaugurated today a worldclass global engineering lab at Bengaluru to enable rail component design and performance. The new facility is Wabtec's biggest lab in India and adds to the company's growing engineering presence in the country. The facility was inaugurated by Eric Gebhardt, Wabtec's Executive Vice President and Chief Technology Officer and Dr. Sujatha Narayan, Regional Senior Vice President, Wabtec India, along with key members from the Engineering team. "India site is an important engineering hub for our company," said Gebhardt. "The Wabtec India Technology Center and this global engineering lab are vital to our strategy to develop sustainable solutions for our customers worldwide.". This engineering lab has a 30,000-square-foot test lab area and 12,000 square feet for an operations center and office space. The facility houses more than 30 complex mechanical, electrical and propulsion related custom built test rigs. The objective of the facility is to characterize the performance, understand the failures, predict the service life of components, and validate design improvements. "This new lab provides our team in Bengaluru the resources to design and validate products for our global and regional markets," said Narayan. Wabtec is planning to relocate and add test rigs to the new facility over the next three months. Some of the test equipment, such as the Resonance Type 1500 KN Fatigue rig, are unique and one of its kind in India. Engineers across the globe will leverage these labs for establishing dynamic characterization, comparing physical and virtual test results, component validations and development work. "The Global Engineering Lab allows us to conduct 'Smart Validation' of products in the most efficient way, this approach enables us to do component-level testing versus system level testing" said Gopal Madabhushi, Corporate Vice President, Wabtec Corporation "The lab's innovative rigs allow us to design for various operating conditions, gain insights on performance in shortest possible time, which supports successful product launches." Wabtec is one of the largest rail equipment manufacturers in India. With two large business entities in freight and transit rail, the company has supplied more than 300 locomotives to Indian Railways and have an installed base of subsystems in over 2,000 News Release cars in Metro projects. The company employs 2,700 people in India with large engineering bases in Bengaluru and Hyderabad. About Wabtec Wabtec Corporation (NYSE: WAB) is focused on creating transportation solutions that move and improve the world. The company is a leading global provider of equipment, systems, digital solutions and value-added services for the freight and transit rail industries, as well as the mining, marine and industrial markets. Wabtec has been a leader in the rail industry for over 150 years and has a vision to achieve a zero-emission rail system in the U.S. and worldwide. Visit Wabtec's website at www.wabteccorp.com. ### Media Contacts: Sanaj Natarajan +91 9972800477 [email protected]	<urn:uuid:2d2fcea9-59d8-46da-9a50-99533d4028c4>	CC-MAIN-2021-43	https://www.wabteccorp.com/media/10881/download?inline	2021-10-18T14:37:11+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-43/subset=warc/part-00096-16202947-a809-4711-8221-79ab0a79d5b1.c000.gz.parquet	1,261,341,292	672	eng_Latn	eng_Latn	0.995806	eng_Latn	0.995991	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2549, 3295 ]
EMPIRE-PIC: A Performance Portable Unstructured Particle-in-Cell Code Matthew T. Bettencourt 1 , Dominic A. S. Brown 2, ∗ , Keith L. Cartwright 1 , Eric C. Cyr 1 , Christian A. Glusa 1 , Paul T. Lin 3 , Stan G. Moore 1 , Duncan A. O. McGregor 1 , Roger P. Pawlowski 1 , Edward G. Phillips 1 , Nathan V. Roberts 1 , Steven A. Wright 4 , Satheesh Maheswaran 5 , John P. Jones 6 and Stephen A. Jarvis 7 1 Sandia National Laboratories, Albuquerque, NM. 3 Lawrence Berkeley National Laboratory, Berkeley, CA. 2 Department of Computer Science, University of Warwick, UK. 4 Department of Computer Science, University of York, UK. 6 Atomic Weapons Establishment, Aldermaston, UK. 5 Diamond Light Source Ltd, Diamond House, Harwell Science and Innovation Campus, Didcot, UK 7 College of Engineering and Physical Sciences, University of Birmingham, UK. Received 24 December 2020; Accepted (in revised version) 30 March 2021 Abstract. In this paper we introduce EMPIRE-PIC, a ﬁnite element method particlein-cell (FEM-PIC) application developed at Sandia National Laboratories. The code has been developed in C++ using the Trilinos library and the Kokkos Performance Portability Framework to enable running on multiple modern compute architectures while only requiring maintenance of a single codebase. EMPIRE-PIC is capable of solving both electrostatic and electromagnetic problems in two- and three-dimensions to second-order accuracy in space and time. In this paper we validate the code against three benchmark problems – a simple electron orbit, an electrostatic Langmuir wave, and a transverse electromagnetic wave propagating through a plasma. We demonstrate the performance of EMPIRE-PIC on four different architectures: Intel Haswell CPUs, Intel's Xeon Phi Knights Landing, ARM Thunder-X2 CPUs, and NVIDIA Tesla V100 GPUs attached to IBM POWER9 processors. This analysis demonstrates scalability of the code up to more than two thousand GPUs, and greater than one hundred thousand CPUs. AMS subject classiﬁcations: To be provided by authors Key words: PIC, electrostatics, electromagnetics, HPC, performance portability. ∗ Corresponding author. Email addresses: [email protected](M. Bettencourt), [email protected](D. A. S. Brown) http://www.global-sci.com/cicp ⃝ c 2021 Global-Science Press 1 Introduction High Performance Computing (HPC) provides huge beneﬁt to the scientiﬁc community and has been especially useful within ﬁelds that require experiments that may be infeasible, and/or expensive to conduct physically. As a consequence of the continually rising computational performance of HPC systems, scientists are able to conduct research of ever increasing complexity. This improved capability will continue to grow with the move towards Exascale computing (the ability to carry out at least 10 18 ﬂoating point operations per second), a major milestone in the ﬁeld of HPC. This signiﬁcant improvement in performance has been accompanied by an increasing amount of diversity in modern compute architectures. For example, heterogeneous systems that make use of Graphics Processing Unit (GPU) accelerators or many-core CPUs are rapidly becoming more prevalent as we continue to move away from the traditional homogeneous cluster systems that were previously the norm [9]. As of June 2020, six out of the top ten supercomputers depend on heterogeneous architectures to achieve their compute performance [5]. The upcoming Exascale machines Aurora and Frontier will follow this same trend by using Intel and AMD GPUs respectively. As a result, it is now highly desirable for scientiﬁc codes to be able to perform well across a wide variety of systems, a concept often referred to as 'performance portability' [59]. However, this increase in architectural diversity brings greater difﬁculty in implementing production codes that are capable of fully exploiting the available hardware resources when compared to the traditional Single Program, Multiple Data (SPMD) MPI-based approach of the past. This problem is exacerbated by the fact that each architecture requires speciﬁc optimizations in order to achieve peak performance. Scientiﬁc codes must be able to adapt to this changing landscape without the difﬁculty of developing and maintaining several versions of the same application. There are various standards that have been proposed to remedy this issue by providing directives to the compiler that sections of code should be run in parallel and/or on a given device – commonly an accelerator card. These include OpenMP [16] and OpenACC [31]. Another approach being considered to aid performance portability is the use of parallel programming frameworks or libraries. Examples include Kokkos [36], from Sandia National Laboratories (SNL), and RAJA [47], from Lawrence Livermore National Laboratory (LLNL), both of which make use of C++ template meta-programming to inject hardware-speciﬁc device code, targeting a system during compilation. Other notable examples of parallel programming frameworks include Khronos' OpenCL [2] and SYCL [42], and Intel's newly developed OneAPI [4]. HPC contributes to a variety of scientiﬁc ﬁelds, with the areas of fusion energy research, and the behavior of plasmas under various conditions being notable examples. Particle-in-Cell (PIC) [14, 32, 45, 55] codes are commonly used to carry out simulations of charged particles under the inﬂuence of electric and magnetic ﬁelds. Examples in fusion energy research include both Inertial Conﬁnement Fusion (ICF) and Magnetic Conﬁnement Fusion (MCF) devices. Such devices include the National Ignition Facil-	<urn:uuid:2bfcb8bd-4203-4273-99ae-0e28161d165c>	CC-MAIN-2025-05	https://doc.global-sci.org/uploads/Issue/CiCP/shortpdf/v30n4/304_1232.pdf?1629095526	2025-01-15T02:25:46+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-05/subset=warc/part-00291-88b30a59-3c73-48ba-a167-077611bfd245.c000.gz.parquet	202,582,948	1,245	eng_Latn	eng_Latn	0.950158	eng_Latn	0.985698	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2314, 5623 ]
24 356 DL0 ATRIO SINGLE-LEVER MIXER WITH 3-WAY DIVERTER PRODUCT DESCRIPTION * Colour: brushed warm sunset * set for final installation for * GROHE Rapido SmartBox 35 600/35 604 * GROHE SilkMove 46 mm ceramic cartridge * GROHE Long-Life finish * wall escutcheon with GROHE FastFixation(covered escutcheon- and shaft sealing, covered fixing) * metal escutcheon, retroactively 6° adjustable * metal lever * 3-way diverter * flow performance:outlet A = 27 l/min,outlet B = 27 l/min,outlet C = 27 l/min * without roughing-in-set	<urn:uuid:0f2dbd8b-7844-40a7-8c34-f23821a43844>	CC-MAIN-2024-38	https://www.grohe.co.uk/notepad/v1/exports/product/24356DL0?locale=en_gb&fallback_image=	2024-09-09T01:22:45+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-38/subset=warc/part-00050-781f89b0-54ef-4e32-b51d-e5860e733e3a.c000.gz.parquet	774,858,659	163	eng_Latn	eng_Latn	0.609845	eng_Latn	0.609845	[ "eng_Latn" ]	false	rolmOCR	[ 525 ]
# Anna S Mine Complex Treatment System Operation and Maintenance Plan Developed for the Babb Creek Watershed Association By Hedin Environmental June 30, 2004 ## Table of Contents I. Partners and Responsibilities ................................................................. 2 II. System Overview .................................................................................. 2 A. Anna S System .................................................................................. 2 B. Hunter’s Drift System ....................................................................... 3 III. System Monitoring .............................................................................. 4 IV. Regular Inspections ............................................................................. 4 A. Equipment ....................................................................................... 4 B. Inspection Checklist ........................................................................ 5 V. Regular Maintenance Items ................................................................... 6 A. Mine Collection Boxes .................................................................... 6 B. Flow Distribution Boxes .................................................................. 7 C. VFP and Wetland Channels ............................................................ 7 D. Pest Damage .................................................................................... 7 VI. VFP Flushing ....................................................................................... 7 A. Flush Scheduling ............................................................................ 8 B. Performing a Flushing Event .......................................................... 9 C. Flushing Tips ................................................................................... 10 VII. Diagnosing Potential Problems and Their Solutions ......................... 10 VIII. Long-Term O, M &R Tasks ............................................................... 12 A. Compost Replacement .................................................................... 12 B. Limestone Replacement .................................................................. 12 C. Flush Pond Cleaning ....................................................................... 12 ## Attachments - Inspection and Monitoring Form - Flushing Form - O&M Site Map I. Partners and Responsibilities This project was funded by the Pennsylvania Department of Environmental Protection’s (DEP) Growing Greener Program, the U.S. Office of Surface Mining (OSM), and the Babb Creek Watershed Association (BCWA). The system was designed by Hedin Environmental (HE) of Pittsburgh and Hess & Fisher of Clearfield. BCWA is responsible for all regular inspections and O&M of the treatment system. In the event of a serious problem at the treatment system, DEP and HE should be notified immediately. II. System Overview This is one of the largest passive treatment systems ever constructed. It collects and treats mine water from three deep mine discharges using eight vertical flow ponds (VFPs), four constructed wetlands, and two flush ponds. The purpose of this section is to describe system components and how they are related. Because the flow paths are completely separate, this section discusses the Anna S system and Hunter’s Drift (HD) system separately. Items in Red Bold are shown on the attached O&M Map. A. Anna S System The Anna S system collects two discharges from the Anna S mine complex: Anna S1 and Anna S2. The S1 collection system extends from the deep mine entry into the Anna S1 Mine Collection Box. The purpose of this structure is to screen out debris, limit the total amount of water to the treatment systems, and allow the excess water to discharge to the stream. The outlet from the Mine Collection Box is transferred to the treatment system area. At regular intervals, the pipeline is equipped with cleanouts in the unlikely event of clogging. When the S1 pipeline reaches the treatment system area, the flow enters the Anna S1 Drift Distribution Box. The purpose of this structure is to split the mine water into four equal flows for treatment by the four VFPs. Four pipes lead from the Distribution Box to the VFPs. The Anna S2 discharge is collected in a perforated pipe buried in aggregate and leads to the Anna S2 Mine Collection Box. The purpose of this structure is to screen out debris, limit the total amount of water to the treatment systems, and allow the excess water to discharge to the stream. The outlet from the Mine Collection Box is transferred to the treatment system area. At regular intervals, the pipeline is equipped with cleanouts in the unlikely event of clogging. When the S2 pipeline reaches the treatment system area, the flow is controlled by two valves, labeled A2-1 and A2-3. These valves, when open, allow water to flow to VFP1 and VFP3, respectively. The VFPs for the Anna S flows are VFP1, VFP2, VFP3 and VFP4. VFP1 and VFP3 have two inlets (one from Anna S1 and one from Anna S2). VFP2 and VFP4 only receive water from Anna S1. In each VFP, water flows down through the compost and limestone and into a series of underdrain pipes. The pipes in each VFP connect to a single pipe that discharges from the pond through flow control boxes, called Box 1, Box 2, Box 3 and Box 4, respectively. These boxes carry the treated water into the channel. Panels can be removed from the boxes periodically if head losses are causing the water level in the VFP to rise. The effluents from VFP1 and VFP2 enter the channel together at its beginning. The channel outlets to the beginning of Wetland 4. The final treated water is discharged to the stream channel. Each of the Anna S VFPs is equipped with three flushing valves, numbered using the VFP number followed by A, B, and C. These valves all flush to Flush Pond A. The water from Flush Pond A is retained by Box A. B. Hunter’s Drift System The Hunter’s Drift (HD) system collects the HD deep mine discharge and conveys it to the treatment system area via a 3,000 ft pipeline. The collection system extends from the deep mine entry into the Hunter’s Drift Mine Collection Box. The purpose of this structure is to screen out debris, limit the total amount of water to the treatment systems, and allow the excess water to discharge to the stream. The outlet from the Mine Collection Box is transferred to the treatment system area. At regular intervals, the pipeline is equipped with cleanouts in the unlikely event of clogging. When the pipeline reaches the treatment system area, the flow enters the Hunter’s Drift Distribution Box. The purpose of this structure is to split the mine water into four equal flows for treatment by the four VFPs. Four pipes lead from the Distribution Box to the VFPs. The VFPs for this flow are VFP5, VFP6, VFP7 and VFP8. Pipes inlet into each VFP in the northernmost corner. In each VFP, the water flows down through the compost and limestone and into a series of underdrain pipes. The pipes in each VFP flow into a single pipe that discharges through flow control boxes, called Box 5, Box 6, Box 7 and Box 8, respectively. These boxes carry the treated water in a common pipeline. Panels can be removed from the boxes periodically if head losses are causing the water level in the VFP to rise. Pipe 5-8 outlets to the beginning of Wetland 1, then flows to Wetland 2 and Wetland 3. The final treated water from Wetland 3 is discharged to the stream channel. Each of the HD VFPs is equipped with four flushing valves, numbered using the VFP number followed by A, B, C, and D. These valves all flush to Flush Pond B. The water from Flush Pond B is retained by Box B. III. System Monitoring In conjunction with regular system inspections, monitoring of the flow and chemistry of mine water should also be performed. The following locations should be monitored for flow and/or chemistry. \| Site Name \| Parameters \| Notes \| \|--------------------\|-----------------------------\|--------------------------------------------\| \| Anna 1 Mine Box \| Flow rate of overflow \| Should be zero most of the time \| \| Anna 2 Mine Box \| Flow rate of overflow \| Should be zero most of the time \| \| HD Mine Box \| Flow rate of overflow \| Should be zero most of the time \| \| VFP1 Inlet Anna S1 \| Flow rate and chemistry \| Chemistry for raw Anna S1 \| \| VFP1 Inlet Anna S2 \| Flow rate and chemistry \| Chemistry for raw Anna S2 \| \| VFP2 Inlet \| Flow rate \| \| \| VFP3 Inlet Anna 1 \| Flow rate \| \| \| VFP3 Inlet Anna 2 \| Flow rate \| \| \| VFP4 Inlet \| Flow rate \| \| \| VFP5 Inlet \| Flow rate and chemistry \| Chemistry for raw HD quality \| \| VFP6 Inlet \| Flow rate \| \| \| VFP7 Inlet \| Flow rate \| \| \| VFP8 Inlet \| Flow rate \| \| \| VFP1 and 2 Outlet \| Chemistry \| Taken at beginning of channel \| \| VFP3 Outlet \| Chemistry \| Taken at pipe to channel \| \| VFP4 Outlet \| Chemistry \| Taken at pipe to channel \| \| VFP 5-8 Outlet \| Chemistry \| Taken at inflow to Wetland 1 \| \| Wetland 3 Outlet \| Chemistry \| Taken in outlet channel \| \| Wetland 4 Outlet \| Chemistry \| Taken in outlet channel \| The outlets of each VFP can be measured separately if a performance decline is expected. This can be done in the outlet Flow Control Box (FCB) for each VFP. IV. Regular Inspections Regular inspections are necessary in order to assess the performance of the treatment system and to identify any potential problems as soon as possible. The system should be inspected monthly and after severe rainfall events. The attached Regular Inspection Form should be filled out for each inspection of the site. A. Equipment The following equipment will be required for each inspection: - Keys for all boxes (mine boxes, distribution boxes, and level control boxes) - Wrenches to open mine boxes and distribution boxes - A calculator (for calculating head losses and flow rates) - A stopwatch - A large bucket marked in gallons - A ruler or stick marked in tenths of feet - A clipboard and inspection form - A copy of the O&M Map - These instructions Based on situations encountered during inspections, the following equipment may be required: - Valve keys - Flow control box panel lifters (stored in flow control boxes) - Shovel/garden rake (for clearing debris) Additional equipment and supplies, such as bottles, acid, pH meter, and alkalinity kit are required for field chemistry sampling and sample collection. B. Inspection Checklist The following table shows the items that should be checked during every inspection. Measurements, samples, and particular items to note are listed in the last column. This table is the second page of the regular inspection form, with the “What to Check” column listed as “Notes.” This is where measurements, samples, and observations should be listed. \| ✓ \| Item/Area \| What to Check \| \|----\|----------------------------\|-----------------------------------------------------------------------------------------------------------------------------------------------\| \| \| Anna S1 Mine Collection Box\| Check to ensure that the inlet, overflow outlet, and outlet to the treatment system are clear. Remove any debris or growth from within the box. Measure and record any overflow that is occurring (inspection for page 1). \| \| \| Anna S2 Mine Collection Box\| Check to ensure that the inlet, overflow outlet, and outlet to the treatment system are clear. Remove any debris or growth from within the box. Measure and record any overflow that is occurring (inspection for page 1). \| \| \| Anna S1 Distribution Box \| Check to ensure that the inlet and the outlets to the treatment system are clear. Remove any debris or growth from within the box. \| \| \| VFP1 \| Measure and record the influent flow rates and the depths of water (inspection form page 1). Note if any boards are added or removed in the flow control box. Note any berm subsidence, leaks, or leaking valves. \| \| \| VFP2 \| \| \| \| VFP3 \| \| \| \| VFP4 \| \| \| \| Wetland 4 \| Check inlet and outlet channels for debris. Examine vegetation and berms for pest damage. The exit of this wetland is a sample location. \| \| \| Flush Pond A \| Berms should be checked for subsidence and leakage. \| \| \| HD Mine Collection Box \| Check to ensure that the inlet, overflow outlet, and outlet to the treatment system are clear. Remove any debris or growth from within the box. Measure and record any overflow that is occurring (inspection for page 1). \| \| Item \| Description \| \|---------------\|-----------------------------------------------------------------------------\| \| \| Ensure that the inlet and outlet channels to the treatment system are clear. Remove any debris or growth from within the box. Measure and record any overflow that is occurring (inspection form page 1). \| \| HD Distribution Box \| Check to ensure that the inlet and the outlets to the treatment system are clear. Remove any debris or growth from within the box. \| \| VFP5 \| Measure and record the influent flow rates and the depths of water (inspection form page 1). Note if any boards are added or removed in the flow control box. Note any berm subsidence, leaks, or leaking valves. \| \| VFP6 \| \| \| VFP7 \| \| \| VFP8 \| \| \| Flush Pond B \| Berms should be checked for subsidence and leakage. \| \| Wetland 1 \| Check inlet and outlet channels for debris. Examine vegetation and berms for pest damage. \| \| Wetland 2 \| Check inlet and outlet channels for debris. Examine vegetation and berms for pest damage. \| \| Wetland 3 \| Check inlet and outlet channels for debris. Examine vegetation and berms for pest damage. The exit of this wetland is a sample location. \| \| Site Access Roads \| The general condition of the access roads and road culverts should be noted. \| \| Vegetation \| On-site vegetation (excluding wetland vegetation) should be examined for success. Bare patches and damage should be noted. \| \| Vandalism \| Note any evidence of vandalism, including cut locks, tracks in the wetlands, garbage, etc. \| \| Other \| Anything else unusual about the site should be noted. \| V. Regular Maintenance Items The regular inspections are designed to help identify problems before they develop or as soon as possible. Close attention to the following items will allow problems to be corrected before they damage the treatment system or cause a decrease in treatment performance. Flushing the VFPs will be the most intensive maintenance item and is described in detail in the following section. A. Mine Collection Boxes The mine collection boxes (Anna S1, Anna S2, and HD) each contain a debris screen that may accumulate debris or growth over time. This screen should be checked and cleaned if necessary. The overflow pipe and the outflow pipe to the treatment system should also be checked and cleared of any growth or debris. The boxes should be opened and inspected annually. If debris is found in the boxes, more frequent inspections should be considered. B. Flow Distribution Boxes The flow distribution boxes (Anna S1 and HD) should be periodically opened and checked for debris. While it is unlikely that debris would reach these boxes from the mine collection boxes, algae growth may occur. If so, the pipes leading to the VFPs should be cleared. The distribution boxes should be inspected annually. C. VFP and Wetland Channels Channels leading from the VFP exits, between the wetlands, and the wetland exit channels may become plugged with debris such as sticks, leaves, and other vegetation. Any debris clogging these channels should be removed. Then channels should be walked and inspected at least semi-annually. D. Pest Damage Pests such as muskrats and beavers have been known to cause damage to passive treatment systems by digging through berms, destroying wetland vegetation, blocking pipes and channels, and draining ponds and wetlands. If muskrat or beaver activity is noted, continuous trapping is recommended. Game commission regulations on trapping should be followed unless special permission is gained to trap outside of the regular seasons. This kind of special permission has been gained for passive treatment systems in other areas. Observations for evidence of pest activity should be made during every inspection. VI. VFP Flushing The purpose of the treatment system is to remove acidity and metals, primarily iron and aluminum. These metals can cause clogging and system failure if they accumulate in the compost and/or limestone. Therefore, a system of pipes has been built into the system and will be used to dislodge and remove these particles. The VFPs are equipped with valves that flush only a portion of the cell. The Anna S VFPs (VFPs 1 – 4) each have three flushing zones (and thus, three valves). These valves have been labeled with the number of the VFP and the letters A, B, and C. The HD VFPs (VFPs 5 – 8) each have four flushing zones (and thus, four valves). These valves have been labeled with the number of the VFP and the letters A, B, C, and D. Thus, 28 valves control all flushing activities. Before beginning any flushing event, the flush ponds should be drawn down as much as possible (if they contain any water). This is done by removing boards from Box A and Box B on the Flush Ponds A and B respectively. Boards should be removed one at a time so that water is slowly released to the stream. A. Flush Scheduling Each valve should be flushed 3 – 4 times a year or more frequently if the head losses increase rapidly (See Inspection Form, Table 2). Only one valve per header pipe should be flushed at a time. The following table shows the valves that share a common header pipe. \| Valves with Common Headers \| Flush Pond \| \|----------------------------\|------------\| \| 1A, 1B, 1C, 2A, 2B, 2C \| A \| \| 3A, 3B, 3C \| A \| \| 4A, 4B, 4C \| A \| \| 5A, 5B, 5C, 5D, 6A, 6B, 6C, 6D \| B \| \| 7A, 7B, 7C, 7D \| B \| \| 8A, 8B, 8C, 8D \| B \| One approach to flushing the valves is to set up a rotating monthly schedule of which valves to flush each month. A sample of this type of schedule is shown below. In this schedule, each valve is flushed three times a year. \| \| Jan \| Feb \| Mar \| Apr \| May \| Jun \| Jul \| Aug \| Sep \| Oct \| Nov \| Dec \| \|-------\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\| \| VFP1 \| A \| B \| C \| \| A \| B \| C \| \| A \| B \| C \| \| \| VFP2 \| B \| C \| A \| \| B \| C \| A \| \| B \| C \| A \| \| \| VFP3 \| A \| B \| C \| \| A \| B \| C \| \| A \| B \| C \| \| \| VFP4 \| B \| C \| A \| \| B \| C \| A \| \| B \| C \| A \| \| \| VFP5 \| A \| B \| C \| D \| A \| B \| C \| D \| A \| B \| C \| D \| \| VFP6 \| A \| B \| C \| D \| A \| B \| C \| D \| A \| B \| C \| D \| \| VFP7 \| A \| B \| C \| D \| A \| B \| C \| D \| A \| B \| C \| D \| \| VFP8 \| A \| B \| C \| D \| A \| B \| C \| D \| A \| B \| C \| D \| The advantage of this type of schedule is that fewer valves are flushed at a time, meaning that the flush ponds will not fill as quickly and the flushing event does not take as long as a full system flushing event. Monthly flushing could be performed during monthly inspections. The disadvantage of this type of schedule is that monthly access to the site is required. It also requires flushing valves that share a common header, meaning the flush on Valve 1B must be completed before Valve 2B can be opened. This will make the flushing event somewhat longer. If this type of schedule is followed, it is estimated that the inspection and flushing activities will take 1 full day. However, it will also be necessary to visit the site prior to flushing in order to empty the flush pond. An alternative to this schedule would be to perform flushing on all the valves over a several day period, three times a year. The advantage of this schedule is that flushing events could be timed to avoid the heaviest winter snows (March, July, and November). For this flushing scenario, the valves would be opened and flushed in sequence until the flush ponds are full. The flushing would then end for the day. On the next day, water that has cleared could be released from the flush ponds and more valves could be flushed. This would continue until all the valves had been flushed. One of the possible flushing patterns is: - Flush 1A, 4A, 5A, 7A - Flush 1B, 4B, 5B, 7B - Flush 1C, 4C, 5C, 7C - Flush 2A, 5D, 7D - Flush 2B, 6A, 8A - Flush 2C, 3A, 6B, 8B - Flush 3B, 6C, 8C - Flush 3C, 6D, 8D A sequence such as this one ensures that only one valve per common header is being flushed at a time. In addition, it avoids flushing more than two ponds to the same flush pond at one time. B. Performing a Flushing Event Each flushing event will likely be a unique experience. It is important to record the activities of the flushing event while flushing is taking place. The Flushing Form should be completely filled out for each flushing event. If a single event takes place over several days, the flushing form can continue to be used over the entire event. The following table is part of the Flushing Form. It has been filled out here as an example. This example assumes that the February flushing event is being performed using the monthly flushing schedule. \| Date/Time \| Action \| \|-----------------\|------------------------------------------------------------------------\| \| 2/5/05, 10:00 AM\| Started to drain down Flush A and Flush B. Added boards to all VFP flow control boxes. \| \| 2/5/05, 3:00 PM \| Removed more boards from Box A and Box B. Checked water levels in VFPs. \| \| 2/6/05, 7:45 AM \| Arrived on site. Replaced all boards in Box A and Box B. \| \| 8:10 AM \| Opened Valve 1B. Water very black and smelly at first. \| \| 8:20 AM \| Opened Valve 3B. Water orange/white with chunks. \| \| 8:30 AM \| Opened Valve 4B. Strong odor to water but no color. \| \| 8:40 AM \| Water has begun to clear. Will close valves as they clear. \| \| 8:45 AM \| Closed Valve 1B. Opened Valve 2B. Water dark with some odor. \| \| 8:55 AM \| Closed Valve 3B. \| \| 9:00 AM \| Closed Valve 4B. \| \| 9:10 AM \| Closed Valve 2B. Water running clear. \| \| 9:15 AM \| Opened Valve 5B. Brownish water has no odor. \| \| Time \| Action \| \|------------\|------------------------------------------------------------------------\| \| 9:25 AM \| Opened Valve 7B. Water is grey with slight odor. \| \| 9:35 AM \| Opened Valve 8B. Orange/brown water. No odor. \| \| 9:45 AM \| Closed Valve 5B. Opened Valve 6B. Water clear with slight odor. \| \| 9:55 AM \| Closed Valve 7B. \| \| 10:05 AM \| Closed Valve 8B. \| \| 10:10 AM \| Closed Valve 6B. Water still running slightly cloudy. \| \| 10:30 AM \| Returned all VFP flow control boxes to normal operating levels. \| \| 2/8/05, 9:00 AM \| Checked water levels in all VFPs. Added one board to Box1 (VFP1) and Box 6 (VPF6). Pond A and Pond B clearing, removed one board from each box. \| C. Flushing Tips - Fill out the Inspection and Monitoring Form before each flushing event. - Each valve should be flushed for a period of 20 – 60 minutes. - Observe and record the color and odor of the flush water. - The water level in the VFP should never fall below the top of the compost. - The flush pond should be drawn down as much as possible before beginning any flushing event. - Be sure to replace the boards in the flush pond box prior to flushing. - Only clear water should be released from the flush pond. If cloudy or colored water is leaving the flush pond, stop flushing and allow the water in the pond to settle. - The flow control boxes on the VFPs can be used to back the water up before flushing. This will result in a more powerful flushing action. VII. Diagnosing Potential Problems and Their Solutions While the systems have been designed to operate as smoothly and maintenance-free as possible, some problems may develop. The following table has been compiled in order to assist the BCWA in recognizing, diagnosing, and remedying potential problems. \| Symptom \| Possible Cause \| Possible Solution \| \|------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| One or more VFPs is not receiving water \| If all VFPs are affected, the mine collection box is not receiving water (all VFPs), the mine collection box outlet is plugged (all VFPs), or the pipeline is plugged between the mine box and the distribution box. If one or more are affected, the distribution box outlets are plugged or the pipeline is plugged after the distribution box. \| Beginning at the mine water collection box, check the flow path to determine the location of the problem. Remove any debris encountered. If the pipe is plugged, remove debris via the pipe cleanouts (equipment necessary). \| \| The Anna S VFPs are not receiving equal amounts of flow or one VFP is not receiving any flow \| The distribution box needs adjusted, distribution box outlets are partially plugged, pipelines are partially plugged. \| \| \| The HD VFPs are not receiving equal amounts of flow or one VFP is not receiving any flow \| The distribution box needs adjusted, distribution box outlets are partially plugged, pipelines are partially plugged. \| \| \| The water is too high in a VFP and/or water is leaving the spillway of the VFP. \| Not enough hydraulic head available. \| Attempt to flush the VFP. If this does not improve the condition, remove one or boards from the VFP flow control box and monitor the water level over several weeks. If this does not improve the condition, contact DEP and Hedin Environmental. \| \| All the boards have been removed from the VFP flow control box but the water level in the VFP is still too high \| Compost, limestone or plumbing is clogged. \| Attempt to flush the VFP. If this does not improve the condition, contact DEP and Hedin Environmental \| VIII. Long-Term O, M & R Tasks All short-term and regular operation and maintenance tasks have been discussed above. However, there are also long-term issues that will arise eventually. A. Compost Replacement Based on the performance of other systems, it is reasonable to expect at least 5 years of performance from the compost. The compost was amended with both wood chips and limestone in an effort to extend its life by adding buffering capability and secondary porosity. Indications that the compost may be failing include the retention of iron within the compost, bright orange flush water from the limestone, and decreased porosity (increased water levels) in the system. Before the compost is replaced, it should be stirred up with an excavator. In some VFPs, a hard iron crust forms on the surface of the compost, interfering with flow into the underlying compost and limestone. In these cases, breaking up the crusty condition usually returns the system’s permeability. B. Limestone Replacement Based on current performance of the systems and assuming that all alkalinity is being produced by limestone dissolution, approximately 600 tons of limestone will be dissolved each year. This is less than 2% of the 38,300 tons of limestone that are in the vertical flow ponds (which includes 3,300 tons of limestone chips in the compost mixture). The amount of limestone in the systems should be sufficient to provide over 20 years of treatment before the excess amount of alkalinity produced begins to decrease. Based on the performance and life cycles of many other VFPs, compost fouling and/or porosity issues will likely be the limiting factor in the overall lifespan of the systems, with limestone dissolution being a minor concern. If replacement of limestone appears necessary, an investigation of the condition of the limestone in the failed VFP should be conducted. The flow can be turned off at the distribution box and the system can be drainage at the water level control box. Excavation may reveal that only one-half of the limestone aggregate is fouled. If this is the case, a repair plan that includes partial replacement of limestone may be feasible. C. Flush Pond Cleaning The purpose of the flush ponds is to collect solids removed from the VFPs during flushing. The more effective the flushing is at removing solids from the VFPs, the faster the flush ponds will fill. As the ponds fill with solids, they will not be able to retain as much water during flushing. The solids will have to be removed and buried on site, possibly in the Hunter’s Drift borrow area between VFP8 and Wetland 1. It is estimated that this will be required every 10 – 15 years. When the performance of the flush ponds begins to decline, the ponds should be drained of all free water on top of the solids and allowed to dry as much as possible. Drying the solids will allow them to be removed using a backhoe or excavator. The solids should be placed in a pit and covered with at least 1 foot of soil. Permissions from the DEP, county conservation district, and property owner will likely be required. Date: _______________ Inspector(s): ______________________ Reason for Inspection: □ Regular Inspection □ Flooding Event □ Other Fill out the following table, except where shaded. Flow rate is in gallons per minute. Sample information should include field information and sample bottle numbers. Include any additional information in the “Notes” Section. Table 1 \| Site Name \| Flow Rate (gpm) \| Sample Information \| NOTES \| \|--------------------\|-----------------\|--------------------\|-------\| \| Anna 1 Mine Box \| \| \| \| \| Anna 2 Mine Box \| \| \| \| \| HD Mine Box \| \| \| \| \| VFP1 Inlet Anna S1\| \| \| \| \| VFP1 Inlet Anna S2\| \| \| \| \| VFP2 Inlet \| \| \| \| \| VFP3 Inlet Anna 1 \| \| \| \| \| VFP3 Inlet Anna 2 \| \| \| \| \| VFP4 Inlet \| \| \| \| \| VFP5 Inlet \| \| \| \| \| VFP6 Inlet \| \| \| \| \| VFP7 Inlet \| \| \| \| \| VFP8 Inlet \| \| \| \| \| VFP1 and 2 Outlet \| \| \| \| \| VFP3 Outlet \| \| \| \| \| VFP4 Outlet \| \| \| \| \| VFP 5-8 Outlet \| \| \| \| \| Wetland 3 Outlet \| \| \| \| \| Wetland 4 Outlet \| \| \| \| Table 2 (Measure all distances in feet) \| \| A \| B \| C = A - B \| D \| E \| F = D - E \| G = F - C \| \|---\|-------\|-------\|-----------\|-------\|-------\|-----------\|-----------\| \| VFP \| Box Elev. \| Dist. To Water in Box \| Exit Elev. \| Stake Top Elev. \| Dist. To Water in VFP \| Water Elev. \| Head Loss \| \| 1 \| 1676.98 \| \| \| 1674.98 \| \| \| \| \| 2 \| 1679.32 \| \| \| 1677.32 \| \| \| \| \| 3 \| 1677.01 \| \| \| 1675.01 \| \| \| \| \| 4 \| 1676.69 \| \| \| 1674.69 \| \| \| \| \| 5 \| 1639.61 \| \| \| 1637.61 \| \| \| \| \| 6 \| 1637.60 \| \| \| 1635.60 \| \| \| \| \| 7 \| 1637.98 \| \| \| 1635.98 \| \| \| \| \| 8 \| 1635.86 \| \| \| 1633.86 \| \| \| \| \| Item/Area \| What to Check \| \|---------------------------\|---------------\| \| Anna S1 Mine Collection Box \| \| \| Anna S2 Mine Collection Box \| \| \| Anna S1 Distribution Box \| \| \| VFP1 \| \| \| VFP2 \| \| \| VFP3 \| \| \| VFP4 \| \| \| Wetland 4 \| \| \| Flush Pond A \| \| \| HD Mine Collection Box \| \| \| HD Distribution Box \| \| \| VFP5 \| \| \| VFP6 \| \| \| VFP7 \| \| \| VFP8 \| \| \| Flush Pond B \| \| \| Wetland 1 \| \| \| Wetland 2 \| \| \| Wetland 3 \| \| \| Site Access Roads \| \| \| Vegetation \| \| \| Vandalism \| \| \| Other \| \|	<urn:uuid:e8061ba3-3ce6-40ec-948a-5169c6eb2008>	CC-MAIN-2018-30	http://wpcamr.org/facts/groups/omr-plan/Anna%20S%20OMR%20Plan.pdf	2018-07-22T00:47:40Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-30/segments/1531676592875.98/warc/CC-MAIN-20180722002753-20180722022753-00009.warc.gz	413,386,531	7,678	eng_Latn	eng_Latn	0.922805	eng_Latn	0.99645	[ "pol_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "unknown" ]	false	docling	[ 2526, 5269, 7990, 10982, 14430, 17366, 19763, 22502, 25137, 27175, 31056, 33741, 34165, 36964, 38121 ]
OPERATING MANUAL JX Series OPERATING MANUAL WARNING Carefully read and understand all the instructions before connecting your new JX. Failure to follow these guidelines may result in serious injury to persons and property for which Trailer Valet will not be held liable. Do not allow persons to operate or assemble this unit until they have read this manual and have developed a thorough understanding of how the unit works. thank you for your purchase! Congratulations on your purchase of the Trailer Valet JX. For your future reference please complete the owner's record below: WARNING AND TABLE OF CONTENTS.........................................................................................................................2 IMPORTANT SAFETY INFORMATION..............................................................................................................................3 SPECIFICATIONS..................................................................................................................................................4 ASSEMBLY...................................................................................................................................................................5 OPERATING INSTRUCTIONS.................................................................................................................................................6 TABLE OF CONTENTS Purchase Date: ______________________ Order No.:______________________ Retailer:_____________________________ Be sure to save your receipt and owner's manual with warranty information in a safe place. LIMITED MANUFACTURER'S WARRANTY....................................................................................................................7 IMPORTANT SAFETY INFORMATION Failure to heed these markings may result in personal injury and/or property damage: 1. DO NOT leave your trailer free standing without the use of wheel chocks. 2. DO NOT submerge the jack in water (salt or fresh) or leave it in water for prolonged periods, since this can damage the gears and erode lubricants. 3. Carefully read all instructions. The operator of the jack must exercise common sense, caution, and full judgment when assessing situations not covered or cautioned in this manual. 4. The Trailer Valet JX is designed for specific applications only. Trailer Valet will not be responsible for issues arising from modifications made onto the device. Do not modify the device or use the device for any application other than its intended purpose. Do not exceed the designated weight limits. 5. As with all devices with moving parts, do not wear excessively loose clothing as it may become caught, resulting in injury. Tie back and secure long hair. 6. This product must be installed and used in strict accordance with these instructions. 7. Always read and understand your drill/driver operator's manual and instructions. 8. Before each use of the Trailer Valet JX, check for damaged parts. Carefully inspect the device for any part that appears to be damaged to determine if the device will operate properly. Check for alignment and secure mounting of all moving parts. If the device is neither aligned, secured, or both: DO NOT use the device. 9. When servicing, use only factory replacement parts. 10. Have wheel chocks in place before/after use and ready in case of emergency. 11. Never exceed the maximum rated capacity. Refer to the specifications section of this operating manual or decals on the product to obtain rated capacity. If uncertain, contact Customer Support at (844) 846-9344 or email: support@ trailervalet.com. 12. The Trailer Valet JX is designed for vertical loading. Excessive side forces may cause failure and must be avoided. 13. The use of gloves is recommended while attaching the device to the trailer. Phone: (844) 846-9344 Email: [email protected] Website: www.trailervalet.com SAVE THESE INSTRUCTIONS 3 Specifications The Trailer Valet JX Series is a line of manual hand-crank trailer jacks that have the versatility to be powered using any standard 18-24V drill and a Trailer Valet Drill Attachment. Designed for consumers to make hitching and adjusting quick and easy in comparison to standard hand-crank jacks, the line comes in two weight capacities with either side or center mount options. Each product comes standard with a hand crank, drill attachment, and static footplate. Accessories such as the JX Wheel option are sold separately. \| PART # \| CAPACITY \| GEAR RATIO \| \|---\|---\|---\| \| TVJX2-C \| 2,000lbs lift, 2,000lbs static \| 1:1 \| \| TVJX5-C \| 3,000lbs lift, 5,000lbs static \| 3:4 \| \| TVJX2-S \| 2,000lbs lift, 2,000lbs static \| 3:4 \| \| TVJX5-S \| 3,000lbs lift, 5,000lbs static \| 3:4 \| Upon removing items from packaging, it is very important to thoroughly inspect all parts of the system before using the device. Any part that is missing or damaged must be immediately replaced. Contact Trailer Valet Customer Service at 1-844-846-9344 or [email protected] Foot Plate Hand Crank Drill Adapter ATTACHMENTS Items Sold Separately: - Drop Leg Attachment - Standard Cordless Drill/Driver - Center Jack Bolts TVJXMW Wheel Attachment Assembly Prior to install, raise the trailer tongue until you have adequate space to attach the jack. The unit must be attached while the weight of the trailer is supported by an existing support or tow vehicle. Having wheel chocks in place during connection will insure a safe install. SIDE JACK INSTALLATION Place the mounting bracket onto an 8 inch clearing on your frame where the jack can freely rotate from its vertical position to its horizontal stow position. Secure with the four included bolts at desired height. WARNING The Mount Bracket is only to be installed on trailer frames that are rectangular in profile. Cylindrical frames are not compatible with the Mount Bracket. JX5K-S NOTE: While it is recommended that the bracket is installed with the attachment point in the low position for stability, the bracket can be flipped prior to install if needed. If installing the 5k model, you will now need to place the connection point of the Jack tube into the Mount bracket. CENTER JACK INSTALLATION With the footplate detached, drop the jack into the hole located in the trailer's coupler. Note that the support plate on the jack has one point that is flattened. This corner should face forward, toward the front of the coupler. You can now fit the jack to the coupler. Bolt sizes are specific to your coupler and are not included with your JX purchase. Alternatively, the center jack can also be welded for a more permanent attachment to the trailer. 5 operating instructions ATTACHING DRIVER Attach the Drive Handle to the Driveshaft located at the top of the unit. Turning the handle clockwise will extend the jack. Turning the handle counter-clockwise will retract the Jack. Option 1: Manual Operation Option 2: Drill Adapter The Drill Adapter can be used with any standard 18 to 24 volt, ½ inch chuck, consumer drill. Corded drills and impact drills are not recommended. Slot the Drill Adapter in your Drill chuck and secure tightly to avoid the adapter slipping. Align and insert the Drill Adapter to the driveshaft. NOTE: If you are using a power drill, be sure your battery pack is fully charged before use. Follow your drill/driver manufacturer's recommendation. When using an electric drill, it will have high initial torque if the drill trigger is pulled rather than squeezed. For proper use, hold the drill firmly and begin to squeeze the trigger slowly, increasing the power up to an appropriate speed. STORING THE DEVICE After use, lower your jack until your trailer frame sits level and remove the drill/drive handle. If storing, ensure that the trailer frame is jacked to level height. Alternatively, the jack's stow position will allow it to remain attached to the trailer while being towed. To stow the unit, secure the trailer to a tow vehicle then crank the jack handle until the inner jack tube is fully withdrawn and choose between the following two options: Stowing the JX5-S Stowing the JX2-S Remove the cotter and clevis/stow pin and rotate the unit 90 degrees. Restore the clevis and stow pins while the unit remains attached to the mounting bracket. Pull the set pin by the ring away from your trailer frame and rotate the unit 90 degrees. Release the pin and the Jack will lock into place. WARNING Failure to lock in the pins and bolt prior to trailering with the unit in the stowed position may result in the unit becoming dislodged during movement. Visit our website to see a video on how to stow your Trailer Valet Jack. LIMITED MANUFACTURER’S WARRANTY SuperTech S Corp warrants for one year from the purchase date that the product will be in working condition and will be free from manufacturing defects, provided that installation and use of the product is in accordance with product instructions. This warranty is only made to the original consumer purchaser and is non-transferable. ALL OTHER WARRANTIES IMPLIED OR EXPRESSED ARE HEREBY DISCLAIMED. THIS WARRANTY DOES NOT COVER: 2. Consumable parts designed to diminish over time, unless failure occurred due to a manufacturing defect; 1. Normal wear and tear or normal aging of the product; 3. Cosmetic damage, including but not limited to scratches and dents; 5. Damage through misapplication, overloading, or improper installation; 4. Damage through accident, abuse, neglect, misuse, natural events, or other external causes; 6. Damage due to improper maintenance and repair; and/or 7. Product alterations. LIMITATION OF LIABILITY: EXCEPT AS PROVIDED IN THIS WARRANTY AND TO THE MAXIMUM EXTENT PERMITTED BY LAW, SUPERTECH IS NOT RESPONSIBLE FOR ANY DIRECT, INCIDENTAL, CONSEQUENTIAL DAMAGES, OR INJURIES RESULTING FROM ANY BREACH OF WARRANTY OR CONDITION; INCLUDING, BUT NOT LIMITED TO, LOSS OF USE, LOSS OF REVENUE, LOSS OF ACTUAL OR ANTICIPATED PROFITS, LOSS OF BUSINESS, LOSS OF OPPORTUNITY, LOSS OF GOOD WILL, LOSS OF REPUTATION, OR ANY DIRECT, INDIRECT, OR CONSEQUENTIAL LOSS OR DAMAGE WHATSOEVER CAUSED, INCLUDING THE REPLACEMENT OF EQUIPMENT AND PROPERTY. CUSTOMER RESPONSIBILITIES: Customers may be required to provide proof of purchase date, respond to questions designed to assist with diagnosing potential issues, and follow Trailer Valet's directions to make a claim on your warranty. TO MAKE A WARRANTY CLAIM: WEBSITE: www.trailervalet.com Contact us either through: PHONE: (844) 846-9344 EMAIL: [email protected] TRAILER VALET SHALL HAVE THE EXCLUSIVE RIGHT TO DETERMINE IF A UNIT IS COVERED UNDER ITS LIMITED MANUFACTURER'S WARRANTY. SEVERABILITY: The invalidity, illegality, or unenforceability of any provision of this warranty shall not render the other provisions invalid, illegal, or unenforceable. GOVERNING LAW AND JURISDICTION This warranty shall be governed by the laws of the State of California. The courts of California shall have the exclusive right to adjudicate any disputes arising under or in connection to this warranty. 7 Copyright 2022 by Supertech S. Corporation. All rights reserved. No portion of this manual or any artwork contained herein may be reproduced in any shape or form without the express written consent of Supertech S. Corporation. For further information or if you have any questions, please contact: SUPERTECH S. CORP. Customer Service: (844) 846-9344 Email: [email protected] WWW.TRAILERVALET.COM	<urn:uuid:ef20a8b5-47d6-4515-aa2b-b5b213d64e5e>	CC-MAIN-2024-38	https://forestriverinc.com/files/component-manuals/Leveling%20-%20Stabilizing/Trailer%20Valet%20-%20Tongue%20Jack%20Model%20JX%20Series%20Operating%20Manual.pdf	2024-09-09T15:14:59+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-38/subset=warc/part-00025-781f89b0-54ef-4e32-b51d-e5860e733e3a.c000.gz.parquet	250,581,835	2,367	eng_Latn	eng_Latn	0.97898	eng_Latn	0.994172	[ "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 26, 3963, 6694, 11127, 11533 ]
Maiden High School Winter Track 2018-2019 Schedule \| Date \| Day \| Location \| \|---\|---\|---\| \| Dec.19, 2018 \| Wednesday \| Bunker Hill \| \| Jan. 9, 2019 \| Thursday \| Hickory HS \| \| Jan. 19, 2019 \| Saturday \| Maiden HS \| \| Jan. 31, 2019 \| Thursday \| Lenoir-Rhyne \| \| Feb. 8, 2019 \| Friday \| Winston Salem \| Due to the higher chance of inclement weather in the winter season, this schedule is subject to change.	<urn:uuid:8c0a2a25-146a-4700-baac-91f122fdcf81>	CC-MAIN-2019-39	https://www.catawbaschools.net/cms/lib/NC01911140/Centricity/Domain/4348/Winter%20Track.pdf	2019-09-16T01:02:38Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-39/segments/1568514572439.21/warc/CC-MAIN-20190915235555-20190916021555-00535.warc.gz	792,562,650	139	eng_Latn	eng_Latn	0.988279	eng_Latn	0.988279	[ "eng_Latn" ]	false	rolmOCR	[ 407 ]
UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK x In re: Chapter 11 MOTORS LIQUIDATION COMPANY, f/k/a GENERAL MOTORS CORPORATION, et al., Case No. 09-50026 (MG) (Jointly Administered) Debtors. x ORDER (I) APPROVING AMENDMENTS TO THE THIRD AMENDED AND RESTATED AVOIDANCE ACTION TRUST AGREEMENT AND AUTHORIZING ENTRY INTO THE FOURTH AMENDED AND RESTATED AVOIDANCE ACTION TRUST AGREEMENT AND (II) AUTHORIZING THE AVOIDANCE ACTION TRUST TO ENTER INTO THE LW CAPITAL PROVISION AGREEMENT AND TO GRANT A LIEN TO THE LW CAPITAL PROVIDER Upon the motion (the "Motion") 1 of Motors Liquidation Company Avoidance Action Trust for entry of an order, pursuant to sections 105 and 1142 of title 11 of the United States Code: (1) approving the amendment and restatement of the Third Amended Avoidance Action Trust Agreement and (2) authorizing the Avoidance Action Trust to enter into the LW Transaction Documents and to grant a lien to the LW Capital Provider; and upon the Declaration of Arthur J. Gonzalez in support of the Motion; and it appearing that the Court has jurisdiction to consider the Motion and relief requested therein pursuant to 28 U.S.C. §§ 157 and 1334 and the Amended Standing Order of Reference M-431, dated January 31, 2012 (Preska, C.J.), consideration of the Motion and the relief requested therein being a core proceeding pursuant to 28 U.S.C. § 157(b) and venue being proper before this Court pursuant to 28 U.S.C. § 1409; and no objections having 1 Capitalized terms not otherwise defined herein shall have the meaning ascribed to them in the Motion. Capitalized terms not otherwise defined herein or in the Motion shall have the meaning ascribed to them in the applicable LW Transaction Document. 09-50026-mg Doc 14437 Filed 02/25/19 Entered 02/25/19 13:19:51 Main Document Pg 2 of 4 been filed; and it appearing that the relief requested in the Motion is in the best interest of the above-captioned post-effective date debtors' creditors and estates; and it appearing that due and appropriate notice of the Motion has been given under the circumstances in these Chapter 11 cases; and it appearing that no other or further notice need be provided; and upon the record in these Chapter 11 cases; and after due deliberation thereon; and good and sufficient cause appearing therefor; it is hereby ORDERED, that the Motion is granted as provided herein and the Avoidance Action Trust Administrator and Trust Monitor are authorized to enter into the Fourth Amended Avoidance Action Trust Agreement, in substantially the form attached as Exhibit C to the Motion; and it is further ORDERED, that the Avoidance Action Trust is authorized to enter into the LW Transaction Documents, and grant a priority lien to the LW Capital Provider (junior in priority to the liens of the DIP Lenders and the CE Capital Providers under the Fourth Amended Avoidance Action Trust Agreement) in the Collateral as set forth in the LW Transaction Documents; and it is further ORDERED, this Order shall be sufficient and conclusive evidence of the validity, enforceability, perfection, and priority of the liens granted to the LW Capital Provider without the necessity of filing or recording any financing statement or other instrument or document which may otherwise be required under the law of any jurisdiction, or taking any other action to validate or perfect the liens or to entitle the liens to the priorities granted herein; and it is further ORDERED, that the Avoidance Action Trust and the Avoidance Action Trust Administrator are authorized to take all necessary actions to carry out this Order and execute and perform all of the obligations of the Avoidance Action Trust under the LW Transaction 2 Documents, including the (i) satisfaction of all conditions precedent to the transactions contemplated thereby and (ii) payment to the LW Capital Provider of any fees or expense reimbursements due under the LW Transaction Documents, but solely to the extent permitted under the LW Subordination Agreement; and it is further ORDERED, the Avoidance Action Trust shall at all times maintain the security interest of the LW Capital Provider as set forth in the LW Capital Provision Agreement and the LW Security Agreement as a valid, perfected lien, junior in priority to the liens of the DIP Lenders and the CE Capital Providers in the Collateral and senior in priority to any lien or security interest of any other party, and it is further; ORDERED, the Avoidance Action Trust and the Avoidance Action Trust Administrator irrevocably waive any right to seek any amendment, modification, or extension of this Order without the prior written consent of the LW Capital Provider, the DIP Lenders, and the CE Capital Providers and no such consent shall be implied by any other action, inaction, or acquiescence of the LW Capital Provider, the DIP Lenders, or the CE Capital Providers; and it is further; ORDERED, the LW Capital Provider shall not be authorized, nor shall they be deemed, to control or direct in any manner whatsoever the method, manner and/or timing of the Avoidance Action Trust's actions in prosecuting, pursuing, negotiating and/or settling the Term Loan Avoidance Action or any contested matter, civil action, adversary proceeding or other matter of litigation to which the Avoidance Action Trust is a party; and it is further ORDERED, that in the event of any conflicting terms between the Fourth Amended Avoidance Action Trust Agreement and the LW Transaction Documents, the Fourth Amended Avoidance Action Trust Agreement shall govern and control; and it is further ORDERED, that the Avoidance Action Trust shall not distribute Proceeds in 3 09-50026-mg Doc 14437 Filed 02/25/19 Entered 02/25/19 13:19:51 Main Document Pg 4 of 4 contravention of the Fourth Amended Avoidance Action Trust Agreement; and it is further ORDERED, that this Order shall be effective immediately upon entry; and it is further ORDERED, that the Court shall retain jurisdiction to hear and determine any and all matters concerning this Order. IT IS SO ORDERED. Dated: February 25, 2019 New York, New York 4 _____/s/Martin Glenn_______ MARTIN GLENN United States Bankruptcy Judge	<urn:uuid:ae5fb200-86fd-4e66-9a67-afd76af7582b>	CC-MAIN-2019-22	http://docs.motorsliquidationdocket.com/pdflib/14437_50026.pdf	2019-05-20T19:46:27Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-22/segments/1558232256100.64/warc/CC-MAIN-20190520182057-20190520204057-00088.warc.gz	60,885,211	1,372	eng_Latn	eng_Latn	0.892765	eng_Latn	0.944416	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1734, 3739, 5705, 6239 ]
CS PROFESSIONAL (OLD SYLLABUS) Chapter wise Test Series (8Unit + 2FT) The given CS Test Series Schedule is flexible for DEC 24 Exams and Incase you don't want to follow Scheduled Test Series you can attempt Test Series anytime before 15 th DECEMBER 2024 UNIT TEST-1 \| Subject \| \| \|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 05/10/24 \| \| ADVANCED TAX LAWS \| 05/10/24 \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 06/10/24 \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUEDILIGENCE \| 06/10/24 \| \| CORPORATE RESTRUCTURING,INSOLVENCY, LIQUIDATION &WINDING-UP \| 07/10/24 \| \| RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES \| 07/10/24 \| \| Subject \| \| \|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 08/10/24 \| \| ADVANCED TAX LAWS \| 09/10/24 \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 09/10/24 \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUEDILIGENCE \| 10/10/24 \| \| CORPORATE RESTRUCTURING,INSOLVENCY, LIQUIDATION &WINDING-UP \| 10/10/24 \| \| RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES \| 11/10/24 \| \| Subject \| \| \|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 12/10/24 \| \| ADVANCED TAX LAWS \| 13/10/24 \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 14/10/24 \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE \| 14/10/24 \| \| CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP \| 15/10/24 \| \| RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES \| 15/10/24 \| \| Subject \| \| \|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 16/10/24 \| \| ADVANCED TAX LAWS \| 17/10/24 \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 17/10/24 \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE \| 18/10/24 \| \| CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP \| 18/10/24 \| \| RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES \| 19/10/24 \| \| Subject \| \| \|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 20/10/24 \| \| ADVANCED TAX LAWS \| 20/10/24 \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 21/10/24 \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE \| 21/10/24 \| \| CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP \| 22/10/24 \| \| RESOLUTION OF CORPORATE DISPUTES, NON-COMPLIANCES & REMEDIES \| 22/10/24 \| \| Subject \| \| \|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 23/10/24 \| \| ADVANCED TAX LAWS \| 24/10/24 \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 24/10/24 \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE \| 25/10/24 \| \| CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP \| 25/10/24 \| \| RESOLUTION OF CORPORATE DISPUTES, NON-COMPLIANCES & REMEDIES \| 26/10/24 \| \| Subject \| \| Syllabus \| \|---\|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 27/10/24 \| • Ethics and Business • Sustainability and CSR \| \| ADVANCED TAX LAWS \| 27/10/24 \| • Taxation of Companies, LLP and Non-resident. • Rules General Anti Avoidance ‘GAAR’. • Basics of International Taxation \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 28/10/24 \| • Pleadings. • Art of writing opinions. \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE \| 28/10/24 \| • Secretarial Audit – Fraud detection & Reporting • Quality Review \| \| CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP \| 29/10/24 \| • Fresh Start Process • Debt Recovery & SARFAESI • Cross Border Insolvency • Liquidation on or after Failing of Resolution Plan \| \| RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES \| 29/10/24 \| • Crisis Management & Risk and Liability Mitigation. \| \| CORPORATE FUNDING & LISTINGS IN STOCK EXCHANGES \| 30/10/24 \| • International Listing \| \| Subject \| \| \|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 30/10/24 \| \| ADVANCED TAX LAWS \| 31/10/24 \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 31/10/24 \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE \| 01/11/24 \| \| CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP \| 01/11/24 \| \| RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES \| 02/11/24 \| FINAL TEST-1 \| Subject \| \| \|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 05/11/24 \| \| ADVANCED TAX LAWS \| 08/11/24 \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 11/11/24 \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE \| 14/11/24 \| \| CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP \| 17/11/24 \| \| RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES \| 20/11/24 \| FINAL TEST-2 \| Subject \| \| Syllabus \| \|---\|---\|---\| \| GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS \| 27/11/24 \| • FULL SYLLABUS \| \| ADVANCED TAX LAWS \| 30/11/24 \| • FULL SYLLABUS \| \| DRAFTING, PLEADINGS AND APPEARANCES \| 03/12/24 \| • FULL SYLLABUS \| \| SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE \| 06/12/24 \| • FULL SYLLABUS \| \| CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP \| 09/12/24 \| • FULL SYLLABUS \| \| RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES \| 12/12/24 \| • FULL SYLLABUS \| \| CORPORATE FUNDING & LISTINGS IN STOCK EXCHANGES \| 15/12/24 \| • FULL SYLLABUS \|	<urn:uuid:b21b3d59-d121-4f99-82ec-1700d7f05698>	CC-MAIN-2024-51	https://www.cstestseries.com/backend/schedule_media/1727260981.pdf	2024-12-09T01:47:42+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-51/subset=warc/part-00223-b392068a-8e35-4497-8fab-a691b1a71843.c000.gz.parquet	650,804,265	1,877	eng_Latn	eng_Latn	0.762965	eng_Latn	0.619609	[ "eng_Latn", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown" ]	false	rolmOCR	[ 670, 1072, 1477, 1882, 2286, 2690, 3667, 4072, 4491, 5114 ]
STATE OF SOUTH CAROLINA FORCE MAJEURE LAW COMPENDIUM (during COVID-19 pandemic) Prepared by Sweeny, Wingate & Barrow, P.A. 1515 Lady Street Columbia, SC 29201 (803) 256-2233 www.swblaw.com A. Introduction This memorandum will seek to provide a South Carolina exemplar for the USLAW NETWORK Compendium of Law on relevant considerations with respect to invoking "force majeure" clauses in contracts in light of the ongoing COVID-19 crisis. B. Force Majeure in South Carolina 1. Introduction The COVID-19 crisis is historically unique, and cases related to it are likely to present matters of first impression before appellate Courts in South Carolina. However, some of the established law on force majeure may be relied upon and is analyzed within this memorandum. 2. General Applicability of Force Majeure South Carolina's insurance statute defines "force majeure" as "any act of God, governmental act, act of terrorism, war, fire, flood, earthquake, hurricane, or other natural disaster, explosion or civil commotion." S.C. Code Ann. § 38-59-210. Despite this definition, South Carolinians are "generally free to contract for terms upon which they agree." Huckaby v. Confederate Motor Speedway, Inc., 276 S.C. 629, 630, 281 S.E.2d 223, 224 (1981). 3. Scope of Relief The scope of relief typically depends on the contours of the force majeure clause itself. Typically, however, the scope of relief might include delayed or excused performance of a contract, but the scope of relief is ill-defined from a case law perspective. 4. Other Considerations There is extremely limited South Carolina case law guiding application of force majeure clauses. In Coker Intern., Inc. v. Burlington Indus., Inc., a South Carolina District Court judge applying South Carolina law used classical methods of contract interpretation and applied the facts of the case to the clause to determine if the force majeure clause in the contract excused nonperformance. It is notable that the force majeure clause included more reasons for excuse of performance than South Carolina's insurance statute anticipates. This Compendium outline contains a brief overview of certain laws concerning various litigation and legal topics. The compendium provides a simple synopsis of current law and is not intended to explore lengthy analysis of legal issues. This compendium is provided for general information and educational purposes only. It does not solicit, establish, or continue an attorney-client relationship with any attorney or law firm identified as an author, editor or contributor. The contents should not be construed as legal advice or opinion. While every effort has been made to be accurate, the contents should not be relied upon in any specific factual situation. These materials are not intended to provide legal advice or to cover all laws or regulations that may be applicable to a specific factual situation. If you have matters or questions to be resolved for which legal advice may be indicated, you are encouraged to contact a lawyer authorized to practice law in the state for which you are investigating and/or seeking legal advice.	<urn:uuid:0718f978-016c-4596-ab51-5ccacf60c12b>	CC-MAIN-2021-43	https://www.uslaw.org/files/Compendiums2020/COVID19_ForceMajeure_2020/South_Carolina_USLAW_Compendium_COVID19_Force_Majeure_2020.pdf	2021-10-18T14:57:00+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-43/subset=warc/part-00236-16202947-a809-4711-8221-79ab0a79d5b1.c000.gz.parquet	1,237,336,230	676	eng_Latn	eng_Latn	0.514376	eng_Latn	0.995383	[ "slk_Latn", "eng_Latn" ]	false	rolmOCR	[ 191, 3150 ]
The Air League Gliding Scholarship 2019 Application Criteria In order to qualify for a Gliding Scholarship, you must: * Be a permanent UK resident* * Be at least 16 years of age and no more than 26 years old on the 1st April 2019. * Meet certain weight and height criteria in order to meet the minimum safety requirements. Therefore, you must not: * weigh more than 103kg (228lbs) or less than 44kg (7 stone or 98 pounds) * be over 6' 4'' (193cm) in height. The minimum height is approximately five feet (152 cm). * Be a member of The Air League (or be applying to be a member at the time of application for the scholarship). To join, visit https://www.airleague.co.uk/membership/ * Please note: Some Air Cadets or those belonging to other youth organisations who belong to a squadron/section/group who have paid an annual fee for free applications to be submitted by it's members only need to become Air League members should they be successful in securing a scholarship. Please contact your leader for further information about eligibility under this special scheme. * Be happy to give back. All Air League Scholars and bursary holders in 2019 must commit to volunteering for at least 2 activities on the Air League's behalf. This might be coming to help us at Air Shows or other events, going to your local school to talk about your experiences etc. We will be asking you to contribute in fun ways to help get more young people involved and excited about careers in aviation and aerospace plus at the same time, give you fantastic new opportunities to develop yourself and gain new friends and experiences. Application process * Applications must be submitted no later than 2 nd January 2019. * Scholarships are awarded by considering the information given in the application form as well as the video CV. * You will be notified by April 2019 whether your application has been successful. Further information and conditions * You must submit your application form no later than the 2 nd January 2019. * All gliding scholarships must be completed by 1 st October 2019. * Priority for scholarships and bursaries will be given to those who are yet to have been given a scholarship by the Air League. * You can apply for as many different types of Air League scholarships and bursaries as you like however please note you will not be awarded more than one Air League Scholarship or bursary per year. The selection panel reserve the right to choose the most appropriate scholarship or bursary where more than one successful application has been made. * Successful scholars will be invited to the Air League Annual Reception held at St James' Palace in the Spring of 2020. * Your name, approximate location (e.g. London) and named scholarship awarded will be announced in the Air League Newsletter and website over the summer. Please provide your explicit consent for this in the application form. * If you are found to have provided false information knowingly, the Air League reserves to withdraw your scholarship application. No refunds for Air League membership will be issued at this point. * All suppliers (ie. ATOs) must have applicable insurances as required by the regulator the CAA. However, you should be aware that personal insurance is the responsibility of the scholar and not The Air League Trust. * According to government guidance, to be classed as a UK resident: * You must have spent 183 or more days in the UK in the current tax year * Your only home must be in the UK. * You must have owned, rented or lived in the home or at least 91 days in total and spent at least 30 days there in the current tax year	<urn:uuid:fbf4e65e-f002-4dd8-a58e-e91178a3402a>	CC-MAIN-2019-09	https://airleague.co.uk/wp-content/uploads/2018/10/Application-Criteria-Gliding-Scholarships-2019.pdf	2019-02-21T12:45:22Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247504594.59/warc/CC-MAIN-20190221111943-20190221133943-00603.warc.gz	472,439,949	769	eng_Latn	eng_Latn	0.998818	eng_Latn	0.99864	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2900, 3630 ]
(Registration No. 199202071D) (Incorporated in the Republic of Singapore on 22 April 1992) INCREASE IN PAID UP SHARE CAPITAL OF THE GROUP'S HONG KONG SUBSIDIARY The board of directors ("Board") of Serial System Ltd ("Company") and its subsidiaries ("Group") wishes to announce that the Group's 91% owned Hong Kong subsidiary, Serial Microelectronics (HK) Limited ("SMHK"), has increased its paid up share capital from HK$60,000,000 (US$7,692,308), comprising 60 million ordinary shares to HK$138,000,000 (US$17,692,308), comprising 138 million ordinary shares, pursuant to the issuance of 78 million new ordinary shares. The capital increase is to strengthen the financial position of SMHK. The Group has fully subscribed to its entitlement of 70.98 million ordinary shares through the capitalization of an amount for US$10 million, being amount owing from SMHK to the Company. The above transaction is not expected to have any financial impact on the net tangible assets per share and earnings per share of the Company and the Group for the financial year ended 31 December 2019 and current financial year ending 31 December 2020. None of the Directors or controlling shareholders (as defined in the Listing Manual) of the Company has any interest, direct or indirect in the above transactions, other than through their respective shareholdings in the Company BY ORDER OF THE BOARD Derek Goh Bak Heng Executive Chairman and Group CEO 31 Mar 2020	<urn:uuid:2d0415f8-aeb0-44d8-9f67-1746fbb41bf1>	CC-MAIN-2021-04	https://www.serialsystem.com/wp-content/uploads/2020/04/Increase_share_capital_SMHK.pdf	2021-01-23T14:31:40+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-04/subset=warc/part-00299-364a895c-5e5c-46bb-846e-75ec7de82b3b.c000.gz.parquet	969,415,862	331	eng_Latn	eng_Latn	0.968522	eng_Latn	0.968522	[ "eng_Latn" ]	false	rolmOCR	[ 1452 ]
CERTIFICATION OF ENROLLMENT SUBSTITUTE HOUSE BILL 1718 Chapter 236, Laws of 2011 62nd Legislature 2011 Regular Session OFFENDERS WITH DEVELOPMENTAL DISABILITIES--TRAUMATIC BRAIN INJURIES EFFECTIVE DATE: 07/22/11 Passed by the House April 14, 2011 Yeas 97 Nays 0 FRANK CHOPP Speaker of the House of Representatives Passed by the Senate April 12, 2011 Yeas 45 Nays 0 BRAD OWEN President of the Senate Approved May 3, 2011, 2:39 p.m. CHRISTINE GREGOIRE Governor of the State of Washington CERTIFICATE I, Barbara Baker, Chief Clerk of the House of Representatives of the State of Washington, do hereby certify that the attached is SUBSTITUTE HOUSE BILL 1718 as passed by the House of Representatives and the Senate on the dates hereon set forth. BARBARA BAKER Chief Clerk FILED May 4, 2011 Secretary of State State of Washington _____________________________________________ SUBSTITUTE HOUSE BILL 1718 _____________________________________________ AS AMENDED BY THE SENATE Passed Legislature - 2011 Regular Session State of Washington 62nd Legislature 2011 Regular Session By House Ways & Means (originally sponsored by Representatives Roberts, Moeller, Dammeier, and Green) READ FIRST TIME 02/25/11. 1 AN ACT Relating to offenders with developmental disabilities or 2 traumatic brain injuries; amending RCW 2.28.180; and adding a new 3 section to chapter 70.48 RCW. 4 BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF WASHINGTON: 5 Sec. 1. RCW 2.28.180 and 2005 c 504 s 501 are each amended to read 6 as follows: 7 (1) Counties may establish and operate mental health courts. 8 (2) For the purposes of this section, "mental health court" means 9 a court that has special calendars or dockets designed to achieve a 10 reduction in recidivism and symptoms of mental illness among 11 nonviolent, ((mentally ill)) felony and nonfelony offenders with mental 12 illnesses and recidivism among nonviolent felony and nonfelony 13 offenders who have developmental disabilities as defined in RCW 14 71A.10.020 or who have suffered a traumatic brain injury by increasing 15 their likelihood for successful rehabilitation through early, 16 continuous, and intense judicially supervised treatment including drug 17 treatment for persons with co-occurring disorders; mandatory periodic 18 reviews, including drug testing if indicated; and the use of 19 appropriate sanctions and other rehabilitation services. p. 1 SHB 1718.SL 1 2 3 4 5 6 7 8 9 (3)(a) Any jurisdiction that seeks a state appropriation to fund a mental health court program must first: (i) Exhaust all federal funding that is available to support the operations of its mental health court and associated services; and (ii) Match, on a dollar-for-dollar basis, state moneys allocated for mental health court programs with local cash or in-kind resources. Moneys allocated by the state must be used to supplement, not supplant, other federal, state, and local funds for mental health court operations and associated services. 10 (b) Any county that establishes a mental health court pursuant to 11 this section shall establish minimum requirements for the participation 12 of offenders in the program. The mental health court may adopt local 13 requirements that are more stringent than the minimum. The minimum 14 requirements are: 15 (i) The offender would benefit from psychiatric treatment or 16 treatment related to his or her developmental disability or traumatic 17 brain injury; 18 (ii) The offender has not previously been convicted of a serious 19 violent offense or sex offense as defined in RCW 9.94A.030; and 20 (iii) Without regard to whether proof of any of these elements is 21 required to convict, the offender is not currently charged with or 22 convicted of an offense: 23 (A) That is a sex offense; 24 (B) That is a serious violent offense; 25 (C) During which the defendant used a firearm; or 26 (D) During which the defendant caused substantial or great bodily 27 harm or death to another person. 28 NEW SECTION. Sec. 2. A new section is added to chapter 70.48 RCW 29 to read as follows: 30 When a jail has determined that a person in custody has or may have 31 a developmental disability as defined in RCW 71A.10.020 or a traumatic 32 brain injury, upon transfer of the person to a department of 33 corrections facility or other jail facility, every reasonable effort 34 35 shall be made by the transferring jail staff to communicate to receiving staff the nature of the disability, as determined by the jail SHB 1718.SL p. 2 1 and any necessary accommodation for the person as identified by the 2 transferring jail staff. Passed by the House April 14, 2011. Passed by the Senate April 12, 2011. Approved by the Governor May 3, 2011. Filed in Office of Secretary of State May 4, 2011. p. 3 SHB 1718.SL	<urn:uuid:4d5cf4b4-96dc-44f7-9007-90990b7c3fc6>	CC-MAIN-2023-14	https://lawfilesext.leg.wa.gov/biennium/2011-12/Pdf/Bills/Session%20Laws/House/1718-S.SL.pdf?cite=2011%20c%20236%20%EF%BF%BD%EF%BF%BD%202	2023-03-23T18:27:33+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-14/subset=warc/part-00010-39c03058-7d78-443d-9984-102329513e3d.c000.gz.parquet	399,563,953	1,254	eng_Latn	eng_Latn	0.953376	eng_Latn	0.99097	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 858, 2505, 4644, 4924 ]
From: Peter Govea <[email protected]> To: 'Che McFarlin' <[email protected]> CC: Bob Hondeville <[email protected]>, Scott Tomashefsky <scott.tomashefsky@ncp... Date: 6/29/2009 9:57 AM Subject: RE: Draft AB2021 Report Hello Che: This message is in follow up to our phone conversation last Friday. The draft staff report titled "Achieving Cost-Effective Energy Efficiency For California: Second Annual AB 2021 Progress Report" (CEC-200-2009-008-SD) makes several references to the Modesto Irrigation District (MID), which are either incorrect or incomplete. MID submits the following minor corrections/edits to address those specific references. Please incorporate them into the final version of the report. Thank you for your consideration. Peter Peter Govea Senior Energy Services Engineer Modesto Irrigation District 209.526.7344 [email protected]<mailto:[email protected]> Staff Assessment of POU Progress in 2008 - Corrections & Addition DATE RECD. DOCKET 09- IEP -1 F June 29 2009 July 09 2009 (p 23) Table 5. The 2008 MWH target for MID should be 6,116. The value listed (13,586) is incorrect. Please refer to Establishing Energy Efficiency Targets: A Public Power Response to AB2021 Final Update (October 2007), which is on file with the CEC, for MID's targets. (p 24) "Four utilities project a decrease in 2009 energy savings relative to 2008 reported energy savings, the largest changes are expected by Lodi (‑ 75 percent), Modesto Irrigation District (MID) (‑ 57 percent), and Roseville (‑ 30 percent). Lodi cites the slow economy's impact on customer spending and "market saturation" due to high customer participation in programs since 1996. MID's savings in 2008 2007 included large industrial projects that will did not reoccur in 2009 2008. Roseville expects ..." Table A-3 – Incomplete Reference Please be advised that MID also provides the following Residential Programs: HVAC Duct Testing CFL Distribution / Give Away Energy Audit Low Income Assistance Refrigerator Recycling Rebates Residential Outreach Shade Tree Solar PV Table A-4 – Incomplete Reference Please be advised that MID also provides the following Non-Residential Programs: CFL Incentive Education / Outreach Energy Audits Energy Efficient Exit Signs Energy Star Rebates HVAC / New Cooling Heat Pump Rebates Metering New Construction Rebates Refrigeration Rebates Solar PV Table A-6 - Incomplete Reference Please be advised that MID completed a M&V plan for its 2008 programs, so should be included in this table. The plan is available at the link shown below - http://www.ncpa.com/energy-efficiency-m-v-reports.html	<urn:uuid:1028757d-e23f-433e-a0c4-2b8c127c7df5>	CC-MAIN-2019-43	https://efiling.energy.ca.gov/GetDocument.aspx?tn=52363&DocumentContentId=9013	2019-10-23T10:53:02Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-43/segments/1570987833089.90/warc/CC-MAIN-20191023094558-20191023122058-00294.warc.gz	453,104,913	671	eng_Latn	eng_Latn	0.970112	eng_Latn	0.959354	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2339, 2642 ]
Structure and function of Scaptodrosophila lebanonensis alcohol dehydrogenase Yimingjiang Wuxiuer A dissertation for the degree of Philosophiae Doctor July 2012 MSB BioStruct Yimingjiang Wuxiuer has been enrolled in BioStruct, the Norwegian national graduate school in Structural biology and in the PhD school in Molecular and Structural Biology at the University of Tromsø Structure and function of Scaptodrosophila lebanonensis alcohol dehydrogenase Yimingjiang Wuxiuer PhD Thesis 2012 Department of Medical Pharmacology and Toxicology Institute of Medical Biology Faculty of Health Sciences University of Tromsø Norway # Contents ACKNOWLEDGEMENTS ........................................................................................................... 3 LIST OF PAPERS .................................................................................................................. 4 ABBREVIATIONS .................................................................................................................... 5 1 Introduction ......................................................................................................................... 7 1.1 Alcohol dehydrogenases ............................................................................................... 7 1.2 Functions of short-chain dehydrogenases/reductases .................................................. 7 1.3 Reaction mechanism of DADH ..................................................................................... 8 1.4 Eight membered water chain in DADH ....................................................................... 11 1.5 SDRs as drug targets .................................................................................................... 12 1.5.1 17β-hydroxysteroid dehydrogenase type 1 and type 2 as drug targets in breast cancer ................................................................................................................................. 13 1.5.2 Amyloid-β (Aβ) peptide-binding alcohol dehydrogenase as a target in Alzheimer’s disease ......................................................................................................................... 14 1.6 Enzyme kinetics ............................................................................................................ 15 1.6.1 Two substrate enzymes and their catalytic mechanisms ...................................... 15 1.6.2 Enzyme Inhibition .................................................................................................. 19 1.6.3 Enzyme-inhibitor dissociation constants ............................................................... 21 1.7 Application of Molecular modeling in enzyme kinetic studies ..................................... 24 1.7.1 Docking and scoring ............................................................................................... 24 1.7.2 Glide docking program ............................................................................................ 25 1.7.3 Molecular Mechanics ............................................................................................. 27 1.7.4 Combined quantum mechanics and molecular mechanics .................................... 31 2 Aims of study ...................................................................................................................... 35 3 Materials and method ........................................................................................................ 37 3.1 Experimental studies of the Thr114Val mutant ............................................................ 37 3.1.1 Determination of kinetic constants of substrates .................................................. 37 3.1.2 Active site titration ................................................................................................ 37 3.1.3 Rate assay ............................................................................................................. 38 3.2 Molecular modeling ..................................................................................................... 38 3.2.1 Docking ................................................................................................................ 39 3.2.2 MD simulations ................................................................. 39 3.2.3 QM/MM calculation ......................................................... 39 4 Summary of results .................................................................. 41 4.1 Paper 1 .............................................................................. 41 4.2 Paper 2 .............................................................................. 42 4.3 Paper 3 .............................................................................. 44 5 Discussion ............................................................................. 46 5.1 The eight membered water chain in DADHs ....................... 47 5.1.1 Enzyme Kinetic studies of SIADHT114V .................... 47 5.1.2 Molecular dynamic perspective of SIADH$^{wt}$ and SIADHT$^{T114V}$ ........... 49 5.1.3 QM/MM studies of oxidation reaction mechanism of SIADH .......... 51 6 Conclusion ............................................................................. 53 7 Reference ............................................................................... 54 ACKNOWLEDGEMENTS This project was carried out at the University of Tromsø from 2008 – 2012. The work was supported by grants from the Norwegian Cancer Society and the University of Tromsø, and by CPU-hours from NOTUR - The Norwegian metacenter for computational science. I would like to express my special thanks to my supervisors, Professor Ingebrigt Sylte and Professor Jan-Olof Winberg. This thesis would not have been possible without their help, support and patience. I would also like to thank Associate Professor Kurt Kristiansen and Senior Engineer Eli Berg who gave me the help in the lab. It is an honor for me to work together with our collaborators from different countries. I would especially like to thank Professor Neus Cols who gave me the full support to protect the enzyme sample from lab all the way to the airport at Barcelona. It was a wonderful, exciting and adventurous trip. I would like to acknowledge the technical assistances from the Stallo and Schrodinger support teams with my work of molecular modelling on the super computer. My gratitude also goes to all the other members of the faculty, for their kindness, humour and creativity. Tromsø, July 2012 Yimingjiang Wuxiuer LIST OF PAPERS 3 papers are included in this thesis: 1. An intact eight-membered water chain in drosophilid alcohol dehydrogenases is Essential for Optimal Enzyme Activity FEBS journal, 2012, in press, DOI: 10.1111/j.1742-4658.2012.08675.x 2. Comparative molecular dynamic simulations of wild type and Thr114Val mutated Scaptodrosophila lebanonensis alcohol dehydrogenase Manuscript, 2012 3. QM/MM studies of the catalytic mechanism of short chain alcohol dehydrogenases Manuscript, 2012 \| Abbreviation \| Description \| \|--------------\|-------------\| \| ADHs \| Alcohol dehydrogenases enzymes \| \| ADHS \| Slow alcohol dehydrogenase from drosophila melanogaster \| \| ADHF \| Fast alcohol dehydrogenase from drosophila melanogaster \| \| ADHUF \| Ultrafast alcohol dehydrogenase from drosophila melanogaster \| \| NAD(P) \| Nicotinamide adenine dinucleotide (phosphate) \| \| 17-β-HSD1 \| 17-β-hydroxysteroid dehydrogenase type 1 \| \| 17-β-HSD2 \| 17-β-hydroxysteroid dehydrogenase type 2 \| \| ABAD \| Aβ-binding alcohol dehydrogenase \| \| AD \| Alzheimer's disease \| \| AM1 \| Austin model 1 \| \| AMBER \| Assisted Model Building with Energy Refinement \| \| app$K_i$ \| Apparent inhibition constant \| \| Aβ \| Amyloid-β \| \| B3LYP \| Becke, three-parameter, Lee-Yang-Parr functional \| \| BPTI \| Pancreatic trypsin inhibitor \| \| CASPT2 \| Complete active space with second-order perturbation theory \| \| CASSCF \| Complete active space self-consistent field \| \| CG \| Conjugate gradient \| \| CHARMM \| Chemistry at Harvard macromolecular mechanic \| \| CM \| Chorismate mutase \| \| CoA \| Co-enzyme A \| \| DADHs \| Drosophila alcohol dehydrogenases \| \| DFT \| Density function theory \| \| DmADH \| Drosophila melanogaster alcohol dehydrogenases \| \| DmADHS \| Slow alloenzymes from drosophila melanogaster \| \| E1 \| Oestrone \| \| E2 \| 17-β-estradiol \| \| EFP \| Effective fragment potential \| \| fs \| Femtosecond \| \| GROMOS \| Acronym of the groningen molecular simulation \| \| HF \| Hartree-Fock \| \| HSDs \| Hydroxysteroid dehydrogenases enzymes \| \| HTVS \| high throughput virtual screening \| \| ICM \| Internal coordinate mechanics \| \| $k$ \| Rate constant \| \| $K_{cat}$ \| First-order rate constant \| \| $K_d$ \| Dissociation constant \| \| $K_i$ \| Inhibition constant \| \| Abbreviation \| Description \| \|--------------\|-------------\| \| $K_m$ \| Michaelis-Menten constant \| \| LDR \| Long-chain dehydrogenase/reductases \| \| MC \| Monte carlo \| \| MD \| Molecular dynamic \| \| MDR \| Medium-chain dehydrogenase/reductases \| \| MP \| Moller-Plesset pertubation theory \| \| $M_r$ \| Relative molecular mass \| \| MRCI \| Multi-reference ab initio methods \| \| NMR \| Nuclear magnetic resonance \| \| NR \| Newton-Raphson \| \| ns \| Nanosecond \| \| OPLS-AA \| All atom optimized potentials for liquid simulations \| \| PDB \| Protein data bank \| \| PHBH \| Para-hydroxybenzoate hydroxylase \| \| PM3 \| Parametric method number 3 \| \| ps \| Picosecond \| \| QM/MM \| Quantum mechanics and molecular mechanics \| \| RMSD \| Root-mean-square deviation \| \| RMSF \| Root-mean-square fluctuation \| \| SAC-CI \| Symmetry-adapted cluster–configuration interaction method \| \| SCC-DFTB \| Self-consistent charge density-functional tight binding method \| \| SD \| Steepest descent \| \| SDR \| Short-chain dehydrogenase/reductases \| \| SlADH \| Scaptodrosophila lebanonensis alcohol dehydrogenases \| \| SP \| Standard precision \| \| TD-DFT \| Time-dependent density function theory \| \| UFF \| Universal force field \| \| XP \| Extra precision \| \| $\Delta G$ \| Free energy of binding \| 1 Introduction 1.1 Alcohol dehydrogenases Alcohol dehydrogenases (ADH) are a group of enzyme catalyzing the oxidation of alcohols to aldehydes and the reduction of aldehydes to alcohol by using nicotinamide adenine dinucleotide phosphate NAD(P)(H) as coenzyme [1]. Based on the length of primary sequence, they are classified into short-chain (SDR), medium-chain (MDR) and long-chain (LDR) dehydrogenase/reductases [2-5]. Through genome sequencing projects it is now clear that distinct families of ADH encode a large group of gene products within nearly every genome [6, 7]. This wide representation of oxidoreductases highlights their importance and functional diversity in the physiology of organisms reaching from prokaryotes to mammals [6]. ADHs from drosophilid species (DADHs) are typical members of the SDR family. 1.2 Functions of short-chain dehydrogenases/reductases SDRs form a large and evolutionary old family of enzymes, and currently more than 47000 members, including species variants are known [8]. SDR members catalyze diverse biochemical reactions such as isomerization, epimerization and oxidoreduction [9]. SDRs are involved in hormone metabolism (retinol dehydrogenases, prostaglandin dehydrogenases, hydroxysteroid dehydrogenases, testosterone 5α-reductases) fatty acid oxidation (hydroxyacyl CoA dehydrogenases) or biotransformation of xenobiotics (carbonyl reductases, quinone reductases) [10-13]. Interestingly, hydroxysteroid dehydrogenases (HSDs) of the SDR super-family are implicated in polycystic kidney diseases [14], regulation of blood pressure [15], Alzheimer’s disease [16], obesity [17] and in the development of steroid dependent cancer forms [15]. The SDR superfamily therefore contains several important pharmaceutical targets. SDR family members including ADH from Drosophila melanogaster (DmADH) and Scaptodrosophila lebanonensis (S1ADH) (formerly Drosophila lebanonensis) utilize nicotinamide adenine dinucleotides NAD(P)(H) as cofactors in the reduction or oxidation reactions. Currently there are around 300 x-ray crystal structures of SDRs in the protein data bank (www.pdb.org) [18], and 9 of them are of S1ADH (Table 1). Table 1. SfADHs structures available in the protein databank (www.pdb.org). \| PDB ID \| Ligand(s) \| Resolution \| Released Date \| Number of amino acids \| Reference \| \|--------\|----------------------------\|------------\|-----------------\|-----------------------\|-----------\| \| 1A4U \| - \| 1,92 \| 16.02.1999 \| 508 \| [19] \| \| 1B14 \| NAD+ \| 2,4 \| 26.11.1999 \| 508 \| [20] \| \| 1B15 \| NAD-acetone \| 2,2 \| 26.11.1999 \| 508 \| [20] \| \| 1B16 \| NAD-3-Pentanone \| 1,4 \| 29.11.1999 \| 508 \| [20] \| \| 1B2L \| NAD-Cyclohexanone \| 1,6 \| 26.11.1999 \| 254 \| [20] \| \| 1SBY \| NAD+ and 2,2,2-trifluoroethanol \| 1,1 \| 22.02.2005 \| 508 \| [21] \| \| 1MG5 \| NADH and acetate \| 1,6 \| 21.01.2005 \| 510 \| [22] \| \| 3RJ5 \| NAD+ \| 1,45 \| 02.05.2012 \| 508 \| [23] \| \| 3RJ9 \| NAD+ \| 1,98 \| 02.05.2012 \| 1524 \| [23] \| 1.3 Reaction mechanism of DADH Most of the SDR family members show a one-domain architecture with the substrate binding site located in the highly variable C-terminal region and a characteristic NAD(H)-binding motif or Rossmann fold in the N-terminal region. The overall structure of this monomer is folded into a central 8-stranded β-sheet and flanked on each side by three α-helices (Figure 1) [9, 19, 20, 22, 24, 25]. Among these enzymes, conserved sequence regions include the cofactor binding Gly-X3-Gly-X-Gly motif in the N-terminal part, and an active site conformation nearly superimposable to each other with the catalytic important triad (Tyr, Lys, Ser) of amino acids [9, 26, 27]. Mutagenesis studies have shown that these three residues are essential for catalytic activity [28-32]. Enzyme kinetic studies of DADHs show that the SDR reaction appears to proceed through a two substrate compulsory mechanism (Scheme 1) [27, 33], where the coenzyme binds before the substrate and the product disassociates before the coenzyme. As shown in scheme 1, a proton is released in the oxidation process of alcohols, while a proton is taken up in the reduction of aldehydes/ketones. \[ \text{Alcohol} + \text{NAD}^+ \leftrightarrow \text{aldehyde/ketone} + \text{NADH} + \text{H}^+ \] (Scheme 1) Enzyme kinetic studies of DADHs have also shown that the proton is realised upon formation of the binary enzyme•NAD$^+$ (E•NAD$^+$) complex [27, 34, 35], and that most of the secondary alcohols tested are better substrates than the primary alcohols [36-38]. DADH is a dimer of $M_r$ 54800, consisting of two identical subunits [1, 39, 40]. The oxidation reaction of DADH includes two steps (Figure 2): 1. A proton transfer from the alcohol $H_{Alc}$ atom to the strong base or nucleophile of the binary E•NAD$^+$ complex. 2. A hydride transfer from the alcohol $H_{CAlc}$ atom to the C4 atom of NAD$^+$. Figure 2: Active site geometry of wild type SADH with the catalytic triad (Ser138, Tyr151, Lys155), substrate 2-propanol and parts of NAD+ (PDB: 1SBY). Proposed oxidation reaction mechanism of 2-propanol by wild type DADH. The exact catalytic function of the catalytic triad is not known. Enzyme kinetic data have shown that in order to promote hydride transfer from the substrate alcohol to the NAD$^+$ molecule, the group (or combination of groups) showing a pK$_a$ value of 7.1 in the E•NAD$^+$ complex has to abstract a proton from the C$_\alpha$ hydroxyl group of the substrate to generate an alcoholdate anion R-CH$_2$-O$^-$. This group needs to be negatively charged in order to bind the substrate and facilitate hydride transfer from the substrate [27]. Due to its position in the active site and the pH dependence of alcohol binding, it was proposed that this group is the strictly conserved Tyr151 [19, 20, 31, 41-44]. It was suggested that the tyrosine function as the basic catalyst being fully negatively charged, and that the lysine binds NAD(P)(H) and lowers the pKa value of the tyrosine, while the serine stabilizes the substrate, reaction intermediates and product during catalysis [45]. The tyrosine is strictly conserved, whereas Ser and Lys are conserved in most SDRs [9]. However, this hypothesis has been challenged by an electrostatic analysis of the ionization properties of the active site residues in DADH, using an approach which accounts for multiple locations of the hydrogen atoms of ionizable and polar groups [46]. Theoretical calculations showed that the protonation/deprotonation transition of the E•NAD$^+$ complex is related to the coupled, irregular ionization of the active site groups Tyr151 and Lys155. 1.4 Eight membered water chain in DADH In protein crystal structures, it is now widely accepted that water molecules buried inside the protein play an important role in protein stability, dynamics and function [47, 48]. Water molecules trapped inside protein interiors can fill defects in the side chain packing or form hydrogen bonds to protein polar atoms [49, 50]. The number of water molecules included in the protein x-ray crystallographic models depends mainly on the resolution of the solved structure [51]. The exact range of processes mediated by buried water molecules in DADH was not known, until 1998, then the x-ray crystal structure of S1ADH (PDB Code: 1A4U) resolved at 1.9 Å resolution by Ladenstein and his colleagues showed three well-ordered water molecules in hydrogen bond distances to side-chains of the catalytic triad [19]. With an even higher resolution of the S1ADH x-ray structure (PDB Code: 1B16), water molecules were also found between NAD$^+$ and the enzyme [20]. Based on these findings and kinetic studies, Koumanov and his colleagues proposed a proton relay chain which includes the active site catalytic residues, the O$_2^-$ ribose hydroxyl group of the coenzyme that plays a key role by acting as a proton switch, as well as a chain of eight water molecules that connects the active site with the bulk solvent [19, 20, 25, 33, 35, 37, 43, 46, 52-54] (Fig 3). Later research has shown that the water chain also exists in the ternary complex and that all amino acids lining the water are conserved in 119 drosophilid species. These findings support the hypothesis of a proton transport in between the active site and the solvent mediated by the relay chain [10], and it was suggested that this relay mechanism facilitate the proton abstraction from the binary E•NAD$^+$ complex [19, 20, 46]. A similar water chain has also been shown to exist in human and bacterial SDR enzymes [55-57]. This suggests that if not all, but at least part of these buried water molecules are conserved between proteins belonging to the same family and they are structurally and functionally important. 1.5 SDRs as drug targets Drosophilid has been studied for quite some time as a laboratory model for genetics in general and also applied into human diseases studies, like substance addiction, Alzheimer’s disease and Parkinson’s disease [58-60]. By 2002, the total number of predicted genes of drosophila melanogaster was 13601, among which the number of estimated druggable targets were 1714 [61]. Among more than 46,000 primary structures of SDR superfamily enzymes identified in sequence databases by 2010, more than 80 were found in human [8]. The similarities in sequences, function and protein structures within a gene family may often suggest that the binding-site architecture between family members is well conserved (Figure 4). This indicates that if one member of a gene family could bind a drug, other members with similar active site architecture and function may also be able to bind a compound with similar physio-chemical properties [8, 62, 63]. Therefore DADHs can be used as model system for the development of new therapeutic compounds targeting therapeutical important SDRs [14-17]. In the following I will give a brief introduction into the potential of some SDRs as drug targets. 1.5.1 17β-hydroxysteroid dehydrogenase type 1 and type 2 as drug targets in breast cancer Breast cancer is a major cause of death in both European and American women, it occurs most frequently in post-menopausal women [64, 65]. 17-β-estradiol (E2) stimulates the growth of hormone-dependent breast cancer cells [66]. The precursor of E2 is oestrone (E1). The major enzyme catalyzing the reduction of E1 to E2 is 17-β-hydroxysteroid dehydrogenase type 1 (17-β-HSD1). The reverse reaction, the deactivation of E2 is catalyzed by 17-β-HSD type 2 (17-β-HSD2) (Figure 5) [67]. Both 17-β-HSD1 and 17-β-HSD2 belong to the family of SDRs requiring NAD(P)(H) as cofactor. They are present in healthy premenopausal women, but several studies have indicated that the ratio of 17-β-HSD1 to 17-β-HSD2 is increased in tumors of postmenopausal women with hormone dependent breast cancer [68-70]. Studies have also indicated that patients with high 17-β-HSD1 expression have significantly shortened disease-free and overall survival [71, 72], indicating that compounds that inhibit 17-β-HSD1 may be therapeutically beneficial in treatment of hormone dependent breast cancer in post-menopausal women [73, 74]. ![Estrone (E1) and 17 β-Estradiol (E2) catalyzed by 17-β-HSD1 or 17-β-HSD2](image) Figure 5: Inter-conversion of Estrone (E1) and 17 β-Estradiol (E2) catalyzed by 17-β-HSD1 or 17-β-HSD2. Due to the structural and functional similarities of 17-β-hydroxysteroid dehydrogenase to other SDRs, the general information obtained from combination of theoretical calculations and experimental studies of SDRs from DADHs as model systems can then be transferred to enzymes of the 17-β-HSDs family, and may be used for structural calculations of binding site geometry and inhibitors design of 17-β-HSD1 and (or) 17-β-HSD2. ### 1.5.2 Amyloid-β (Aβ) peptide-binding alcohol dehydrogenase as a target in Alzheimer’s disease Numerous studies have indicated the potential importance of amyloid-β peptide (Aβ) interaction with a mitochondrial enzyme called Aβ-binding alcohol dehydrogenase (ABAD), a member of SDRs family concentrated in mitochondria of neurons [75-82]. Aβ distorts ABAD's structure by forming Aβ-ABAD complex, thereby inactivate ABAD's metabolic functions and promotes Aβ-mediated cytotoxic events [83, 84]. Particularly, increased intracellular Aβ level prior to the appearance of neurofibrillary tangles and senile plaques in AD-affected areas of the brain suggested the role of Aβ in AD development [83, 85-88]. An ABAD function inactivated drosophilid scully showed a developmentally lethal phenotype with multiple abnormalities [89]. Alternative term for ABAD is L-3-hydroxyacyl Coenzyme A dehydrogenase type II [90]. First human ABAD x-ray crystal structure was resolved by Kissinger and coworkers in 2004 (PDB code: 1U7T) [91]. Like other SDRs or ADHs, ABAD share the same active site features and utilize dinucleotide cofactor in catalytic reaction. In metabolic homeostasis, ABAD oxidize/reduce a wide range of substrate, such as linear alcohols, steroid substrates (17b-estradiol), S-acetoacetyl-CoA and β-hydroxybutyrate [90, 92]. ABAD appears to have cytoprotective functions under homeo-static conditions and in response to stress [93]. Studies of Yao et al. in 2011 showed inhibition of ABAD interaction with Aβ reduced Aβ accumulation and improved mitochondrial function in a mouse model of AD [94]. Therefore, ABAD could be a potential drug target. The x-ray crystal structure of ABAD is known suggesting that computer added drug design could be possible. ### 1.6 Enzyme kinetics Until 2000, around 500 drug targets had been reported, among which 28% are enzymes [95]. However, only 120 drug targets are actually targeted by marketed drugs (47% are enzymes) [61]. Enzymes are powerful biological catalysts that are essential for the proper maintenance and reproduction of any organism. These properties make them excellent candidates as therapeutic targets to combat diseases. In this regard, one goal of molecular medicine is to develop and implement effective agents that can modulate the activities of various enzymes involved in essential biological pathways. Therefore, the process of drug development often requires accurate knowledge of the catalytic mechanism of the enzyme in question. In this study, we mainly focus on the mechanisms of two substrate enzymes. #### 1.6.1 Two substrate enzymes and their catalytic mechanisms Enzymes like oxidoreductases, transferases and ligases catalyze reactions involving more than one substrate [96]. These enzymes utilize metal ion or organic cofactors as additional substrates. When it comes to the binding order of substrates for a two substrate reaction, there are mainly two types of mechanism: i) Ping-Pong/double displacement mechanism/substituted enzyme mechanism, ii) ternary complex mechanism (Figure 6) [96-98]. ![Diagram of catalytic mechanisms](image) Figure 6: Example of catalytic mechanisms of two substrate enzymes. E: enzyme, S₁: substrate 1, S₂: substrate 2, P₁: product 1, P₂: product 2. Ping-pong mechanism occurs when two substrates share one active site. In this case, one substrate leaves one moiety (phosphate group, an amino group or acyl group etc) on the enzyme to be transferred to the second substrate. In such a case, the two substrates do not bind to the enzyme at the same time during the reaction. In the other main type of mechanism, the ternary complex mechanism, both substrates must be bound to the enzyme at the same time and form a ternary complex (ES₁S₂) in order to start the catalytic reaction. There are various possibilities for the formation of a ternary complex. The binding of S₁ and S₂ either follows sequential order (compulsory-order mechanism), or they randomly binds to the enzyme (random-order mechanism). A special case of a compulsory-order mechanism occurs when the interconversion of ES₁S₂ and EP₁P₂ is much faster than all the other steps and no kinetically significant ternary complexes appear to occur. This is called a Theorell-Chance mechanism. Enzyme kinetic studies provide microscopic views of the factors affecting enzyme-catalyzed reactions. Chemical reactions involved enzymes can be quantitatively evaluated by measuring the speed at which the reacting substances are transformed to the corresponding products, namely reaction rate. There are two types of kinetic studies that can be performed: (1) Pre-steady state, which is the period when an enzyme-substrate complex is formed, there is sometimes some transiently formed enzyme-intermediate complex. This period lasts from micro- to milli-seconds. To be able to detect the formed enzyme•substrate (ES) complex and probable intermediates, one method is stopped-flow kinetics. The enzyme concentration used in this method is usually high and in the region of the used substrate concentration; (2) Steady state, which is the period during the reaction where there is no change in the amount of the formed ES complex and other intermediates. This period often lasts from a fraction of a second to several minutes (sometimes hours). Furthermore, the enzyme concentration used is much lower than the used substrate concentrations [99, 100]. The reaction scheme including rate constant for compulsory-order mechanism was given as follows (Scheme 2): \[ E + S_1 \xrightarrow{k_1}{k_2} ES_1 + S_2 \xrightarrow{k_3}{k_4} ES_1S_2 \xrightarrow{k_5}{k_6} EP_1P_2 \xrightarrow{k_7}{k_8} EP_1 + P_2 \xrightarrow{k_9}{k_{10}} E + P_1 \] (Scheme 2) Where \( E \) is the enzyme, \( S_1 \) and \( S_2 \) are substrates, \( P_1 \) is the product from \( S_1 \) and \( P_2 \) is the product from \( S_2 \), \( ES_1 \) and \( EP_1 \) are binary complexes, \( ES_1S_2 \) and \( EP_1P_2 \) are ternary complexes, \( k_1 \) to \( k_{10} \) are rate constants. The catalytic mechanism and experimentally observed kinetic behavior can be mathematically expressed by a rate equation that depicts the process in terms of rate constant and reactant concentrations. The rate equation that describes the relation between kinetic coefficients and substrate concentrations can be written as equation (1) for a ternary complex mechanism and as equation (2) for a ping-pong mechanism using Dalziel nomenclature [101]: \[ \frac{e}{v} = \left[ \varphi_0 + \frac{\varphi_1}{[S_1]} \right] + \frac{1}{[S_2]} \left[ \varphi_2 + \frac{\varphi_{12}}{[S_1]} \right] \] (Eqn.1) \[ \frac{e}{v} = \varphi_0 + \frac{\varphi_1}{[S_1]} + \frac{\varphi_2}{[S_2]} \] (Eqn.2) In these equations, $e$ is the amount of active enzyme, $v_0$ is the initial rate of reaction, $[S_1]$ and $[S_2]$ are the concentration of substrate 1 and substrate 2, respectively. $\varphi_0$, $\varphi_1$, $\varphi_2$ and $\varphi_{12}$ are kinetic coefficients. In two substrate reactions, the reaction rate $v$ is dependent on the concentration of both $S_1$ and $S_2$. This algebraic rearrangement of the Michaelis-Menten equation is the mathematical basis for deducing Lineweaver-Burk type of plot [102]. Lineweaver-Burk analysis is one method of linearizing substrate-velocity data so that the kinetic coefficients can be determined by using primary and secondary plots (Fig 7) [101, 103]. ![Graphs](image) Figure 7: Plots illustrate the determination of the kinetic coefficients of equation (1) by secondary plots of slopes and intercepts (b) of primary Lineweaver-Burk plots (a). In figure 2, a series of Y intercept and Slope values collected from plot (a) can then be introduced into equation (1), where from a secondary plot (b), the value of different $\varphi$ coefficients can then be determined [96]. The physical meaning of $\varphi$ coefficients in a compulsory ordered ternary complex mechanism is listed in Table 2. Table 2: The meaning of different kinetic coefficients. \| $\frac{1}{\varphi_1}$ ($k_1$ or $k_{on}$) \| $\frac{1}{\varphi_2}$ ($k_2$ or $k_{off}$) \| $\frac{1}{\varphi_0}$ ($k_{cat}$) \| $\frac{\varphi_1}{\varphi_0}$ \| $\frac{\varphi_2}{\varphi_0}$ \| $\frac{\varphi_{12}}{\varphi_1} \frac{\varphi_2}{\varphi_2}$, ($k_{off}$), $k_1$ \| \|----------------------------------------\|----------------------------------------\|--------------------------------\|-----------------------------\|-----------------------------\|---------------------------------------------------------------\| \| Formation rate of ES$_1$ complex. \| Formation and break down of the ternary complex \| Production of the EP$_1$P$_2$ complex from ES$_1$S$_2$ and the release of products from the enzyme. \| Km for S$_1$ \| Km for S$_2$ \| Disassociation rate of S$_1$ from the binary ES$_1$ complex \| Not only can the characteristics of the rate equation and different kinetic coefficients verify the mechanism, conversely, the experimental observations provide clues to what the mechanism may be. Another way to verify the catalytic mechanism is to determine the reaction velocity in the presence and absence of inhibitors. 1.6.2 Enzyme Inhibition Enzyme inhibitors may act either irreversibly or reversibly [100]. Irreversible inhibitors form covalent bonds with different functional groups on the enzyme surface. Reversible inhibitors form non-covalent interactions with various parts of the enzyme surface, which can be reversed by dilution and dialysis. Reversible inhibitors can either be products of the substrates investigated or other type of compounds. Reversible inhibitors can give rise to several types of inhibition patterns, and three such patterns are: competitive, uncompetitive and mixed inhibition. A product inhibitor pushes the reaction backwards while other compounds that react with a specific enzyme form and gives rise to an enzyme-inhibitor complex that is not a part of the flow from substrate to product is called a dead-end inhibitor [104]. It is common to use dead-end inhibitors in order to investigate the reaction mechanism of a multi substrate enzyme and if substrates bind and products leave in a specific order or not [100]. 220.127.116.11 Dead-end inhibition In 1962, Fromm and Zewe suggested that competitive inhibitors of substrates could be used to differentiate between random and ordered mechanisms [105]. Because dead-end inhibitors cannot reverse reaction sequences (as products for two substrate enzymes can), competitive dead-end inhibitors are often used to determine the enzyme’s reaction mechanism, especially whether the substrates bind in a specific order or not [99, 104]. To get a full picture of the binding order of the two substrates to the enzyme, it is necessary to check the inhibitory pattern of each inhibitor against varied $S_1$ (fixed $S_2$) and varied $S_2$ (fixed $S_1$). In most cases one experiment is performed with low concentration of the fixed substrate (compared to its $K_m$ value) and another experiment with high concentration of the fixed substrate, while the other substrate is varied in the presence and absence of inhibitor. The inhibition patterns for a two substrate random and compulsory-order mechanism are shown in Figure 3 and 4. For a convenience, we assume inhibitor $I_1$ only binds to the same site as substrate $S_1$, and inhibitor $I_2$ only binds to the same site as substrate $S_2$. In a random order mechanism (Figure 8a), if $I_1$ or $I_2$ only binds to the free enzyme (E), then both $S_1$ and $S_2$ will compete with $I_1$ or $I_2$ for the free enzyme. Therefore, both inhibitors are competitive inhibitors against both substrates and will therefor give rise to four competitive patterns (not shown). If $I_1$ binds both to E and ES$_2$, then relative to $S_1$ (fixed $S_2$ concentration), $I_1$ shows a competitive pattern (Figure 8b), and relative to $S_2$, $I_1$ shows mixed inhibition (with low fixed $S_1$ concentration, Figure 8d). No inhibition occurs at a high fixed $S_2$ concentration. Similarly, If $I_2$ binds both to E and ES$_1$ (Figure 8a), then relative to $S_2$ (fixed $S_1$ concentration), $I_2$ shows a competitive pattern (Figure 8e), and relative to $S_1$, $I_2$ shows mixed inhibition (with low fixed $S_2$ concentration, Figure 8c). No inhibition occurs at a high fixed $S_1$ concentration. In short, if both inhibitors bind to free enzyme and their corresponding binary complex, it will give two competitive patterns (i.e. $I_1$ vs $S_1$ and $I_2$ vs $S_2$ in Figure 8b, e) and two mixed patterns (i.e. $I_1$ vs $S_2$ and $I_2$ vs $S_1$ in Figure 8c, d). An uncompetitive pattern will never occur with a random order mechanism. ![Reaction scheme](image) Figure 8: (a) Reaction scheme for a random-ordered mechanism where $S_1$ binds to the free enzyme E and ES$_2$, and $S_2$ also binds to the free enzyme and the binary ES$_1$ complex. Inhibitor 1 ($I_1$) binds to E and binary ES$_2$ complex, $I_2$ binds to E and binary ES$_1$ complex. (b-e) double invers plots of v vs a varied substrate in the absence (0) and presence ($I_1$ or $I_2$) of inhibitor. Inhibition pattern of $I_1$ vs varied [S$_1$] (b) and $I_2$ vs varied [S$_1$] (c) using a fixed [S$_2$]. Inhibition pattern of $I_1$ vs varied [S$_2$] (d) and $I_2$ vs varied [S$_2$] (c) using a fixed [S$_1$]. In a compulsory ordered mechanism (Figure 9), when a competitive dead-end inhibitor $I_1$ binds to the free enzyme, it distorts the enzyme so that substrate $S_1$ cannot bind to the $EI_1$ binary complex. This makes the inhibitor $I_1$ to compete with the substrate $S_1$ (Figure 9b) and it will give a mixed inhibition against substrate $S_2$ (Figure 9d). On the other hand, inhibitor $I_2$ competes with substrate $S_2$ (Figure 9c) and does not bind to the free enzyme, only to the $ES_1$ binary complex (Figure 9a). In this mechanism, inhibitor $I_2$ shows an uncompetitive pattern against substrate $S_1$ (Figure 9c). This unique uncompetitive pattern of $I_2$ helps to distinguish a compulsory ordered mechanism from a random ordered mechanism. Similarly, $I_1$ shows mixed inhibition pattern against varied $S_2$ which means that the inhibitor binds before the varied substrate $S_2$ and that there is a reversible connection between $EI_1$ and $ES_1$ as shown in Fig 9a [104]. ![Reaction scheme for a compulsory ordered mechanism](image) Figure 9: Reaction scheme for a compulsory ordered mechanism where $S_1$ binds to the free enzyme $E$ and $S_2$ to the binary $ES_1$ complex. Inhibitor 1 ($I_1$) binds to $E$ and $I_2$ to the binary $ES_1$ complex. (b-e) double invers plots of $v$ vs a varied substrate in the absence (0) and presence ($I_1$ or $I_2$) of inhibitor. Inhibition pattern of $I_1$ vs varied $[S_1]$ (b) and $I_2$ vs varied $[S_1]$ (c) using a fixed $[S_2]$. Inhibition pattern of $I_1$ vs varied $[S_2]$ (d) and $I_2$ vs varied $[S_2]$ (c) using a fixed $[S_1]$. ### 1.6.3 Enzyme-inhibitor dissociation constants The equilibrium dissociation constant of an enzyme•inhibitor (EI) complex can be derived from inhibition kinetic studies, and is then called an inhibition constant, $K_i$ [103]. An obtained $K_i$ value from kinetic studies will either be a true dissociation constant ($K_i = K_d$) or an apparent constant ($\text{app} K_i$; i.e. $K_i \neq K_d$) [103]. This depends on the kinetic mechanism and the experimental conditions used. For a compulsory ordered two substrate reaction where $S_1$ binds to the free enzyme and a dead-end inhibitor also binds to free enzyme (Figure 9a), then equation (1) becomes: $$\frac{e}{v} = \varphi_0 + \frac{\varphi_2}{[S_2]} + \frac{1}{[S_1]} \left( \varphi_1 + \frac{\varphi_{12}}{[S_2]} \right) \left( 1 + \frac{[I_1]}{K_{i1}} \right)$$ (Eqn.3) If the concentration of $S_2$ is fixed, then the obtained $K_{i1}$ value from the slope of equation (3) represents the true dissociation constant ($K_i$) of the EI complex. This is independent of the concentration of the fixed substrate (in this case $S_2$). If competitive dead-end inhibitor binds only to the ES$_1$ binary complex (Figure 9a), then equation (3) becomes: $$\frac{e}{v} = \varphi_0 + \frac{\varphi_1}{[S_1]} + \frac{1}{[S_2]} \left[ \varphi_2 \left( 1 + \frac{[I_2]}{K_{i2}} \right) + \frac{\varphi_{12}}{[S_1]} \right]$$ (Eqn.4) Inhibitor $I_2$ competes with substrate ($S_2$). In this case, the obtained inhibitor constant $K_{i2}$ does not necessarily represent the true dissociation constant of the ES$_1$I$_2$ complex. The reason for that is simply that $I_2$ binds to the ES$_1$ complex. At a low concentration of $S_1$, only small amounts of the enzyme are in the form of the binary ES$_1$ complex to which $I_2$ can bind. Then the obtained binding constant is weaker than the true binding constant, i.e. $K_{i2}$ is larger than $K_d$. At an infinite (or high enough) concentration of the fixed substrate $S_1$, $\frac{\varphi_{12}}{[S_1]} \approx 0$, the obtained $K_{i2}$ value can represent the true dissociation constant of the ternary ES$_1$I$_2$ complex. This is because the entire amounts of enzyme are in the binary ES$_1$ complex. With a saturating concentration of $S_1$, the strength of the EI complex ($K_i$) calculated from the slop term ($K_{is}$) can be determined from equation (5) [33]: $$K_{is} = \frac{[I]}{\frac{s_1}{s_0} - 1}$$ (Eqn.5) Where \([I]\) is the inhibitor concentration, \(s_i\) and \(s_0\) are inhibited and uninhibited slopes in a Lineweaver-bruke plot (Figure 9e), respectively. Here, \(K_{is}\) can be regarded as the dissociation constant of I\(_2\) from the ternary complex (ES\(_1\)I\(_2\)). \(K_i\) can also be calculated from plot in Figure 9c using intercept term (\(K_{ii}\)). The corresponding equation using the intercept term will be: \[ K_{ii} = \frac{[I]}{\frac{i_i}{i_0} - 1} \] (Eqn.6) Where \(i_i\) and \(i_0\) are the inhibited and uninhibited intercepts. As I\(_2\) binds to the ES\(_1\) binary complex, the mathematical correlation between \(K_d\), \(K_i\) and the kinetic coefficients using the Dalziel nomenclature is shown in equation (7) by using equation (5): \[ K_d = \frac{K_{is}}{\left(\frac{\varphi_{12}}{\varphi_2[S_1]} + 1\right)} \] (Eqn.7) Or by using equation (6): \[ K_d = \frac{K_{ii}}{\left(\frac{\varphi_0[S_2]}{\varphi_2} + 1\right)} \] (Eqn.8) From equation (8) it obvious that if a high enough concentration of S\(_1\) is used \(\left(\frac{\varphi_{12}}{\varphi_2[S_1]} \approx 0\right)\), then the obtained \(K_i = K_d\). In all other situations the obtained \(K_i\) is an apparent dissociation constant \((\text{app}K_i)\) which is larger than \(K_d\). The larger the \(K_d\) the weaker the binding. If the kinetic coefficients (\(k_{cat}, K_m\) or different \(\varphi\) value) for the reaction are known, and a \(K_i\) value has been obtained from equation (5) using a fixed \([S_1]\), the true dissociation constant \(K_d\) can be calculated from equation (7). 1.7 Application of Molecular modeling in enzyme kinetic studies 1.7.1 Docking and scoring Modern drug discovery often includes searching for small molecules that can bind to a preselected protein target. Protein-ligand docking aims to predict and rank binding orientations of ligands in a target protein of known 3D structure [106]. Starting from the early 1980's [107], it remains a field of vigorous research, having become a useful tool in drug discovery programs [108]. The protein-ligand docking occupies a very special place in the field of docking, because of its applications in medicine [109]. From the docking of both protein and ligand as rigid bodies [107], protein-ligand docking has developed to an area where full flexibility on the ligand is commonly included. Although binding orientation and affinity of a given ligand, and binding-site geometry of target protein can be greatly influenced by protein flexibility [110], including protein flexibility is still a challenge and computationally expensive by most docking programs. The traditional lock-and-key and induced-fit theories have given their way to more modern theories that bestow a greater weight to the receptor flexibility issue [111]. The current idea interprets a protein as an ensemble of differently populated conformational states in equilibrium, rather than the stable conformation appearing in X-ray crystal structure [111]. An important notion that needs attention is that the conformations of the target protein in the protein-ligand complex are not necessarily the most populated conformations in an unbound state [110-112]. So, when it comes to docking, these aspects imply that instead of targeting a single pose of a given ligand on a single target protein structure, one should ideally look for the most populated alternatives from an ensemble of solutions comprising several different binding conformations [106]. The docking result are mainly judged by two factors: (1) the ability to make key hydrogen bonding and hydrophobic contacts and (2) the ability to achieve a reasonable root-mean-square deviation (RMSD) which is lower than 2 Å after redocking compounds found in X-ray crystal structure complexes [113]. Molecular-docking ultimately seeks to predict the best mode by which a given compound will fit into a binding site of a macromolecular target. As a result, this usually involves two independent steps: - Docking: Determining the orientation of a ligand relative to the receptor. Scoring: Evaluate the ligand orientation. Scoring is used to evaluate the interaction between a ligand and its target protein by ranking how well the ligand fits into the binding pocket or by predicting the absolute binding affinity between the ligand and its target protein. Although the standard free energy of binding ($\Delta G$) is given by the Gibbs Helmholtz equation (equation 9) [100], the predicted binding affinity in terms of $\Delta G$ is still an approximation. $$\Delta G = \Delta H - T\Delta S = -RT \ln K_i$$ Where $\Delta H$ is the enthalpy, $T$ is the temperature (Kelvin), $\Delta S$ is the entropy, $K_i$ is the binding constant and $R$ is the gas constant [114]. 1.7.2 Glide docking program Glide (Grid-based Ligand Docking with Energetics) is one of the most widely used docking programs. The Glide algorithm approximates a systematic search of positions, orientations, and conformations of the ligand in the protein-binding pocket via a series of hierarchical filters. The procedure of how Glide works is illustrated in Figure 10. ![Glide docking procedure in four stages](image) Figure 10: Glide docking procedure in four stages. A typical scoring function contains terms like: \[ \Delta G_{\text{score}} = \alpha_1 \Delta E_{vdw} + \alpha_2 \Delta E_{H-bond} + \alpha_3 \Delta E_{el} + \alpha_4 \Delta E_{rot} + \alpha_5 \Delta E_{sol} + \ldots \] \hspace{1cm} (\text{Eqn.10}) Here \( \alpha_i \) is weighting factors that can be fitted to actual binding data of specific protein-ligand systems. The scoring in Glide 5.7 is first carried out in ‘Greedy score’ stage using Schrödinger’s ChemScore empirical scoring function [115]. Much as for ChemScore [116], this algorithm recognizes favorable hydrophobic, hydrogen-bonding, and metal-ligation interactions, and penalizes steric clashes. Only a small number of best refined poses are transferred to the next stage that involves evaluation and minimization of a grid approximation to the OPLS-AA non-bonded ligand-receptor interaction energy [117, 118]. Finally, the minimized poses are re-scored using Schrödinger’s proprietary GlideScore scoring function: \[ G_{\text{score}} = 0.065vdW + 0.130Coul + Lipo + Hbond + Metal + BuryP + RotB + Site \] \hspace{1cm} (\text{Eqn.11}) Here \( vdw \) stands for van der Waals energy, \( Coul \) is the Coulomb energy, \( Lipo \) is the lipophilic contact term, \( Metal \) is the metal binding term where only the interactions with anionic acceptor atoms are included, \( BuryP \) is the penalty for buried polar groups, \( RotB \) is the penalty for freezing rotatable bonds, and \( Site \) is the polar interactions in the active site. GlideScore is based on ChemScore, but includes a steric-clash term and adds buried polar terms devised by Schrödinger to penalize electrostatic mismatches. Before initiating the ligand docking, a receptor grid maps must be generated. The grid files represent physical properties of a volume of the target protein (specifically the active site) that are searched when attempting to dock a ligand. First, the prepared structures (both protein and ligand) are imported. The receptor is selected by excluding the ligand, while the active site can be defined as the centroid of the ligand. To increase the docking accuracy, different constraints can be added. For example, a hydrogen bond constraint can be set between the ligand and an active site amino acid or cofactor of the target protein. Other constraints like bond angle and atom position can also be used. The calculated target protein grid file is then used to dock the ligands with standard precision (SP), high throughput virtual screening (HTVS) or extra precision (XP) docking modes. In Glide XP docking, another scoring function called XP Glide-ChemScore [119] is used. This scoring function includes additional terms over the SP scoring function, and a more complete treatment of some of the SP terms. 1.7.3 Molecular Mechanics The molecular modeler often wants to understand and predict properties of liquids, solutions, solids and macromolecules. The experimental properties of a system such as the pressure and the heat capacity are determined by the positions and momentas of the particles that comprise the system. So the word simulation in turn refers to methods aimed at generating a representative sampling of a system at a finite temperature, volume and pressure. Molecular mechanical methods can be used to search energy minimum of a molecular system and simulate molecular behavior. The two main simulating methods using molecular mechanics are Monte Carlo (MC) and Molecular Dynamics (MD). These simulation methods can be used to overcome energy barriers and find global energy minimum and to study random or time dependent structural changes in a molecular system. Molecular mechanics calculations are using force fields (also named force field methods), and ignore the electronic motions and calculate the energy of a system as a function of the nuclear positions only. Basic functional form of a force field encapsulates both bonded terms relating to atoms that are linked by covalent bonds, and non-bonded (also called "non-covalent") terms describing the long-range electrostatic and van der Waals forces (Figure 11). ![Figure 11](image) Figure 11: Representation of the key contributions to a molecular mechanics force field: bond stretching, angle bending and torsional terms, as well as non-bonded terms (Electrostatic and Van der Waals interactions). The molecular in this figure is NAD⁺. The force field can be written as [114]: \[ E_{\text{total}} = E_{\text{bonded}} + E_{\text{nonbonded}} \] \[ E_{\text{bonded}} = E_{\text{bond}} + E_{\text{angle}} + E_{\text{dihedral}} \] \[ E_{\text{nonbonded}} = E_{\text{electrostatic}} + E_{\text{vanderwaals}} \] The total potential energy (\(E_{\text{total}}\)) is the sum of covalent (\(E_{\text{bonded}}\)) and non-covalent (\(E_{\text{nonbonded}}\)) bonding energy terms. \(E_{\text{bonded}}\) represent the sum of bond stretching (\(E_{\text{bond}}\)), angle bending (\(E_{\text{angle}}\)) and torsional energy (\(E_{\text{dihedral}}\)) terms. \(E_{\text{nonbonded}}\) refers to electrostatic (\(E_{\text{electrostatic}}\)) and Van der Waals (\(E_{\text{vanderwaals}}\)) energy terms. A force field defines a set of parameters for each type of atom. For example, OPLS-AA has a functional form [120]: \[ E = \sum_{\text{bonds}} K_r (r - r_{\text{eq}})^2 + \sum_{\text{angles}} K_\theta (\theta - \theta_{\text{eq}})^2 \\ + \sum_i \frac{V_1}{2} [1 + \cos(\varphi_i + f_i 1)] + \frac{V_2}{2} [1 - \cos(2\varphi_i + f_i 2)] + \frac{V_3}{2} [1 + \cos(3\varphi_i + f_i 3)] \\ + \sum_{i}^{\text{on a}} \sum_{j}^{\text{on b}} \left[ \frac{q_i q_j e^2}{r_{ij}} + 4\epsilon_{ij} \left( \frac{\sigma_{ij}^{12}}{r_{ij}^{12}} - \frac{\sigma_{ij}^{6}}{r_{ij}^{6}} \right) \right] f_{ij} \] (Eqn. 12) In this equation, the first three terms comprise bonded interactions, while the last term describes the nonbonded ones. The first and second terms represent the bond and angle terms, in which \(K_r\) and \(K_\theta\) are the bond force constants and valence angle force constant. \(r_{\text{eq}}\) and \(\theta_{\text{eq}}\) are equilibrium values for bond distance and valence angle, respectively. The third part represent the torsional energy terms between atom pairs \(i\) and \(j\) (\(i<j\)), in which \(\varphi_i\) is the dihedral angle, \(V_1\), \(V_2\), and \(V_3\) are the coefficients in the Fourier series, and \(f_1\), \(f_2\), and \(f_3\) are phase angles. The total torsional energy is then the sum of this series for each dihedral angle. The sums for the bonded terms are carried out over all atoms involved. The intermolecular nonbonded interaction energy between atoms \(i\) and \(j\) are represented by the Coulomb plus Lennard-Jones terms in the last part of the equation, in which \(q_i\) and \(q_j\) are the partial charges of the atoms \(i\) and \(j\) involved and \(e\) is the vacuum dielectric constant. \(\epsilon_{ij}\), \(\sigma_{ij}\), \(f_{ij}\) and \(r_{ij}\) represent the well depth, collision diameter, scaling factor and the distance between the atoms \(i\) and \(j\). The scaling factor \(f_{ij}\) equals 0.5 for 1,4 interactions and one otherwise. The non-bonded term is calculated between all pairs of atoms (\(i\) and \(j\)) that separated by at least three bonds. 18.104.22.168 Global energy minimum In molecular modeling we are especially interested in minimum points on the energy surface. Minimum energy arrangements of the atoms correspond to stable states of the system, any movement away from a minimum gives a configuration with a higher energy [114]. The minimum with the very lowest energy is known as the Global energy minimum. The way in which the energy varies with the coordinates is usually referred to as the potential energy surface. Most optimization methods try to determine the minima point, but for a large system, the potential energy is a complicated, multi-dimensional function of the coordinates. Therefore, energy landscapes for large system are extremely complex, and finding a minima can be a challenging task, finding the global minimum is even more challenging [121, 122]. Many variables are used in computational chemistry optimization methods. Basically all methods assume that the first derivative (i.e. the gradients) of the function with respect to all variables can be calculated. More sophisticated methods also assume the second derivative matrix, the Hessian matrix (force constant matrix) [123], can be calculated. Most commonly used global minimum searching algorithm includes: steepest descent (SD) method, conjugate gradient (CG) method and Newton-Raphson (NR) method [114]. CG and SD minimizations operate in Cartesian space rather than internal coordinates. They are much faster than the other methods. As a second derivative method, NR method uses not only the first derivative but also the second derivative (i.e. the Hessian matrix) to locate a minimum. Due to large amount of calculation of the full second derivative matrix which must be stored and inverted, this can be computationally demanding for systems with many atoms. Hence, the NR method is more suited to small molecules (usually less than 100 atoms or so). 22.214.171.124 Monte Carlo simulations Monte Carlo (MC) statistical mechanics methods typically employ a classical potential energy function for bond stretching, angle bending, torsions, and non-bonded interactions [124]. A MC simulation generates a new configuration by a set of random motions. The difference in energy between the new and the old configuration is used as a selection criterion by the Metropolis algorithm [125], which enforces a correct Boltzmann distribution of energies for the system at the desired temperature, and the procedure is then iteratively repeated until the minimum energy conformation is found. Although MC methods have the advantage of using energy as basic information and random sampling of coordinates, sampling for large flexible molecules can be problematic since degrees of freedom will increase. The MC method doesn’t consider atomic velocities and the time dimension. 126.96.36.199 Molecular dynamics simulations The MD method calculates the time dependent behaviour of a molecular system. It is based on Newton’s second law or the equation of motion, \( F_i = m_i a_i \), where \( F_i \) is the sum of all forces exerted on atom \( i \) that results in its acceleration \( a_i \), \( m_i \) is its mass. From knowledge of the force on each atom, it is possible to determine the acceleration of each atom in the system. The acceleration is the second derivative of the position with respect to time: \[ a_i = \frac{dv_i}{dt} = \frac{d^2 r_i}{dt^2} \] (Eqn.13) In words, it is the rate of change of the velocity \( v_i \), which in turn, is the rate of change of the position \( r_i \). Integration of the equations of motion then yields a trajectory that describes the positions, velocities and accelerations of the particles as they vary with time. From this trajectory, the average values of properties can be determined. The MD method was first introduced by Alder and Wainwright in the late 1950’s [126, 127] to study the interactions of hard spheres. Many suggestions concerning the behaviour of simple liquids emerged from their studies. The next major advance was in 1964, when Rahman carried out the first simulation using a realistic potential for liquid argon [128]. The behaviour of the particles in hard-sphere potential moves straight in lines at constant velocity between collisions. The collisions are perfectly elastic and occur when the separation between a pair of spheres equals the sum of their radii [114]. This simple model of hard spheres has given useful insights into hard-sphere particle movements, but is obviously not ideal for simulating atomic or molecular systems. The first MD simulation of a realistic system was done by Rahman and Stillinger in their simulation of liquid water in 1974 [129]. The first protein simulations appeared in 1977 with the simulation of the bovine pancreatic trypsin inhibitor (BPTI) [130]. Today in the literature, one routinely finds MD simulations of solvated proteins, protein-DNA complexes as well as lipid systems addressing a variety of issues including the thermodynamics of ligand binding and the folding of small proteins. MD techniques are also widely used as a supplement to experimental procedures such as X-ray crystallography and NMR structure determination. MD simulation can fold extended sequences to global potential energy minima for very small systems (peptides of length ten, or so, in vacuum) [131, 132], but it is most commonly used to simulate the dynamics of known structures. The number of simulation techniques has greatly expanded; today there exist many specialized techniques for particular problems, including mixed quantum mechanical - classical simulations (i.e. quantum mechanics and molecular mechanics) that are being employed to study enzymatic reactions in the context of the full protein [133]. 1.7.4 Combined quantum mechanics and molecular mechanics One of the main problems in computational chemistry is to find a balance between the accuracy of the results and the computational cost. However, it is often not possible to increase the accuracy of the calculation when large systems are considered. The idea of combining different computational methods starts with the realization that various regions of the system play very different roles in macro-biomolecules. Examples of such are most enzymatic reactions, where the bond breaking and forming takes place only at the active site. Therefore, the expensive computational methods can be used for the part of the system where the action takes place, while less expensive methods can be used for the supporting regions. In 1976 Warshel and Levitt introduced a hybrid quantum mechanics and molecular mechanics (QM/MM) methods that treated the active part of the system using a quantum mechanical representation while the rest of the system was represented by an empirical force field [134]. Quantum physics provides a mathematical description of the wave/particle duality and interactions of energy and matter. It departs from classical physics, primarily at the atomic and sub-atomic scales. Quantum mechanics (QM) explicitly represents the electrons in a calculation, and so it is possible to derive properties that depend upon the electronic distribution and, in particular, to investigate chemical reactions in which bonds are broken and formed [114]. However, QM methods are limited to systems of up to a few hundred atoms. The application and evaluation of QM/MM method against experimental data started only after 1990s [135-139]. 188.8.131.52 General principles The basic idea by using the hybrid methods is that a system is partitioned into several regions. The simplest approximation is to divide the system into three regions: a QM region, an MM region and the boundary region between QM-MM region (Figure 12). ![Diagram](image) Figure 12: Defining the bio-molecular system into QM, MM and boundary regions. Because of the strong interaction between QM and MM region, the total energy of the entire system cannot be written simply as the sum of the energies of these regions. Special precautions have to be taken at the boundary region, especially if it cuts through covalent bonds. Depending on the type of QM/MM method, this boundary may contain additional atoms (link atoms) that cap the QM region, or it may consist of atoms with special features that appear in both the QM and the MM calculations. Table (3) shows the most commonly used methods for these three regions and reference of their applications. Table 3: The commonly used methods applied on the QM regions, MM regions and boundary regions \| Region \| Methods \| \|-----------------\|-------------------------------------------------------------------------\| \| QM region \| Density function theory (DFT) [140], Hartree-Fock (HF) [141, 142], Möller-Plesset perturbation theory (MP) [143-145], Austin model 1 (AM1) [146-150], parametric method number 3 (PM3) [151-153], Self-consistent charge density-functional tight binding method (SCC-DFTB) [154-157], INDO/S-CIS method [158, 159], symmetry-adapted cluster–configuration interaction method (SAC–CI) [160-162], time-dependent DFT (TD-DFT) [163-165], multi-configuration \(ab\) \(initio\) methods (e.g., CASSCF or CASPT2) [166-168], Multi-reference \(ab\) \(initio\) methods (e.g., MRCI) [169] \| \| Boundary region \| Link atom method [135, 170], boundary-atom method [171-175], frozen localized orbital method [134]. \| \| MM region \| AMBER [176-178], CHARMM [179-181], OPLS-AA [120, 182], GROMOS [183], EFP [166], UFF [143, 184-186] \| ### 184.108.40.206 The QM/MM energy expression Two types of QM/MM energy expression schemes are described in the literature [187]: the additive and subtractive schemes. The basic energy equation for an additive QM/MM scheme has been mentioned by Warshel and Levitt [134], Field, Bash and Karplus [135], Singh and Kollman [170]: \[ E_{QM/MM}^{add} = E_{MM} + E_{QM} + E_{QM-MM} \] (Eqn.14) Where \(E_{MM}\) is the energy of MM region, \(E_{QM}\) is the energy of QM region, \(E_{QM-MM}\) is the QM-MM coupling term or interaction energy between QM and MM region in the boundary region. When \(E_{MM}\) is considered in the force field, \(E_{QM-MM}\) term includes bonded, van der Waals, and electrostatic interactions between QM and MM region: \[ E_{QM-MM} = E_{QM-MM}^{bonda} + E_{QM-MM}^{vdw} + E_{QM-MM}^{el} \] (Eqn.15) Most of the QM/MM methods presently in use (including the method in this study) are of the additive type. A subtractive QM/MM energy equation was described by Morokuma and co-workers [188]: \[ E_{QM/MM}^{sub} = E_{MM}^{sys} + E_{QM} - E_{MM}^{QM} \] (Eqn. 16) Where \( E_{MM}^{sys} \) is the energy from MM calculation of the entire system, \( E_{QM} \) is the energy of QM region, \( E_{MM}^{QM} \) is the energy of MM calculation on the QM region. The advantage of subtractive scheme is its simplicity, which means no explicit QM-MM coupling terms (Equation 14) are needed. On the other hand, the disadvantage is that handling the boundary region totally at MM level is particularly problematic when electrostatic interaction exists. ### 220.127.116.11 Application of QM/MM method A large amount of work has to be done to perform QM/MM calculation; this includes the preparation of the system before the actual QM/MM calculations are taking place and the appropriate combination of QM and MM methods, as well as the treatment of the boundary region. Although errors and wrong choices from the beginning can hardly be recovered at the later stages, the unique features and promising accuracy of these methods have attracted many researchers for its application in studies of chemical reactions. Some excellent agreements were obtained between experimental studies and theoretical QM/MM calculations. These examples include reaction barriers studies of chorismate mutase (CM) and para-hydroxybenzoate hydroxylase (PHBH) [189], and the catalytic reaction mechanism of cytochrome P450cam [190]. Since QM/MM methods were introduced into enzymatic reaction studies about 30 years ago, the number of publications has been rapidly growing covering a wide range of bio-molecular systems, such as oxidoreductases [191-199], transferases [142, 144, 200-202], hydrolases [203-205], lyases [206-208], isomerases [146, 147, 209-214], photoactive proteins [163, 215-220], oligonucleotides and adducts [187, 221-229]. 2 Aims of study Several therapeutically important drug targets of the SDR family have large structural similarities with DmADH and SlADH. That indicates that DmADH and SlADH can be used as model systems for therapeutically important SDRs. Insight into the structure and function of DmADH and SlADH may therefore contribute with valuable knowledge for the development of new drugs targeting SDRs. We and others have been studying the enzymatic mechanisms and structure of DmADH and SlADH for years [19, 21, 22, 25, 33, 35, 37, 43, 52-54, 230], and a quit clear picture about how these enzymes function has been obtained. However, there are still puzzles that need to be solved. All DADHs contain an eight-membered water chain connecting the active site with the solvent at the protein surface. A similar water chain has also been shown to exist in other SDR enzymes including therapeutically important SDRs. The role of this water chain in the enzymatic reaction is unknown, but it has been proposed to be involved in a proton relay system facilitating proton transport between the active site and the solvent [46]. Previously, site-directed mutagenesis studies targeting the catalytic triad, co-enzyme binding site and other amino acid in DADH were used to study DADH function [29-31, 231-236]. If the water relay mechanism is important for the oxidation reaction of DADH, site-directed mutagenesis studies replacing side chains lining the water chain (for example Thr114) would have an effect on the oxidation of substrates and/or destabilize the protein structure by disrupting the internal cavity structure, and effect the kinetic properties of the enzyme. Our collaborators in Spain (Roser Gonzalez-Duarte and Neus Cols) have constructed a mutant SlADH enzyme where Thr114 has been mutated to Val, (SlADH<sup>T114V</sup> mutant) and the X-ray structure of this mutant has been solved by the group of Rudolf Ladenstein in Sweden. Thr114 is lining the eight-membered water channel and mutating Thr114 to Val should break important hydrogen bonds taking part in the putative relay. The oxidation reaction of DmADH and SlADH includes two steps (Figure 2). 1. A proton transfer from the alcohol to the strong base or nucleophile of the binary E•NAD<sup>+</sup> complex (the proton transfer step). 2. The hydride transfer from the alcohol to the C4 atom of NAD<sup>+</sup> (the hydride transfer step). In both steps, energy is needed in order to break chemical bonds and facilitate the hydride and proton transfer. However, it is not clear which step takes place first in the oxidation reaction. Theoretical calculations are important compliments to experimental studies, especially for processes that are impossible or too expensive to study by experimental methods. The QM/MM approach has become a valuable complement to experimental studies for studying chemical reactions involving bond breaking and forming of new bonds. The QM/MM approach contributes with structural insights into such processes. MD methods are valuable approaches for studying molecular motions of importance for ligand binding and molecular mechanics of action of an enzyme. The specific aims of the present thesis are: (1) Use enzyme kinetic methods to study the mechanisms of the SIADH\textsuperscript{T114V} mutant, and compare the results with corresponding studies of wild type (SIADH\textsuperscript{WT}). In that way we may be able to determine the effect of the mutation on the enzyme kinetic mechanism and thereby the importance of the eight membered water chain for the enzyme kinetics of SIADH. (2) Study the effects of the Thr114 to Val mutation on the molecular dynamics of the enzyme by the use of comparative MD simulations of both SIADH\textsuperscript{WT} and SIADH\textsuperscript{T114V} mutant MD simulations of the free enzymes, binary E•NAD\textsuperscript{+} complexes and ternary E•NAD\textsuperscript{+}•Alcohol complexes should be performed. (3) Study the proton and hydride transfer of SIADH using the theoretical QM/MM approach in order to elucidate whether the two steps happen in order. 3 Materials and method In the following a summary of the methods used in the present thesis is given. 3.1 Experimental studies of the Thr114Val mutant 3.1.1 Determination of kinetic constants of substrates The oxidation of alcohols and the reduction of acetaldehyde by the S/ADH\textsuperscript{T114V} mutant were studied by steady state kinetics at 23.5 °C. The initial rates were measured by following the appearance and disappearance of NADH, respectively, using a Perkin Elmer λ-16 Spectrophotometer. Buffers used were 0.1 M pyrophosphate (pH 8.5 - 10.0), or 0.1 M phosphate (pH 6.5 - 8.0). The reported aldehyde concentrations represent the sum of the free and hydrated species present. In all experiments, the Lineweaver-Burk plots obtained were linear within the experimental error. The data fitted equation (1). The unprimed symbols (\( \varphi, S \)) are used for the NAD\(^+\) / alcohol reactions and the primed symbols (\( \varphi', S' \)) are used for the NADH / aldehyde reactions. The kinetic coefficients in equation (3) were obtained from primary and secondary plots [237]. The concentrations of coenzyme and substrate used were within the following ranges: NAD\(^+\) 0.24-6.0 mM, ethanol 5-500 mM, propan-2-ol 0.3-40 mM, \([^{2}\text{H}_3]\)propan-2-ol 1-40 mM, \([^{2}\text{H}_3]\)ethanol 20-500 mM for the alcohol / NAD\(^+\) reactions and NADH 1.5-20 µM, acetaldehyde 0.3-5.0 mM, for the aldehyde / NADH reactions. Inhibition experiments were carried out with either a constant NAD\(^+\) concentration and varied ethanol concentrations, or constant ethanol concentration and varied NAD\(^+\) concentrations. 3.1.2 Active site titration Due to sample contamination and changing of physical conditions (like freeze drying), a certain proportion of the enzyme may denaturate. During such conditions, the enzyme concentration will be overestimated if it is based on the spectrophotometric method. For the determination of the kinetic coefficients and catalytic properties of an enzyme, it is absolutely necessary to be able to determine the active-enzyme concentration precisely. The best way to do this is to determine the active site concentration of the enzyme by active site titration and relate the obtained enzyme concentration to a rate assay [103]. Example of this method is spectrophotometric titration [238, 239]. The absorption and difference spectra (Perkin Elmer λ-16 Spectrophotometer) revealed that the formation of the ternary $S/\text{ADH}^{T114V}$•NAD$^+$•Pyrazole complex was accompanied by an absorption peak at 305 nm as previously described for the $S/\text{ADH}^{wt}$ and drosophila melanogaster alcohol dehydrogenase (DmADH) [37, 239, 240]. The mutant $S/\text{ADH}^{T114V}$ enzyme containing 100 mM pyrazole was therefore titrated at 305 nm with NAD$^+$ in 0.1 M Tris/HCl buffer pH 8.5 at 23.5 °C. The titration experiments were performed in duplicate, with reproducibility within 3 %. The linear parts of the titration curves were analysed by linear regression resulting in regression coefficients better than 0.99. Based on the titrations with the $S/\text{ADH}^{T114V}$ mutant enzyme and the assumption that the mutant enzyme has the same $\varepsilon_{280\text{nm}}$ coefficient as the $S/\text{ADH}^{wt}$ enzyme ($\varepsilon_{280\text{nm}} = 13.3 \times 10^4 \text{ M}^{-1} \text{ cm}^{-1}$) [37], it can be concluded that one NAD$^+$ molecule was bound to each enzyme subunit. Hence, there are two active sites per enzyme molecule as the enzyme is a dimer. ### 3.1.3 Rate assay The rate assay was based on the active site concentrations determined in the titration experiments. The rate assay (performed in duplicate with reproducibility within 5%) was carried out at 23.5°C with a varied concentration of enzyme and a fixed concentration of 1.0 mM of NAD$^+$ and 100 mM of ethanol in a total volume of 1 ml of 0.1 M glycine/NaOH buffer, pH 9.5. The velocity $v$ ($\Delta A_{340\text{nm}}/\text{min}$) is a linear function of [e], the enzyme active site concentration in the cuvette. As $v = k \cdot [e]$, a plot of $v$ against [e] gave a rate constant $k$ of 0.192 ($\Delta A_{340\text{nm}}/\text{min}$ per μN enzyme active sites), with a regression coefficient greater than 0.99. The enzyme concentration is expressed as the amount of subunits in nM. This is twice the amount of enzyme molecules as the enzyme is a dimer. ### 3.2 Molecular modeling Most of the graphical interpretation and the RMSD calculation of different enzyme complex were created by using ICM software Version 3.5 ([www.molsoft.com](http://www.molsoft.com)). However the molecular modeling calculations like docking, MD simulations, structure optimization, QM/MM calculation were all performed by using the Schrodinger software package [241]. 3.2.1 Docking The X-ray crystal structures of the S.lADH<sup>wt</sup> (PDB code: 1SBY) and the S.lADH<sup>T114V</sup> mutant (PDB: 3RJ9) were used as starting structures for computational studies. Both X-ray crystal structures were first optimized with protein preparation wizard in the Maestro V9.1 [242]. Epic [243] was used to model and optimize the three dimensional structures of ethanol and 2-propanol. The 1SBY X-ray crystal structure is a ternary complex containing NAD<sup>+</sup> and the inhibitor 2,2,2-trifluoroethanol, while the S.lADH<sup>T114V</sup> mutant X-ray structures is a binary E•NAD<sup>+</sup> complex. The 2,2,2-trifluoroethanol molecule from the crystal structure was manually adjusted and optimized to 2-propanol, while ethanol was manually created and optimized. Ethanol and 2-propanol were docked into the active site of both the wild type and mutant using Glide [244]. The best docking poses were selected based on scoring, similarities with the ternary X-ray complex (1SBY) and on the positions of the hydroxyl group and the C<sub>Ale</sub> atom of the alcohol relative to the C4<sub>NAD</sub> atom of NAD<sup>+</sup> and the catalytic triad (Ser138, Tyr151 and Lys155). 3.2.2 MD simulations The best docking conformation of 2-propanol and ethanol in both the S.lADH<sup>wt</sup> and the S.lADH<sup>T114V</sup> mutant enzymes were selected for MD simulations. The systems were solvated in SPC water molecules in a simulation box of 10Å×10Å×10Å. All the simulations were performed with Desmond [245] for a total of 50 ns (far time step 6fs), using the OPLS-2005 force field [120, 182], under constant pressure of 1 bar and a temperature of 300 K, thermostatted and barostatted using the Nose-Hoover chain [246] and Martyna-Tobias-Klein methods [247]. The short-range and long-range Coulombic interactions were calculated with cutoff (cutoff radius: 9Å) and Smooth particle mesh Ewald [248] methods (Ewald tolerance: 1e-9). All the model systems were relaxed before the simulations using default protocol. 3.2.3 QM/MM calculation The best docking conformations of ethanol and 2-propanol with the S.lADH<sup>wt</sup> and the S.lADH<sup>T114V</sup> mutant were chosen for QM/MM calculation with Qsite [249, 250]. The QM part consisted of (1) the alcohol molecule (2) NAD<sup>+</sup>; (3) side chains of Ser138, Tyr151 and Lys155. The side chain oxygen of Tyr151 is believed to act as a strong base or nucleophile and was therefore negatively charged during the calculations. The four complexes were initially optimized by Qsite and then the QM/MM relaxation scans were performed for two scenarios (the atom labeling is shown in Figure 2): Scenario 1. The proton ($H_{Alk}$) transfer from the alcohol donor oxygen ($O_{Alk}$) to the negatively charged acceptor oxygen on Tyr151 is followed by the hydride ($H_{CAlk}$) transfer from the donor atom ($C_{Alk}$) to the NAD$^+$ acceptor atom ($C4_{NAD}$). Scenario 2. The hydride transfer from the $C_{Alk}$ to the $C4_{NAD}$ is followed by the proton transfer from $O_{Alk}$ to $O_{Tyr151}$. Density functional theory (DFT) with the B3LYP function [251] was used for the QM part since this method is particularly useful for studying protein active-site reactive chemistry, while the OPLS-2005 force field [252] was employed for the MM part of the enzyme. The total amount of atoms at QM region was 101. The different atomic bonds were scanned with stepwise increments of 0.02 to 0.052 Å. Non-bonded cut off was not used. It is strongly advised to not use non-bonded cutoff in the QM/MM job settings, because it may create trouble in the optimization and sometimes in the final total energy [253]. The polarization basis sets 631G** [254] was used for all atoms treated quantum mechanically. The QM/MM energy was converted from Hartrees to kcal/mol by using the following interpretation: $627.51 \times (\text{QM/MM Energy} - \text{lowest QM/MM energy value})$. 4 Summary of results 4.1 Paper 1 Title: An Intact Eight-Membered Water Chain in Drosophilid Alcohol Short Chain Dehydrogenases/Reductases is Essential for Optimal Enzyme Activity Pyrazole and 4-bromopyrazole which were ethanol competitive inhibitors with the $S/\text{ADH}^{\text{T114V}}$ mutant enzyme in the pH region 7.0 to 9.5, showed uncompetitive inhibition against varied NAD$^+$ concentrations in the same pH region. The $S/\text{ADH}^{\text{T114V}}$ mutant’s oxidation reaction mechanism was consistent with a compulsory ordered mechanism over the entire pH region, where the coenzymes bind to the free enzyme following the substrate binding. During the oxidation of alcohols, the kinetic coefficients showed that the $k_{\text{on}}$ velocity for NAD$^+$ ($1/\varphi_1$) was approximately 30 times slower for the mutant than for the wild type enzyme over the entire pH region. Furthermore, NAD$^+$ binds weaker to the mutant than to the wild type enzyme, i.e. the $K_{E,O}$ is larger. The $k_{\text{on}}$ velocity for NAD$^+$ increases with increasing pH for mutant enzyme, which was also observed for the $S/\text{ADH}^{\text{wt}}$ and slow alloenzymes from Drosophila melanogaster (DmADH$^S$) [27, 34, 35]. For both the wild type and the mutant, 2-propanol was a better substrate than ethanol. The rate limiting step ($1/\varphi_0$) for ethanol was the hydride transfer step and for 2-propanol enzyme-NADH dissociation step. The kinetic coefficient $\varphi_0$ for the oxidation of ethanol and propan-2-ol did not vary within the pH region studied. The hydride transfer step has been reduced by approximately 4 times from $2.4 \text{s}^{-1}$ in the $S/\text{ADH}^{\text{wt}}$ enzyme to $0.6 \text{s}^{-1}$ in the $S/\text{ADH}^{\text{T114V}}$ mutant. The rate of the enzyme-NADH dissociation step was the same for both mutant and wild type. The p$K_a$ value of $7.1 \pm 0.1$ for the wild-type enzyme [34] has been changed to $7.9 \pm 0.1$ for the mutant. With the $S/\text{ADH}^{\text{T114V}}$ mutant a primary kinetic isotope effect of 3.5 on $\varphi_0^{\text{D}} / \varphi_0^{\text{H}}$ for [$^2\text{H}_6$]ethanol and ethanol was obtained. 4.2 Paper 2 Title: Comparative molecular dynamic simulations of wild type and Thr114Val mutated Scaptodrosophila lebanonensis alcohol dehydrogenase MD simulations were performed for the free enzymes, binary E•NAD⁺ complexes, ternary enzyme•NAD⁺•2propanol (E•NAD⁺•2pro) complexes and ternary enzyme•NAD⁺•Ethanol (E•NAD⁺•Eth) complexes of both the wild type and mutant enzyme. In the free enzyme simulation: for the S/ADH\textsuperscript{wt}, the RMSD of the backbone stabilized around 2.3-2.7 Å, while the backbone RMSD of the S/ADH\textsuperscript{T114V} mutant varied between 2.1 and 2.9 Å (Figure 1 in paper2). Compared with Thr114 in the wild type, Val114 in the mutant is lacking a hydroxyl group and only a hydrogen bond between backbone NH of Val114 and the backbone CO group of Gly 110 was seen. This hydrogen bond was also maintained during the entire 50 ns of MD. In the wild type E•NAD⁺ binary complex, the adenine part of NAD⁺ formed hydrogen bonds with Asp63 and Val64 that persisted during the entire 50 ns of MD, while these hydrogen bonds were broken after around 4 ns in mutant and were not seen for the rest of the MD. The nicotinamide part of NAD⁺ formed a hydrogen bond to Thr186 during MD of both the wild type and mutant binary complex. The hydrogen bond seemed more persistent during MD with the mutant binary complex than during MD with the wild type binary complex. In the region of amino acid 114 (mutation region), Gly110 interacted mainly with Thr114 by forming two hydrogen bonds in wild type. In the mutant, Gly110 interacted with Asn113 and the back bond NH group of Val114. RMSF profile showed reduced fluctuation of the region around amino acids 175 -195 that is located on the protein surface being important for binding the nicotinamide part of NAD⁺ during MD with the mutant compared with that of the wild type (Figure 4 in paper2). In the E•NAD⁺•2pro complex, the hydrogen bonds between the adenine part of NAD⁺ and Asp63/Val64 were stable during MD with the wild type, while in the mutant, these interactions were gradually reduced. For the wild type the RMSD for NAD⁺ was between 0.0 Å to 2.0 Å, while for the mutant the RMSD for NAD⁺ was between 0.5 Å to 2.5Å. The side chain carbon atoms of the hydrophobic amino acids Ile106 and Val64 were closer to each other in the S/ADH\textsuperscript{T114V} mutant than in the S/ADH\textsuperscript{wt}. In the wild type the atomic distance between their closest side chain carbon atoms was continuously 6 Å, while the corresponding distance in the mutant was 6 Å during the first 10 ns, then it dropped to around 4.5 Å for the rest of the simulation. Both the side chain OH group and the backbone NH group of Ser71 formed very stable hydrogen bonds with Pro67, while in the wild type, only the backbone NH group interacted stably with Pro67, while the side chain was in the direction of Tyr62 altering the position of Tyr62 compared with the mutant. The interaction between Gly110 and Thr114 in the wild type remained the stable during the entire 50 ns of MD, while in the mutant, Gly110 interacted not only with Val114 backbone -NH group, but also with Asn90 and a water molecule during MD. After 12 ns of simulation with the ternary E•NAD⁺•Eth complex of the mutant, the hydrogen bonds between the adenine part and Asp63 and Val64 were broken, while the hydrogen bond between nicotinamide part and Thr186 was not observed between 10 and 20 ns, but were for the rest of the simulation. Calculations of the RMSD of NAD⁺ during MD of the mutant showed an increase from 0.5 Å to 2.5 Å during the first 7 ns, for the rest of the MD the RMSD was stable between 2.5~3.5 Å. In the wild type, the interactions of the nicotinamide part of NAD⁺ with Thr186 and the interactions of the adenine part with Asp63 and Val64 were stable during the entire 50 ns of simulation. The side chain atomic distances Ala92 - Val64 and Ile106 - Val64 were quite stable during MD with the wild type ternary complex, while during MD with the mutant these distances increased from 4 to 8 Å (Ala92-Val64) and from 6 to 10 Å (Ile106-Val64). Gly110 in the mutant interacted with Asn90 during the first 30 ns, and then changed to the backbone NH group of Val114. During MD with the wild type, Gly110 mainly interacted with Thr114. The catalytic triad (Ser138, Tyr151 and Lys155) remained quite stable in both wild type and mutant free enzyme. 4.3 Paper 3 Title: QM/MM studies of the catalytic mechanism of short chain alcohol dehydrogenases After docking, the $H_{Alc}$ (Figure 2) of both 2-propanol and ethanol was located at a distance of 1.59 Å from the $O^-_{Tyr151}$ atom in the wild type. In the ternary $S/ADH^{T114V}$ mutant complexes, the $H_{Alc}$ of both 2-propanol and ethanol was located around 1.50 Å from the $O^-_{Tyr151}$ atom. In scenario 1a (Figure 2 in paper 3), QM/MM energies for E•NAD$^+$•2pro wild type complex increased by approximately 7 kcal/mol when going from the energy optimized complex until the complex with the $H_{Alc}–O^-_{Tyr151}$ atomic distance of 0.95 Å was obtained. During the successive decrease of the $H_{Alc}–O^-_{Tyr151}$ atom distance, the $C_{Alc}–O_{Alc}$ atomic distance decreased automatically from 1.44 to 1.40 Å. However, the $C_{Alc}–H_{Calc}$ and $H_{Calc}–C4_{NAD}$ atomic distances did not change. The energy developments during the relaxation scan 1b for 2-propanol indicated that activation energy of about 20 kcal/mol was needed, then the energy drops with approximately 17 kcal/mol until a stable $H_{Calc}–C4_{NAD}$ atomic distance of 1.10 Å was formed. In scenario 2a (Figure 2 in paper 3), at an $H_{Calc}–C4_{NAD}$ atomic distance of 1.095 Å the QM/MM energy reached minimum. Between increment step 18 and 19 of 2-propanol with the wild type enzyme, the $H_{Calc}–C4_{NAD}$ atomic distance changed from 1.47 to 1.42 Å, but the $H_{Alc}–O^-_{Tyr151}$ distance changed from 1.43 Å (increment 18) to 1.029 Å (increment 19), while $C_{Alc}–O_{Alc}$ changed dramatically from 1.39 to 1.32 Å and the $O_{Alc}–H_{Alc}$ atomic distance changed from 1.067 Å to 1.52 Å (Figure 5 and 6 in paper 3). Similar sudden changes in the region of the alcohol hydroxyl group were also observed during the $H_{Calc}–C4_{NAD}$ distance relaxation scan of other wild type and mutant ternary complexes. At the end of the relaxation scans when the QM/MM energy had reached the energy minimum, at a $H_{Calc}–C4_{NAD}$ atomic distance of 1.095 Å, the $H_{Alc}–O^-_{Tyr151}$ distances were: wild type E•NAD$^+$•2pro complex: 0.98 Å, the wild type E•NAD$^+$•Eth complex: 0.98 Å, the mutant E•NAD$^+$•2pro complex 0.99 Å and the mutant E•NAD$^+$•Eth complex 0.97 Å (Figure 4 in paper 3). During the relaxation scan the $C_{Alc}–O_{Alc}$ changed into a double bond in all calculations with an atomic distance around 1.23 Å. The calculations indicated that a double bond character was induced into $C_{Alc}–O_{Alc}$ bond before the $H_{CAlc}–C4_{NAD}$ relaxation scan was ended. For the ternary complex of E•NAD$^+$•2pro with the wild type enzyme, a $C_{Alc}–O_{Alc}$ double bond was formed between increment steps 19 to 23. During these steps, the $C_{Alc}–O_{Alc}$ bond distance change from 1.33 Å to 1.24 Å, while $H_{CAlc}–C4_{NAD}$ bond distance changed from 1.42 Å to 1.21 Å, while the hydride transfer relaxation was continued until an $H_{CAlc}–C4_{NAD}$ atomic distance of 1.105 Å at increment step 25. A similar change in the hydride transfer was not observed during the relaxation scan of the scenario (Figure 3 in paper 3). 5 Discussion The SDR family is the best studied family of the ADHs, and several review papers have covered this group of enzymes during the last years [8, 10, 62, 255-257]. With the fast development of genome projects, the number of identified SDR primary sequences has increased from around 2000 [255] to around 47000 [8] during the last ten years. These primary sequences come from a variety of different species. A web site based on SDR related research has also been constructed (http://www.sdr-enzymes.org/). In humans there are, so fare, 202 SDR forms, among which 24 enzymes are associated with diseases in the OMIM database (Online Mendelian Inheritance in Man) [8]. However, the functions of about half of the human SDR enzymes are unknown [8]. Therefore, understanding the function and chemical reaction mechanism of SDR is also medically very important. Studies from different species have indicated that most enzymes in the SDR family have large similarities in the active site architecture (Figure 4), and are either NAD$^+$ or NADP$^+$ specific or utilize both coenzymes [8, 10, 62, 255-257]. Based on these similarities it is reasonable to believe that SDRs from drosophilid species may be used as a model system for other enzymes in the SDR family. SDRs from drosophilid species are among the most convenient to study. In these SDRs the nucleotides stereospecifically transfers a hydride from or to a substrate carbon atom and position 4 of the nicotinamide ring, and a lot is known about their molecular mechanism of action. However, the exact mechanism is still unknown. A chain of eight water molecules that is conserved in all DADHs has been proposed to be involved in a proton relay mechanism transporting a proton in between the active site and the solvent [19, 20, 46]. In the present study, the $S/\text{ADH}^{T114V}$ mutant was studied by experimental enzyme kinetic studies and theoretical molecular modeling studies, while the $S/\text{ADH}^{\text{wt}}$ was studied by theoretical molecular modeling studies. The main focus was on the function of this water chain and on the proton transfer and hydride transfer steps during the oxidation of $S/\text{ADH}$. 5.1 The eight membered water chain in DADHs 5.1.1 Enzyme Kinetic studies of SIADHT114V Highly pure preparations of $SIADH^{T114V}$ mutant were obtained from one of our collaborators. The proton relay chain in the $SIADH^{wt}$ is shown in Figure 3. The resolved X-ray crystal structure of the $SIADH^{T114V}$ mutant (Figure 13) shows high similarity to the structure of the wild-type enzyme (Figure 3), although the eight-membered water chain in the $SIADH^{T114V}$ mutant is interrupted by the lack of the hydroxyl group at the side chain in position 114. However, differences in the kinetic properties between $SIADH^{wt}$ and $SIADH^{T114V}$ were found. ![Figure 13: Eight membered water chain in X-ray crystal structure of $SIADH^{T114V}$ mutant (PDB Code: 3RJ9).](image) Pyrazole and 4-bromopyrazole which were ethanol competitive inhibitors with the $SIADH^{T114V}$ mutant enzyme in the pH region 7.0 to 9.5, showed uncompetitive inhibition against varied NAD$^+$ in the same pH region, and not mixed inhibition pattern. Therefore, like the wild type [19, 21, 33, 37, 54, 230], binding of coenzyme and substrate to the $SIADH^{T114V}$ mutant is also consistent with a compulsory ordered reaction mechanism. (Scheme 2, Figure 6) with the coenzyme binding to the free enzyme before the substrate binding. This is valid for the entire pH region studied. This was further proved by the independency of $\varphi_1$ coefficient (the binding of NAD$^+$ to the free enzyme) at both pH 7.0 and 9.5 with different alcohols. With the $S/ADH^{T114V}$ mutant a primary kinetic isotope effect of 3.5 on $\varphi_0^D / \varphi_0^H$ for [$^2$H$_6$]ethanol and ethanol was obtained. This is of the same magnitude as previously obtained for the $S/ADH^{wt}$ enzyme and the Drosophila melanogaster alleloenzymes ADH$^S$, ADH$^E$ and ADH$^{UF}$ [34, 36, 37, 258, 259]. This primary kinetic isotope effect indicates that the interconversion of the ternary complexes, i.e. the hydride transfer step ($k$) largely contributes to the rate limiting step in the oxidation of ethanol. The hydride transfer step has been reduced by approximately 4 times from $2.4s^{-1}$ in the $S/ADH^{wt}$ enzyme to $0.6s^{-1}$ in the $S/ADH^{T114V}$ mutant. As with the wild-type enzyme, the rate of the hydride transfer step for ethanol with the mutant enzyme does not vary with pH. For the $S/ADH^{wt}$ enzyme and the various DmADH alleloenzymes, the hydride transfer rate ($k$) for the secondary alcohol propan-2-ol was large compared to the E•NADH dissociation step ($k'_{-1}$) [34, 35]. The reduction in hydride transfer rate introduced by a deuterium atom did not affect the maximum velocity. For the $S/ADH^{T114V}$ mutant, the E•NADH dissociation rate ($k'_{-1}$) was approximately the same as for the wild-type enzyme. The small primary isotope effect ($\varphi_0^D / \varphi_0^H$) of approximately 1.6 obtained for [$^2$H$_8$]propan-2-ol in relation to propan-2-ol reveals that the rate limiting step with the isotope labelled alcohol has been changed to also include the hydride transfer step in addition to the E•NADH dissociation step. This also suggests that the rate of the hydride transfer step with propan-2-ol as a substrate has been reduced in the mutant compared to the wild-type enzyme. Previous studies with the $S/ADH^{wt}$ and the DmADH$^S$ showed that the pH dependence of the alcohol binding to the binary E•NAD$^+$ complex is derived exclusively from the on-velocity constant $k_2$ [27, 34, 43]. The present work with the $S/ADH^{T114V}$ mutant showed that the binding of ethanol to the binary $DADH$•NAD$^+$ complex also is dependent on the release of a single proton from the binary complex and that the hydride transfer step is pH independent. The 0.8 unit increase in the p$K_a$ value for binding of ethanol to the mutant $DADH$•NAD$^+$ complex compared to the wild type complex supports the water relay hypothesis of a linked ionization of the Tyr151/Lys155 residues in the active site. The orientation of the Thr114 OH group is pH dependent. Hence, Thr114 can be considered as a switch that keeps the water chain active, i.e. acting as proton relay. The change of Thr114 to Val114 in the mutant results in a break of the hydrogen bond pattern in the water chain (Figure 13), and hence affects the proton release to the bulk water through the water chain. Thus our results suggest that the water channel in DADH acts as a proton relay in the binary DADH•NAD⁺ complex. However, our results reveal the hydride transfer step in the mutant enzyme is 4 times slower than in the wild-type enzyme. This suggests that the water chain also is important for the hydride transfer and that the proton transfer may affect the rate of the hydride transfer. 5.1.2 Molecular dynamic perspective of SIADH\textsuperscript{wt} and SIADH\textsuperscript{T114V} From enzyme kinetic perspective, the studies in paper 1 verified the compulsory ordered mechanism of the S/ADH\textsuperscript{T114V} mutant and that the water relay system is important for optimal oxidation of alcohols by S/ADH\textsuperscript{wt}. However, in spite of differences in the enzyme kinetic constants, the X-ray crystal structure of the SIADH\textsuperscript{T114V} mutant was very similar to the structure of SIADH\textsuperscript{wt}. The important question in paper 2 was therefore if the Thr114 to Val mutation not only could interfere with the proton relay system by removing a connecting link in the chain, but also induce differences in molecular dynamics between the S/ADH\textsuperscript{wt} and the S/ADH\textsuperscript{T114V} mutant. Molecular motions are important for proper enzyme function, and differences in the structural dynamics between the S/ADH\textsuperscript{wt} and the S/ADH\textsuperscript{T114V} mutant may also contribute to the differences in their kinetic coefficients. The molecular dynamics simulations in paper 2 showed that there were differences in molecular dynamics in different regions of the enzymes between the S/ADH\textsuperscript{wt} and the S/ADH\textsuperscript{T114V} mutant. Measuring the substrate H\textsubscript{Alk}–O\textsuperscript{-}\textsubscript{Tyr151} and H\textsubscript{CAlk}–C\textsubscript{4NAD} atomic distances during the MD showed that both 2-propanol and ethanol had more freedom for movements in the active site region of the S/ADH\textsuperscript{wt} than of the S/ADH\textsuperscript{T114V} mutant. This may in part explain the faster hydride transfer rate in the wild type enzyme compared to the mutant enzyme. In this region, the hydrogen bonding between Thr186 and nicotinamide ring of NAD⁺ is important for NAD⁺ binding. This hydrogen bond was stable in MD of the wild type ternary complexes. While in the mutant ternary complex, this hydrogen bond was broken. However, during MD of the binary complexes, this hydrogen bond was more often seen in the mutant. This may indicate that substrate binding is favourable for forming the hydrogen bond between Thr186 and NAD$^+$. The simulations indicated that the Thr114 to Val mutations alters the hydrogen bonding interactions between Thr186 and the nicotinamide ring of NAD$^+$ and thereby induces differences in the dynamical behaviour in the region of amino acids 175-210. Hydrophobic interaction and hydrogen bonds are the two main types of interaction between the adenine part of NAD$^+$ and the hydrophobic pocket. The hydrogen bonding of adenine to both Asp63 and Val64 were generally reduced during MD with the mutant binary and ternary complexes compared with the corresponding wild type complexes. The adenine ring of NAD$^+$ was then twisted closer to the water channel in the mutant than in the wild type. Another consequence of this change was the increased atomic distances between the side chain atoms of Ala92 and Val64 and between the side chain atoms of Ile106 and Val64 during the simulations of the ternary complexes of ethanol with the $S/\text{ADH}^{T114V}$ mutant, while the atomic distance between Ile106 and Val64 decreased during MD of the ternary complex of 2-propanol with the $S/\text{ADH}^{T114V}$ mutant. However, during all simulations with the ternary complexes of the $S/\text{ADH}^{wt}$, these atomic distances remained stable. These differences observed during the MD in the region of the adenine and nicotinamide moiety of NAD$^+$ between the $S/\text{ADH}^{wt}$ and the $S/\text{ADH}^{T114V}$ mutant may affect the NAD$^+$ binding at Rossman fold and contribute to the experimentally observed differences in NAD$^+$ dissociation constant. The eight membered water channel may also be influenced by these dynamical changes since the water channels is situated close to the Rossman fold and the altered dynamics in the $S/\text{ADH}^{T114V}$ mutant due to the mutation may therefore also affect the proton abstraction from the binary enzyme-NAD$^+$ complex. Another hot spot is the region around amino acid 114. Several amino acids such as Gly110, Tyr62, Ser71, Pro67, Asn113 and Val66 are located around Thr144 (Val114). These amino acids may facilitate the proton transport from the NH$_3$-group at the side chain of Lys155 into the bulk solution through the end part of water channel [260]. In the wild type enzyme, the MDs of the $S/\text{ADH}^{T114V}$ indicated that several intramolecular interactions in this area disappeared or were reduced due to the Thr to Val mutation. An interaction between Tyr62 and Ser71 seems very important since it is located in the end part of proton relay system close to the bulk solution (Figure 3). This interaction was also reduced during MD with the $S/\text{ADH}^{\text{T114V}}$ enzyme complexes and of the free $S/\text{ADH}^{\text{T114V}}$ mutant enzyme compared with the corresponding simulations of the $S/\text{ADH}^{\text{wt}}$. All these differences in bonding interactions observed during MDs of the $S/\text{ADH}^{\text{T114V}}$ mutant compared to the MDs of the $S/\text{ADH}^{\text{wt}}$ in the region of water channel may contribute to a destabilizing of the end section of water chain in the mutant. 5.1.3 QM/MM studies of oxidation reaction mechanism of SIADH In paper 1 we mentioned the relationship between water relay system and the two steps in alcohol oxidation reaction (hydride transfer and proton release). The experimental result indicated that the hydride transfer step in the oxidation of ethanol was approximately 4 times slower for the $S/\text{ADH}^{\text{T114V}}$ mutant than for the $S/\text{ADH}^{\text{wt}}$. One can anticipate that disruption caused by the Thr114 to Val mutation on the water chain may affect the hydride transfer step under certain conditions. It is obvious that the differences in molecular motions between the $S/\text{ADH}^{\text{T114V}}$ mutant and the $S/\text{ADH}^{\text{wt}}$ found in paper 2 may contribute to the difference in hydride transfer. However, other differences may also contribute that can depend on whether the proton transfer occurs prior to or at the same time as the hydride transfer and alternatively regulate the latter step. In paper 3 we were using QM/MM calculations to study the proton and hydride transfer steps during alcohol oxidation of both the $S/\text{ADH}^{\text{wt}}$ and the $S/\text{ADH}^{\text{T114V}}$ mutant enzymes. Labeling of atoms mentioned in this section is given in Figure 2. Previous studies have suggested that proton abstraction from the hydroxyl group of alcohol is drawn by a negatively charged Tyr151 that may be also be coupled to Lys155 [33, 46, 54, 230]. After docking and energy optimization of the ternary $S/\text{ADH}^{\text{T114V}}$ mutant and $S/\text{ADH}^{\text{wt}}$ complexes, the hydroxyl hydrogen atoms ($\text{H}_{\text{Alc}}$) of both 2-propanol and ethanol were located much closer to Tyr151 (approximately 1.6Å) than to Lys155 (approximately 4Å). This may indicate that the proton most likely is donated to Tyr151. During the QM/MM calculations of the hydride transfer step it seemed like the proton transfer step was closely linked to the hydride transfer step. When the $\text{C}_{\text{Alc}}-\text{H}_{\text{CAlc}}$ atomic distance (Figure 2) has increased to 1.275 Å and the $\text{H}_{\text{CAlc}}-\text{C4}_{\text{NAD}}$ atomic distance (Figure 2) has decreased to 1.415 Å, we also got a sudden change in the C\textsubscript{Alc}–O\textsubscript{Alc} atom distance (1.43Å→1.32Å) and in the H\textsubscript{Alc}–O\textsuperscript{-}\textsubscript{Tyr151} atomic distances (1.57Å→1.03Å) indicating that the proton transfer was initiated by the hydride transfer. Similar results were also obtained during the QM/MM relaxation scans of the other complexes, the ternary complex of the S/ADH\textsuperscript{wt} with ethanol and the ternary complexes of the S/ADH\textsuperscript{T114V} mutant with 2-propanol and ethanol. This indicates three interesting phenomena: (1) Hydride transfer starts and at some point during the course, proton transfer starts and finish. (2) At the point when the proton transfer starts, a partly double bond character has been induced into the C\textsubscript{Alc}–O\textsubscript{Alc} bond. (3) The hydride transfer continues until reaching its finishing point accompanied with the formation of a C\textsubscript{Alc}–O\textsubscript{Alc} double bond. Especially, forming the partly double bond character most likely affects the pK\textsubscript{a} value of the alcohol OH group to a value lower than 7.1, i.e. the pK\textsubscript{a} value of the Tyr/Lys couple at the catalytic site of the wild type enzyme. This may explain why H\textsubscript{Alc} is transferred to O\textsuperscript{-}\textsubscript{Tyr151}. However during QM/MM calculation of the scenario in which the proton transfer happens prior to hydride transfer step, the C\textsubscript{Alc}–O\textsubscript{Alc} atomic distance was only slightly decreased (from 1.44 Å to 1.4 Å) and a double bond character was not induced. Calculation of the activation energy for our favorable scenario showed that the S/ADH\textsuperscript{wt} had lower activation energy than the S/ADH\textsuperscript{T114V} mutant for 2-propanol, while the activation energy was highest for the S/ADH\textsuperscript{wt} with ethanol. That may indicate that the activation energy is not the reason for slower hydride transfer for the S/ADH\textsuperscript{T114V} mutant compared with the S/ADH\textsuperscript{wt}. 6 Conclusion Despite their highly diverse substrate specificities, SDR family members show very similar folding pattern architectures, suggesting similarities in the catalytic mechanism and hence that $S/\text{ADH}$ can be used as a model enzyme for other SDR enzymes. The present study showed that the introduction of a Val instead of a Thr at position 114 in $S/\text{ADH}$ results in a break of the proton relay system. This break results in a slower $k_{\text{on}}$ velocity of NAD$^+$ and a weaker binding of this coenzyme to the enzyme. Furthermore, it results in a slower hydride transfer from alcohol to NAD$^+$ and an increase the p$K_a$ value of the group in the binary enzyme•NAD$^+$ complex that regulates the $k_{\text{on}}$ velocity of the alcohol and alcohol competitive inhibitors. Hence, an intact water chain in \textit{drosophilid} ADHs is essential for optimal enzyme activity. Other factors may also contribute to these changes, such as an altered dynamical behavior due to the mutation and the broken water chain. During the alcohol oxidation, hydride transfer most likely start first and initiate the proton transfer by lowering the p$K_a$ of hydroxyl group on alcohol. When the proton transfer is finished, the hydride transfer continues until it is finished. 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292 per million years) but could not generate diversity trajectories with temporally symmetrical waxing and waning phases nor the switch in the magnitudes of the initial origination and extinction rates with their final rates (10). Instead, clades quickly reached equilibrium diversity and then slowly rode the decaying equilibrium diversity down to extinction—the decline phase was longer than the diversification phase, and the final origination and extinction rates remained at intermediate values between the high initial origination rate and the low initial extinction rate, rather than switching in value. The only way to accommodate the observed diversity dynamics is if the intrinsic diversification rate (and thus the equilibrium diversity) deteriorated sufficiently fast. For example, when we modeled the decay in the intrinsic diversification at a rate of ~3% per million years, the clade was left with a standing diversity that increasingly lagged behind the equilibrium diversity as the clade went extinct (Fig. 3C). This resulted in the switching in the values of the initial and final pergenus origination and extinction rates and led to a sufficiently negative diversification rate during the clade's decline to produce the temporally symmetric waxing and waning phases of diversity change. An unexpected consequence of the rapid decline in the per-genus rate of diversification is that a clade's diversity only transiently equals the equilibrium diversity. In contrast, in typical diversity-dependent models, species diversity remains at or close to the equilibrium diversity after the initial radiation, even when the equilibrium diversity decays with time, for example, as in Whittaker et al.'s modeling of the disappearance of islands through erosion (18, 19). Under our model, the diversification phase involves a gain toward an equilibrium diversity, as in standard logistic growth. However, as diversity increases, the equilibrium diversity is decaying in response to an already deteriorating environment, and the clade reaches its peak diversity at an equilibrium value less than the initial equilibrium diversity. Then, as the clade moves into the decline phase, the decay in its intrinsic rate of diversification leads to a sufficiently rapid decrease in its equilibrium diversity that the clade's realized diversity increasingly lags behind the decaying equilibrium diversity (Fig. 3). Thus, although diversity dependence in the per-genus origination and extinction rates plays a role in determining the duration of the clade's history, the diversity dynamics is dominated by the decay in the intrinsic diversification rates, not by the diversity-dependent equilibrium processes. mine the clades' fates: the deterioration of their environment. Our results suggest that diversity dependence plays a role in diversity dynamics similar to the role that friction plays in the dynamics of motion—although it must be accounted for in the dynamics of diversity change, the dominant forces of diversity change lie beyond the existence of diversity dependence. References and Notes 1. D. M. Raup, Science 231, 1528–1533 (1986). 2. R. K. Bambach, Annu. Rev. Earth Planet. Sci. 34 127–155 (2006). , 3. L. M. Van Valen, Evol. Theory 1, 1–30 (1973). 4. We used Van Valen's original definition of the Red Queen as a measure of environmental deterioration regardless of the role that biotic and abiotic factors might have played in that deterioration (3). More recently, some have restricted the meaning of the Red Queen to biotic factors (5, 6), using the term Court Jester for abiotic factors (5, 6). 5. A. D. Barnosky, J. Vertebr. Paleontol. 21, 172–185 (2001). 6. M. J. Benton, Science 323, 728–732 (2009). 7. D. M. Raup, S. J. Gould, T. J. M. Schopf, D. S. Simberloff, J. Geol. 81, 525–542 (1973). 8. The idea that the major patterns in Phanerozoic diversity change could be attributed to purely stochastic process was later rejected (9). 9. S. M. Stanley, P. W. Signor III, S. Lidgard, A. F. Karr, Paleobiology 7, 115–127 (1981). 10. Material and methods and supplementary materials can be found on Science Online. 11. M. Foote, Paleobiology 33, 517–529 (2007). 12. R. H. MacArthur, E. O. Wilson, The Theory of Island Biogeography (Princeton Univ. Press, Princeton, NJ, 1967). 14. J. Alroy, in Speciation and Patterns of Diversity, R. Butlin, J. Bridle, D. Schluter, Eds. (Cambridge Univ. Press, Cambridge, 2009), pp. 301–323. 15. R. K. Bambach, A. H. Knoll, S. Wang, Paleobiology 30, 522–524 (2004). 16. In J. R. R. Tolkein's Middle Earth [J. R. R. Tolkien, The Lord of the Rings (Mariner Books, Boston, 2012)], the Ents lost their wives and thus had no means of regenerating their race, hence the term the Entwives effect. 17. L. Gilinsky, R. K. Bambach, Paleobiology 13, 427–445 (1987). 18. R. J. Whittaker, K. A. Triantis, R. J. Ladle, J. Biogeogr. 35, 977–994 (2008). 19. In Whittaker et al.'s model (18), their time axis is on a log scale. 20. J. J. Sepkoski Jr., Paleobiology 7, 36–53 (1984). 21. M. J. Benton, B. C. Emerson, Paleontology 50, 23–40 (2007). 22. S. M. Stanley, Paleobiology 33 (suppl.), 1–55 (2007). 23. S. M. Stanley, Paleobiology 34, 1–21 (2008). Acknowledgments: We thank all those who generated the mammal data as well as those who entered the data into the Paleobiology Database, especially J. Alroy, K. Behrensmeyer, A. Turner, M. Uhen, and M. Carrano. This is the Paleobiology Database publication number 178. We thank S. Finnegan, H. Morlon, and S. P. Quek for discussion. T.B.Q. thanks Fundação de Amparo à Pesquisa do Estado de São Paulo (2012/04072-3) and USP for funding. All of the data are available from the Paleobiology Database (http://paleodb.org). Supplementary Materials www.sciencemag.org/cgi/content/full/science.1239431/DC1 Materials and Methods Figs. S1 to S8 Tables S1 and S2 References (24–35) 13. J. Alroy, Palaeogeogr. Palaeoclimatol. Palaeoecol. 127, 285–311 (1996). 22 April 2013; accepted 5 June 2013 Published online 20 June 2013; 10.1126/science.1239431 Exceptional Convergence on the Macroevolutionary Landscape in Island Lizard Radiations D. Luke Mahler, 1 * Travis Ingram, 2 Liam J. Revell, 3 Jonathan B. Losos 2 G. G. Simpson, one of the chief architects of evolutionary biology's modern synthesis, proposed that diversification occurs on a macroevolutionary adaptive landscape, but landscape models are seldom used to study adaptive divergence in large radiations. We show that for Caribbean Anolis lizards, diversification on similar Simpsonian landscapes leads to striking convergence of entire faunas on four islands. Parallel radiations unfolding at large temporal scales shed light on the process of adaptive diversification, indicating that the adaptive landscape may give rise to predictable evolutionary patterns in nature, that adaptive peaks may be stable over macroevolutionary time, and that available geographic area influences the ability of lineages to discover new adaptive peaks. The secondary role that diversity-dependent rates of origination and extinction play in the diversity dynamics of the mammalian clades in decline offers a resolution to a debate in the paleontological literature, where diversity dependence has been proposed (13, 20) but where the evidence of equilibrium is scarce (21–23). In our model, the mechanism of diversity dependence is decoupled from the ultimate factors that deter- 1944 (1–4). Although influential as a metaphor, Simpson's landscape has only rarely been applied to study large adaptive radiations in nature. Moreover, when applied the macroevolutionary landscape generally has been invoked to describe evolutionary dynamics within a single lineage in a particular ecological setting. In recent years, however, a number of studies have suggested that entire evolutionary radiations can exhibit phenotypic convergence when they diversify in similar environments (5–10). To the extent that such The concept of a macroevolutionary adaptive landscape—a multivariate phenotype surface on which species evolve up local adaptive peaks—has guided thinking about adaptive radiation since G. G. Simpson proposed it in 1 Center for Population Biology, University of California Davis, Davis, CA 95616, USA. 2 Department of Organismic and Evolutionary Biology, Harvard University, Cambridge, MA 02138, USA. 3 Department of Biology, University of Massachusetts Boston, Boston, MA 02125, USA. Correspondence to: [email protected] 19 JULY 2013 VOL 341 SCIENCE www.sciencemag.org on July 18, 2013 www.sciencemag.org Downloaded from "replicated adaptive radiations" exist (11), they suggest not only that diversification over macroevolutionary time scales may be surprisingly deterministic but also that ecological factors can give rise to highly similar adaptive landscapes in geographically distinct regions (1, 2, 12). Laboratory investigations of microbial divergence (13) and computer simulation studies (1) both suggest that stable adaptive landscapes can generate predictable evolutionary patterns, but testing this hypothesis in naturally evolving radiations requires the comparison of adaptive landscapes over macroevolutionary time scales. Investigations of this type require a two-step process in which we first test the hypothesis that radiations are more convergent than expected by chance (11), and then we ask if this convergence has resulted from diversification on similar macroevolutionary landscapes. instances of convergent evolution (16). However, these analyses omitted an important dimension of the anole radiations: so-called "unique" species that evolved a morphology and ecology not found on other islands (14, 15). The number of unique species varies among islands, from none on Puerto Rico to 14 on Cuba, and they collectively constitute approximately 20% of Greater Antillean Anolis diversity. Thus, although repeated evolution of the ecomorphs has been demonstrated, whether the anole radiations themselves are convergent remains an open question. We used this approach to study the putative replicated adaptive radiations (2, 14) of Anolis lizards (anoles) on Caribbean islands. On each island in the Greater Antilles (Cuba, Hispaniola, Puerto Rico, and Jamaica), anoles have independently evolved a similar set of habitat specialists termed "ecomorphs" (such as "twig" or "grassbush") (14, 15). Each ecomorph is composed of morphologically and behaviorally similar species that occupy similar microhabitats. Prior studies have documented that members of the same ecomorph category from different islands cluster morphologically, providing evidence for repeated Thus, we began by asking whether the four Greater Antillean anole faunas exhibit exceptional species-for-species matching (2); i.e., greater pairwise phenotypic similarity between species on different islands than expected by chance, when the full ecomorphological diversity of lineages is considered. We compiled phylogenetic and phenotypic data for 100 of 119 Greater Antillean Anolis species, representing the diversity of both the ecomorph and unique species. We tested for species-for-species matching among islands using a phylogenetic comparative analysis of species similarity in a four-dimensional principal components morphospace generated from 11 traits important for niche partitioning in Anolis, including body size, limb and tail lengths, and adhesive toepad lamella number (14, 17). We measured the among-island Euclidean distance between each species and its nearest neighbor from each other island in morphospace, and assessed whether the average among-island distance for anoles was lower than expected by chance via comparison to a phylogenetic null distribution (18). We simulated null morphospaces using the empirical maximum clade credibility (MCC) phylogeny from a Bayesian analysis of mitochondrial DNA and evolutionary models that account for temporal and among-trait evolutionary rate variation (17, 19). We repeated the analysis across a Bayesian posterior tree sample, obtaining qualitatively identical results (18). These analyses provide strong evidence for exceptional species-for-species matching among island anole faunas: Most species on each island are more morphologically similar to species from other islands than expected by chance (P = 0.003; Fig. 1A). Next, we investigated whether a macroevolutionary model involving convergent shifts to common peaks on a Simpsonian landscape can explain the evolution of remarkably similar faunas on these four Caribbean islands. We applied a new method (SURFACE) to infer the history of adaptive diversification in anoles using a phylogeny and phenotypic data. This method fits a model of adaptive radiation in which lineages may undergo shifts to adaptive peaks on a macroevolutionary landscape without reference to a priori hypotheses specifying which lineages correspond to particular peaks (18, 20). In this model, lineages may undergo shifts to otherwise unoccupied peaks or to those shared with other lineages, which gives us the ability to explicitly model the macroevolutionary convergence of independent lineages in a common phenotype space. Starting with an Ornstein-Uhlenbeck model (21, 22) in which all species are attracted to a single adaptive peak in trait space, SURFACE uses a stepwise model selection procedure based on the finite-samples Akaike information criterion (AICc) (23, 24) to fit increasingly complex multipeak models. At each step, a new peak shift is added to the branch of the phylogeny that most improves model fit across all traits, and shifts are added until none result in further improvement. To identify convergence, the method then evaluates whether the AICc score is further improved by permitting these independent lineages to shift toward shared adaptive peaks rather than requiring each to occupy a unique peak. We compared the convergent landscape model to several alternatives, including three variants of the "early burst" model of adaptive radiation, which features a diversitydependent decline in evolutionary rate but does not explicitly model adaptation or convergence on a macroevolutionary landscape (17, 19). A Simpsonian model of peak shifts on a shared macroevolutionary adaptive landscape best explains the evolution of ecomorphological traits in Greater Antillean Anolis. Convergence of lineages to shared adaptive peaks was the dominant mode of macroevolutionary trait change for these replicated island radiations: A landscape model with explicit convergence was strongly favored over the best nonconvergent landscape model (DAICc = 162.6; www.sciencemag.org SCIENCE VOL 341 19 JULY 2013 on July 18, 2013 www.sciencemag.org Downloaded from 293 294 fig. S2), and even more strongly favored over models without peaks (DAICc ≥ 279.3; fig. S2). Peak shifts on the adaptive landscape were common as anoles diversified (29 lineage-specific shifts), with 76% of shifts involving convergence in morphospace (Figs. 1B and 2 and Table 1). The estimated landscape contained 15 adaptive peaks, with 8 occupied by more than one lineage. These convergent peaks attracted 2.8 lineages on average, and all but one hosted lineages from multiple islands. Overall, the number of convergent adaptive peak shifts was significantly greater than expected by chance (P = 0.01; Fig. 1B), and these shifts account for the exceptional similarity among island faunas (18). The number and position of peak shifts varied across 100 phylogenies, but the number of convergent shifts was similar for all trees (Table 1). Species traditionally grouped in the same ecomorph class (14–16) tended to be attracted toward the same adaptive peak (fig. S4). Our comparison of macroevolutionary models suggests that the adaptive landscape plays an important role in shaping parallel diversification. The only modelto accountfor the observed convergence of entire island anole faunas was a Simpsonian model (3, 5, 20–22), in which lineages experience selection toward common peaks on the adaptive landscape (fig. S1). Fitted peaks on the anole landscape correspond to trait combinations that have been shown experimentally to be adaptive for microhabitat partitioning (14) (fig. S4). Although it is possible that evolutionary constraints may play a role in shaping whole-fauna convergence, in the case of anoles the evidence points to a dominant role for selection. The Anolis radiation unfolded over tens of millions of years (14), a time scale over which constraints on the production of variation are unlikely to be maintained, especially for quantitative traits (25). Constraint seems an even less likely culprit considering that diverse radiations of Central and South American Anolis, which occur in ecologically different communities, exhibit many morphologies not seen in Caribbean forms(26),stronglysuggestingthatrepeatedGreater Antillean convergence is not due to intrinsic limits on morphological variation. Replication of adaptive radiations is readily attainable in simple systems over short time scales (2, 13), but convincing examples at a grander macroevolutionary scale have so far been lacking. Why this is the case is not yet clear, but our results argue against the possibility that the temporal lability of adaptive landscapes precludes faunal convergence over long time scales. The Greater Antillean anole radiation is old (with a minimum age of 30 to 40 million years) (14), and most ecomorphological diversity among anoles arose long ago (17) (Fig. 2), suggesting not only that the adaptive landscape for anoles is similar across islands but also that it is relatively static in its principal features (14, 27). Stable landscapes are further indicated by the similarity of adaptive peaks discovered by anole lineages from different islands, which would be highly unlikely if adaptive landscapes were themselves highly labile (3, 27). It remains to be seen whether this stability is a general feature of adaptive radiation, but our observations support the hypothesis that stable macroevolutionary landscapes underlie the common pattern of long-term phenotypic stasis in both fossil and comparative data sets (28, 29). Although convergence is the most conspicuous feature of Greater Antillean anole radiations, the island faunas are far from identical. Most no- tably, we found evidence for a number of nonconvergent shifts to island-specific peaks. However, such peaks are occupied only on the larger islands of Hispaniola and Cuba, a predicted "area effect" from adaptive radiation theory (1). Larger areas provide greater opportunities for diversification (1, 30), which may permit lineages to more fully explore the macroevolutionary landscape and discover peaks not reached on smaller islands (1). Fig. 2. Phenotypic convergence on the macroevolutionary adaptive landscape in island radiations of Greater Antillean Anolis. MCC phylogeny (left panel), painted to depict the estimated phylogenetic history of adaptive peak shifts. Branches and island silhouettes representing geographic location are colored according to adaptive peak. Convergent peaks are colored and are connected by solid lines; with one exception, these peaks attract lineages from multiple islands. Nonconvergent peaks are light gray (single-island radiations), or black or dark gray (radiations that spread to multiple islands; these islands are connected by dashed lines). Right panels show that anole species (small circles) cluster near their inferred adaptive peak (large circles) in morphospace, especially for pPCs 1 to 3 (primary trait correlations and variance explained are reported in the axis labels). Inferred convergent peaks broadly correspond to Anolis ecomorph classes, a consistent finding across phylogenies, although specific peak assignments vary from tree to tree (18) (fig. S4). In the MCC estimate plotted here, grass-bush specialists are attracted to dark or light yellow peaks. Larger and smaller twig specialists occur on purple and red peaks, respectively. Green peaks contain trunk-crown specialists, and brown peaks contain trunk-ground specialists. Dark blue peaks contain large crown-giant anoles; light blue peaks contain smaller giant anoles. A single dark gray peak contains additional trunk-ground and trunk-crown species; although similar because of inherited ancestral condition rather than convergence in this reconstruction phenotypically similar species on this peak occur on three different islands. 19 JULY 2013 VOL 341 SCIENCE www.sciencemag.org on July 18, 2013 www.sciencemag.org Downloaded from Table 1. SURFACE convergence parameters estimated using the MCC tree, as well as 100 trees from the Bayesian posterior probability distribution of Anolis phylogeny. Anoles have diversified into many more species on the larger islands (14, 31). Given the number of convergent and unique adaptive peak shifts that have occurred across the Greater Antilles in anoles, the area effect hypothesis predicts that all endemic unique peaks should occur on Cuba and Hispaniola, as observed (18) (fig. S3). Thus, in this system, even the apparently contingent evolution of unique ecomorphologies may be, to some extent, predictable—in this case a result of the speciation-area relationship (30). Gould famously argued that evolution over long time scales is "utterly unpredictable and quite unrepeatable" (32, p. 14) due to historical contingency. Widespread convergence among entire faunas of Greater Antillean Anolis refutes Gould's claim and shows that adaptation can overcome the influence of chance events on the course of evolution. Our demonstration of deterministic convergence on a macroevolutionary adaptive landscape complements studies of diversification in species numbers in showing that many features of large-scale radiations may be surprisingly predictable. A recent analysis discovered that both island diversification rate and standing species richness in Greater Antillean anoles could be predicted from island size and time since colonization (31). In cichlids, whether colonizing lineageswillradiateinAfricanlakescanbepredicted from the intrinsic traits of the colonist and the ecological opportunities provided by the new habitat (33). Together, these studies suggest that the primary aspects of evolutionary radiation—adaptation and the proliferation of species—may in some cases be largely deterministic. References and Notes 1. S. Gavrilets, A. Vose, Proc. Natl. Acad. Sci. U.S.A. 102, 18040–18045 (2005). 2. D. Schluter, The Ecology of Adaptive Radiation (Oxford Univ. Press, Oxford, 2000). 3. G. G. Simpson, Tempo and Mode in Evolution (Columbia Univ. Press, New York, 1944). 4. E. I. Svensson, R. Calsbeek, Eds., The Adaptive Landscape in Evolutionary Biology (Oxford Univ. Press, Oxford, 2012). 5. B. Frédérich, L. Sorenson, F. Santini, G. J. Slater, M. E. Alfaro, Am. Nat. 181, 94–113 (2013). 6. R. Gillespie, Science 303, 356–359 (2004). 7. T. J. Givnish, in The Biology of Biodiversity, M. Kato, Ed. (Springer-Verlag, Tokyo, 1999), pp. 67–90. 8. M. Muschick, A. Indermaur, W. Salzburger, Curr. Biol. 22, 2362–2368 (2012). 9. M. L. J. Stiassny, A. Meyer, Sci. Am. 280, 64–69 (1999). 10. K. A. Young, J. Snoeks, O. Seehausen, PLoS ONE 4, e4740 (2009). 11. Past studies of convergence between species-rich radiations have been selective in scope and have not compared entire radiations. Even lineages diversifying randomly under genetic drift will generate many convergent pairs (34), as will radiations adapting on a labile macroevolutionary landscape (27). Much of the diversity unsampled by past studies may be nonconvergent, so that different radiations may share many convergent species pairs while being unexceptionally similar at the whole-radiation scale. 12. M. L. Cody, H. A. Mooney, Annu. Rev. Ecol. Syst. 9, 265–321 (1978). 13. R. Kassen, Ann. N. Y. Acad. Sci. 1168, 3–22 (2009). 14. J. B. Losos, Lizards in an Evolutionary Tree: Ecology and Adaptive Radiation of Anoles (Univ. of California Press, Berkeley, CA, 2009). 15. E. E. Williams, in Lizard Ecology: Studies of a Model Organism, R. B. Huey, E. R. Pianka, T. W. Schoener, Eds. (Harvard Univ. Press, Cambridge, MA, 1983), pp. 326–370. 16. J. B. Losos, T. R. Jackman, A. Larson, K. de Queiroz, L. Rodríguez-Schettino, Science 279, 2115–2118 (1998). 17. D. L. Mahler, L. J. Revell, R. E. Glor, J. B. Losos, Evolution 64, 2731–2745 (2010). 19. L. J. Harmon et al., Evolution 64, 2385–2396 (2010). 20. T. Ingram, D. L. Mahler, Methods Ecol. Evol. 4, 416–425 (2013). 21. M. A. Butler, A. A. King, Am. Nat. 164, 683–695 (2004). 22. T. F. Hansen, Evolution 51 , 1341 (1997). 23. M. E. Alfaro et al., Proc. Natl. Acad. Sci. U.S.A. 106, 13410–13414 (2009). 24. G. H. Thomas, R. P. Freckleton, Methods Ecol. Evol 3, 145–151 (2012). 25. G. L. Conte, M. E. Arnegard, C. L. Peichel, D. Schluter, Proc. Biol. Sci. 279, 5039–5047 (2012). 26. G. Pinto, D. L. Mahler, L. J. Harmon, J. B. Losos, Proc. Biol. Sci. 275, 2749–2757 (2008). 27. T. F. Hansen, in The Adaptive Landscape in Evolutionary Biology, E. Svensson, R. Calsbeek, Eds. (Oxford Univ. Press, Oxford, 2012), pp. 205–226. 28. S. Estes, S. J. Arnold, Am. Nat. 169, 227–244 (2007). 29. J. C. Uyeda, T. F. Hansen, S. J. Arnold, J. Pienaar, Proc. Natl. Acad. Sci. U.S.A. 108, 15908–15913 (2011). 30. Y. Kisel, T. G. Barraclough, Am. Nat. 175, 316–334 (2010). 31. D. L. Rabosky, R. E. Glor, Proc. Natl. Acad. Sci. U.S.A. 107, 22178–22183 (2010). 32. S. J. Gould, Wonderful Life: The Burgess Shale and the Nature of History (Norton, New York, 1989). 33. C. E. Wagner, L. J. Harmon, O. Seehausen, Nature 487, 366–369 (2012). 34. C. T. Stayton, J. Theor. Biol. 252, 1–14 (2008). Acknowledgments: We thank G. Bradburd, C. Davis, L. Harmon, and F. Jenkins for discussion and advice; the National Evolutionary Synthesis Center and NSF for financial support; and three anonymous reviewers for insightful feedback. Data are archived in Dryad (http://datadryad.org, doi: 10.5061/dryad.9g182). Supplementary Materials www.sciencemag.org/cgi/content/full/341/6143/292/DC1 Materials and Methods Figs. S1 to S9 Tables S1 to S5 References ( 35 – 42 ) Author Contributions 18. Information on materials and methods is available as supplementary material on Science Online. 5 November 2012; accepted 5 June 2013 10.1126/science.1232392 Predicting and Manipulating Cardiac Drug Inactivation by the Human Gut Bacterium Eggerthella lenta Henry J. Haiser, 1 David B. Gootenberg, 1 Kelly Chatman, 1 Gopal Sirasani, 2 Emily P. Balskus, 2 Peter J. Turnbaugh 1 Despite numerous examples of the effects of the human gastrointestinal microbiome on drug efficacy and toxicity, there is often an incomplete understanding of the underlying mechanisms. Here, we dissect the inactivation of the cardiac drug digoxin by the gut Actinobacterium Eggerthella lenta. Transcriptional profiling, comparative genomics, and culture-based assays revealed a cytochrome-encoding operon up-regulated by digoxin, inhibited by arginine, absent in nonmetabolizing E. lenta strains, and predictive of digoxin inactivation by the human gut microbiome. Pharmacokinetic studies using gnotobiotic mice revealed that dietary protein reduces the in vivo microbial metabolism of digoxin, with significant changes to drug concentration in the serum and urine. These results emphasize the importance of viewing pharmacology from the perspective of both our human and microbial genomes. Humans are home to large and diverse microbial communities, the most abundant of which resides in the gastrointestinal tract. Recent studies have highlighted the clinical relevance of the biotransformations catalyzed by the human gut microbiome, including alterations to the bioavailability, activity, and toxicity of therapeutic drugs (1, 2). Although >40 drugs are metabolized by the gut microbiome, little is known about the underlying mechanisms. This www.sciencemag.org SCIENCE VOL 341 19 JULY 2013 on July 18, 2013 www.sciencemag.org Downloaded from 295	<urn:uuid:9d6978b4-8d32-42aa-9569-4fa1b2aeaec3>	CC-MAIN-2025-08	http://faculty.umb.edu/liam.revell/pdfs/Mahler_etal_2013.Science.pdf	2025-02-06T16:16:17+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-08/subset=warc/part-00087-b184e832-acd1-425a-bab7-895830f2748a.c000.gz.parquet	8,492,728	6,762	eng_Latn	eng_Latn	0.936459	eng_Latn	0.973151	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 8580, 14737, 20602, 28054 ]
Congratulations Robert Saltsman On Finishing The 2022 Fort Lauderdale Mercedes-Benz Corporate Run Presented By Turkish Airlines 06:55 Average Pace 22 of 1,162 Overall Gender 24 of 2,341 Overall Place DPR Construction	<urn:uuid:6b3dc812-f844-41bd-a3b8-d771156c8cce>	CC-MAIN-2022-27	https://events.hakuapp.com/event_results/certificate.pdf?event_option=08118b62e565ee324e94&registration_number=4F8778903B38	2022-07-06T00:22:47+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-27/subset=warc/part-00050-48f675b2-7fd4-43af-adb3-2a4ea7f82193.c000.gz.parquet	291,011,086	54	eng_Latn	eng_Latn	0.653496	eng_Latn	0.653496	[ "eng_Latn" ]	false	rolmOCR	[ 222 ]
Wednesday Evening Buccaneers Junior Series 2022 Haversham S C Wednesday Evening Buccaneers 2022 - After Race 4 Junior Fleet Sailed: 4, Discards: 1, To count: 3, Rating system: PY, Entries: 6, Scoring system: Appendix A \| Rank \| Fleet \| Class \| SailNo \| HelmName \| CrewName \| PY \| WBucc01 03/08/22 \| WBucc02 10/08/22 \| WBucc03 24/08/22 \| WBucc04 31/08/22 \| Total \| Nett \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1st \| Junior \| Pico \| Various \| Ben \| \| 1330 \| (7.0 DNC) \| 2.0 \| 1.0 \| 1.0 \| 11 \| 4 \| \| 2nd \| Junior \| Pico \| 5475 \| Alex \| \| 1330 \| (7.0 DNC) \| 7.0 DNC \| 2.0 \| 2.0 \| 18 \| 11 \| \| 3rd \| Junior \| Pico \| 2236 \| Max \| \| 1330 \| 3.0 \| (7.0 DNC) \| 7.0 DNC \| 4.0 DNF \| 21 \| 14 \| \| 4th \| Junior \| RS Aero 7 \| 1046 \| Cyrus \| \| 1065 \| (7.0 DNC) \| 1.0 \| 7.0 DNC \| 7.0 DNC \| 22 \| 15 \| \| 5th \| Junior \| Pico \| Pink \| Raphy \| \| 1330 \| 1.0 \| (7.0 DNC) \| 7.0 DNC \| 7.0 DNC \| 22 \| 15 \| \| 6th \| Junior \| Pico \| Blue \| Joshua \| \| 1330 \| 2.0 \| (7.0 DNC) \| 7.0 DNC \| 7.0 DNC \| 23 \| 16 \| New Club Handicaps for some 3 sail boats. See Club Website for new PY figures. WBucc01 - Junior Fleet - 03/08/22 Start: Start 1, Finishes: Place \| Rank \| Fleet \| Class \| SailNo \| HelmName \| CrewName \| PY \| Elapsed \| Laps \| Corrected \| BCE \| BCR \| Points \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1 \| Junior \| Pico \| Pink \| Raphy \| \| 1330 \| 25.46 \| 3 \| 0.19.22 \| 0.00.00 \| 1330 \| 1 \| \| 2 \| Junior \| Pico \| Blue \| Joshua \| \| 1330 \| 20.33 \| 2 \| 0.23.11 \| 0.03.22 \| 1591.1 \| 2 \| \| 3 \| Junior \| Pico \| 2236 \| Max \| \| 1330 \| 13.33 \| 1 \| 0.30.34 \| 0.04.58 \| 2098.23 \| 3 \| WBucc02 - Junior Fleet - 10/08/22 Start: Start 1, Finishes: Place WBucc03 - Junior Fleet - 24/08/22 Start: Start 1, Finishes: Place WBucc04 - Junior Fleet - 31/08/22 Start: Start 1, Finishes: Place \| 1 \| Junior \| Pico \| Various \| Ben \| 1330 \| 46.46 \| 4 \| 0.35.10 \| 0.00.00 \| 1330 \| 1.0 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 2 \| Junior \| Pico \| 5475 \| Alex \| 1330 \| 49.30 \| 4 \| 0.37.13 \| 0.02.44 \| 1407.733 \| 2 \| \| 3 \| Junior \| Pico \| 2236 \| Max \| 1330 \| DNF \| 4 \| \| \| \| 4 \| Scoring codes used \| Code \| Description \| \|---\|---\| \| DNC \| Did not come to the starting area \| Sailwave Scoring Software 2.29.0 www.sailwave.com	<urn:uuid:ef5d193b-b82e-47b3-ab32-6a70b5fa43c6>	CC-MAIN-2022-40	https://www.havershamsc.org/uploads/7/0/7/5/70757609/sailwave_results_for_wednesday_evening_buccaneers_junior_series_2022_at_haversham_s_c_2022.pdf	2022-09-29T13:25:56+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00241-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	856,371,074	1,033	eng_Latn	eng_Latn	0.707873	eng_Latn	0.707873	[ "eng_Latn" ]	false	rolmOCR	[ 2241 ]

Generation One 1. Alexander Bremner #19384, b. 21 November 1838 in SCT, 1 d. 09 October 1925 in Montreal, QC, CAN, buried 12 October 1925 in Mount Royal Cemetery, Montreal, QC, 2 occupation Building Contractor. ``` Immigrated 1844 (1901 -1921Montreal census); 1881: Lived Outremont; 1889-94: res. 85 Mance; 1896-98: 4401 St. Catherine, Westmount; 1900-1906: Res. 89 Park Ave., 1901: Lived 218 Prince Arthur, Montreal. 1913-25: Residence 237 Kensington Ave., Montreal. 1925: Residence at death 237 Kensington Ave., Montreal. ``` He married Mary Morrison #19385, b. 19 September 1843 in Montreal?, QC, CAN, 3 d. 10 September 1925 in Montreal, QC, CAN, 4 buried 12 September 1925 in Mount Royal Cemetery, Montreal, QC. 4 Mary: (1901 Montreal census gives "Quebec, rural" as birthplace.) Children: 2. i. Jeannette (Nettie) May Bremner #19386 b. 11 October 1870. 3. ii. John Alexander Bremner #19387 b. 21 November 1873. 4. iii. Annie A. Bremner #19399 b. c 1875. 5. iv. William Ernest Bremner #29130 b. c June 1878. 6. v. Alexander Wellwood Bremner #19388 b. 16 March 1880. 7. vi. Walter Bremner #66676 b. c 1891. Generation Two 2. Jeannette (Nettie) May Bremner #19386, b. 11 October 1870 in Montreal?, QC, CAN, 1 d. 28 September 1940 in 396 Rosyln Ave., Montreal, QC, CAN, 4 buried 30 September 1940 in Mount Royal, Montreal, QC, CAN. 5 (unmarried) 3. John Alexander Bremner #19387, b. 21 November 1873 in Montreal, QC, CAN, 1 d. 25 June 1968 in Checketts Rest Home, Montreal, QC, CAN, 6 occupation Trader. He married Florence Martha Jane Thompson #19390, b. c 1876 (daughter of Stephen John Thompson #19391 and Jane Bell #19392), d. 1970 in Montreal, QC, CAN, buried in Mount Royal Cemetery, Montreal, QC. 7 Children: 8. i. Douglas Orrin Bremner #19393 b. 1903. 4. Annie A. Bremner #19399, b. c 1875 in Montreal?, QC, CAN. 8 6. Alexander Wellwood Bremner #19388, b. 16 March 1880 in Montreal?, QC, CAN, 1 baptized 1880 in Crescent, Montreal, QC, CAN, 11 d. 16 March 1957 in Montreal, QC, CAN, 12 buried in Mount Royal, Montreal, QC, CAN. 5. William Ernest Bremner #29130, b. c June 1878 in Montreal, QC, CAN, 9 d. 10 April 1879 in Outremont, Montreal, QC, CAN, 9 buried 12 April 1879 in Mount Royal, Montreal, QC, CAN. 10 1898: Lived at parents, 4401 St. Catherine's, Westmount, Montreal. 1904( Residence when married: 89 Park Avenue, Montreal, QC. 1910: Res 229 St. Catherine Rd., Outremont; Building Materials and Contracting was still at 100 Bleury. 1957: Residence 380 Willowdale Ave., Montreal. He married 13 (1) Florence Gertrude Elliott #49207, 08 June 1904 in Somerville, MA, USA, b. c 1883 in Kingston, Frontenac County, ON, Canada, 14 (daughter of William G. Elliott #68645 and Hannah McCammon? #68646), d. 07 June 1936 in Westmount, Montreal, QC, CAN, 4 buried 10 June 1936 in Mount Royal, Montreal, QC, CAN. 15: Florence 1883: Note that there is a birth registration in Toronto for "Florence Gertrude ELLIOTT" to William ELLIOTT and Alice FERGUSON... 1904: Residence when married: 42 Tufts Street, Somerville, MA. He married (2) Ethel Caster #19389. Children: 9. i. Marion Ethel Bremner #33997 b. 25 July 1929. 7. Walter Bremner #66676, b. c 1891 in Montreal?, QC, Canada. 16 Generation Three 8. Douglas Orrin Bremner #19393, b. 1903 in Montreal?, QC, CAN, d. 04 September 1998 in Montreal, QC, CAN, 17 buried in Mount Royal Cemetery, Montreal, QC, CAN, 17 occupation Bremner Norris & Co., GM. * verify link to parents ** 1920: Res. 656 Belmont Ave., Westmount 1930-1950: res. 3769 Boulevard, Westmount, QC. He married Isobel Margaret Geraghty #19394, b. 1905, 17 d. 04 February 1999 in Ormstown, QC, CAN, buried in Mount Royal Cemetery, Montreal, QC, CAN. 17 Children: 10. i. Douglas Bremner #19398. 11. ii. Evelyn Bremner #19395. 12. iii. Carol Ann Bremner #19396. 13. iv. Marjory Bremner #19397. 9. Marion Ethel Bremner #33997, b. 25 July 1929 in Montreal, QC, CAN. 18 (verify mother) Generation Four 10. Douglas Bremner #19398. 1964: Chairman, Douglas BREMNER Builders 11. Evelyn Bremner #19395, occupation Teacher. 1950: Lived at home, worked as teacher at Roslyn School. 12. Carol Ann Bremner #19396. 1950: at home with parents, student. 13. Marjory Bremner #19397. 1940: student, at home. 1950: Secretary at School for Crippled Children; lived at home. 1 1901 Montreal St. Antoine census; filmT-6536; age/birthdate. 3 1901 Montreal St. Antoine census; filmT-6536; age/birthdate; 1881 census gives birthplace as Scotland. 2 Mount Royal Cemetery, Section C-935; Drouin Collection Vital Records 1621-1967 (ancestry.com). 4 Drouin Collection Vital Records 1621-1967 (ancestry.com). 6 Mount Royal Cemetery records, ref. section G-340. 5 Drouin Collection Vital Records 1621-1967 (ancestry.com); cremated. 7 Mount Royal Cemetery; Image 00-0726. 9 Mount Royal Cemetery Records, Section C-935. 8 1881 Outremont census; age/birthplace. 10 Mount Royal Cemetery Records, Section C-935; Drouin Collection Vital Records 1621-1967 (ancestry.com). 12 Mount Royal Cemetery records, ref. C-935. 11 LDS Film 1684034; Index of BMD for Non--Catholics, Montreal and Rural Parishes. 13 Details from burial register entry. 15 Drouin Collection Vital Records 1621-1967 (ancestry.com); cremated. 14 Details from 1904 Somerville, MA marriage certificate. 16 1921 Westmount/Montreal, QC census; age/birthplace/relationship. 18 Marsha MacKay, 2002. 17 Photo and transcription July 2000, Image 00-0726.

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Comments $ = TomTom $$ =AA route Benenden Village Green TQ808328 TN17 4EF 42 £8.40 $$ $$ $$ $$ Chiddingfold, Surrey TQ962355 CR5 3NR 52 £10.40 East Peckham TQ670485 TN12 5ET 26 £5.20 $ Greenwich railway station TQ380774 SE10 9LL 8 £1.60 $ $$ Ide Hill Village CP TQ488517 TN14 6JG 17 £3.40 $ Warning SatNavs are likely to route via Fawkham Green, these lanes are very narrow. From the A20 head north on Ash Lane for about 2.5 miles, 50m after passing a small Gulf petrol station (Automobile Engineering) Ash Road turns right off main road, then follow Ash Road to left for 200m then turn right in to Punch Croft. The entrance to The Pavilion/New Ash Green Rugby Club car park is almost immediately on the right. $ Offham Village Green TQ657573 ME195NU 22 £4.40 $ $$ Scadbury Nature Reserve TQ452704 BR75PG 3 £0.60 $ Winchester 85 £17.00 $ £3, large CP

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A1F Datasheet NOVIA BS 1521 Grade A1F Building Paper This is a traditional, reinforced kraft paper bitumen-bonded, building paper laminate. Manufactured with wet-strength kraft paper and meeting the technical requirements of BS 1521 for water-proof building papers, the product utilises polymer reinforcing scrim. Typical uses: Vapour-checks, Underlays on uninsulated cladding, Temporary Protection, Separation Layers, Bond Breaks, Draught and Damp exclusion and Air Movement barriers. Sizes available: 1000 mm x 25m, 1000 mm x 50 m (from stock) Other sizes available (subject to MOQ) Typical performance data: Moisture vapour resistance 53 MNs/g Tensile strength BS 4415 (Dry) 12.4 kN/m (M/D), 7.20 kN/m (C/D) Bursting strength BS 3137 (Dry) 550 kN/m 2 Liquid water resistance minimum 24 hours Upper temperature stability Over 70 Celsius Chemical resistance Resistant to chemicals found in plaster and cement Does not attract insects or vermin Biological NOVIA LTD, Unit 12 Heronden Road, Parkwood Industrial Estate, Maidstone, Kent. ME15 9YR Tel (01622) 678952 Fax (01622) 679025 e-mail: [email protected] Registered Office: Star House, Star Hill, Rochester, ME1 1UX Company reg no. 3229379 VAT reg no. GB 662 277131

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We apply Deep Recurrent Neural Networks with Long Short Term Memory on time series forecasting, in particular to predict the very volatile Bitcoin (BTC) financial asset price over a number of input sequence lengths and forecast lengths. We reference price work on ARIMA [1] to give insights on our baseline time series model. **Data** Our Data is the daily historical data of Bitcoin (BTC) sourced from a reputable exchange, along with other features including technical indicators. Our sample was drawn from daily prices since 01/01/2017. Our model performed best after regularization and normalization. **Features** For the Bitcoin index, three categories of daily variables are used as model predictors. The first category contains historical Bitcoin trading data, such as the open, close, high, and low bitcoin prices of the day or hour. The second category consists of volume and percentage change in price recorded during trading. These variables are widely used in stock and commodities trading. We also examine derived features as the third type of input. Derived features include the other attributes mentioned, exponentially weighted smoothing averages, seasonal decomposition, and trend decomposition, as well as Technical Indicators: MACD, Average True Range, RSI, Bollinger Bands. Prior work on Quantitative trading strategies provides some guidance on this front [2], [3]. **Models** In terms of model architecture, we explore a variety of LSTM models with up to six layers, with 8-1 LSTM layers and 1-2 Dense layers with a final Dense output layer were the main focus. We implement dropout and batch normalization after every LSTM layer in the model. Each LSTM layer has the same number of hidden units, which we use as a hyper-parameter in our search. We model the problem as a many-to-many sequence forecasting problem, and thus the final layer in our models have a number of output units equal to the number of time steps to be forecasted. Our models were trained with a mean squared error loss function applied for the back propagation phase of the learning algorithm. [3] We implemented a simple looping construct to search the optimal set of hyper-parameters similar to the following pseudo-code: We plotted our top 25 models with forecasts and evaluated them on Mean absolute percentage error (MAPE), which is defined as \[ \text{MAPE} = \frac{1}{n} \sum_{i=1}^{n} \left| \frac{\text{Actual} - \text{Forecasted}}{\text{Actual}} \right| \] We initially focus on quantity of models over quality, trying different architectures and approaches to see what works best. We tried different window length and forecast length, finally settling on 5-day LSTM architectures which output a single 5-minute prediction per value. We then moved quality to the head of our decision making processes to tune the final models. Rapid exploration turned out to be advantageous in uncovering our most promising models early on. [2] As you can see below, our predictions showed a solid amount of learning (low mean concise absolute error). ![Traditional and LSTM Modeling for BTC Close Price](image) **Results** After extensive exploratory Our findings were conclusive. We found that Deep Recurrent Neural Networks were superior to ARIMA and VAR models when tuned extensively. The MAPE was significantly better for well-tuned LSTM models. We noticed that normalization and regularization of our inputs, along with low-to-moderate levels of dropout and L2-0 hidden units improved our results. **Discussion** We are optimistic that further questioning and additional human insights along with better feature engineering, more high quality data, rigorous optimization, and additional techniques such as attention models and other exciting research findings will result in significant lift in performance. Technically, we hope to automate and improve our analysis both from a high level architecture and hyper-parameter optimization (grid or bayesian search.), and in terms of low level technical details such as automation, and agile development methodologies. In particular, the ability to automatically optimize the number of layers will be useful, and the ability to run many different architectures and hyper-parameters over a large dataset will be preferred over a high amount of manual tuning. We also plan to add better error handling, unit and integration testing, and improve the overall quality of the code. **References** [1] Zhang Jians. “Exploration of predicting power of arima.” In: (). [2] Kaur. “Quantitative trading strategies using deep learning, pairs trading.” In: (). [3] Sketje, Shane Person. “Hybrid autoregressive recurrent neural network architecture for algorithmic trading of cryptocurrencies.” In: ().

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Merrimac Police Station – Merrimac, MA Meeting Minutes Attendees: | Assoc. | Present | Name | Assoc. | |---|---|---|---| | | | NV5 (OPM) | | | Police | Y | Bill Cunniff | NV5 | | Res | Y | Ken Grizzell | NV5 | | Merr | Y | | | | Res | Y | Designer | | | Res | | Greg Carell – Carell Group | CG | | Merr | Y | | | | Res | | | | | Merr | Y | | | | Merr | Y | | | 1. The meeting was called to order at 1300 hours by Chief Shears. Meeting to discuss potential Massachusetts State Grants for Public Safety: 1. Senator Diana DiZoglio and Ms. Lauren LeBlanc arrived just after 1300 hours and we discussed the project with the Senator. She would like us to send information on the building and costs associated with the building. We discussed the filing of bond bills and earmarks to help offset the costs of the project. Chief Shears will send the information to both. 2. State Representative Leonard Mirra arrived just after 1400 hours and we continued our discussion about the building. There was talk of both the Senator and the Representative filing legislation together. 3. The Meeting concluded at approximately 1440 hours. Senator DiZoglio and Representative Mirra proceeded to the police department for a brief tour with Chief Shears and Chief Fisher.

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West Virginia Division of Motor Vehicles ANNUAL REPORT 2018 Thomas J. Smith, PE Secretary, Department of Transportation Pat S. Reed Commissioner, Division of Motor Vehicles Photo credit: Jodie Knox (Schwirtz) THIS PAGE INTENTIONALLY LEFT BLANK DMV Locations Regional Offices and Examination Center 1) BECKLEY 107 Pinecrest Drive Beckley, WV 25801 2) CHARLES TOWN 24 Ruland Road Kearneysville, WV 25430 3) CLARKSBURG 153 West Main Street Clarksburg, WV 26301 4) ELKINS 1029 North Randolph Avenue Elkins, WV 26241 5) FAIRMONT EXAM CENTER 420 Marion Square, Suite 290 Fairmont, WV 26554 6) FLATWOODS 295 Skidmore Lane Sutton, WV 26601 7) FRANKLIN 100 Thorn Creek Road Suite 300 Franklin, WV 26807 8) HUNTINGTON 801 Madison Avenue Huntington, WV 25701 9) KANAWHA CITY 5707 MacCorkle Ave. SE Suite 400 Charleston, WV 25317 10) LEWISBURG 148 Maplewood Avenue Lewisburg, WV 24901 11) LOGAN 428 Main Street Logan, WV 25601 12) MARTINSBURG 38 Severna Parkway Martinsburg, WV 25403 13) MOOREFIELD 410 South Main Street Moorefield, WV 26856 14) MORGANTOWN 1525 Deckers Creek Blvd. Morgantown, WV 26505 15) MOUNDSVILLE 400 Teletech Drive, Suite 100 Moundsville, WV 26041 16) PARKERSBURG 601 Lubeck Avenue Parkersburg, WV 26101 17) POINT PLEASANT 1408 Kanawha Street Point Pleasant, WV 25550 18) PRINCETON 198 Davis Street Princeton, WV 24740 19) ROMNEY HC 60, Box 2570 (Route 50 & Ridge Loop Rd.) Romney, WV 26757 20) SPENCER 115 Church Street Spencer, WV 25276 21) SUMMERSVILLE 2 Armory Way Summersville, WV 26651 22) WEIRTON 100 Municipal Plaza Suite 100 Weirton, WV 26062 23) WELCH 92 McDowell Street Welch, WV 24801 24) WILLIAMSON 225 East 3rd Avenue Williamson, WV 25661 25) WINFIELD 116, Liberty Square Winfield, WV 25526 Pat Reed Commissioner Linda Ellis Deputy Commissioner Terri Shafii Executive Assistant to the Commissioner EXECUTIVE STAFF Regional Offices Cecil Loyd, Director Management Services Jim Jordan, Director Technology Services Tony Stewart Information Services Wilbur Thaxton II, Director Human Resources Monica Price, Manager Investigation & Security Services Linda Ellis, Director Vehicle Services Michael Maggard, Director Driver Services Larry Cavender, Director Legal Services Adam Holley, General Counsel Public Information Specialist Natalie Holcomb Governor's Highway Safety Program Bob Tipton, Director # Table of Contents 2018 Fiscal Year End Report | June 1, 2017 - June 30, 2018 | Section | Page | |------------------------------------------------------------------------|------| | Commissioner's Forward | 1 | | Legislative Changes | 3 | | Highway Safety | 4 | | About the Program | 4 | | GHSP Goals | 5 | | Public Information | 5 | | GHSP Federal Funding Policy Compliance | 5 | | Driver Services | 7 | | Revocations & Suspensions | 7 | | Commercial Driver’s License | 9 | | CDL Restrictions | 10 | | CDL Assessment Unit | 11 | | DUI Programs | 13 | | Driver Improvement | 13 | | Second Chance Program | 14 | | Medical Review Unit | 15 | | Compulsory Insurance | 16 | | Technology Services | 17 | | Information Services | 18 | | Investigation, Security & Support Services | 19 | | Legal Services | 20 | | Management Services | 21 | | Receiving & Processing | 21 | | Purchasing & Accounts Payable | 22 | | Warehouse & Inventory Supply | 22 | | Regional Office Services | 23 | | Vehicle Services | 25 | | Titles & Registrations | 25 | | Dealer/Leasing Services | 25 | | Motor Carrier Services | 28 | 2018 Highlights and Accomplishments The Division continued to make tremendous progress in FY 2018 in improving customer service. Key programs and highlights include: - **DMV adds more kiosks (self-service terminals).** DMV added new kiosks in 2018 that were placed around the state and offer many of the services that can be found through our online services portal. Driver’s license renewal and vehicle registration renewal are key features of the kiosks. Locations include: Kanawha City, Martinsburg, Wheeling, Beckley, Barboursville, Clarksburg, Scott Depot, and Star City. - **DMV utilizes flat screen monitors in all the Regional Offices through the Motor Vehicle Network (MVN) to provide customers with education and information regarding DMV’s vehicle and driver services.** Monitors encourage customers to “Skip the Trip” or “Skip the Line” with online services and the DMV kiosks. - **As part of the ongoing business modernization plan, DMV continues to add online services to the website.** The DMV website contains the online services portal, which allows citizens to perform requests for vehicle registration renewals, duplicate registration cards, duplicate Class A license plate decals or plates, and update their address of record with the DMV. Customers can also pay their driver’s license reinstatement fees and purchase their driving record online. Motor carrier drivers can also now take advantage of the online services with a new online application system. - **DMV driver examiners continue to be amongst the best in the nation by achieving full national certification.** The DMV strives to maintain the highest level of performance among our driver examiners through training and education. During FY 2018, the DMV implemented online training courses for driver and motorcycle examiners which has significantly reduced training expenses. As a result, 85% of our driver examiners are nationally certified. • DMV improved upon the CDL Skills Testing process by upgrading to new electronic testing methods utilizing mCDL software developed alongside Appalachian Technical Institute in Huntington. This software assists in fraud prevention, as well as reducing the amount of time needed to issue a CDL to applicants. • The West Virginia Governor’s Highway Safety Program (GHSP) continues to focus on reducing roadway injuries and fatalities, aided by the 89.7% seat belt usage rate in 2017, high visibility enforcement campaigns, and strong media messaging. In addition to occupant protection, the GHSP also focuses on impaired driving prevention and awareness. In FY 2018, the GHSP provided $694,386 in federal DUI funding to 169 law enforcement agencies and the State Police, resulting in 1,456 DUI arrests, 31,869 driver contacts, and 15,793 additional traffic citations. 2019 and Beyond... The accomplishments of the Division over the last year will stimulate improvements in many of its processes. Several key projects are underway in FY 2019. Those projects include: • Implement, by October 2019, a new Driver License/Identification card system that will be completely compliant with the “Real ID Act” of 2005, which is mandatory for 2020. • Continue modernizing outdated mainframe-based technology. • Continue to promote the usage of the online transactions through the DMV website. • Implement a new, more convenient IRP solution that will allow customers to perform IRP transactions online as well as from a mobile device. This will also provide customers with real time Federal Motor Carrier Safety Administration updates made directly to their mobile devices. • Add online renewal capability for West Virginia Automobile Dealers. • Expand the availability of web-based business processes and increase the use of online self-service transactions by 5% each year. • Improve the safety of the motoring public through public awareness initiatives and driver rehabilitation. • Develop a customer-centric business system to replace outdated standalone databases to provide state-of-the-art motor vehicle services to customers in an efficient and cost-effective manner by FY 2021. • Complete the interface with the Supreme Court’s Unified Judicial Application, which will allow DMV to electronically import most convictions to the driver record by FY 2021. • Complete the import of the ticket supplied through the Supreme Court’s Unified Judicial Application, to the agency’s Document Managing System by FY 2020. Legislative Changes Summary for Fiscal Year 2018 New Legislative Vehicle Plates: Senate Bill 589 Requires the Division of Motor Vehicles to issue personalized antique vehicle plates. Senate Bill 590 Requires the Division of Motor Vehicles to issue a special vehicle plate for curing childhood cancer. House Bill 4015 Requires the Division of Motor Vehicles to reissue newly designed vehicle plates for the front and back of all State-owned or State-leased vehicles. Voluntary Donations: Senate Bill 326 Authorizes customers to make voluntary donations to the West Virginia Department of Veterans Assistance when applying for a driver’s license or ID card. House Bill 4347 Authorizes customers to make voluntary donations to the West Virginia State Police Forensic Lab when applying for a driver’s license or ID card. Driver’s License Advisory Board (Medical Advisory Board): House Bill 2831 Reconstitutes and reauthorizes the Driver’s License Advisory Board, commonly known as the Medical Advisory Board. Automobile Dealer Advisory Board: House Bill 2008 Modified the types of claims and the payment priority of claims filed with the Automobile Dealer Advisory Board. About the Program The Governor’s Highway Safety Program (GHSP) is the lead agency for West Virginia’s participation in federally funded highway safety improvement measures, which are mandated by the National Highway Traffic Safety Administration (NHTSA). The program is housed under the DMV, and the DMV’s Commissioner, Pat Reed, serves as Governor Justice’s representative for highway safety. To allow for maximum flexibility and accuracy in the identification and resolution of highway safety issues throughout the state, the GHSP has established eight (8) focused regional traffic safety programs. These traffic safety programs are located in the population centers of Beckley, Bluefield, Charleston, Clarksburg, Huntington, Parkersburg, Martinsburg, and Wheeling. Each region’s mission is to develop and implement the plans that their regions require to lower crashes, injuries, and fatalities on the roadways of West Virginia. These traffic safety programs also provide a targeted approach to sharing valuable messages about highway safety enhancement legislation with the public. The GHSP evaluates its performance annually to determine what progress has been made towards meeting its goals. These goals and measures are explained in detail in the GHSP’s Annual Highway Safety Performance Plan located on the DMV website. GHSP Totals For Counts, Recoveries, and Arrests [Based on the Federal Fiscal Year 10/1/17 – 9/30/18] | Category | 2018 | 2017 | |---------------------------------|--------|--------| | Under Age Drinking | 167 | 604 | | DUI Arrests | 1,531 | 2,684 | | Child Restraints | 152 | 234 | | Driver’s License Revoked | 803 | 894 | | Driver’s License Suspended | 3,395 | 3,084 | | Felony Arrests | 514 | 613 | | Misdemeanor Arrests | 2,186 | 2,601 | | Fugitives Recovered | 124 | 117 | | Weapons Recovered | 66 | 68 | | Property Value Recovered | $299,207 | $622,354 | | Drug Value Recovered | $243,307 | $141,705 | In 2018, the GHSP Funded: [Based on the Federal Fiscal Year 10/1/17 – 9/30/18] - 121 Full Sobriety Checkpoints - 3 Phantom Checkpoints - 12 Occupant Protection Checkpoints - 136 Total Checkpoints in WV - 72,689 Total Vehicles Contacted - 118,378 Total Vehicle Occupants - 73 DUI Arrests at Checkpoints - 1,640 Citations Issued at Checkpoints - 17,606 Hours of Directed and Saturation Patrols - 13,142 Citations Issued for All DUI Work - 2,744 Man-Hours Invested in Sobriety Checkpoints Public Information The GHSP’s public information efforts focus on awareness, education, and the promotion of highway safety initiatives such as seat belt use, child passenger safety, motorcycle safety, pedestrian safety, bicycle safety, ATV safety, as well as the dangers of drowsy driving, impaired driving, and distracted driving. Changing driver behavior is emphasized as the key to successful highway safety programs, and these objectives are met by combining state, regional, and local efforts. Years of declining injuries and deaths suggest that GHSP efforts are having a positive effect on driver behavior in West Virginia. The GHSP utilizes surveys, national data, programs and high visibility enforcement campaigns modeled by decades of research provided by NHSTA in order to provide effective and measurable highway safety improvements. The GHSP also works closely with various agencies and clientele groups throughout the state, including the Commission on Drunk Driving Prevention, the Alcohol Beverage Control Administration (ABC), the West Virginia State Police, local law enforcement agencies, Emergency Medical Services (EMS), the Prosecuting Attorney’s Institute, health care professionals, and even local businesses to educate the public and promote highway safety. GHSP Goals - **Reduce the five (5) year rolling average of traffic fatalities** by 11.4% from 303 to 268 by 12/31/2018 (2017: 303) - **Decrease unrestrained passenger vehicle occupant fatalities** 9.4% from 111 to 104 by 12/31/2018 (2017: 111) - **Increase statewide (observed) seat belt use** by 4.2% for all front seat occupants to 90% by 12/31/2018 (2017: 89.7%) - **Decrease total of drivers age 20 or under involved in fatal crashes** 7.7% from 37 to 31 by 12/31/2018 (2017: 37) - **Reduce fatalities per number of vehicle miles travelled (VMT)** by 11.2% from 1.38 to 1.29 by 12/31/2018 (2017: 1.38) - **Reduce serious injuries** by 17% from 1,063 to 1,050 by 12/31/2018 (2017: 1,063) - **Decrease unhelmeted motorcyclist fatalities** 12.3% from ten (10) to nine (9) by 12/31/2018 (2017: 10) - **Decrease overall motorcycle fatalities** 6.7% from 26 to 24 by 12/31/2018 (2017: 26) - **Reduce pedestrian fatalities** 14.2% from 26 to 23 by 12/31/2018 (2017: 26) - **Decrease impaired driving fatalities** 8.8% from 72 to 66 by 12/31/2018 (2017: 72) - **Reduce bicyclist fatalities to zero** by 12/31/18 (2017: 1) GHSP Federal Funding Policy Compliance GHSP operates on funding that is provided federally and with required matching funds provided by the state. The GHSP is responsible for the oversight of these grants and their mandated policies and requirements. NHTSA grant funding policy states that no more than 13% of a NHTSA grant may be expended on administrative costs. Federal statute requires that local political subdivisions be allocated at least 40% of all federal highway safety funding the State receives. GHSP distributed over 78% of its FY 2018 federal funding to various local governments, exceeding the requirements. For certain grant fund programs, NHTSA requires that the State match at least 25% of all NHSTA funding received by GHSP. West Virginia’s FY 2018 allocation exceeded this requirement. The GHSP’s regional traffic safety programs receive approximately 70% of West Virginia’s federal highway safety driver behavior funding that goes towards regional enforcement, local media, administrative, and public education material production costs. The remaining funds are utilized through the GHSP central office and other state agencies to fund statewide media campaigns, training, various safety programs, and to grow electronic data collection for accurate measures and reporting. ## Law Enforcement Training *Based on the Federal Fiscal Year 10/1/17 - 9/30/18* | Category | Classes | Students | |---------------------------------|---------|----------| | Speed Enforcement & Radar/Lidar | 3 | 21 | | Occupant Protection | 13 | 371 | | Checkpoints | 1 | 21 | | Crash Investigation | 1 | 2 | | Motorcycle Safety | 3 | 50 | | DUI (Drug & Alcohol) | 11 | 365 | | Other | 11 | 390 | | **Total** | **43** | **1,220**| ## Training for Everyone | Category | Classes | Students | |---------------------------------|---------|----------| | CPS Technician Certification | 3 | 55 | | CPS Technician Renewal | 2 | 8 | | Special Needs Class | 1 | 16 | | Kidz in Motion | 4 | 48 | | **Total** | **10** | **127** | ## Law Enforcement Citations and Warnings *Based on the Federal Fiscal Year 10/1/17 - 9/30/18* | Category | Citations | Warnings | |---------------------------------|-----------|----------| | Child Restraint | 152 | 65 | | Insurance | 6,009 | 3,718 | | Other | 4,953 | 33,441 | | Reckless Driving | 113 | 150 | | Red Light & Stop Sign | 1,895 | 1,841 | | Seat Belt | 10,094 | 3,997 | | Speeding | 10,766 | 13,186 | | Cell phone | 5,079 | 2,174 | | Texting | 580 | 250 | ## GHSP Crash Information | Category | 2018 | 2017 | |---------------------------------|----------|----------| | Crashes | 34,633 | 37,077 | | Fatalities | 303 | 269 | | Serious Injuries | 1,063 | 1,264 | | Total Injuries | 14,075 | 14,568 | | Alcohol Related Crashes | 1,771 | 1,632 | | Alcohol Related Fatalities .08+ | 72 | 68 | | Alcohol Related Injuries | 1,249 | 971 | | Alcohol Related Fatality % | 23.7% | 25.3% | | Underage Alcohol Sales | 22.1% | 22.1% | | Motorcycle Crashes | 545 | 464 | | Motorcycle Fatalities | 26 | 29 | | Motorcycle Injuries | 485 | 437 | | ATV Fatalities on Public Roadways| 18 | 17 | | ATV No Helmets | 15 | 16 | | ATV Unknown Helmets | 1 | 1 | | Speed Related Fatalities | 84 | 60 | | Speed Related Fatality % | 27.7% | 22.3% | | Pedestrian Fatalities | 26 | 24 | Sources: NHTSA, FARS, WVDOH, and GHSP West Virginia’s classified driver’s license system specifies vehicle types that a licensee may operate. The class of licensees range from operators of 80,000 pound combination vehicles (Class A) to persons who are restricted to the operation of motorcycles only (Class F). The classified driver’s license system ensures that licensees operate only those types of vehicles for which they have the proper training and safety record. The DMV is linked to the National Problem Driver Point System (PDPS) for inter-jurisdictional tracking of driver records. The computerized system searches the driving records of licensed applicants by name and birth date. The DMV’s innovative digitized driver’s license system has introduced one-stop-shopping to its customers and virtually eliminated the delays inherent in doing business with the agency via U.S. mail. New licenses, duplicates, and renewals are available in minutes at any DMV Regional Office. The computer-generated license system reduces the risk of fraudulent issuance and increases the efficiency of record keeping. The system also stores the facial images of licensees, thus providing reliable identification for subsequent transactions. Licensees have the option to store a digital fingerprint image in their license record as an extra security precaution. The WV DMV offers two types of driver’s licenses and identification cards: a Not for Federal use driver’s license or ID card, or a REAL ID. For Federal Use card that contains a gold star, indicating that the card meets full federal requirements for future use at airports and other designated federal facilities and uses nationwide. The WV DMV also offers driver’s license renewal or duplicate license transactions through our online services portal and at our kiosks (self-service terminals) throughout the state to better serve the public. ### Revocations & Suspensions The DMV’s responsibility does not end with the issuance of a driver’s license. DMV monitors the driving activity of all licensees through a number of methods. The main purpose of any license suspension is to protect the public from drivers who operate their vehicle in an unsafe or illegal manner, and to offer opportunities for motorists to improve their driving through participation in safety and training programs. | License & ID Card Totals in 2018 | |----------------------------------| | Female Licensed Drivers | 549,705 | | Male Licensed Drivers | 588,541 | | Graduated Licenses | 37,626 | | Child ID Cards | 5,151 | | Employee ID Cards | 50,054 | | Total Drivers With License Restrictions | 641,124 | | All Non-Driver ID Cards* | 206,002 | *Includes salesperson license ID cards, employee, child, barber/cosmetologist, DHHR REDI, secondary, and adult identification cards. | License Indicators & Restrictions in 2018 | |-------------------------------------------| | Total Diabetic Indicators | 3,555 | | Total Organ Donors | 519,319 | | Total Hearing Impaired | 1,402 | | County | Class E | Class D | CDL | Total | |------------|----------|---------|-------|----------| | Barbour | 10,218 | 697 | 539 | 11,454 | | Berkeley | 76,152 | 1,339 | 2,659 | 80,150 | | Boone | 14,030 | 532 | 572 | 15,134 | | Braxton | 8,548 | 669 | 548 | 9,765 | | Brooke | 14,747 | 185 | 539 | 15,471 | | Cabell | 56,842 | 1,484 | 1,315 | 59,641 | | Calhoun | 4,276 | 403 | 228 | 4,907 | | Clay | 5,454 | 429 | 333 | 6,324 | | Doddridge | 3,069 | 275 | 215 | 3,559 | | Fayette | 28,647 | 1,385 | 1,385 | 31,417 | | Gilmer | 3,608 | 330 | 217 | 4,155 | | Grant | 7,679 | 293 | 551 | 8,523 | | Greenbrier | 24,440 | 1,209 | 1,071 | 26,720 | | Hampshire | 15,679 | 317 | 850 | 16,846 | | Hancock | 22,821 | 194 | 710 | 23,7325 | | Hardy | 9,425 | 255 | 606 | 10,286 | | Harrison | 46,927 | 3,170 | 1,793 | 51,890 | | Jackson | 19,247 | 784 | 835 | 20,866 | | Jefferson | 41,530 | 564 | 1,052 | 43,146 | | Kanawha | 121,293 | 5,010 | 3,400 | 129,703 | | Lewis | 11,676 | 1,005 | 904 | 13,585 | | Lincoln | 12,592 | 711 | 696 | 13,999 | | Logan | 21,512 | 973 | 913 | 23,398 | | Marion | 32,743 | 1,951 | 924 | 35,618 | | Marshall | 18,715 | 282 | 663 | 19,660 | | Mason | 17,482 | 467 | 675 | 18,624 | | McDowell | 11,777 | 353 | 570 | 12,700 | | Mercer | 39,578 | 1,007 | 1,556 | 42,141 | | Mineral | 19,796 | 494 | 803 | 21,093 | | Mingo | 16,388 | 427 | 658 | 17,473 | | Monongalia | 58,183 | 1,631 | 1,141 | 60,955 | | Monroe | 8,881 | 311 | 427 | 9,619 | | Morgan | 15,473 | 337 | 765 | 16,575 | | Nicholas | 16,890 | 864 | 1,015 | 18,769 | | Ohio | 31,094 | 401 | 930 | 32,425 | | Pendleton | 5,173 | 176 | 340 | 5,689 | | Pleasants | 4,764 | 216 | 265 | 5,245 | | Pocahontas | 5,302 | 342 | 430 | 6,074 | | Preston | 20,967 | 1,152 | 1,219 | 23,338 | | Putnam | 38,298 | 1,533 | 1,263 | 41,094 | | Raleigh | 47,385 | 1,788 | 1,702 | 50,875 | | Randolph | 18,620 | 1,107 | 992 | 20,719 | | Ritchie | 6,572 | 395 | 414 | 7,381 | | Roane | 10,527 | 711 | 612 | 11,850 | | Summers | 6,315 | 234 | 292 | 6,841 | | Taylor | 15,236 | 882 | 671 | 16,789 | | Tucker | 4,657 | 259 | 243 | 5,159 | | Tyler | 5,150 | 186 | 221 | 5,557 | | Upshur | 14,940 | 1,111 | 971 | 17,022 | | Wayne | 25,640 | 570 | 915 | 27,125 | | Webster | 5,494 | 355 | 337 | 6,186 | | Wetzel | 12,140 | 523 | 502 | 13,165 | | Wirt | 3,036 | 172 | 163 | 3,371 | | Wood | 59,007 | 1,601 | 2,011 | 62,619 | | Wyoming | 13,597 | 434 | 599 | 14,630 | **STATE TOTALS** - **E**: 1,190,232 - **D**: 44,485 - **CDL**: 46,220 - **Total**: 1,280,937 A Commercial Driver’s License, or CDL, is a license issued to an individual which authorizes the individual to drive a class of commercial motor vehicle in accordance with the requirements of WV State Code §17E-1-3. There are three types of CDL’s issued: Classes A, B, and C, which would be dependent upon the type of vehicle driven, the GVWR or GCWR, and if transporting sixteen or more passengers, including the driver. ### Valid CDL License Types By County | County | Class A | Class B | Class C | Total | |------------|---------|---------|---------|-------| | Barbour | 391 | 146 | 2 | 539 | | Berkeley | 1,863 | 773 | 23 | 2,659 | | Boone | 431 | 137 | 4 | 572 | | Braxton | 424 | 123 | 1 | 548 | | Brooke | 421 | 117 | 1 | 539 | | Cabell | 976 | 327 | 12 | 1,315 | | Calhoun | 177 | 51 | 0 | 228 | | Clay | 219 | 112 | 2 | 333 | | Doddridge | 153 | 60 | 2 | 215 | | Fayette | 959 | 413 | 13 | 1,385 | | Gilmer | 171 | 45 | 1 | 217 | | Grant | 444 | 96 | 11 | 551 | | Greenbrier | 780 | 288 | 3 | 1,071 | | Hampshire | 617 | 227 | 6 | 850 | | Hancock | 553 | 156 | 1 | 710 | | Hardy | 510 | 92 | 4 | 606 | | Harrison | 1,306 | 459 | 28 | 1,793 | | Jackson | 625 | 204 | 6 | 835 | | Jefferson | 550 | 489 | 13 | 1,052 | | Kanawha | 2,505 | 874 | 21 | 3,400 | | Lewis | 647 | 250 | 7 | 904 | | Lincoln | 527 | 165 | 4 | 696 | | Logan | 675 | 237 | 1 | 913 | | Marion | 619 | 296 | 9 | 924 | | Marshall | 461 | 199 | 3 | 663 | | Mason | 515 | 157 | 3 | 675 | | McDowell | 375 | 189 | 6 | 570 | | Mercer | 1,105 | 432 | 19 | 1,556 | | Mineral | 572 | 219 | 12 | 803 | | Mingo | 489 | 162 | 7 | 658 | | Monongalia | 816 | 317 | 8 | 1,141 | | Monroe | 321 | 106 | 0 | 427 | | Morgan | 568 | 196 | 1 | 765 | | Nicholas | 770 | 236 | 9 | 1,015 | | Ohio | 624 | 298 | 8 | 930 | | Pendleton | 260 | 81 | 0 | 341 | | Pleasants | 177 | 88 | 0 | 265 | | Pocahontas | 335 | 95 | 0 | 430 | | Preston | 891 | 323 | 5 | 1,219 | | Putnam | 954 | 301 | 8 | 1,263 | | Raleigh | 1,199 | 486 | 17 | 1,702 | | Randolph | 750 | 241 | 1 | 992 | | Ritchie | 294 | 118 | 2 | 414 | | Roane | 452 | 157 | 3 | 612 | | Summers | 219 | 71 | 2 | 292 | | Taylor | 499 | 170 | 2 | 671 | | Tucker | 192 | 51 | 0 | 243 | | Tyler | 160 | 61 | 0 | 221 | | Upshur | 756 | 214 | 1 | 971 | | Wayne | 694 | 215 | 6 | 915 | | Webster | 268 | 69 | 0 | 337 | | Wetzel | 371 | 131 | 0 | 502 | | Wirt | 115 | 48 | 0 | 163 | | Wood | 1,423 | 569 | 19 | 2,011 | | Wyoming | 405 | 160 | 34 | 599 | **STATE TOTALS** | | A | B | C | Total | |--------|----|----|----|-------| | | 33,573 | 12,297 | 351 | 46,221 | CDL Restrictions The DMV is authorized to impose license restrictions to assure the safe operation of motor vehicles. DMV may issue you a restricted license or may indicate restrictions on the form Application for Commercial Driver’s License (CDL) and/or Endorsements (DMV-CDL-1). Operating a motor vehicle in violation of restrictions is a serious offense and could result in the suspension or revocation of your driving privileges. Driver Examination Totals | Commercial Driver's | PASS | FAIL | |--------------------------------------|-------|------| | General Knowledge | 2,490 | 2,242| | Air Brakes | 2,399 | 1,133| | Combination Trailers | 1,833 | 714 | | Doubles & Triples | 305 | 117 | | Tanker Trailers | 1,211 | 235 | | Hazardous Materials | 1,287 | 422 | | Passenger Endorsement | 605 | 397 | | Pre-Trip Inspections | 2,437 | 280 | | Basic Control Skills | 2,379 | 237 | | Skills Testing | 2,353 | 192 | | School Bus | 482 | 59 | | **CDL Totals** | **17,781** | **6,028** | Driver Licenses Restrictions | Restriction | 2018 | |--------------------------------------|------| | Artificial Limbs | 3 | | Automatic Transmission | 7 | | CDL Interstate Only | 1,142| | Class B or C Bus Only | 9,476| | Class C Bus Only | 448 | | Corrective Lenses | 19,110| | Corrective Lenses & Outside Mirrors | 8 | | Daylight Driving Only | 3 | | Hearing Aids Required | 430 | | Medical Variance | 62 | | No Full Air Brakes (CDL Only) | 18 | | No Manual Transmission | 1,788| | No Tractor Trailer (CDL Only) | 1,286| | Other Restrictions | 20 | | Outside Mirrors | 24 | | Trike With F Endorsement, F Class | 21 | | Vehicle Without Air Brakes | 575 | | **Total** | **34,421** | CDL Transfers In and Out of State in FY 2018 | State | IN | OUT | |-------------|----|-----| | Alabama | 6 | 7 | | Alaska | 0 | 0 | | Arizona | 3 | 5 | | Arkansas | 1 | 0 | | California | 1 | 13 | | Colorado | 6 | 14 | | Connecticut | 1 | 1 | | Delaware | 2 | 4 | | District of Columbia | 0 | 1 | | Florida | 54 | 51 | | Georgia | 22 | 20 | | Hawaii | 0 | 0 | | Idaho | 2 | 1 | | Illinois | 3 | 6 | | Indiana | 7 | 7 | | Iowa | 7 | 28 | | Kansas | 3 | 3 | | Kentucky | 30 | 39 | | Louisiana | 3 | 5 | | Maine | 0 | 1 | | Maryland | 50 | 100 | | Massachusetts | 3 | 2 | | Michigan | 8 | 6 | | Minnesota | 1 | 1 | | Mississippi | 3 | 1 | | Missouri | 11 | 36 | | Montana | 1 | 3 | | Nebraska | 3 | 3 | | Nevada | 3 | 5 | | New Hampshire | 2 | 0 | | New Jersey | 4 | 16 | | New Mexico | 1 | 0 | | New York | 8 | 12 | | North Carolina | 44 | 40 | | North Dakota | 1 | 5 | | Ohio | 104| 82 | | Oklahoma | 5 | 4 | | Oregon | 1 | 1 | | Pennsylvania| 60 | 69 | | Rhode Island| 0 | 0 | | South Carolina | 26 | 21 | | South Dakota | 3 | 1 | | Tennessee | 27 | 15 | | Texas | 27 | 18 | | Utah | 5 | 0 | | Vermont | 1 | 1 | | Virginia | 72 | 119 | | Washington | 3 | 4 | | Wisconsin | 4 | 2 | | Wyoming | 1 | 2 | | **Total** | **637** | **777** | The CDL Assessment Unit is responsible for monitoring the records of our state's current pool of Commercial Driver’s License (CDL) holders. The unit handles all information received from courts and the Public Service Commission for a CDL/CMV driver. Federal Motor Carrier Safety Administration (FMCSA) regulations require court convictions to be placed on CDL holders/CMV’s within 10 days of court adjudication. The FMCSA performs a yearly review of the state’s CDL procedures to ensure compliance to their mandated regulations. Any inadequacies can result in a Finding against the state. Findings result in the state responding with a plan to correct or improve the inadequacy within a named time period. Therefore, accuracy and swiftness are of the utmost importance to the unit. The unit updates our WV CDL records for all convictions received from in-state courts, updates out-of-state CDL holders electronically through the Commercial Driver’s License Information System (CDLIS) to the home jurisdiction’s record and receives CDLIS electronic transmissions from other jurisdictions on our WV CDL holders. The unit processes all court notices for Failure to Appear, Pay, or Comply for CDL holders both in-state and out-of-state, fraud suspensions, Coal Resource Transportation System violations, and several other types of suspensions, revocations and disqualifications. They place the CDL convictions on the record and follow up with suspensions and disqualifications sanctioned by state code, legislative rule and federal regulations. ### CDL Convictions | | 2018 | 2017 | |--------------------------|--------|--------| | Out-of-State CDL Convictions Sent Through CDLIS | 1,378 | 1,137 | | WV CDL Convictions Received Through CDLIS | 1,454 | 1,173 | | WV CDL Convictions Entered | 6,678 | 4,165 | ### FMCSA CDL Serious & Major Offenses | | CMV | Private Passenger | |--------------------------|-----|-------------------| | DUI / Controlled Substances | 89 | 270 | | Driving While Suspended/Revoked | 5 | 91 | | Hit and Run/Leaving the Scene | 2 | 15 | | Excessive Speeding | 37 | 429 | | Speeding In School Zone/Passing Stopped School Bus | 0 | 3 | | Reckless Driving | 3 | 39 | | Improper/Erratic Lane Change | 36 | 32 | | Following Too Closely | 16 | 41 | | Using Handheld Mobile Phone While Driving | 32 | 173 | | Texting While Driving | 0 | 5 | | Driving W/Out Obtaining a CDL or Having Proper Endorsements | 4 | 4 | ### CDL Licensees: Failure to Appear, Pay or Comply | | 2018 | 2017 | |--------------------------|--------|--------| | WV CDL In-State Courts | 1,227 | 1,034 | | WV CDL Out-of-State Courts | 176 | 205 | | Out-of-State CDL WV Court (CDLIS) | 86 | 194 | ### CDL Suspensions/Revocations/Disqualifications | | 2018 | 2017 | |--------------------------|--------|--------| | DUI / Controlled Substance | 297 | 345 | | Driving While Suspended or Revoked | 89 | 39 | | Leaving the Scene | 20 | 11 | | Felony Involving CMV | 0 | 1 | | Second Serious CMV | 5 | 5 | | Coal Resource Transportation | 4 | 1 | | Fraud | 0 | 1 | | Railroad | 0 | 1 | | Driving CMV W/Out a CDL | 5 | 3 | | Points | 32 | 10 | ### Violations by WV CDL Drivers Reported in Other Jurisdictions | State | 2018 | |----------------|------| | Alabama | 4 | | Alaska | 1 | | Arizona | 3 | | Arkansas | 5 | | California | 16 | | Colorado | 0 | | Connecticut | 5 | | Delaware | 2 | | District of Columbia | 0 | | Florida | 4 | | Georgia | 13 | | Hawaii | 0 | | Idaho | 0 | | Illinois | 15 | | Indiana | 24 | | Iowa | 6 | | Kansas | 3 | | Kentucky | 31 | | Louisiana | 2 | | Maine | 0 | | Maryland | 131 | | Massachusetts | 3 | | Michigan | 5 | | Minnesota | 1 | | Mississippi | 0 | | Missouri | 3 | | Montana | 1 | | Nebraska | 1 | | Nevada | 1 | | New Hampshire | 0 | | New Jersey | 1 | | New Mexico | 2 | | New York | 3 | | North Carolina | 29 | | North Dakota | 5 | | Ohio | 534 | | Oklahoma | 3 | | Oregon | 0 | | Pennsylvania | 249 | | Rhode Island | 0 | | South Carolina | 20 | | South Dakota | 1 | | Tennessee | 27 | | Texas | 9 | | Utah | 1 | | Vermont | 0 | | Virginia | 282 | | Washington | 3 | | Wisconsin | 1 | | Wyoming | 4 | **Total:** 1,454 ### Notable Violations by WV CDL Driver Reported by In-State Courts | Violation | 2018 | |---------------------------------------------------------------------------|------| | Failure to Obey Traffic Signal / Control | 238 | | Failure to Obey Stop Sign | 87 | | Failure to Obey Traffic Light | 60 | | Expired / Improper Registration | 208 | | Expired / No Motor Vehicle Inspection Sticker | 268 | | Violating Size, Weight, or Passenger / Cargo Limit | 108 | | Operating Vehicle Without Insurance | 125 | | Admin Per Se .08 CMV/CDL | 70 | | Admin Per Se .10 CMV/CDL | 88 | | Texting While Driving | 5 | | Using a Hand-Held Mobile Phone While Driving | 173 | | No / Improper Seat Belt | 813 | | Speeding 1-10 MPH Over Speed Limit | 794 | | Speeding 11-14 MPH Over Speed Limit | 189 | | Speeding 15-19 MPH Over Speed Limit | 341 | | Speeding 20 or More MPH Over Speed Limit | 88 | | Speeding / No Speed Detail – Conv Only | 200 | | Operating Without Equipment Required By Law | 252 | | Equipment Used Improperly or Obstructed | 131 | | Other Violations | 2,440| **Total:** 6,678 DUI Programs The DUI Program Unit administers court conviction revocations and administrative revocations for driving under the influence of alcohol or drugs. The unit also handles restoration of driving privileges which entails working in conjunction with the Bureau of Behavioral Health to assure the offender has completed the Safety and Treatment Program for DUI offenders. The Safety and Treatment program allows private behavioral health providers and state-funded facilities to offer educational and rehabilitative services. This collaboration maximizes the availability of the program to DUI offenders and helps offenders to acknowledge the effects of alcohol on their lives while providing the means to resolve their alcohol-related problems. DMV’s Ignition Interlock Program makes it possible to restrict, rather than revoke, the driving privileges of DUI offenders. A breath alcohol content monitor is wired into the ignition of a participant’s vehicle. Vehicles so equipped will not start unless an acceptable breath sample is submitted. DUI offenders are ineligible for Ignition Interlock during any appeal of their license revocations, or if they have a previous conviction for driving while revoked or suspended within the last six (6) months, or if they have been convicted of DUI involving a controlled substance. Participants may be required to first serve a license revocation and must enroll in an approved DUI Safety and Treatment program. Ignition Interlock enables participants to avoid the disruption of their lives that a DUI would cause. Our statistics show that the rate of DUI recidivism is much lower among Ignition Interlock participants than among the general population. Thus, the Ignition Interlock Program benefits both society and the problem driver. Driver Improvement The Driver Improvement Unit administers laws and regulations to ensure that all licensees drive responsibly, including placement of 69,402 of our WV licensees in 2018. This governing often requires the restriction, suspension, revocation, or disqualification of the licensee’s privilege to drive. Restoration of driving privilege may be met when the driver takes the necessary corrective measures required by state code and legislative rule. The Driver Improvement Section handles multiple types of offense related files including: Nonpayment of court ordered child support, fraudulent license suspensions, passing a stopped school bus, failure to pay for gasoline, driving on a suspended license, excessive points accumulation, student attendance for under age persons, unpaid citations through an in-state court, GDL suspensions and others. Non-Resident Violator Compact West Virginia cooperates with other states in tracking unpaid and unresolved traffic citations. Member states reciprocally suspend the driver’s licenses of their residents who fail to satisfy a traffic citation issued in another state. Restoration of driving privileges may be met when the driver provides proof of resolution of the outstanding traffic citation. License Compact The Driver’s License Compact is an agreement among 46 states to report court convictions of non-resident traffic offenders to their home jurisdictions. Forty-four states allow non-resident motorists to accept a traffic citation for certain violations and proceed on their way without delay with the obligation of resolving the court issue later. Upon receipt of the court conviction from any member state, the appropriate information is applied to the West Virginia driver’s record. Second Chance Program The Citation Unit handles the Second Chance Program that became effective June 12, 2016 under Senate Bill 634. This program is administered by the Division of Justice and Community Services (DJCS) and allows the driver to obtain a stay of a driver’s license suspension from the Commissioner of the Division of Motor Vehicles, if the unpaid tickets are older than twelve months old and the driver is making monthly payments for unpaid court costs to the DJCS. Offenses Requiring Revocations | Offense | 2018 | 2017 | |----------------------------------------------|------|------| | Reckless Driving (3rd Offense in 24 Mo.) | 1 | 0 | | Driving While Revoked or Suspended | 5,098| 5,022| | Speed Racing (On Public Highway/St.) | 13 | 18 | | Hit & Run (Personal Injury) | 1 | 7 | | Manslaughter (Negligent Homicide) | 6 | 6 | | Leaving the Scene of an Accident | 23 | 16 | Student Attendance Program | Category | 2018 | 2017 | |---------------------------------|------|------| | License Suspensions | 574 | 750 | | License Reinstatements | 644 | 520 | Point System | Category | 2018 | 2017 | |---------------------------------|------|------| | Suspensions | 879 | 782 | | Reinstatements | 802 | 717 | Revocation/Suspension Totals | Category | 2018 | 2017 | |---------------------------------|------|------| | Fraudulent Suspensions | 34 | 19 | | GDL (2 or More Tickets) | 99 | 132 | | Unpaid Child Support | 7 | 4 | Resident Violators | Category | 2018 | 2017 | |---------------------------------|------|------| | Suspensions | 62,595| 58,308| | Reinstatements/Cleared | 37,445| 34,287| Non-Resident Violators | Category | 2018 | 2017 | |--------------------------------------------------------------------------|------|------| | Non-Compliance Reports for Other States/License Suspended for Failure to Comply | 3,168| 4,254| | Files Closed Upon Receipt of Compliance with No Reinstatement Fees Needed | 1,066| 1,229| | Files Closed Upon Receipt of Compliance and Reinstatement Fees Paid | 2,096| 2,193| | Notices Mailed to Other States | 12,943| 10,718| Medical Review Unit The Medical Review Unit maintains files on all drivers who have been reported as having medical or visual conditions that could impact their driving. Cases are reviewed on an individual basis to determine the appropriate course of action. Periodic medical visual examinations and/or driver re-examination may be required of at-risk drivers and commercial drivers with intrastate waivers that do not meet the federal standards due to diabetes, vision, or limb impairments. The unit also consults with the Driver’s License Advisory Board for recommendations as necessary. The Driver’s License Advisory Board consists of five (5) physicians who are appointed by the Governor. These physicians advise the Commissioner of Motor Vehicles on vision standards and medical criteria that are relevant to driver licensing. Medical Unit Statistics | | 2018 | 2017 | |----------------------|------|------| | Medical Suspensions | 361 | 217 | | Re-Exam Suspensions | 143 | 112 | | New Medical Files | 458 | 331 | | Vision Report Reviews| 2,929| 2,906| Reported Traffic Convictions* | | 2018 | |--------------------------|--------| | Failure to Obey Traffic Signal/Cntrl Device | 664 | | Failure to Yield to an Emergency Vehicle | 163 | | Failure to Keep Vehicle Under Control | 885 | | Failure to Observe Safety/Const. Zone | 321 | | Following Too Closely | 224 | | Hazardous Driving | 80 | | Leaving Scene of Accident | 270 | | No/Improper Seat Belt | 8,071 | | Passing a School Bus | 52 | | Reckless/Hazardous Driving | 632 | | Speeding | 15,396 | | Speeding in a School Zone | 196 | | Texting While Driving | 196 | | Using a Hand-Held Mobile Phone/Device | 4,483 | *Includes only higher volume / safety impacted convictions Violations by WV Drivers Reported in Other Jurisdictions | State | 2018 | 2017 | |----------------|------|------| | Alabama | 52 | 52 | | Alaska | 1 | 0 | | Arizona | 26 | 22 | | Arkansas | 35 | 27 | | California | 17 | 14 | | Colorado | 25 | 26 | | Connecticut | 26 | 37 | | Delaware | 90 | 88 | | District of Columbia | 0 | 0 | | Florida | 228 | 250 | | Georgia | 191 | 193 | | Hawaii | 29 | 50 | | Idaho | 15 | 14 | | Illinois | 87 | 70 | | Indiana | 113 | 141 | | Iowa | 37 | 45 | | Kansas | 39 | 52 | | Kentucky | 740 | 773 | | Louisiana | 26 | 27 | | Maine | 0 | 2 | | Maryland | 2,473| 1,874| | Massachusetts | 3 | 4 | | Michigan | 48 | 68 | | Minnesota | 34 | 27 | | Mississippi | 13 | 7 | | Missouri | 39 | 61 | | Montana | 15 | 10 | | Nebraska | 13 | 26 | | Nevada | 9 | 12 | | New Hampshire | 0 | 0 | | New Jersey | 166 | 179 | | New Mexico | 39 | 36 | | New York | 211 | 270 | | North Carolina | 46 | 53 | | North Dakota | 25 | 53 | | Ohio | 8,181| 7,820| | Oklahoma | 26 | 43 | | Oregon | 38 | 36 | | Pennsylvania | 1,897| 1,672| | Rhode Island | 0 | 0 | | South Carolina | 525 | 703 | | South Dakota | 15 | 17 | | Tennessee | 349 | 313 | | Texas | 145 | 150 | | Utah | 19 | 18 | | Vermont | 0 | 0 | | Virginia | 10,745| 10,941| | Washington | 42 | 41 | | Wisconsin | 31 | 39 | | Wyoming | 35 | 47 | ## Court Reports | Report Type | 2018 | 2017 | |------------------------------------|------|------| | Court Report Suspension Notices | 3,468| 3,937| | Court Report Driver Suspensions | 2,796| 2,948| | Court Report Vehicle Suspensions | 618 | 552 | | Court Report State Police Secure Orders | 172 | 210 | ## Crash Reports | Report Type | 2018 | 2017 | |------------------------------------|------|------| | Crash Report Suspension Notices | 906 | 995 | | Crash Report Driver Suspensions | 558 | 644 | | Crash Report Vehicle Suspensions | 103 | 148 | | Crash Report State Police Secure Orders | 46 | 50 | ## Fraudulent Insurance | Report Type | 2018 | 2017 | |------------------------------------|------|------| | Fraudulent Suspension Notices | 266 | 165 | | Fraudulent Driver Suspensions | 200 | 142 | | Fraudulent Vehicle Suspensions | 220 | 123 | | Fraudulent State Police Secure Orders | 102 | 90 | ## Court Ordered Judgement | Report Type | 2018 | 2017 | |------------------------------------|------|------| | Judgement Suspension Notices | 196 | 216 | | Judgement Driver Suspensions | 145 | 187 | | Judgement Vehicle Suspensions | 0 | 0 | | Judgement State Police Secure Orders | 0 | 0 | ## Online Insurance Verification | Report Type | 2018 | 2017 | |------------------------------------|------|------| | Vendor Issued Online Insurance Verification Letters | 44,554 | 58,146 | | Online Insurance Verification Letters | 21,360 | 26,344 | | Online Insurance Driver Suspensions | 9,827 | 9,601 | | Online Insurance Vehicle Suspensions | 1,959 | 1,284 | | Online Insurance State Police Secure Orders | 1,310 | 1,028 | ## Other Totals | Report Type | 2018 | 2017 | |------------------------------------|------|------| | Driving Records Processed by DMV | 31,786 | 48,295 | | Driving Record Certifications | 19,520 | 19,595 | | Insurance Waiver Program Participants | 248 | 318 | DMV monitors motorist compliance with West Virginia’s compulsory automobile insurance law in several ways. The Compulsory Insurance unit takes administrative action through citations for “no insurance”, review of crash reports submitted by law enforcement, court-ordered judgments awarding monies due to an uninsured crash, random ongoing verification of registrants’ insurance information, and insurance fraud. The unit also processes all requests for driving records. Each request is reviewed to ensure proper disclosure of records, correct fees, and proper identification of the requestor. The request may be either by the licensee, an employer or an attorney. Additionally, this unit handles all requests for certification of driving records and corresponding suspension and revocation files. These types of requests are from law enforcement, all branches of the judicial system, county prosecutors, etc. The majority of these requests are received through the West Virginia portal of Law Enforcements’ weapons system, and must be handled expeditiously for proper prosecution or dismissal through the court. DMV Technology Services is responsible for creating, modifying, and modernizing all DMV related systems to meet industry standards while maintaining appropriate access for overall data security. Additionally, Technology Services works with the Office of Technology to improve efficiency in current systems and processes, as well as researching, selecting, and implementing new systems for the DMV to use for its ever-changing customer service demands. The DMV continues to enhance its online services through innovative technology, providing a way for customers to either “Skip the Line” and utilize a WV DMV Now kiosk, or “Skip the Trip” altogether and use the online services portal through the DMV web site. Kiosk services include driver’s license and vehicle registration renewals, as well as printing driver records. The online services portal will allow customers to renew their driver’s license and vehicle registrations, as well as print driver records. In addition, customers may request duplicates (cards, decals, plates, driver’s license), check their driver’s license status, pay reinstatement fees, conduct motor carrier business, and more. ### Kiosk Locations - **Little General** - 3498 US Rt 60 East - **Barboursville, WV 25504** - **Kroger** - 6360 US Rt 60 East - **Barboursville, WV 25504** - **Kroger** - 133 Beckley Crossing - **Beckley, WV 25801** - **Sheetz** - 1408 North Eisenhower Dr. - **Beckley, WV 25801** - **WVDMV Regional Office** - 5707 MacCorkle Ave., SE, Ste. 200 - **Charleston, WV 25317** - **Sheetz** - 101 Stoneybrook Rd. - **Clarksburg, WV 26301** - **Kroger** - 198 Emily Dr. - **Clarksburg, WV 26301** - **WVDMV Regional Office** - 38 Severna Parkway - **Martinsburg, WV 25317** - **Kroger** - 302 Great Teays Blvd. - **Scott Depot, WV 25560** - **Sheetz** - 3522 Monongahela Blvd. - **Star City, WV 26505** - **Sheetz** - 887 National Rd. - **Wheeling, WV 26003** ### Online Services Data | Service | Count | |----------------------------------|---------| | Change of Address | 1,319 | | Driver’s License Duplicate | 2,775 | | Driver’s License Renewal | 21,958 | | Driver’s License Status Inquiries| 190,323 | | Driver Records | 9,772 | | Driver Reinstatements | 24,388 | | Duplicate Cab Card | 125 | | Duplicate Decals | 1,614 | | Duplicate Plates | 1,145 | | Duplicate Registration Cards | 7,534 | | IRP Fuel Decals | 318 | | IRP IFTA | 515 | | IRP Invoices | 977 | | IRP Motor Carrier Renewal | 189 | | IRP Payments | 537 | | Personalized Plates | 1,107 | | State Bar ID’s | 235 | | Vehicle Renewals | 123,097 | ### DMV Now Kiosk Data | Service | Count | |----------------------------------|---------| | Driver’s License Duplicate | 0 | | Driver’s License Renewal | 5,260 | | Driver Records | 323 | | Vehicle Renewals | 11,800 | The Information Technology Services section houses the Data Processing & Records Retention units which serve to record, maintain and preserve all information/data related documentation for the Division of Motor Vehicles. Data Processing & Retention Units The Data Processing & Retention Unit is responsible for the entry of all title documentation and vehicle registration renewal data collection and recording associated with DMV transactions throughout the state of West Virginia. Our Processing & Retention Unit verifies, scans, updates, maintains and distributes vehicle title and registration information as well as collecting and maintaining all DMV records associated with the various sections within the DMV. This unit responds to information requests from legally authorized sources and is responsible for the optical imaging and document management of all DMV files. | Data Entry Processing | Records Retention and Processing (Scanning, Indexing, and Verifying) | |-----------------------|---------------------------------------------------------------------| | Titles | 411,587 | | Dealer Online Transactions | 130,563 | | Manual Registration Entry | 211,798 | | Automated Registration (OPSCAN) | 518,148 | | **Total** | **1,272,096** | | Handicap Documents | 18,482 | | Plate Applications | 13,961 | | Personnel | 3,983 | | Driver Applications | 237,067 | | Driver Suspensions | 258,059 | | Temporary Tags | 97,512 | | Title Documents | 765,846 | | **Total** | **1,394,910** | Investigation, Security, and Support Services (IS&S) is responsible for conducting internal and external investigations including: - Internal employee fraud - Odometer fraud - External customer fraud - Vehicle tax fraud - Title fraud - Identity theft - License fraud - Stolen vehicles Additionally, this section is responsible for all fingerprint based and name based background checks of all qualifying DMV employees as well as the third party CDL examiners in compliance with the REALID Act. Investigations, Security, and Support Services provides all training and certifications, required by AAMVA, for all driver’s license, motorcycle license, and commercial driver examiners as well as all third party CDL examiners. While utilizing West Virginia’s Mobile Commercial Driver’s License (mCDL) program, this unit received federal grant funding for continued research and development of the program’s software. This software permits third party CDL examiners to test multiple state residents in a professional and wireless manner. The section is responsible for the managing and coordination of the DMV’s fleet vehicles, serving as the central point of contact between the Fleet Management Office, Agency Drivers, and other personnel. This includes maintaining and verifying eligibility records of all assigned drivers, and assuring that all drivers are aware of the proper use of State vehicles as well as Policies and Procedures. This section also provides program oversight and monitors the administration of CDL skills tests given by third party examiners and conducts low vision Bi-Optic testing for the DMV, as well as reviewing and comparing all photos processed daily through facial recognition for fraudulent activity. ### IS&S Statistics | Category | 2018 | 2017 | |-----------------------------------------------|--------|--------| | **External Investigations Completed** | 110 | | | **Law Enforcement Assist. Photos** | 1,321 | 1,603* | | **Law Enforcement Assist. Vehicles** | 376 | | | **Internal Investigations Completed** | 1 | 9 | | **CDL Tests (Normal Observation)** | 2,430 | 2,861 | | **CDL Tests (Covert Observation)** | 251 | 299 | | **Employees Train - CDE & CME Training Classes** | 65 | 34 | | **Employees Trained CDL (Recertification)** | 32 | 38 | | **Contract Third Party Examiners Trained Recertification** | N/A | 28 | | **Employees Trained CDE (Certification)** | 19 | 8 | | **Low Vision Skills Tests** | 6 | 9 | | **Fingerprint & Background Checks** | 179 | 137 | | **Facial Recognition Cases Reviewed** | 120,541| 96,969 | | **Facial Recognition Investigations** | 9 | 14 | *The combined total of the three categories. The separate counts were not available for FY 2017.* The Legal Services Section ensures the ethical interpretation and enforcement of all laws within the agency’s purview, provides legal advice on all issues before the DMV and its boards, and directs representation of the agency before administrative and civil tribunals. Additionally, this section reviews, prepares, and advises the Commissioner regarding legal documents, statutes, regulations, policies, and procedures. It also responds to all DMV litigation, FOIA requests, Driver Privacy Protection Act requests, writes contracts for the Division and represents the Division at Legislative hearings. ### Litigation Statistics | Category | 2018 | 2017 | |---------------------------------|------|------| | Administrative Driver's License Hearings (OAH) | 2,028 | 2,169 | | Bankruptcy | 9 | 13 | | General Litigation | 3 | 3 | ### WV Circuit Court Cases | Category | 2018 | 2017 | |----------|------|------| | Received | 55 | 94 | | Won | 40 | 35 | | Lost | 10 | 5 | ### WV Supreme Court Cases | Category | 2018 | 2017 | |----------|------|------| | Received | 4 | 11 | | Won | 6 | 9 | | Lost | 1 | 2 | Management Services Jim Jordan, Director Management Services performs various administrative and fiscal tasks including revenue control, bad check collection, purchasing, auditing, accounting, and title entry. Receiving & Processing The Receiving & Processing Unit processes title work and vehicle renewals received via U.S. mail. In FY 2018 the efficient operation of this unit enabled the DMV to deposit $48,640,713 in privilege tax remittances from vehicle owners within hours of receipt, while tracking the status of “in process” title work. This unit also processed checks from customers, totaling $66,785,280 in FY 2018. Additionally, this unit sends certified mail for the DMV and saved the DMV thousands of dollars by processing most of this certified mail electronically. The recipients’ signatures are then verified online to ensure proper delivery. Accounting The Accounting Unit is responsible for depositing and recording all accounting transactions. In FY 2018 $405,651,873 was collected in revenue. This includes the $227,417,987 collected in sales taxes (formerly privilege taxes), which the state uses to match federal highway construction grants. Additionally, $149,666 in checks that were received were returned to the DMV for insufficient funds. Of this total, $90,897 was recovered. Credit cards are accepted at most DMV offices, as well as online, at the kiosks, and the Fairmont Testing Center. During FY 2018, 459,530 credit card transactions were processed, totaling approximately $42,240,274. A total of $803,841 was paid by the DMV in user fees. Receiving & Processing Transactions | | 2018 | 2017 | |--------------------------------|--------|--------| | Vehicle Titles & Applications Processed | 228,595 | 237,377 | | Total Checks Processed | 199,312 | 196,660 | | Total Pieces of Outgoing Certified Mail | 121,415 | 132,593 | | Total Pieces of Electronic Certified Mail | 121,395 | 132,487 | Accounting Transactions | | 2018 | 2017 | |--------------------------------|--------|--------| | Total Checks Returned for Insufficient Funds | 690 | 591 | | Returned Checks Recovered | 397 | 406 | | Total Credit Card Transactions Processed | 459,530 | 400,863 | Agency Expenditures - Personnel Services: 29% ($15,680,514) - Operating & Overhead Costs: 58% ($32,032,494) - Fringe Benefits: 13% ($6,936,662) - Increment Pay: .006% ($320,782) Purchasing & Accounts Payable The Purchasing and Accounts Payable Unit oversees all DMV purchases, expenditures, facility maintenance, security systems, repairs to equipment (telephones, shredders, copy machines, etc.), employee travel and training costs, building and equipment leases, postage accounts, fixed assets and surplus property distribution. In FY 2018 this unit processed 4,012 live check and EFT payment transactions totaling $29,471,855 and 7,024 credit card transactions totaling $2,457,621. Warehouse & Inventory Supply The Division’s Warehouse and Inventory Supply Unit is responsible for ordering and maintaining all DMV license plates, decals, titles and registration documents, forms, envelopes, brochures, manuals, and janitorial supplies. The Warehouse also ensures adequate stock and distribution of these supplies to DMV offices, County Sheriff’s Offices, and Authorized Service Provider participating dealerships statewide. Agency Revenue by Source | Road Fund | 2018 Total | 2017 Total | |----------------------------|----------------|----------------| | Other Road Fund Revenue | $148,545,830 | $104,354,021 | | Sales Tax | $227,417,987 | $204,110,912 | | Litter Control Fees | $1,480,363 | $1,876,083 | | Miscellaneous Fees | $1,746,248 | $1,868,405 | | Special Revenue | | | |----------------------------|----------------|----------------| | Motor Vehicle Fees Fund | $5,744,515 | $5,328,551 | | Boat License (DNR) | $164,629 | $721,892 | | Motorcycle Safety (DMV) | $423,108 | $414,102 | | Voter Registration Fees | $127,821 | $199,746 | | DMV/DNR Non-game Wildlife | $129,413 | $192,885 | | Fund (1 year) | | | | DMV/DNR Non-game Wildlife | $146,854 | $201,981 | | Fund (2 year) | | | | Ad Valorem | $17,018,929 | $13,238,964 | | Environmental Cleanup | $2,672,981 | $2,810,443 | | Dealer Recovery Fund | $31,500 | $39,030 | | State Police Lab | $511 | N/A | | Veteran’s Asst. Fund | $1,184 | N/A | | Prior Year Expiring Funds | $0 | $0 | | Total Revenue | $405,651,873 | $335,357,016 | Revenue Trend in U.S. Dollars FY 2008 - FY 2018 | Year | Revenue | |------|------------------| | 2018 | $405,651,873 | | 2017 | $335,357,016 | | 2016 | $323,996,952 | | 2015 | $324,568,507 | | 2014 | $312,635,977 | | 2013 | $285,630,817 | | 2012 | $297,811,535 | | 2011 | $284,115,429 | | 2010 | $254,019,887 | | 2009 | $260,318,868 | | 2008 | $276,438,497 | The first regional office of the DMV opened its doors in Winfield in 1975 and over the last 43 years, the number of full service regional offices available to the public has grown to 24. In addition to the regional offices, there is one testing site that is open to the public providing 25 total locations staffed to handle general customer inquiries and process DMV transactions on behalf of the agency. Across the state the DMV regional offices process the majority of all customer transactions. ### Regional Office Operation Totals | | 2018 | 2017 | |--------------------------------|---------------|---------------| | Dealer Revenue Collected | $50,813,018 | $62,635,909 | | Titles Instant Printed | 99,914 | 109,446 | | Titles Processed | 328,623 | 570,373 | | Operator Renewals | 531,152 | 495,319 | | Vehicle Renewals | 335,557 | 415,741 | | Class E (knowledge) | 77,079 | N/A | | CDL Exams (knowledge) | 16,467 | 29,146 | Examples of what the regional offices do include: - Conducts all driver, commercial driver, and motorcycle knowledge examinations. - Conducts all driver and motorcycle skills examinations. - Provides information and DMV publications and forms. - Determines eligibility of all WV license and ID card applicants, ensuring compliance with the REAL ID Act of 2005. - Verifies school enrollment forms provided for all Graduated Driver’s License (GDL) transactions. - Confirms legal and valid driver’s license status via the Problem Driver Point System (PDPS). - Processes driver’s license card issuances, duplicates, and renewals. - Transfers new resident title work, registration, and driver’s licenses. - Processes ID card issuances, duplicates, and renewals for adults and children. - Processes state employee ID cards. - Issues mobility impaired parking placards and license plates. - Verifies liens and encumbrances. - Verifies insurance coverage and payment of personal property taxes in conjunction with vehicle registration renewals. - Assists customers in electronic voter registration. - Collects fees for the West Virginia Road Fund and other state agency programs. - Distributes information on alcohol awareness, motorcycle safety, ATV safety, child passenger safety, and the Governor’s Highway Safety Program. - Host sites for administrative hearings. ### Regional Office Totals & Revenues | Location | Transactions | Revenue | |----------------|--------------|-------------| | Beckley | 75,292 | $5,434,861 | | Charles Town | 106,038 | $8,550,172 | | Clarksburg | 93,567 | $7,711,766 | | Elkins | 68,839 | $6,481,828 | | Fairmont (Test Site) | 22,964 | $358,909 | | Flatwoods | 39,565 | $2,969,585 | | Franklin | 20,734 | $3,078,946 | | Huntington | 104,344 | $13,670,515 | | Kanawha City | 139,444 | $7,325,139 | | Lewisburg | 46,473 | $4,086,200 | | Logan | 52,980 | $4,310,045 | | Martinsburg | 115,188 | $10,933,527 | | Moorefield | 41,330 | $2,691,802 | | Morgantown | 121,674 | $13,209,824 | | Moundsville | 75,590 | $9,581,466 | | Parkersburg | 108,646 | $15,438,890 | | Point Pleasant | 37,199 | $4,563,226 | | Princeton | 77,698 | $7,332,069 | | Romney | 53,230 | $4,586,995 | | Spencer | 31,396 | $2,418,564 | | Summersville | 63,385 | $10,425,175 | | Weirton | 52,894 | $6,237,228 | | Welch | 28,817 | $1,455,117 | | Williamson | 28,897 | $3,464,813 | | Winfield | 119,966 | $12,452,203 | **Total** | **1,726,150** | **$168,768,863** | The Vehicle Services section is composed of three units within DMV that are connected by the requirement to title and register vehicles in West Virginia. The units are as follows: Titles & Registrations, Dealer Services and Motor Carrier Services. **Titles & Registrations** The Titles and Registrations unit processes registrations and titles for all vehicles (including motorboats) and issues special license plates. Technological innovation has enabled the unit to process all title work promptly upon receipt, track all title work in progress, and provide comprehensive information to customers who call in with questions. This unit has been aggressive in implementing federal mandates that require increased scrutiny of odometer statements and the use of special tamper-resistant forms for many title transactions. This unit also handles all customer requests through DMV online services for duplicate titles, decals, and license plates as well as registration renewals. **Dealer/Leasing Services** The Dealer Services unit issues motor vehicle dealer licenses and license service operation permits. They also inspect reconstructed vehicles, oversee temporary registration plate issuances by dealers and license services, conduct inspections and investigations of licensed dealers and license services annually and issue salesperson licenses. ### Title & Registration Transactions | Transaction | 2018 | 2017 | |------------------------------|--------|--------| | Titles Processed | 731,710| 807,166| | Title File Scans | 765,846| 648,542| | License Plate Transfers | 176,722| 183,311| | License Plate Exchanges | 449 | 550 | | Duplicate Plate Issues | 7,811 | 8,797 | | Duplicate Decal Issues | 8,223 | 9,156 | | Lien Recordings | 287,877| 299,186| ### Registrations by Class | Class | 2018 | 2017 | |----------------|----------|----------| | A Passenger | 1,362,629| 1,376,643| | B Trucks | 52,883 | 42,166 | | C Trailers & Semis | 265,845 | 301,704 | | G Motorcycles | 44,848 | 50,755 | | H Buses | 226 | 199 | | J Taxicabs | 123 | 107 | | M Special Mobile Equip. | 659 | 583 | | P Government | 41,125 | 40,203 | | R Camping Trailers | 33,698 | 29,419 | | T Boat Trailers| 87,127 | 89,207 | | V Antique Vehicles | 38,610 | 26,490 | | X Farm Vehicles| 3,746 | 2,738 | West Virginia assesses leased vehicle taxes according to the value of a vehicle’s lease, rather than the value of the vehicle itself. The DMV accordingly allows a special process for titling leased vehicles. Annual revenues under this program have increased from $854,000 to $9,007,031 since FY 1995. ### Vehicle Registrations by County | County | 2018 | 2017 | |------------|--------|--------| | Barbour | 16,301 | 15,969 | | Berkeley | 120,047| 115,613| | Boone | 20,231 | 20,577 | | Braxton | 15,713 | 15,437 | | Brooke | 18,976 | 19,105 | | Cabell | 83,283 | 83,527 | | Calhoun | 8,120 | 8,032 | | Clay | 9,193 | 9,406 | | Doddridge | 5,941 | 5,732 | | Fayette | 44,379 | 44,012 | | Gilmer | 7,053 | 7,059 | | Grant | 16,005 | 15,836 | | Greenbrier | 41,528 | 40,600 | | Hampshire | 29,934 | 29,392 | | Hancock | 29,469 | 29,725 | | Hardy | 18,357 | 18,100 | | Harrison | 74,996 | 73,749 | | Jackson | 33,772 | 33,436 | | Jefferson | 63,458 | 61,439 | | Kanawha | 180,851| 180,564| | Lewis | 22,269 | 22,236 | | Lincoln | 19,418 | 19,579 | | Logan | 29,040 | 28,963 | | Marion | 59,131 | 58,668 | | Marshall | 26,898 | 26,661 | | Mason | 26,400 | 26,128 | | McDowell | 17,612 | 17,639 | | Mercer | 58,469 | 58,483 | | County | 2018 | 2017 | |------------|--------|--------| | Mineral | 33,367 | 32,610 | | Mingo | 23,710 | 23,632 | | Monongalia | 75,778 | 75,257 | | Monroe | 16,443 | 16,044 | | Morgan | 21,118 | 20,262 | | Nicholas | 31,642 | 30,797 | | Ohio | 39,893 | 40,042 | | Pendleton | 10,861 | 10,620 | | Pleasants | 7,666 | 7,562 | | Pocahontas | 11,594 | 11,294 | | Preston | 37,438 | 36,886 | | Putnam | 56,366 | 55,316 | | Raleigh | 71,028 | 69,997 | | Randolph | 31,242 | 30,703 | | Rilchie | 13,275 | 12,967 | | Roane | 15,558 | 15,397 | | Summers | 11,715 | 11,304 | | Taylor | 14,976 | 15,314 | | Tucker | 8,045 | 7,898 | | Tyler | 9,403 | 9,156 | | Upshur | 32,470 | 32,481 | | Wayne | 29,507 | 29,120 | | Webster | 10,006 | 9,880 | | Wetzel | 19,844 | 19,725 | | Wirt | 7,006 | 6,791 | | Wood | 86,830 | 85,859 | | Wyoming | 20,878 | 20,437 | | Out-of-State| 47,162 | 44,460 | ### Special & Organizational Plates | Plate Style | 2018 | 2017 | |------------------------------|--------|--------| | Amateur Radio | 935 | 870 | | Antique | 19,928 | 17,982 | | Breast Cancer Awareness | 1,790 | 1,452 | | Certified Firefighter | 136 | 126 | | Character Education | 58 | 45 | | Disabled Veteran | 5,409 | 5,078 | | DNR Wildlife (Bird) | 6,899 | 7,166 | | DNR Wildlife (Deer) | 12,683 | 10,080 | | Donate Life | 297 | 241 | | Educator | 664 | 622 | | EMS | 2,029 | 814 | | Firefighter | 878 | 915 | | Former Legislator | 68 | 66 | | Governor’s Numbers | 973 | 923 | | Legislative | 151 | 143 | | Medal of Honor | 1 | 1 | | Military Organizations | 8,491 | 7,242 | | Mobility Impaired | 6,128 | 5,057 | | NASCAR | 1,062 | 1,294 | | National Guard | 654 | 646 | | Patriotic | 6,529 | 5,625 | | Pearl Harbor Survivor | 7 | 8 | | Personalized | 39,272 | 40,678 | | Prisoner of War | 63 | 59 | | Purple Heart | 1,971 | 1,996 | | Silver-Haired Legislature | 4 | 3 | | Special Organizations | 4,572 | 6,731 | | Veteran | 12,342 | 12,839 | | Volunteer Firefighter | 2,032 | 1,647 | | Whitewater Rafting | 900 | 666 | | Wounded Law Enforcement | 36 | 33 | | 4H/FFA | 229 | 191 | | 9-11 Commemorative | 4,514 | 4,818 | ### Vehicle Dealer Oversight | Category | 2018 | 2017 | |-----------------------------------------------|--------|--------| | Dealers Licenses | 1,445 | 1,459 | | Dealer Pre-Application Inspections | 181 | 176 | | Dealer Applicant Investigations | 322 | 101 | | Dealer Compliance Investigations | 3,211 | 3,506 | | Unlicensed Dealer Investigations | 113 | 149 | | Reconstructed Vehicle Inspections | 4,027 | 4,419 | | **Total Temporary Plates Issued** | **112,198** | **99,305** | | Category | 2018 | 2017 | |-----------------------------------------------|--------|--------| | Temporary Plates Issued to Motorcycles | 1,788 | 1,591 | | Temporary Plates Issued to Dealers | 98,590 | 89,799 | | Temporary Plates Issued to License Services | 11,535 | 7,695 | | Temporary Plates Issued to Auto Auctions | 285 | 220 | | Revenue Leased Vehicles | $9,007,031 | $8,236,868 | | Rental Taxes Collected | $1,679,965 | $1,722,739 | ### Motorboat Registrations by County | County | Fee Paying | Non-Fee Paying | Gov. | Total | |------------|------------|----------------|------|-------| | Barbour | 330 | 96 | 1 | 427 | | Berkeley | 1,984 | 343 | 3 | 2,330 | | Boone | 661 | 56 | 0 | 717 | | Braxton | 618 | 86 | 1 | 705 | | Brooke | 385 | 71 | 1 | 457 | | Cabell | 1,753 | 112 | 5 | 1,870 | | Calhoun | 199 | 50 | 0 | 249 | | Clay | 303 | 78 | 1 | 382 | | Doddridge | 144 | 44 | 0 | 188 | | Fayette | 1,388 | 103 | 2 | 1,493 | | Gilmer | 119 | 23 | 0 | 142 | | Grant | 263 | 94 | 1 | 358 | | Greenbrier | 658 | 285 | 8 | 951 | | Hampshire | 482 | 247 | 0 | 729 | | Hancock | 539 | 72 | 3 | 614 | | Hardy | 280 | 232 | 0 | 512 | | Harrison | 1,628 | 327 | 2 | 1,957 | | Jackson | 980 | 168 | 1 | 1,149 | | Jefferson | 922 | 134 | 2 | 1,058 | | Kanawha | 4,588 | 476 | 209 | 5,273 | | Lewis | 750 | 77 | 7 | 834 | | Lincoln | 714 | 67 | 2 | 783 | | Logan | 910 | 118 | 1 | 1,029 | | Marion | 1,442 | 239 | 4 | 1,685 | | Marshall | 626 | 199 | 1 | 826 | | Mason | 726 | 159 | 1 | 886 | | McDowell | 402 | 76 | 0 | 478 | | Mercer | 1,562 | 146 | 0 | 1,708 | | Mineral | 570 | 232 | 0 | 802 | | Mingo | 772 | 137 | 3 | 912 | | Monongalia | 1,841 | 186 | 16 | 2,043 | | Monroe | 323 | 55 | 1 | 379 | | Morgan | 462 | 133 | 0 | 595 | | Nicholas | 1,119 | 155 | 1 | 1,275 | | Ohio | 654 | 137 | 0 | 791 | | Pendleton | 81 | 93 | 1 | 175 | | Pleasants | 269 | 63 | 3 | 335 | | Pocahontas | 169 | 70 | 1 | 240 | | Preslon | 629 | 103 | 1 | 733 | | Putnam | 1,611 | 166 | 1 | 1,778 | | Raleigh | 1,899 | 134 | 2 | 2,035 | | Randolph | 475 | 163 | 0 | 638 | | Ritchie | 335 | 156 | 2 | 493 | | Roane | 463 | 181 | 2 | 646 | | Summers | 368 | 27 | 2 | 397 | | Taylor | 591 | 58 | 1 | 650 | | Tucker | 115 | 34 | 0 | 149 | | Tyler | 291 | 108 | 0 | 399 | | Upshur | 692 | 99 | 3 | 794 | | Wayne | 1,104 | 48 | 3 | 1,155 | | Webster | 277 | 43 | 0 | 320 | | Wetzel | 483 | 139 | 3 | 625 | | Wirt | 202 | 72 | 0 | 274 | | Wood | 2,167 | 498 | 13 | 2,678 | | Wyoming | 925 | 81 | 0 | 1,006 | | Out-of-State | 79 | 7 | 0 | 86 | | **TOTALS** | **44,322** | **7,556** | **315** | **52,193** | Motor Carrier Services This unit of the DMV Vehicle Services section oversees credential issuance to and revenue collection from the commercial trucking industry. The Motor Carrier Services section administers West Virginia’s participation in two, multi-jurisdictional, revenue and credential reciprocity compacts: 1) International Registration Plan (IRP): IRP regulates commercial vehicle registration. 2) International Fuel Tax Agreement (IFTA): IFTA administers credentialing for commercial fuel taxes. The two compacts spearhead a technology-driven effort to simplify legal compliance procedures for the trucking industry and bring maximum economic efficiency to interstate and US-Canadian commerce. Registered Dealer Key Dealer Types - **D**: New & used vehicles, not including motorcycles - **DTR**: Trailers, semi-trailers, and/or house trailers - **DUC**: Used vehicles, not including motorcycles - **F**: New & used motorcycles - **MFG**: Reconstructors, assemblers, and/or reassemblers of vehicles with special bodies - **TRS**: Transporters of vehicles to and/or from plants and agents of a manufacturer of purchasers - **REP**: Financial institutions authorized to repossess vehicles - **DRV**: Recreational vehicle dealers - **AA**: Auctioneers - **WDR**: Dealers in used parts, wreckers, and dismantlers of vehicles for resale of parts ### Registered Dealers & Types | County | AA | D | DRV | DTR | DUC | F | MFG | REP | TRS | WDR | Total | |------------|----|---|-----|-----|-----|---|-----|-----|-----|-----|-------| | Barbour | 0 | 1 | 0 | 0 | 6 | 0 | 0 | 0 | 0 | 1 | 8 | | Berkeley | 1 | 4 | 6 | 8 | 85 | 4 | 0 | 2 | 0 | 6 | 116 | | Boone | 0 | 2 | 1 | 0 | 5 | 1 | 0 | 1 | 0 | 0 | 10 | | Braxton | 0 | 2 | 3 | 3 | 5 | 1 | 0 | 0 | 0 | 1 | 15 | | Brooke | 0 | 1 | 1 | 0 | 6 | 2 | 0 | 0 | 0 | 4 | 14 | | Cabell | 0 | 9 | 6 | 3 | 37 | 4 | 0 | 4 | 0 | 9 | 92 | | Calhoun | 0 | 0 | 0 | 0 | 2 | 0 | 0 | 1 | 0 | 0 | 3 | | Clay | 0 | 0 | 0 | 0 | 3 | 0 | 0 | 0 | 0 | 0 | 3 | | Doddridge | 0 | 0 | 1 | 1 | 1 | 0 | 0 | 1 | 0 | 0 | 4 | | Fayette | 0 | 1 | 2 | 0 | 19 | 0 | 0 | 2 | 0 | 1 | 25 | | Gilmer | 0 | 0 | 0 | 0 | 2 | 0 | 0 | 0 | 0 | 0 | 2 | | Grant | 0 | 0 | 1 | 1 | 7 | 1 | 0 | 1 | 0 | 0 | 11 | | Greenbrier | 0 | 4 | 2 | 1 | 18 | 2 | 0 | 0 | 0 | 5 | 32 | | Hampshire | 0 | 1 | 4 | 3 | 13 | 2 | 0 | 2 | 0 | 0 | 25 | | Hancock | 0 | 1 | 0 | 0 | 8 | 0 | 0 | 0 | 0 | 2 | 11 | | Hardy | 0 | 3 | 1 | 1 | 5 | 1 | 0 | 2 | 0 | 0 | 13 | | Harrison | 1 | 9 | 6 | 6 | 51 | 8 | 0 | 0 | 0 | 4 | 85 | | Jackson | 0 | 1 | 3 | 5 | 19 | 1 | 1 | 2 | 0 | 1 | 33 | | Jefferson | 0 | 2 | 1 | 3 | 13 | 1 | 0 | 0 | 0 | 1 | 21 | | Kanawha | 2 | 16| 14 | 17 | 62 | 8 | 0 | 8 | 1 | 8 | 136 | | Lewis | 0 | 4 | 3 | 1 | 8 | 0 | 0 | 1 | 0 | 2 | 19 | | Lincoln | 0 | 0 | 0 | 0 | 6 | 0 | 0 | 0 | 0 | 4 | 10 | | Logan | 0 | 3 | 2 | 2 | 9 | 2 | 0 | 1 | 0 | 0 | 19 | | Marion | 0 | 6 | 6 | 7 | 37 | 2 | 0 | 1 | 0 | 4 | 63 | | Marshall | 0 | 4 | 2 | 1 | 11 | 0 | 0 | 1 | 0 | 4 | 23 | | Mason | 0 | 0 | 0 | 1 | 4 | 0 | 0 | 0 | 0 | 1 | 6 | | McDowell | 0 | 0 | 0 | 0 | 7 | 0 | 0 | 1 | 0 | 0 | 8 | | Mercer | 0 | 7 | 8 | 6 | 38 | 4 | 0 | 1 | 0 | 6 | 70 | | County | AA | D | DRV | DTR | DUC | F | MFG | REP | TRS | WDR | Total | |------------|----|---|-----|-----|-----|---|-----|-----|-----|-----|-------| | Mineral | 0 | 3 | 2 | 4 | 1 | 1 | 0 | 0 | 0 | 2 | 23 | | Mingo | 0 | 2 | 3 | 1 | 3 | 1 | 0 | 0 | 0 | 1 | 11 | | Monongalia | 0 | 11| 4 | 5 | 37 | 5 | 0 | 1 | 0 | 5 | 68 | | Monroe | 0 | 0 | 1 | 3 | 4 | 1 | 0 | 0 | 0 | 0 | 9 | | Morgan | 0 | 1 | 1 | 2 | 6 | 1 | 0 | 1 | 0 | 1 | 13 | | Nicholas | 0 | 3 | 1 | 3 | 11 | 0 | 0 | 0 | 0 | 2 | 20 | | Ohio | 0 | 11| 5 | 6 | 18 | 2 | 0 | 0 | 0 | 2 | 44 | | Pendleton | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | | Pleasants | 0 | 1 | 2 | 3 | 5 | 0 | 0 | 0 | 0 | 0 | 11 | | Pocahontas | 0 | 1 | 1 | 0 | 2 | 0 | 0 | 0 | 0 | 1 | 5 | | Preston | 1 | 2 | 1 | 1 | 18 | 1 | 0 | 0 | 0 | 1 | 25 | | Putnam | 1 | 4 | 3 | 5 | 10 | 1 | 2 | 0 | 2 | 1 | 29 | | Raleigh | 1 | 9 | 10 | 10 | 39 | 5 | 1 | 0 | 0 | 2 | 77 | | Randolph | 0 | 5 | 2 | 7 | 17 | 2 | 0 | 3 | 0 | 1 | 37 | | Ritchie | 0 | 0 | 0 | 2 | 6 | 1 | 2 | 0 | 0 | 1 | 12 | | Roane | 0 | 1 | 0 | 0 | 3 | 1 | 0 | 0 | 0 | 0 | 5 | | Summers | 0 | 0 | 0 | 0 | 2 | 0 | 0 | 0 | 0 | 0 | 2 | | Taylor | 0 | 1 | 0 | 0 | 6 | 0 | 0 | 0 | 1 | 3 | 11 | | Tucker | 0 | 0 | 0 | 0 | 2 | 0 | 0 | 0 | 0 | 1 | 3 | | Tyler | 0 | 2 | 0 | 0 | 1 | 0 | 0 | 2 | 0 | 0 | 5 | | Upshur | 1 | 2 | 1 | 2 | 14 | 1 | 0 | 0 | 1 | 2 | 24 | | Wayne | 0 | 2 | 5 | 1 | 11 | 0 | 0 | 0 | 0 | 4 | 23 | | Webster | 0 | 0 | 0 | 1 | 3 | 0 | 0 | 0 | 0 | 0 | 4 | | Wetzel | 0 | 1 | 3 | 2 | 5 | 1 | 0 | 0 | 0 | 0 | 12 | | Wirt | 0 | 0 | 0 | 0 | 3 | 0 | 0 | 0 | 0 | 0 | 3 | | Wood | 0 | 10| 16 | 10 | 43 | 8 | 3 | 5 | 0 | 1 | 106 | | Wyoming | 0 | 0 | 1 | 1 | 1 | 0 | 0 | 0 | 0 | 1 | 4 | **TOTALS**: 10 154 138 137 773 79 9 46 3 110 1,459 IRP and IFTA enable United States and Canadian commercial motor carriers to operate throughout most of North America with tax and registration credentials issued by their home jurisdiction. The compacts require all vehicles of more than 26,000 pounds gross vehicle weight (GVW) and having three (3) or more axles to register their vehicles and pay their fees in their home jurisdictions. Ten Canadian provinces and all of the states of the continental United States recognize IRP credentials. IFTA credentials are valid for travel in all of Canada and the continental United States. This unit also utilizes the Commercial Vehicle Information Systems Network (CVISN) and other Intelligent Transportation Systems/Commercial Vehicle Operations (ITS/CVO) initiatives directed by the Federal Motor Carrier Safety Administration (FMCSA). CVISN and ITS/CVO initiatives are focused on streamlining government regulatory processes by consolidation of functions and electronic data exchanges. **Motor Carrier Totals** **IRP, IFTA, and Road Tax** | Category | 2017 | 2018 | |---------------------------|------|------| | IRP Power Units | 10,040 | 10,097 | | IRP Carriers | 2,077 | 2,233 | | IFTA Members | 2,017 | 1,921 | | IFTA Decals Issued | 13,344 | 13,811 | | Road Tax Registrants | 2,101 | 1,650 | | Road Tax Decals Issued | 7,651 | 7,474 | **Other Motor Carrier Operations** - Collection of apportioned *ad valorem* fees for West Virginia counties - Advice and training for law enforcement personnel and others concerning policies, regulations, and statutes pertaining to commercial vehicles - Processing and issuance of fuel tax decals for intrastate motor carriers **Motor Carrier Goals & Objectives** - Continue to introduce new motor carriers to electronic credentialing and self-credentialing - Streamline administration of motor carrier credentialing and taxation - Reduce administrative paperwork and enhance compliance with motor carrier regulations through technology - Continue the PRISM program to improve the safety performance of high-risk carriers **Commercial Driver’s License Holders** | Year | Count | |------|-------| | 2018 | 46,221 | | 2017 | 44,376 | **IRP Revenue** | Source | 2018 | 2017 | |---------------------------------------------|------------|------------| | Collected from WV Based Carriers | $42,518,651 | $38,682,599 | | Collected from Other States | $32,055,594 | $26,199,610 | | Paid to Other States | $5,203,408 | $5,378,676 | | Ad Valorem | $16,924,445 | $13,597,299 | dmv.wv.gov 1-800-642-9066

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The Friendship Centers Visitors to the Centers are impressed with both the beauty of the facilities and the wide range of activities and opportunities they find here. The Friendship Centers are places to: Make new friends Make a difference by volunteering Listen to music Dance Sing Exercise Share ideas Learn Play (...billiards, cards, mahjong, Wii, you name it!) Find support Explore new horizons ... And the best part is they're yours. The Friendship Centers are a non-profit organization based on the philosophy of 'People Helping People.' SFC has helped older adults live with dignity and independence for nearly 40 years. YOUR support is needed to continue to provide the programs and services that have earned this organization a national and international reputation for quality and innovation. FRIENDS OF THE CENTER will help pay the cost to keep the centers open - including maintenance and overhead on the buildings and grounds. Our buildings are not owned or run by federal, state or local government. Your support is essential. Campus Hours & Location The Friendship Center 1888 Brother Geenen Way Sarasota, FL 34236 Open 8:30 am - 4:30 pm Monday through Friday Participant Criteria In some cases the Friendship Center or the Friendship Cafe may not be the best choice for you or your loved one. If this should occur we will be happy to work with you to find other available programs and resources. Some of the criteria which may require us to release a participant include: * Inability to perform normal activities of daily living. * Inability to evacuate a building unassisted in the event of fire or other emergencies * Inability to independently use restrooms * Unacceptable behavior requiring staff intervention. * Wandering or confusion regarding surroundings. *Please note, all participants must also sign and submit a release waiver. Friendship Centers Invites You to Join 2017 Accredited by the National Association of Senior Centers Exciting Classes and Programs Beautiful Setting & Facilities Discounts on Classes Activities & More Experience the Reward of People Helping People in Action Every Day! FRIENDS OF THE CENTER This is Your Invitation ...to be part of a new initiative called "Friends of the Center." For just pennies a day, you are supporting an organization that makes a difference in the lives of your friends and neighbors. Your membership is your commitment to The Friendship Centers, and allows you to benefit from special member discounts. Friends of the Center is being launched in connection with the unveiling of a new state of the art touch screen system, thanks to a grant from the Gulf Coast Community Foundation. Your card is your personal entry key, used every time you come to the center. Friends of the Center Annual Membership Options $50 - Single Membership over the age of 50 $70 - Couples two people living at the same address, one over the age of 50 $40 - Seasonal Guest Membership 3 months for seasonal members, age 50+, up to $60 - Seasonal Couples Members, age 50+, up to 3 months FREE - To all seniors over the age of 90 Friendship Centers is a non-profit private charitable organization, 501(c)(3) Benefits of Being A Friend of the Center PERSONAL SATISFACTION knowing that you are supporting an organization which helps thousands of older adults in our communities every day. DISCOUNTS on a wide variety of stimulating classes and activities offered at the Centers, including: Balance Movement Fitness Dance Foreign Languages Arts & Crafts And Special Events as designated DISCOUNTS ON FACILITIES RENTAL CENTER FEATURES Hardwood Dance Floors Live music Regulation Pool Tables Library Fitness Brain Fitness Friendship Cafe Bistro Dance Classes Arts & Crafts Computer Lab Please fill out and return the panel at right to: Friends of the Center Attn: Center Manager Friendship Centers 1888 Brother Geenen Way Sarasota, FL 34236 Registration & Release Waiver Membership (check one) __Single Membership, $50 __Couples Membership, $70 __Guest (Seasonal) Membership, $40 __Guest (Couple) Seasonal Membership, $60 Name______________________________________ Address_____________________________________ City__________________State________ Zipcode _________Date of Birth_________ Gender M F Phone ________________________ Email:_____________________________ Today's Date:____________ Please note: the information you provide is secure and will not be shared. Are You a Veteran? Yes No Veteran Dependent? Yes No Ethnicity: __Hispanic __ Other Race: ___White ___Black ___Native American ___Asian Pacific ___Other Emergency Contact __________________________ Address____________________________________ Phone_________________Email________________ For Office Use Only: Membership # _______________________________

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SITE NAME: Type Component Breakfast AM Snack Lunch For more information on additional food components and amounts, please refer to Ohio CACFP Child Care Meal Pattern Chart. This institution is an equal opportunity employer. Rev. 3/12 Ohio CACFP Weekly Menu for Children (5-Day) Minimum Serving Date: Date: Date: Date: Date: SITE NAME: Type Component Minimum Serving Date: Date: Date: Date: Date: For more information on additional food components and amounts, please refer to Ohio CACFP Child Care Meal Pattern Chart. This institution is an equal opportunity employer. Rev.3/12 Ohio CACFP Weekly Menu for Children (5-Day)

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CENTRAL INTELLIGENCE AGENCY THE PRESIDENT'S DAILY BRIEF 9 NOVEMBER 1965 TOP SECRET 1. Indonesia Whatever anti-US vituperation Sukarno may indulge in tomorrow during Indonesia's "Heroes Day" celebration, the army evidently sees the affair as another opportunity to beat on the Communists. General Nasution's speech for the occasion, available in an advance recording, is a strong call for punishment of the instigators of the 30 September coup. Nasution does not mention Sukarno by name, merely praying in conclusion that "the great leader of the revolution" be given strength to continue the struggle "along the God-given path." To help get Sukarno on the right path, anti-Communists in Djakarta today staged the largest demonstration US Embassy observers can remember. One of Sukarno's deputy premiers gave the crowd the usual soft line, but in response the rally demanded the dismissal of Communists from the cabinet. Sukarno is still scoring some points, however, Two papers attacking pro-Communist Deputy Premier Subandrio have already been temporarily banned by Sukarno's civilian authorities. There are some hints that Sukarno intends to go abroad soon. A trip now would seem badly timed politically, but might be necessary for medical reasons. 2. South Vietnam The joint US-Australian operation near Bien Hoa north of Saigon is in its final phases. Timely and effective air strikes, as well as heavy artillery and effective automatic weapons fire have taken a heavy toll of Communists. Over 400 bodies were counted after this engagement, and an estimated 200 additional Communist dead were removed from the battlefield. Allied casualties stand at 50 killed, 48 of them Americans. 3. North Vietnam Yesterday's US air strike on a surface-to-air missile site near Haiphong apparently led to Soviet casualties. An intercepted conversation from the site made reference to "one comrade killed and four wounded." Soviet technicians have been called "comrades" in earlier voice intercepts. It has been assumed that Soviet personnel could have been casualties in previous strikes on surface-to-air sites, but this is the first creditable evidence of this. 4. Dominican Republic Santo Domingo is quiet, but ex-President Bosch is worried again about a right-wing coup. Last evening, he sent an emissary to an embassy in Santo Domingo to ask for assurances that the US is not supporting such a move. 5. Chile Latin passions have been aroused by a border clash between Chilean and Argentine gendarmes. The Chileans came out losers in the affray, which took place at an isolated ranch in the southern Andes. Both governments have recently seemed to want to settle border problems in an orderly fashion, but politicos on each side are prone to wave the bloody shirt over such incidents. 6. Rhodesia London is braced for a Rhodesian declaration of independence, possibly today or tomorrow. Although some new move could again stave off a declaration, Wilson's room for maneuver on the issue now seems to be very small indeed. The weaknesses of the African nationalists have discouraged even the radical black African states, whose leaders have been pressing the British to take drastic action against the white Rhodesians. TOP SECRET TOP SECRET

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Turkish Journal of Medical Sciences Volume 40 Number 5 1-1-2010 Serum prolidase activity in patients with degenerative and rheumatic heart valve diseases MURAT BÜLENT RABUŞ RECEP DEMİRBAĞ YUSUF SEZEN MEHMET TAŞAR ABDULLAH TAŞKIN See next page for additional authors Follow this and additional works at: https://journals.tubitak.gov.tr/medical Part of the Medical Sciences Commons Recommended Citation RABUŞ, MURAT BÜLENT; DEMİRBAĞ, RECEP; SEZEN, YUSUF; TAŞAR, MEHMET; TAŞKIN, ABDULLAH; AKSOY, NURTEN; KIRALİ, KAAN; and YAKUT, CEVAT (2010) "Serum prolidase activity in patients with degenerative and rheumatic heart valve diseases," Turkish Journal of Medical Sciences: Vol. 40: No. 5, Article 3. https://doi.org/10.3906/sag-0904-48 Available at: https://journals.tubitak.gov.tr/medical/vol40/iss5/3 This Article is brought to you for free and open access by TÜBİTAK Academic Journals. It has been accepted for inclusion in Turkish Journal of Medical Sciences by an authorized editor of TÜBİTAK Academic Journals. For more information, please contact [email protected]. Article 3 Serum prolidase activity in patients with degenerative and rheumatic heart valve diseases Authors MURAT BÜLENT RABUŞ, RECEP DEMİRBAĞ, YUSUF SEZEN, MEHMET TAŞAR, ABDULLAH TAŞKIN, NURTEN AKSOY, KAAN KIRALİ, and CEVAT YAKUT Turk J Med Sci 2010; 40 (5): 687-692 © TÜBİTAK E-mail: [email protected] doi:10.3906/sag-0904-48 Original Article Serum prolidase activity in patients with degenerative and rheumatic heart valve diseases Murat Bülent RABUŞ 1 , Recep DEMİRBAĞ 2 , Yusuf SEZEN 2 , Mehmet TAŞAR 1 Abdullah TAŞKIN 3 , Nurten AKSOY 3 , Kaan KIRALİ 1 , Cevat YAKUT 1, Aim: It is known that renin-angiotensin system, inflammation, signaling pathways, and genetic predisposition play a major role in the pathogenesis of heart valve disease. Scarring and collagen deposition in the valves and destruction of myocytes may result from the combined effects of rheumatic and degenerative process in heart valve diseases. Prolidase plays an important role in collagen metabolism, matrix remodeling and cell growth. The aim of the study was to comparatively assess the serum prolidase activity in rheumatic and degenerative heart valve diseases. Materials and methods: The study included 26 patients who had undergone valve replacement due to rheumatic etiology (Group I), 24 patients who had undergone valve replacement due to degenerative etiology (Group II) and 20 healthy volunteers (Group III). Prolidase activity was determined in all subjects. High sensitive C-reactive protein and white blood cell count were studied in only valve patients. Results: Prolidase activity was significantly greater in control group than in patients group (51.23.± 5.9 U/L vs. 39.40 ± 4.6 U/L, respectively; P < 0.001). There was no statistically significant difference between Group I and Group II (P = 0.721). No correlation was detected between serum prolidase activity and severity of valve disease (P > 0.05). Conclusion: These results suggested that rheumatic and degenerative heart valve diseases seem to be associated with decreased serum prolidase activity. Key words: Prolidase activity, rheumatic valve disease, degenerative valve disease Dejeneratif ve romatizmal kalp kapak hastalarına serum pirolidaz aktivitesi Amaç: Renin-anjiyotensin sistemi, inflamasyon, sinyal yolakları ve genetik yatkınlığın kalp kapak hastalığının patogenezinde önemli rol oynadığı bilinmektedir. Kapaklarda skar oluşumu ve kolajen birikimi miyositlerin hasarlanması, kalp kapak hastalığındaki romatizmal ve dejeneratif süreçlerin birleşik etkisinden sonuçlanabilir. Prolidaz, kolajen metabolizmasında, matriks yeniden-yapılanmasında ve hücre büyümesinde önemli rol oynar. Bu çalışmanın amacı, serum prolidaz aktivitesinin romatizmal ve dejeneratif kalp kapak hastalıklarında karşılaştırmalı değerlendirmesidir. Yöntem ve gereç: Çalışmaya, romatizmal etiyoloji nedeniyle kapak replasmanı geçirmiş olan 26 hasta (Grup I), dejeneratif etiyoloji nedeniyle kapak replasmanı geçirmiş olan 24 hasta (Grup II) ve 20 sağlıklı gönüllü (Grup III) katıldı. Prolidaz aktivitesi tüm deneklerde ölçülürken, yüksek duyarlıklı C-reaktif protein ve beyaz küre sayımı sadece kapak hastalarında ölçüldü. Bulgular: Prolidaz aktivitesi, kontrol grubunda hasta gruplarındakinden anlamlı şekilde daha yüksekti (sırasıyla 51,23.± 5,9 U/L ve 39,40 ± 4,6 U/L; P < 0,001). Serum prolidaz aktivitesi bakımından Grup I ve Grup II arasında istatistiksel olarak anlamlı bir fark yoktu (P = 0,721). Serum prolidaz aktivitesi ve kapak hastalığının ağırlığı arasında herhangi bir korelasyon saptanmadı (P > 0,05). Sonuç: Bulgular ışığında, romatizmal ve dejeneratif kalp hastalığının azalmış serum prolidaz aktivitesi ile ilişkili olduğu görülmektedir. Anahtar sözcükler: Prolidaz aktivitesi; romatizmal kalp hastalığı; dejeneratif kalp hastalığı. Received: 30.04.2009 – Accepted: 15.03.2010 2 Department of Cardiology, Faculty of Medicine, Harran University, Şanlıurfa - TURKEY 1 Department of Cardiovascular Surgery, Kartal Koşuyolu Heart and Research Hospital, İstanbul - TURKEY 3 Department of Biochemistry, Faculty of Medicine, Harran University, Şanlıurfa - TURKEY Correspondence: Murat Bülent RABUŞ, Department of Cardiovascular Surgery, Kartal Koşuyolu Heart and Research Hospital, İstanbul - TURKEY E-mail: [email protected] Introduction Degenerative (DHVD) and rheumatic heart valve diseases (RHVD) are multifactorial processes that appear to be caused by the interaction of risk factors such as genetic, inflammatory, autoimmune, infectious and oxidative stress; however, their pathophysiology are not completely understood (13). Fibrosis and calcification are defining features of degenerative and rheumatic valve lesions, and the extent of lesion calcification correlates both with more rapid disease progression and worse clinical outcomes (4-6). Fibrosis is an excessive deposition of extracellular matrix (7). Matrix-metalloproteinase and the natural inhibitors of matrix-metalloproteinase molecules typically are expressed in inflammatory and fibrosing illnesses (1). Degenerative heart valve lesions contain a number of matrixmetalloproteinases (8, 9), which degrade various components of the extracellular matrix. Normal human heart valves contain collagen types I, III and V in extracellular matrix (10). Prolidase (E.C.184.108.40.206) is a cytosolic exopeptidase, and cleaves imidodi- and imidotripeptides with Cterminal proline or hydroxyproline. (11). Prolidase plays an important role in collagen metabolism, matrix remodeling and cell growth (12). Its activity has been documented in plasma, erythrocytes, leukocytes, dermal fibroblasts and in various organs such as kidney, brain, heart, thymus and uterus (13). Prolidase activity has been investigated in various disorders such as chronic liver disease (14), osteoporosis (15) and osteoarthritis (16). Increased serum prolidase activity is associated with the presence of hypertension independent of the presence of left ventricular hypertrophy (17). Many studies have shown that the levels of inflammatory indices, mainly C-reactive protein, plasma endothelin-1 levels (18), plasma osteopontin concentrations (19) and collagen III expression in atrial tissue were increased in patients with mitral valve disease (20, 21). However, there is no data available in the literature about the role of serum prolidase activity in the pathogenesis of valve diseases. We hypothesized that serum prolidase activity may be responsible for the increased valvular fibrosis and calcification in patients with RHVD and DHVD. Therefore, this study was designed to determine whether the prolidase activity can serve as a marker of susceptibility to rheumatic and degenerative valve diseases. Materials and methods Patients and controls: Patients with mitral and aortic stenosis admitted to cardiology and cardiovascular surgery clinics between September 2006 and March 2008 were included in the study. The sample included 26 patients who underwent mitral valve surgery due to rheumatic etiology (Group I; 10 males; mean age: 45 ± 11 years), 24 patients who underwent aortic valve surgery due to degenerative etiology (Group II; 14 males; mean age: 51 ± 12 years) and 20 gender- and age-matched healthy volunteers (Group III; 8 males; mean age: 46 ± 7 years). Patients with echocardiographically documented predominantly mitral and aortic stenosis and sinus rhythm were enrolled in this study. Patients with combined valvular diseases, predominant mitral and aortic regurgitation or those with coronary artery diseases were excluded. Valvular lesions were defined on the basis of echocardiographic findings; supported by the evidence of past streptococcal throat infection and/or history of acute rheumatic fever. Patients without degenerative and rheumatic etiology were excluded from the study. Other exclusion criteria were presence of heart failure, cerebrovascular diseases or malignant tumor, antioxidant drug consumption, hypertension, hyperlipidemia, diabetes mellitus, smoking, chronic respiratory insufficiency, rheumatoid arthritis, cirrhosis, osteoporosis and renal diseases. All participants were assessed by detailed medical history-taking, complete physical examination and electrocardiographic evaluation. Body mass index (BMI) was computed as weight divided by square of height (kg/m 2 ). The leukocytes and the levels of Creactive protein were measured by a commercial kit (Abbott) using an automatic analyzer (Aeroset, USA). The study protocol conforms to the ethical guidelines of the 1975 Declaration of Helsinki as reflected in a priori approval by our institution's human research committee. Informed consent was obtained from all individuals. Blood sample collection: Blood samples were obtained following an overnight fasting state before valve surgery. Samples were withdrawn from a cubital vein into blood tubes. The plasma was separated from the cells by centrifugation at 3000 rpm for 10 min and stored on at −80°C until analysis of prolidase. Prolidase assay: Serum was diluted 40-fold with 2.5 mmol/L Mn 2+ , 40 mmol/L trizma HCl buffer (pH: 8.0) and preincubated at 37 o C for 2 h. The reaction mixture containing 30 mmol/L gly-pro, 40 mmol/L trizma HCl buffer (pH: 8.0) and 100 μL of preincubation serum in 1 mL was incubated at 37 o C for 30 min. Incubation reaction was stopped after adding 0.5 mL of 20 % trichloroacetic acid solution. The supernatant was used for measurement of proline by the method proposed by Myara (22), which is a modification of Chinard's method (23). Intra-assay CV of the assay was 3.8 %. Continuous variables were compared using Student's t test and ANOVA with a least square difference posthoc test, and categorical variables were compared using Pearson chi-square test. Associations among quantitative variables were assessed by Pearson's correlation coefficient. P < 0.05 was considered statistically significant. Data were analyzed by using SPSS 11.5 (SPSS for Windows 11.5, Chicago, IL). Results Statistical analysis: Results are presented as mean ± SD or frequency values expressed as percentages. Patient clinical and some laboratory characteristics are shown in Table 1. There were no difference in age, sex, body mass index and systolic blood pressure. Only diastolic blood pressure was higher in the control group than the patients group (P < 0.05). Baseline medications in patients with degenerative and rheumatic groups are shown in Table 1. Ejection fraction, left ventricular end-diastolic and end- Table 1. Comparison of demographic and clinical characteristics of the groups. a Continuous variables were compared using Student's t test, and categorical variables were compared using Pearson chi-square test (RHVD vs. DHVD). Values are mean ± S.D. or %. c P < 0.001 vs. RHVD and P= 0.004 vs DHVD b P = 0·010 vs. DHVD ACEI: angiotensin-converting enzyme inhibitor; ARB: angiotensin II receptor blocker; BMI: body mass index; DHVD: degenerative heart valve disease; DBP: diastolic blood pressure; IVS: intraventricular septum; LVEF: left ventricular ejection fraction; LVDD: left ventricular end-diastolic diameter; LVSD: left ventricular end-systolic diameter; RHVD: rheumatic heart valve disease; SBP: systolic blood pressure. systolic diameter, C-reactive protein and leukocyte counts were similar in patient groups (all P > 0.05). Diastolic blood pressure and intraventricular septum thickness were significantly higher in patients with DHVD than RHVD patients. But left atrial diameter was significantly bigger in patients with RHVD than DHVD patients (Table 1). A bar graph of prolidase activity in three study groups is shown in Fig. 1. Serum prolidase activity was significantly greater in control than in patients group (51.23.± 5.9 U/L vs. 39.40 ± 4.6 U/L, respectively; P < 0.001). But there was no statistically significant difference between Group I and Group II (39.20 ± 4.4 U/L and 41.47 ± 4.7 U/L, respectively; P = 0.721) (Figure 1). Relationships between prolidase activity and other variables in patients with RHVD and in patients with DHVD are shown in Table 2. The prolidase activity was not correlated with the clinic and laboratory variables (all P > 0.05) in bivariate analysis. Discussion 65 Figure 1. Comparison of groups according to serum prolidase activity (DHVD: degenerative heart valve disease, RHVD: rheumatic heart valve disease). control subjects. Serum prolidase levels were similar between patients with RHVD and patients with DHVD. Prolidase activity was not correlated with severity of valve diseases. In the present study, we found that prolidase activity was significantly lower in patients than One of our recent studies has reported that the prolidase activity was associated with the presence of Table 2. Bivariate correlation analysis of the serum prolidase activity with other variables. ACEI: angiotensin-converting enzyme inhibitor; ARB: angiotensin II receptor blocker. hypertension, and patients with hypertension had higher levels of prolidase activity when compared to healthy subjects (17). In the present study, we found that the diastolic blood pressure was lower in patients with RHVD and DHVD than in control subjects. Serum prolidase activity was not associated with the diastolic blood pressure. Collagen Type I and Type III are found in the valve, cordae tendon and myocardial interstitium of rheumatic heart disease (24, 25). It was known that patients with rheumatic valves had elevated collagen synthesis (26), and there was a relationship between acquired valvular heart diseases and increased serum and urine levels of hydroxyproline (27). Degenerative valve lesions have many features characteristic of an active pathobiological process, including chronic inflammation (28), lipoprotein deposition (5), active References 1. O'Brien KD. Pathogenesis of calcific aortic valve disease: A disease process comes of age (and a good deal more). Arterioscler Thromb Vasc Biol 2006; 26: 1721-8. 2. Stollermann GH. Rheumatic fever. Lancet 1997; 349: 935-42. 3. Davutoglu V, Celik A, Aksoy M. Contribution of selected serum inflammatory mediators to the progression of chronic rheumatic valve disease, subsequent valve calcification and NYHA functional class. J Heart Valve Dis 2005; 14: 251-6. 4. Bahler RC, Desser DR, Finkelhor RS, Brener SJ, Youssefi M. Factors leading to progression of valvular aortic stenosis. Am J Cardiol 1999; 84: 1044-8. 5. Walton KW, Williamson N, Johnson AG. The pathogenesis of atherosclerosis of the mitral and aortic valves. J Pathol 1970; 101: 205-20. 6. Schoen FJ, St John Sutton M. Contemporary pathologic considerations in valvular disease. In: Virmani B, Atkinson JB, Feuoglio JJ, editors. Cardiovascular pathology. Philadelphia: Saunders; 1991. p.334-53. 7. Bishop JE. Regulation of cardiovascular collagen deposition by mechanical forces. Mol Med Today 1998; 4: 69-75. 8. Edep ME, Shirani J, Wolf P, Brown DL. Matrix metalloproteinase expression in nonrheumatic aortic stenosis. Cardiovasc Pathol 2000; 9: 281-6. 9. Soini Y, Satta J, Maatta M, Autio-Harmainen H. Expression of MMP2, MMP9, MT1-MMP, TIMP1, and TIMP2 mRNA in valvular lesions of the heart. J Pathol 2001; 194: 225-31. 10. Cole WG, Chan D, Hickey AJ, Wilcken DE. Collagen composition of normal and myxomatous human mitral heart valves. Biochem J 1984; 219: 451-60. calcification (29) and renin–angiotensin system activation (30). The linkage of collagen metabolism to prolidase activity is also important in wound healing (31), chronic liver diseases (14) and osteoporosis (15) and to rheumatic and degenerative valve diseases as suggested in our study results. There are two limitations of this study. First, the sample size was small and this limits the ability to apply our findings to a wider range of patients with cardiovascular disease. Second, collagen type I, type II and type III were not studied in patients with RHVD and DHVD. This study demonstrates that prolidase activity is higher in healthy subjects than in patients with RHVD and DHVD, which supports the role of prolidase activity as a marker of valve diseases. 11. Surazynski A, Miltyk W, Palka J, Phang JM. Prolidasedependent regulation of collagen biosynthesis. Amino Acids. 2008 ; 35: 731-8. 12. Palka JA, Phang JM. Prolidase activity in fibroblasts is regulated by interaction of extracellular matrix with cell surface integrin receptors. J Cell Biochem 1997; 67: 166-75. 13. Zanaboni G, Dyne KM, Rossi A, Monafo V, Cetta G. Prolidase deficiency: biochemical study of erythrocyte and skin fibroblast prolidase activity in Italian patients. Haematologica 1994; 79: 13-8. 14. Myara I, Myara A, Mangeot M, Fabre M, Charpentier C, Lemonnier A. Plasma prolidase activity: a possible index of collagen catabolism in chronic liver disease. Clin Chem 1984; 30: 211-5. 15. Erbagci AB, Araz M, Erbagci A, Tarakcioglu M, Namiduru ES. Serum prolidase activity as a marker of osteoporosis in type 2 diabetes mellitus. Clin Biochem 2002; 35: 263-8. 16. Altindag O, Erel O, Aksoy N, Selek S, Celik H, Karaoglanoglu M. Increased oxidative stress and its relation with collagen metabolism in knee osteoarthritis. Rheumatol Int 2007; 27: 33944. 17. Demirbag R, Yildiz A, Gur M, Yilmaz R, Elci K, Aksoy N. Serum prolidase activity in patients with hypertension and its relation with left ventricular hypertrophy. Clin Biochem. 2007; 40: 1020-5. 18. Ma LC, Chen MC, Chang HW. Plasma endothelin-1 levels in patients with rheumatic mitral stenosis and a history of cerebral thromboembolism. Chang Gung Med J 2004; 27: 794-800. 19. Atalar E, Ozturk E, Ozer N, Haznedaroglu IC, Kepez A, Coskun S et al. Plasma soluble osteopontin concentrations are increased in patients with rheumatic mitral stenosis and associated with the severity of mitral valve calcium. Am J Cardiol. 2006; 98: 81720. 20. Selcuk MT, Selcuk H, Maden O, Temizhan A, Aksu T, Dogan M et al. Relationship between inflammation and atrial fibrillation in patients with isolated rheumatic mitral stenosis. J Heart Valve Dis 2007; 16: 468-74. 21. Boldt A, Wetzel U, Lauschke J, Weigl J, Gummert J, Hindricks G et al. Fibrosis in left atrial tissue of patients with atrial fibrillation with and without underlying mitral valve disease. Heart 2004; 90: 400-5. 22. Myara I, Charpentier C, Lemonnier A. Optimal conditions for prolidase assay by proline colorimetric determination: application to imminodipeptiduria. Clin Chim Acta 1982; 125: 193-205. 23. Chinard FP. Photometric estimation of proline and ornithine. J Biol Chem 1952; 199: 91-5. 24. Surazynski A, Sienkiewicz P, Wolczynski S, Palka J. Differential effects of echistatin and thrombin on collagen production and prolidase activity in human dermal fibroblasts and their possible implication in beta1-integrin-mediated signaling. Pharmacol Res 2005; 51: 217-21. 25. Fan H, Liu W, Yan P. Pathological observation and immunohistochemistry study of Type I, III, IV collagen in mitral valve and cardiac interstitium of rheumatic disease. Zhonghua Yi Xue Za Zhi 1996; 76: 183-6. 26. Fenoglio JJ Jr, Wagner BM. Studies in rheumatic fever. VI. Ultrastructure of chronic rheumatic heart disease. Am J Pathol 1973; 73: 623-40. 27. Petelenz T, Drózdz M, Słomińska-Petelenz T, Jendryczko A, Kucharz E, Drazkiewicz U et al. Investigations upon collagen metabolites in blood serum and urine of patients with acquired valvular heart disease. Mater Med Pol 1989; 21: 199-205. 28. Otto CM, Kuusisto J, Reichenbach DD, Gown AM, O'Brien KD. Characterization of the early lesion of 'degenerative' valvular aortic stenosis. Histological and immunohistochemical studies. Circulation 1994; 90: 844-53. 29. Rajamannan NM, Subramaniam M, Rickard D, Stock SR, Donovan J, Springett M et al. Human aortic valve calcification is associated with an osteoblast phenotype. Circulation 2003; 107: 2181-4. 30. Helske S, Lindstedt KA, Laine M, Mäyränpää M, Werkkala K, Lommi J et al. Induction of local angiotensin II-producing systems in stenotic aortic valves. J Am Coll Cardiol 2004; 44: 1859-66. 31. Senboshi Y, Oono T, Arata J. Localization of prolidase gene expression in scar tissue using in situ hybridization. J Dermatol Sci 1996; 12: 163-71.

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SUBJECT: FREDDIE MAC IMPLEMENTATION GUIDE FOR LOAN DELIVERY DATA PUBLISHED With this Single-Family Seller/Servicer Guide (“Guide”) Bulletin, Freddie Mac is announcing the publication of the Freddie Mac Implementation Guide for Loan Delivery Data (“Freddie Mac IG-LD”) detailing Freddie Mac specific requirements for implementation of the Uniform Loan Delivery Dataset (ULDD) components applicable to loans delivered to Freddie Mac. Background The Federal Housing Finance Agency (FHFA) has directed Freddie Mac and Fannie Mae (“GSEs”) to work together to improve the consistency and quality of loan data through a Uniform Mortgage Data Program, announced in a news release dated May 24, 2010. In a Single-Family Advisory e-mail dated June 8, 2010, Freddie Mac announced publication of the Uniform Loan Delivery Data Specification (“Delivery Specification”), which was jointly developed with Fannie Mae. The Delivery Specification defines and documents the common GSE-approach to the ULDD and provides the technical framework for developing the loan delivery file that will be required for all loans delivered to either GSE on or after September 1, 2011. The ULDD identifies data points that at loan delivery may be: - Required - data points required for all loan deliveries to both GSEs - Conditionally required - required for loan deliveries to both GSEs when a defined business condition exists (e.g., adjustable-rate Mortgages (ARMs)) - Conditionally independent - GSE-specific data points required for all loan deliveries to one of the GSEs, but not both, when a defined business condition exists - Optional - reserved for future use FREDDIE MAC IMPLEMENTATION GUIDE FOR LOAN DELIVERY DATA While Freddie Mac and Fannie Mae jointly developed the Delivery Specification, each GSE will continue to exercise independent business judgment in evaluating, adopting and maintaining business terms, credit policies, and analytics. The Freddie Mac IG-LD published today details the requirements for implementing the ULDD components applicable to loans sold to Freddie Mac, and can be found in the new Uniform Mortgage Data Program area of our web site at http://www.freddiemac.com/sell/secmktg/uniform_mortgage.html. These requirements are effective for all loans delivered to Freddie Mac on or after September 1, 2011. The Freddie Mac IG-LD is comprised of the following documents: - Freddie Mac Implementation Guide for Loan Delivery Data Business Summary (“Business Summary”) - Exhibit 1, *Business Users Guide to the Uniform Loan Delivery Dataset* - The Freddie Mac Selling System (“Selling System”) MISMO® eXtensible Markup Language (XML) Technical Specification, v1.0.01 (“Technical Specification”) with the following supporting appendices: - Appendix A – XML Data Requirements - Appendix B – Test Case Scenarios - Appendix C – XML Samples **Business Summary** The Business Summary, which is designed for business executives and analysts, provides a high-level understanding of Freddie Mac’s implementation of the ULDD, and includes a discussion of Freddie Mac’s implementation strategy and timeline, with resources and information regarding how Sellers can prepare for the delivery of loan data in the new MISMO-based file format. Business Summary Exhibit 1, *Business Users Guide to the Uniform Loan Delivery Dataset*, identifies all the data points that Freddie Mac will require for loan deliveries, including data points for specific loan types, loan features and business conditions. **Technical Specification** The Technical Specification is designed for a technology provider or development organization that plans to build or update an interface to the Selling System. Among other things, the Technical Specification, which functions as a comprehensive developer’s guide, provides the following guidance: - Implementation of a subset of the MISMO Version 3.0 Reference Model that will be used in the Selling System - Creation of a well-formed XML file in accordance with the MISMO Version 3.0 Reference Model - Data mapping, field formats, valid field values and the hierarchical container structure applicable to the Selling System’s usage of the loan delivery XML file - Explanation of how systems need to transmit or import data to the Selling System **REVISIONS TO THE GUIDE** Prior to September 1, 2011, we will update the Guide to reflect the requirements for delivering loan data in accordance with the Freddie Mac IG-LD. Once the MISMO-based loan delivery requirements become effective, Guide Form 11, *Mortgage Submission Schedule*, and Form 13SF, *Mortgage Submission Voucher*, will be retired and loan delivery data may only be imported to the Selling System using the MISMO XML loan delivery file format. **ADDITIONAL INFORMATION REGARDING THE UNIFORM MORTGAGE DATA PROGRAM, DELIVERY SPECIFICATION AND FREDDIE MAC IG-LD** Additional information about the Uniform Mortgage Data Program, the Delivery Specification and the Freddie Mac IG-LD can be found in the Uniform Mortgage Data Program area on our web site at [http://www.freddiemac.com/sell/secmktg/uniform_mortgage.html](http://www.freddiemac.com/sell/secmktg/uniform_mortgage.html). CONCLUSION The Freddie Mac IG-LD provides unique Freddie Mac-specific loan delivery data implementation requirements in support of the Uniform Mortgage Data Program. Publication of our Implementation Guide is the next step in our efforts to improve data quality and offer Sellers greater confidence that the loan data they deliver to us is complete and accurate. If you have any questions about the Uniform Mortgage Data Program, the Delivery Specification, or the Freddie Mac IG-LD, please contact your Freddie Mac representative or call (800) FREDDIE. Sincerely, [Signature] Patricia J. McClung Vice President Offerings Management

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Data Protection Impact Assessment (DPIA) - Full Assessment (updated 160621) Guidance for the Project Manager and Sponsor Use the pre-screening template first. If that shows a high risk in processing the data then you must carry out this full DPIA. Do not complete this form unless you have already completed the pre-screening and it shows high risk and the DPO as advised you to do a full DPIA. The Data Privacy Impact Assessment (DPIA) will enable you to systematically and thoroughly analyse how your project or system will affect the privacy of the people whose data you are dealing with and show how you will minimise the privacy risks. This template has been designed to incorporate the legal requirements of the General Data Protection Regulation (GDPR) and the Data Protection Act 2018. Conducting a DPIA is a legal requirement under the GDPR particularly if the proposed processing is using new technologies and poses a high-risk to people's data. Further information and guidance on the DPIA is also available on the ICO website here: ICO's PIA code of practice and the Article 29 Working Party here. GOVERNANCE ARRANGEMENTS This DPIA will be submitted to the Corporate Information Governance Group (CIGG) and the advice of the Data Protection Officer (DPO) will be sought as part of that process. You must keep the signed DPIA and all supporting documents with your project file for audit purposes. 1. PROJECT SUMMARY 1 High Level description of the Project: * Explain what this project is in plain language. For example: "We would like to share data with a third party so that they can carry out research into how to improve people's access to benefits."] * Attach the pre-screen DPIA. The conclusion to that will explain why it is necessary to carry out this DPIA. This project, part of the service transformation in Camden Integrated Early Years, will increase the universal service offer for families with children in their first 1001 days. The new service model includes the introduction of the Parent Child Psychological Support (PCPS) programme for Camden families. The PCPS programme was developed by Professor Cerezo, Chair of Psychology at the University of Valencia, who holds the property rights for the programme which focuses on supporting child development and the quality of the of the parent child relationship. There is a significant, and growing, body of evidence that shows that children who have an attuned relationship with their principle care giver, often the mother, will develop a secure attachment. Achieving a secure attachment in early childhood creates greater resilience to cope with challenges throughout the life and reduces the incidence of school exclusion, youth offending and mental ill health. The PCPS programme will be delivered by clinicians who already work in partnership with the Integrated Early Years' Service in Camden. These will be Council children's centre staff, Health Visitors and Nursery Nurses employed by CNWL and Psychologists employed by the Tavistock and Portman NHS Foundation Trust. Dr Cerezo, through the Institute of Psychology for children and families (IPINFA) at the University of Valencia, will provide training and support for the delivery team and the analysis of video footage of the parent-child relationship recorded at clinic sessions. The data sharing that will take place is the sharing of video footage of parents interacting with their children during their regular appointments at the PCPS clinics delivered in Camden's children's centres. The recorded interactions are analysed and 'coded' by the Psychology team in IPINFA to inform the conversation with parents about their responses to their child and to support the quality of the parent-child relationship. The conversations are strengths based and will explore early communication and interactions that babies share with their parents. The aim is to support parents to respond sensitively to their babies' cues and signals, thereby developing a secure relationship in the early weeks and months of life. Studies undertaken in other areas that have offered PCPS show a marked improvement in the percentage of children who achieve a secure attachment by the time they are 18 months old. The programme is universal and will be implemented across Camden taking a phased approach. The objective is for all families to engage with the programme; the take up rates in other Countries that have run the programme (Spain and Ireland) have reached a 70% coverage. Data on take up from families with different protected characteristics will be shared with IPINFA for research purposes but this will be at a level such that it will be anonymised. 2. DESCRIPTION OF THE PROJECT Include here a plain English description of: * the Project (set the context so that it is clear what you want to do) * what will be done with the data (the processing activities) * the reasons why you need to process the data (the purpose) * the benefits that this project will provide * how the data will be processed (for example, who will carry out the processing and will they use software or other devices to do it) * how will the data be stored? * where have you obtained the data from? * How long will you be processing the data for and how often? For example, once a week for six months. * What is the volume of the data? For example, 150 records of service users. The programme and its benefits Camden is transforming its Early Years' Service to have a greater focus on the first 1001 days of a child's life (pregnancy to age 2). This is in response to a growing body of research evidence that demonstrates that if a child has already fallen behind by the time they are two years old they are more likely to fall further behind than they are to catch up. Furthermore, there is strong evidence for effective prevention and early intervention in the First 1001 days. The Early Years' Service has researched different approaches and sought expert advice and has determined that the PCPS programme developed by Dr Cerezo to be the approach most likely to deliver improved outcomes for children in Camden. The programme is gaining increasing interest in the UK and has been presented to the Government's 1001 days review team who visited Camden as part of their evidence gathering. The programme is consistent with the Healthy Child Programme currently delivered by Health Visitors in England and represents an enhancement to it rather than a new 'bolt on' service. PCPS will therefore be delivered by Health Visitors and Nursery Nurses. Health Visiting services are commissioned by Camden Public Health under a section 75 partnership agreement, and Psychologists whose additional time will be commissioned for the first phase from the Tavistock and Portman NHS Foundation Trust, the current providers of Child and Adolescent Mental Health Services (CAMHS) in the borough. The programme administration will be undertaken by the Council's children's centre teams. The PCPS programme consists of 6 clinics, when babies are 3, 6, 9, 12, 15 and 18 months. Each clinic consists of 4 'stations'. * Station 'A' is the welcome and administration, carried out by an Administration Officer, a Camden's Early Years' service (children's centre) employee, Station 'B' is a physical development review (weight, height etc) undertaken by a Nursery Nurse, * Station 'C', is delivered by a Health Visitor, and is a cognitive development review which involves the baby being invited to 4 participate in age appropriate activities, such as stacking blocks. During station 'C' the parent and child are left to have free play together for a few minutes during which their interactions are recorded on video, with the parent's consent. The video footage is then analysed and 'coded' by psychologists at IPINFA who are experienced in the programme; the resulting analysis informs part of the conversation at Station 'D' at the next visit. * Station 'D' is led by a Clinical Psychologist from the Tavistock & Portman NHS Foundation Trust. Where implemented in other countries the programme has demonstrated significant increases in the percentage of children who display secure attachment at 18 months. See diagram below. What will be done with the data? The Health Visiting Service in Camden, provided by CNWL, holds child health records for all Camden children. There would be significant risk in creating a separate child record of their engagement with the PCPS programme and so it is proposed that the data collected at PCPS clinics be integrated into the child health record on the CNWL records system, called Systm1. If the fields are configured correctly it will be possible to report on the take up of PCPS and the outcomes of the programme using similar measures used in other areas. Anonymised take up data will be shared with IPINFA. Internal users: Families' personal information would be recorded on Systm1. All information gathered during the sessions in Station 'B', 'C' and 'D' will be recorded on a paper form by the Administrator, Health Visitors, Nursery Nurses and Clinical Psychologists, then transferred onto Systm1. If Systm1 will not be configured for the PCPS data at the launch date of the programme, the information will be kept in paper form, stored in a secure cupboard at the venue until ready to be recorded on Systm1. All data will be stored and retained in accordance with the council's current data protection and retention procedures. It is proposed that the video footage would also be held on a PCPS-Early Years Teams site, hosted by the Council. This footage will be saved using a Family ID and date, no sensitive data will be linked to the video recording. External users: The Psychologists from IPINFA will analyse the footage, timestamp and 'code' the parent-child interactions. For this, they have historically used a bespoke specialised video player application that creates a text file with the time and a code for each marked interaction. As this application is not capable of directly reading video recordings stored on a MS Teams site; - a read - and download - write access to the PCPS-Early Years Teams site needs to be given to the psychologists from IPINFA. This access is permitted in the MS environment under a "guest" account. Guest account access will be managed by Business Manager and any amendments will require authorisation of the Early Years' Service Operations Manager. The above set up for the external users will only be required during the pilot and "training" period (first phase) following which the CAMHS Practitioners will take over the coding of the video footage and the guest access to the IPINFA team will be removed. Expected date: June 2022. Frequency and volume of processing The programme will be offered to all Camden families on the birth of a new baby. Camden has approximately 2,500 new births every year and in order to invite each baby for 6 appointments between 3 and 18 months, PCPS clinics will be operating in the 5 Children's Centre localities on an almost daily basis. Parents will be invited to participate in the PCPS programme and will be asked to give informed consent to participate in the programme and the video recording. Parents are offered an introductory visit prior to the first 3 month appointment. Types of personal data to be processed and data flow map(s): Personal data: List the types of data that you intend to process and the types of data subject (for example, names, addresses of residents, service users etc): * Refer to this guidance to assess what is personal data: https://ico.org.uk/for-organisations/guide-to-the-general-data-protectionregulation-gdpr/key-definitions/what-is-personal-data/ Data will form part of the child health record held in CNWL. The data that will be shared is: * The video footage of interactions between parent and child * A number or code assigned to a piece of video footage of a parent and child interacting together which relates the video footage to the child. * CNWL, Early Years Service and Tavistock practitioners and managers will have access to Systm1 records to enable the team to work with families, and for the purpose of consultations, clinical supervision, professional development and training * Summary PCPS Data collated from Systm1 will be shared with IPINFA for supervision, consultation and evaluation. Special category data: List the types of special category data and the types of data subject: * Refer to this guidance to assess what is special category data: https://ico.org.uk/for-organisations/guide-to-the-general-dataprotection-regulation-gdpr/lawful-basis-for-processing/special-category-data/ * Any criminal convictions data? The discussions held in station 'D' may cover aspects of a parent's mental health. The Clinical Psychologists will add information gathered in station 'D' to the child health record held in Systm1. Data Flows: * You may find it useful to use a flowchart, which you can attach at Annex A. * The flowchart should show, for example: Data entry and exit points, location, user categories, data subject categories Station A (Administration Officer) [x] Demographic information [x] Recorded in Systm1 [x] Contact information Station B (Nursery Nurse) [x] Physical development information [x] Recorded in Systm1 Station C (Health Visitor) [x] Cognitive development information [x] Recorded in Systm1 [x] Video footage - stored on MS Teams site, with the file name consisting of Family ID and the date of recording * All video footage downloaded in Spain for analysis and feedback Station D (Clinical Psychologist) [x] Parent-child attachment [x] Plus information received from Spain about the previously recorded parent-child interactions [x] Parental Mental Health [x] Recorded in Systm1 3. DATA PROTECTION PRINCIPLES This section demonstrates how the project meets the data protection principles. * How will you make sure that you only process the data that is necessary and proportionate for the purpose of the project, and no more than is necessary? The data collected as part of this project will be added to the child health record held on Systm1. Much of the information recorded will be the same as that collected and stored as part of the current health visiting service. The video footage will be held on the PCPS-Early Years Teams site hosted by the council. The video footage is additional data and will be used only to inform a conversation with parents about the relationship with their child. * If the data was originally collected for one purpose and you intend to use it for another purpose, explain how you will inform the data subjects. As stated in the PCPS consent form; * Integrated Early Years Service and Central and North West London NHS Foundation Trust: https://www.camden.gov.uk/privacynotices-ieys Details about how services will collected personal information about the families can be found in the privacy notices: * Tavistock and Portman NHS Foundation Trust: https://tavistockandportman.nhs.uk/care-and-treatment/your-personal-information/ The consent limits the use of the video recordings to those specified by the parent/s. If at a later date the service would like to use the recording in any other way, we will seek parent/s specific permission to do so. * How will you make sure that the data is kept accurate and up to date? Data will be updated at each clinic appointment as is the case with current child health records. * How long will you keep the data for and how will you destroy it at the end of the retention period? Data will be retained and destroyed in line with the council's and CNWL's current data retention policy. IPINFA will not retain personal data. The Tavistock and Portman NHS Foundation Trust will retain psychologist records in line with their retention policies which are acceptable to the council. * Have you cleared the information security arrangements with the Information Security Manager? YES * Record the Information Security manager's comments here: 4. BASIS OF PROCESSING * Which legal basis in Article 6 are you relying on? See this guide to help you identify the legal basis https://ico.org.uk/fororganisations/guide-to-the-general-data-protection-regulation-gdpr/lawful-basis-for-processing/ * If you think you need to rely on legitimate interests then ask the Information and Records Management Team for advice. * If you are processing special category data, you will also need a legal basis under Article 9 to process this. See this guide to help you identify the legal basis https://ico.org.uk/for-organisations/guide-to-the-general-data-protection-regulation-gdpr/lawful-basisfor-processing/special-category-data/ * If you are processing criminal convictions data or data for law enforcement reasons then you should speak to the Legal team as you need an additional legal basis to do this. Pat Keane's comments have been incorporated in the DPIA and he is happy with the proposals Basis for processing under Art 6 (and Art 9 if special category data): Our lawful basis for the Health Visitor interactions will be Art 6 (1)(e) 'Public task' and art 9(g) substantial public interest with the DPA18 schedule 1 part 2 condition being statutory and government purposes and (h) health or social care with the DPA18 schedule 1 part 1 condition being para 2 health and social care purposes which is the same as for all existing health visitor interactions. The additional processing by videoing parents and children, storing that, sharing with IPINFA, their processing of it, and discussions between parents and psychologists will be based on explicit informed consent under art 6(1)(a) and 9(a). 5. DISCLOSURES OF DATA Will you be transferring/ sharing/giving this data to a data processor or a sub-processor? YES CNWL under a section 75 partnership agreement, and Tavistock and Portman NHS Foundation Trust and Institute of Psychology for children and families (IPINFA) at the University of Valencia through contracts. CNWL and Tavistock are existing known and trusted partners commissioned by the Council. IPINFA has been subject to due diligence checks. * Tick here to agree that you will be entering into a data processing agreement with them [ √ ] * Will you be sharing data with any other third party? NO * List the third parties that you propose to share with: * Tick here to agree that you will be entering into a data sharing agreement with the third parties [ ] 6. TRANSFERS OF DATA OUTSIDE OF THE UK See a list of countries here: https://www.gov.uk/eu-eea Will any personal data be processed outside of the UK? YES If your answer is yes, you must consult the DPO straight away, and see the guidance here: https://ico.org.uk/for-organisations/guide-to-the-general-data-protection-regulation-gdpr/international-transfers/ If there WILL be a transfer out of UK enter comments of the data protection advisor: The transfer will enable IPINFA to view the videos in their Spanish offices, by accessing the shared teams site. Spain is in the EU and therefore under GDPR. Given that and the level of processing, this is considered to be acceptable. 7. DATA SUBJECT RIGHTS AND COMPLIANCE WITH CORPORATE POLICIES Information in Camden contains the Council's policies and procedures on data protection compliance, including how to respond to requests from people to enforce their rights under data protection law. The term 'Video footage' referred to within this DPIA means; 'CCTV audio and visual recordings of a child's early year's relationship with their principle care giver." The council's CCTV policy amended to include in its objectives, justification and purchasing, CCTV usage specific to this task and made mention in sections 1.2, 2.1, 5.1 and 5.7 of the policy. The CCTV systems used within Children Centres for this specific task will fall under the same governance as the council's central CCTV control room in relation to: Equipment being maintained within the council's CCTV installation and maintenance contract Privacy Impact Assesment has been completed Operational Requirement has been completed * You must comply with the requirements in Information in Camden. Tick here to agree that you will be complying with IIC on Data Subject Rights [ √ ] If there is a reason why you cannot do this, please explain why here: 8. CONSULTATION WITH INTERESTED PARTIES Is one of the outcomes of your project going to make a change which will have a direct effect on data subjects?, For example: introducing CCTV into a library? If so, contact the Information and Records Management Team for advice at [email protected] about whether you need to consult with stakeholders. Record the comments of the data protection adviser here: No consultations required 9. RISK ASSESSMENT AND MITIGATION Risk is a combination of impact- how bad the effect of the risk would be- and probability – the likelihood of the risk happening. Risk is assessed from the perspective of the data subject (as opposed to risk to the Council) and what the impact could be on them as a result of the proposed data processing. For each of the risks you identify: . 1. think about how likely they are to occur and categorise them according to Table 1 in the appendix (e.g., rare, unlikely etc) . 2. Then consider the impact each risk will have and categorise them according to Table 2 in the appendix (e.g., minor, moderate etc) 3. Then look at Table 3 and see the risk level. Where the level says mitigations are needed, think about what these will be and how they will reduce the risk level down. 4. Enter the details in the grid below There is more information on the council's approach to risk here https://lbcamden.sharepoint.com/sites/intranet/finance/Pages/Risk_Management.aspx 10. OVERALL RISK RATING FOR THE PROJECT AS A WHOLE ONCE THE MITIGATING MEASURES HAVE BEEN PUT IN PLACE: ANNEX A: ANNEX B Risk Assessment Tables Table 1 Likelihood of Risk Occurring Table 2 Impact of Risk if it occurs Risk Assessment: Table 3 Annex C: Any DPO Advice or comments not included above I have reviewed this amended document and remain content that this processing is in all the circumstances acceptable Andrew Maughan Borough Solicitor and DPO

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Meeting Minutes Island County 2% Joint Advisory Board Whidbey and Camano Islands Tourism February 10, 2022 Zoom, due to COVID-19 Quorum: x=members present | Mayor Scott Chaplin x | Com. Melanie Bacon x | |---|---| | Alanah Johansen x | Gregg Lanza x | | Dianne Binder x | Max Lindsay-Thorsen x | | Janae Cameron | Jessica McCready x | | Vicki Graham | Inge Morascini | | Lynda Eccles x | Robyn Myers x | In addition to the above members, guests also in attendance were: Christina Swan, Clinton Chamber of Commerce, South Whidbey Lodging Manager; Amy Bush, Camano Arts Association; Christina Swan, Clinton Chamber of Commerce Secretary. Jake Haupert, Transformational Travel Council. Sherrye Wyatt, Whidbey and Camano Islands Tourism PR & Marketing Manager and Film Liaison; Laura Hilton, Whidbey and Camano Islands Tourism special projects. Meeting called to order at 11:13 am by Vice Chair Chet Ross. 1. Adoption of Agenda – Jackie motioned, and Max seconded to accept the agenda. Approved with no objections. 3. Treasurer's Report and Invoice review - all invoices were approved at the management committee meeting. There were no objections to the invoices presented. 2. Approval of January 2022 Minutes -Jessica motioned, Gregg seconded to approve the minutes. Approved with no objections. 4. Old Business: None a. Management Committee Report- everything discussed is on the agenda. 5. New Business: b. Transformative Destinations Presentation by Jake Haupert, President and Founder of Transformational Travel Council. Jake walked the committee through the process for training and implementing the program. The full monthly tourism report is presented here: c. PR Media Report: TOURISM REPORT FEBRUARY 1, 2022 SHERRYE WYATT PR & WRITING State of Washington Tourism (used to be named Washington Tourism Alliance) is the new brand being rolled out now. Here is a link to a presentation. We should be receiving more assets and recommendations on how to integrate into our own branding soon. We also expect to hear news on funding that is to be awarded through the state. Here is a press release about the new brand: https://industry.stateofwatourism.com/washingtontourism-alliance-unveils-new-brand/ and here is the new visitor facing website (used to be ExperienceWA.com) https://www.stateofwatourism.com/ We're seriously looking to see if Island County should join the TREAD Map App. Several of us attended a webinar held by State of Washington Tourism on the new TREAD Map App and are now seriously considering Island County participating, but I believe we all want to be sure we have the capacity to commit the time needed to launch and manage our role. We are going get our small trail guide out first and then move through the strategic planning If TREAD is a logical outcome of the strategic planning we will proceed. Go here for a recording of the presentation. Click here for an overview of TREAD Map App and what is needed to bring TREAD to our county. For more information, you can visit the Tread website or click here for the video and presentation of the app. Washington Filmworks is supporting legislation moving rapidly through the House and Senate to increase the incentive fund from $3.5 million to $20 million. Last week SB 5760 was voted out of committee and has been referred to Ways and Means. On Friday, January 28, HB 1914 was also passed out of the Committee on Community and Economic Development. The bill is now known as Substitute House Bill (SHB) 1914. Next hearing is Thursday, Feb 3. You may sign in to PRO here. You may circulate this ACTION ALERT and let everyone know that the deadline to sign on to the Business Letter of Support is Wednesday, February 9th. Sherrye has now testified before Senate and House committees to share the positive impact of film on rural communities and tourism. One example of film's recent economic contribution is the movie Midday Black, Midnight Blue filmed in Washington state. During a 21-day film shoot, over $48,000 spent in hotels in Coupeville, Oak Harbor, & Langley - with 340+ Room nights. They utilized 67 different businesses on the island and 18.5% of their total Washington spend was in Island County. To learn more visit https://keepfilminwa.com/. We are considering applying this year for the Port of Seattle tourism grant. We have sat out of the application process 4 years. https://www.portseattle.org/programs/tourismmarketing-support-program 2 Sherrye presented an update to the Island County Commissioners on January 19 and updated them on the strategy for dealing with tourism related opportunities and issues head on in a community-based manner by working with the Transformational Travel Council. The first leadership team meeting in February. A longer report is coming to the committee and a place on the WhidbeyCamanos.com website will be developed to provide progress reports. OSBORNE NORTHWEST PUBLIC RELATIONS Monthly Overview We kicked off the year of 2022 with a focus on Transformational Travel planning, as well as interim plans for destination management in the first half of 2022. As the Transformational Travel program rolls out in Island County throughout the first half of 2022, our destination marketing team will maintain involvement in its development yet also stay focused on maintaining a strategic focus on brand management. With the ultimate task of maintaining hotel occupancy, we want to stay within the conversation of Pacific Northwest getaways as it relates to responsible travel. Themes like conservation and watchable wildlife, farm to table connections, arts and culture, exceptional alternative experiences, and support of small businesses will be among the key themes of our messaging. We will share these stories and messages within a limited number of channels, while also prioritizing transparency and communication with the community as the Transformational Travel and strategic plan inches closer. Project Management * Developed pitching materials with relevant and timeline storylines, upcoming events and winter travel news. * Developed communications strategy for launch of the Transformational Travel plan, as well as and interim PR planning for the first half of the year. * Managed ongoing media relations to ensure placement in winter travel roundups and travel pieces for early 2022 and spring/summer placements. * Managed an Instagram-based giveaway in partnership with Visit Langley to share and promote Mystery Weekend, resulted in strong engagement with both locals and tourists. * Participated in team planning calls and communication regarding the new Trail Guide to understand the project timeline and develop a PR plan to match it. Instagram Engagement * Follower count grew from 2,115 on December 23 to 2,150 on January 27; a growth rate of 1.65%. * Reposted influencer and local business content, and managed the community with likes, comments and interaction on the @GoWhidbeyCamano Instagram page. Maintained goal of 2-3 posts per week, with stories posting on an ongoing basis. Media Visits * Suzanne Stavert, April 23-25; influencer at Empty Nest Travel blog and @SuzanneStavert, is visiting for a girls weekend; this is a non-hosted trip, but we may collaborate on visits and content to promote via her channels. * Molly Amber, February, 25-27; contributor to Seattleite and influencer @MollyWandersandEats and @MollyWandersTheWorld; will visit for Mystery Weekend, plans to share event details in advance on her channels. * Megan Hill, May 15-16; contributing writer for Eater Seattle and Food + Travel Magazine, is planning to visit Captain Whidbey Inn for future consideration in her outlets. Visit date tentatively set for o Kelly Stilwell, influencer and travel blogger at Food, Fun and Faraway Places, is planning a visit to cover Washington's islands for her blog and social channels. * Spring 2022; the following media visits are in the process of rescheduling, with additional anticipated: o Sara Franklin, RESCHEDULED/Postponed for Spring 2022, freelance writer with Travel + Leisure to cover the food and drinks, culinary culture of Whidbey Island. * Mary Rose Denton, writer for Welcome Snohomish County, will include dining options in Langley and Coupeville in an upcoming issue slated for spring/summer of 2022 Pending Press * Meetings News NW, will include the islands in a roundup of destinations in an upcoming issue * Stephen Fennell; managing editor for SunCruiser West Coast, coordinated information and updates for boaters and photos of Oak Harbor Marina for an upcoming destination boating piece in the annual guide (publishing in early 2022). * Northwest Travel & Life Magazine is planning to feature Langley in an upcoming article featuring coastal spa retreats, slated for March/April. * Jean Chen Smith, writer for the USA Today Syndicate which publishes to Yahoo News, MSN, and a number of daily papers throughout the country, is planning to feature Ciao Food & Wine's meal kits for an upcoming Valentine's Day Gift Guide. Publishing date TBD. * 1889 Magazine, will be featuring Blooms Winery's flowers and 5511 Bistro in an upcoming issue slated for April/May Press Highlights include 7 pieces of coverage with an estimated 9.44 million impressions. To view the coverage in full go here. COMPUTERPIX ROI The 2021 overview of Book Direct shows an ROI of 25.8 or 2580% return on what tourism spent. A chart is at the end of this report. Based on a study done by DMA West, the Whidbey and Camano Islands Tourism website had an economic impact in Island County of $13.36 million in 2021. A graphic is at the end of this report. A Downturn/We're Not Alone This chart shows day by day traffic to the site as measured by Google Analytics. The peaks are the newsletters that have links back to the website. This winter has been quieter than usual, and several charts show that. First, traffic to the website between December 1 and January 27 is down 15.9%. Even the main way people find the website, Organic Search, was down 17.7%. The chart on the next page from Datify shows the daily number of visitors (7-day average) from off-island visitors. Finally looking at lodging referrals from the website via Book Direct, the period from December 1, 2021, to January 27, 2022, saw 792 referrals. That same period, but a year earlier saw 854 referrals. That's not a significant drop, but is nevertheless, a drop. You can see 2021 started strong but started fading in September and really dropped in early November. Finally, searches for Whidbey Island or Camano Island—traditionally low in the winter months—are at near-record lows. Searches specifically from Washingtonians, did reach a record low. Our drop well correlates to the spread of the Omicron variant of COVID. But in November, there's an additional drop relative to other years and it correlates well with the reduction in ferry service. But it also could be the impact of the wet weather, power outages, etc. We're looking at the numbers further to see if we can tease this out more clearly. The good news is, according to people at Datify, they're seeing a similar drop in other locations besides us. Is it over? The latest email was sent on January 27. It returned to a format that spotlights events and features a story about winter activities on Camano Island. Since it went out just a day ago (as of this writing), we're still gathering data on it. Let's finish on an up note. The last week—January 21 – January 27, Google Analytics showed an improvement in the number of website visitors over last year of 31%. Email https://mailchi.mp/whidbeycamanoislands/which-amazing-season-is-overlooked-bymany-camano-island-visitors-and-time-is-running-out-on-our-latest-travelgiveaway?e=[UNIQID ] 7 8 d. 2022 Leadership elections , Gregg moved to approve the following slate for 2022: Commissioner Melanie Bacon, Chair, Chet Ross- Vice Chair, Robyn Myers - Secretary, Jessica McCreedy – Alternate Secretary, Dianne Binder – Treasurer. No dissents and the new leadership was approved. 6. Chamber Round Table: b. Oak Harbor- they are rebuilding their popular windmill, working with county on airport use and the music festival for 2022 is being planned. Main Street will have lots of activities in the spring, including a Sasquatch Walk. a. Camano- Glass Quest preparations are in full swing. Currently have 143 members, which is a very robust number for their chamber. Cama Beach mentioned visitor ship and occupancy has been very high. c. Coupeville-they launched a new website. Chocolate Walk is this weekend and is sold out. Musselfest ticket sales are popular. No new ferries will be available until 2025. e. Langley - Mystery weekend is happening later this month and is very popular. Blue Heron canoe family with tribal representatives are coming in July. d. Freeland- discussion continues around July 3 fireworks. Blueberry festival is planned in July with more off island bands. 7. Adjournment Next regular meeting is to be communicated via email. Meeting minutes recorded by Robyn Myers and reviewed for submission by Jessica McCready. Meeting adjourned at 12:50 pm.

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Public Safety Institute Emergency Medical Technician (EMT) The Emergency Medical Technician (EMT) course prepares students with knowledge and skills to provide basic level emergency care in a pre-hospital setting. Aligned with the National Education Standards for AEMT as approved by the PA DOH (Pennsylvania Department of Health). Students will learn: Emergency care for cardiac arrest Trauma emergencies Oxygen administration Medication administration Class Requirements: - Students must be at least 16 years of age. - Attend a mandatory Haz-Mat awareness class. - Complete the FEMA independent study course for NIMS-100 & NIMS-700. - Students must obtain, at their own expense, a physical examination from a physician and blood screenings (PPD, rubella and Hepatitis B- antigen and antibodies). Required to begin clinical requirements. - Students must obtain, at their own expense, the following: Pennsylvania Child Abuse History Clearance (Act 33), Pennsylvania State Police Request for Criminal Records Check (Act 34) and FBI Criminal Background Check (Act 73). - Completion of 10 patient contacts in approved setting prior to the final course date. - Students must be able to meet all requirements for the Functional Position Description for EMT. The course includes classroom sessions, skill labs, and required clinical rotations in hospitals and ambulance services. Call 412-237-2500 if you need the Functional Position Description or ADA Accommodation Policy. - For further information call 412-237-2500 or email [email protected] Spring Class Schedule & Site Addresses for McGonigle Ambulance EMT Program Start Date: January 28 th , 2019End Date: May 18 th , 2019 Days/Times Monday & Wednesday – 6:00-10:00 p.m. 6 Saturday Classes Location: McGonigle Ambulance Service 1615 East State Street, Hermitage, PA 16148 Fee: $625 (Out of State $650) Price includes book and online enhancements Medical emergencies Patient assessment techniques EMS Operations Pharmacology for emergency care Geriatric emergencies Medical Terminology Pediatric emergencies

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The Litya watering them with ... Musical setting © 2020 Fr. Simeon and Mat. Beth Johnson | Text © 2020, Orthodox Church in America Permission to Copy for Liturgical use only. All other rights reserved. Tones 2 & 6 The Litya Kuskokwim Chant ‐ Tone 6 ~ pg 2 ~ Kuskokwim Chant ‐ Tone 6 arr. from Abb. Kievan Chant We bless thee, O Virgin ... Tone 6 ~ pg 4 ~

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Forest Hills School District Parent Responsibility for Student Placement Student's Name: _______________________________ Grade Level: ___________ Waiver Philosophy A waiver is a contract between the student and parent(s) and the School District. It provides a placement, which supersedes the teacher-recommended level. The student may pursue such a contract. This action carries with it responsibility and accountability. Thus, abuse of the waiver system will have consequences. Neither curricular content nor performance expectations of a course will be deleted or diminished to accommodate waivered students. Student Responsibility and Accountability If a student is experiencing difficulty in a class into which he or she has waivered, the following actions must take place prior to a request for a change of schedule. * The student must exhibit active participation in the class by doing homework, taking notes and giving effort in line with ability. * The student must seek help outside the normal classroom setting if difficulties continue. Tutoring by the teacher, other teachers in the school, parent volunteers, peer tutors, and paid tutors must be considered. * The student must consider the effect on his/her schedule, grade transfers and staffing limitations prior to requesting a schedule change. * A student who signs a waiver contract for a course cannot make a schedule change involving that course during the first 15 days of the course. * If a student does withdraw from a course (after the 15-day waiting period) for which a waiver contract has been signed a "WF" will appear on the official high school transcript. NOTE: If a student withdraws after the 15 days, they may not be able to transfer into another course. This could impact graduating from Forest Hills on time. Appeal Process The student has a right to appeal for a reduction or elimination of the waiting period in extraordinary circumstances. The decision to hear the appeal rests with the building principal. If the appeal is heard, a building review committee is convened. The decision of the review committee is final. Recommended Course: ________________________ Requested Course: ___________________________

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JOIN US FOR the Family Entertainment Showcase and enjoy family-oriented fun throughout the summer. These events provide an ideal opportunity for families to build ties of aﬀection, support, teamwork and common interests. All activities are free, including movies, children's entertainment and a variety of concerts. For the enjoyment of all and pursuant to the Cerritos Municipal Ordinance 9.48.030(p), dogs, cats or pets are not allowed in the park during special events and concerts. In addition, pursuant to the Cerritos Municipal Ordinance 9.49.020, smoking, including electronic cigarettes, is prohibited within the boundaries of all City of Cerritos public park facilities. For additional information, please call the Recreation Services Division at (562) 916-1254. MONDAY NIGHT AT THE MOVIES Liberty Park - 8:15 PM Bring a blanket for seating. Finding Dory Rated PG Trolls Rated PG Middle School: Rated PG The Worst Years of my life Zootopia Rated PG Pete's Dragon Rated PG Secret Life of Pets Rated PG July 10 July 17 July 24 July 31 august 7 august 14 July 18 July 25 august 1 august 8 TUESDAY Family Nights Showtime - 6:30 PM pre-show ACTIVITY - 5:45 PM Frontier Park Abbit the Average Sunshine Park Disc Dogs Friendship Park Fantastick Patrick Westgate Park Mae' Ole Hoku Polynesian Dance Frontier Park Ranger Jack Sunshine Park Buster Balloon Please Note: There are no restroom facilities at Friendship Park and Sunshine Park WEDNESDAY Little Kids' Big Show pre-show activity - 6 PM Liberty Park - 6:30 PM July 12 Michael the Juggler July 19 July 26 august 2 African Drums Magic of Arty Loon Prehistoric Pets Franklin Haynes Marionettes Native American Tribal Dance and Culture Thursday concerts under the stars Heritage Park - 7 PM July 6 July 13 July 20 august 3 august 10 July 27 august 17 Yard Sale Classic Rock Basix Top 40 Abbey Road Beatles Tribute In Contempt Motown The MVPs Rock/Top 40 The Late Night Band Pop Stone Soul Soul and Blues Friday concerts in the plaza Liberty Park - 6:30 PM July 14 Mike Sullivan Acoustic Rock Oak and Gorski Cello Rock FAMILY ENTERTAINMENT SHOWCASE LOCATIONS CERRITOS PARK EAST 13234 E. 166th St. FRIENDSHIP PARK 13650 Acoro St. (No Restroom Facilities) FRONTIER PARK 16910 Maria Ave. HERITAGE PARK 18600 Bloomfield Ave. LIBERTY PARK 19211 Studebaker Rd. SUNSHINE PARK 19310 Vickie Ave. (No Restroom Facilities) WESTGATE PARK 18830 San Gabriel Ave.

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ENHANCED SELECTIVITY OF OXYGEN DELIGNIFICATION BY CHERRY AND GUAR GUM ADDITIVES AYŞEGÜL İSKEFYELİ, * HÜSEYİN KIRCI, * EVREN ERSOY KALYONCU ** and EMİR ERİŞİR *** * Department of Forest Industry Engineering, Faculty of Forest, ** Department of Material and Material Processing Technologies, Arsin Vocational School, Karadeniz *** Karadeniz Technical University, Trabzon, Turkey Technical University, Arsin/Trabzon, Turkey University of Applied Sciences, Pamukova/Sakarya, Turkey Department of Material and Material Processing Technologies, Pamukova Vocational School, Sakarya ✉ Corresponding author: E. Erişir, [email protected] Received May 16, 2024 Natural polysaccharide-based gums produced by plants in response to biotic or abiotic factors are used in various industries due to their biodegradability, renewability, biocompatibility, and non-toxic properties. This study examined the use of these gums in a new application, such as adding them to the delignification liquor to decrease the negative effects of radicals formed during the oxygen delignification of stone pine kraft pulps. For this purpose, the effects of sweet cherry gum, both with and without hydrogen peroxide reinforcement, and guar gum on oxygen delignification were examined in this study. The addition of both gums, up to a certain usage level, increased the selectivity of the reaction and protected the viscosity from oxidative damage, while causing only a limited reduction in the kappa number during the delignification process. However, it was determined that cherry gum, in hydrogen peroxide-reinforced oxygen delignification was relatively limited, but increased pulp strength properties and better bleached pulp could be produced. Keywords: oxygen delignification, cherry gum, guar gum, selectivity, chelating, environmentally friendly bleaching INTRODUCTION Several efforts have been performed to enhance the selectivity of oxygen delignification. These include optimizing process parameters, such as those discussed by McDonough, 2 Cao et al. 16 and Heiningen et al. 17 Both Samuelson and Otjeg, 18 and Danielewicz 19 investigated the pretreatment of unbleached pulp to improve its selectivity. Additionally, the use of additives to Due to environmental concerns, the pulp and paper industry is focusing on the development of alternatives to chlorine and chlorinated chemicals in the bleaching process. Oxygen delignification is widely preferred as an extension of the pulping or the first stage of bleaching, 1 with its benefits, such as the compatibility of the wastewater from alkaline oxygen delignification with the recovery process of kraft pulp production, the production of moderately bleached pulp, and its economic and ecological viability. 2-7 The lower lignin content achieved through oxygen delignification allows for a decreased amount of active chemicals needed for bleaching the pulp. 8 Although it is known to be intensively used industrially after the kraft pulp production process, its potential also extends to other pulping processes, including sulfite, of secondary fibre, and even annual plants. 6,9-11 The earliest phases of oxygen delignification exhibit adequate reaction selectivity, which subsequently diminishes because of radical formation, in the presence of transition metals (iron, copper, manganese, etc.). This leads to a competition between lignin removal and carbohydrate degradation after 50% delignification. 12 Therefore, commercial delignification should be terminated before the kappa number drops to about 40-50% for unbleached pulps. 13-15 . enhance the efficiency of oxygen delignification has been reported by Suchy and Argyropoulos, 20 Gaspar et al., 21 Peşman et al. 22 and Gümüşkaya et al. 23 The kinetics of oxygen delignification has also been investigated by Heiningen and Violette, 24 and Ji. 25 Cellulose protectants, such as phenol/MgSO4, 26 or ethoxy-based alcohol surfactants, 27 were also studied. The sweet cherry tree, known as Prunus avium L., is a tree species that has a broad geographic range in Western Asia, including Turkey and the Caucasus, and a major part of Europe. 29 According to FAOstat data for 2022, 454644 ha of cherry species were harvested worldwide. The tree is mainly cultivated for its nutritious fruits, but it is also used for landscaping purposes and wood production. Cherry gum is harvested from the trunks and branches of trees. Although cherry gum was initially used in technical applications, it was later replaced by gum arabic obtained from acacia for these purposes. As a result, it is no longer harvested or used for industrial The finding that there is a relationship between the hemicellulose content in the pulp and the selectivity of the reaction in oxygen delignification 28 has attracted considerable interest. The study concluded that hemicelluloses, particularly xylan, have the potential to act as protective agents throughout the process of delignification. Based on this research, Heiningen and Violette 24 proposed another hypothesis, that polysaccharide-based polymers like guar gum (GG) could produce a similar effect in oxygen delignification. Accordingly, it was concluded that aqueous solutions of homogeneously dispersed additives were unable to react with the radicals. Therefore, it is ideal for the additives to adsorb onto cellulosic surfaces, thereby creating a protective barrier against the radicals. Gümüşkaya et al. 23 found that plum gum (PG) applied in oxygen delignification could have similar effects to GG and that increasing its usage improved selectivity. One of the important findings of the study was in the crystallinity of the pulp, which increased with the use of gum. Heiningen and Violette 24 outlined the characteristics of an optimal additive for serving as a protective barrier, including the ability to adsorb on cellulose surfaces, forming complexes with transition metals, resisting oxidation by oxygen, adsorption at high pH levels, penetrating fibre pores due to its appropriate size and being compatible with the recovery process with costeffectiveness. applications today, and there is no recorded data on the annual global harvest. Although studies have shown that gums used as additives in oxygen delignification improve selectivity, research on the effects of polysaccharide-based polymers in this process is limited, and there are no studies investigating the use of CG to neutralize radicals during oxygen delignification. This research suggests that CG could have potential to improve mechanical properties of delignified fibers comparably to PG and GG. To explore this, the study separately examined how the addition of CG and GG affects the selectivity and mechanical properties of softwood kraft pulp during oxygen delignification. Additionally, the effects of CG reinforcement in hydrogen peroxide-enhanced oxygen delignification were also studied. Cherry gum (CG), as a by-product of the fruit distribution industry, is typically gathered during the off season. 29 Numerous studies have explored its use as an additive for various applications, including emulsifiers, stabilizers, thickening agents and edible coatings in the food industry. The phenolic content of the polymer varies depending on geographical location, meteorological variables, and harvest season. 30-33 In a study conducted by Shabani et al., 34 the gas chromatography analysis of CG identified the relative molar ratios of mannose (Man), arabinose (Ara), galactose (Gal), and xylose (Xyl) as 1.0:14.7:7.1:2.4, respectively. The concentration of uronic acids was quantified using spectrophotometry and found to be 11%. The molecular weight (Mw) of Prunus avium L. was calculated as 2.99 10 5 g/mol by Amarioarei et al. 30 EXPERIMENTAL Stone pine (Pinus pinea L.) was used for pulping. It is an evergreen tree of the Pinus genus in the Pinoidae subfamily. This species, known as 'stone pine' in English, 'pin pignon' in French, and 'pino domestico' in Italian, typically grows between 10 to 25 meters. Its natural range extends from Portugal and Spain to Anatolia, and from North Africa to Dalmatia. Indigenous to southern Europe and Anatolia, 35,36 it grows in both pure and mixed forests. The wood features distinct heartwood, variable annual rings, longitudinal tracheid and thin-walled epithelial cells and small transverse resin canals. 37 Raw materials After removing knots and defects, the pine logs were cut into 2-3 cm thick disks, which were then cut into 2-3 cm wide pieces for chipping. These pieces were further processed into 2-4 mm thick chips using hand tools. The chemical composition of the stone pine used in this study is described in a previous study. 38 Fresh cherry exudate gum was collected from the trunks and branches of the trees in spring in Trabzon, Turkey. The gum was stored under controlled conditions in a refrigerator to preserve its light colour and prevent excessive oxidation until it was used. GG in powder form was commercially obtained. All other chemicals were of analytical grade and were used without further purification. The dimensions of the wood fibre used in this study were morphologically determined in a previous study by Erişir. 39 According to this, the wood fibre has a length of 2.57 mm, a width of 37 μm, a lumen width of 22 μm, and a wall thickness of 6.5 μm. The slenderness ratio was found to be 69.45, the flexibility ratio – 59.45, and the Runkel ratio – 0.59. Pulping process The pH of the black liquor was measured following the delignification process. The delignified pulp was extensively washed with tap water using a 150-mesh screen until all black liquor was removed. The washed pulp was manually squeezed to ensure uniform moisture distribution, and each bleached pulp was placed in a plastic bag. The pulps were sealed and kept closed for 24 hours to allow for moisture equilibration. The optimum conditions for the oxygen delignification (OD) process without any additions were determined by optimization studies. For the gumreinforced delignification processes (ODC: CG reinforced OD, ODC+P: CG and H2O2 reinforced OD and ODG: GG reinforced OD), the gums were initially dissolved in distilled water (10 wt%) being introduced into the delignification liquor. The solution was mixed using a mechanical stirrer to ensure a clear solution. It was then purified by filtering through a 100-mesh metal sieve to remove any impurities. The kraft pulp method was preferred to produce bleachable pulp (Fig. 1). In the kraft pulping process, the active alkali ratio was 18%, the sulfidity was 25%, the temperature was 170 °C and the solid/liquid ratio was kept at 1:4. The pulping time was 90 min. The cooking process was carried out in a laboratory stainless steel rotary reactor with a capacity of a 15 L capacity, a pressure resistance of 25 kg/cm 2 , automatic temperature control, electric heating and the ability to rotate twice per minute. The reactor was filled and discharged by hand. The resulting pulp mixture was then discharged onto a 200 mesh (0.074 mm) washing screen and thoroughly washed with tap water. The washed pulp was disintegrated in a mechanical stirrer and then screened to determine the screened pulp yield, rejection rate and total yield. The screened pulp was dewatered and stored in polyethylene bags at 4 °C until further processing. Oxygen delignification processes were conducted in the same manually controlled reactor used for pulping. Temperature was controlled within the range of 1.00±0.2 °C by a digital processor system, which also featured a pressure control relief valve. The delignification was carried out under consistent conditions: a temperature of 90 °C, oxygen pressure of 7 bar, processing time of 60 minutes, 1% MgSO4 content and 12% pulp concentration. Each process used 100 g of oven-dried pulp. Once all inputs were mixed in the reactor, oxygen was introduced to the reactor at the room temperature via a hose. Table 1 provides a symbolic representation of the constant and variable parameters used in the experimental systems for oxygen delignification and its variations. Figure 1: Procedure to produce pulp exhibiting high properties Oxygen delignification process . Table 1 Experimental design and conventional denotation of oxygen delignification processes *ODn: Oxygen delignification without any reinforcements; ODCn: CG reinforced oxygen delignification; ODCn+P: CG reinforced oxygen delignification, and ODGn: GG reinforced oxygen delignification Pulp characterization the yield of pulping and delignification processes: The following equations were used for calculating the kappa number and viscosity of oxygen delignified pulp, respectively. DP0 is the polymerization degree of kraft pulp, while DP1 is that of delignified pulp. Process yields of delignification (%) = D.E -1 (4) where A: the weight of dry pulp passing through the screen after the pulping process (g) – output; B: the weight of the dry chips used in the pulping process (g) – input; C: the weight of total pulp from the reactor after pulping process (g) – input; D: the weight of the dried pulp obtained after oxygen delignification (g) – output; E: the weight of the dried pulp obtained before oxygen delignification (g) – input. The kappa number and intrinsic viscosity (η) of the pulp were determined by TAPPI T 236 om-99 and SCAN-CM 15:88 standards (Scan Test Methods), respectively. The degree of polymerization (DP) of cellulose in pulp was calculated from intrinsic viscosity by applying the Immergut formula presented below: The process selectivity (S), delignification ratio (L) and the ratio of viscosity reduction (K) reduction for oxygen delignification were calculated according to the literature: 22-25,28 Preparation and characterization of handsheets Unbeaten and beaten pulp samples were used to produce handsheets. Results from each physical test conducted on the handsheets were recorded individually in terms of SR°. Values corresponding to 50 SR° were then computed through interpolation. The grammage and thickness properties of the handsheets were determined according to TAPPI T 410 om-88 and TAPPI T 411 om-89 standards, respectively. The handsheets were conditioned according to TAPPI T 205 sp-12 (2018) at 23±1 °C and maintained in a room with 50±2% relative humidity overnight before testing. The mechanical and optical tests listed in Table 2 were performed on the conditioned handsheets. Each measurement was carried out using ten handsheets. where K0 and V0 are the kappa number and viscosity of the pulp before oxygen delignification, K1 and V1 are Table 2 Mechanical and optical tests and standards applied to handsheets Mechanical and optical properties Standards After delignification, handsheets of approximately 60 g/m 2 of each pulp sample were prepared on a Rapid Köthen Sheet Making Machine according to TAPPI T 205 sp-12 (2018). Before preparing the handsheets, the pulp was initially exposed to a 2-stage beating procedure (TAPPI T 200 om-89 standard) in a Valley type beater for 9 and 12 minutes. The SchopperRiegler Freeness Tester was used to determine the degree of freeness according to the SCAN-C20:65 standards. Statistical analysis (one-way ANOVA) The data was subjected to statistical analysis using the one-way analysis of variance (ANOVA), with IBM SPSS version 11 software. If the simple analysis of variance indicated a statistically significant difference among the groups, the Newman-Keuls test was employed. RESULTS AND DISCUSSION Results of the pulping process To produce pulps intended for oxygen delignification, stone pine wood was chipped according to the standards and the chips were subjected to kraft pulping with 18% active alkali, 25% sulfidity, at a temperature of 170 °C and a solid/liquid ratio of 1:4. The properties of the pulps, such as viscosity, kappa number and yield, were assessed. The kappa number, a crucial parameter for process analysis in industrial settings, 40 is used to determine the required amount of chemicals for subsequent delignification and bleaching processes. 41 The expected kappa number for a bleachable pulp in pulping ranges between 25% and 55%. 40,42 After pulping, the kappa number of the pulp was found to be 32.1. On the other hand, the screened yield was determined to be 46.8%. MacLeod 43 and Segura et al. 44 have reported similar findings, highlighting the relationship between yield and kappa number in kraft pulping. An increase in kappa number indicates a higher amount of residual lignin in the pulp. This residual lignin also corresponds to additional hemicellulose retention due to the complex interactions between lignin and carbohydrates within the cell wall. Extending the pulping time to achieve a lower kappa number, particularly during the residual delignification phase, can negatively impact both yield and viscosity. The pulp viscosity was found to be 859.40 cm³/g, and previous studies have identified a relationship between pulp strength and viscosity. Alkali charge optimization of oxygen Kraft pulps were subjected to oxygen delignification with varying alkaline charge from 1% to 5% to determine the optimum alkaline charge for delignification. The other process parameters were closely aligned with those used in traditional mill scale application, including a pulp consistency of 12%, a reaction temperature of 90 °C, a reaction time of 60 minutes, an oxygen pressure of 7 bar, and the addition of 1% delignification MgSO4. Table 3 presents the results of the oxygen delignification process for the pulps treated with different alkali charge. Jafari et al. 48 and Li et al. 49 created a model to predict variations in the kappa number for different alkali charges. The model, which is based on the calculation of residual lignin and delignification rate, revealed a correlation between the alkaline charge and the experimentally observed delignification rate. Other studies demonstrated that increasing the alkali charge during oxygen delignification enhances lignin removal and increases cellulose degradation, despite the pulp concentration and time remaining constant. 50 The reason is that higher alkali levels intensify reaction conditions, leading to oxidation, fragmentation, and dissolution of cellulose molecules as smaller fragments, along with lignin. 51 The alkali charge has a direct impact on pulp characteristics. 45 The selectivity of the reaction decreases when oxygen delignification is carried out at a high alkali charge, 46 leading to significant losses in cellulose polymerization due to attacks on the carbohydrate fraction. 47 As shown in Table 3, as the alkali charge increases during oxygen delignification, both the rates of delignification and of viscosity reduction also increase, as expected. The rate of increase in the delignification decreased from 54.8% to 58.3% after using 3% alkali charge. Using additional alkali had a negligible effect on the amount of lignin removed, while viscosity losses of 8% or more were observed. Zhang et al. 52 reported that raising the alkali charge during the soda-oxygen delignification process led to a reduction kappa number and an increase in pulp brightness. Increased hydroxyl ion concentration typically plays a more significant role in promoting the depolymerization of cellulose rather than delignification during chemical processes. 53-54 In accordance with the literature, increasing the alkali charge up to 3% led to the removal of more than half of the residual lignin in the kraft pulp, while maintaining an acceptable reduction in viscosity. After evaluating the effect of alkali charge on both total yield and selectivity, the OD3 method was selected as baseline for applying gum and peroxide additions in this study. Table 3 Alkali charge optimization in oxygen delignification (viscosity and kappa number of stone pine kraft pulp were 859.4 cm 3 /g and 32.1, respectively) Reinforced oxygen delignification – effects of additives on chemical properties of pulps Initially, the addition of gums, which are water-soluble hemicellulosic substances with a low degree of polymerization, to the oxygen delignification process led to a decrease in the resulted kappa number, while viscosity and total yield exhibited only a slight increase. The kappa number, which was 14.5 for OD3, initially decreased with the addition of both gums, but then increased, particularly when the addition exceeded 3%. Numerous studies have indicated a correlation between pulp yield and kappa number, possibly due to the presence of covalent linkages between polysaccharides and lignin in the pulp. 55 The main research objective of the study was to investigate the effects of adding CG (1-5%) on oxygen delignification of kraft pulp, both with and without hydrogen peroxide reinforcement (0.5-4%). Additionally, the impact of adding GG was also assessed under the same conditions as CG, but without any additional reinforcement. The results of these processes are shown in Figure 2. It was observed that all treatments resulted in at least a 50% reduction in lignin content compared to the kraft pulp (with a kappa number of 32.1). Zou et al. 28 observed that pulps with xylan content are more resistant to delignification, but demonstrate greater selectivity compared to pulps with a low xylan level. The researchers attributed this effect to the reduced accessibility of lignin during oxygen delignification due to the higher xylan concentration. Additionally, the improved delignification ratio with gum additions may be explained by the reduced degradation of the linkages between polysaccharides and lignin. They are also responsible for the observed It is believed that, at high concentrations, the gums form a denser layer on the fibre surfaces. The molecular size of polysaccharide-based polymers, which allows them to penetrate the fibres, may explain the phenomenon. Consequently, they help preserve the benzyl ester linkages between polysaccharides and lignin, especially in the inner layers of the cell wall. Gümüşkaya et al. 23 investigated the effects of PG during oxygen delignification and found that when the gum concentration reached 3% or higher, the kappa number increased. This was attributed to the gum's barrier effect, which hinders oxygen diffusion to the fibre wall. improvement in delignification yield when both gums are utilized. Figure 2 revealed another important finding regarding pulp viscosity. The addition of gum to the oxygen delignification process increased the viscosity of OD3 pulp (807 cm 3 /g), leading to an improvement of approximately 1-2%. When gums were added during oxygen delignification, viscosity increased by about 1-2% in OD3 pulp (807 cm³/g). For both gums, it is important to maintain or slightly increase pulp viscosity, while reducing the kappa number when used at low concentrations up to 3%. Zou et al. 28 reported that hemicellulose-based polymers, particularly xylan, act as viscosity protectors for cellulose. In other words, they demonstrated that a high hemicellulose content in pulp minimizes cellulose degradation, thereby increasing viscosity. Heiningen and Violette 24 investigated the impact of GG on oxygen delignification and determined that higher intrinsic viscosities were obtained as the gum loading increased. They stated that using GG at a 2% level resulted in an approximately 30% increase in lignin-cellulose selectivity, regardless of the alkali charge. Similarly, Gümüşkaya et al. 23 revealed that adding PG to oxygen delignification liquor significantly stabilized carbohydrates. The phenomenon is very Figure 3: Effects of gum additions on selectivity parameters of oxygen delignification The studies indicate that oxygen is more reactive towards scavenging agents than they are towards the carbohydrates in cell walls. 22,56-58 Various substances, including alcohols, polyalcohols, aldehydes, organic acids, and polymers have previously been employed as scavenging agents. The selectivity of the GG yields better results compared to that of the CG. The main reason for this difference between gums may be their molecular structure. GG is mainly composed of hemicellulosic components based on similar to the one that leads to a rise in the kappa number. During delignification, radicals effectively degrade fibres, especially at their surfaces. The reduced permeability of the fibre surfaces limits both oxygen and radical diffusion. The main similarity between these studies is the improved selectivity in oxygen delignification achieved using gums. With the CG and GG used in this study, it was observed that selectivity increases up to a certain additive ratio and then decreases (Fig. 3). The impact of gum additives on the selectivity parameters of oxygen delignification, as demonstrated by the addition of 2% CG (as shown in Fig. 3), led to further exploration of how hydrogen peroxide influences 2% CG reinforced OD3. The reaction variables of the ODC2 process were chosen as constant due to the low kappa number and similar viscosity, and the effects of hydrogen peroxide in the range of 0.5-4.0% were studied under these conditions. Figure 4 clearly demonstrates that the addition of H2O2 produces a negative impact on selectivity, even at a concentration as low as 0.5%. Initially, the viscosity of ODC2 pulp (822 cm 3 /g) did not have much effect, but it decreased dramatically by 16.5% as the amount of peroxide added increased. galactomannan (75.0-85.0%). 59 Galactomannan is also present in the CG structure, but most of the structure (65%) consists of pentosan-rich monomeric sugars, such as arabinose and xylose. 60 The sorption of mannan is believed to be greater than that of arabinose-dominated CG, due to the comparable structure of the backbones in mannan and cellulose. 61 These results led to the hypothesis that hexosan-type hemicellulosic structures would have a somewhat greater efficacy in scavenging radicals. Reinforced oxygen delignification – effects of additives on physical, optical and mechanical properties of pulps within their series. The pulps were beaten to 50 SR° for producing handsheets. The physical and optical test results are listed in Table 4. Figure 5 shows the results of mechanical tests of the pulps. The Newman-Keuls test was also applied when significant differences occurred according to a fundamental analysis of variance. Table 4 Effects of additives on the physical and optical properties of oxygen delignified unbleached pine kraft pulp To evaluate the effects of different additives on oxygen delignification, physical, mechanical and optical tests were applied to handsheets produced from Kraft, OD3*, ODC2*, ODG2* and ODC2+1.0P* pulps. The pulps marked with * are the ones with the highest chemical properties Figure 5: Effects of additives on the mechanical properties of oxygen delignified unbleached pine kraft pulps The main objective of oxygen delignification is to reduce the residual lignin concentration to obtain an easily bleached pulp, with low chemical consumption in the bleaching process. This process is essentially like the continuous sodaoxygen pulping. The degree of improvement in optical brightness (by 15-20% ISO) depends on factors such as the type of raw material, pulping method, and amount of residual lignin in the pulp. 47 The Kappa number of the pulps shown in Figure 2 confirms that the selected pulps exhibit the most significant lignin reduction when compared to the other pulps. In this study, an improvement of 24.55% in brightness was achieved for ODC2+1.0 P (Table 4). It is known that pulp brightness is most affected by the chromophoric groups in the residual lignin. 62 Chromophores are highly light-absorbing groups, and for the pulp to achieve acceptable brightness levels, it must be entirely free of these groups. 63 Chromophore degradation can be provided by perhydroxyl groups (HOO). 64 The presence of peroxide and perhydroxyl groups in the oxygen delignification liquor served as a reinforcement with their oxidizing ability, leading to a brighter pulp. Koç et al. 11 reported that comparing peroxide reinforced oxygen delignification with unreinforced process showed an approximate 20% improvement in brightness. The ODC and OD3 pulps exhibited similar brightness results, both showing an improvement of approximately 20%. Surprisingly, ODG2 pulp, despite having the lowest kappa number, deviated significantly from the expected level, showing a brightness of 48.99%. The results demonstrated the flexibility usage of gums in oxygen delignification and their beneficial impact on the optical properties of pulp. This method offers a promising and effective option for the paper and pulp industry, while also being environmentally sustainable. Oxygen delignification is mostly conducted under alkaline reaction conditions, 1 resulting in major lateral swelling of fibres, leading to changes in their bonding properties and strength. 65-66 Moreover, incorporating polysaccharide-based gums into the multilamellar structure of the fibre cell wall can improve fibre flexibility by disrupting the hydrogen bonding network between microfibrils and inducing additional swelling of the cell wall. The increased cellulose crystallinity by oxygen delignification, 23 along with these effects, is believed to significantly influence breaking length. The breaking length of stone pine kraft pulp showed a limited increase, of approximately 1.65%, after oxygen delignification (OD3) without reinforcements. The impact steadily increased with reinforcements, reaching a peak of 19.00% for ODG2. The addition of CG resulted in an increase in the breaking length of kraft pine pulp from 3.63 (±0.62) km to 4.21 (±0.65) km and 4.02 (±0.48) km, respectively. On the other hand, no significant difference was observed between the pulp samples in terms of the burst index. It was determined that there was a loss of approximately 5.5-6% for OD3 and ODC2 pulps, compared to the kraft pulp. It was observed that the amount of loss in burst index with GG decreased to around 2.5%. Notably, there was a 2.08% rise in burst index seen for ODC2 when reinforced with peroxide. The tear index is significantly impacted by decreases in pulp viscosity 67-68 and fibre length. Unbleached kraft pulp exhibited the highest tear index (5.95 mN.m 2 .g -1 ), as well as the greatest viscosity, compared to all the other pulps. Studies indicate that radicals, particularly HO – , target not only lignin, but also carbohydrates, leading to reduced strength, viscosity and yield of pulp. 24,6970 Furthermore, Yang et al.4 observed that after oxygen delignification of softwood kraft pulp fibers with a kappa number of 30, there was a general reduction in average fibre length and an increase in fines content of up to 98.3%. It was found that the addition of CG can reduce some of the negative effects on tear index of the pulp during oxygen delignification, while the addition of GG can cause losses of up to 21%. Erişir et al. 71 and Spönla et al. 72 reported that an increase in the hemicellulose content in fibres has an adverse impact on strength properties. As a result, the mechanical test results of the oxygen delignified pulps reveal complex effects on pulp strength when additives are used in the oxygen delignification of kraft pulp. A thorough understanding of the complex relationship between delignification, fibre properties, and additive usage can be attained by optimizing process parameters, conducting detailed analyses of fibre morphology and chemistry, and performing long-term aging studies. It is also important for future research to determine the environmental impact assessments. CONCLUSION To assess the effects of gums on pulps, gum loading varied from 1% to 5%. The study also explored the impact of CG on oxygen delignification with hydrogen peroxide (H2O2) concentrations from 0.5% to 4%. Initially, gum addition reduced the kappa number, but delignification slowed beyond 3% gum due to the barrier effect on fibrils. Gums also improved pulp viscosity by 1-2%. The results showed that oxygen delignification with GG was more selective than with CG, likely due to GG's smaller molecular size and higher radical-scavenging efficiency. In oxygen delignification, the addition of only 1% peroxide to the reaction medium reduced the process selectivity from 45% to 5%, although the kappa number decreased by 1.9 units. Kraft pulping of stone pine wood chips was performed using 18% active alkali, 25% sulfidity, at 170 °C, and a 1:4 solid/liquid ratio, yielding pulps with a kappa value of 32.1 and a screened yield of 46.8%. Oxygen delignification with 1%5% alkaline charge was applied, with the OD3 process (3% alkaline charge) chosen as the standard due to cellulose degradation at higher alkaline levels. Physical, mechanical, and optical tests on handsheets made from the selected pulps (Kraft, OD3, ODC2, ODG2, and ODC2+1.0P) were conducted to assess the effects of additives on fibres. The pulp strength was found to be enhanced by the addition of both gums. The OD3 pulp exhibited a 1.65% greater breaking length than the stone pine kraft pulp, whereas the breaking length of the oxygen delignified pulp reinforced by both gums showed even greater increases. By using H2O2 reinforcement, the ODC2+1.0P pulp demonstrated a significant 24.55% increase in brightness, as expected. Additionally, it exhibited a smaller gain in the breaking length, reaching just 10.7%. GG addition led to a 26% decrease in the tear index and a slight drop in the burst index. The study shows that plant-based additives, like wood gum, enhance the selectivity of oxygen delignification, offering benefits for sustainability and product quality. Adapting and optimizing this process can lead to a more efficient and ecofriendly solution for the pulp and paper industry. To fully understand process value, a life cycle assessment (LCA) is recommended. 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| DATE | DAY | SUBJECT | SYLLABUS | |------------|-----|----------------------------------------------|--------------------------------------------------------------------------| | 12.02.25 | WED | Reading + Recitation (HND/ENG) | Reciting: Ch - 17 Colours/Ch-19 A Little Seed, Reading: Ch - 19 The Cracking Egg | | | | | सस्तर वाचन: कविता - पाठ - १९ दुनिया गोल/चोड़ा दौड़ा | | | | | आदर्श वाचन: पाठ - ३० मेहनती गोरी/पाठ11 बिंदु और चांद | | 14.02.25 | FRI | Vocab. + Cr. Writing (HND/ENG) | Ch- 14 A beautiful feather, Ch- 15 If I were an apple, Ch- 18 The birthday present | | | | | Jumble words, Opposite words, Rhyme words, Creative Writing- My Classroom | | | | | शब्दकोश: पाठ 9 ओं की मात्रा, पाठ 10 ओं की मात्रा, पाठ 11 बिंदु, चंद्रबिंदु, विसर्ग: .पाठ 12 ओं की मात्रा | | | | | रचनात्मक लेखन: मेरे माता-पिता | | 18.02.25 | TUE | Mathematics | Ch-6 (Numbers up to 100), Ch - 7(Addition and Subtraction up to 99), Ch-8(Measurement), Ch -9(Time), Ch -10(Money), Ch -11(Data Handling), Ch -12(Multiplication Readiness) | | 21.02.25 | FRI | Hindi Literature + Dictation | हिंदी साहित्य व श्रृंखलेख : | | | | | पाठ 9ओं की मात्रा, पाठ 10 ओं की मात्रा, पाठ 11 बिंदु चंद्रबिंदु: विसर्ग, पाठ 12 ओं की मात्रा | | 24.02.25 | MON | English Literature + Dictation | Ch-14 A beautiful feather, h-15 If I were an apple, ch-18 The birthday present | | | | | Dictation words, word meaning, question and answer, fill in the blanks, reference to context | | 01.03.25 | SAT | Environmental Studies | Ch-13 (Keeping Safe), Ch-14(Plants around us), Ch-15 (Animals around us), Ch-16(The Earth and the sky, Ch-17(Air and water), Ch-18(weather and clothes), Ch-19(Our Nation), Ch -20(Our Festival) | | 04.03.25 | TUE | English Language | Ch-8 Use of this/that and These/those, Ch-11 Use of is, am and are, Ch-13 use Has, Have and Had, Ch-17 Picture Compression | | 07.03.25 | FRI | Hindi Language | पाठ 6 लिंग, पाठ 7 वचन, पाठ 8 सर्व नाम, पाठ 9 विशेषण | | 12.03.25 | WED | Computer + General Knowledge | Computer- Ch-7 Data and Memory | | | | | GK- UNIT- 6, 7, 8 | **GENERAL INSTRUCTIONS:** * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17\textsuperscript{th}, 19\textsuperscript{th}, 20\textsuperscript{th}, 22\textsuperscript{nd}, 23\textsuperscript{rd}, 25\textsuperscript{th}, 26\textsuperscript{th}, 27\textsuperscript{th}, 28\textsuperscript{th} FEB, 2\textsuperscript{nd}, 3\textsuperscript{rd}, 5\textsuperscript{th}, 6\textsuperscript{th}, 8\textsuperscript{th}, 9\textsuperscript{th}, 10\textsuperscript{th}, 11\textsuperscript{th} MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. \textbf{15 mins} prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is \textbf{PROHIBITED}. * Make sure you use the \textbf{RESTROOM} before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * \textbf{REPORT CARDS} of classes Pre-Nursery to IX and XI will be distributed on 22\textsuperscript{nd} March 2025 between 9:00 am to 11:00 am. * \textbf{DISTRIBUTION OF BOOKS}: 22\textsuperscript{nd} March (Nursery to 5\textsuperscript{th}), 23\textsuperscript{rd} March (6\textsuperscript{th} to 12\textsuperscript{th}). | DATE | DAY | SUBJECT | SYLLABUS | |------------|-----|----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 12.02.25 | WED | Reading + Recitation (HND/ENG) | Ch-19 A smile/Ch – 17 Glurp the purple alien (Reciting.) Ch-20 The Honest Girl (Reading) आदर्श वाचन: पाठ 10 क्या हमुँ मुझसे दासी करो?/पाठ 13 चिरकुट की गाड़ी सस्तर वाचन: पाठ 11 सुंदर सपना/ पाठ 12 मम्मी। भूख लगी है | | 14.02.25 | FRI | Vocab. + Cr. Writing (HND/ENG) | English: Ch-14 one Sunday, Ch-16 we can’t find our feet, Ch-18 the robot and the cobbler Jumble words, Rhyme words, Opposite words, Creative Writing- The Peacock हिंदी : बाक्य प्रयोग, अपठित पद, मात्रा से नए शब्द बनाए, पत्र लेखन - अपने मित्र को जन्मदिन पर निःमत्रण पत्र, बुक पर ५ पंक्तियां लिखे | | 18.02.25 | TUE | Mathematics | Ch – 6(Numbers up to 1000), Chapter -7(More Addition and Subtraction), Ch -8(Multiplication), Ch -11(Money), Ch -12(Data Handling), Ch -13(Division Readiness), | | 21.02.25 | FRI | Hindi Literature + Dictation | पाठ 10, 11, 12, 13, 14 किसने किससे कहा, रित्त स्थान, सही गलत। | | 24.02.25 | MON | English Literature + Dictation | Ch-14 One Sunday, Ch-16 we can’t find our feet, Ch-18 the robot and the cobbler Dictation words, Question and answer, fill in the blanks, reference to context, word meaning | | 01.03.25 | SAT | Environmental Studies | Ch-12(Road safety), Ch-13(Plants around us), Ch-14(Animal around us), Ch-15(Our Earth), Ch-16(Our celestial neighbours) Ch-17(weather and Seasons), Ch-18(Save the Earth), Ch-19(Map and monuments) | | 04.03.25 | TUE | English Language | Ch- 17 Use of is, am and are, Ch-15 Use of Has, Have and Had, Ch-23 Preposition, Ch-27 Picture Compression | | 07.03.25 | FRI | Hindi Language | पाठ 11 पर्यायवाची शब्द, पाठ 12 विक्लोम शब्द, पाठ 13 मिनती, पाठ 14 चित्र वर्णन, पाठ 15 कहानी लेखन, पाठ 16 शब्द कोशल | | 12.03.25 | WED | Computer + General Knowledge | Computer: Ch-5 (introduction to paint), Ch-6(More in Paint), Ch-7(File Management) G.k: Unit -8(World we live in), Unit-9 (Brain game) | **GENERAL INSTRUCTIONS:** * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th, 9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at **8:45 am i.e. 15 mins** prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is **PROHIBITED**. * Make sure you use the **RESTROOM** before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * **REPORT CARDS** of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * **DISTRIBUTION OF BOOKS**: 22nd March (Nursery to 5th), 23rd March (6th to 12th). | DATE | DAY | SUBJECT | SYLLABUS | |------------|-----|----------------------------------------------|--------------------------------------------------------------------------| | 12.02.25 | WED | Reading + Recitation (HND/ENG) | Ch-19 Meena (Reading), Ch-20 Train/Ch – 16 Puppy and I (Reciting) | | | | | आदर्श वाचन: पाठ 9-यह मेरा इंडिया/पाठ-10 कैसे बना शहद | | | | | सस्तर वाचन: पाठ 12-काश अगर मैं चिड़िया होती/पाठ-6 गण्यो की दुकान | | 14.02.25 | FRI | Vocab. + Cr. Writing (HND/ENG) | Ch- A good boy, Ch-15 the lost camel, Ch-17 the amazing zoo | | | | | Jumble words, Rhyme words, Opposite words, Missing words, Creative Writing- My Last Sunday | | | | | अनेक शब्दों के लिए एक शब्द, पर्यायवाची, विलोम, मुहावरे, चित्र वर्णन, रचनात्मक लेखन-मेरी मां | | 18.02.25 | TUE | Mathematics | Ch -2(Addition), Ch -3(Subtraction), Ch - 4(Multiplication), Ch - 5( Division) | | | | | Ch - 9 (Measurement), Ch - 10 (Time), Ch - 11 (Money), Ch -12(Data Handling), | | 21.02.25 | FRI | Hindi Literature + Dictation | पाठ 9-यह मेरा इंडिया, पाठ 10-कैसे बना शहद, पाठ 11-एलियन मैजी और बच्चे, पाठ 12-काश अगर मैं चिड़िया होती, | | | | | पाठ-13 चाप की कहानी, श्रुतलेख : पाठ 9-यह मेरा इंडिया | | 24.02.25 | MON | English Literature + Dictation | Ch- A good boy, Ch-15 The lost camel, Ch-17 The amazing zoo | | | | | Dictation words, Words meaning, Question and answer, Fill in the blanks, Reference to context | | 01.03.25 | SAT | Environmental Studies | Ch-13 (The story of a wheel), Ch-14(Means of Transport), Ch-15(Means of Communication), Ch-16(Weather and Seasons), Ch-17(The Earth and the sky), Ch-18(Our Festivals), Ch-19(Things we make), Ch-20(Unity in Diversity) | | 04.03.25 | TUE | English Language | Ch-13 Preposition, Ch-14 Conjunction, Ch-23 Picture Comprehension, Ch – 11 The Adverb: kind of Adverb | | | | | Complete the sentences | | 07.03.25 | FRI | Hindi Language | अपठित गद्यांश, अनेक शब्दों के लिए एक शब्द, सर्वनाम, विशेषण, क्रिया, पर्यायवाची, विलोम, मुहावरे, अशुद्ध लेखन, अनुच्छेद लेखन -होती का त्वोहर | | 12.03.25 | WED | Computer + General Knowledge | Computer :- Ch-6 (Stepwise Thinking), Ch-7 (Coding - Scratch Introduction) | | | | | G.K - Unit-8 (World we live in), Unit -9 (Brain game) | **GENERAL INSTRUCTIONS:** * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th, 9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at **8:45 am** i.e. **15 mins** prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is **PROHIBITED**. * Make sure you use the **RESTROOM** before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * **REPORT CARDS** of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * **DISTRIBUTION OF BOOKS**: 22nd March (Nursery to 5th), 23rd March (6th to 12th). | DATE | DAY | SUBJECT | SYLLABUS | |------------|-----|--------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 18.02.25 | TUE | Mathematics | Ch-6 Fractions, Ch-8 Shapes and Pattern, Ch-9 Measurement, Ch-10 Perimeter and Area, Ch-11 Time, Ch-12 Money, Ch-13 Data Handling | | 21.02.25 | FRI | Computer | Ch-1 Input, Output and Storage Device, Ch-5 More About Scratch, Ch-6 Microsoft PowerPoint 2016, Ch-7 Working with Slides, Ch-8 Browsing the Internet | | 24.02.25 | MON | English | **Literature:** Ch-14 The Nightingale, Ch-16 The giving tree, Ch-17 The naughty boy Fill in the blanks, sentence making, question and answer, RTC **Grammar:** Ch-22, 24, 25, 26, 27, Unseen Passage, Notice Writing, Slogan Writing, Preposition, Conjunction, Letter Writing, Reading Writing Skill- (Ch-18 The wrestle, Ch-20 Clever Betty) | | 01.03.25 | SAT | Science | Ch-7 (Respiratory system and Circulatory system), Ch-10 (Fibre and Fabric), Ch-11 (Force, Work and Energy), Ch-12 (Air, Water and Weather), Ch-13 (Solar System and the Earth), Ch-14 (Natural Resources), Assertion/Reason/Case based questions/Picture based questions. | | 04.03.25 | TUE | General Knowledge + Drawing | GK: Unit: 6 Amazing India (Chapter from 37 to 43), Unit: 7 Around the World (Chapter from 44 to 49) Unit: 8 Entertainment (Chapter from 50 to 54), Unit: 9 Brain Game (Chapter from 55 to 57) **Drawing:** Draw and colour- Forest Season Scene (OR) Republic day Scene | | 07.03.25 | FRI | Hindi | पाठ 8- पिता का पत्र पुत्र के नाम, पाठ 9- कदंब का पेड़, पाठ - 11 अंडमान निकोबार, पाठ - 12 खाने की बात, पाठ 13 पेड़ पौधों की दुनिया, पाठ - 14 सौ की मारे एक अकेला व्याकरण: पाठ 11 काल/क्रिया, पाठ 12 शब्द भंडार, पाठ 13 विराम चिन्ह, पाठ 14 अशुद्ध शोधन, पाठ 15 मुहावरे, अपठित गद्यांश , निबंध (होटी, गणतंत्र दिवस, योगासन का महत्व, ), पत्र | | 12.03.25 | WED | Social Studies | Ch-14(Agricultural Resources), Ch-15(Industrial Resources), Ch-16(Means of Transport), Ch-17(Sending and receiving messages), Ch-18(Municipal committees), Ch-19(Our Right and Duties), Ch-20(Our Nation symbols), Ch-21(Our Cultural heritage), Ch-22(Reformers of India) **Map work**- Distribution of food crops and cash crops in India, Indian industries and Indian roadways. | **GENERAL INSTRUCTIONS:** * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th-9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. 15 mins prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is PROHIBITED. * Make sure you use the RESTROOM before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * REPORT CARDS of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * DISTRIBUTION OF BOOKS: 22nd March (Nursery to 5th), 23rd March (6th to 12th). | DATE | DAY | SUBJECT | SYLLABUS | |------------|-----|------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 18.02.25 | TUE | Social Studies | Ch-12 Natural Disasters, Ch-13 Staying Healthy and Living Longer, Ch-14 Spreading, Knowledge, Ch-15 Reaching Destination, Ch-16 Communication, Ch-17 Gems of India, Ch-18 Birth of the Indian National Movement, Ch-19 India Achieves Freedom, Ch-20 Government in India, Ch-21 The United Nations and World Peace Map Work: Major Highways of the World (Ch-15), Main Centres and Leaders of 1857 Revolt (Ch-18), Major National Movement (Ch-19) | | 21.02.25 | FRI | English | Literature- Ch-14 A French lesson, Ch-16 The throne of justice, Ch-18 The Wizard of OZ-I, fill in the blanks, sentence making, question and answer, RTC Grammar- Ch-22, 23, 26, 28, 30, Unseen passage, notice writing, letter writing, slogan writing, preposition, conjunction, Reading Writing skill (Ch-19 The Wizard II) | | 24.02.25 | MON | Hindi | पाठ 11 - मेरी जिंदगी का सबसे बड़ा दिन, पाठ 12 - घाय और भेड़ुरी, पाठ 13 - बोल अनमोल, पाठ 14 - डायरी के पत्रों में अंतरिक्ष, पाठ 15 - मारमावेगृहु, पाठ 16- नई तापन व्याकरण - पाठ 4- संज्ञा , पाठ 7- कारक, पाठ 8- सर्वनाम, पाठ 9- विशेषण, पाठ 14- शब्द भंडार, पाठ 20 - चित्र वर्णन, पाठ 21- संवाद लेखन, पाठ 23- अनुच्छेद लेखन, पाठ 24- पत्र लेखन। | | 01.03.25 | SAT | Mathematics | Ch-5 Fractions, Ch-8 Geometry, Ch-9 Measurement, Ch-10 Perimeter and Area Ch-11 Time and Temperature, Ch-12 Money, Ch-13 Mapping Skills, Ch-14 Data Handling | | 04.03.25 | TUE | Sanskrit | पाठ 6 धातु परिचय, पाठ 11 लटलकार मध्यम पुरुष एकवचन, पाठ 12 लटलकार मध्यम पुरुष द्विवचन , पाठ 13 लटलकार मध्यम पुरुष बहुवचन, पाठ 14 लटलकार उत्तम पुरुष एकवचन, पाठ 15 लटलकार उत्तम पुरुष पुरुष द्विवचन, पाठ 16 लटलकार उत्तम पुरुष बहुवचन, पाठ 17 संख्यावाची शब्द, पाठ 18 अस्पात शरीरम पाठ 19 वार्तालाप:, अपूर्णत गद्यांश, फलों के नाम, सब्जियों के नाम, चित्र वर्णन | | 07.03.25 | FRI | Computer + General Knowledge | Computer: Ch-1 (Evaluation of Computers), Ch-5 (More on Powerpoint 2016), Ch-6 (Formatting a Presentation), Ch-7 (Programming in Scratch), Ch-8 (Microsoft Excel 2016) and Ch-9 (Internet and E-Mail) GK: Ch-37 to 58 (Page No. 41 to 64) | | 12.03.25 | WED | Science | Ch-4 Health and Diseases, Ch-8 States of Matter, Ch-9 Air and Water, Ch-10 Force and Energy, Ch-11 Simple Machin, Ch-12 Light, Shadows and Eclipses, Ch-13 Sun, Moon and the Earth, Ch-14 Pollution and Conservation | **GENERAL INSTRUCTIONS:** * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th, 9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. **15 mins** prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is **PROHIBITED**. * Make sure you use the **RESTROOM** before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * **REPORT CARDS** of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * **DISTRIBUTION OF BOOKS**: 22nd March (Nursery to 5th), 23rd March (6th to 12th). | DATE | DAY | SUBJECT | SYLLABUS | |------------|-----|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 14.02.25 | FRI | Financial Literacy | Unit I: Teamwork, Unit:2 Introduction to Financial Literacy, Unit:3 Banking Unit:4 Security and modes of Digital Payments | | 18.02.25 | TUE | Mathematics | Ch-9 Simple Equation, Ch-10 Ratio and Proportion, Ch -11 Basic geometrical Ideas, Ch-12 Understanding Elementary shapes, Ch-13 Three-dimensional shapes, Ch-14 Constructions, Ch-15 Symmetry, Ch-16 Perimeter and Area, Ch-17 Data Handling | | 21.02.25 | FRI | Computer | Ch-1 (Computer Language), Ch-5 (Introduction to Artificial Intelligence), Ch-6 (Formulas and Functions), Ch-7 (Introduction to GIMP), Ch-8 (Introduction to Python) and Ch-9 (Internet Services) | | 24.02.25 | MON | Sanskrit | पाठ - 5 वृक्षः, पाठ- 8 सूक्ति सत्क्र., पाठ - 10 - कृतिका: कर्मवीरा:, पाठ - 11दशमः त्वम असि, पाठ - 12 विमानयानम रचयाम , पाठ - 13 अहह आः च, अपठित गद्याणं ,फलों के नाम, विलोम शब्द, गिनिती(1से 50 तक), शब्द रूप (पुष्प, बालक ) धातु रूप( पठ ,लिख , गम), चित्र वर्णन | | 01.03.25 | SAT | Science | Ch-9 Habitat of the Living, Ch-10 Animal and their movements, Ch-11 Measurments and Motion, Ch-12 Electricity and Circuits, Ch-13 Fun with Magnets, Ch-14 Light, Shadows and Reflections, Ch-15 Water and its Importance, Ch-16 Air around us, Ch-17 Garbage in, Garbage out | | 04.03.25 | TUE | English | Unseen passage *Textbook extract Supplementary and literature *Poetry extract, Unit 1: Who did patricks, Poem: Kite, Ch 4 An Indian American women in space, Poem: Beauty, Ch 7 Fair play, Ch 9 Desert animal, Ch.10 Banyan tree, Supplementary- Ch 1 A Tale of Two Birds, Ch 2 Friendly mongoose Ch. 4 Tansen, Ch 6 A wonder called sleep, Ch 7 A pact with son Grammar Ch 1 Sentence, Ch 6 Adjective and degree of comparison, Ch 8 Articles, Ch 9 Verb, Ch 11 Models, Ch 13 Present tense, Ch 16 Active and passive voice, Ch 18 Preposition, Ch 32 Letter writing, Ch 37 Essay writing, Ch 35 Diary writing | | 07.03.25 | FRI | Hindi | वसंत भाग-1 पाठ-12 संसार पुरुषक है, पाठ-14 लोकगीत, पाठ-15 नौकर, पाठ-16 उन के मार्ग में व्याकरण- अपठित गद्याण, लिंग, कारक, सर्वनाम, विशेषण, क्रिया, काल, अविकारी शब्द, अनुवेद लेखन. पत्र लेखन बाल राम कथा- सोने का हिस्सा, लंका विवाह, राम का राज्याभिषेक, सीता की खोज | | 12.03.25 | WED | Social Studies| History: Ch-5 Kingdoms, Kings and an Early Republic, Ch-6, New Questions and Ideas, Ch-7 from a Kingdom to an Empire, Ch-8 Villages, Towns and Trade, Ch-9 New Empires and Kingdoms, Ch-10 New Empires and Kingdoms Geograpy: Ch-4 Maps, Ch-5 Major Domains of the Earth, Ch-6 Our Country: India Political Science: Ch-5 Rural Livelihoods, Ch-6 Urban Livelihoods, Ch-7 Rural Administration, Ch-8 Urban Administration Map Work: Important mahajanapadas, Janapadas and cities(His:Ch-5), The mauryan Empire: showing the principle cities and some of the places where inscriptions were found(His: Ch-7), Showing important cities and kingdoms (His: Ch-9), The World: Continents and Oceans(Geo: Ch-5), Neighbouring countries, India physical (Mountain ranges, Mountain region, Plateau region, Plain region)(Geo: Ch-6) | **GENERAL INSTRUCTIONS:** * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17\textsuperscript{th}, 19\textsuperscript{th}, 20\textsuperscript{th}, 22\textsuperscript{nd}, 23\textsuperscript{rd}, 25\textsuperscript{th}, 26\textsuperscript{th}, 27\textsuperscript{th}, 28\textsuperscript{th} FEB, 2\textsuperscript{nd}, 3\textsuperscript{rd}, 5\textsuperscript{th}, 6\textsuperscript{th}, 8\textsuperscript{th} 9\textsuperscript{th}, 10\textsuperscript{th}, 11\textsuperscript{th} MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. **15 mins** prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is **PROHIBITED**. * Make sure you use the [RESTROOM](#) before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * **REPORT CARDS** of classes Pre-Nursery to IX and XI will be distributed on 22\textsuperscript{nd} March 2025 between 9:00 am to 11:00 am. * **DISTRIBUTION OF BOOKS**: 22\textsuperscript{nd} March (Nursery to 5\textsuperscript{th}), 23\textsuperscript{rd} March (6\textsuperscript{th} to 12\textsuperscript{th}). | DATE | DAY | SUBJECT | SYLLABUS | |------------|-----|------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 14.02.25 | FRI | Financial Literacy | Unit I: Teamwork, Unit:2 Introduction to Financial Literacy, Unit:3 Banking, Unit:4 : Security, Unit:5 Modes of Digital Payments card based Unit:6 Modes of Digital Payment biometric Based Unit:7 Modes of Digital Payments mobile based banking | | 18.02.25 | TUE | Mathematics | Ch-9 Comparing Quantities, Ch-10 Lines and AnglesCh-11 Triangle and it's properties, Ch-12 Congruence of Triangles, Ch-13 Constructions, Ch-14 Visualising Solid shapes, Ch-15 Symmetry, Ch-16 Perimeter and Area, Ch-17 Statistics, Chapter -18 Probability | | 21.02.25 | FRI | Computer | Ch-4 (Introduction to HTML5), Ch-5 (Introduction to Robotics), Ch-6 (More on CSS3), Ch-7 (More on Python), Ch-8 (Introduction to App Development) and Ch-9 (Cyber Threats and Security) | | 24.02.25 | MON | Sanskrit | पाठ - सुभाषितानि, त्रिवर्णःध्यजः, विवर्णवृत्तः, समवायो हीं दुर्जयः; विद्याधनम् , अमृत संस्कृतम्, लाल गीतम् अपि भैरव गद्याय, विलोमशब्द, परिश्चिप्यों के नाम, मिनती(से 50 तक), शब्द रूप (नदी, पित), धातु रूप(वर, कु, वस ), पत्र, अनुच्छेद | | 01.03.25 | SAT | Science | Ch7- Physical and chemical changes, Ch10-Respiration in organisms, Ch11-Transportation and excretion in organisms, Ch12-Reproduction in plants, Ch13-Motion and time, Ch15-Light, Ch16-Electric current and effects | | 04.03.25 | TUE | English | Unseen passage, Text book lit. and supplementary extract, Poetry extract Unit 1: Three question, Poem: The Squirrel, Unit 1 : The tiny teacher (Supplementary), Unit 4 – The Ashes that made tree Bloom, Poem: Chivy, Unit 4 : Chandni (Supplementary), Unit 5: Quality, Unit 5: The bear story (supplementary )Poem: Meadow surprise, Grammar: Unit 1: Verbs, Unit 2: *Pronoun *Adjectives *Formal letter Unit 3: Past tense, Unit 4 : Active and Passive voice Punctuation, Unit 5: Preposition *Notice writing, Unit 6: Clauses *Sentences *Email writing | | 07.03.25 | FRI | Hindi | बसंत भाग 2. पाठ-11 नीलकंठ, पाठ-12 भोर और बरखा, पाठ-13 वीर कुंवर सिंह, पाठ-14 संघर्ष के कारण मैं तुनकमिजाज हो गया था, पाठ 15-आश्रम का अनुगमानित व्यय, व्याकरण: संज्ञा, वचन, समास, सन्नाम, कारक, क्रिया, काल, अनुच्छेद लेखन, विज्ञापन लेखन बाल महाभारत- दवेश करने वाले का जी नहीं भरता, शास्त्र दूत श्रीकृष्ण, पाड़वों और कौरवों के सेनापति, भीम शर शाया पर, अभिमन्यु, युधिष्ठिर की चिता और कामना, पाड़वों का धूतरापु के प्रति व्यवहार, श्रीकृष्ण और युधिष्ठिर | | 12.03.25 | WED | Social Studies | Geography: Ch-3 Our Changing Earth, ch-4 Air, Ch-5 Water, Ch-6 Natural vegetation and wildlife, Ch-7 Human environment and settlement, Ch-8 Life in desert History: Ch-3 Delhi 12 to 15th century, Ch-4 the Mughals 16 to 17 century, Ch-5 tribes nomads and settle communities, Ch-6 Devotional path, Ch-7 The making of regional culture, Ch-8 18th century political formation Political Scienc: Ch-3 how the state government works, Ch-4 growing up as boys and girls, Ch-5 Women change the world, Ch-6 Understanding media, Ch-7 Market around us, Ch-8 A shirt in the market | **GENERAL INSTRUCTIONS:** * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17\textsuperscript{th}, 19\textsuperscript{th}, 20\textsuperscript{th}, 22\textsuperscript{nd}, 23\textsuperscript{rd}, 25\textsuperscript{th}, 26\textsuperscript{th}, 27\textsuperscript{th}, 28\textsuperscript{th} FEB, 2\textsuperscript{nd}, 3\textsuperscript{rd}, 5\textsuperscript{th}, 6\textsuperscript{th}, 8\textsuperscript{th}, 9\textsuperscript{th}, 10\textsuperscript{th}, 11\textsuperscript{th} MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. **15 mins** prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is **PROHIBITED**. * Make sure you use the **RESTROOM** before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * **REPORT CARDS** of classes Pre-Nursery to IX and XI will be distributed on 22\textsuperscript{nd} March 2025 between 9:00 am to 11:00 am. * **DISTRIBUTION OF BOOKS**: 22\textsuperscript{nd} March (Nursery to 5\textsuperscript{th}), 23\textsuperscript{rd} March (6\textsuperscript{th} to 12\textsuperscript{th}). | DATE | DAY | SUBJECT | SYLLABUS | |------------|-----|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 14.02.25 | FRI | Financial Literacy | Unit I: Teamwork, Unit:2 Introduction to Financial Literacy, Unit:3 Banking, Unit:4 : Security, Unit:5 Modes of Digital Payments card based Unit:6 Modes of Digital Payment biometric Based Unit:7 Modes of Digital Payments mobile based banking | | 18.02.25 | TUE | Mathematics | Ch-6 Algebraic Expression, Ch-7 Factorisation, Ch-8 Linear equation in one variable, Ch-9 Percentage and its application, Ch-10 Compound Interest, Ch-11 Direct and inverse variation, Ch-12 Understanding Quadrilaterals, Ch-15 Mensuration, Ch-16 Surface area and volume, Ch-17 Data Handling | | 21.02.25 | FRI | Computer | Ch-1 (Networking Concepts), Ch-5 (Introduction to Data Science), Ch-6 (Using Lists and Tables in HTML5), Ch-7 (Images, Links & Frames in HTML5), Ch-8 (Iterative Statements in Python) and Ch-9 (Cyber Ethics) | | 24.02.25 | MON | Sanskrit | पाठ 7 भारत जनता अध्ययन, पाठ 8 संसार सागरस्थ नायक, पाठ 9 सप्त भगविन्य, पाठ 10 नीति नवनीती, पाठ 11 सावित्रीबाई फुले, पाठ 12 कः रक्षति कः रक्षित, पाठ 13 द्वितीय शताब्दी भारतवर्षभूमि, पाठ 14 आयंभूः अपरित गद्याः, संधि विशेष, विलोम शब्द, गणित (1 से 50 तक), प्रश्न लेखन, अनुच्छेद | | 01.03.25 | SAT | Science | Ch2 World of microorganism, Ch4 Material: metal and non metals, Ch5 combustion flame and fuel, Ch8 Cells: Structure and function, Ch9 Reproduction in Humans and Animals, Ch10 Human Hormones and Adolescence, Ch12 Friction-a necessary evil, Ch13 Sound and noise, Ch14 Some Natural Phenomena, Ch15 Chemical Effects of Electricity, Ch16 Light-Reflection and Refraction | | 04.03.25 | TUE | English | Unseen passage *Textbook extract, Supplementary and literature, *Poetry extract Unit 1: The best Christmas present in the world, Poem: The ant and the cricket, Unit 1: How the camel got his hump (supplementary), Unit 3: Glimpses of past, Unit3: The Selfish Giant(supp), Unit 5: Summit within, Poem: School boy, Unit 5 Princess September(sup) Unit:7 Visit to combridge, Poem: On the grasshopper and the cricket, Unit 7: Jalebis, Unit 8: A short Monsoon diary, Unit:8: Ancient Education system, Grammar: Unit1:* Article * email writing, Unit 2: Subject and predicate *letter writing, Unit 3: model auxiliary Unit 5: past tense *Essay writing, Unit 7: Prepositions *conjunctions, Unit 8: Direct and indirect *active and passive voice | | 07.03.25 | FRI | Hindi | हिंदी वस्तु (लाख की चूहियाँ, बस की यात्रा, भगवान के डाकिये, स्पा निर्माण हुआ जाए, कबीर की साखियाँ, सुदमा चरित, जहाँ पहिया हैं, अकबरी लोटा, सुरदास के पद, पानी की कहानी, भारत की खंज (लाखा, खिस्ब घाटी सभ्यता, युगों का दौर नयी समस्याएं, तनाव) हिंदी व्याकरण पाठ 5- शब्द भंडार, 6- शब्द रचना, 11- वाच्य, 22- लिखित अभिव्यक्ति (प्रश्न लेखन विज्ञापन लेखन अनुच्छेद लेखन ईमेल लेखन) | | 12.03.25 | WED | Social Studies | History: Ch-5 When People Rebel 1857 and after, Ch-6 Civilising the “Native’, Educating the Nation, Ch-7 Women, Caste and Reform, Ch-8 The Making of the National Movement: 1870s-1947 Geography: Ch-4 Agriculture, Ch-5 Industries, Ch-6 Human Resources Political Science: Ch-5 Understanding Marginalization, Ch-6 Confronting Marginalization, Ch-7 Public Facilities, Ch-8 Law and Social Justice Map Work: Main Centres and Leaders of 1857 Revolt (His: Ch-5), Opened First Schools and Universities in India under Colonial Period (His: Ch-6), Major National Movement (His: Ch-8), Major Producer of Jute, Cotton, Tea, Coffee, Rice and Wheat (Geo: Ch-4) Density of Population in India (Geo: Ch-6) | **GENERAL INSTRUCTIONS:** * To carry the ‘ADMIT CARD’ is must least no entry will be provided. No further excuse will be entertained. * There will be preparatory leaves on 17th, 19th, 20th, 22nd, 23rd, 25th, 26th, 27th, 28th FEB, 2nd, 3rd, 5th, 6th, 8th, 9th, 10th, 11th MARCH 2025 * All the students are supposed to be seated on their respective seats at 8:45 am i.e. **15 mins** prior to exam timing. * Students should only carry the required (pen-blue and blank ball pen only, pencil, eraser, geometry box, water bottles) in the examination room. Mobile phone, calculator, watches or any electronic devices is **PROHIBITED**. * Make sure you use the **RESTROOM** before and after the examination. No personnel will be allowed for break for the first hour. * Keep your eyes on your own paper. Remember, copying is cheating! * **REPORT CARDS** of classes Pre-Nursery to IX and XI will be distributed on 22nd March 2025 between 9:00 am to 11:00 am. * **DISTRIBUTION OF BOOKS**: 22nd March (Nursery to 5th), 23rd March (6th to 12th).

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THE SQUAW Technical Report on Submerged Submarine Hull Target Department of the Navy Naval Ship Systems Command Washington, D.C. "Distribution Statement A: This document has been approved for public release and sale; its distribution is unlimited." THE SQUAW Technical Report on Submerged Submarine Hull Target Department of the Navy Naval Ship Systems Command Washington, D.C. This report was created and produced by POTOMAC RESEARCH, INCORPORATED under the supervision of MURPHY PACIFIC MARINE SALVAGE COMPANY FOREWORD This report describes COMSERVPAC underwater mooring operations and associated activities conducted in November of 1970 off the coast of San Diego, California, under the technical direction of the Supervisor of Salvage, Office of the Director of Diving, Salvage and Ocean Engineering Projects (Ships OOC), Naval Ship Systems Command. Materials, techniques, procedures, related activities, and results are described herein, as well as an overall assessment of the completed project. Information gathered, data compiled, and knowledge gained in connection with this undertaking are intended for use by those Commands engaged in similar activities or by those contemplating such operations. E. B. Mitchell Captain, USN Supervisor of Salvage, U.S. Navy ACKNOWLEDGEMENTS The combined efforts of many individuals and groups contributed to the successful completion of this project. Highly professional and competent talents in many fields and disciplines were enlisted to bear upon the complexities involved in this operation; and the smooth, efficient, and effective manner in which all phases of the work were carried out attests to those abilities. Captain Eugene B. Mitchell, Supervisor of Salvage, and his capable staff developed the basic mooring plan and coordinated the effort throughout. In this regard, Mr. Earl F. Lawrence, Senior Salvage Master in the Office of the Supervisor of Salvage, played an important role, bringing to the task at hand a broad and invaluable experience and a technical knowledge applicable to all functions of the project. Special recognition is given to the officers and men of the on-site mooring group who, by their superior and outstanding skills, assured successful realization of the objective within the contemplated time-frame. Vessels and their respective Commanding Officers assigned to the mooring group were: USS CHOWANOC (ATF 100), Lieutenant Commander P. W. Wolfgang; USS KALMIA (ATA 187), Lieutenant Commander F. R. Sanderlin; and USS MOLALA (ATF 106), Lieutenant K. C. Roberts. Able direction, leadership, and assistance in all aspects of active operations were provided by Commander Everhart, CINCPAC Fleet; Lieutenant Commander Carol Whitner, COMTRAPAC; Lieutenant Commander J. W. Warren, COMSERGRU ONE; and Commander Moore, Operations Officer, COMSERGRU ONE. For SQUAW preparation and rigging and the myriad of other details attended to prior to actual move to the target site, high praise is reserved for all concerned at the U. S. Public Works Center, Naval Station, San Diego, California, as well as for those who provided supporting technical and logistic services. Among such groups and their corresponding services were: Public Works Center, Naval Station, San Diego, California, Logistic Support; Pearl Harbor Naval Shipyard, Fabrication of Equipment; Naval Ship Undersea Research and Development Center, Instrumentation; Naval Ship Yard, Long Beach, California, Engineering Services; Naval Ship Undersea Research and Development Center, Oceanographic Surveys; and Naval Ship Yard, Long Beach, California, SQUAW Drydocking. Successful underwater mooring of a buoyant submarine hull 300 feet below the surface in water depths of 3,492 feet is accomplished in a seven-day period by U. S. Navy vessels and personnel. The hull, used as a sonar training target and identified as the SQUAW, is held in fixed position beneath the surface by means of four mooring legs which are attached to it and which extend to the ocean floor. A stationary condition is achieved and reasonable stability is assured by arranging the legs in such a manner that they resist vertical, horizontal, and lateral movements of the hull. Two inner vertical legs with heavy counterweights resting on the ocean bottom provide the necessary vertical restraint needed to prevent the hull from rising to the surface, while two outer legs--legs which assume an underwater catenary contour configuration--attached to the bow and stern and securely anchored to the bottom restrain horizontal movement. An evaluation of the results of the mooring shows that all design specifications pertinent to the project were met. It is estimated that the SQUAW will remain in its present position from five to ten years, barring premature failure of two or more legs or accidental damage to the structure proper, in which event the hull will overcome any remaining restraints imposed on it and will rise to the surface. # CONTENTS | Section | Page | |------------------------------------------------------------------------|------| | FOREWORD | iii | | ACKNOWLEDGEMENTS | iv | | ABSTRACT | v | | SECTION 1 – – INTRODUCTION | 1 | | BACKGROUND | 1 | | THE CURRENT REPORT | 1 | | SECTION 2 – – THE MOORING SYSTEM | 3 | | GENERAL CONSIDERATIONS | 3 | | THE HULL | 3 | | MOORING CONFIGURATION | 3 | | MOORING MATERIALS | 3 | | SECTION 3 – – DESIGN CALCULATIONS | 7 | | RESTRICTIONS | 7 | | BOW AND STERN LEGS | 7 | | BALLAST AND TRIM | 10 | | SECTION 4 – – THE MOORING OPERATION | 17 | | PREPARATIONS | 17 | | THE OPERATIONAL PLAN | 17 | | THE PHASING PROCESS | 17 | | SPECIFIC PROCEDURAL RECOMMENDATIONS | 46 | | INSTRUMENTATION AND OTHER AIDS | 46 | | MOORING PROBLEMS | 47 | | SECTION 5 – – CONCLUSIONS AND RECOMMENDATIONS | 48 | | REALIZATION OF OBJECTIVE | 48 | | RECOMMENDATIONS | 48 | | CONCLUSIONS | 48 | | Figure No. | Title | Page No. | |-----------|----------------------------------------------------------------------|----------| | Frontispiece | SQUAW, the model experimental submarine hull, being readied for mooring operations at the Naval Ship Yard, Long Beach, California. | | | 2-1 | Profile View of the SQUAW | 2 | | 2-2 | Surface and Submerged Mooring Configuration | 4 | | 2-3 | Leg Components | 5 | | 3-1 | Catenary Leg Configuration | 6 | | 3-2 | Freeboard Measurement | 12 | | 3-3 | Subsurface Mooring Condition | 14 | | 3-4 | Form Curves | 15 | | 4-1 | Loading of ATF # 1 (CHOWANOC) | 18 | | 4-2 | Loading of ATF # 2 (MOLALA) | 19 | | 4-3 | Loading of ATA (KALMIA) | 19 | | 4-4 | Lowering Leg A-1 | 24 | | 4-5 | Lowering Leg A-2 | 30 | | 4-6 | Lowering Leg B-1 | 34 | | 4-7 | Raising Leg B-1 and Cutting for Proper Depth | 34 | | 4-8 | Mooring Legs Being Transferred to SQUAW | 38 | | 4-9 | SQUAW Configuration Before Submerging | 42 | | 4-10 | Final Configuration After Removal of Surface Buoys | 45 | | Photo No. | Title | Page No. | |-----------|----------------------------------------------------------------------|----------| | 1 | SQUAW in Drydock | 16 | | 2 | Two-inch Tow Wire on Power Reels | 20 | | 3 | Mark-4 Buoys Ready for Launching | 22 | | 4 | Short Shot of Chain Through Bull Nose | 23 | | 5 | Wire Rope Rigged, Coiled, and Lashed | 23 | | Photo No. | Title | Page No. | |----------|----------------------------------------------------------------------|----------| | 6 | Surge Buoys Being Launched | 25 | | 7 | Surge Buoys Being Retrieved | 25 | | 8 | Crown Wire Being Made Up to Eells Anchor | 26 | | 9 | CHOWANOC Lowering Anchor Over Side | 26 | | 10 | CHOWANOC Lowering Chain Over Side | 27 | | 11 | CHOWANOC and KALMIA Paying Out Wires | 28 | | 12 | UDT Readying Wire Cutters | 28 | | 13 | UDT Placing Cutters | 29 | | 14 | MOLALA Picking Up Lazy Pendant From # 2 Surge Buoy | 31 | | 15 | CHOWANOC Passing Leg A-2 Crown Wire to MOLALA | 32 | | 16 | Tensiometers Being Installed on Legs | 33 | | 17 | MOLALA Attaching 60-foot Pendant to Surge Buoy | 36 | | 18 | CHOWANOC Passing Anchor End of Leg B-1 to MOLALA | 36 | | 19 | CHOWANOC’s Small Boat with Buoy in Tow | 37 | | 20 | SQUAW Being Readied for Mooring | 39 | | 21 | MOLALA Assisting in Rigging Surge Buoys | 40 | | 22 | SQUAW, Mooring Legs in Place, Ready to Submerge | 41 | | 23 | SQUAW, Partially Submerged in First Mooring Attempt | 43 | | 24 | Mark-4 Buoys Identifying Location of SQUAW Now Moored at 300-foot Depth | 44 | | 25 | Crown Buoys Being Removed | 44 | | Table No. | Title | Page No. | |-----------|----------------------------------------------------------------------|----------| | 3-1 | Calculation of Deballasting Required | 10 | | 3-2 | Calculation of Submerged Mooring Condition | 11 | | 3-3 | Submerged Condition Loading Data | 11 | | 3-4 | Surface Mooring Condition | 12 | | 3-5 | Trim Tank Capacities | 13 | Frontispiece. SQUAW, the model experimental submarine hull, being readied for mooring operations at the Naval Ship Yard, Long Beach, California. SECTION 1 INTRODUCTION Background. The SQUAW, a model experimental submarine hull, has been used in the past by the Navy both as a structural target in underwater atomic tests (Operations WIGWAM and HARDTACK) and as a sonar target off the Pacific Coast. Since 1959, the hull has been employed exclusively as a sonar training device by COMTRAPAC at two separate locations off the coast of California. From 1959 to 1964 the SQUAW was submerged 200 feet below the surface of the water in an area southwest of San Diego, California. At the end of that time it unexpectedly surfaced when the stern pad eye holding the stern vertical leg failed. In December of 1965 the hull was remoored 20 miles west of Point Loma, California, but again suddenly resurfaced in 1970. Immediate inspection of the hull following this event indicated that leg failures were the principal cause in this case also. At this point, remooring was again considered, chiefly on the basis that the hull was not only important but also essential to submarine and other Navy training programs being carried out in that area. Subsequent favorable discussions among various groups and individuals interested in this matter led to a decision by the Supervisor of Salvage, Office of the Director of Diving, Salvage and Ocean Engineering Projects (Ships OOC) to proceed with the proposed effort. The Supervisor of Salvage then prepared a mooring plan and a materials list covering the entire operation. In September of 1970, representatives from agencies involved in the proposed undertaking, and others, met in San Diego, California, for a complete and thorough review of the plan. Modifications and suggestions were incorporated at that time which eventually led to finalization and approval of the proposal. The Current Report. Information contained in this report describes pre-operational and operational conduct of the project. A description of the SQUAW, the mooring system, design calculations, preparations, on-site operations, results, and conclusions are included as part of the overall presentation of all phases of the endeavor. Figure 2-1 Profile View of the SQUAW (Note: MBT indicates Main Ballast Tank) SECTION 2 THE MOORING SYSTEM General Considerations. Mooring design and material specifications were governed by established prerequisite conditions (noted below), and, furthermore, by equipment and storage limitations aboard the ships involved in the on-site operation. To reduce costs, the Supervisor of Salvage recommended that available surplus mooring materials be used where possible. On the basis of past experience, which showed that materials will deteriorate to the extent that eventual failure will occur, submerged life expectancy was set at from five to ten years. The electronic package installed on the hull for sonar training purposes was also estimated to last about five years. The basic requirements set forth were: 1. Site location-----------------32°51' N Latitude 117°44' W Longitude 2. Site water depth-----------3,492 feet 3. Submerged depth of hull---300 feet The Hull. Figure 2-1 presents a profile view of the SQUAW, its structural units, and the applicable dimensions. Buoyancy is furnished by the pressure hull and adjustments are made by the lead keel and the trim tanks which are filled with fresh water. The five main ballast tanks (MBT'S) are used to control ascent and descent movements of the hull. The four pad eyes which are welded to the hull serve to connect the mooring legs. Mooring Configuration. Surface and submerged positions of the SQUAW and the relative arrangement of the four legs at each position are shown in Figure 2-2. Note that the outer legs are identified as legs A-1 and A-2, and the inner legs as B-1 and B-2. Legs are attached to the hull before it is submerged. The SQUAW is then sunk to its design depth by flooding the ballast tanks with salt water. Upward forces are restrained and level trim is assured at the fixed 300-foot level by the two vertical counterweights, and horizontal movement is restrained by the two anchored catenary legs which are attached to the bow and stern of the hull. Mooring Materials. A list of materials and leg composition details are incorporated in Figure 2-3. Anchor chain lengths permit leg connections to be made at the surface. Chain leaders, which resist destructive hull motions, connect each leg to the hull. Wire rope pendants connected to ground rings at the chain-wire-rope juncture serve to raise and lower the legs during the installation process. At the submerged 300-foot level, the wire rope remains clear of the ocean bottom. Figure 2-2 Surface and Submerged Mooring Configuration ### Materials List | Piece No. | Description | Amount | Spare | Total | |-----------|--------------------------------------------------|--------|-------|-------| | 1 | 2" bolt pin shackle | 38 | 6 | 44 | | 2 | 1-1/4" x 294 ft w/ @ each end | 2 | - | 2 | | 3 | 1-1/4" detachable link | 14 | 2 | 16 | | 4 | 1-1/2" x 50 ft stud chain | 22 | 2 | 24 | | 5 | 2" Ø x 7-1/2" I.D. ring | 4 | 2 | 6 | | 6 | 1-1/4" x 500 wire rope w/ @ each end | 4 | - | 4 | | 7 | 1-1/4" x 3000 ft wire rope w/ @ each end | 4 | 1 | 5 | | 8 | 1-1/4" wire rope closed socket | 32 | 4 | 36 | | 9 | Master Swivel | - | - | 4 | | 10 | 1-1/4" x 2850 ft w/ @ | 2 | - | 2 | | 11 | 1-1/4" x 2850 ft w/ @ each end | 2 | - | 2 | | 12 | 1-1/4" wire rope open socket | 4 | 1 | 5 | | 13 | 6000 lb clump | 2 | - | 2 | | 14 | 8000 lb EelI | 2 | - | 2 | | 15 | Buried marking mark 4 | 4 | - | 4 | | 16 | Pear shape anchor shackle | - | - | 2 | | 17 | 18,330 lb clump | 2 | - | 2 | | 18 | 1-1/2" detachable link | 12 | 2 | 14 | | 19 | 1-1/4" x 1000 wire rope w/ @ | 2 | - | 2 | | 20 | 1-1/4" x 50 wire rope w/ @ each end | 2 | - | 2 | --- **Figure 2-3** *Leg Components* Figure 3-1 Catenary Leg Configuration SECTION 3 DESIGN CALCULATIONS Restrictions. Mooring design calculations were directed toward determining: 1. Ballast and trim 2. Leg composition and configuration 3. Acceptable tolerances under design conditions Computations were affected by such factors as ship storage capacities, ship equipment capabilities, the physical characteristics of the ground tackle, the provision that wire-rope noncontact with the ocean bottom be maintained at all times, and more specifically, by the maximum length and tension of the wire-rope and the parallel force exerted at the anchor shaft at the ocean bottom. Bow and Stern Legs. Since the effects of ocean currents on the moorings were of negligible magnitude, the outer mooring legs assumed the configuration of a weighted catenary. See Figure 3-1 for leg contour configuration. The general equations that relate the depth (Y), the span (X), and the scope (S), are given by \[ Y = \frac{H}{W} (\sec \phi_1 - \sec \phi_o) \] (3-1) \[ X = \frac{H}{W} \ln \left[ \frac{\tan \phi_1 + \sec \phi_1}{\tan \phi_o + \sec \phi_o} \right] \] (3-2) \[ S = \frac{H}{W} (\tan \phi_1 - \tan \phi_o) \] (3-3) where: H is the horizontal component of tension W is the leg weight in water per unit length $ \phi_o $ is the lower angle with horizontal $ \phi_1 $ is the upper angle with horizontal An important characteristic of the catenary is that $H$ is constant at any point in the scope. The tension ($T$) at any point ($P$) is $$T_P = H \sec \phi_P$$ \hspace{1cm} (3-4) and the vertical force ($V_P$) is $$V_P = H \tan \phi_P$$ \hspace{1cm} (3-5) $$V_P = T_P \sin \phi_P$$ \hspace{1cm} (3-6) The following formulas are developed from the previous equations when applied to the compound catenary in the chain-wire-rope leg on a level bottom (i.e., $\phi_0 = 0$). Referring to Figure 3-1: (Note: In equations 3-7, 3-8, and 3-9, brackets designated number one (1) refer to the chain portion of the leg; number two (2) brackets refer to wire portion.) $$y = \left[ \frac{H}{W_c} (\sec \phi_1 - 1) \right]_1$$ \hspace{1cm} (3-7) $$+ \left[ \frac{H}{W_r} (\sec \phi_2 - \sec \phi_1) \right]_2$$ $$x = \left[ x_o + \frac{H}{W_c} \ln (\tan \phi_1 + \sec \phi_1) \right]_1$$ \hspace{1cm} (3-8) $$+ \left[ \frac{H}{W_r} \ln \left[ \frac{\tan \phi_2 + \sec \phi_2}{\tan \phi_1 + \sec \phi_1} \right] \right]_2$$ \[ s = \left[ x_o + \frac{H}{W_c} (\tan \phi_1) \right]_1 \] \[ + \left[ \frac{H}{W_r} (\tan \phi_2 - \tan \phi_1) \right]_2 \] \[ T_2 = H \sec \phi_2 \] \[ V_2 = H \tan \phi_2 = T_2 \sin \phi_2 \] where: - $ x_o $ is the chain scope lying on the bottom - $ \phi_1 $ is the cable angle with horizontal at the chain-wire rope junction - $ \phi_2 $ is the cable angle with horizontal at the upper end - $ W_c $ is the weight of chain per unit length - $ W_r $ is the weight of wire-rope per unit length - $ T_2 $ is the tension at the upper end - $ H $ is the horizontal component of tension - $ V_2 $ is the vertical component of tension at the upper end The approach to a solution of equations 3-7 through 3-11 is to select values of $ H $ at the surface and subsurface positions. A unique chain-wire rope scope is thus obtained. However, the solution obtained may not necessarily be acceptable, since it may exceed the mooring restrictions. In this case, a new set of values for $ H $ is selected and the process is repeated. Vertical forces are obtained by summing the weight of the chain and wire-rope in the catenary. Tension is obtained by vector addition of vertical and horizontal forces. Ballast and Trim. The required net buoyancy of the hull (surface and subsurface) was computed by summing the vertical reactive forces at these positions. Vertical rigidity at the submerged position was achieved by exerting an upward force of 5.46 tons* on the vertical legs. Design reactive forces (deballasting required, submerged mooring condition, submerged condition loading data, and surface mooring condition) were calculated as shown in Tables 3-1, 3-2, 3-3, and 3-4. Trim tank capacities are presented in Table 3-5. At the surface position, forces indicated the buoyancy that was needed to bring the SQUAW awash. An additional amount of buoyancy was required for a working freeboard. With reference to the calculations indicated in the following tables, all ballast tanks were assumed to be 100% full before deballasting. Weight increase due to "water-logged" hull, painting modifications, and to alterations were not included. Forward and after trim tank loads (1965 loadings) were adjusted in order to effect an even trim of the vessel. Tank capacity tables for these tanks were used to determine the necessary loading adjustment for proper trim. Table 3-1 Calculation of Deballasting Required | Item | Weight (tons) | Remarks | |-------------------------------------------|---------------|------------------| | Light ship | 409.55 | 1965 test | | Five (5) main ballast tanks | | | | (salt water) 100% | 246.38 | 1965 loads | | Forward trim tank (fresh water) | 10.15 | 1965 loads | | After trim tank (fresh water) | 5.13 | 1965 loads | | Two (2) anchor legs | 20.98 | 1970 requirement | | Two (2) counterweight legs | 10.20 | 1970 requirement | | TOTAL | 702.39 | | | Submerged buoyancy | -700.66 | Form curves | | OVERWEIGHT | 1.73 | | | Reserve buoyancy | + 8.94 * | | | DEBALLAST | 10.67 | | *Final corrected figure (see mooring problem 4, page 47) Table 3-2 Calculation of Submerged Mooring Condition | Item | Weight (tons) | Remarks | |-------------------------------------------|---------------|--------------------------| | Light ship | 409.55 | 1965 test | | Five (5) main ballast tanks | 246.38 | 1965 test | | Forward trim tank | (slack) | 1970 requirement | | After trim tank | 5.13 | 1965 test | | Two (2) anchor legs | 20.98 | 1970 mooring | | Two (2) counterweight legs | 10.20 | 1970 mooring | | **TOTAL SUBMERGED WEIGHT** | 692.24 | | | Submerged displacement | 700.66 | | | **RESERVE BUOYANCY** | 8.42* | | *Corrected buoyancy 5.46 tons (see mooring problem 4, page 47) Table 3-3 Submerged Condition Loading Data | Item | Gallons | Weight (tons) | Remarks | |-------------------------------------------|---------|---------------|--------------------------| | A. Trim tanks (fresh water) | | | | | After trim tank | 1382 | 5.13 | Fresh water at 269.28 G/T | | | | | SDG: 3 ft-l in | | B. Main ballast tanks | | | Salt water at 261.8 G/T | | No. 1, 100% | 12574 | 48.03 | | | No. 2, 100% | 18288 | 69.85 | | | No. 3, 100% | 11428 | 43.65 | | | No. 4, 100% | 12574 | 48.03 | | | No. 5, 100% | 9636 | 36.81 | | | **TOTAL WEIGHT** | --- | 246.37 | | | C. Two anchor legs | --- | 20.98 | Two (2) at 23,500# each | | Two (2) counterweight legs | --- | 10.20 | Two (2) at 11,420# each | | **TOTAL WEIGHT** | --- | 31.18 | | ### Table 3-5 **Trim Tank Capacities** #### Forward Trim Tank (FR 2-14½ Ø) | CG of Vol Above Bottom of Keel (ft) | Feet | Gallons Corresponding to Each Inch of Sounding | |-------------------------------------|------|-----------------------------------------------| | | | 0" | 1" | 2" | 3" | 4" | 5" | 6" | 7" | 8" | 9" | 10" | 11" | | 3.20 | 0 | 80 | 94 | 109 | 123 | 137 | 152 | 166 | 180 | 195 | 209 | 223 | 238 | | 3.65 | 1 | 252 | 289 | 327 | 364 | 401 | 439 | 476 | 513 | 551 | 588 | 625 | 663 | | 4.53 | 2 | 700 | 765 | 830 | 895 | 960 | 1128 | 1295 | 1463 | 1630 | 1798 | 1965 | 2133 | | 5.45 | 3 | 2300 | 2473 | 2646 | 2819 | 2992 | 3165 | 3339 | 3512 | 3685 | 3858 | 4031 | 4204 | | 6.14 | 4 | 4377 | 4550 | 4273 | 4896 | 5069 | 5242 | 5415 | 5588 | 5761 | 5934 | 6107 | 6280 | | 6.83 | 5 | 6453 | 6626 | 6799 | 6972 | 7145 | 7318 | 7492 | 7665 | 7838 | 8011 | 8184 | 8357 | | 7.52 | 6 | 8530 | 8693 | 8856 | 9019 | 9183 | 9346 | 9509 | | | | | | SNDG at 100% = 6'-6 7/8" = 9672 CG = 7.92' #### After Trim Tank (FR 38½-51) | CG of Vol Above Bottom of Keel (ft) | Feet | Gallons Corresponding to Each Inch of Sounding | |-------------------------------------|------|-----------------------------------------------| | | | 0" | 1" | 2" | 3" | 4" | 5" | 6" | 7" | 8" | 9" | 10" | 11" | | 3.17 | 0 | 73 | 85 | 97 | 109 | 121 | 133 | 145 | 157 | 169 | 181 | 193 | 205 | | 3.63 | 1 | 217 | 253 | 289 | 325 | 361 | 397 | 434 | 470 | 506 | 542 | 578 | 614 | | 4.44 | 2 | 650 | 708 | 765 | 823 | 880 | 918 | 955 | 993 | 1030 | 1068 | 1105 | 1143 | | 5.41 | 3 | 1180 | 1382 | 1583 | 1785 | 1987 | 2188 | 2390 | 2592 | 2793 | 2950 | 3197 | 3398 | | 6.10 | 4 | 3600 | 3801 | 4003 | 4205 | 4407 | 4608 | 4810 | 5012 | 5213 | 5415 | 5617 | 5818 | | 6.79 | 5 | 6020 | 6222 | 6423 | 6625 | 6827 | 7028 | 7230 | 7432 | 7633 | 7835 | 8037 | 8238 | | 7.50 | 6 | 8440 | 8606 | 8771 | 8937 | 9103 | 9269 | 9434 | 9600 | | | | | SNDG at 100% = 9672 CG = 7.92' Total surface displacement and reserve buoyancy were calculated as shown in Table 3-4 below. Refer to Figure 3-2 for sketch of freeboard measurement. The subsurface mooring condition of the SQUAW is illustrated in Figure 3-3, and the form curves appertaining thereto in Figure 3-4. Table 3-4 Surface Mooring Condition | Item | Weight (tons) | Remarks | |----------------------------------------------------------------------|---------------|--------------------------| | A. Surface mooring condition | | | | Light ship | 409.55 | | | Main ballast tanks 1, 3, and 4, 100% full | 139.71 | | | Two (2) anchor legs | 20.98 | 1970 requirement | | Two (2) counterweight legs | 10.20 | 1970 requirement | | Two (2) counterweights at 18330# each | 16.37 | 1970 requirement | | After trim tank | 5.13 | 1965 test | | TOTAL SURFACE DISPLACEMENT | 601.94 | | | Mean draft (15.01 ft + 4.56 ft) | 19.57 ft | Form curves | | Draft awash | 23.04 ft | | | Freeboard | 3.49 ft | | | Freeboard | 3.5 ft | See Figure 3-2 | | B. Reserve buoyancy | | | | Total displacement | 700.66 | | | Surface displacement | 601.94 | | | RESERVE BUOYANCY | 98.72 | | Figure 3-2 Freeboard Measurement Figure 3-3 Subsurface Mooring Condition REFERENCE LINE FOR CURVES IS BOTTOM OF KEEL, 4' - 6 3/4" ABV. KEEL BALLAST. REFERENCE LINE OF DRAFT MARKS IS OF KEEL BALLAST EXTENDED. LONGITUDINAL CENTER OF BUOYANCY TONS PER INCH OF IMMERSION DISPLACEMENT IN SALT WATER WITHOUT BALLAST DISPLACEMENT IN SALT WATER WITH BALLAST LONGITUDINAL CENTER OF FLOTATION TRANSVERSE METACENTER WITH BALLAST (KM) VERTICAL CENTER OF BUOYANCY WITH BALLAST Figure 3-4 Form Curves Photo # 1 SQUAW in Drydock SECTION 4 THE MOORING OPERATION Preparations. The magnitude and complexity of the contemplated project demanded extensive as well as intensive planning and preparation prior to on-site installation of the hull. Important matters such as funding; obtaining materials and equipment; loading and scheduling ships; procuring required instrumentation (tensionmeters and footage indicators, depth recorders, surveying equipment) and securing the specialized personnel needed to monitor measurements and record data; drydocking the SQUAW for repairs, and ballasting and trimming it to the specified design conditions; and coordinating all aspects of the operation were completely and thoroughly considered and discussed. All actions taken in this regard were directed toward and pointed to a smooth operational performance during the entire activity and to a successful achievement of the objective. The Operational Plan. Operations were launched from the U. S. Naval Station, San Diego, California, and mooring was effected by proceeding through eight distinct phases (graphically illustrated in Figures 4-1 through 4-10) as indicated below. | Phase | Activity | |-------|----------| | 1 | Load ships | | 2 | Lower leg A-1 | | 3 | Lower leg A-2 | | 4 | Lower leg B-2; measure and cut for depth | | 5 | Lower leg B-1 | | 6 | Transfer all legs to SQUAW | | 7 | Flood ballast tanks and correct catenary | | 8 | Remove surface buoys | Procedures applicable to each phase were implemented by following a "sequence of events" which established the orderly, successive step-by-step actions to be taken by ships and personnel. Such scheduling, of course, did not preclude the use of initiative by officers and men involved if, during the operation, unexpected or unusual circumstances, conditions, or occurrences forced departures or deviations from the prescribed standards, specifications, or routine set forth. The Phasing Process. All details and activities relative to ship movements, personnel assignments, and equipment readiness were coordinated so that a smooth, steady, and uninterrupted overall operation would be assured within the planned time-frame. Each phase was designed to succeed the preceding one in a merging fashion. PHASE 1 -- LOAD SHIPS (Note: Refer to Figures 4-1, 4-2, and 4-3 for illustrations of location and arrangement of materials and equipment on each of the three ships actively involved in the mooring operation prior to their departure from port. Also refer to the "Materials List" inserts for easy identification of "piece numbers" noted in the description of procedures which follows.) Figure 4-1 Loading of ATF # 1 (CHOWANOC) Figure 4-2 Loading of ATF #2 (MOLALA) Figure 4-3 Loading of ATA (KALMIA) Loading of each ship and rigging of the SQUAW were accomplished in the following manner: **ATF #1 (CHOWANOC)** 1. Two-inch two wire from drum and wire from wing drums were removed and stored on power reels. (Photo #2) ![Photo # 2](image) *Two-inch Tow Wire on Power Reels* 2. Loaded leg A-1 (pieces 6 through 14) and stored pieces 6, 1, 5, 10, and 11 on towing drum in that order. Stored eight pieces of number 4 on deck and secured and lashed pieces 13 and 14 over the side ready for release. 3. Loaded leg A-2 crown wire and buoy pieces 7, 15, 19, and 20. Stored pieces 7, 19, and 20 on wing drum in that order. When leg A-1 is layed, leg A-2 crown wire is to be transferred from wing drum to empty A-1 towing drum. 4. Loaded Mark 2 buoy (not listed in "Materials List") to secure bitter end of leg A-1. **ATF #2 (MOLALA)** 1. Two-inch tow wire from drum and wire from wing drum were removed and stored on power reels. 2. Loaded leg A-2 (pieces 6 through 14) and stored pieces 6, 1, 5, 10, and 11 on towing drum in that order. Stored eight pieces of number 4 on deck. Secured and lashed pieces 13 and 14 over the side ready for release. 3. Loaded legs B-1 and B-2 by securing and lashing piece 17 to quarter bitts ready for lowering (done both port and starboard sides). Stored pieces 7 and 6 on wing drums leg B-1 starboard and leg B-2 port). 4. When leg A-2 is layed, leg B-1 will be transferred from wing drum to empty leg A-2 towing drum ready for lowering. When leg B-1 is removed, leg B-2 will be transferred from wing drum to empty leg B-1 towing drum for lowering. ### Materials List | Piece No. | Description | Amount | Spare | Total | |-----------|--------------------------------------------------|--------|-------|-------| | 1 | 2" bolt pin shackle | 38 | 6 | 44 | | 2 | 1-1/4" x 294 ft w/(8) each end | 2 | - | 2 | | 3 | 1-3/4" detachable link | 14 | 2 | 16 | | 4 | 1-1/2" x 90 ft stud chain | 22 | 2 | 24 | | 5 | 2" Ø x 7-1/2" I.D. ring | 4 | 2 | 6 | | 6 | 1-1/4" x 500 wire rope w/(8) each end | 4 | - | 4 | | 7 | 1-1/4" x 3000 ft wire rope w/(8) each end | 4 | 1 | 5 | | 8 | 1-1/4" wire rope closed socket | 32 | 4 | 36 | | 9 | Miller Swivel | - | - | 4 | | 10 | 1-1/4" x 2850 ft w/(8) (12) | 2 | - | 2 | | 11 | 1-1/4" x 2850 ft w/(8) each end | 2 | - | 2 | | 12 | 1-1/4" wire rope open socket | 4 | 1 | 5 | | 13 | 6000 lb clump | 2 | - | 2 | | 14 | 8000 lb Eell | 2 | - | 2 | | 15 | Buoy, mooring mark 4 | 4 | - | 4 | | 16 | Pear shape anchor shackle | - | - | 2 | | 17 | 18,330 lb clump | 2 | - | 2 | | 18 | 1-1/2" detachable link | 12 | 2 | 14 | | 19 | 1-1/4" x 1000 wire rope w/(8) (12) | 2 | - | 2 | | 20 | 1-1/4" x 50 wire rope w/(8) each end | 2 | - | 2 | ATA (KALMIA) 1. Two-inch towing wire from drum was removed and stored on power reel. 2. Loaded leg A-1 crown wire on towing drum starting with pieces 20, 17, and 19. Faked out piece 19 on deck. Loaded piece 15 on deck ready for attaching. 3. Loaded 1,000-pound clump, 4,000 feet of 4-1/2-inch nylon, and marker buoy on deck. 4. Loaded two pieces of number 15 on deck on skids for launching without lifting. (Photo #3) Photo # 3 Mark-4 Buoys Ready for Launching 1. Made fast all pieces number 4 and made fast lower ends on deck. Made up short shot of chain through bull nose for the tow line. (Photo #4) 2. Rigged with fender (removed before flooding). 3. Rigged, coiled, and lashed pieces number 2 before getting underway. (Photo #5) Photo #4 Short Shot of Chain Through Bull Nose Photo #5 Wire Rope Rigged, Coiled, and Lashed Figure 4-4 Lowering Leg A-1 PHASE 2 -- LOWER LEG A-1 1. KALMIA departed for operations area and on arrival laid positioning buoy and made fathometer survey. 2. CHOWANOC and MOLALA arrived the following day and layed leg A-1 (see Figure 4-4). 3. Operational movement proceeded as follows: (A) CHOWANOC kept in vicinity of position buoy. (B) KALMIA closed CHOWANOC and launched two surge buoys piece 15. (Photo #6) (C) CHOWANOC retrieved surge buoys and brought them alongside. (Photo #7) (D) KALMIA passed messenger to CHOWANOC and payed out crown wire to CHOWANOC. Photo # 6 Surge Buoys Being Launched Photo # 7 Surge Buoys Being Retrieved (E) CHOWANOC made up crown wire to Eells anchor. (Photo #8) (F) KALMIA payed out crown wire to about 1,000 feet. (G) CHOWANOC shackled surge buoy pendant to Eells anchor and lowered anchor over side (Photo #8) until buoy supported weight of anchor. Photo # 8 Crown Wire Being Made up to Eells Anchor Photo # 9 CHOWANOC Lowering Anchor over Side (H) CHOWANOC secured nylon distance line to buoy. (I) CHOWANOC lowered three shots of chain over side. (Photo #10) (J) CHOWANOC secured wire pendant from #2 surge buoy to 6,000-pound clump. (K) CHOWANOC secured 100-foot distance line to #2 surge buoy. (L) CHOWANOC lowered 6,000-pound clump over side until buoy supported its weight. (M) CHOWANOC let go surge buoy, payed out five shots of chain, and transferred weight of chain to towing drum wire. Photo # 10 CHOWANOC Lowering Chain over Side (N) CHOWANOC station kept and payed out 5,700 feet of wire and KALMIA payed out 4,000 feet of crown wire (both wires payed out to their full length). (Photo #11) (O) KALMIA put boat in water and secured nylon line to #1 surge buoy. (P) UDT personnel readied wire cutters. (Photo #12) Photo # 11 CHOWANOC and KALMIA Paying Out Wires Photo # 12 UDT Readying Wire Cutters (Q) KALMIA took station 4,000 feet upwind from CHOWANOC. (R) UDT placed cutters and fired. (Photo #13) Anchor leg settled to bottom and KALMIA retrieved both surge buoys, brought buoys alongside, and stretched out anchor and clump. (S) KALMIA secured crown buoy to crown wire and let crown buoy go into water. (T) KALMIA delivered surge buoys to CHOWANOC. (U) CHOWANOC took one buoy, secured it to ring of anchor leg (piece 5), and slacked off wire until surge buoy supported bitter end of anchor leg. (V) CHOWANOC attached lazy pendant of #2 surge buoy to #1 Mark-4 buoy and let them ride free. (W) KALMIA remained in area and assisted until moor was set. (X) KALMIA returned to port and picked up SQUAW and surge buoys (piece 15). Figure 4-5 Lowering Leg A-2 PHASE 3 -- LOWER LEG A-2 1. CHOWANOC and MOLALA layed leg A-2 as shown in Figure 4-5. 2. Operations proceeded as follows: (A) MOLALA picked up lazy pendant from #2 surge buoy to her bow chock until piece 5 (big ring) was just outside of gunwale. (Photo #14) Photo # 14 MOLALA Picking up Lazy Pendant from # 2 Surge Buoy (B) MOLALA secured both surge buoys alongside. (C) CHOWANOC passed leg A-2 crown wire to MOLALA. (Photograph #15) Photo # 15 CHOWANOC Passing Leg A-2 Crown Wire to MOLALA --AT THIS POINT, REPEAT STEPS TAKEN IN PHASE 2, 3(A) THROUGH 3(W), WITH THE CHOWANOC TAKING THE PLACE OF THE KALMIA IN THIS PHASE-- (D) CHOWANOC and MOLALA installed tensiometers in legs. (Photo #16) Photo # 16 Tensiometers Being Installed on Legs (E) CHOWANOC went downwind heading and took a strain. (F) CHOWANOC observed tensiometer readings until leg A-2 was on bottom. Figure 4-6 Lowering Leg B-1 Figure 4-7 Raising Leg B-1 and Cutting for Proper Depth PHASE 4 -- LOWER LEG B-2; MEASURE AND CUT FOR DEPTH 1. MOLALA lowered leg B-1 and made final depth calculation for cutting SQUAW's chain pendants to proper length for both legs B-1 and B-2. (See Figures 4-6 and 4-7.) 2. Operations proceeded as follows: (A) Pieces 9, 4, and 17 were attached to leg B-1 and cable readout was placed on leg B-1. (B) Lowering procedures began, but were interrupted by a wire mishap (see Mooring Problem #3, page 47). Operational method was revised (see Figure 4-6) to similar lowering plan used for legs A-1 and A-2, and leg B-2 was used in lieu of leg B-1. (C) A 60-foot pendant was attached to the surge buoy (piece 15) and the 18,000-pound clump (piece 17) was attached to the pendant. Leg B-2 was attached to the clump. (D) Clump was lowered until buoy supported the weight. (E) Buoy was floated forward to the bow and leg B-2 was payed out. (F) UDT personnel placed cutters on pendant and fired, allowing leg to settle on bottom. (G) Leg B-2 was measured. SQUAW chain (piece 4) cut for placing on the SQUAW. Leg B-2 was secured to deck. PHASE 5 -- LOWER LEG B-1 1. CHOWANOC and MOLALA lowered leg B-1. 2. Operations proceeded as follows: (A) MOLALA attached 60-foot pendant to surge buoy. (Photo #17) (B) CHOWANOC moored to MOLALA's starboard side and passed anchor end (Photo #18) of leg B-1 (piece 8) to MOLALA. (C) MOLALA shackled leg B-1 to Miller Swivel (piece 9) and lowered overboard with 18,000-pound clump (piece 17) until buoy supported weight. (D) CHOWANOC's small boat took a position off MOLALA's port bow with buoy in tow. (Photo #19) (E) CHOWANOC payed out leg B-1 and passed ring (piece 5) to MOLALA which secured it to the deck. (F) UDT personnel placed cutters on pendant and fired, allowing leg to settle on bottom. Figure 4-8 Mooring Legs Being Transferred to SQUAW PHASE 6 -- TRANSFER ALL LEGS TO SQUAW (See Figure 4-8) 1. KALMIA brought SQUAW to MOLALA. MOLALA cut SQUAW chain pendants to proper length and secured legs B-1 and B-2 to SQUAW chain pendants. MOLALA slacked leg B-1 until SQUAW had weight of leg. Procedure was repeated for leg B-2. MOLALA placed her mooring lines to SQUAW. MOLALA transferred leg A-2 to SQUAW and let SQUAW take weight of leg. Procedure was repeated for leg A-1. MOLALA secured retaining lines to the three fenders on the SQUAW and cut fenders free from the SQUAW. MOLALA retrieved fenders and cleared side of SQUAW. 2. Operational movement proceeded as follows: (A) KALMIA brought SQUAW alongside MOLALA. (Photo #20) (B) KALMIA kept pieces #15 alongside until time to attach SQUAW. (C) MOLALA transferred legs B-1 and B-2 by making up pieces 1 and 5 and lowering weight to SQUAW. (D) When the SQUAW was supporting weight of leg B-1, piece 6 was cut. (E) Procedure was repeated for leg B-2. (F) At this point, ship mooring lines were made up to the SQUAW. (G) Pieces 1 and 6 were made up and leg A-2 was transferred to the SQUAW. (H) Weight was lowered to the SQUAW on piece 6. (I) Piece 6 was cut when SQUAW had weight of the leg. (J) Procedure was repeated for leg A-1. (K) MOLALA remained moored alongside and assisted in rigging the surge buoys (piece #15). (Photo #21) Photo # 21 MOLALA Assisting in Rigging Surge Buoys (L) CHOWANOC recovered leg A-2 crown buoy and took strain to predetermined mooring tension. (M) MOLALA removed rubber fenders and cleared side of SQUAW. (Photo #22) Photo # 22 SQUAW, Mooring Legs in Place, Ready to Submerge (N) Rubber boat was launched to pay out sonar sensor and prepared to open flood valves. Figure 4-9 SQUAW Configuration Before Submerging PHASE 7 -- FLOOD BALLAST TANK AND CORRECT CATENARY 1. Ballast tanks were opened and SQUAW was submerged to proper depth while CHOWANOC took proper tension to correct catenary. 2. Operational movement proceeded as follows: (A) CHOWANOC retrieved crown buoy and took crown line (piece 19) on board and lifted anchor and clump (pieces 13 and 14) off bottom. (B) CHOWANOC took necessary pull on leg A-2 to reach the predetermined tension necessary to pull the SQUAW down to depth. (C) Signal was given to open flood valves. SQUAW did not reach prescribed depth on first attempt (see Mooring Problem #4, page 47). (Photo #23) (D) CHOWANOC reduced tension on leg A-2 and SQUAW surfaced. Ballast was recalculated. (E) MOLALA added additional ballast needed on SQUAW by using 2-1/4-inch anchor chain. (F) Procedures (A), (B), and (C) above were repeated. SQUAW submerged to the 300-foot mooring depth. (Photo #24) Photo # 24 Mark-4 Buoys Identifying Location of SQUAW Now Moored at 300-foot Depth PHASE 8 -- REMOVE SURFACE BUOYS (See Figure 4-10) 1. All vessels stood by for navigation fixes on final position of the SQUAW target. 2. Crown buoys were removed (Photo #25) and all ships returned to port. Photo # 25 Crown Buoys Being Removed Figure 4-10 Final Configuration After Removal of Surface Buoys Specific Procedural Recommendations. Safety was of utmost and of primary concern throughout all phases of the operation. Dangers and hazards inherent in moving and handling heavy equipment and cumbersome weights, precision timing required in performing assigned tasks, and many other factors related to safety considerations were taken into account, and measures and care taken in advance to minimize and reduce the probability of injuries to personnel or damage to equipment. In addition to the rules and regulations set down in this regard, two specific recommendations were made as indicated below. With regard to the heavy anchor weights and the 18,330-pound weights, it was recommended that: 1. The anchor weights and chain be lowered over the side by using the wire on the towing drum. Pelican hooks would be used for this purpose. 2. The 18,330-pound weights be lowered from the stored position at the quarter bitts to the main legs by using 1-1/4-inch wire on the wing drum. Wire and snatch blocks were furnished for this purpose. Instrumentation and Other Aids. Various measuring devices indispensable to the operation were utilized to obtain information, record data, and maintain constant monitoring of changes that occurred. Accuracy required in crucial and critical moments dictated the use of such instruments as tensiometers and footage indicators for measuring cable tension and length. Recording capacities of these particular devices were 100,000 pounds. In addition to the foregoing, a depth recorder was used to produce a bathymetric chart of the mooring area. Of equal importance were the many activities associated with communication, navigation, and distance measurements. Means were provided by which all ships in the task force could at any time quickly determine their relative and absolute positions and the distance between them. Ocean currents were investigated (surface, mid-water, and bottom) to determine direction and magnitude, and ocean bottom characteristics were studied and examined. Accurately positioned buoys served to guide and aid ship movements and provided visual reference when vessels maintained their stationary positions. Mooring Problems. An operation of this size and magnitude did not escape the unexpected problems which somehow appear despite all precautions taken and preparations made. Mooring problems encountered were not of a major character and are listed as follows: 1. All wire rigging was made up with fittings in place, which created a storage problem. The wire was stored on the towing machine drums. 2. The total rigging/towing gear was difficult to work in that the crews of the ships were not sufficiently experienced in this aspect of the operation. 3. One 3,000-foot wire was damaged while it was being removed from the stowage drum and had to be replaced. 4. The lack of exact light ship weight required an adjustment in ballast after the first attempt was made to put the SQUAW in its moored condition. SECTION 5 CONCLUSIONS AND RECOMMENDATIONS Realization of Objective. Achievement of the objective was realized as planned. The SQUAW was moored at the specified design depth within the time period allotted and without any major setbacks or mishaps. Planning, coordination, personnel skills, and leadership were combined in a closely knit operation to bring about a successful conclusion to this activity. Recommendations. On the basis of this mooring experience, it is recommended that: 1. The drop system be utilized in the deployment of large mooring systems. 2. When any mooring system is recovered following long use, inspection should be made for causes of failure and a report prepared on the findings. 3. All equipment should be made up and secured on deck prior to arrival on the site. 4. More time be allotted in advance of the task to crew training. Conclusions. It is concluded that: 1. Crew training and crew efficiency are critical elements in the procedural process. 2. The drop system makes the handling of huge amounts of mooring equipment safer, even in rough seas. 3. Safety is of prime importance, and rules and regulations appertaining thereto should be adhered to without exception.

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Host of Friends Open AA Speaker Meeting Enjoy a host of friends, fellowship and a Message of experience, strength and hope… Featured Guest Speakers: December 7 th: John C. Seeing is Believing December 14 th: Derek E. Shoulder to Shoulder December21 st: Jen M. It Might Have Been Worse December 28 th : Erick B. Fox Hall SATURDAYS @ 7 P.M. West Suburban Alano 5235 Woodhill Road Minnetonka www.westsuburbanalano.com Bring your friends ◄Speaker Referrals Welcome►

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St. Luke the Evangelist Scottish Episcopal Church Job Description – Community Pantry Development Worker Responsible to: The Vestry, St Luke's Scottish Episcopal Church, Glenrothes Salary: £22,000 per annum pro rata Hours of work: 9 hours per week on a flexible basis to include some evenings and some weekends (to support community needs); fixed-term post funded initially for 2 years. Funding: The National Lottery Community Fund Office Base: St Luke's Scottish Episcopal Church, Auchmuty, Glenrothes Pension: The employee will be assessed under auto-enrolment pension legislation and if eligible, minimum contributions will be made. Annual Leave: 25 days, plus public bank holidays pro rata Criminal Records Check: A Basic disclosure will be required About us: This is an exciting opportunity to join the Peace 'n' Jam (PNJ) team, a community project run by St Luke's Scottish Episcopal Church in Glenrothes. Through funding from The National Lottery Community Fund* we have refurbished run down and tired spaces in our church building to establish a community kitchen – 'The Couthy' and social hub (flexible community space) – 'The Gathering Hall', 'The Scullery' (small kitchen) and 'The Haiver' (meeting room). Over the coming years, PNJ would like to use the power of food to bring people together. PNJ aspires to make a positive difference to the lives of people within the Auchmuty/Warout neighbourhoods and beyond; and to support community groups and charities working with people and within our community. We will do this by providing a variety of different ways for food to be a part of the community. We are currently working to establish a community pantry & community fridge; and to offer a weekly community meal and gatherings. We also hire out our facilities for the use of the community, groups and individuals to deliver a range of projects, events and skills training. We want to make this a place that respects, appreciates and welcomes everybody. Job Role: The Community Pantry Development Worker will have a key role in starting up, coordinating and growing our Community Pantry initiative; with support from the team. The post holder will then oversee the daily running and operational delivery of the Community Pantry using a "hands on" approach. This will include recruitment, induction, training, and support of volunteers. You will also assist in measuring the impact of the initiative and give information (evidence) to the team that can be used to shape our community activity. You will have experience of community pantry' activity and networks, and of working alongside individuals, groups and members of the public from a range of backgrounds . You should have a willingness to work using your own initiative and as part of the team; and confidence to adapt and work under pressure. The ideal candidate will have ability to grow our vision of a dignified response to food insecurity and passion for working with and within the community, be motivated by our vision and have the ability to demonstrate our values of dignity, respect and inclusion in the work that you do. Specific Responsibilities * Start up and effectively run our Community Pantry initiative on a day-to-day basis. * Communicate with stakeholders and create sustainable relationships for food provision. * Manage, coordinate and collect deliveries and donations, and support stock control. * With the support of Community Engagement Officer, provide opportunities for individuals to volunteer and participate, including support and training. * Involve pantry members in the shaping and delivery of the community pantry. * Setting up and tidying of food pantry space/resources and community kitchen before and after activities. * Assist in measuring the impact of the initiative and give information (evidence) to the team that can be used to shape our community activity. * Support the team to develop and deliver a range of food activities. * Liaise with the Community Engagement Officer and colleagues to agree initiatives and planning for activities. * Attend local events and groups to promote the work of the project and evolving activities. * Work in cooperation with the Community Engagement Officer to promote our activities on social media. . General responsibilities * To work as part of the Peace 'n' Jam team to promote and encourage participation in the evolving Auchmuty community groups, programmes and activities. * To promote the values of Peace 'n' Jam when working in the local community. * To comply fully with the organisation's ethos, policies and procedures and relevant legislation. * To engage with our community in a way that empowers local people to take ownership of their community space and adopt sustainable behaviour changes. * To work and communicate effectively with other team members (staff, sessional workers and volunteers) to achieve goals. * To work constructively and effectively with partners, groups and organisations. * To provide an excellent participant experience. * To report on the success of allocated tasks. * To attend and contribute to team meetings and training courses. * To participate in ongoing supervision and appraisals. * To undertake other reasonable duties in line with the job purpose. This job description will be subject to review in the light of changing circumstances and may include any other duties and responsibilities as may be determined in consultation with the postholder. It is not intended to be rigid or inflexible but should be regarded as providing guidelines within which the individual works. * The full refurbishment of our building was also funded by Fife Environmental Trust, the Scottish Episcopal Church, Building Grants Fund and ourselves. Person Specification: Community Pantry Development Worker Qualifications * HNC or similar in a relevant discipline. Experience and knowledge * Experience/working knowledge of 'community pantry' activity and networks. * Experience/working knowledge of surplus redistribution and platforms. * Knowledge of adequate, nutritious and culturally appropriate food. * Knowledge and understanding of working safely and food hygiene procedures. * Knowledge and understanding of the benefits of sustainable food and waste reduction. Skills * Able to perform physical tasks including lifting and loading. * Excellent time & priority management and organisational skills. * Excellent communication skills – written and verbal. * Ability to monitor, gather and use information (evidence) to shape community activity. * Ability to build relationships with a wide variety of individuals to achieve positive outcomes and establish sustainable relationships * Ability to provide opportunities for individuals to contribute and volunteer. * IT Skills - Microsoft Word, Excel and Social Media. Ethos and approach * Confident in proactively reaching out to the food distributors and platforms. * Willingness to listen to local voices, colleagues and volunteers to acquire and share information. * Flexible and solution-focused. * Recognise the social value of food. * A commitment to working as part of a team with a vision of a dignified response to food insecurity * Ability to represent the work of Peace 'n' Jam to the public with commitment and integrity. * A willingness and commitment to undertake the role in a professional manner and maintain highquality work at all times. * To help promote an effective, positive and constructive team culture, where the work of others is valued and respected Desirable * Elementary Food Hygiene Certificate. * Emergency First Aid at Work Certificate. * Experience of working with volunteers. * Interested in food insecurity and the social value of food. * Driving licence and access to car. Application Process We welcome your interest in the Community Pantry Development Worker role. Before completing and returning an application form, we ask that you read these guidelines fully. Peace 'n' Jam is committed to equality, diversity and inclusion. The Vestry will shortlist applications, considering only information that is relevant: * what the job involves; * what skills, qualities and experience a person will need to do it; * employment history; * education, training and qualifications. We believe this approach ensures good practice recruitment with your application being considered on skills and experience, rather than on other information. Please do not send your CV as this will not be accepted as a substitute for an application form. If you need us to make certain changes (known as 'reasonable adjustments') to make sure you're not disadvantaged during the recruitment process, you should contact us as soon as possible. Email us at [email protected]. The Vestry is committed to safeguarding as an integral part of the activity of the charity. You will need a Basic disclosure for this role. If you have any other questions about this opportunity, please call 01592 754206 (office) or 07858 594430 (Fr. Gerry Dillon) or email [email protected]. Interview Interviews are scheduled to take place mid-November 2021. If you are selected for the interview, we will write to you by email to confirm the date, time and location of your interview. Due to practical constraints, receipt of application forms will not be acknowledged. Returning your application Applications should be emailed to [email protected]. Alternatively, applications can be posted to: Peace 'n' Jam, St. Luke's SEC, Ninian Quadrant, Glenrothes, Fife, KY7 4HP. All forms must be received by 12 noon on the closing date, Monday 8th November 2021. Please note that applications received after the deadline will not be considered. Equal and Diversity Statement The Scottish Episcopal Church is diverse in its tradition, outlook and culture. Such diversity enriches the Church and is expressed in warm relationships of mutual respect for one another. The Vestry of St. Luke's celebrates and welcomes diversity in our church and in society as a whole. Thus, we make every effort to promote equality, diversity and inclusion and eliminate discrimination. Our Peace 'n' Jam project puts equality at the heart of its activity. We aspire to reflect the diversity of Scotland and make the most of the skills different people in our local community can bring to our project. To support this, we seek to ensure that our recruitment and selection processes are fair and we do not discriminate against candidates. You will not be discriminated against for any of the following reasons: * age * race * gender reassignment * being married or in a civil partnership * being pregnant or on maternity leave * disability These are called protected characteristics. You will not be treated less favourably based on whether you are, or are not, a trade union member or have caring responsibilities. Asking for reasonable adjustments If you need us to make certain changes (known as 'reasonable adjustments') to make sure you're not disadvantaged during the recruitment process, you should contact us as soon as possible. Email us at [email protected]. Safeguarding, Disclosure and Criminal Record Checks The Vestry is committed to safeguarding as an integral part of the activity of the charity. We believe everyone who participates with church activities is responsible for promoting a safe place even where the role doesn't involve any direct contact with children or protected adults. You may need a criminal record check from Disclosure Scotland if you're applying for paid or unpaid work, or volunteering. Disclosure means sharing sensitive personal information. Disclosure Scotland checks and shares information about people's criminal records. This helps organisations to employ the right people for certain types of work, like working with children or protected adults. The type of check to be used depends on the voluntary or paid work you're doing or the role you are carrying out. You will need a Basic disclosure for this role. A basic disclosure is the most common and lowest level of disclosure available. It includes information on any 'unspent' convictions the person has. Under the Rehabilitation of Offenders Act 1974, some criminal convictions can be treated as 'spent' – meaning they're not relevant to basic disclosure – after a certain length of time. Spent convictions are not included on a basic disclosure. * religion or belief * sex * sexual orientation The Vestry is committed to good practice recruitment. We do not request 'unspent' criminal record information during the initial application stage of recruitment. To this end, an applicant will be assessed on their skills and experience, rather than their background, unless strictly relevant to the role. Data Protection The Data Protection Act 2018 controls how your personal information is used by us. Everyone responsible for using personal data has to follow strict rules called 'data protection principles.' Please read our Privacy Policy , together with the privacy notice below, as it contains important information about how we collect, manage, use and protect your personal data. Privacy Notice If you apply online for a position with our Peace 'n' Jam project, we will use the information you provide to assist in the recruitment selection process and as set out above. The Vestry, St Luke's may also seek additional information from other sources, for example, by using your references. References will only be taken up for applicants who are shortlisted for interview, or unless we ask your permission to do so. Information provided on the application form and any information obtained from other sources will be retained in all cases in hard copy format and/or electronically securely and only for as long as is required for the purposes of: * the administration of your application * forming the basis of your employment records, if your application is successful * discharging any legal or regulatory requirements * contacting you in relation to your application (this could be by email, post or SMS) By submitting your application online or by post you will be giving your consent to The Vestry, St Luke's to process your personal and sensitive personal data for the purposes explained above. Should you wish to withdraw your application, please contact [email protected]. Should you wish to see a copy of the information held by The Vestry, St Luke's, which you have provided as part of your application for employment, this information will be provided within 30 days of receipt of your request. Any request should be made in writing to Peace 'n' Jam Project, St. Luke's SEC, Ninian Quadrant, Glenrothes, Fife KY7 4HP or via email to [email protected].

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TITLE 410 INDIANA STATE DEPARTMENT OF HEALTH Final Rule LSA Document #12-617(F) DIGEST Adds 410 IAC 34 to establish a state trauma registry for the collection of information regarding the delivery of traumatic injury care services in Indiana for purposes of improving the statewide trauma system. Effective 30 days after filing with the Publisher. 410 IAC 34 SECTION 1. 410 IAC 34 IS ADDED TO READ AS FOLLOWS: ARTICLE 34. STATE TRAUMA REGISTRY Rule 1. Definitions 410 IAC 34-1-1 Applicability Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. The definitions in this rule apply throughout this article. (Indiana State Department of Health; 410 IAC 34-1-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-2 "Commissioner" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 2. "Commissioner" means the state health commissioner or the state health commissioner's designee. (Indiana State Department of Health; 410 IAC 34-1-2; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-3 "Department" defined IC 16-19-3-28 Authority: Affected: IC 16-19-3-28 Sec. 3. "Department" means the Indiana state department of health. (Indiana State Department of Health; 410 IAC 34-1-3; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-4 "Emergency medical services" or "EMS" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 4. "Emergency medical services" or "EMS" means the provision of emergency ambulance services or other services, including extrication and rescue services, utilized in serving an individual's need for immediate medical care in order to prevent loss of life or aggravation of physiological or psychological illness or injury. (Indiana State Department of Health; 410 IAC 34-1-4; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-5 "Health care facility" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 5. "Health care facility" includes the following: (2) Trauma centers. (1) Hospitals. (3) Rehabilitation hospitals. (Indiana State Department of Health; 410 IAC 34-1-5; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-6 "Hospital" defined Authority: IC 16-19-3-28 Affected: IC 16-21-2 Sec. 6. (a) "Hospital", except as provided in subsection (b), means a hospital that is licensed under IC 16-21-2. (b) "Hospital" means an institution, a place, a building, or an agency that holds out to the general public that it is operated for hospital purposes and that it provides care, accommodations, facilities, and equipment, in connection with the services of a physician, to individuals who may need medical or surgical services. The term does not include the following: (2) Long-term acute care hospitals (LTACHs). (1) Freestanding health facilities. (3) Hospitals that do not provide emergency services. (A) Individuals with a mental illness. (4) Hospitals or institutions specifically intended to diagnose, care, and treat the following: (B) Individuals with developmental disabilities. (6) Convalescent homes, boarding homes, or homes for the aged. (5) Offices of physicians where patients are not regularly kept as bed patients. (7) Rehabilitation facilities. (Indiana State Department of Health; 410 IAC 34-1-6; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-7 "Indiana EMS Data Dictionary" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 7. "Indiana EMS Data Dictionary" means the collection of descriptions of the data objects in the database of fire and emergent run data maintained by the Indiana EMS program at the Indiana department of homeland security and referred to as the "Indiana Department of Homeland Security Emergency Medical Services (EMS) Data Dictionary and National EMS Information System (NEMSIS) Data Elements". (Indiana State Department of Health; 410 IAC 34-1-7; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-8 "Indiana Rehabilitation Hospital Registry Data Dictionary" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 8. "Indiana Rehabilitation Hospital Registry Data Dictionary" means the collection of descriptions of the data objects in the database maintained by the Indiana state department of health and referred to as the "Indiana Rehabilitation Hospital Registry Data Dictionary". (Indiana State Department of Health; 410 IAC 34-1-8; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-9 "Indiana Trauma Registry Data Dictionary" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 9. "Indiana Trauma Registry Data Dictionary" means the collection of descriptions of the data objects in the database maintained by the Indiana State Trauma Registry and referred to as the "Indiana Trauma Registry Data Dictionary". (Indiana State Department of Health; 410 IAC 34-1-9; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-10 "National EMS Information System" or "NEMSIS" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 10. "National EMS Information System" or "NEMSIS" means the national repository for EMS data maintained by the University of Utah School of Medicine. (Indiana State Department of Health; 410 IAC 34-1-10; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-11 "National Trauma Data Bank" or "NTDB" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 11. "National Trauma Data Bank" or "NTDB" refers to an aggregation of national trauma registry data maintained by the American College of Surgeons. (Indiana State Department of Health; 410 IAC 34-1-11; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-12 "National Trauma Data Standard" or "NTDS" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 12. "National Trauma Data Standard" or "NTDS" means a data set defining standardized data elements collected by the American College of Surgeons within the National Trauma Data Bank. (Indiana State Department of Health; 410 IAC 34-1-12; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-13 "Patient medical record" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 13. "Patient medical record" means written, electronic, or printed information possessed or maintained by a provider concerning any diagnosis, treatment, or prognosis of the patient, including such information possessed or maintained on microfiche, on microfilm, or in a digital format. (Indiana State Department of Health; 410 IAC 34-1-13; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-14 "Rehabilitation hospital" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 14. "Rehabilitation hospital" means a hospital that is Prospective Payment System excluded under 42 CFR 412. (Indiana State Department of Health; 410 IAC 34-1-14; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-15 "Risk adjustment" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 15. "Risk adjustment" means methodologies applied to a data set in order to identify and control patient variables that are present that may influence patient outcome. (Indiana State Department of Health; 410 IAC 34-1-15; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) 410 IAC 34-1-16 "Trauma center" defined Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 16. "Trauma center" means a hospital that provides trauma care and has been verified as a trauma center by the American College of Surgeons (ACS), has been designated a trauma center under a state designation system that is substantially equivalent to the ACS verification process, or has been deemed to be in the process of ACS verification pursuant to 836 IAC 1-2.1. (Indiana State Department of Health; 410 IAC 34-1-16; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 2. Purpose of the Registry 410 IAC 34-2-1 Purpose Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The purpose of the registry is to collect and analyze data that is necessary to evaluate the delivery of trauma care within the state. (b) The data collected by the registry shall be of such a nature as to allow the department to identify and evaluate the following: (2) Criteria used to establish triage protocols. (1) Frequency, type, severity, and outcome of trauma injuries. (3) Geographic patterns of injury, including, but not limited to, areas or regions of the state where improvements are needed in the delivery of trauma care. (4) Other factors to consider in recommending, designing, or implementing the statewide trauma care delivery system, including, but not limited to, public education on trauma and injury prevention, access to trauma care, prehospital availability, and cost of trauma care. (c) Registry data will be linked between EMS providers, health care facilities, and other agencies so that the entire continuum of trauma care can be assessed for quality purposes. (Indiana State Department of Health; 410 IAC 34-2-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 3. Management of the Registry 410 IAC 34-3-1 Management Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The actions and management of the registry will be overseen by the director of the trauma and injury prevention program at the department. (b) The department may contract with individuals or organizations with specific expertise in risk adjustment and statistical analysis of medical data in order to perform risk adjustment of registry data. (Indiana State Department of Health; 410 IAC 34-3-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 4. Required Reporting 410 IAC 34-4-1 Required reporting Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. The following entities shall submit data to the registry: (A) A hospital. (1) Health care facilities, including any of the following: (B) A trauma center. (2) EMS providers, both basic life support and advanced life support, that transport patients. (C) Rehabilitation hospitals. (3) At the request of the department, any state agency possessing data or information, or both, regarding trauma care. (Indiana State Department of Health; 410 IAC 34-4-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 5. Submission of Data 410 IAC 34-5-1 Submission of data Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The department shall establish and use the registry to collect and analyze data that is necessary to evaluate the delivery of trauma care within the state as follows: (A) Incidence, mechanism, type, severity, and outcome of traumatic injuries. (1) Data collected by the department for the registry shall include, but not be limited to, data of such a nature as to allow the department to identify and evaluate the following: (B) Criteria used to establish or refine, or both, triage and transport guidelines. (2) Data submitted to and maintained by the registry shall be in such a format that: (C) Geographic patterns of injury, including, but not limited to, areas or regions of the state where improvements are needed in the delivery of trauma care. Indiana Register (A) protects the identity of specific patients to whom medical care has been rendered; (C) avoids or minimizes duplication of entries. (B) identifies specific health care facilities by a code or other designation; and (b) Data required to be provided to the registry under this article shall be submitted by direct data entry or by electronic data transfer using an xml format and data scheme that is based on the Indiana Trauma Registry Data Dictionary. (c) Hospitals must submit data to the registry using the criteria in the Indiana Trauma Registry Data Dictionary. Rehabilitation hospitals must submit data to the registry using the Indiana Rehabilitation Hospital Registry Data Dictionary. (d) EMS providers must submit data to the registry using the most current version of the NEMSIS data elements and the criteria in the Indiana EMS Data Dictionary. (Indiana State Department of Health; 410 IAC 34-5-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 6. Reporting Deadlines 410 IAC 34-6-1 Reporting deadlines Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The data required to be provided to the registry by health care facilities shall be reported to the registry according to the following schedule: (b) The data required to be provided to the registry by EMS providers must be reported to the registry by the fifteenth day of the month following the month in which the incident occurred. Patients Admitted Report Due Date January 1-March 31 June 30 April 1-June 30 September 30 July 1-September 30 January 15 October 1-December 31 May 1 (Indiana State Department of Health; 410 IAC 34-6-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 7. Failure to Report 410 IAC 34-7-1 Failure to report Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. Health care facilities that fail to submit data to the registry as specified in this article will be ineligible for designation by the department as a trauma center. Health care facilities and EMS providers that fail to submit data to the registry as specified in this article will be ineligible for other programs, including, but not limited to, grants and other ISDH-sponsored sources of funding. (Indiana State Department of Health; 410 IAC 34-7-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 8. Risk Adjustment Date: Apr 19,2018 1:43:11PM EDT 410 IAC 34-8-1 Risk adjustment Authority: IC 16-19-3-28 Affected: IC 16-19-3-28 Sec. 1. (a) The registry will work to improve trauma care in the state by calculating trauma-related incident response and health outcome indicator values for each health care facility and EMS provider, determining and disseminating information best practices that are associated with optimal indicator values, and establishing state benchmark standards to which each reporting entity is accountable. (b) Individual and aggregated indicator values must be risk-adjusted before comparisons can be made across groups. (c) Risk adjustment accounts for the impact of individual risk factors such as age and the severity of the initial injury that can put some patients at greater risk for medical complications and death. (d) By risk-adjusting the indicator values, variation in patient types across groups can be controlled for and appropriate comparisons can be made. (e) Risk adjustment of the indicator values will be conducted by registry staff primarily following the methodologies outlined by the American College of Surgeons. (f) Other methodologies may be evaluated and used as registry staff deems appropriate. (Indiana State Department of Health; 410 IAC 34-8-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) Rule 9. Protected Information 410 IAC 34-9-1 Protected information Authority: IC 16-19-3-28 Affected: IC 4-1-6-8.6 Sec. 1. (a) All data created by a provider and submitted to the department for inclusion in the registry will be treated as confidential and the department will follow all appropriate state and federal laws regarding the confidentiality of the medical information. (b) The department may grant any person involved in a legitimate research activity access to confidential information included in the registry under IC 4-1-6-8.6. (Indiana State Department of Health; 410 IAC 34-9-1; filed Oct 25, 2013, 2:39 p.m.: 20131120-IR-410120617FRA) LSA Document #12-617(F) Notice of Intent: 20121128-IR-410120617NIA Proposed Rule: 20130703-IR-410120617PRA Hearing Held: July 29, 2013 Approved by Attorney General: October 18, 2013 Approved by Governor: October 25, 2013 Filed with Publisher: October 25, 2013, 2:39 p.m. Documents Incorporated by Reference: None Received by Publisher Small Business Regulatory Coordinator: Kelly MacKinnon, Indiana State Department of Health, 2 North Meridian Street, Section 3H-99, Indianapolis, IN 46204, (317) 233-7316, [email protected] Posted: 11/20/2013 by Legislative Services Agency An html version of this document.

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Loose leaf teas All our teas are supplied by The Cornish Tea Company. Crafted from whole leaves of the finest tea, loose leaf is the freshest, most authentic and satisfying way to enjoy tea. Green tea: Asian green Black teas: breakfast, decaf breakfast, Darjeeling, Lapsang Souchong, chai spice, Earl Grey Infusions: chamomile, red berry, peppermint, lemon verbena, orange & passionfruit Hot drinks Macchiato Espresso Flat white Americano Cappuccino Latte Mocha Hot chocolate / white hot chocolate The 'works' hot chocolate whipped cream, marshmallows and sprinkles Soft drinks For full terms and conditions please view the website www.headlandhotel.co.uk The Headland, Fistral Beach, Newquay, Cornwall, TR7 1EW +44 (0) 1637 872 211 | [email protected] AFTERNOON TEA FESTIVE November / December 2023 2pm – 4pm Feast on full afternoon tea with fancy cakes, delicious sandwiches, and homemade scones with oodles of Cornish clotted cream and jam. Add a little more sparkle to the occasion with a flute of champagne or an afternoon tea cocktail. Sit back and enjoy afternoon tea with a stunning view across the Atlantic, where lavish tea parties have been thrown for almost a century. Please don't forget Register your car number plate to prevent the outside company issuing a PCN. The penalty notice will require payment of the DVLA charge before it is cancelled Festive afternoon tea £39.50 per person Savoury: Sage and onion sausage roll A selection of homemade finger sandwiches on artisan bread: Smoked salmon, lemon, and soft herbs on granary Roast turkey, cranberry, gem lettuce on white Cucumber, cream cheese, and chestnut on granary Rosedown egg mayonnaise, truffle on white The most important part: Homemade fruit and plain scones with lashings of Cornish clotted cream and Cornish strawberry jam Indulge in a selection of pastries inspired by the season: Valrhona chocolate, fruit and nut Headland Christmas cake Egg custard tart, caramelised white chocolate, mincemeat Speculoos biscuit Carrot and clementine gateau TREAT YOURSELF to a glass of champagne. Go on! £15 Festive vegetarian afternoon tea £39.50 per person Savoury: Cheese and caramelised onion tart A selection of homemade finger sandwiches on artisan bread: Davidstow cheddar with apple chutney on white Romesco, piquillo peppers, hazelnut butter on granary Cucumber, cream cheese, and chestnut on granary Rosedown egg mayonnaise, truffle on white The most important part: Homemade fruit and plain scones with lashings of Cornish clotted cream and Cornish strawberry jam Indulge in a selection of pastries inspired by the season: Valrhona chocolate, fruit and nut Headland Christmas cake Egg custard tart, caramelised white chocolate, mincemeat Speculoos biscuit Carrot and clementine gateau Vegetarian Vegan Gluten free Dairy free For our younger guests £19.50 per child Savoury: Sage and onion sausage roll A selection of homemade finger sandwiches on artisan bread: Honey roast ham on white Davidstow cheddar and chutney on granary Strawberry jam on white The most important part: Homemade fruit and plain scones with lashings of Cornish clotted cream and Cornish strawberry jam Indulge in a selection of pastries inspired by the season: Pistachio and honey cake, vanilla marshmallow Blackcurrant "Christmas present" Speculoos biscuit Tea/juice/water/milk/soft drink Vintage afternoon tea parties £45.00 per person PERFECT FOR BABY SHOWERS, HEN PARTIES & BIRTHDAY CELEBRATIONS Our vintage tea parties are designed for indulgence with a hint of glamour One of our private lounges will set the sumptuous scene for your party, classically decorated with vintage crockery and silver. Relax as our staff serve luxurious loaded cake stands with all things sweet and fancy. Upgrade to fizz by selecting one of our local sparkling wines or a bottle of champagne. Pre-booking is essential. Please speak to our Events team on +44 (0)1637 872 211.

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An Israeli Thanksgiving By Rebecca Bardach, 12.8.2013 Like many American immigrants in Israel, I found myself last Thursday night at a table filled with family, friends, turkey and all the Thanksgiving fixings. With this celebratory gathering I realized: Israel has no Thanksgiving equivalent. We observe a lot of holidays here, but not one that brings all Israelis together the way Thanksgiving does for Americans of diverse backgrounds and origins. This reflects our larger society: 20 percent of Israel's citizens are Arab, but Jews and Arabs in Israel live largely separate lives. And yet we have citizenship in common. Israeli Arabs hold the same ID card and passport we do. They pay taxes. They vote. Arabic is an official state language alongside Hebrew. We have a future in common. And every day we make choices as to what kind of future this will be. Four years ago, when my husband and I had to make the decision about where to send our oldest child to school, we faced this dilemma head on. The Israeli school system is tracked – with Hebrew-language (secular, religious and ultraorthodox) and Arabic-language tracks. On the one hand, this reflects the major social groups in Israel. It respects their differences and communal preferences. On the other hand, however, it perpetuates these differences, providing no space for students of disparate communities to come together in a broadly inclusive framework, where they can learn about or from each other, understand their differences, or identify or create common ground. And if today's students become tomorrow's citizens, what happens when children grow up rooted only in their own community, and without any opportunity to interact with others; to be challenged by and appreciative of diversity; or to jointly forge something meaningfully shared? Those were the realities we faced as we deliberated. Should we go with the natural choice – progressive Jewish schools similar to the Jewish day schools both of us grew up in? Or consider something totally out of the box: Yad B'Yad, Hand in Hand (HIH), a bilingual Jewish-Arab school? Deep inside I knew there was no debate. We started at Hand in Hand, where two of our children attend today. It's a school where Jews and Arabs study together. They learn both Hebrew and Arabic in a bilingual framework. They learn about and observe each other's holidays. They learn to appreciate and celebrate their own cultural traditions and that of one another. They learn about each other's histories. They learn how to examine things from different perspectives; to ask questions; to discuss; to listen. They learn to debate and to disagree and develop deep friendships. This has been an enormously rewarding experience. But it can also be difficult for children growing up in a divided society. But the alternative is no less challenging. I saw this one morning a year before we had to choose our children's educational path as I entered my son's daycare and the four-year-old brother of one of his friends was playing while waiting for his mother. He held his hands like a gun. As his mother came down the stairs he called out excitedly: "Mommy, Mommy, I killed Arabs, I killed Arabs!" I looked at his mother – a distant colleague, who worked at a local well-respected think tank – expectantly awaiting a shocked reprimand in this blatantly teachable moment. "Come, sweetheart," she said instead. "We're late." And she took his hand and led him off to the car. The fact that either this did not bother her, or that she could not be bothered to address it is, unfortunately, all too commonplace. For this one anecdote, there are dozens more from my own experience, from friends, from colleagues, that show that it's not just fear and hatred that are pervasive, but so too are indifference and hopelessness about viable alternatives. The shouts of "death to Arabs" that take place at Jerusalem soccer games and appear on walls after extremists' "price tag" attacks are inarguably racist. This type of indifference is far more difficult to contend with. After all, I don't want my children to grow up hating others because they are not like them, or because they are not Jewish. And I don't want my kids hated because they are Jewish. Above all, I don't want any child in Israel growing up believing that no alternative to this kind of separation and hate is possible. And I am not alone in this feeling. The Jewish and Arab students, teachers and parents at Hand in Hand to engage in both recognizing our differences, and creating something shared. Which is why we need an Israeli equivalent to Thanksgiving. We need a day that supersedes our differences – a day that can bring us together to celebrate and appreciate the core values and hopes that all citizens of Israel share. It may not overlap with Hanukka again in our lifetime, but it will nonetheless kindle light in the darkness, and help us repair the divisions that separate us in Israel. The author is a parent at Hand in Hand Jerusalem school and works at the Hand in Hand organization.

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COMPUTING WITHOUT MEMORY MAXIMILIEN GADOULEAU* AND SØREN RIIS† Abstract. In this paper, we generalise the famous algorithm for swapping the contents of two variables without using a buffer. We introduce a novel combinatorial framework for procedural programming languages, where programs are only allowed to update one variable at a time. We first consider programs which do not have any memory. We prove that any function of all the variables can be computed this way in a number of updates which grows linearly with the number of variables. Similarly, any linear function can be computed using a linear number of linear instructions. We then derive the exact number of instructions required to compute any manipulation of variables. This shows that the idea of combining variables instead of simply moving them around not only allows for memoryless programs, but also yields shorter programs. Second, we show that allowing programs to use memory is also incorporated in our framework. We quantify the gains obtained by using memory. This leads to shorter programs and allows us to use only binary instructions, which is not sufficient in general when no memory is used. Key words. Models of computation, Computational difficulty, Symmetric group, Theory of data, Combinatorics AMS subject classifications. 68Q05 1. Introduction. How do you swap the contents of variables $x$ and $y$ using a procedural programming language? The common approach is to use a buffer $t$, and to do as follows (using pseudo-code). \[ \begin{align*} t &\leftarrow x \\ x &\leftarrow y \\ y &\leftarrow t. \end{align*} \] However, a famous programmer’s trick consists in using XOR, which we view as addition over a binary vector space: \[ \begin{align*} x &\leftarrow x + y \\ y &\leftarrow x + y \\ x &\leftarrow x + y. \end{align*} \] We thus perform the swap without any use of memory. Our aim is to generalise this idea to compute transformations without memory. While the example described above is folklore, the idea to compute functions without memory was developed in [2, 3, 4, 5, 6, 7] for the case of boolean variables. We would like to emphasize the novelty of the results of this paper and how they differ from those in the literature. First, the results presented in this paper generalise those given in the literature, as we consider any finite alphabet while only the binary alphabet was usually considered in the literature. Second, we provide simpler proofs, which is especially true for Theorems 2.4 and 3.13. Third, we also give some matching upper and lower bounds which are absent in the literature, e.g. in Theorem 3.5. Fourth, many aspects considered here, such as the study of manipulations of variables in Section 4.3, the use of binary instructions in Theorem 5.8 and the use or memory in Section 5, are completely novel. 2. Combinatorial model for memoryless computations. 2.1. Instructions and programs. We formalise our ideas as follows. Let $A$ be a finite set, referred to as the alphabet, of cardinality $q$ and let $n$ be a positive integer (without loss, we shall usually regard $A$ as $\mathbb{Z}_q$ or $\text{GF}(q)$ when $q$ is a prime power). The cases where $q = 1$ or $n = 1$ being trivial, we shall assume $q \geq 2$ and $n \geq 2$ henceforth. We refer to any element of $A^n$ as a word. We view any transformation $f$ of $A^n$ (i.e., $f : A^n \rightarrow A^n$) as a tuple of functions $f = (f_1, \ldots, f_n)$, where $f_i : A^n \rightarrow A$ is referred to as the $i$-th coordinate function of $f$. In particular, a coordinate function is trivial if it is equal to the identity, i.e. $f_i(x) = x_i$; it is nontrivial otherwise. The size of the image of $f$ is referred to as its rank. When considering a sequence of transformations, we shall use superscripts, e.g. $f^k : A^n \to A^n$ for all $k$—and hence $f^k$ shall never mean taking $f$ to the power $k$. **Definition 2.1 (Instruction).** An instruction is a transformation $g$ of $A^n$ with at most one nontrivial coordinate function $g_i$. We say that the instruction updates $y_i$ for $y = (y_1, \ldots, y_n) \in A^n$ and we denote it as $$y_i \leftarrow g_i(y).$$ A permutation instruction is an instruction which maps $A^n$ bijectively onto $A^n$ (i.e. is a permutation of $A^n$). By convention, the identity is an instruction, which can be represented by $y_i \leftarrow y_i$ for any $1 \leq i \leq n$. We denote the set of instructions of $A^n$ as $\mathcal{I}(A^n)$ and the set of permutation instructions as $\mathcal{I}(A^n)$. We shall simply write $\mathcal{I}$ and $\mathcal{I}$ when there is no ambiguity. For instance, if $A = \text{GF}(2)$ and $n = 2$, then $\mathcal{I}$ is given by $$\{(x_1, x_2), (x_1 + 1, x_2), (x_1 + x_2, x_2), (x_1 + x_2 + 1, x_2), (x_1, x_2 + 1), (x_1, x_1 + x_2), (x_1, x_1 + x_2 + 1)\}.$$ In update form, $\mathcal{I}$ can be written as follows: $$\begin{align*} y_1 &\leftarrow y_1, \\ y_1 &\leftarrow y_1 + 1, \\ y_1 &\leftarrow y_1 + y_2, \\ y_1 &\leftarrow y_1 + y_2 + 1, \\ y_2 &\leftarrow y_2, \\ y_2 &\leftarrow y_2 + 1, \\ y_2 &\leftarrow y_1 + y_2, \\ y_2 &\leftarrow y_1 + y_2 + 1, \end{align*}$$ where the identity is represented by $y_1 \leftarrow y_1$ and $y_2 \leftarrow y_2$. **Definition 2.2 (Program).** For any transformation $f$ of $A^n$, a program of length $L$ computing $f$ is a sequence of instructions $g^1, \ldots, g^L$ such that $$f = g^L \circ \ldots \circ g^1.$$ We shall write the instructions of a program in their update form one below the other. Although the identity is an instruction, any instruction in a program is not the identity unless specified otherwise. Also, since the set of instructions updating a given coordinate is closed under composition, without loss we can always assume that $g^{k+1}$ updates a different coordinate than $g^k$ for all $k$. We consider a basic procedural programming language which has a finite number of inputs $x = (x_1, \ldots, x_n) \in A^n$ and only allows programs of the form described above. Therefore, it only allows in-place calculations, without loops, pointers, and more importantly without any memory. We use $y = (y_1, \ldots, y_n)$ to represent the content of the registers during the program. Hence $y = x$ before the first instruction, and $y = f(x)$ after the last instruction. Note that we will also use the shortcut notation $y_i \leftarrow h(x)$ to reflect how the content of the memory relates with the program input. In particular, note that the last update of $y_i$ must be $$y_i \leftarrow f_i(x).$$ To be absolutely rigorous, we should let $y$ take into account the instruction number: $y^0 = x, y^1, \ldots, y^L = f(x)$, where $L$ is the length of the program. However, our calculations will not require such level of rigour, and we simply use $y$ instead. In order to illustrate our notations, let us rewrite the program computing the swap of two variables, i.e. $f : A^2 \to A^2$ where $f(x_1, x_2) = (x_2, x_1)$. It is given as follows: $$\begin{align*} y_1 &\leftarrow y_1 + y_2 \quad (= x_1 + x_2) \\ y_2 &\leftarrow y_1 - y_2 \quad (= x_1) \\ y_1 &\leftarrow y_1 - y_2 \quad (= x_2). \end{align*}$$ **Definition 2.3.** Let $B, C$ be two alphabets and $f, g : B \to C$. We say $g$ dominates $f$ if and only if $$g(x) = g(x') \Rightarrow f(x) = f(x')$$ for all $ x, x' \in B $. In other words, $ f = h \circ g $ for some transformation $ h $. A program for $ f $ induces a sequence of transformations $ h^1, \ldots, h^L = f $ where $ h^1 $ is an instruction, $ h^i $ and $ h^{i+1} $ differ in only one coordinate, and $ h^i $ dominates $ h^{i+1} $ for all $ i $. Indeed, simply let $ h^{i+1} = g^{i+1} \circ h^i $; equivalently $ h^i $ represents the content of $ y $ after the $ i $-th instruction of the program. In particular, if $ f $ is a permutation, then all intermediate transformations must be permutations as well. We remark that our programming language only allows to return one output: the transformation $ f $ computed by the program. However, it may be fair to ask the program to sequentially return outputs. This can be incorporated in our framework if all the outputs are permutations. However, the case of general transformations is more troublesome: for instance, if we ask to return $ f^1(x_1, x_2) = (x_1, x_1 + 1) $ and then $ f^2(x_1, x_2) = (x_2, x_2 + 1) $, then it is clear that $ f^2 $ cannot be computed after $ f^1 $. In general, a program can sequentially compute $ f^1, \ldots, f^K $ only if $ f^i $ dominates $ f^{i+1} $ for all $ 1 \leq i \leq K - 1 $ (our results will show that this is necessary and sufficient). Therefore, this program can be broken down into $ K $ shorter programs, each computing one output. In view of these considerations, we shall only consider programs which compute one output transformation $ f $ in the remaining of this paper. ### 2.2. All transformations are computable without memory We are now interested in the general case of computing any transformation of $ n $ variables. We first prove in Theorem 2.4 that any transformation can be computed. Although the program in the proof has exponential length, we shall prove that any transformation has a program of linear length. We introduce some useful notations for any words $ u, v \in A^n $. First, the *transposition* of $ u $ and $ v $, denoted as $ (u, v) $, is the permutation of $ A^n $ which maps $ u $ to $ v $, $ v $ to $ u $, and fixes any other word in $ A^n $. Second, the *assignment* of $ u $ to $ v $, denoted as $ (u \rightarrow v) $, is the transformation which maps $ u $ to $ v $ and fixes any other word in $ A^n $. Third, we denote the all-zero word as $ e^0 $ and the $ k $-th unit word as $ e^k \in A^n $, where $ e^k_i = \delta(i, k) $ and $ \delta $ is the Kronecker delta function. **Theorem 2.4.** Any transformation of $ A^n $ can be computed by a program which only consists of transpositions $ (u, v) $ where $ v = u + e^i $ for some $ i $ and the assignment $ (e^0 \rightarrow e^1) $. These instructions are respectively represented by \[ y_i \leftarrow y_i + \delta(y, u) - \delta(y, v), \] \[ y_1 \leftarrow y_1 + \delta(y, e^0). \] **Proof.** First of all, a generating set of $ \text{Sym}(A^n) $ together with any transformation of rank $ q^n - 1 $ generates all transformations [11, Theorem 3.1.3]. Since the assignment $ (e^0 \rightarrow e^1) $ is an instruction of rank $ q^n - 1 $ (clearly represented in the bottom row above in update form), we only need to generate $ \text{Sym}(A^n) $. Order the words of $ A^n $ according to the Gray code in [13], then any two consecutive words $ v^j $ and $ v^{j+1} $ satisfy $ v^{j+1} = v^j \pm e^{i_j} $ for some $ i_j $. The Coxeter generators $ \{(v^j, v^{j+1}) : 1 \leq j \leq q^n - 1\} $ corresponding to this ordering thus are instructions, e.g. if $ v^{j+1} = v^j + e^i $, then $ (v^j, v^{j+1}) $ is represented by \[ y_i \leftarrow y_i + \delta(y, v^j) - \delta(y, v^{j+1}). \] Our framework is particularly interesting for computing using registers only, or equivalently without requiring to use primary memory. The instructions in Theorem 2.4 are encoded in assembly in Figure 2.1. The instructions are explained as follows. - **bne $ y $ $ a $ 1** (branch not equal) will jump to the instruction labelled by 1 if $ y \neq a $. - **addi $ y $ $ b** (add immediate) adds \( b $ to the value stored in $ y $ (without carry-out). - **j 1** (jump) jumps to the instruction labelled by 1. ### 3. Procedural complexity **Definition 3.1** (Procedural complexity). The shortest length of a program computing $ f $ is referred to as the procedural complexity of $ f $ and is denoted as $ L(f) $. By convention, the identity has procedural complexity 0. We have $ L(f \circ g) \leq L(f) + L(g) $ for any two transformations $ f $ and $ g $. Furthermore, if $ f $ is a permutation, then it is easy to show that $ L(f^{-1}) = L(f) $. We then obtain that \[ d(f, g) := L(f \circ g^{-1}) \] defines a metric on the symmetric group of $A^n$. This is indeed the word metric, with generators given by all the permutation instructions. We would like to emphasize that the procedural complexity strongly differs from other measures seen in complexity theory. For instance, the procedural complexity of any decision problem is simply 1, for it can be expressed as computing the instruction whose value is 1 if the instance has an affirmative answer and 0 otherwise. Also, the procedural complexity is based on the set of all instructions, and not only on circuits formed of certain types of gates. Therefore, each instruction can be arbitrarily “complex.” 3.1. Procedural complexity of permutations. The main purpose of this section is to prove that the maximum procedural complexity of a permutation in $\text{Sym}(A^n)$ is $2n - 1$, which is independent from the cardinality of the alphabet $A$. Proposition 3.2 below shows that this quantity is at least $2n - 1$. It is remarkable that the permutation which maximises the procedural complexity is very “simple” to describe; this fact highlights the difference between the procedural complexity and other complexity measures. **Proposition 3.2.** The procedural complexity of the transposition $(a, b)$ of two words $a, b \in A^n$ is $2d - 1$ instructions, where $d$ is the Hamming distance between $a$ and $b$: $d = |\{i : a_i \neq b_i\}|$. **Proof.** Without loss, let $a$ and $b$ disagree on their $d$ first coordinates. Denoting $v^k = (b_1, \ldots, b_k, a_{k+1}, \ldots, a_n)$ for $1 \leq k \leq d$, we obtain $$(a, b) = (a, v^1) \circ \cdots \circ (v^{d-2}, v^{d-1}) \circ (v^{d-1}, b) \circ \cdots \circ (v^1, v^2) \circ (a, v^1).$$ Each transposition involves words differing in at most one position, and hence is an instruction. For instance, $(a, v^1)$ is the instruction $$y_1 \leftarrow y_1 + (b_1 - a_1) \left( \delta(y, a) - \delta(y, v^1) \right).$$ Therefore, the procedural complexity is at most $2d - 1$ instructions. Conversely, suppose that there exists a program computing $(a, b)$ with fewer than $2d - 1$ instructions. In that program, at least two coordinates are only updated once (say $i$ before $j$). Denote the images of $a$ and $b$ before the update of $y_j$ as $a'$ and $b'$, respectively. Note that $a'_i = b_i$ and $b'_i = a_i$, since $y_i$ will not be updated any further. The update of $y_j$ is given by $$y_j \leftarrow y_j + (b_j - a_j)(\delta(y, a') - \delta(y, b')),$$ since coordinate $j$ cannot be modified for any program input other than $a$ or $b$, and it must indeed give the correct values for these two inputs. However, this update is not bijective, for $a'$ and $b'$ differ in coordinate $i$. □ To prove an upper bound on the procedural complexity, we need to study the properties of functions. We use the terminology of [9]. Although this upper bound was proved in [4], we give an alternate proof below, which connects the topic of this paper to the study of coordinate functions and combinatorial representations from [9]. **Definition 3.3.** Let $B, C$ be two alphabets. A function $f : B \times C \to B$ is balanced if $|f^{-1}(b)| = |C|$ for all $b \in B$. It is easily shown that for any two functions $f : B \times C \to B$ and $h : B \times C \to C$, $(f, h)$ is a permutation of $B \times C$ if and only if $f$ is balanced and $h(f^{-1}(b)) = C$ for all $b \in B$ [9]. **Proposition 3.4.** For any pair of balanced functions $f, g : B \times C \to B$, there exists $h : B \times C \to C$ such that $(f, h)$ and $(g, h)$ are permutations of $B \times C$. *Proof.* Let $G$ be the bipartite graph with vertex set given by two copies of $B$ and with $|(f, g)^{-1}(i, j)|$ edges between $i$ and $j$. Since $f$ and $g$ are balanced, $G$ is $|C|$-regular and hence its edges are $C$-colourable. Let $h$ be such colouring. Then for all $i \in B$, we have $h(f^{-1}(i)) = \bigcup_{j \in B} h((f, g)^{-1}(i, j)) = C$ and similarly $h(g^{-1}(j)) = C$. This is equivalent to $(f, h)$ and $(g, h)$ being permutations. □ **Theorem 3.5.** The maximum procedural complexity of a permutation of $A^n$ is $2n - 1$ instructions. *Proof.* Proposition 3.2 shows that the maximum complexity is at least $2n - 1$. We then prove that any permutation $f$ can be computed by a program with at most $2n - 1$ instructions. We prove the following claim: for any $1 \leq k \leq n - 1$, there exists a function $h_k : A^n \to A$ of $x$ such that $(h_1, \ldots, h_k, x_{k+1}, \ldots, x_n)$ and $(h_1, \ldots, h_k, f_{k+1}, \ldots, f_n)$ are permutations. This is clear for $k = 1$: apply Proposition 3.4 to $(f_2, \ldots, f_n)$ and $(x_2, \ldots, x_n)$. Let us assume it is true for up to $k - 1$, then by hypothesis, $g^1 := (h_1, \ldots, h_{k-1}, x_{k+1}, \ldots, x_n)$ and $g^2 := (h_1, \ldots, h_{k-1}, f_{k+1}, \ldots, f_n)$ are both balanced functions from $A^n$ to $A^{n-1}$ (since $(g^1, x_k)$ and $(g^2, f_k)$ are permutations, respectively). Applying Proposition 3.4 to these functions then proves the claim. The program then proceeds as follows: - Step 1. For $k$ from 1 to $n - 1$, do $y_k \leftarrow h_k(x)$. - Step 2. For $k$ from $n$ down to 1, do $y_k \leftarrow f_k(x)$. □ We can represent computations of any permutation of $A^n$ as progressing around the Cayley graph [12] $$\text{Cay}(\text{Sym}(A^n), \mathcal{I}).$$ The set of permutation instructions $\mathcal{I} \subseteq \text{Sym}(A^n)$ is described as follows. Let $g$ be the instruction $y_i \leftarrow g_i(y)$. Then in view of the remarks made after Definition 3.3, $g$ is a permutation if and only if $g_i : A^n \to A$ satisfies $$g_i(\{u \in A^n : (u_1, \ldots, u_{i-1}, u_{i+1}, \ldots, u_n) = v\}) = A$$ for all $v \in A^{n-1}$. There are hence $q!$ choices for the reduction of $g_i$ to each pre-image, and hence $(q!)^{q^{n-1}}$ choices for $g_i$. Since the identity has been counted $n$ times, there are $$|\mathcal{I}| = n(q!)^{q^{n-1}} - n + 1$$ instructions. Note that the inverse of $g$ is given by the instruction $h$ which also updates the $i$-th coordinate and satisfies $$h_i(x_1, \ldots, x_{i-1}, g_i(x), x_{i+1}, \ldots, x_n) = x_i.$$ Therefore, the set of permutation instructions updating a given coordinate forms a group, isomorphic to $\text{Sym}(A)^{q^{n-1}}$. We have determined the maximum procedural complexity in Theorem 3.5. We are now interested in the expected complexity. Proposition 3.6 gives a lower bound on that quantity. **Proposition 3.6.** The proportion of permutations with computational complexity at least $$\left\lfloor \frac{n \log q - 1}{q^{-1} \log q! + q^{-n} \log n} \right\rfloor + 1$$ tends to 1 when $ n $ tends to infinity. **Proof.** Any transformation with procedural complexity $ l $ can be expressed as a product of $ l $ instructions. Therefore, the number of permutations with procedural complexity at most $ l $ is no more than the number of $ l $-tuples of permutation instructions, given by $ |\mathcal{I}|^l $. We have \[ |\mathcal{I}| \leq n(q!)^{q^{n-1}} \\ = \exp(\log n + q^{n-1} \log q!), \] \[ |\text{Sym}(A^n)| = q^n! \geq \sqrt{2\pi q^n q^{nq^n}} \exp(-q^n) \\ = \sqrt{2\pi q^n} \exp(q^n(n \log q - 1)). \] Denoting $ B = \frac{n \log q - 1}{q^{-1} \log q! + q^{-n} \log n} $ we obtain $ |\text{Sym}(A^n)| \geq \sqrt{2\pi q^n} |\mathcal{I}|^B $ and hence the proportion of permutations with procedural complexity at most $ \lfloor B \rfloor $ is upper bounded by \[ \frac{|\mathcal{I}|^{\lfloor B \rfloor}}{|\text{Sym}(A^n)|} < \frac{1}{\sqrt{2\pi q^n}}, \] which tends to zero. $ \blacksquare $ In particular, Proposition 3.6 shows that for $ n $ large, almost all permutations of $ \text{GF}(2)^n $ have computational complexity at least $ 2n - 2 $. However, the bound in Proposition 3.6 decreases with $ q $. We now show how the problem of determining the procedural complexity of a given permutation can be reduced to the case of so-called ordered permutations for nearly all permutations. **Definition 3.7 (Ordered function).** Let $ A $ and $ A^n $ be ordered (say, using the lexicographic order). For any balanced function $ f_i : A^n \to A $ and any $ a \in A $, we denote the minimum element of $ f_i^{-1}(a) $ as $ m(a) $. We say $ f_i $ is ordered if $ m(0) \leq m(1) \leq \ldots \leq m(q - 1) $. Any function $ f_i : A^n \to A $ can be uniquely expressed as \[ f_i = \sigma_i \circ f_i^* \] where $ \sigma_i \in \text{Sym}(A) $ and $ f_i^* $ is ordered. In this case, we say that $ f_i $ is parallel to $ f_i^* $ [9]. By extension, we say that $ f $ is ordered if all its coordinate functions are ordered. Therefore, to any permutation $ f $, we associate the ordered permutation $ f^* $ where $ f_i = \sigma_i \circ f_i^* $ for some $ \sigma_1, \ldots, \sigma_n \in \text{Sym}(A) $. **Proposition 3.8.** There exists a shortest program computing $ f^* $ using only ordered instructions. Furthermore, its length satisfies \[ \mathcal{L}(f^*) \leq \mathcal{L}(f) \leq \mathcal{L}(f^*) + T(f), \] (3.1) where $ T(f) $ is the number of nearly trivial (parallel to the trivial coordinate function) coordinate functions of $ f $: \[ T(f) = |\{i : f_i^* = x_i, f_i \neq x_i\}|. \] **Proof.** The proof of the different claims all use the idea of converting programs. We first prove that there exists a shortest program computing $ f^* $ using only ordered instructions. Let $ f^* = g^L \circ \ldots \circ g^1 $ be a shortest program computing $ f^* $. We can easily convert it to another program $ h^L \circ \ldots \circ h^1 $ using only ordered instructions as follows. First let $ h^1 = g^{1*} $. Then before $ g^j $, we can express the content of the $ i $-th cell as $ y_i = \rho_i \circ y_i^* $ for all $ 1 \leq i \leq n $. Replace the instruction $ y_i \leftarrow g_i^j(y) $ by \[ y_i \leftarrow h_i^j(y) = \tau g_i^j(\rho_1 \circ y_1, \ldots, \rho_n \circ y_n), \] where $ \tau \in \text{Sym}(A) $ guarantees that the instruction $ h_i^j $ is indeed ordered. It is easy to check that converting all instructions in this fashion does yield a program computing $ f^* $. We now prove that $ \mathcal{L}(f^*) \leq \mathcal{L}(f) $. Consider a shortest program $ g^L \circ \ldots \circ g^1 $ computing $ f $ and convert it as follows to compute $ f^* $. First, replace any final update $ y_i \leftarrow f_i(x) $ by $ y_i \leftarrow \sigma_i^{-1} \circ f_i(x) = f_i^*(x) $. Second, after this final update, replace any occurrence of $ y_i $ by $ \sigma_i y_i $. We finally prove that $ L(f) \leq L(f^*) + T(f) $. Consider a shortest program $ h^L \circ \ldots \circ h^1 $ computing $ f^* $ (note that it may or may not update any of the coordinates $ y_i $ for which $ f_k $ is nearly trivial) and convert it as follows to compute $ f $. First, replace any final update $ y_i \leftarrow f^*_i(x) $ by $ y_i \leftarrow \sigma_i \circ f^*_i(x) = f_i(x) $. Second, after this final update, replace any occurrence of $ y_i $ by $ \sigma_i^{-1} y_i $. Third, update the eventual nearly trivial coordinate functions which have not been updated yet (there are at most $ T(f) $ of them). ### 3.2. Procedural complexity of all transformations We have shown that any permutation of $ A^n $ can be computed in $ 2n - 1 $ memoryless instructions. We have also shown that any transformation can be computed by some memoryless program. The aim of this section is to derive an upper bound on the procedural complexity of any transformation which only depends on $ n $; this upper bound turns out to be $ 4n - 3 $ instructions. **Definition 3.9 (Lexicographic order).** For any $ a = (a_1, \ldots, a_n) \in A^n $ ($ A = \mathbb{Z}_q $), we define the lexicographic order of $ a $ as the integer $ \sum_{i=1}^{n} a_i q^{i-1} $. For the sake of conciseness and clarity of notation, we shall abuse notation and identify $ a $ with its lexicographic order. In the lexicographic order, the all-zero word is in zero-th position, then $ (1, 0, \ldots, 0) $ is in first, $ (0, 1, 0, \ldots) $ is in $ q $-th position, and so on until $ (q - 1, \ldots, q - 1) $ in last and $ (q^n - 1) $-th position. The lexicographic order yields the concept of interval, defined below. **Definition 3.10.** An interval of $ A^n $ is any subset of the form \[ [b, c] := \{ x \in A^n : b \leq x \leq c \} \] for any $ 0 \leq b \leq c \leq q^n - 1 $. Recall that an integer partition of an integer $ s $ is a sequence of positive integers whose sum is equal to $ s $. Although the terms in the sequence are usually sorted in decreasing order, we do not do so in this paper. **Definition 3.11.** For any integer partition $ \lambda = (\lambda_1, \ldots, \lambda_k) $ of $ q^n $, $ p^\lambda $ is defined to be the transformation of $ A^n $ such that \[ p^\lambda([0, \lambda_1 - 1]) = 0, \] \[ p^\lambda\left(\left[\sum_{i=1}^{j-1} \lambda_i, \sum_{i=1}^{j} \lambda_i - 1\right]\right) = j - 1 \quad \text{for all } 1 \leq j \leq k. \] **Proposition 3.12.** Let $ f $ be a permutation of $ A^n $ which can be computed as a product of $ n $ instructions updating $ y_1 $ to $ y_n $. Then for any integer partition $ \lambda $ of $ q^n $, the transformation $ g = f \circ p^\lambda $ can also be computed as a product of $ n $ instructions updating $ y_1 $ to $ y_n $. **Proof.** In order to simplify notations, we denote $ p^\lambda $ as $ p $. We first prove the following claim: if $ a \geq b \in A^n $ agree on coordinates $ i $ to $ n $ for some $ i $, then $ p(a)_l = p(b)_l $ for all $ l \geq i $. Proof of claim: We have $ p(c + 1) \in \{ p(c), p(c) + 1 \} $ for any $ 0 \leq c < q^n - 1 $ and hence \[ 0 \leq p(a) - p(b) \leq a - b. \] Therefore, if $ a_l = b_l $ for all $ l \geq i $, then $ a - b < q^{i-1} $, which yields $ p(a) - p(b) < q^{i-1} $ and hence these two words agree on positions from $ i $ to $ n $. Let $ f = f^n \circ \cdots \circ f^1 $, where $ f^i $ is an instruction updating $ y_i $ for all $ i $. Let $ g^i $ be the transformation obtained after the instructions $ y_m \leftarrow g_m(y) $ for $ m $ from 1 to $ i $; we have \[ g^i(x) = (g_1(x), \ldots, g_i(x), x_{i+1}, \ldots, x_n). \] Then we only need to prove that for all $ 1 \leq i \leq n - 1 $ and all $ a \geq b \in A^n $, \[ g^i(a) = g^i(b) \Rightarrow g(a) = g(b). \] For any $ m \leq i $, we have $ g^i_m = g_m = (f \circ p)_m = f_m \circ p $. Therefore, $ g^i(a) = g^i(b) $ if and only if $ f_m(p(a)) = f_m(p(b)) $ for all $ m \leq i $ and $ a_l = b_l $ for all $ l \geq i + 1 $. By the claim above, we obtain $ p(a)_l = p(b)_l $ for all $ l \geq i + 1 $. Thus $ g^i(a) = g^i(b) $ implies $ h(p(a)) = h(p(b)) $, where \[ h(x) = (f^i \circ \cdots \circ f^1)(x) = (f_1(x), \ldots, f_i(x), x_{i+1}, \ldots, x_n). \] Since $h$ is a permutation, we obtain $p(a) = p(b)$ and hence $g(a) = g(b)$. □ **Theorem 3.13.** Any transformation of $A^n$ can be computed in at most $4n - 3$ instructions. **Proof.** Let $f$ be a transformation of $A^n$ and consider the integer partition $\lambda$ induced by its pre-images: denote $f(A^n) = \{a_1, \ldots, a_k\}$ and $\lambda_i = |f^{-1}(a_i)|$ for all $1 \leq i \leq k$. Then $f$ can be expressed as $$f = h \circ p^\lambda \circ g,$$ where $g$ and $h$ are permutations of $A^n$ satisfying $$g(f^{-1}(a_j)) = \left[ \sum_{i=1}^{j-1} \lambda_i, \sum_{i=1}^{j} \lambda_i - 1 \right],$$ $$h(j-1) = a_j$$ for all $1 \leq j \leq k$. By Theorem 3.5, $g$ and $h$ can be computed as follows, where the superscript indicates which coordinate is updated by each instruction: $$g = \bar{g}^1 \circ \cdots \circ \bar{g}^{n-1} \circ g^n \circ \cdots \circ g^1,$$ $$h = \bar{h}^1 \circ \cdots \circ \bar{h}^{n-1} \circ h^n \circ \cdots \circ h^1.$$ By Proposition 3.12, the transformation $h^n \circ \cdots \circ h^1 \circ p^\lambda$ can be computed in $n$ instructions $p^n \circ \cdots \circ p^1$. Furthermore, $p_1$ and $\bar{g}^1$ being instructions updating $y_1$, their product $q^1 = p^1 \circ \bar{g}^1$ is another instruction updating $y_1$. Thus, $f$ can be computed by the following program of length $4n - 3$: $$f = \bar{h}^1 \circ \cdots \circ \bar{h}^{n-1} \circ p^n \circ \cdots \circ p^2 \circ q^1 \circ \bar{g}^2 \circ \cdots \circ \bar{g}^{n-1} \circ g^n \circ \cdots \circ g^1.$$ □ We conclude this section with a remark on infinite alphabets. If $A$ is infinite, there exists a bijection $h : A^n \to A$ and thus any transformation can be computed in $n + 1$ instructions by the following program: $$y_n \leftarrow h(y)$$ $$y_1 \leftarrow f_1(x)$$ $$\vdots$$ $$y_n \leftarrow f_n(x).$$ ### 4. Computing linear transformations. #### 4.1. Program computing linear transformations. We are now concerned with the case where $q$ is a prime power and the inputs $x_1, \ldots, x_n$ are elements of a finite field $A = \text{GF}(q)$, and we want to compute a linear transformation $f$ of $A^n$, i.e. $$f(x) = Mx^\top$$ for some matrix $M \in A^{n \times n}$. Each coordinate function $f_i$ of $f$ can be viewed as the inner product of a row of $M$ with the input vector $x$. Therefore, we shall abuse notations slightly and refer to that row as $f_i$: $f_i(x) = f_i \cdot x$. In this section, we restrict ourselves to linear instructions only, i.e. instructions of the form $$y_i \leftarrow a \cdot y = \sum_{j=1}^{n} a_j y_j,$$ for some $a = (a_1, \ldots, a_n) \in A^n$. This is equivalent to calculating the matrix $M$ as a product of matrices $M = M_1 \ldots M_L$, where $M_i$ is a matrix which only modifies one row. If $M$ is nonsingular, this is also equivalent to a sequence of matrices $N_0 = I_n, N_1, \ldots, N_{L-1}, N_L = M$ where $N_i$ is nonsingular and $N_i$ and $N_{i+1}$ only differ by one row for all $i$. Gaussian elimination indicates that any matrix can be computed by linear instructions involving only two rows. The number of such instructions required to compute any matrix is on the order of $n^2$. However, since we allow any linear instruction involving all $n$ rows, we can obtain shorter programs. Theorem 4.1 shows that all matrices can be computed in a linear number of instructions. **Theorem 4.1.** Any $n \times n$ nonsingular matrix $M$ can be computed by at most $2n - 1$ linear instructions. Furthermore, this can be done in two main steps: - The first step updates row $i$ for $i$ from 1 to $n - 1$ to produce an upper unitriangular matrix (i.e., with ones on the diagonal) - The second step updates row $i$ for $i$ from $n$ down to 1 to produce $M$. In general, any $n \times n$ matrix with rank $\rho \geq 1$ can be computed in $n + \rho - 1$ linear instructions. **Proof.** The proof of correctness of the algorithm for nonsingular matrices actually goes in reverse: we start from $M$ and construct the identity matrix. We first justify the first step of the reversed algorithm: $M$ can be triangularised in $n$ instructions. Let us prove that after $k$ instructions we can obtain a matrix $M_k$ where the upper left $k \times k$ submatrix is upper unitriangular, by induction on $k$ ($1 \leq k \leq n$). We shall consider the $(n - 1) \times k$ matrix $N$ formed by the first $k$ columns and all but the $k$-th row of $M_{k-1}$ ($M_0 = M$). For $k = 1$, we need to consider two cases: 1. The $(1, 1)$ entry of $M$ is nonzero, then scaling the first row will work: \[ y_1 \leftarrow M(1, 1)^{-1} y_1. \] 2. Otherwise, there exists a non-zero element $M(j, 1)$, then do \[ y_1 \leftarrow y_1 + M(j, 1)^{-1} y_j. \] Now assume the claim holds for $k - 1$. Once again, we distinguish two cases on $N$: 1. The unit vector $\bar{e}^k = (0, \ldots, 0, 1) \in A^k$ is not in the row span of $N$. Then simply replace row $y_k$ with $\bar{e}^k \in A^n$. 2. Otherwise, by hypothesis the $k \times k$ matrix whose rows are given by the first $k - 1$ rows of $N$ together with $\bar{e}^k$ is upper unitriangular. Therefore, $N$ has full rank and there is a linear combination of rows $vN$ satisfying \[ vN + (y_k)^k = \bar{e}^k, \] where $(y_k)^k$ are the first $k$ positions of $y_k$. Therefore, denoting all but the $k$-th row of $M_{k-1}$ as $N'$, perform \[ y_k \leftarrow y_k + vN'. \] We now prove the second step: any upper unitriangular matrix can be turned into the identity matrix in $n - 1$ instructions. Let us prove that we can obtain a matrix whose last $k$ rows are equal to those of the identity matrix in $k - 1$ instructions ($1 \leq k \leq n$). For $k = 1$, this is trivial. Suppose it holds for $k - 1$ and denote $y_{n-k+1} = (0, \ldots, 0, 1, a_{n-k+2}, \ldots, a_n)$, then perform \[ y_{n-k+1} \leftarrow y_{n-k+1} - \sum_{i=n-k+2}^{n} a_i y_i. \] We now consider matrices with rank $1 \leq \rho < n$. We prove the claim by induction on $n$, the claim being clear for $n = 1$. Assume it is true for up to $n - 1$ and let us compute the matrix $M \in A^{n \times n}$. Without loss of generality, let the first $\rho$ rows of $M$ be linearly independent and them as $(N|P) \in A^{\rho \times n}$, where $N$ has $\rho$ columns and $P$ has $n - \rho$ columns. By hypothesis, there is a program with length at most $2\rho - 1$ which can compute $N$. Suppose $N$ has $k$ rows equal to those of the identity matrix. Then it is easily shown that there exists a program which computes $N$ in no more than $2(\rho - k) - 1$ instructions. This program can be appended by $k$ trivial instructions $y_j \leftarrow y_j$ to obtain a program which computes $N$, which updates all rows, and which has no more than $2\rho - 1$ instructions in total. We adapt this program so that it computes $(N|P)$ as follows. Suppose that $y_j \leftarrow f_j$ is the first final update therein. Then applying the program, it should yield the $j$-th row of $N$ for the first $\rho$ coordinates and the all-zero vector for the last $n - \rho$ coordinates. However, the $j$-th row of $P$, say $v_j$, can be expressed as a linear combination of the last $n - \rho$ rows of the $n \times n$ identity matrix. Therefore, simply replace $y_j \leftarrow f_j$ by \[ y_j \leftarrow f_j + v_j. \] Subsequently, replace any occurrence of $y_j$ by $y_j - v_j$ in the program. Do this operation for all rows, and we obtain a program which computes $(N|P)$ in at most $2\rho - 1$ instructions. Finally, all other $n - \rho$ rows of $M$ can be expressed as linear combinations of the first $\rho$, so it only takes $n - \rho$ final updates. 4.2. **Further results for nonsingular matrices.** Let us characterise the set $\mathcal{M}(\text{GF}(q)^n)$ of invertible linear instructions. It is given by the set of nonsingular matrices with at most one nontrivial row: \[ \mathcal{M} = \{ S(i, v) : 1 \leq i \leq n, v \in A^n(i) \}, \] where \[ A^n(i) = \{ v \in A^n, v_i \neq 0 \} \text{ for all } 1 \leq i \leq n, \] \[ S(i, v) = \begin{pmatrix} I_{i-1} & 0 \\ v & I_{n-i} \end{pmatrix} \in A^{n \times n}. \] Remark that $S(i, v)^{-1} = S(i, -v_i^{-1}v)$ for all $i, v$ and \[ |\mathcal{M}| = nq^{n-1}(q-1) - n + 1. \] Computing a nonsingular matrix is hence equivalent to progressing around the Cayley graph \[ G := \text{Cay}(\text{GL}(n, q), \mathcal{M}). \] Our previous results imply that $G$ is undirected and connected. Since it is a Cayley graph, it is vertex-transitive and in particular it is regular of valency $|\mathcal{M}| - 1 = n(q^n - q^{n-1} - 1)$. The following are equivalent: 1. $M$ and $N$ are adjacent in $G$. 2. $M = S(i, v)N$ and $N = S(i, -v_i^{-1}v)M$ for some $i$ and $v \in A^n(i)$. 3. $M$ and $N$ only differ in one row. Therefore, $G$ is the subgraph of the Hamming graph $H(n, q^n)$ induced by the general linear group. The diameter of $G$ is of great interest as it gives the maximum procedural complexity $\mathcal{L}'(M)$ of computing a nonsingular matrix by updating one row at a time. We know that it is no more than $2n - 1$; we shall see that it is at least $\left\lceil \frac{3n}{4} \right\rceil$ (and hence it is equal to 3 when $n = 2$) but it remains unknown for $n \geq 3$. However, when the field $A$ is large, then almost all $n \times n$ matrices can be computed in no more than $n$ linear instructions. **Proposition 4.2.** There are exactly \[ (q - 1)^n q^{n(n-1)} = \left(1 - \frac{1}{q}\right)^n q^{n^2} \] $n \times n$ nonsingular matrices over GF$(q)$ which can be computed simply by updating their rows from 1 to $n$ in increasing order. **Proof.** Let us count such matrices $M$ with rows $f_i$. After the first instruction, we obtain the matrix whose first row is equal to $f_1$, while the last $n - 1$ rows do not depend on the matrix we are computing and are equal to $(0|I_{n-1})$. Then $f_1$ can be chosen as any vector not in the span of the last $n - 1$ rows: there are hence $(q - 1)q^{n-1}$ choices for $f_1$. Once $f_1$ is fixed, similarly there are $(q - 1)q^{n-1}$ choices for $f_2$, and so on. Similar to the general case, we can reduce the problem of determining the complexity of nearly any nonsingular matrix to the case of so-called *scaled* matrices. Note that this concept is not necessarily consistent with the concept of ordered permutations; however, it can be viewed as an analogue. **Definition 4.3.** A nonzero vector whose leading nonzero coefficient is equal to 1 is said to be scaled. A nonsingular matrix is scaled if all its rows are scaled. For instance, the identity matrix is the only scaled diagonal matrix. For any nonzero vector $v \in \text{GF}(q)^n$ with leading nonzero coordinate $v_j$, we can express $$v = v_j v^*$$ for a unique scaled vector $v^*$. For any nonsingular matrix $M$ with rows $f_i$, let $M^*$ be the corresponding scaled matrix with rows $f_i^*$. We obtain the linear analogue of Proposition 3.8. **Proposition 4.4.** There exists a shortest linear program computing $M^*$ with only scaled instructions. Its length satisfies $$L'(M) \leq L'(M) \leq L'(M^*) + T'(M),$$ where $T'(M)$ is the number of nearly trivial (equal to multiples of the corresponding unit vectors) rows of $M$: $$T'(M) = |\{i : f_i = \mu_i e^i, \mu_i \in \text{GF}(q) \setminus \{0,1\}\}| = |\{i : f_i \neq e^i, f_i^* = e^i\}|.$$ ### 4.3. Manipulating variables We generalise the example of swapping two variables by considering any manipulation of variables. We distinguish between a transformation $\phi$ of $[n]$ (where we denote $[n] = \{1, \ldots, n\}$) which represents the formal movement of variables and the transformation $f^\phi$ of $A^n$ it induces on all the possible values of the variables. Although we do not require that $q$ should be a prime power, in such a case a manipulation of variables is indeed a linear transformation. Remark that $f^\phi \in \text{Sym}(A^n)$ if and only if $\phi \in \text{Sym}(n)$. We always use the postfix notation for $\phi$, i.e. the image of $i$ under $\phi$ is denoted as $i\phi$. For $\phi : [n] \to [n]$, $\phi^k$ does represent the $k$-th power of $\phi$ according to composition. **Definition 4.5.** A manipulation of variables is a transformation $f^\phi$ of $A^n$ such that there exists a transformation $\phi$ of $[n]$ for which $$f^\phi(x_1, \ldots, x_n) = (x_{1\phi}, \ldots, x_{n\phi})$$ for all $x \in A^n$. The transformation $\phi$ can be represented using a directed graph on $[n]$ with $n$ arcs $(i, i\phi)$ (see [11] for a detailed review of this representation of transformations). This directed graph has cycles of two kinds: - A cycle $(i, i\phi, \ldots, i\phi^{k-1})$ (where $i\phi^k = i$) is detached if for all $0 \leq l \leq k - 1$, there is no $j_l \neq i\phi^{l-1}$ such that $j_l\phi = i\phi^l$. Equivalently, the cycle is an entire connected component of the graph. - A cycle $(i, i\phi, \ldots, i\phi^{k-1})$ is attached otherwise, i.e. if there exists $0 \leq l \leq k - 1$ and $j \in [n], j \neq i\phi^{l-1}$ such that $j\phi = i\phi^l$. Note that if $\phi$ is a permutation, then all its cycles are detached. For instance, consider $\phi : [6] \to [6]$ defined as $1\phi = 2, 2\phi = 3, 3\phi = 1, 4\phi = 2, 5\phi = 6, 6\phi = 5$. Then the cycle $(1, 2, 3)$ is attached to 4, while the cycle $(5, 6)$ is detached, as seen on Figure 4.1. **Example.** Let us first consider the case of a cyclic shift of three variables, i.e. $\pi = (1, 2, 3)$ and $f^\pi : A^3 \to A^3$ such that $f^\pi(x_1, x_2, x_3) = (x_2, x_3, x_1)$. This can be computed via linear combinations: $$y_1 \leftarrow y_1 + y_2 + y_3 \quad (= x_1 + x_2 + x_3)$$ $$y_3 \leftarrow y_1 - y_2 - y_3 \quad (= x_1)$$ $$y_2 \leftarrow y_1 - y_2 - y_3 \quad (= x_3)$$ $$y_1 \leftarrow y_1 - y_2 - y_3 \quad (= x_2).$$ However, it is impossible to perform this cyclic shift in four instructions by first updating $y_1$ and then updating $y_2$ instead of $y_3$. This is an example of the more general result below. **Proposition 4.6.** Let $\kappa \in \text{Sym}(n)$ be a cyclic permutation, without loss $\kappa = (1, 2, \ldots, n)$. Then the cyclic shift of $n$ variables $f^\kappa : A^n \to A^n$ can be computed in $n + 1$ instructions if and only if the order of updates (up to starting point) is $y_1, y_n, \ldots, y_2, y_1$. *Proof.* Let us prove that if the order is correct, then we can compute the cyclic shift. This is done via the following program: \[ \begin{align*} y_1 &\leftarrow \sum_{i=1}^{n} y_i \\ y_n &\leftarrow y_1 - \sum_{j=2}^{n} y_j \\ &\vdots \\ y_1 &\leftarrow y_1 - \sum_{j=2}^{n} y_j. \end{align*} \] We prove the correctness of this program by induction: we claim that after the update of $y_{n-i}$, all variables $y_n, y_{n-1}, \ldots, y_{n-i}$ have the correct values $x_{n+1} = x_1, x_n, \ldots, x_{n-i+1}$ for $i$ from 0 to $n-1$. For $i = 0$, we have \[ y_n \leftarrow y_1 - \sum_{j=2}^{n} y_j = \sum_{i=1}^{n} x_i - \sum_{j=2}^{n} x_j = x_1. \] Now suppose it holds for up to $i-1$, we then have \[ y_{n-i} \leftarrow y_1 - \sum_{j=2}^{n-i} y_j - \sum_{j=n-i+1}^{n} y_j = \sum_{i=1}^{n} x_i - \sum_{j=2}^{n-i} x_j - \sum_{k=n-i+2}^{n+1} x_k = x_{n-i+1}. \] We now prove the reverse implication. Consider a program computing the shift of variables with $n+1$ instructions, and let $y_1$ be updated first. Then, for all $1 \leq k \leq n$, the update of $y_k$ must occur after that of $y_{i+1}$. Indeed, otherwise after $y_i \leftarrow x_{i+1}$, the content of $(y_i, y_{i+1})$ is $(x_{i+1}, x_{i+1})$ and the resulting transformation is not a permutation. The only order possible is hence $y_1, y_n, \ldots, y_1$. □ We can then determine the procedural complexity of a manipulation of variables. **Theorem 4.7.** Let $\phi : [n] \to [n]$ have $F$ fixed points and $D$ detached cycles. Then the procedural complexity of the manipulation of $n$ variables $f^\phi : A^n \to A^n$ is exactly - $n - F + D$ instructions if $\phi$ is a permutation; - $n - F + 1$ instructions if $\phi$ is not a permutation and $D > 0$; - $n - F$ instructions otherwise. *Proof.* Let us first suppose that $\phi$ is a permutation. Then computing one cycle after the other yields a program of length $n - F + D$ by Proposition 4.6. Conversely, assume that there is a program computing $f^\phi$ in fewer than $n - F + D$ instructions. For this program there must be at least one cycle of $\phi$ such that each coordinate in the cycle is updated only once. Then after the first such update $y_i \leftarrow x_{i\phi}$, we have $y_i = y_{i\phi} = x_{i\phi}$ and hence the resulting transformation is not a permutation. Let us now suppose that $\phi$ is not a permutation. Let $m$ denote the number of variables which are not fixed and do not belong to any cycle. The subgraph induced on these vertices is acyclic, hence we can order them as $a_1, \ldots, a_m$ such that $a_i = a_j \phi$ only if $i > j$ [1]. The first part of the program consists in updating all these vertices but the last in the correct order; for $i$ from 1 to $m-1$, do \[ y_{a_i} \leftarrow y_{a_i \phi}. \] The second part is to perform the cycles by using $ y_{a_m} $ as memory. Let $ \{i_c : 1 \leq c \leq C\} $ denote a member of each (detached or attached) cycle of length $ l_c $, then do the following instruction: \[ y_{a_m} \leftarrow \sum_{c=1}^{C} y_{i_c}. \] Then for all $ c $ from 1 to $ C $ do \[ y_{i_c} \leftarrow y_{i_c \phi} \] \[ \vdots \] \[ y_{i_c \phi^{l_c-2}} \leftarrow y_{i_c \phi^{l_c-2}} \] \[ y_{i_c \phi^{l_c-1}} \leftarrow y_{a_m} - \sum_{b=1}^{c-1} y_{i_b \phi^{l_b-1}} - \sum_{b=c+1}^{C} y_{i_b}. \] It can be easily proved by induction on $ c $ that this program does compute all cycles. Eventually, we need the final update of $ y_{a_m} $. Note that $ a_m \phi $ is either a fixed point or it belongs to a cycle; therefore $ x_{a_m \phi} $ is contained in $ y_{a_m \phi^L} $, where $ L = 0 $ if $ a_m \phi $ is a fixed point and $ L = l_c - 1 $ if it belongs to the cycle $ c $. Thus, the final update is given by \[ y_{a_m} \leftarrow y_{a_m \phi^L}. \tag{4.1} \] Since $ y_{a_m} $ is the only coordinate updated twice, this program has length $ n - F + 1 $. We now simplify this program when $ \phi $ has no detached cycles. This time, for $ i $ from 1 to $ m $, do \[ y_{a_i} \leftarrow y_{a_i \phi}. \] Then for all $ c $ from 1 to $ C $, there exists $ \alpha_c \in \{a_1, \ldots, a_m\} $ such that $ \alpha_c \phi = i_c $, therefore do \[ y_{i_c} \leftarrow y_{i_c \phi} \] \[ \vdots \] \[ y_{i_c \phi^{l_c-2}} \leftarrow y_{i_c \phi^{l_c-2}} \] \[ y_{i_c \phi^{l_c-1}} \leftarrow y_{\alpha_c}. \] Since $ y_{a_m} $ already contains $ x_{a_m \phi} $, there is no need to include the final update in (4.1). Conversely, it is clear that at least $ n - F $ instructions are needed to compute $ f^\phi $. Furthermore, assume $ D > 0 $ and that there is a program computing $ f^\phi $ in exactly $ n - F $ instructions. Let $ i $ in the cycle $ c $ be the first coordinate belonging to a detached cycle to be updated. Then the program first does $ y_i \leftarrow x_{i \phi} $ and the value of $ x_i $ is lost; therefore, the update $ y_{i \phi^{l_c-1}} \leftarrow x_i $ cannot occur. Theorem 4.7 indicates that disjoint cycles of a permutation cannot be computed “concurrently,” for the shortest program which computes two cycles exactly consists of computing one before the other. **Corollary 4.8.** If $ n = 2m $, then computing $ m $ disjoint transpositions of variables (e.g. $ (1,2)(3,4)\cdots(2m-1,2m) $) takes exactly $ 3m $ instructions. If $ n = 2m + 1 $, then computing $ m - 1 $ disjoint transpositions and a cycle of length 3, (e.g. $ (1,2)(3,4)\cdots(2m-3,2m-2)(2m-1,2m,2m+1) $) takes exactly $ 3m + 1 $ instructions. This is the maximum number of instructions for any manipulation of variables. In particular, if $ x_1, \ldots, x_{m^2} $ are the entries of an $ m \times m $ matrix over $ A $, then transposing that matrix takes exactly $ 3m(m-1)/2 $ instructions. Another consequence of Theorem 4.7 is that when $ \phi $ is not a permutation, we can obtain shorter programs by using some arithmetic than by adopting the “black box” approach used for the swap of two variables escribed in the very beginning of the paper. Figure 4.2 shows the smallest example: computing $ f^\phi $ takes 6 instructions when using the program described in the proof of Theorem 4.7, while it takes 7 instructions when we do not combine variables. Clearly, this example can be generalized by adding more cycles, thus yielding an arbitrarily large gap between the two approaches. The results are summarised in Proposition 4.9 and Corollary 4.10. **Proposition 4.9.** Let $\phi$ be a transformation of $[n]$ with $F$ fixed points and $D$ detached cycles. Then the manipulation of variables $f^\phi$ can be computed without memory by instructions of the form $y_i \leftarrow y_j$ for any $i, j \in [n]$ if and only if $\phi$ is not a permutation (or is the identity). In that case, the shortest length of such a program is $n - F + D$. The proof calls arguments similar to those used above and is hence omitted. **Corollary 4.10.** If $\phi$ is not a permutation, then the ratio between the procedural complexity of $f^\phi$ over the minimum length of a program computing $f^\phi$ using instructions of the form $y_i \leftarrow y_j$ is always greater than $2/3$. Conversely, for any $\epsilon > 0$, there exists $\phi$ for which that ratio is between $2/3$ and $2/3 + \epsilon$. ### 5. Using memory Suppose we want to compute a transformation $f$ of $A^n$ using $m$ memory cells storing values in $A$. By convention, we shall denote the content of the $m$ memory cells as $y_{n+1}, \ldots, y_{n+m}$. Then computing $f$ using $m$ memory cells is equivalent to computing some transformation $h(x_1, \ldots, x_{n+m})$ such that the first $n$ coordinate functions of $h$ coincide with those of $f$. Let us denote the set of such transformations as $D(f, m)$. The shortest length of a program computing $f$ using $m$ memory cells is hence given by $$L(f|m) := \min_{h \in D(f,m)} L(h).$$ Therefore, there exists $h$ such that $L(h) = L(f|m)$ but it may be difficult to characterise that transformation $h$. However, Proposition 5.1 shows that our framework also considers the case of using memory. Indeed, there is a deterministically (and easily) described transformation $h \in D(f, m)$ for which $L(h)$ and $L(f|m)$ are in bijection. **Proposition 5.1.** For any transformation $f$ of $A^n$ and any $e = (e_1, \ldots, e_m) \in A^m$, let $h^e \in D(f, m)$ and $h^e_{n+i} = e_i$ for $1 \leq i \leq m$. Then $$L(h^e) = L(f|m) + m.$$ *Proof.* Let $g \in D(f, m)$ such that $L(g) = L(f|m)$, then the shortest program computing $g$ appended with the suffix $y_{n+i} \leftarrow e_i$ for $i$ from 1 to $m$ has length $L(f|m) + m$ and computes $h^e$. Therefore, $L(h^e) \leq L(f|m) + m$. Conversely, consider the shortest program computing $h^e$. It contains $m$ final updates $y_{n+i} \leftarrow e_i$ which, without loss, appear for $i$ from $m$ down to 1. Then any instruction $y_j \leftarrow g(y)$ occurring after $y_{n+k} \leftarrow e_k$ (hence $j \leq n + k - 1$) can be replaced by $y_j \leftarrow g'(y_1, \ldots, y_{n+k-1})$ where $g' : A^{n+k-1} \to A$ is defined as $$g'(y_1, \ldots, y_{n+k-1}) = g(y_1, \ldots, y_{n+k-1}, e_k, \ldots, e_m).$$ Now remove all the $y_{n+i} \leftarrow e_i$ updates; we are left with a program which computes some transformation in $D(f, m)$ and whose length is given by $L(h^e) - m$. Thus $L(f|m) \leq L(h^e) - m$. □ 5.1. Shorter programs. We have shown in Theorem 2.4 that one need not use memory to compute any transformation. However, we shall prove that one may want to use memory in order to use shorter programs. In order to clarify notations, whenever $m = 1$, we denote the content of the memory cell as $t$. We have shown in Theorem 3.5 that any permutation can be computed without memory in at most $2n - 1$ instructions. On the other hand, using one memory cell necessarily yields a program with length at least $n + 1$. Propositions 3.2 and 5.2 show that these two results are simultaneously tight: there exists a permutation $f \in \text{Sym}(A^n)$ for which $\mathcal{L}(f) = 2n - 1$ while $\mathcal{L}(f|1) = n + 1$. **Proposition 5.2.** The transposition $(a, b)$ of two words $a, b \in A^n$ at Hamming distance $d$ can be computed with one memory cell in $d + 1$ instructions: $\mathcal{L}((a, b)|1) = d + 1$. *Proof.* Without loss, let us assume that $a$ and $b$ disagree on their first $d$ coordinates. Then the following program computes $(a, b)$: \[ \begin{align*} t &\leftarrow \delta(y, a) - \delta(y, b) \\ y_1 &\leftarrow y_1 + (b_1 - a_1)t \\ &\vdots \\ y_d &\leftarrow y_d + (b_d - a_d)t. \end{align*} \] In Theorem 3.13, we have given an upper bound on the complexity of any transformation which only depends on the number of variables. This upper bound is larger than $2n - 1$ obtained for permutations; however, using memory cells yields a program using $2n - 1$ instructions, as seen below. **Proposition 5.3.** Any transformation $f$ of $A^n$ can be computed with $n - 1$ memory cells and no more than $2n - 1$ instructions: $\mathcal{L}(f|n - 1) \leq 2n - 1$. *Proof.* The following program computes $f$ using $n - 1$ memory cells $t_1, \ldots, t_{n-1}$ and $2n - 1$ instructions: \[ \begin{align*} t_1 &\leftarrow y_1 \\ &\vdots \\ t_{n-1} &\leftarrow y_{n-1} \\ y_1 &\leftarrow f_1(t_1, \ldots, t_{n-1}, y_n) \\ &\vdots \\ y_n &\leftarrow f_n(t_1, \ldots, t_{n-1}, y_n). \end{align*} \] Proposition 5.3 indicates that we do not need any more than $n - 1$ memory cells. Indeed, if we use $n$ memory cells, then the program will have at least $2n$ instructions (unless some memory cells are not updated, which is equivalent to not using them). Therefore, $\mathcal{L}(f|m) = \mathcal{L}(f|n - 1)$ for any $m \geq n - 1$. We remark that this upper bound on the amount of memory needed follows from the fact that we allow any instruction. In practice, using a large amount of memory is the price paid for using only a restricted number of basic instructions. This can be easily generalised to the case where $f$ only has $k$ nontrivial coordinate functions. In that case, using $k - 1$ memory cells yields a program of length at most $2k - 1$ instructions, and hence only $k - 1$ memory cells are needed. The ideas behind Theorem 3.5 can be adapted to the case of using memory to yield a refinement of Proposition 5.3 for permutations. **Theorem 5.4.** Any permutation of $A^n$ can be computed in at most $3m$ instructions with $m$ memory cells if $n = 2m$ is even and at most $3m + 3$ instructions with $m + 2$ memory cells if $n = 2m + 1$ is odd. *Proof.* Suppose $n = 2m$, let $f \in \text{Sym}(A^n)$ and let $t_1, \ldots, t_m$ denote the memory. By Proposition 3.4, there exist $m$ functions $g_1, \ldots, g_m : A^n \to A$ such that \[ (f_1, \ldots, f_m, g_1, \ldots, g_m) \quad \text{and} \quad (x_{m+1}, \ldots, x_n, g_1, \ldots, g_m) \] both form permutations of $A^n$. The program goes as follows: • Step 1 (m instructions). For i from 1 to m, do $ t_i \leftarrow g_i(x) $. • Step 2 (m instructions). For i from 1 to m, do $ y_i \leftarrow f_i(x) $. This is possible since $(x_{m+1}, \ldots, x_n, g_1, \ldots, g_m)$ form a permutation of $A^n$, and hence $f_i(x)$ can be expressed as a function of $(y_{m+1}, \ldots, y_n, t_1, \ldots, t_m)$. • Step 3 (m instructions). For i from $m+1$ to n, do $y_i \leftarrow f_i(x)$. This is possible since $(f_1, \ldots, f_m, g_1, \ldots, g_m)$ form a permutation of $A^n$, and hence $f_i(x)$ can be expressed as a function of $(y_1, \ldots, y_m, t_1, \ldots, t_m)$. Now let $n = 2m + 1$ be odd. Then add one memory cell and consider the extended permutation $g \in D(f, 1)$ such that $g_{2m+2}(x) = x_{2m+2}$. Then $g$ can be computed in $3m + 3$ instructions and $m + 1$ memory cells. Therefore, we do not want more than around $n/2$ memory cells to compute any permutation; adding any more would be superfluous. There is a linear analogue to Theorem 5.4. **Proposition 5.5.** Any linear permutation of $A^n$ can be computed in at most $3m$ linear instructions with $m$ memory cells if $n = 2m$ is even and at most $3m + 3$ linear instructions with $m + 2$ memory cells if $n = 2m + 1$ is odd. **Proof.** Suppose $n = 2m$. Let $f(x) = xM^\top$ and denote the first $m$ rows of $M$ as $M_1$ and the matrix $J = (0|I_m) \in A^{m \times n}$. We claim that there exists a matrix $N \in A^{m \times n}$ such that $(M_1^\top, N^\top)$ and $(J^\top, N^\top)$, both in $A^{n \times n}$, are nonsingular. Then the algorithm simply places $N$ in the memory, then replaces the first $m$ rows by $M_1$, and finally updates the last $m$ rows to those of $M$. We now justify our claim. This is equivalent to showing that for any two subspaces in the Grassmannian $G(q, 2m, m)$ of $m$-dimensional subspaces of $\text{GF}(q)^{2m}$, there exists a third subspace in the same Grassmannian at subspace distance $2m$ from both [14] (where the subspace distance between $U, V \in G(q, 2m, m)$ is given by $2 \dim(U + V) - 2m$). Since the Grassmannian endowed with the subspace distance forms an association scheme [10], we only have to check for the row space of $J$ and one subspace at distance $2d$ for each $0 \leq d \leq m$. Let us then assume $M_1 = (0_{m-d}|I_m|0_d)$ whose row space is at subspace distance $2d$ from that of $J$. Then it is easily checked that the row space of \[ N = \begin{pmatrix} I_m & 0_d \\ 0_{m-d} & I_{m-d} \end{pmatrix} \] is at distance $2m$ from the row spaces of $M_1$ and $J$. The case $n = 2m + 1$ is settled by considering $M' \in A^{n+1 \times n+1}$ given by \[ M' = \begin{pmatrix} M & 0 \\ 0 & 1 \end{pmatrix}. \] For manipulations of variables, we can completely determine the gain offered by using memory. **Example.** Let $\pi = (1, 2)(3, 4) \in \text{Sym}(4)$ and let $f^\pi : A^4 \to A^4$ be the corresponding permutation of variables. By Corollary 4.8, two disjoint transpositions of variables must be computed in at least 6 instructions when no memory is used. However, adjoining one memory cell $t$ leads to a program with only 5 instructions, as seen below. \[ \begin{align*} t & \leftarrow y_1 + y_3 \quad (= x_1 + x_3) \\ y_1 & \leftarrow y_2 \quad (= x_2) \\ y_2 & \leftarrow t - y_3 \quad (= x_1) \\ y_3 & \leftarrow y_4 \quad (= x_4) \\ y_4 & \leftarrow t - y_2 \quad (= x_3) \end{align*} \] More generally, we can show that using only one memory cell is sufficient to compute any manipulation of variables. **Proposition 5.6.** Any manipulation of $n$ variables with $F$ fixed points can be computed with one memory cell in at most $n - F + 1$ instructions. **Proof.** By Theorem 4.7, we only need to prove the case where $\phi$ is a permutation of $[n]$. Let $\pi$ be the transformation of $[n + 1]$ defined as $i\pi = i\phi$ for all $i \in [n]$ and $(n + 1)\pi = 1$. Then by Theorem 4.7, we can compute $f^\pi$ in $n - F + 2$ instructions, where the last instruction updates $y_{n+1}$. By removing that last instruction, we compute $f^\phi$ in $n - F + 1$ instructions while using one memory cell $y_{n+1}$. By comparing with Theorem 4.7, we see that using only one memory cell reduces the length of the program from $n - F + C$ to $n - F + 1$ for permutations. In particular, for a disjoint product of $m$ transpositions, the complexity goes down from $3m$ to only $2m + 1$. 5.2. **Binary instructions.** Since the number of instructions is very large, one may want to use only a subset of instructions to compute any transformation. A natural choice is that of binary instructions, since any function can be computed as a composition of binary operations. **Definition 5.7.** An instruction $y_i \leftarrow g_i(y)$ is binary if $g$ only involves at most two variables: $g_i(y) = g_i(y_j, y_k)$ for some $j, k \in [n]$. Using binary instructions is not sufficient when computing without memory; however, it is sufficient when only one memory cell is used. **Theorem 5.8.** If $A = \text{GF}(2)$, then the set of all permutations of $A^n$ which can be computed using binary instructions is the affine group $\text{Aff}(n, 2)$. On the other hand, when using one memory cell, any transformation over any alphabet can be computed by binary instructions. *Proof.* Note that any binary permutation instruction is of the form $y_i \leftarrow g_i(y_i, y_j)$ for some $j \in [n]$. If $A = \text{GF}(2)$ and $n = 2$, then it is well known that $\text{Sym}(\text{GF}(2)^2) = \text{Aff}(2, 2)$. If $n > 2$, then any instruction of the form $y_i \leftarrow g(y_i, y_j)$ must correspond to a binary instruction for $\text{GF}(2)^2$ acting on the coordinates $y_i, y_j$: it is also affine. Therefore, the group generated by binary permutation instructions is affine. Conversely, extending Gaussian elimination to the affine case shows that any affine permutation can be computed via binary instructions. If the memory cell $t$ is used, we claim that the instructions in Theorem 2.4 can be computed by binary instructions. For the sake of simplicity, let us assume $i = 1$. For any $u \in A^n$ and $v = u + e^1$, we can decompose $$\delta(y, u) = \delta(y_1, u_1)\delta(y_2, u_2) \cdots \delta(y_n, u_n),$$ $$\delta(y, u) - \delta(y, v) = (\delta(y_1, u_1) - \delta(y_1, v_1))\delta(y_2, u_2) \cdots \delta(y_n, u_n).$$ Then the transposition $(u, v)$ is computed as follows: $$t \leftarrow \delta(y_1, u_1) - \delta(y_1, v_1)$$ $$t \leftarrow t\delta(y_2, u_2)$$ $$\vdots$$ $$t \leftarrow t\delta(y_n, u_n)$$ $$y_1 \leftarrow y_1 + t.$$ and the assignment $(e^0 \rightarrow e^1)$ is computed as: $$t \leftarrow \delta(y_1, 0)$$ $$t \leftarrow t\delta(y_2, 0)$$ $$\vdots$$ $$t \leftarrow t\delta(y_n, 0)$$ $$y_1 \leftarrow y_1 + t.$$ Since any transformation can be computed using these two types of instructions, it can be computed with binary instructions. □ 6. **Acknowledgment.** The authors would like to thank Peter J. Cameron, Ben Fairbairn, Peter Keevash and Rasmus Petersen for stimulating discussions. REFERENCES [1] J.A. Bondy and U.S.R. Murty, *Graph Theory*, vol. 244 of Graduate Texts in Mathematics, Springer, 2008. [2] S. Burckel, *Closed iterative calculus*, Theoretical Computer Science, 158 (1996), pp. 371–378. [3] ———, *Elementary decompositions of arbitrary maps over finite sets*, Journal of Symbolic Computation, 37 (2004), pp. 305–310. [4] S. Burckel, E. Gioan, and E. Thomé, *Mapping computation with no memory*, in Proc. International Conference on Unconventional Computation, Ponta Delgada, Portugal, 2009, pp. 85–97. [5] S. Burckel and M. Morillon, *Three generators for minimal writing-space computations*, Theoretical Informatics and Applications, 34 (2000), pp. 131–138. [6] ———, *Quadratic sequential computations of boolean mappings*, Theory of Computing Systems, 37 (2004), pp. 519–525. [7] ———, *Sequential computation of linear boolean mappings*, Theoretical Computer Science, 314 (2004), pp. 287–292. [8] P.J. Cameron, *Combinatorics: Topics, Techniques, Algorithms*, Cambridge University Press, Cambridge, 1994. [9] P.J. Cameron, M. Gadouleau, and S. Ruis, *Combinatorial representations*, submitted, (2011). Available at http://arxiv.org/abs/1109.1216. [10] P. Delsarte, *Association schemes and t-designs in regular semilattices*, Journal of Combinatorial Theory A, 20 (1976), pp. 230–243. [11] O. Ganyushkin and V. Mazorchuk, *Classical Finite Transformation Semigroups: An Introduction*, vol. 9 of Algebra and Applications, Springer-Verlag, London, 2009. [12] C.D. Godsil and G. Royle, *Algebraic Graph Theory*, vol. 207 of Graduate Texts in Mathematics, Springer-Verlag, 2001. [13] D.-J. Guan, *Generalized Gray codes with applications*, Proc. Natl. Sci. Counc. ROC(A), 22 (1998), pp. 841–848. [14] R. Kötter and F.R. Kschischang, *Coding for errors and erasures in random network coding*, IEEE Transactions on Information Theory, 54 (2008), pp. 3579–3591.

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Open Market Property Visitors to Guernsey are often surprised by the broad and varied selection of properties available across its 10 parishes. From coast and country locations boasting traditional dwellings to modern town apartments and newly built houses, you're sure to find your dream island home. Many are attracted to the hustle and bustle of St Peter Port with its beautiful marina and cosmopolitan buzz. With modern, spacious apartments overlooking the islands of Sark and Herm, it's a great option if you're looking for a property with minimal maintenance. If a more rural family retreat is up your street, parishes such as St Andrew's, Castel and Torteval house beautiful rambling cottages nestled in idyllic valleys where more space and a slower pace of life can be found. St Martin's strikes the balance between rural and urban, offering a unique blend of cosy coastal cottages, period townhouses and tasteful new-builds. With its proximity to local amenities, strong sense of community and spectacular clifftop views, it's easy to see why this is a very popular parish. Guernsey's property market For those who are considering relocation to this diverse and stunning island, it is important to know that Guernsey has two property markets, the Open Market and the Local Market. Open Market properties may be occupied by any individual or family holding UK passports, or nationals of other countries who have achieved Indefinite Leave to Remain in the UK. Non-UK passport holders who have been granted an Investor Visa or an Entrepreneur Visa may also live in an Open Market property. For those holding a UK passport or with Right of Abode in the UK, there is no minimum income requirement to gain residency in Guernsey. The simple fact of occupying an Open Market Part A home gives you and your family the right to live and work in the island indefinitely. Open Market Part A residents holding UK passports or Right of Abode in the UK are free to work for any employer, for any length of time and are not reliant on a time-limited employment permit. Non-UK passport holders are however subject to any requirements tied to their immigration clearance, both in terms of their employment and also (in the case of Investor and Entrepreneur visa holders) in respect of a minimum investment requirement. Please speak to the team at Locate Guernsey for further information. Approximately 7% of Guernsey's properties (around 1,600) are on Guernsey's Open Market Register. They can be found all across the Island and are available to rent or purchase. However, Open Market property prices do tend to be higher than Local Market prices. Image courtesy of Savills Local Market properties are available for local residents and employment permit holders. If you are recruited to work on the island and your employment is deemed to be "essential" then your employer may apply for an employment permit which would allow you to live in a Local Market property. Whatever your circumstances, please contact Locate Guernsey to discuss your individual needs – we would be happy to provide further information about the island's property markets. Buying If you're looking to buy straight away, it's a good idea to meet with several estate agents to get an idea of the range of properties available. Local independent property finders can also search on your behalf if you are short of time. The process for buying property on the island is refreshingly straightforward and comparatively quick. The whole procedure, from instructing your advocate to completion, takes approximately four weeks and contracts can be passed more quickly in urgent cases. Fees The sale price of a property is usually split between the land, including its buildings (realty), and its contents. You'll also need to budget for the following fees when purchasing property: * Document Duty: This is payable on every conveyance registered at the Greffe by the party acquiring the property. It is calculated on the value of the realty but not the contents. The usual split for property is 97.5% realty and 2.5% contents. Document Duty starts at 2.25% rising in steps to 4.5% on values up to £2,000,000. From there it's a flat 5.5% on amounts over £2,000,000. Several of the local law firms have Document Duty calculators available on their websites so that you can see at a glance how much the duty will be on any property you are considering buying. * Legal Fees: It's important to get a quote from your advocate at the start as these fees are dependent on the complexity of the transaction and the property value. It's also worth remembering that you get what you pay for and that it is not always a good idea to take the cheapest option when it comes to something as important as conveyancing. * Court and Greffe Fees: On completion day, you'll need to attend the Royal Court with your advocate before you're handed the keys to your new property. These fees tend to be in the region of £300. * Survey Costs: These are quoted on a case-by-case basis. Please contact Locate Guernsey if you would like to obtain lists of local estate agents, advocates, property finders and surveyors. Renting If you're looking to consider your options before you buy and get to know which part of the island you would prefer to live in, renting first is a good solution. Guernsey's numerous estate agents will be able to show you the latest properties available and you can view properties online before you arrive. Many agents can also send you alerts with new property details. Whether you're renting on the Open or Local Market, you'll need to supply the following documents. Having these to hand will mean you can move quickly to secure your preferred home: * Original photo ID * Utility bill providing proof of previous address * Name/address of a previous landlord for a reference * Name/address of a Personal Referee * Bank account details for a credit check * Desired Lease start date * For Local Market rentals, a copy of your Resident's Certificate or Employment Permit To start your journey, call the Locate Guernsey team +44 (0)1481 220011 [email protected] Follow us. Search: LocateGuernsey Image courtesy of Livingroom Utilities and other costs It is easy to connect with local utility suppliers (although we only have one electricity and one water supplier) and forms are available to download on their websites. However, it's a good idea to give them as much notice as possible, especially for the installation of telephone lines and broadband. Some key utility suppliers are listed below: Guernsey Waterwww.water.gg Guernsey Electricitywww.electricity.gg Telecoms – Surewww.sure.com/guernsey Telecoms – JTwww.jtglobal.com Guernsey residents are also required to pay a local tax called Tax on Real Property (TRP) as well as local Parish Rates for community services. However these are very modest especially when compared to the equivalent tax in the UK (Council Tax). Thanks to Guernsey's low crime rate, insurance costs are correspondingly low. The island has several insurance specialists who can help with home and contents insurance. Contact Locate Guernsey for more advice on living in Guernsey and for lists of local service providers. A better life for you

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Volume 47 Number 5 Turkish Journal of Agriculture and Forestry Article 5 10-16-2023 Spotted stem borer, Chilo partellus (Swinhoe) infestation in corn fields of Türkiye VAHDETTİN AKMEŞE SEVCAN ÖZTEMİZ EFKAN AKÇALI MUSTAFA GÖKHAN BİLGİN SERAP TOKER DEMİRAY See next page for additional authors Follow this and additional works at: https://journals.tubitak.gov.tr/agriculture Part of the Agriculture Commons, and the Forest Sciences Commons Recommended Citation AKMEŞE, VAHDETTİN; ÖZTEMİZ, SEVCAN; AKÇALI, EFKAN; BİLGİN, MUSTAFA GÖKHAN; DEMİRAY, SERAP TOKER; and SERTKAYA, ERDAL (2023) "Spotted stem borer, Chilo partellus (Swinhoe) infestation in corn fields of Türkiye," Turkish Journal of Agriculture and Forestry: Vol. 47: No. 5, Article 5. https://doi.org/10.55730/1300-011X.3116 Available at: https://journals.tubitak.gov.tr/agriculture/vol47/iss5/5 This Article is brought to you for free and open access by TÜBİTAK Academic Journals. It has been accepted for inclusion in Turkish Journal of Agriculture and Forestry by an authorized editor of TÜBİTAK Academic Journals. For more information, please contact [email protected]. Spotted stem borer, Chilo partellus (Swinhoe) infestation in corn fields of Türkiye Authors VAHDETTİN AKMEŞE, SEVCAN ÖZTEMİZ, EFKAN AKÇALI, MUSTAFA GÖKHAN BİLGİN, SERAP TOKER DEMİRAY, and ERDAL SERTKAYA Turkish Journal of Agriculture and Forestry http://journals.tubitak.gov.tr/agriculture/ Turk J Agric For (2023) 47: 645-651 © TÜBİTAK Research Article doi:10.55730/1300-011X.3116 Spotted stem borer, Chilo partellus (Swinhoe) infestation in corn fields of Türkiye Vahdettin AKMEŞE 1,* , Sevcan ÖZTEMİZ 2 , Efkan AKÇALI 1 , Mustafa Gökhan BİLGİN 1 , 1 3 Serap TOKER DEMİRAY , Erdal SERTKAYA 1 Biological Control Research Institute, Kışla Street, Yüreğir, Adana, Turkiye 2 Department of Plant Protection, Faculty of Agriculture, Düzce University, Düzce, Turkiye 3 Department of Plant Protection, Faculty of Agriculture, Mustafa Kemal University, Hatay, Turkiye Received: 08.01.2023 Accepted/Published Online: 24.05.2023 Final Version: 16.10.2023 Abstract: The presence of spotted stem borer, Chilo partellus Swinhoe (Lepidoptera: Crambidae) in Türkiye was recorded for the first time in 2014. Chilo partellus, an invasive species, originates in Southeast Asia and is widely distributed in Asia and Africa. It is among the most important pests of corn and sorghum with a high competitive ability among stem borers. Therefore, the study was carried out in 2018 and 2019 to determine the spread of the pest and the rate of contamination in the corn production areas which are the highest in the provinces of the Eastern Mediterranean and the Southeastern Anatolia Region of Türkiye. In both regions, sampling was carried out in 503 fields on a total area of 3.743,4 ha in 2018, and in 466 fields on a total area of 3.520,4 ha in 2019. The study revealed that C. partellus spread to Kahramanmaraş, Gaziantep, and Kilis provinces of the Southeastern Anatolia region, and entered the Erdemli district of Mersin for the first time in 2018 and the Mut district for the first time in the Eastern Mediterranean region in 2019. The infestation rate of the pest in the first crop corn production areas was found to be lower than in the second crop corn. As the number of pesticide applications increased in the fields where chemical control was applied, the rate of contamination decreased. While the contamination rate of the pest was 70% lower in the first crop corn, it reached 100% in the second crop corn. Furthermore, it has been observed that natural enemies are effective on the infestation rates of the pest. Since the pest spreads rapidly in seven provinces in both regions, it is very likely to infect other regions where corn is produced in Türkiye. If the pest is controlled especially in the vegetative period in corn, the rate of spread of the pest can be reduced. Key words: Chilo partellus, corn, infestation, Türkiye 1. Introduction S. nonagrioides is found in all regions where corn is cultivated, except the Black Sea Region (Yürüten, 1971; Öztemiz et al., 2011). Although there are many insect species in corn, the main damage is known as corn stalkborer, Sesamia nonagrioides Lef. (Lepidoptera: Noctuidae) and corn stem borer, Ostrinia nubilalis Hbn. (Lepidoptera: Crambidae). Ostrinia nubilalis is found in all regions of Türkiye, and Corn (Zea mays L.), a family of grasses, is one of the important cereal crops cultivated in Türkiye, and is grown in tropical and subtropical areas where water is sufficient. Corn plant is an important carbohydrate source used both in human nutrition and animal husbandry in the world and in our country. Corn is a strategically important product, also known for its wide use in industry. Grain and silage corn is planted on 1,217,893.7 hectares in Türkiye, and it ranks third among cereals with 6,626,142 t of grain and 27,186,949 t of silage corn production (TUİK, 2020). Approximately 30% of Türkiye's corn production is made in these provinces where the study was conducted. While there are difficulties in controlling these corn borers, Chilo partellus (Swinhoe) (Lepidoptera: Cram bidae), an invasive species that can compete with corn borers, was recorded for the first time in Türkiye during surveys conducted in first crop corn fields in Adana and Hatay provinces in 2014 (Sertkaya et al., 2014), in the same year spread to corn fields in Osmaniye (Bayram and Tonğa, 2015) and in Tarsus district of Mersin in 2016 (Öz temiz and Akmeşe, 2018). The pest, which originates from Southeast Asia and poses a great risk to the corn plant, has spread over large areas in Asia and Africa. The pest has been recorded in India (Overholt et al., 1996) before the 1930s and in Africa (Malawi) since 1930 (Overholt et al., 1994). It has spread rapidly since 1932 in the hot, low-al titude eastern and southern regions of Africa (Kfir, 1997). * Correspondence: : [email protected]; [email protected] It was determined that it spread from Tanzania in East to South Africa until 1952 (Overholt et al., 1994). By increas ing its density in South Africa since 1958 (Van Hamburg, 1979), it formed a high population in regions up to 1600 m altitude and replaced Busseola fusca (Fuller) (Lepidop tera: Noctuidae), which is the main pest of sorghum and maize, within two years (Kfir, 1997). Spotted stem borer, C. partellus is the most important pest of maize and sorghum in the Far East, East and Southern Africa (Harris 1990; Van den Berg et al. 1991; Overholt et al. 1996; Getu et al. 2001; Guofa et al. 2001; Sylvain et al. 2015). The pest has spread in Asia in Bangladesh, Cambodia, India, Indonesia, Iran, Laos, Nepal, Pakistan, Sri Lanka, Thailand, Vietnam, Yemen, and Afghanistan (Harris 1990; Rajabalee 1990). Spotted stem borer was first recorded in Africa in 1930 in Malawi Malawi (Tams, 1932). Since then, it has spread to Eritrea, Ethiopia, Kenya, Lesotho, Mozambique, Somalia, South Africa, Sudan, Swaziland, Tanzania, Uganda, Zam bia, and Zimbabwe (Overholt et al. 2000; Kfir et al. 2002; Sylvain et al. 2015). It has also been reported that this pest entered Israel in 2011 (Ben-Yakir et al. 2013). One of the reasons why C. partellus spreads faster than other harmful species and causes high contamination in corn and sor ghum is that it completes its life cycle in a shorter time de pending on the wintering period and has started to form a population earlier (Kfir, 1997). It has been inevitable to ob tain basic data for the control of the pest, which is reported to be a potential risk in corn and sorghum production. infestation in the first and second crop corn production areas of both regions, the Eastern Mediterranean and the Southeastern Anatolia Region where corn cultivation is the highest in Türkiye in 2018 and 2019. 2. Materials and methods The sampled areas and numbers of the first and second crop corn fields of the provinces are given in Table 1. The study was conducted in first and second crop corn fields of both regions in which the Eastern Mediter ranean Region (Adana, Mersin, Osmaniye, Hatay and Kahramanmaraş province) and the Southeastern Anatolia Region (Gaziantep and Kilis province) of Türkiye in 2018 and 2019 (Table 1 and 2). Samplings for the determination of distribution area and infestation rates were made between May 14, and September 11, in 2018 and between May 09, and September 03, in 2019, since the length of the seed planting interval and the possibility of the pest to infect the first crop corn in the early period. Stalks and ear left in the field during and after harvest were also sampled. In the second crop corn, field studies were carried out between June 27, and November 7, in 2018; between July 3, and November 12, in 2019. The invasive species has created a serious threat to corn production areas with the entry of C. partellus into the Türkiye. For this purpose, the study was carried out to determine distribution area of the pest and the rate of Sampling was done randomly according to the Bora and Karaca (1970), in three phonological periods (veg etative, generative and maturation) of corn and all aboveground organs of the plants were visually inspected. Based on the size of the field (0,1–5 ha and larger than 5 ha), a total of 25 or 50 plants were visually inspected at 5 or 10 different points and five plants on the same row at each point, and the percent contamination rates were deter Table 1. Corn production area and sampled area, and number of fields sampled in the provinces of the two regions. Table 2. Data of the sampled corn fields in provinces of the two regions. Table 2. Continued mined (Walker, 1971; Muhammad and Underwood, 2004; Sertkaya et al., 2014). It was considered as contaminated if any of the biological stages of pest or damage was detected and the infestation rate was determined by the formula shown below (Çetin et al., 2014). Number of infected plants Infestation rate (%) = -------------------------------- X 100 Total number of plants examined fect the infestation rate of the pest. Contamination reach ing 100% was detected in the first crop corn fields planted late and not sprayed. Especially in the second crop corn fields where chemical control was not applied, 100% yield loss was observed as a result of the invasion of C. partellus. The spotted stem borer invades plants starting from the end of the 4–6 leaf period until the pollination period in the first and second crop corn and leaves them from the milk stage. The infestation rate of C. partellus in the prov inces of the Mediterranean and the Southeastern Anatolia regions in 2018 and 2019 are given in Table 3. 3. Results In the surveys carried out in the Eastern Mediterranean (Adana, Osmaniye, Hatay, Mersin and Kahramanmaraş) and the Southeastern Anatolia (Gaziantep and Kilis) re gions in 2018 and 2019, in a significant part of the fields where C. partellus was spread but not infected, the plants were in the 4–6 leaf (seedling) stage and no contamination was detected in the Kahramanmaraş, Gaziantep and Kilis provinces, along with the Tufanbeyli district of Adana. It is thought that there was no contamination in the first crop corn fields as chemical spraying was done one or two times throughout the vegetation. Contamination rates of C. par tellus were lower in the first crop corn planted early in the spring compared to the late planted. It has been observed that the date of sowing and the application of pesticides af In the provinces of the two regions, sampling was car ried out in 503 fields (289 fields first crop corn, 214 fields second crop corn) on a total area of 3743.4 ha, of which 2475.5 ha were the first crop corn and 1267.9 ha were the second crop corn in 2018, and in 466 fields (271 fields first crop corn, 195 fields second crop corn) on a total area of 3520.4 ha, of which 2510 ha were the first crop corn and 1010.4 ha were the second crop corn in 2019. It was seen that C. partellus has spread to all provinces where survey was conducted (Table 3). More than half of the fields sampled and contaminated for two years in the provinces were in Adana in the Mediterranean region. In Southeastern Anatolia region, C. partellus, which was determined not to enter Kahramanmaraş, Gaziantep and Kilis provinces in the first crop corn in 2018, spread rap idly to the second crop corn in the same year. The distribu tion of C. partellus in these provinces of the Southeastern Anatolia region was the first record for the Türkiye. C. par tellus has been shown to infest plants between 2%–100% in first and second crop corn. The spotted stem borer con taminates the second crop corn approximately four times more than the first crop. C. partellus infected the first crop corn at an average rate of 4.69% and 4.52%, respectively, in seven provinces in both years, and 20.87% and 15.90% contamination rates in the second crop corn. 4. Discussion The first and second crop corn fields where C. partellus was not found were the fields in the districts where the pest has not yet entered or has a limited spread. Since a significant part of the fields in the first crop was planted in FebruaryAKMEŞE et al. / Turk J Agric For Table 3. The infestation rate of C. partellus spread in the provinces of the two regions in 2018 and in 2019. March and the adults of C. partellus, which emerged in late March, April, and May, depending on the climatic condi tions in the spring, preferred late sown corn fields, it was observed that some early planted fields were not infected by the pest. Since some of the first and second crop corn fields were in the 4–6 leaf stage, no contamination with the pest was recorded. Ofomata et al. (2000) reported that C. partellus prefers 6–10 leaves of corn plants for laying eggs. In the remaining limited number of first crops and especially in the second crop fields, it was observed that the pest was not transmitted due to the chemical control applications. in 6–12 leaf periods in the provinces of the Eastern Medi terranean region, with its high population, prevents the growth of plants by cutting the growth center and causes a significant part of them to completely dry out, the main pests, S. nunagriodes and O. nubilalis were prevented from infecting these fields. In a similar survey, Pehlivan and Atakan (2021) reported in their study in Adana in 2020, that the spotted stem borer did not allow the development of other corn stem borers due to early damage in second crop corns. Overholt et al. (1996) determined that C. partellus, which was known in India before the 1930s, has spread from Asia to large areas planted with maize and sorghum in the hot and low altitude eastern and southern regions of Africa since 1932 (Kfir, 1997). C. partellus, which entered the corn and sorghum fields of the Middle East country Israel in 2011 (Ben-Yakir et al., 2013). The spotted stem borer was recorded for the first time in Türkiye in 2014 in the first crop corn in the Eastern Mediterranean Region (Sertkaya et al.,2014), and two years later, it spread to other parts of our country (Öztemiz and Akmeşe, 2018). In both years in the first and second crop corn, it was revealed that C. partellus infested the plants between 2%–100%. Nabeel et. al. (2018) conducted a survey in 2016 in the seven dis tricts of Punjab where the most corn was grown, the high est infestation of C. partellus was found in Khanewal with an average of 12%, followed by Multan with 6%, and the lowest infestation at 1% in Okara. It has been revealed that C. partellus, which infects 100% of second crop corn fields It was determined that the invasive species C. partellus spreads to the first and second crop corn fields in the provinces of the Eastern Mediterranean Region (Adana, Mersin, Osmaniye, Hatay and Kahramanmaraş) and Southeastern Anatolia Region (Gaziantep and Kilis). The distribution of C. partellus to the provinces of Kahramanmaraş, Gaziantep and Kilis is the first record for the Türkiye. This study revealed that C. partellus contaminates the second crop maize approximately four times more than the first crop. C. partellus has been shown to infest plants between 1%–100% in first and second crop maize. Since C. partellus, which infects 100% of the second crop corns in 6–12 leaf periods in the Eastern Mediterranean region with its high population, prevents the growth of plants by cutting the growth center and causes a significant part of them to completely dry out, the main pests S. nunagriodes and O. nubilalis are prevented from infecting these fields. Since the invasive species, C. partellus, was found to spread rapidly in seven surveys within the scope of the study, it is known that it can invade corn production areas by spreading to other parts of our country. It is foreseen that the rate of spread can be reduced by early sowing in the first crop against the pest and by combating the two crops, especially in the vegetative development period, within the framework of integrated pest control principles. References Bayram A, Tonga A (2015). First report of Chilo partellus in Turkey, a new invasive maize pest for Europe. Journal of Applied Entomology 140 (3): 236-240. Ben-Yakir D, Chen M, Sinev S, Seplyarsky V (2013). Chilo partellus (Swinhoe) (Lepidoptera: Pyralidae) a new invasive species in Israel. Journal of Applied Entomology 137 (5): 398-400. https://doi.org/10.1111/j.1439-0418.2012.01740.x Bora T, Karaca İ (1970). Measurement of disease and damage in cultivated plants. Ege University, Faculty of Agriculture Auxiliary Textbook 167, Turkey. Çetin G, Göksel P, Dura O, Hantaş C (2014). Spreading, Infestation and Damage Rates and Adult Population Monitoring of Tomato Leaf Miner [Tuta absoluta (Meyrick) (Lepidoptera: Gelechiidae)] on Open Field Tomato Grown in the South Marmara Region of Turkey. Turkish Journal of Agricultural and Natural Sciences 1 (2): 1618-1624. https://dergipark.org. tr/en/download/article-file/142314 Getu E, Overholt WA, Kaıru E (2001). Distribution and species composition of stemborers and their natural enemies in maize and sorghum in Ethiopia. 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Çukurova Journal of Agricultural and Food Sciences 36 (1): 71-80. https://doi. org/10.36846/CJAFS.2021.36 Rajabalee, MA (1990). Management of Chilo spp. on sugarcane with notesonmating disruption studies withthesynthetic sexpheromone of C. sacchariphagus in Mauritius. International Journal of Tropical Insect Science 11, 825-836. https://doi. org/10.1017/S1742758400021391 AKMEŞE et al. / Turk J Agric For Sertkaya E, Akmeşe V, Atay E (2014). A new pest on maize in Turkey, Chilo partellus (Swinhoe) (Lepidoptera: Crambidae). Turkish Bulletin of Entomology 4 (3): 197-200. http://doi.org/10.16969/ teb.46488 Van Hamburg H (1979). The grain-sorghum stalk-borer, Chilo partellus (Swinhoe) (Lepidoptera: Pyralidae): seasonal changes in adult populations in grain sorghum in the Transvaal. Journal of the Entomological Society of Southern Africa 42 (1): 1-9. Sylvain NM, Manyangarirwa W, Tuarira M, Onesime MK (2015). Effect of Lepidopterous Stem borers, Busseola fusca (Fuller) and Chilo partellus (Swinhoe) on Maize (Zea mays L) Yield. A Review. International Journal Of Innovative Research & Development 4 (10): 181-188. Tams WHT (1932). New species of African Heterocera. Entomologist 65: 1241-1249. TUİK (2015). Turkish Statistical Institute, Statistics by Subject, Crop production statistics, www.tuik.gov.tr/ TUİK (2020). Turkish Statistical Institute, Statistics by Subject, Crop production statistics. www.tuik.gov.tr/ Van den Berg J, Van Rensburg JBJ, Pringle KL (1991). Comparative injuriousness of Busseola fusca (Lepidoptera: Noctuidae) and Chilo partellus (Lepidoptera: Pyralidae) on grain sorghum. Bulletin of Entomological Research 81 (2): 137–142. https:// doi.org/10.1017/S0007485300051191 Yürüten O (1971). The corn ear worm, Sesamia cretica Led. Research on the biology and control of the plant. Bulletin of Plant Protection 11 (3): 133-156.

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TRANSFER ON DEATH REGISTRATION REQUEST AND AGREEMENT DST Systems, Inc. reserves the right to allow the following rules to apply to a TOD registration: * A TOD may only be held on Individual or Joint Tenants with Right of Survivorship (JTWROS) registration (not on an estate, trust, IRA, etc.). * The TOD beneficiary must be an individual or entity and cannot be the JTWROS person. * The TOD beneficiary must be named on this form; "spouse" or "children" is not an acceptable designation. * Add more lines if necessary to list each primary beneficiary. Secondary designations are not permitted. * More than one beneficiary may be designated. If any beneficiary fails to survive the owner, then the registration of the account in TOD form is no longer valid and all shares shall be treated as belonging to the owner's estate. If more than one beneficiary is designated, the shares will be divided equally among the beneficiaries upon the death of the owner unless otherwise specified. * To change TOD beneficiary information, please submit a new form. TO BE COMPLETED BY INVESTOR(S) By signing below, I/we request that my/our investment be registered in "transfer on death" form, and designate the following beneficiary as the one to whom the investment shall pass after I am/we are deceased. 1. You are not required to re-register the investment in name of the beneficiary unless you have received such documents as you may require to establish that I/we are both deceased. 2. You are not responsible for determining the tax consequences of the decision to register this investment as requested above. 3. I/we agree to hold harmless, indemnify, and defend you for any claim, loss, or liability resulting from (a) any breach of warranty or representation in this Agreement, and (b) any action you take in connection with the registration, any re-registration in the name of the beneficiary, and from any distribution thereafter to the beneficiary, made as requested or authorized under this Agreement. 4. If this Agreement is established under joint tenants with the right of survivorship account status, upon the death of one of the joint owners, ownership shall pass to the surviving joint owner, and you may follow the instructions of the survivor with regard to the investment, including, without limitation to (a) terminate transfer on death registration, or (b) change name of beneficiary. 5. If I have established this account individually and am married (or jointly, and am not married to my joint applicant), my spouse's waiver has been executed below. 6. You have not provided any legal advice to me, and I agree to obtain the advice of an attorney with regard to enforceability of this form of registration in my state, and its effect on my estate and tax planning. 7. By signing below, I consent to the terms and conditions of this Agreement including that my TOD account will be governed by the STA TOD Rules set forth in Section 12 of the Guidelines of the Securities Transfer Association, Inc. except to the extent specifically stated otherwise above. SPOUSAL WAIVER By signing below, I consent to the terms and conditions of this Agreement. INVESTOR NAME: TAXPAYER ID: PRINT NAME OF BENEFICIARY: PERCENTAGE OF SHARES: PRINT NAME OF BENEFICIARY: PERCENTAGE OF SHARES: PRINT NAME OF BENEFICIARY: PERCENTAGE OF SHARES: SIGNATURES ALL SIGNATURES MUST BE MEDALLION GUARANTEED. The signature(s) must correspond with the current investor(s) of record and account registration. INVESTOR SIGNATURE DATE MEDALLION SIGNATURE GUARANTEE JOINT INVESTOR SIGNATURE DATE MEDALLION SIGNATURE GUARANTEE SIGNATURE OF INVESTOR'S SPOUSE & DATE SIGNATURE OF JOINT INVESTOR'S SPOUSE & DATE SPOUSAL WAIVER By signing below, I consent to the terms and conditions of this Agreement. INVESTOR SIGNATURE DATE MEDALLION SIGNATURE GUARANTEE JOINT INVESTOR SIGNATURE DATE MEDALLION SIGNATURE GUARANTEE W. P. Carey Investor Services: 1-888-241-3737

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Reading Group Guide 1. Discuss the role of race in this novel. What are some examples of racial discrimination you have experienced in your own life? Do you feel race relations have improved in the more than a century that has passed since Mei Lien's time? Why or why not? 2. Discuss Mei Lien's decision to hide herself and her son away on the farm to avoid contact with other people. In her shoes, would you have done the same thing or something different? Why? 3. Before reading this novel, had you already been aware of the "driving out" of Chinese people from American and Canadian towns? Share what you know. If you weren't previously aware of these events, what was your reaction to learning of these racial purges? 4. Family relationships are a key theme in The Girl Who Wrote in Silk. In what ways do you think Mei Lien and Inara have similar familial experiences? In what ways are their experiences different? 5. Both Mei Lien and Inara struggle with the death of loved ones. Discuss how their methods of mourning and honoring their lost loved ones differ or are similar. Is there anything they do or do not do that surprises you? 6. The island setting is an important one in both time periods. Do you think that Mei Lien and Inara experience Orcas Island in the same way or differently? What causes these similarities or differences? 7. Compare and contrast the father-daughter relationships in the story. How do you think they might have been different if the women's mothers had lived? 8. After finding her grandmother's body on the beach and realizing that her family had indeed been killed, Mei Lien feels that a part of her heart has died, a part that will forever keep her from loving Joseph fully. Do you think this comes to be true for her? Have you lost a loved one and felt that a part of you is now lost forever? 9. Inara struggles with accepting the fact that her ancestor committed a heinous crime. Do you think she is able to absolve her family of this shameful act? What would you do if you discovered an honored ancestor of yours had done something shameful? 10. The "driving out" of Chinese occurred loosely about the same time in U.S. history as when Native Americans were forced onto reservations. If you had been alive at the time, how do you think you would have felt about these events? Can you think of similar ethnic cleansings occurring in today's time, in the United States or in other countries? 11. Inara turns down the Starbucks job to renovate and eventually manage the boutique hotel on Orcas Island. What motivates her to make this decision? What decision would you make in a similar circumstance? Keep in mind issues such as security, family obligations, location, social obligations, and financial peace of mind. 12. Which character, Mei Lien or Inara, did you feel more connected to? Why? Is one more or less authentic than the other? 13. If you inherited a large family estate, what would you do with the property? 14. Inara thinks of Aunt Dahlia, Gretna Campbell, and herself as the family "oddballs" because of their unique ways of relating to the world around them. Have you ever felt like an oddball? Were you able to embrace it as Inara does? Explain. 15. Mei Lien sees her loved ones in the animals around her. In the final scene of the book, Daniel and Inara hear a seal splash in the water and feel it is Mei Lien giving her approval for their relationship. Do you think loved ones could return as animals that can interact with us? If you could come back as an animal, what would you be and why? 16. What do you imagine happens next after the novel ends? Will Inara and Daniel stay together? Will the hotel and restaurant be successful? What effect, if any, will what Duncan Campbell did have on the characters' lives? 17. Finding the embroidered sleeve changes the course of Inara's life because the intricate beauty and mystery won't let her go. Have you ever come across, or do you own, an object that had a similar effect on you? 18. Another theme of this novel is belonging and acceptance. Mei Lien is ostracized because of her race. Aunt Dahlia was sent to live on the island because of her sexual orientation. Inara chose a field of study to please her father and live up to the professional success of her siblings. In what ways have you struggled in your life for acceptance? 19. Inara agonizes over whether to honor her father's wishes and keep the truth a secret, or tell the truth and know it will hurt people she cares for. If you were in a similar situation, what would you do? 20. If Mei Lien had lived, what do you think she might have done to support herself and her son? Where would their story have taken them, and what would have been different for Yan-Tao? 21. Mei Lien dresses as a boy to move freely and safely around Seattle. After she marries Joseph and starts dressing as a woman, she never really feels comfortable. Do you think her preference in clothing represents a deeper gender issue? What else might it represent for her? 22. We get hints at what Yan-Tao/Ken's life was like in the orphanage based on the curriculum taught there and about his life in Seattle based on what Vera tells her family. Do you think he found happiness? Given what you know from the story and world events of the twentieth century, what do you think his life was like? 23. Inara suspects that Vera Chin made up the Chin family's false background that Ken grew up in China and then immigrated to Seattle in the early 1900s. Vera claims it must have been a mix-up, but Inara wonders if Vera's sense of pride motivated the stories. Think of your own family history and the members of your family who are the keepers of stories. Is the validity of any of your family stories suspect? Are there any that are outrageous, but you know them to be true? 24. Do you think Yan-Tao/Ken ever went back to the island to attempt to retrieve the sleeve his mother left for him in his secret hiding hole? Why or why not? If he did go back, why might he not have been successful?

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Bank: Brice Creek - Non-Riparian The Brice Creek Mitigation Bank is located in Craven County and is a bottomland hardwood bank comprised of 636 acres. The bank is restoring 473 acres and enhancing 163 acres of intensively managed pine plantations to native nonriparian wet and swamp bottomland hardwood forest. State: North Carolina Primary HUC: 03020204 Primary Service Area: Lower Neuse

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Cable sitcoms making their way into syndication Number of comedies available in syndication could double over next few years if cable series are added New half-hour off-network situation comedies, which are in short supply in syndication over the next several seasons, may realize a shot in the arm from an unexpected source: cable television. Comedies are the traditional lifeblood of independent stations in the early fringe (4-6 p.m.) time period, and the recent shortage of new half-hour off-network series has forced many stations to either recycle the old comedies they already own or program the time period with full-length hours instead. But there are several comedies which, because they have been on cable television for more than one season now, are well on their way to building up enough episodes so that they can be stripped by stations in syndication or scheduled on a weekly basis. Moreover, the producers of these series say they either own the syndication rights or are negotiating with distributors with an eye to releasing these series in the syndication marketplace over the next couple of years. If this happens, it would mean that double the number of comedies available to stations. Three comedy series on superstation WTBS(TV) Atlanta may be syndicated: Down to Earth, Safe at Home and the soon-to-premiere Rocky Road. Los Angeles-based Procter & Gamble Productions owns the syndication rights to Down to Earth, while Turner Broadcasting System reserves the syndication rights to both Safe at Home and Rocky Road. Pay cable service Showtime earlier this year renewed 50 episodes of Brothers from producers Gary Nardino Productions and Paramount Video on top of a previous order of 13 episodes. The total of 65 episodes of Brothers will outfit Showtime with a two-year supply of the sitcom. In addition, there are 22 episodes of Still the Beaver produced by Universal Pay Television for The Disney Channel, which Disney recently said it was dropping from the service. (Universal Pay Television is looking for another outlet to pick up the series.) Within the next couple of weeks, two other deals between producers and cable television services regarding first-run production of half-hour comedies have been announced. USA Network has ordered 22 episodes of a new sitcom, Check It Out, starring Don Adams. The series is jointly produced by D.L. Taffner, Canada's CTV Network and Program Syndication Services. It will premiere on USA Network next fall and be released for syndication on a weekly basis in the fall of 1986. And Showtime has ordered seven episodes of Washington from Telecom Entertainment, the four-year-old independent production subsidiary of Benton & Bowles. The series is based on the cartoon of the same name which appears in The Village Voice and The Washington Post. It is scheduled to premiere on Aug. 15 behind Brothers. No matter which of the above series enters syndication over the next few months, neither will be able to make the claim of being the first. That credit will remain with Bizarre, a comedy series Viacom released into syndication this past fall after four seasons on Showtime. (The series continues to be produced for the pay cable network.) Viacom sold Bizarre as a late-night vehicle for independents, and originally cleared 100 episodes on 51 stations. Since then, the series has been dropped by several stations so that it eventually fell to 27 stations. However, just last week it added two more markets where it previously was not cleared. It was picked up by RKO Television's KJH-TV Los Angeles and WOR-TV New York. One criticism some programmers have leveled against series moving from cable into syndication is that what plays in cable does not necessarily play in the broadcast television environment. The first national ratings for Bizarre might have supported this notion. According to Nielsen's Cassandra report on syndicated programming for November 1984, Bizarre averaged a 1.6 national rating, while during the February 1985 sweeps it increased slightly to a 1.9 average rating. But in New York and Los Angeles, the first overnight ratings are encouraging. According to Viacom, Bizarre averaged a 3.8/8 in Nielsen's first night on WOR-TV and a 2.1/6 on KJH-TV. Viacom now hopes the better ratings in New York and Los Angeles will renew station interest and once again boost sales. Besides half-hour comedies, there are also at least two, hour-long drama series that have the potential of moving off cable into syndication. Twenty-six episodes of Faerie Tale Theater have been produced for Showtime by Gaylord Productions and actress Shelly Duvall's Platypus Productions. Three more episodes in addition to the 26 have been ordered, and Showtime has an "open-ended" agreement with the suppliers that provides for up to another 23 episodes. There are also about 50 episodes of The Paper Chase in the can. The series, originally produced for CBS during the 1978-79 season by 20th Century Fox Television, was picked up by Showtime after CBS canceled the series. There is little doubt that station executives will become the off-cable programs in syndication, especially the half-hour comedies. The only off-network half-hour sitcom to bow in syndication next fall is Gimme a Break from MCA-TV. And there is only one presently set for the fall of 1986 —Facts of Life from Embassy Telecommunications. After that, Paramount has already sold Cheers and Family Ties for the fall of 1987, and Victory Television announced that Newton would be joining that class, too. In total, there are only three off-network prime-time sitcoms scheduled to be released in syndication between 1985 and 1987. In response, some syndicators have addressed the coming deficit with innovative marketing strategies, such as re-formatting formerly hour-long series. Columbia is distributing for release next fall vintage segments of Johnny Carson's late-night show titled Carson's Comedy Classics. In a similar move, Paramount Video is planning to offer half-hour versions of Dynasty. And Paramount has guaranteed an extra cycle of first-run production if Cheers or Family Ties is canceled by the network to insure enough episodes for stripping.

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Kansas Agricultural Experiment Station Research Reports Volume 0 Issue 1 Cattleman's Day (1993-2014) Article 1519 2011 Marination technique influences whole muscle beef jerky salt content and flavor intensity G.R. Skaar Elizabeth A.E. Boyle Follow this and additional works at: https://newprairiepress.org/kaesrr Part of the Other Animal Sciences Commons Recommended Citation Skaar, G.R. and Boyle, Elizabeth A.E. (2011) "Marination technique influences whole muscle beef jerky salt content and flavor intensity," Kansas Agricultural Experiment Station Research Reports: Vol. 0: Iss. 1. https://doi.org/10.4148/2378-5977.2922 This report is brought to you for free and open access by New Prairie Press. It has been accepted for inclusion in Kansas Agricultural Experiment Station Research Reports by an authorized administrator of New Prairie Press. Copyright 2011 Kansas State University Agricultural Experiment Station and Cooperative Extension Service. Contents of this publication may be freely reproduced for educational purposes. All other rights reserved. Brand names appearing in this publication are for product identification purposes only. No endorsement is intended, nor is criticism implied of similar products not mentioned. K-State Research and Extension is an equal opportunity provider and employer. Marination technique influences whole muscle beef jerky salt content and flavor intensity Abstract Beef jerky is a popular meat snack that is simple to recognize and define. The USDA Food Standards and Labeling Policy Book (FSLPB) allows labeling use of the title "jerky"? to a product that has been dried to a moisture-to-protein ratio (MPR) of 0.75:1.0 or less, and states the species or kind (such as beef, pork, or venison) in the name. As long as the product is dried to the required MPR and the species of origin is noted, all additional ingredients used, spice applications, and processing procedures are open for interpretation and application. The USDA FSLPB goes on to state that the product may be cured or uncured, dried, and may be smoked or unsmoked as well as air dried or oven dried. With such a short list of requested, jerky has a great deal of optimization potential for small- and large-scale production. Marination of sliced meat is one stage in the jerkymaking process that is open to variation. Our study compared two common beef jerky marination techniques: 1) traditional marination via extended soaking in a tub, and 2) short-time vacuum tumbling. Additionally, a liquid smoke-based anti-mold spray provided by Kerry Ingredients & Flavors (Monterey, TN) was applied after drying to evaluate the final product for taste differences. Keywords Kansas Agricultural Experiment Station contribution; no. 11-171-S; Report of progress (Kansas State University. Agricultural Experiment Station and Cooperative Extension Service); 1047; Cattlemen's Day, 2011; Beef; Beef Jerky; Salt; Flavor Creative Commons License This work is licensed under a Creative Commons Attribution 4.0 License. Marination Technique Influences Whole Muscle Beef Jerky Salt Content and Flavor Intensity G.R. Skaar and E.A.E. Boyle Introduction Beef jerky is a popular meat snack that is simple to recognize and define. The USDA Food Standards and Labeling Policy Book (FSLPB) allows labeling use of the title "jerky" to a product that has been dried to a moisture-to-protein ratio (MPR) of 0.75:1.0 or less, and states the species or kind (such as beef, pork, or venison) in the name. As long as the product is dried to the required MPR and the species of origin is noted, all additional ingredients used, spice applications, and processing procedures are open for interpretation and application. The USDA FSLPB goes on to state that the product may be cured or uncured, dried, and may be smoked or unsmoked as well as air dried or oven dried. With such a short list of requested, jerky has a great deal of optimization potential for small- and large-scale production. Marination of sliced meat is one stage in the jerkymaking process that is open to variation. Our study compared two common beef jerky marination techniques: 1) traditional marination via extended soaking in a tub, and 2) short-time vacuum tumbling. Additionally, a liquid smoke-based anti-mold spray provided by Kerry Ingredients & Flavors (Monterey, TN) was applied after drying to evaluate the final product for taste differences. Experimental Procedures Beef inside rounds were obtained from the Kansas State University Meat Laboratory. Three rounds were used, one on each of three days, resulting in three replicated jerky production batches. On the initial day of production a round was trimmed practically free of fat and heavy connective tissue, weighed as an intact muscle, and then sliced into 0.25- to 0.125-in.-thick pieces. The round slices were weighed and separated into two equal weight portions; half were designated for a traditional, long-time soaking marination and half for short-time vacuum tumbling. Those slices designated for tumbling were re-packaged in a vacuum bag and stored in a cooler to be tumble-marinated the following day. The slices for traditional long-time soaking marination were placed in a large tub with 42.7% marinade (Table 1), according to meat weight. Alternating layers of sliced beef and marinade were added until all designated beef and marinade were utilized. A single piece of plastic wrap was placed over the marinating beef to serve as a temporary seal to prevent drying of those pieces on the top layer. Beef slices soaked for 24 hours in cooler storage. Jerky Production The following day, soaked pieces were removed from the tub and weighed to find the amount of marinade picked up by the meat. This ratio (% pickup) was used to determine the amount of marinade to be added during vacuum tumbling. The remaining half of the sliced round was then placed in a vacuum tumbler (Model VTS-42, Biro Manufacturing, Marblehead, OH) with the correlating amount of marinade from above. Twenty-in. mercury (Hg) vacuum was applied and the beef slices were tumble- 65 Meat and Food Safety marinated for 20 minutes. After tumbling, both marination treatments were randomly placed on a single smoke truck to be cooked and dried. The product was cooked for 90 minutes at 140°F and dried for 2.5 hours at 145°F. Upon completion, a final dried weight for the product was recorded and each marination group was split in half by weight. Lastly, a liquid smoke-based anti-mold spray (Kerry Ingredients & Flavors, Monterey, TN) was applied to one half from each marination technique. Final production treatments were as follows: (1) soaked, not sprayed (S); (2) soaked, sprayed (SS); (3) tumbled, not sprayed (T); and (4) tumbled, sprayed (TS). Product was allowed to cool to at least 40°F for packaging and then stored for subsequent analysis. Jerky Evaluation Color was evaluated with readings taken with a HunterLab MSEZ-4500L spectrophotometer (Hunter Associates Laboratories, Reston, VA). Individual jerky pieces were placed on top of another jerky piece prior to taking each set of readings. Values were recorded for L* (lightness), a* (redness), and b* (yellowness). Water activity readings were taken with an AquaLab 4 Water Activity Meter (Decagon Devices, Pullman, WA). Readings were taken in duplicate for each treatment on the day of production. Warner-Bratzler shear force values were evaluated using an Instron Universal Testing Machine (Instron Worldwide, Norwood, MA). Six 1.2-in.-wide strips were cut and sheared from each treatment/production day, taking care to avoid areas where the product may have folded over and dried together or areas where the product appeared uncharacteristically thin. A flat blade was used to cut each strip six times with readings taken to assess total force required to shear each strip. Salt (NaCl) content was analyzed with Quantab chloride strips (Hach Company, Loveland, CO). Samples were frozen with liquid nitrogen, pulverized in a blender, and mixed with boiling water. After cooling to room temperature, samples were filtered and evaluated with an individual test strip, according to the manufacturer's printed instructions, for Quantab number and correlating NaCl concentration. Moisture and protein composition were evaluated by the Kansas State University Analytical Laboratory for use in determining the MPR. A sensory panel composed of faculty and students from the Kansas State University Department of Animal Sciences and Industry was assembled and trained over three orientation sessions on the assessments to be taken for the beef jerky samples. Panelists were asked to score jerky samples on a scale of 1 to 8 for initial bite (1 = extremely soft, 8 = extremely firm), chewiness (1 = no chews, 8 = 19 to 21 chews), moisture (1 = extremely dry, 8 = extremely moist), saltiness (1 = not at all salty, 8 = extremely salty), flavor intensity (1 = extremely bland, 8 = extremely intense), smoke flavor (1 = none, 8 = abundant), and off-flavor intensity (1 = abundant, 8 = none). Jerky from each of the four treatments made on each of the three production days resulted in 12 total "products," each of which were evaluated by the panel twice. Six panel sessions were held with each of the four treatments represented in all panels. The production day used for each panel was randomly selected from each treatment independently. 66 Results and Discussion During production, marinade pickup percentage was approximately 3% higher for soaked product compared with tumbled product. Soaked product was placed in a marinade amount equal to 42.7% of the meat weight, whereas tumbled product was placed in a marinade amount equal to the percentage pickup of the soaked product for that production day, equaling 23.5%, 20.8%, and 24.3% for productions 1, 2, and 3, respectively. Ideally, the final pickup percentages of each treatment would have been equal. Notably, vacuum tumbling does not result in 100% marinade pickup and more marinade should be added than is intended to be absorbed by the product when utilizing this form of production. The required MPR for jerky products is 0.75:1or less. Although final MPR for all treatments were lower than 0.75:1, the final MPR (P>0.05) was similar for all treatments, regardless of whether jerky had been produced by soaking or tumbling (Table 2). Therefore, any quality differences due to over- or under-drying a single product were avoided. The compared techniques of soaking marination and vacuum tumbling showed minimal differences for composition of the final product (Table 2). Although a lower (P<0.05) water activity was noted for S compared with all other treatments, this difference is not at a level that would affect final product quality. Color values for lightness, redness, and yellowness were similar (P>0.05) for all treatments (data not shown). Of greater interest is the approximately 2% higher salt content (P<0.05) for soaked product compared with tumbled treatments. This difference could be due to the similar increase in marinade pickup for the soaked product. The salt level of some marinade ingredients, such as soy sauce, is unable to be accounted for; therefore, we cannot say with any certainty that marination technique is responsible for the resulting salt difference. The increased salt level of product soaked for 24 hours was also identified in the sensory panel evaluation (Table 3), with the saltiness of both soaked treatments scoring higher than tumbled treatments (P<0.01). Additionally, soaked treatments were evaluated as having a more intense flavor (P<0.05) than tumbled treatments. A higher salt content potentially intensifies beef jerky flavor. We hypothesized that an additional smoke flavor might present itself as a result of the liquid smoke-based anti-mold spray application; however, the sensory panel did not find any differences (P>0.05) in smoke flavor or off-flavor among all treatments, suggesting that the application of this specific spray would not alter the flavor profile of beef jerky. Implications Using vacuum tumbling as a form of marination saves time compared with soaking beef slices for 24 hours and could alter final product attributes, but if an equal level of marinade pickup is expected compared with soaking then additional marinade above the desired absorption level needs to be included in the tumbler. 67 Table 1. Beef jerky marinade ingredients Soy sauce Worcestershire sauce Water Purasil P Optiform 4 Seasoned salt Monosodium glutamate Seasonings Table 2. Composition of beef jerky marinated by 24-hour soaking or 20-minute vacuum tumbling, with and without a liquid smoke-based anti-mold spray a Means within a column followed by different superscripts differ (P<0.05). † MPR: moisture-to-protein ratio. * Treatments: S – 24-hour soak marinated, SS – 24-hour soak marinated, anti-mold spray, T – 20-minute vacuum tumble marinated, TS – 20-minute vacuum tumble marinated, anti-mold spray. Table 3. Trained panel sensory evaluation † of beef jerky marinated by 24-hour soaking or 20-minute vacuum tumbling, with and without a liquid smoke-based anti-mold spray ab Means within a column followed by different superscripts differ (P<0.05). † A scale of 1 to 8 is used for all descriptors. A score of 8 for all traits would describe jerky as extremely firm, chewy, moist, and salty with an intense flavor, abundant smoke flavor, and no off-flavor. * Treatments: S – 24-hour soak marinated, SS – 24-hour soak marinated, anti-mold spray, T – 20-minute vacuum tumble marinated, TS – 20-minute vacuum tumble marinated, anti-mold spray. 68

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SNAAP Child Protection Policy Safeguarding Children Child Protection Statement SNAAP believes that it is always unacceptable for a child or young person to experience abuse of any kind and recognises its responsibility to safeguard the welfare of all children and young people, by a commitment to practice which protects them. We recognise that: * the welfare of the child/young person is paramount * all children regardless of age. Disability, gender, racial heritage, religious belief, sexual orientation or identity have the right to equal protection from all types of harm or abuse * working in partnership with children, young people, their parents, carers and other agencies is essential in promoting young people's welfare. The purpose of the policy: * To provide protection for the children and young people who receive SNAAP's services, including the children of adult members or users. * To provide staff and volunteers with guidance on procedures they should adopt in the event that they suspect a child or young person may be experiencing, or be at risk of, harm. This policy applies to all staff, including senior managers and Board of Trustees, paid staff, volunteers and Sessional workers, agency staff, students or anyone working on behalf of SNAAP. We will endeavour to safeguard children and young people by: * valuing them, listening to and respecting them * adopting child protection guidelines through procedures and a code of conduct for staff and volunteers * recruiting staff and volunteers safely ensuring all necessary checks are made * sharing information about child protection and good practice with children, parents, staff and volunteers * sharing information about concerns with agencies who need to know, and involving parents and children appropriately * providing effective management for staff and volunteers through supervision, support and training We are also committed to reviewing our policy and good practice annually. Definitions of abuse What are abuse and neglect? It is generally accepted that there are four main forms of abuse. The following definitions are based on those from Working Together to Safeguard Children (HM Government 2005). 1. Physical Abuse Physical abuse may involve hitting, shaking, throwing, poisoning, burning or scalding, drowning, suffocating or otherwise causing physical harm to a child. Physical harm may also be caused when a parent or carer fabricates the symptoms of, or deliberately induces, illness in a child. Physical abuse, as well as being a result of an act of commission can also be caused through omission or the failure to act to protect. 2. Emotional Abuse Emotional abuse is the persistent emotional ill treatment of a child such as to cause severe and persistent adverse effects on the child's emotional development. It may involve conveying to children that they are worthless or unloved, inadequate or valued only insofar as they meet the needs of another person. It may feature age or developmentally inappropriate expectations being imposed on children. These may include interactions that are beyond the child's developmental capacity, as well as overprotection and limitation of exploring and learning, or preventing the child participating in normal social interaction. It may involve causing children frequently to feel frightened or in danger, or the exploitation or corruption of children. Some level of emotional abuse is involved in all types of ill-treatment of a child, though it may occur alone. 3. Sexual Abuse Sexual abuse involves forcing or enticing a child or young person to take part in sexual activities, including prostitution, whether or not the child is aware of what is happening. The activities may involve physical contact, including penetrative (eg, rape, buggery or oral sex) or non-penetrative acts (oral sex). They may include non-contact activities, such as involving children in looking at, or in the production of, pornographic material or watching sexual activities, or encouraging children to behave in sexually inappropriate ways. Boys and girls can be sexually abused by males and/or females, by adults and by other young people. This includes people from different walks of life. 4. Neglect Neglect is the persistent failure to meet a child's basic physical and/or psychological needs, likely to result in the serious impairment of the child's health or development. Neglect may occur during pregnancy as a result of maternal substance abuse. Once a child is born, neglect may involve a parent or carer failing to provide adequate food and clothing, shelter including exclusion from home or danger, failure to ensure adequate supervision including the use of adequate care-takers, or failure to ensure appropriate medical care or treatment. It may also include neglect of, or unresponsiveness to, a child's basic emotional needs. Other Adversities Chapter 10 of Working Together to Safeguard Children (HM Government 2006) and other inter-agency guidance draws attention to other sources of stress or harm for children and families such as social exclusion, domestic violence, the untreated mental illness of a parent or carer, or drug or alcohol misuse. All these areas may have a negative impact on a child's health and development and may be noticed by someone caring for a child. If it is felt that a child's well-being is being adversely affected by any of these circumstances, the same procedure for reporting concerns should be followed. For example, children who are involved in prostitution and other forms of commercial sexual exploitation should also be treated primarily as victims of abuse and their circumstances require careful assessment by the statutory agencies. Recognising child abuse Recognising child abuse is not easy, and it is not your responsibility to decide whether or not child abuse has taken place or if a child is at significant risk. You do, however, have a responsibility to act if you have a concern about a child's welfare or safety. The following is not designed to turn you into an expert but will help you to be more alert to the signs of possible abuse. 1. Physical abuse Most children will collect cuts and bruises in their daily life. These are likely to be in places where there are bony parts of their body, like elbows, knees and shins. Some children, however, will have bruising which can almost only have been caused nonaccidentally. An important indicator of physical abuse is where bruises or injuries are unexplained or the explanation does not fit the injury. A delay in seeking medical treatment for a child when it is obviously necessary is also a cause for concern. Bruising may be more or less noticeable on children with different skin tones or from different racial groups and specialist advice may need to be taken. Patterns of bruising that are suggestive of physical child abuse include: * bruising in children who are not independently mobile * bruising in babies * bruises that are seen away from bony prominences * bruises to face, back, stomach, arms, buttocks, ears and hands * multiple bruises in clusters * multiple bruises of uniform shape * bruises that carry the imprint of an implement used, hand marks or fingertips * although bruising is the commonest injury in physical abuse, fatal non-accidental head injury and non-accidental fractures can occur without bruising. Any child who has unexplained signs of pain or illness should be seen promptly by a doctor. Other physical signs of abuse may include: * cigarette burns * adult bite marks * broken bones * scalds. Changes in behaviour which can also indicate physical abuse: * fear of parents being approached for an explanation * aggressive behaviour or severe temper outbursts * flinching when approached or touched * reluctance to get changed, for example wearing long sleeves in hot weather * depression * withdrawn behaviour * running away from home. 2. Emotional abuse Emotional abuse may be difficult to measure, and often children who appear to well cared for may be emotionally abused by being taunted, put down or belittled. They may receive little or no love, affection or attention from their parents or carers. Emotional abuse can also take the form of children not being allowed to mix/play with other children. The physical signs of emotional abuse may include: * failure to thrive or grow, particularly if the child puts on weight in other circumstances, eg, in hospital away from their parents' care * sudden speech disorder * developmental delay, either in terms of physical or emotional progress Changes in behaviour which can also indicate emotional abuse include: * neurotic behaviour, eg, sulking, hair twisting, rocking * being unable to play * fear of making mistakes * self harm * fear of parents being approached regarding their behaviour. 3. Sexual Abuse Adults who use children to meet their own sexual needs abuse both girls and boys of all ages, including infants and toddlers. Usually, in cases of sexual abuse it is the child's behaviour which may cause you to become concerned, although physical signs can also be present. In all cases, children who talk about sexual abuse do so because they want it to stop, It is important, therefore, that they are listened to and taken seriously. The physical signs of sexual abuse may include: * pain or itching in the genital/anal areas * bruising or bleeding near genital/anal areas * sexually transmitted disease * vaginal discharge or infection * stomach pains * discomfort when walking or sitting down * pregnancy. Changes in behaviour which can also indicate sexual abuse include: * sudden or unexplained changes in behaviour, eg, becoming aggressive or withdrawn * fear of being left with a specific person or group of people * having nightmares * running away from home * sexual knowledge which is beyond their age or developmental level * sexual drawings or language * bedwetting * eating problems such as overeating or anorexia * self harm or mutilation, sometimes leading to suicide attempts * saying they have secrets they cannot tell anyone * substance of drug abuse * suddenly having unexplained sources of money * not allowed to have friends (particularly in adolescence) * acting in a sexually explicit way towards adults. 4. Neglect Neglect can be a difficult form of abuse to recognise, yet have some of the most lasting and damaging effects on children. The physical signs of neglect may include: * constant hunger, sometimes stealing food from other children * constantly dirty or smelly * loss of weight, or being constantly underweight * inappropriate dress for conditions. Changes in behaviour which can also indicate neglect may include: * complaining of being tired all the time * not requesting medical assistance and/or failing to attend appointments * having few friends * mentioning their being left alone or unsupervised. The above list is not meant to be definitive but as a guide to assist you. It is important to remember that many children and young people will exhibit some of these indicators at some time, and the presence of one or more should not be taken as proof that abuse is occurring. There may well be other reasons for changes in behaviour, such as death or the birth of a new baby in their family, relationship problems between their parents/carers, etc. Safe Recruitment and Selection for Our Project Determined abusers have often managed to gain access to children and young people. Our policy and procedures are important safeguards to stop this happening. They will be understood by good applicants and will put ill intentioned people off. All volunteers and staff, including temporary personnel and helpers should be subject to a careful and rigorous selection and vetting process with the following elements: * Completion of an application form and checking the person's identity by their birth certificate or passport, preferably by something which has their photograph. * Taking up references. * An interview by at least two people. * At least one member of the panel having had Safer Recruitment Training * Identifying reasons for gaps in employment or inconsistencies. * Carrying out DBS checks. * Allow no unsupervised access to children and young people until this has been completed. * Advice is sought about recruiting someone with a criminal record. * A supervised probationary period for new people to the project and a comprehensive induction period that includes our child protection procedures. Disclosure and Barring Service (DBS) and vetting Checks to be carried out on all people applying for work with children, including volunteers. The DBS will provide checks of: * Police criminal records via the Police National Computer * PoCA list (The Protection of Children Act List) and List 99 – lists of people who are disqualified from working with children and young people. Responding to a child making an allegation of abuse * Stay Calm. * Listen carefully to what is said. * Find an appropriate early opportunity to explain that it is likely that the information will need to be shared with others – do not promise to keep secrets. * Allow the child to continue at his/her own pace. * Ask questions for clarification only, and at all times avoid asking questions that suggest a particular answer. * Reassure the child that they have done the right thing in telling you. * Tell them what you will do next and with whom the information will be shared. * Record in writing what was said using the child's own words as soon as possible – note date, time, any names mentioned, to whom the information was given and ensure that the record is signed and dated. * Contact your designated person. Remember: It is not your responsibility to decide whether or not abuse has occurred and you should not investigate any suspicions or concerns about a child. That is the role of the statutory services and any worries or concerns should be passed to the designated child protection person. Reporting allegations or suspicions of abuse Everyone should be aware of the designated person within SNAAP who should immediately always be informed of any concerns about a child being abused. Name: Sarah Selby-Bird Job Title: Family Support Worker/Designated Safeguarding Lead Address: Windchimes, Reynolds Close, Herne Bay, CT6 6DS Tel no: 01227 367555/07842 127825 If Sarah is unavailable or cannot be contacted contact the Manager, Carrie Wood, or Chair of Trustee's, Stephanie Swan on 01227 367555 If you are unable to contact any of the above, and only in the case of an emergency Children's Social Services - 03000 41 11 11 Police Station – Canterbury - 01622 690 690 NSPCC Child Protection Helpline 0808 800 5000 If for any reason you cannot tell the nominated person, then you should tell a member of staff or member of the Board of Trustees. Policy last reviewed: 12th April 2021 Next policy review date: April 2022 Legislation and Guidance There is a considerable body of legislation, government guidance and standards, which are designed to ensure that children are protected from harm. The Children Act 1989 The intention of the legislation is to ensure that the welfare and developmental needs of children are met, including their need to be protected from harm. The key principles of this act are: * The welfare of the child is paramount. * Wherever possible, children should be brought up and cared for within their own families. * All interventions must take into account race, ethnicity and culture of children. * Children with disabilities must be provided with services to promote their achievements. * Agencies must work in partnership with parents. It shall be the general duty of every local authority to safeguard and promote the welfare of children in their area. Section 17 states that local authorities have a duty of care to safeguard the welfare of children who are in need and they must promote the upbringing of such children by their families. Local authorities must provide a range and level of services appropriate to those children's needs. Section 47 places a duty on local authority social services departments to make enquiries where they have reasonable cause to suspect that a child in their area is likely to be or is suffering significant harm. This is the section that authorises children's social services to investigate concerns about child abuse. In addition to social services, social work departments and health boards, only the police and the NSPCC have the legal right and responsibility to investigate concerns about child abuse. The Children's Act 2004 This act legislates for children in England & Wales and underpins a national framework of change for children and young people. Its implementation should be part of a wider process of change for children and young people focussed on five key outcomes of wellbeing for children: being healthy, staying safe, enjoying and achieving, making a positive contribution and achieving economic well being. Every Child Matters: Change for Children sets out the national framework in England for local change programmes. The National Framework for Children, Young People and Maternity Services is useful for further reading. Section 10 establishes a duty on local authorities to make arrangements to promote cooperation between agencies in order to improve children's well-being, defined by reference to the five outcomes and a duty on key partners to take part in those arrangements. It also provides a new power to allow pooling of resources in support of these arrangements. Section 11 creates a duty for key agencies who work with children to put in place arrangements to make sure that they take into account of the need to safeguard and promote the welfare of children. Section 12 allows further secondary legislation and statutory guidance to be made with respect to setting up databases or indexes that contain basic information about children and young people to help professionals in working together. Sections 13-16 require that local authority set up statutory Kent Safeguarding Children Boards and that the key partners take part. Section 17 establishes a Single Children and Young People's Plan (CYPP) to replace a range of current statutory planning. Sections 18 & 19 require local authorities to put in place a director of children's services and lead member for children's services to be responsible for, as a minimum, education and children's social services functions. Local authorities have discretion to add other relevant functions, for instance leisure or housing, to the role if they feel it is appropriate. Sections 20-24 require an integrated inspection framework to be established by the relevant inspectorates to inform future inspections of all services for children. Human Rights Act 1998 and the United Nations Convention on the Rights of a Child (ratified by the UK Government in 1991) This act identifies the rights of adults and children, including children's rights to be protected from harm, and reflects principles that are recognised in UK legislation and international agreements. Rights include: * children having their say in their education * protection of the environment in which children live * reasonable standard of living * protection from violence, abuse and exploitation * protection from children cared away from home and for children with disabilities * children being able to use their own language, enjoy their own culture and practice their own religion * reasonable standards of health and development. The main points are: * No Discrimination – The Government must make sure that children get equal rights and protection irrespective of their race, gender, religion, nationality, political opinion, ability or developing sexuality. * Acting in the Child's Best Interests – The Government has also agreed that, in all decisions concerning children, adults should put the child's best interests first. This includes decisions in courts, in schools, in hospitals, in care or in the prime consideration. * Making it Happen – The Government has promised to make laws and change policies and procedures to give children these rights. * The Child's Right to Express An Opinion – Children should have the right to a say in all decisions affecting them, for example, in court, in school, in hospital. Their opinions should be given more weight depending on their age and maturity. A committee at the United Nations checks up on whether Governments are keeping their promises. Current legislation in the UK does not make all these rights available to children. Care Standards Act 2000 Measures identified under this Act are intended to ensure a consistent minimum quality of day care nationally available for children under eight years. Registered providers have to meet 14 national standards and are subject to a regular system of inspections by Ofsted. Criminal Justice and Court Services Act 2000 Part II of this Act relates to 'public bodies' responsibilities within child protection and is integral to child protection systems in the UK designed to prevent unsuitable people from working with children. Protection of Children Act 1999 and The Police Act 1997 These Acts change the routes by which employers can check whether a potential or actual employee has criminal offences against children or whether there has been any reason for that person to be considered unsuitable to work with children. Rehabilitation of Offenders Act 1974 This act seeks to counteract prejudice against people with convictions seeking employment and allows them to protect their privacy by not declaring spent convictions to employers. However, people seeking to work or volunteer in situations with prolonged or sustained access to children are exempt from the Rehabilitation of Offenders legislation. This means they must declare all criminal convictions whether spent or not. Their criminal record will be taken into account when deciding on their suitability for working with children. The Data Protection Act 1998 This regulated the handling of personal information and governs how such information can be shared with others. Concerns about the safety or welfare of a child is information that can be shared with social services or another professional as it is in the child's best interests. Sexual Offenders (Amendments) Act 2000 This Act sets out the range of sexual offences, including those against children. It introduces a new offence of abuse of trust, when a person aged 18 or over engages in sexual intercourse or other sexual activity with someone under that age where they are in a position of trust in relation to the younger person. This applies even if the sexual activity was consensual and in all other respects, lawful. Adults working or volunteering with children and young people are in a position of trust. Sex Offenders Act 1997 Those who have been convicted of a sexual offence must register their address with the police. If they do not, they are liable to a fine and/or imprisonment. Courts also have the power to issue a Sex Offender Order banning convicted sex offenders from going near specified places, such as schools or from specific activities such as working with children. Disclosure and Barring Service (DBS) This allows organisations recruiting individuals to work with children and vulnerable adults, the opportunity to vet these individuals. The DBS provides information about spent and unspent criminal convictions, checks against the Dept of Health and Dept of Education and Skills lists of those considered unsuitable to work with children and provides relevant information from local police authorities. Checklist for reporting suspected abuse Name of child: Age and date of birth: Ethnicity: Religion: First language: Disability: Any special factors: Parent's/carer's name(s): Home address (and phone no. if available) Are you reporting your own concerns or passing on those of somebody else? Give details. Brief description of what has prompted the concerns: include dates, times etc. of any specific incidents. Any physical signs? Behavioural signs? Indirect signs? Have you spoken to the child? If so, what was said? Have you spoken to the parent(s)? If so, what was said? Has anybody been alleged to be the abuser? If so, give details. Have you consulted anybody else? Give details. Your name and position. To whom reported and date of reporting. Signature………………………………………………………………... Today's Date………………………………………… You have concerns about a child's welfare Discuss with manager and/or other senior colleagues and designated child protection person Still have concerns No longer have concerns Refer to Children's Services and/or police. Follow up in writing within 48 hours No further child protection action, although may need to act to ensure services provided Children's services acknowledge receipt of referral and decide on course of action within one working day Initial assessment required Concerns about child's immediate safety Immediate strategy discussion between children's services, police and other agencies as appropriate Children's Services feedback to referrer on next course of action No further children's services involvement at this stage, although other action may be necessary, eg. onward referral Any concerns should be reported promptly Reporting child protection concerns (b) Supervisor/line manager not concerned but you remain so Discuss with supervisor/line manager and designated child protection person You have concerns about the behaviour of staff or a volunteer In relation to the welfare of a child/children Manager considers all facts and information Refer to SNAAP's whistle- blowing policy and/or next senior manager Concerns ongoing and they are in the category of child protection Concerns ongoing but not in category of child protection Refer to children's services and/or police. 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Questions and Answers Regarding Baltimore Regional Project-Based Voucher (PBV) Program Request for Proposals #19V301B4 March 6, 2019 Question 1: There are a number of items that are in the CDA form 202, including the number of units, square footage, bedroom mix, proposed voucher rents, and utilities. Do you need to have these separately or will the 202 suffice? Answer: If you include in your CDA Form 202 information that we request elsewhere in our "Submission requirements and format," you can simply say at that point in your proposal, "See our CDA Form 202." We do ask that you complete all information requested in Certification 1. Question 2: You are requesting a good standing certificate for the owner entity. That entity may not have been formed at the time of the application. Are you saying we need to form that company or partnership for this application? Answer: No, you do not need to form that company or partnership for this application. A Good Standing Certificate does not need to be submitted for a new ownership entity if it is not yet formed, but should be submitted for any entity that may have an ownership interest in the Development and exists at the time of application. Question 3: Section 13 says that we should include information on, "Any architectural or design factors that respond to Regional PBV Design criteria." What are these Design criteria and where are they found? Answer: Those Design criteria are found on page 15, in the Selection Criteria matrix. Question 4: Is there anything that must be submitted in connection with Section 14 Affirmative Fair Housing Marketing Plan? Answer: If your development "has received or is applying for another subsidy that requires" an Affirmative Fair Housing Marketing Plan, you must submit it with your application. We realize that the Maryland Department of Housing and Community Development (DHCD) asks for this plan only after funding is awarded, but, since this program relates to the participating housing authorities' duty to affirmatively further fair housing, we believe it is important for a plan to be developed before we make our awards. Question 5: We have a new construction project in Carroll County designated an opportunity area by the Baltimore Regional Housing Partnership, but Carroll County is not listed as a location of proposed Development on page 8 of the RFP. Can you please provide some guidance? Answer: Carroll County is not a location listed for a proposed Development for the Baltimore Regional Project-Based Voucher (PBV) Program, and, therefore, a Development in Carroll County would not qualify for an award under this RFP. Question 6: We will be submitting an application for an existing community that we will be rehabbing and will have a new construction component. Should we submit this application as existing housing, substantial rehabilitation, new construction, or all of these so you can decide how you wish to award vouchers? No residents will be displaced as a result of the renovation/new construction. Answer: Since you are rehabbing your existing community and constructing new units, we suggest you apply for vouchers for your new construction and/or substantial rehabilitation. We would not want the first lease of our voucher holders to include a move to accommodate rehabilitation. Question 7: Certification 3 discusses conflicts. We are a Regional PBV Program participant, and we would need to sign the AHAP and HAP as the project owner. We will list it in the Certification, but do you see an issue? Answer: No, the Baltimore Regional Housing Partnership signs the AHAP and HAP on behalf of public housing authorities contributing vouchers to any particular development (p. 5 of the RFP) and determines the reasonable rent (p. 6), which means you actually would not be performing those functions. In addition, any Regional PBV Program partners who anticipated being part of a development team applying for vouchers under this RFP recused themselves from all development of this RFP and all decision-making under it, in order to remove that conflict of interest. So we have been careful to structure our program and this RFP to address that potential conflict of interest thoroughly and proactively. Note, if the units in the Development are classified as "PHA-owned" under HUD regulations, BRHP will need to be approved by HUD as the independent entity to perform certain functions that include execution of the AHAP and HAP, rent reasonableness, HQS inspections, and any other HUD required independent entity responsibilities. Question 8: Item 10 of the Submission Requirements asks for the proposed term of the HAP contract and requested extension periods. But there doesn't seem to be any scoring on this factor. So is this just for informational purposes or does it matter? Answer: That is just for informational purposes, we will specify the term of the HAP contract in any potential award of vouchers. Question 9: DHCD's Community Development Administration (CDA) gives credit for income targeting down to 20 percent of area median income (AMI). Would you be able to commit to referring some residents at 20 percent of AMI to units with Vouchers? Answer: Yes, we would be able to commit to referring some residents at 20 percent of AMI to Regional PBV units. Question 10: Would you be able to commit to referring some residents with disabilities to units with Vouchers? Answer: No, the families we refer may include people with disabilities, but we cannot commit to referring a particular number of people with disabilities. Question 11: Would you award project-based vouchers that would replace tenant-based vouchers on turnover of the unit? Answer: No, because we are working to create new units affordable to households at or below 30% of AMI (p. 5 of the RFP), we would not be inclined to award project-based vouchers that would simply replace tenant-based vouchers on turnover of already existing affordable units. Question 12: Would you be willing to award vouchers to a scattered-site proposal that does not yet have control of the houses? Answer: No. Item number 8 on page 11 of the RFP notes that we require evidence of site control as part of the original application. Question 13: Would you consider a proposal where the owner will not have site control until the second week in April? Answer: No. Item number 8 on page 11 of the RFP notes that we require evidence of site control as part of the original application. Question 14: Will your process mesh with DHCD's 2019 tax credit round? When do you anticipate making your decisions? Answer: We anticipate making our decisions by April 15, before DHCD's May 8 deadline. Question 15: Given that your deadline is well before DHCD's deadline, what if we need to make changes to our proposal after your deadline? Answer: We do require you to update us regarding any changes to your proposal after submission to us. If those modifications would have changed our award decision, we reserve the right to modify or withdraw our award. Question 16: How many applications for vouchers have you received, compared to how many vouchers you have awarded? Answer: Since our program began in 2016, we have received 13 proposals for 136 vouchers and awarded a total of 44 vouchers that are currently moving forward and listed on the Baltimore Regional Project-Based Voucher Program web page.

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Exact Solutions of Burgers' Equation Ann Author, ∗ Second Author, † and Third Author ‡ School of Computing, Electronics and Mathematics, Plymouth University, Plymouth, PL4 8AA (Dated: March 17, 2020) [This is where your brief abstract goes.] Find and discuss some exact analytical solutions to the viscous Burgers equation. I. INTRODUCTION an essay. So please refrain from any "subjective scientiﬁc writing". This can provide some historical context, the state of the art and some motivation. Be reasonably general, but concise. Instructions for your project choice are as follows: A. Oral Presentation The ﬁrst part of this module is the preparation and delivery of an oral presentation on the topic stated in the title. You should address the following topics/problems related to the viscous Burgers' equation, * Explain why this is a nonlinear diﬀusion equation. * Show that (1) has travelling wave solution of the form u = v(x − ct). * Map Burgers' equation to the heat equation using the Hopf-Cole transformation. Use this to ﬁnd exact solutions of Burgers' equation. * Discuss the inviscid limit. B. Scientiﬁc Paper In the second part you are to write a scientiﬁc article (or 'paper) on your project topic. You must use this template typeset in L A TEX. The paper will consist of a write-up of your oral presentation extended by at least one other application or natural extension of your topic, which was not covered by the oral presentation. The overall word count of your article must not exceed 4,000. II. MAIN PART I That's the ﬁrst section of your main part. Formulae should be included as this is an applied maths paper, not ∗ [email protected] ‡ [email protected] † [email protected] An (enumerated) equation is included as follows, while two aligned equations would be: The format above (equations in extra lines) is called displaystyle. If you write formulae within text, don't forget to enclose the maths expression in dollar symbols, e.g. like $a$, which yields the maths letter a. This is proper maths textstyle — I do not want to see just the ordinary letter "a"! Some additional maths typesetting rules are: * Generally avoid font sizes that are too small. In particular, in textstyle write fractions in the form a/b (rather than the ugly a b ). * Similar remarks apply to indices (powers, sub- and superscripts) in textstyle, in particular if they are more complicated expressions such as x 1 1−x . * Formulae should be treated as genuine parts of sentences, which includes the appropriate punctuation. If you want to include subsections, no problem: A. Subsection Always properly quote any work you are drawing from [1, 2, 4]. This includes books, research articles, web sites and any other written resource you have been using. Anything else will be considered as plagiarism. III. MAIN PART II Pictures and diagrams are as important as ﬁgures. If you use pdﬂatex (recommended) you can include pdf and jpg pictures as shown for Fig. 1. Note that ﬁgure ﬁles should be in the same directory as the tex ﬁle (unless you prescribe the explicit path before the ﬁlename). [1] Albert Einstein. On the electrodynamics of moving bodies. Annalen Phys., 17:891–921, 1905. [Annalen Phys.14,194(2005)]. [2] R.A. Muller. Physics for Future Presidents: The Science Behind the Headlines. W. W. Norton, 2008. IV. DISCUSSION AND CONCLUSION Summarise and discuss your ﬁndings. Provide an outlook to further work. ACKNOWLEDGMENTS Thank you! [3] Mark Senn. Albert Einstein, accessed 14-12-2010. http://en.wikipedia.org/wiki/Einstein. [4] L. Weinstein and J.A. Adam. Guesstimation: Solving the World's Problems on the Back of a Cocktail Napkin. Princeton University Press, 2009.

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Teaching Freshman Design Using a Flipped Classroom Model Dr. Ann Saterbak, Rice University Dr. Matthew Wettergreen, Rice University ⃝ c American Society for Engineering Education, 2015 Paper ID #12039 Teaching Freshman Design Using a Flipped Classroom Model Abstract A team of faculty at Rice University and other institutions are creating instructional resources to support a flipped classroom for first-year engineering design. The traditional 'class' in which faculty lecture on the design process has been replaced by in-class exercises and additional team time. Since the flipped classroom model shifts course content with low cognitive load to videos, students learn this material outside of the classroom. Now, students spend even more time during class applying the design process to their projects. For example, teams develop appropriate design criteria, brainstorm and select a design solution, and build physical prototypes during class. The first objective of this project is to create educational materials to flip the first-year multidisciplinary engineering design classroom. To date, we have completed a substantial library of videos, associated quizzes, and in-class exercises. The second objective of this project is to answer the engineering education research question: Are there differences in student performance in executing the engineering design process when comparing delivery of engineering design process knowledge using a lecture format versus a flipped classroom model? The team is seeking feedback on materials that will be helpful for the academic community teaching engineering design. This work is supported by NSF DUE grant #1244928. Flipped Classroom Model A new curriculum model, known as the flipped classroom model, has emerged that inverts the traditional instructor-centered, lecture-based approach. This model takes advantage of easy access to video and the internet and addresses changing educational needs of students. The flipped classroom model shifts course content with low cognitive load outside of the classroom, thus freeing class time for students to focus on high cognitive load tasks such as design. 1, 2 In the flipped classroom, faculty commit to use multimedia technology to deliver time-shifted content via audio podcasts, screencasts, and other forms of rich media. To prepare for a flipped classroom, students complete "homework" that involves watching videos or listening to audio podcasts. During class time, teachers lead students to discover, apply, and then explain important concepts to each other. This active learning classroom model is consistent with best practices in engineering education. 3-6 K-12 STEM teachers have been early adopters of the flipped classroom. More recently, university STEM faculty have adopted this method, particularly in large, lower-level courses. During the past few years, as more faculty adopt flipped classrooms at the university level, there is a growing body of peer-reviewed literature about the efficacy of this method. 1, 2, 7-10 We are seeking to contribute to this literature in the area of engineering design. Motivation and Overall Project Aims In our comprehensive review of materials in 2012, no publicly available videos existed for teaching the engineering design process at any undergraduate level. Creating flipped classroom materials for our first-year engineering design course was driven by our commitment to adopting this model in the absence of any existing materials. Our literature review also found no completed assessment on the impact of the flipped classroom model on an undergraduate engineering design course. Building on best practices in engineering education, faculty at Rice University are creating educational resources to support a flipped classroom model for first-year multidisciplinary engineering design. Our funded NSF proposal (DUE grant #1244928) seeks to address the following three specific aims: Specific Aim #1 Develop flipped classroom instructional materials for sections of the design process including design criteria, brainstorming and evaluation solutions, and initial prototyping. Specific Aim #2 Assess the effectiveness of the flipped classroom model for a first-year engineering design course. Specific Aim #3 Collaborate and partner with the first-year engineering community to receive critical formative feedback on materials and then disseminate developed materials. Introduction to Engineering Design (ENGI 120) is a one-semester multidisciplinary design course for freshman students at Rice University. In ENGI 120, students learn the engineering design process and use it to solve meaningful problems drawn from local hospitals, local community partners, international communities, and around the university campus. The course outcomes, structure, and deliverables have been described in detail elsewhere. 11 From spring 2011 through spring 2014, ENGI 120 was taught using a lecture/team meeting model. During each class period, students listened to a lecture and also worked in their team on their design project. In fall 2014 and forward, ENGI 120 is being taught using the flipped/team meeting model using the materials described herein. Students participate in all aspects of the flipped model (video and quiz before class; in-class exercises replacing lectures) and also work with their design team on their challenge. Details on the format for the flipped/team meeting model is described elsewhere. 12 Status of Specific Aim #1 - Creation of Educational Materials The first thrust of this project is to create educational materials to transfer the delivery of content regarding the design process to an out-of-class environment and to develop in-class active learning modules that clarify, elaborate, and expand on critical design process topics. To date, nine modules have been created. Each module includes a playlist of several videos, one or two online quizzes, and three in-class exercises. - Pairwise comparison charts - Design criteria - Decomposition - Morphological charts - User-defined scales (design criteria) - Brainstorming - Pugh screening matrix - Pugh scoring matrix Videos Within these nine modules, we have completed 32 web-based videos that are 1-11 min in length. The videos feature student teams and faculty at Rice University and other institutions who teach, explain, and illustrate the steps of the engineering design process. The instructional videos are a mixture of the instructor talking, the instructor talking with text placed to the side, and slideshow panels (text, table, picture, etc.). Example videos have been made by Rice engineering design teams based on their ENGI 120 projects. Most of these playlists can be found online at http://goo.gl/YF78TY. Quizzes Online quizzes are used to monitor students' understanding of the information in the videos. A series of multiple choice questions test students' knowledge and application of the content presented in the videos. For each module, there are one or two quizzes, each with five to 14 questions. Quiz results reveal areas of student mastery of the video content. In-Class Exercises We have developed three or four in-class exercises for each module that support active learning in the classroom. These in-class exercises strengthen students' understanding of the design process by having them apply knowledge to a new problem, evaluate a completed design scenario, or apply a step in the design process to a team's specific project. In-class exercises that span the range of Bloom's taxonomy were explicitly created. Implementation In fall 2014, these eight of the nine modules were implemented in ENGI 120 at Rice University. The videos and quizzes were integrated into the university course management system. Various analytics on the videos and quizzes are available; this data is reported elsewhere. 12 Future Work The team is in the process of creating an additional six modules, which are focused on the following topics: - Design process overview - Basic physical prototyping - Researching a design problem - Understanding customer needs - Testing design solutions - Failure and iteration in engineering design Status of Specific Aim #2 – Evaluate Effectiveness of Flipped Model As part of the project, the team is evaluating two major strands of assessment data: 1) Pre- and post-testing of students' knowledge and application of the design process as measured by their critiques of a Gantt chart laying out a 14-week design process. 2) Design team technical memos that document specific steps in the design process, including establishing design criteria, brainstorming solution ideas, and applying Pugh matrices for evaluation. - Gantt charts The instructors of the first-year design course at Rice University have been teaching ENGI 120 for several years. To date, the team has collected and assessed data on student performance for courses taught using the lecture/team meeting format; dates of collection range spring 2011 through spring 2014. Specifically, the pre- and post-tests using the Gantt chart have been analyzed for several years for the lecture format and are reported elsewhere. 13, 14 Assessment with the flipped classroom model is ongoing since eight flipped classroom modules were launched in ENGI 120 in fall 2014. Preliminary results are published elsewhere. 12 Data from the flipped classroom model began in fall 2014 and will continue for four semesters. Status of Specific Aim #3 - Collaborate to Receive Feedback and Disseminate Materials For the materials to be of high value, it has been important to partner early with other members of the first-year engineering community. In addition to presenting at the 2014 and 2015 ASEE meetings, we also presented at the First Year Engineering Education (FYEE) Conference in summer 2014. During that conference, we hosted a workshop. Workshop participants reviewed videos, quizzes and in-class materials, giving us helpful feedback. Key learnings from the workshop included: - This video series and the idea of a publicly-available repository currently does not exist and, based on positive reception, could gain purchase with peer educators for a freshman engineering education model. - Use of specific technical terms may limit adoption. For example, courses at some universities use the term "design criteria," whereas others use the term "standard" when referring to the same concept. - Materials on 'soft skills' such as communication, teaming, and project planning may be more universally transferrable. - The application of the engineering design process is sufficiently unique for each course to potentially require individualized university-specific introduction videos. - In-class exercises need more context and definition. - Quizzes need to address higher levels on Bloom's Taxonomy rather than just recall, understanding, and comprehension. - There is currently no consensus on best practices to achieve high compliance of participation for out-of-class activities (watching videos, completing quizzes). Through collaboration with other engineering faculty at the FYEE conference, we created five stand-alone videos: - Characteristics of high performing teams (Tim Hinds, Michigan State) - Methods of brainstorming (Courtney Pfluger, Northeastern University) - Interacting with clients (Bill Hulette, Wake Tech Community College) - Team roles in an engineering design team (Mary Verstraete, University of Akron) - Creating a work breakdown structure (AJ Hamlin, Michigan Tech) Once edited, these videos will become part of the bank of materials. In the future, through more formal collaborations and partnerships, we will gather feedback about the quality and usability of the developed materials, including videos and quizzes. Specifically, we are hoping to partner with two schools in fall 2015 to use some of the developed materials. Acknowledgments The team is seeking feedback on developing materials that will be helpful for the academic community teaching engineering design. This work is supported by an NSF DUE grant (#1244928). References 1 V. Jungića, H. Kaurb, J. Mulhollanda, C. Xin, "On Flipping The Classroom In Large First Year Calculus Courses," in International Journal of Mathematical Education in Science and Technology, Vol 10, 2014. 2 L. Abeysekera, P. Dawson, "Motivation and cognitive load in the flipped classroom: definition, rationale and a call for research," in Higher Education Research & Development, Published online 14 Aug 2014. 3 R. Beichner, "The SCALE-UP Project: A Student-Centered, Active Learning Environment for Undergraduate Programs," National Academy of Sciences, Washington, 2008. 4 "Creating a Culture for Scholarly and Systematic Innovation in Engineering Education," American Society for Engineering Education, Washington, DC, 2009. 5 M. Prince, "Does active learning work? A review of the research," Journal of Engineering Education, vol. 93, no. 3, pp. 1-10, 2004. 6 M. Prince and R. Felder, "Inductive teaching and learning methods," Journal of Engineering Education, vol. 95, no. 2, pp. 123-138, 2006. 7 J. Bishop, M. Verleger, "The Flipped Classroom: A Survey of the Research," in American Society of Engineering Education Conference Proceedings, Atlanta, 2013. 8 L. Barba, "This CFD class is flippin'," Boston University , 1 February 2012. [Online]. Available: http://people.bu.edu/labarba/Lorena_Barba/Blog/Entries/2012/2/1_This_CFD_class_is_flippin.html. [Accessed 21 May 2012]. 9 S. Char, C. Collier, "Chalk and Talk Versus Classroom Flipping: Results of a Case Study," in IOSR Journal of Resarch & Method in Education, Vol 5, Issue 1, pages 24-28, 2015. 10 L. Deslauriers, E. Schelew and C. Wieman, "Improved learning in a large-enrollment physics class," Science, vol. 332, pp. 862-864, 2011. 11 A. Saterbak, M. Embree and M. Oden, "Client-based projects in freshman design," in American Society of Engineering Education Conference Proceedings, San Antonio, TX, June 2012. 12 A. Saterbak, M. Wettergreen, "Teaching Freshman Design Using a Flipped Classroom Model" in Advances in Engineering Education, Special Edition on Flipped Classrooms, extended abstract accepted Feb 2015. 13 A. Saterbak and T. Volz, "Assessing Design Capabilities Following a Client-Based Freshman Design Course," in 4th First-Year Engineering Experience Conference, Pittsburgh, PA, June 2012. 14 A. Saterbak and T. Volz, "Assessing Knowledge and Application of the Design Process," in American Society of Engineering Education Conference Proceedings, Indianapolis, IN, June 2014.

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Trans-NIH Strategic Plan for Research on Women's Health Notice Number: NOT-OD-17-108 Key Dates Release Date: TBD Response Date: September 11, 2017 Related Announcements None Issued by Office of Research on Women's Health (ORWH) Purpose The Office of Research on Women's Health (ORWH) is updating the trans-NIH Strategic Plan for Women's Health Research. NIH is publishing this Notice to solicit input from the basic, clinical and translational scientists as well as advocacy and patient communities on topics under consideration for the next strategic plan. Background ORWH was established in the Office of the NIH Director by the Public Health Service Act to (a) identify projects and multidisciplinary research related to women's health; (b) encourage research on sex differences and promote coordination among research entities; (c) assist NIH efforts to include women as subjects in clinical research; and (d) develop opportunities and support for women in biomedical careers. These efforts will continue to be part of the office's core mission. ORWH is tasked with the development of a trans-NIH strategic plan for women's health research that promotes allocation of NIH resources for conducting and supporting these research efforts across NIH Institutes and Centers. Please see https://orwh.od.nih.gov/about/mission/ for more on the ORWH mission. Information Requested This Request for Information (RFI) seeks feedback on 3 cross-cutting themes and goals under consideration for the next trans-NIH strategic plan for women's health research. These themes will stimulate new research areas, priorities, and approaches to help put science to work for the health of women. Specifically, the ORWH seeks your comments on the following: What are some ways that the scope of each theme might be expanded or more narrowly focused to address the most important areas in research on women's health? What big idea or audacious goal to improve women's health should be pursued by the NIH? What topics would you recommend adding to the list of cross-cutting themes for research on women's health? Cross-Cutting Theme 1: Expand the Exploration of Sex as a Biological Variable (SABV) in NIH Research To gain a better understanding of the diseases and conditions affecting the health of women, NIH introduced the NIH Policy on Consideration of Sex as a Biological Variable in NIH-funded Research (NOT-OD-15-102) in 2015. The policy requires that investigators consider the role of sex (male and female) as a biological variable in research designs, analyses, and reporting in vertebrate animal and human studies; that is, how differences between males and females might influence the outcome of research studies. However, the SABV policy does not require investigators to test for sex-differences in their research findings or report such findings. The following objectives take the SABV policy to the next level. Proposed Goals: 1.1 Support training of researchers on the design and conduct studies that explore sex-differences in pre-clinical and clinical research, promote efforts to test for sex-differences where appropriate, and encourage reporting of any sex-differences found in NIH supported research. 1.2 Help disseminate research findings from NIH supported research on sex-differences to key stakeholders including researchers, clinicians, patients, advocacy groups, industry, and media. Strengthen women's health research through support for data sharing from studies that explore sex differences 1.3 Continue to support for basic, clinical and translational science; this includes genetic and epigenetic studies; systems biology approaches; neuroscience; and studies of the structure and function of male and female cells (including stem cells), tissues, organs, and physiological systems. Cross-Cutting Theme 2: A Multi-Dimensional Approach to the Science of Women's Health Research has revealed complex interactions among biological systems and processes that affect health status, disease presentations, and treatment responses. Also of interest are the ways in which female biology, including hormonal and reproductive phases, interacts with psychosocial factors. To capture the multidimensional interplay of these influences on women's health, novel cross disciplinary approaches and perspectives are needed. The following objectives support this aim. 2.1 Promote collaboration and sharing of ideas and methodologies across disciplines to stimulate new approaches to research on female biology as it relates to women's health and well-being. 2.2 Convene cross-disciplinary experts to discuss strategies for capturing contextual factors that contribute to the understanding of the health of women, between demographic groups and geographic regions; and among social, economic and cultural groups. 2.3 Encourage study of the interaction of social roles on sex-specific biology, including, but not limited to reproductive phase and status. Cross-Cutting Theme 3: Quality of Life and Disease Burden over the Life-Course Biological functions and unique life experiences at various stages of life have an impact on both men and women's health. Just like there are clear differences in the biological condition and needs of children versus adults, there are also important variations in health stages and challenges unique to women from early to older adulthood. Research has shown that early life experiences and physical conditions can result in cumulative health advantages and disadvantages for subsequent years. The following objectives are proposed to expand our understanding of quality of life and disease burden and across and during transitions between life stages. 3.1 Promote a life-course perspective in research on women's health promotion, disease prevention, and treatment. Support the consideration of age, life phase, and reproductive/hormonal status in research on women's health. 3.2 Encourage exploration of resilience and well-being, quality of life, and social functioning in addition to disease-specific outcomes; and encourage the exploration of common stressors that affect the health of women, such as caregiver burden and trauma. 3.3 Explore early health challenges, life experiences and physical conditions that may contribute to cumulative health advantages and disadvantages for women across the life span, between demographic groups and geographic regions; and among social, economic and cultural groups. How to Submit a Response: Responses no longer than 300 words should be submitted at https://orwh.od.nih.gov/RFI/) by 11:59:59 pm (ET) on November 10, 2017. You will see an electronic confirmation acknowledging receipt of your response. All submissions will be considered and will not be considered confidential. Responses to this RFI are voluntary. Do not include any proprietary, classified, confidential, trade secret, or sensitive information in your response. The responses will be reviewed by NIH staff, and individual feedback will not be provided to any responder. The Government will use the information submitted in response to this RFI at its discretion. The Government reserves the right to use any submitted information on public NIH websites, in reports, in summaries of the state of the science, in any possible resultant solicitation(s), grant(s), or cooperative agreement(s), or in the development of future funding opportunity announcements. This RFI is for information and planning purposes only and shall not be construed as a solicitation, grant, or cooperative agreement, or as an obligation on the part of the Federal Government, the NIH, or individual NIH Institutes and Centers to provide support for any ideas identified in response to it. The Government will not pay for the preparation of any information submitted or for the Government's use of such information. No basis for claims against the U.S. Government shall arise as a result of a response to this request for information or from the Government's use of such information. Inquiries Please direct all inquiries to: Paris Watson, Legislative Policy Analyst Office of Research on Women’s Health Telephone: 301-451-7082 Email: [email protected]

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) Strand yourself on an unhitched island for the ultimate getaway Biscayne Bound Concession boats dock at the harbor in front of the Dante Fascell Visitor Center at Convoy Point. by Chelle Koster Walton The seven-mile, 225-foot-wide swath down the middle of Elliott Key was cleared by developers many years ago, with the intent to bridge the dot-dash islands of Biscayne National Park with Dade County mainland and the Florida Keys. The U.S. government stepped in during the 1960s, however, to save the islands, thus exacting its spite against slash-and-build greed. Today the highway is a foot trail into a tropical hardwood hammock.Yes! Score one for the environment. 46 MARCH/APRIL 2007 Biscayne National Park—the vast, mostly underwater (95 percent of its 173,000 acres) refuge that geographically kicks off the Florida Keys and the third longest stretch of coral reef in the world—scores way more than a point, actually. For outdoor enthusiasts, it's got it all. Well, except for snow skiing. There's boating, kayaking, snorkeling, scuba diving, hiking, wilderness island camping, and even a healthy slice of history, dating back to the Tequesta Indians. Biscayne is not for the convenience adventurer, however. It takes some effort to enjoy what's best about the park, namely what's under and out on the water. First, you have to find it.Tucked into Biscayne Bay along Homestead back roads, Dante Fascell Visitor Center at Convoy Point introduces you to what lies hidden from sweeping views of mangrove islands and water, water everywhere. Artistically designed exhibits represent the different maritime habitats from mangroves and muddy shallows to coral reefs. In the auditorium, rotating exhibits show the Biscayne-related art of local painters, and videos are aired upon request. Y ou've gotta love a hiking trail named Spite Highway. Well, you don't have to, but I did, once I heard the story. Most importantly, the Visitor Center is the departure point for the park's various tours and recreational activities. If you are a casual adventurer, opt for the PHOTO BY CHELLE KOSTER WALTON A little more daring? Don mask and snorkel (and wet suit if it's winter) to immerse yourself in the reef experience. The park's concession rents it all. three-hour glass-bottom boat tour. Besides looking down at the park's vibrant coral reefs, you get a ranger's feel-and-touch lesson on the different sorts of mangroves, sponges, and corals, using props that include a "polyp puppet" to illustrate how reefs are formed. A little more daring? Don mask and snorkel (and wet suit if it's winter) to immerse yourself in the reef experience.The park's concession rents it all. We saw lobsters, a spotted yellow sting ray, angelfish, blue tangs, sergeant majors, and fish of many stripes—and spots—during our December visit. The boat tours run year-round, but if the water is too rough, the tour heads to Boca Chita Island rather than the outer coral reefs. Once a private island where Mark Honeywell, of thermostat fame, entertained the illustrious with elephant circuses and an ornamental lighthouse (which you can climb on the ranger's tour), it's now part of the park and, as a consolation prize to the reefs, it does okay. (Rangers also conduct the Boca Chita tour on certain Sundays in season.) From the lighthouse, Miami looms in the distance like a mirage of reality in a sea of escape. You can camp overnight on Boca Chita or on nearby Elliott Key, which is larger and more wooded. We opted for Elliott Key and made arrangements WWW.TIMESOFTHEISLANDS.COM 47 ) From left to right:A historic marker at Boca Chita tells about Mark Honeywell's reign on the island; some of the local wildlife on Boca Chita; Miami boaters dock at the harbor at Boca Chita. with the glass-bottom snorkel boat to drop us off.That's the only way to get to the islands, two of more than 44 keys that make up the park. That, or by private boat, which a lot of Miamians do, docking in the harbor and either sleeping aboard or, like us, setting up a tent. around the island to find whatever marine creatures are lurking. Or you can hike the mile loop that crosses Spite Highway and takes you to the ocean. If you arrive by park concession boat, pack lightly.The boat dock is a long distance (when you're carrying a lot of gear) from camping areas. Use backpacks and wheeled coolers and containers.You are required to carry out all of your trash. If it's the least bit warm, find a spot with a good breeze to deter no-see-ums. Bring along your bug juice of choice. If it's cold, select a protected spot to stay warm. Make sure food is raccoonproof. Facilities are limited to picnic tables, grills, flush toilets, cold showers, and usually drinking water. Bring bottled water in case the system loses power. (Boca Chita has no fresh water, sinks, or showers.) Pack a fishing pole, because Elliott Key is exactly the kind of place where you can kick back with nothing else to do but wait for a nibble.You can venture out into the mangroves and grass flats 48 MARCH/APRIL 2007 I recommend a one-night stay the first time out; test your ability to function totally cut off—by water, space, and time it seems—from the plugged-in world. At night Elliott Key becomes sea-breeze quiet.With no lights or noise to interfere, you can gaze at the stars and the distant glow of Miami while a chorus of insects and frogs chant, croak, and creak. The next afternoon, the snorkel boat can pick you up on its way back to Convoy Point. (Camping transportation is only available November through May, and believe me, you don't want to attempt it the rest of the year.) The very adventurous may want to embark on a weekend scuba diving voyage, if you're already certified. Or, back at the visitor center, you can rent a canoe or kayak to paddle around the bay and picnic on the grounds. If you're a windsurfer with your own equipment, take advantage of the stiff breezes. During season, rangers deliver informative talks on the park's endangered creatures, including sea turtles and the Shaus' swallowtail butterfly, which holds the rare distinction of being able to fly backwards. Ironically, the species has made a comeback thanks to Hurricane Andrew in 1992. By obliterating Boca Chita's Australian pines, old Andy made the island more hospitable for the indigenous insect. Score one more for the environment! n Travel Editor Chelle Koster Walton is author of The Adventure Guide to Tampa Bay & Florida's Gulf Coast and contributes to The Miami Herald, National Geographic Traveler, Away.com, and other local and national publications. If You Go Biscayne National Park 305-230-7275 www.nps.gov/bisc Biscayne National Underwater Park concessions 305-230-1100 [email protected] PHOTOS BY CHELLE KOSTER WALTON

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HOUSE OF KOLOR SHIMRIN2 PREMIUM KUSTOM FINISHES SINCE 1956 KARRIER BASE HOUSE OF KOLOR KARRIER BASE & FX SERIES House of Kolor Shimrin2 Basecoat system is an intermix system composed of our S2-FX Series, and Karrier Bases. This robust system is designed with the Kustom Painter in mind. **COMPONENTS** | KARRIER BASE | | |-----------------------|----------| | S2-01 SOLAR GOLD | S2-07 GAMMA GOLD | | S2-02 CELESTIAL WHITE | S2-08 ECLIPSE ORANGE | | S2-03 GALAXY GRAY | S2-09 PLANET GREEN | | S2-04 STRAITO BLUE | S2-10 PAVO PURPLE | | S2-05 LAPIS BLUE | S2-11 MAYAN MAGENT | | S2-06 METEOR MAROON | S2-12 ZENITH GOLD | | | S2-14 LUNAR YELLOW | | | S2-15 SOLARFLAIR RED| | | S2-16 RE-ENTRY RED | | | S2-17 AZURE BLUE | | | S2-18 ALANI ORANGE | | S2-FX EFFECT PACKS | LV SERIES REDUCER | RU SERIES REDUCER | |-----------------------|-------------------|-------------------| | FX METALUME SERIES S2-FX01-05 | RU300 | RU310 | | FX KOSAMENE SERIES S2-FX21-26 | RU301 | RU311 | | FX KOSMATIC STYLING PEARL SERIES S2-FX30-39 | RU312 | | FX METAJULS SERIES S2-FX41-47 | RU313 | | FX KOSMIC SPARKS SERIES S2-FX61-67 | RU315 | **PRODUCT INFORMATION** **SBC STANDARD KARRIER BASE AND FX** **MIX RATIO:** 3 : 1 : Reduce Mixture 2:1 **KARRIER BASE SIZE AVAILABLE:** Quart **S2-FX SERIES SIZE AVAILABLE:** HPT **INTERMIX FLASH TIME:** Allow to flash from 30 minutes up to 4 hours maximum prior to applying clear. Note: Shop conditions can vary flash time. --- **STANDARD SHIMRIN2® FORMULA DECODER** The color formula code can be found on the back side of each of the individual color chips. These formula numbers indicate what components are mixed to create the Shimrin2® Kustom Kolor along with the two trailing digits corresponding to the KD Series DTS Foundation Surfacers Sealer that is being used. **HOK0147-03** First two digits represent corresponding Shimrin2 Karrier Base. (Example: 01 = S2-01 Solar Gold) **HOK0147-03** Second two digits represent corresponding Shimrin2 Effect Pac. (Example: 47 = S2-FX47 Metajuls - MBC Silver FX) --- **SIMPLIFIED MIXING RATIO** \[ \text{BASE} + \text{EFFECT} \] \[ 3 \text{ PARTS BASE (1 QT 3/4 III)} + 1 \text{ PART EFFECT (8 OZ HPT)} \] \[ 3 \text{ PARTS KARRIER BASE + 1 PART EFFECT PAC} \] \[ \text{REDUCE ABOVE MIXTURE 2:1} \] **HOK0147-03** The Trailing two digits represent the corresponding KD Series DTS Foundation Color: - 00 = KD3000 Gray - 01 = KD3001 Black - 02 = KD3002 White - 03 = KD3003 Yellow - 04 = KD3004 Red - 05 = KD3005 Blue **NOTE:** Formulas containing a “V” have special FX mixing instructions. Please utilize the House of Kolor website when mixing these kustom colors.

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Enfield Heights Academy Pitfield Way, Enfield Highway, Enfield, EN3 5BY Inspection dates 27−28 March 2014 | | Previous inspection: | Not previously inspected | | |---|---|---|---| | Overall effectiveness | | | | | | This inspection: | Requires improvement | 3 | | Achievement of pupils | | | | | Quality of teaching | | | | | Behaviour and safety of pupils | | | | | Leadership and management | | | | Summary of key findings for parents and pupils This is a school that requires improvement. It is not good because: Over time, expectations of what pupils can achieve have been too low. As a result, there is variation in the progress made by different groups of pupils in reading, writing and mathematics. Teachers are not effective enough in adapting tasks in response to pupils' learning. Teaching requires improvement because it has not helped some pupils, especially those in Year 1, to make good progress over time. The work set does not always help pupils to do as well as they can because it is often too easy or too hard. Pupils do not receive sufficiently clear feedback about their work that tells them how to improve it next time. They are not given time to respond to the teachers' marking. Pupils do not have enough chances to practise their writing skills by doing longer, more demanding pieces of work. The school has the following strengths: The headteacher and staff share a passion for improving the school. They are proud of what they have achieved for the local community. The school is a caring and nurturing environment in which pupils and adults respect one another. Pupils are happy in the school and wear their uniform with pride. Parents and carers are supportive of the work of the school and its staff. Not enough attention is given to making sure that pupils' handwriting is neat and legible or that pupils take pride in presenting their work. In a minority of lessons, when the work is not challenging enough, low-level disruption stops pupils from making as much progress as they could. Governors have not paid enough attention to challenging school leaders about the quality of teaching and learning. They have been too reliant on the information provided by others and not found out for themselves how accurate it is. School action plans are short term and not sharply focused. The school's values are at the heart of leaders' work to ensure that all pupils have the opportunity to succeed. Pupils know how to keep themselves safe and are well cared for. The staff and parents and carers agree. Pupils learn Spanish. They also learn to develop their gymnastic skills with appropriately trained sports coaches. Information about this inspection The inspector observed eight lessons or part-lessons. Four observations were jointly undertaken with the headteacher. The inspector looked at pupils' English and mathematics books in order to evaluate their progress over time and talked with pupils about their learning. The inspector heard four pupils read and observed an assembly. Discussions were held with members of the senior leadership team, other staff and three members of the governing body. A meeting was held with a representative of the academy trust. The inspector held a telephone conversation with the Chief Executive of the academy trust. The inspector scrutinised a range of documents, including: the school's self-evaluation; the school development plan; documents relating to safeguarding; policies; information about pupils' progress; minutes of meetings held by the governing body; and records of behaviour and incidents. The inspector also reviewed the school's website and records of the monitoring and evaluation of the quality of teaching and learning. Anonymised documents about the management of staff performance were reviewed. Account was taken of the 18 responses to the online Parent View survey as well as the views expressed by parents and carers spoken to at the school's entrance. The inspector reviewed the nine responses to the staff questionnaire. Inspection team Adam Higgins, Lead inspector Her Majesty's Inspector Full report Information about this school Enfield Heights Academy is a part of the CfBT Schools Trust. It opened in September 2012 and is smaller than the average-sized primary school. The school moved into its permanent building in September 2013. In its first year, the school admitted Reception-aged children only. Currently, in its second year, there are pupils in Reception and Year 1. Pupils come from a range of cultural heritages: the largest groups are from Black Caribbean and White British backgrounds. The proportion of pupils who speak English as an additional language is higher than the national average. The majority of these pupils are bilingual learners and only a very few are at the earliest stages of learning to speak English. The proportion of pupils for whom the school receives the pupil premium, which is additional government funding for pupils known to be eligible for free school meals, children who are looked after by the local authority and children of service families, is well above average. The proportion of disabled pupils and those who have special educational needs who are supported by school action is below average. The proportion supported at school action plus or with a statement of special educational needs is well below average. The school has a breakfast club which is open from 8am every day and an after-school club which runs until 6pm. What does the school need to do to improve further? Improve the quality of teaching so that it is good or better, by: setting tasks that are not too hard or too easy and which challenge all pupils to work hard and achieve their full potential providing pupils with guidance about how to improve their work and giving opportunities for them to respond to the comments improving the behaviour of those pupils who lose concentration in lessons by making sure work set challenges them. Ensure that pupils make at least good progress in all subjects, especially in writing, by: raising teachers' expectations of what pupils can achieve providing regular opportunities for pupils to complete longer pieces of writing using teachers' on-going assessment of pupils' understanding to reshape lessons and tasks paying greater attention to the teaching of handwriting and how pupils present their work. Increase the effectiveness of governance, by: training governors in the skills needed to challenge leaders about improvements to the quality of teaching and pupils' progress ensuring governors visit the school more frequently to evaluate for themselves the accuracy of the information provided by school leaders devising and sharing with governors a sharper improvement plan which clearly identifies the school's priorities over the next two or more years and the strategies for bringing about and monitoring the rate of improvement. An external review of governance should be undertaken in order to assess how this aspect of leadership and governance may be improved. Inspection judgements The achievement of pupils requires improvement Pupils do not achieve well. Most children start in the Reception class with skills and abilities that would normally be expected for their age. They have particular strengths in the creative aspects of their development and in their number skills. They are weaker in some aspects of their social skills and their ability to use language to communicate effectively. Helpful early morning routines ensure that children quickly become familiar with what is expected of them and smooth the transition from home to school. By the time they left the Reception class in 2013, children had made good progress. Good teaching and support from teaching assistants ensured that when they started in Year 1 pupils were well prepared for the next stage in their learning. The progress made this year by pupils from different backgrounds and those who are learning English as an additional language is variable. This is because teachers do not make enough use of their on-going assessment in lessons to reshape activities when they see that pupils are finding the work too easy or too hard. The most able pupils do not always make the progress they are capable of because of the lack of challenge in the work set. Leaders scrutinise pupils' progress carefully, ensuring that support is appropriately identified and provided for disabled pupils and those with special educational needs. Progress for these pupils is better in mathematics and reading than it is in writing. Pupils who are eligible for the pupil premium funding make progress similar to or better than that of other pupils in some subjects. This is especially the case in mathematics. Leaders have planned very carefully for the use of the extra funding that they receive for this group. By the end of Reception in 2013, the majority of eligible children were working at a similar level to that of their peers in all areas. Pupils make good progress in reading. School leaders ensure that all pupils have daily lessons that develop their early reading skills. They have prioritised the teaching of phonics (the sounds that letters make) and ensured that teachers and teaching assistants are trained to a high standard in order to deliver good quality teaching in this area. Consequently, pupils read fluently and apply their skills well when reading favourite books as well as those that are unfamiliar to them. Pupils' writing skills are improving at a slower rate than their skills in other subjects. This is because not enough attention has been given to ensuring that pupils have regular opportunities to write and practise the skills that they learn. Pupils' books contain an excess of short and frequently incomplete pieces of writing, which provide opportunities to practise sentence structure, punctuation and spelling. However, teachers do not plan for pupils to link these skills together into longer pieces of writing across a range of subjects. The progress made by pupils in mathematics is good. This is because teachers plan lessons that are interesting and exciting. For example, in the Reception class, pupils used a computer program to weigh parcels and then recorded the weight using a keypad. This introduced them to standard measures for weight and helped them to begin to understand how to record the fraction of one half. The quality of teaching requires improvement Teaching requires improvement because it is not consistently good. Expectations of what pupils can achieve remain too low. Not enough teaching ensures that all pupils make good progress. Teachers and teaching assistants work together to plan to meet the needs of all pupils. They vary the strategies that they use to engage pupils with their learning. For example, questions are used to probe pupils' understanding, but teachers do not always use the responses to reshape lessons when it is clear that pupils are confused. Work in pupils' books and observations in lessons show that although some pupils receive helpful marking and feedback about their work, it is not yet consistent. Pupils are not routinely given time to respond to the feedback that they receive, and so they go on to repeat the same mistakes. Not enough attention is given to ensuring that pupils develop a fluent handwriting style. In many books, pupils' handwriting is untidy, difficult to read and the size of letters varies considerably. Some books are uncared for, with scribbling and crossing out a regular occurrence. Teachers do not insist on high standards of presentation and it is unclear whether pupils are proud of their work. Adults have worked hard to create an attractive learning environment. Pupils' work is celebrated in bright, attractive displays. For example, in one corridor pupils had been studying the artwork of Vincent Van Gogh and had created their own interpretation of a painting. This had been attractively labelled and displayed, for pupils and visitors to enjoy. The provision of good quality reading material is helping pupils to acquire a love of books. There is a small school library and each classroom has a small but attractive book area. Pupils apply their early reading skills when reading to themselves but also enjoy sharing them with adults at the school. In daily literacy lessons, pupils learn the skills to enable them to write interesting sentences that are carefully punctuated and correctly spelt. However, pupils' books are full of short grammatical exercises and partially completed worksheets. Teachers do not provide enough opportunities for pupils to practise the discrete writing skills that they learn, in longer pieces of writing. Teaching assistants make a good contribution to the learning of pupils in mathematics, especially disabled pupils and those with special educational needs and those who are new to learning English. For example, in a Year 1 lesson, a teaching assistant worked with a group of pupils who were finding early division concepts tricky. She was able to break the task down into smaller activities, which helped them to gain a more secure understanding of the need to share objects out in equal proportions. The behaviour and safety of pupils requires improvement The behaviour of pupils requires improvement. When the work in lessons is too easy or too hard, pupils become restless and are easily distracted from what they should be doing. As a result, this slows pupils' learning and that of others around them. Pupils told the inspector that they sometimes find it hard to concentrate when others on their table or on the carpet have lost their concentration, because they fidget and distract them from what they should be doing. The majority of pupils demonstrate good attitudes towards their learning and towards each other. Pupils enjoy their learning; they come to school ready to learn and are excited about the day ahead. Leaders have prioritised the development of pupils' behaviour and social skills. Consequently, the school is a calm environment in which pupils learn tolerance and respect for each other and for adults. Most pupils behave well in and around the school. Year 1 pupils are trusted to walk to use the bathrooms that are just beyond their classroom. They do this sensibly and without any fuss. Pupils move politely and courteously around the building and are always happy to hold the door open for an adult or friend. They say please and thank you and enjoy showing their good manners. Lunchtime arrangements are exemplary. Leaders have created an environment in which pupils share their mealtime, but which has the atmosphere of eating in a restaurant. As a result, pupils' social skills are developing rapidly. They sit at mixed-age tables, eat from real plates, use metal cutlery, talk quietly and are helped by adults who are calm and respectful. Each group elects a table captain who is responsible for ensuring that pupils get along and eat appropriately. Points are awarded to each table for a range of things. The following week, the table with the most points enjoys a vase of fresh flowers and a tablecloth. Pupils say that there is almost no bullying at the school. They say that if there is any bullying, adults stop it quickly and inform parents and carers about what has happened. Pupils have an understanding of bullying, appropriate to their age. The school's work to keep pupils safe and secure is good. Pupils told the inspector that they feel safe at the school. They understand some of the risks that they have to manage such as crossing busy roads and not talking to strangers. They are developing an understanding of how to keep themselves safe when using computers and the internet. Most parents and carers who responded to the survey and who spoke to the inspector in the playground believe that this is a safe school, which promotes good standards of behaviour. Attendance at school is broadly average. The school has good procedures for following up pupils who do not attend regularly. The school is working with the families of a small number of pupils do not attend school regularly enough, in order to bring about improvement. The leadership and management require improvement Leadership and management require improvement because leaders and governors have not made sure that the quality of teaching and achievement is good. Nevertheless, the headteacher has worked to ensure that the school is a safe and tranquil learning environment. Central to this has been embedding the ethos of the school in the '5Cs': that everyone can be Caring, Confident, Contributing, Committed and Courteous. Parents and carers say that they like that the headteacher is in the playground every morning to greet pupils, parents and carers alike, with a kind word, a caring smile and a friendly handshake. The headteacher and deputy headteacher hold the roles of English and mathematics subject leaders as well as other areas of responsibility. Teachers will be appointed to take on additional leadership roles as the school grows. Teachers are trained when necessary with the skills needed to ensure that they can carry out responsibilities beyond their classroom role with confidence. For example, the Reception teacher records and submits information about how well pupils achieve at the end of the Reception Year; a role normally held by a more senior leader. The headteacher knows the school well and has an accurate view of its strengths and weaknesses. The arrangements for managing the performance of teachers are effective. There is a good cycle for monitoring the school's work, which clearly links how well pupils achieve to whether or not a teacher receives an increase in salary. The school did not receive any sports funding because pupils are all below the age eligibility threshold. However, leaders know that funds will be received in the next allocation and have already made plans to use it appropriately and to evaluate the impact of their work. The curriculum has been carefully planned for. It is broad and gives good coverage of a wide range of subjects. For example, all pupils are learning to speak Spanish and have weekly gymnastics lessons. A range of trips, visits and visitors complements it. Subjects and activities make a very good contribution to pupils' spiritual, moral, social and cultural development. Pupils participate in a small number of popular after-school clubs, which are planned appropriately for the age and development of pupils. Almost all pupils in the school attend the after school gymnastics club. School leaders plan to increase the number and type of activities available as the school population grows. The academy's sponsor has an accurate view of the school. It has provided timely support and challenge to school leaders. It has ensured access to a range of services to guarantee the efficient management of the school. Additionally, it has kept a close eye on the quality of teaching and how well pupils are doing. It provided effective support to eradicate a small amount of teaching that was inadequate. An adviser visits the school frequently to evaluate and report on the effectiveness of the actions taken by leaders to improve teaching and learning. The governance of the school: The governing body does not know the school strengths and weaknesses well enough. While it has been actively involved in establishing the school, carefully monitoring the finances and the building project, it has paid less attention to improving the quality of teaching and ensuring that every pupil achieves as well as they can. The governing body is kept well informed by the headteacher and has received termly reports from a CfBT Trust Adviser as well as from three DfE monitoring visits. However, it has been too accepting of the information. Governors have not adequately evaluated the information or found out for themselves how accurate it is. Consequently, governors have an over-generous view of how well the school is doing. The school improvement plan is short term and is nearing its end. The plan has not adequately focused on the most pressing areas for development. Governors have not been involved in the management of staff performance, but say that they do have the last say in any increase in a teacher's salary. They have planned for the use of pupil premium funding but have not evaluated its impact. Governors ensure that their statutory safeguarding duties are met. What inspection judgements mean | School | | | |---|---|---| | Grade | Judgement | Description | A school that requires special measures is one where the school is failing to give its pupils an acceptable standard of education and the school's leaders, managers or governors have not demonstrated that they have the capacity to secure the necessary improvement in the school. This school will receive regular monitoring by Ofsted inspectors. School details This inspection of the school was carried out under section 5 of the Education Act 2005. Any complaints about the inspection or the report should be made following the procedures set out in the guidance 'raising concerns and making complaints about Ofsted', which is available from Ofsted's website: www.ofsted.gov.uk. If you would like Ofsted to send you a copy of the guidance, please telephone 0300 123 4234, or email [email protected]. You can use Parent View to give Ofsted your opinion on your child's school. Ofsted will use the information parents and carers provide when deciding which schools to inspect and when and as part of the inspection. You can also use Parent View to find out what other parents and carers think about schools in England. You can visit www.parentview.ofsted.gov.uk, or look for the link on the main Ofsted website: www.ofsted.gov.uk The Office for Standards in Education, Children's Services and Skills (Ofsted) regulates and inspects to achieve excellence in the care of children and young people, and in education and skills for learners of all ages. It regulates and inspects childcare and children's social care, and inspects the Children and Family Court Advisory Support Service (Cafcass), schools, colleges, initial teacher training, workbased learning and skills training, adult and community learning, and education and training in prisons and other secure establishments. It assesses council children's services, and inspects services for looked after children, safeguarding and child protection. Further copies of this report are obtainable from the school. Under the Education Act 2005, the school must provide a copy of this report free of charge to certain categories of people. A charge not exceeding the full cost of reproduction may be made for any other copies supplied. If you would like a copy of this document in a different format, such as large print or Braille, please telephone 0300 123 4234, or email [email protected]. You may copy all or parts of this document for non-commercial educational purposes, as long as you give details of the source and date of publication and do not alter the information in any way. To receive regular email alerts about new publications, including survey reports and school inspection reports, please visit our website and go to 'Subscribe'. Piccadilly Gate Store St Manchester M1 2WD T: 0300 123 4234 Textphone: 0161 618 8524 E: [email protected] W: www.ofsted.gov.uk © Crown copyright 2014

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Chicago, IL Board of Commissioners of Cook County Legislation Details File #: Version: 1 18-5183 Name: Oakridge-Glen Oaks Cemetery, Hillside, Illinois Status: Type: Interagency Agreement Approved File created: In control: 8/7/2018 Board of Commissioners On agenda: Final action: 9/12/2018 9/12/2018 Title: PROPOSED INTERAGENCY AGREEMENT Department(s): Cook County Sheriff's Police Department Other Part(ies): Oakridge-Glen Oaks Cemetery, Hillside, Illinois Request: Authorization to enter into an Interagency Agreement Good(s) or Service(s): Hireback Police Services provided by the Cook County Sheriff’s Police Department and Oakridge-Glen Oaks Cemetery. Agreement period: Upon execution of this agreement by all the parties and continue for one (1) year Fiscal Impact: None. Revenue Neutral Accounts: None Agreement Number(s): N/A Summary/Notes: As part of this agreement, the Sheriff’s Office will assign two (2) uniformed CCSPD officers and one (1) police car to Oakridge-Glen Oaks Cemetery, as follows: 1. Fridays from 11:00 a.m. to 3:00 p.m. 2. Saturdays from 11:00 a.m. to 3:00 p.m. Under this agreement, the Oakridge-Glen Oaks Cemetery agrees to pay the Cook County Sheriff’s Police Department the rate of $60.00 per hour Extra Duty Officer for the Extra Duty Police Services rendered by the Cook County Sheriff’s Police Department Hireback Officers. Sponsors: Indexes: THOMAS J. DART, Sheriff of Cook County Code sections: Attachments: Board of Commissioners of Cook County

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Application to Marton Community Committee Small Projects / Grants Fund Submissions deadlines: 28 th of Jan / Mar / May / Jul / Sep / Nov for consideration at the next Committee Meeting. The purpose of the fund is to assist entities with the purchase of small items or additional services which are not included in Council's operating budgets and which will benefit the local community. Examples would be signage, park furniture, plants, paint, a leaflet or other publication or an event, including implementing community-led initiatives. Applications are normally expected to be for the benefit of the whole Community (not for individuals or small groups eg only club members). More than one application can be submitted in any financial year. Applications cannot be for: * Provision of training or conference attendance. * Additional payment(s) for goods or services subject to a contract with Rangitikei Council. * Amounts which exceed the Committee's annual allocation. If you have any queries regarding your application please contact a committee member (or call 021-342-524). Send request to: Marton Community Committee: [email protected] or deliver c/o 7 Dalrymple Place, Marton.

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CARDIFF METROPOLITAN UNIVERSITY MEETING OF THE BOARD OF GOVERNORS: TUESDAY, 11 APRIL 2017 Present: Miss B Wilding (Chair), Professor C.C.Aitchison (President & ViceChancellor), Ms.N.Amery (Vice-Chair), Ms.J.Berry, Mr.G.Davies, Mr.P.Davies, Mr.W.Fuller, Ms.S.Hay, Mr.F.Holmes, Mr.U.Hussain, C.Morgan, Rev. Canon R. Morrison, Baroness Randerson, Dr.M.Waring, Mr.B.Woolridge and Mr.G.Yorston. Attendance: Professor D.Brooksbank (PVC Enterprise), Mr.J.Cappock (COO), Professor S.Hanton (PVC Research), Professor M.Loutfi (PVC International), Mr.D.C.Price (PVC Strategy & Performance), Mr.A.Walker (Director of External Engagement), Mr.R.D.G.Walters (Secretary & Clerk to the Governors) The business recorded under minute 1626 below was treated as restricted and transacted in the presence of independent and non-staff/student co-opted governors (hereinafter 'lay governors') and the President & Vice-Chancellor and Secretary & Clerk only. PART A The division of business into Parts A and B was approved without amendment. 1610. Apologies for Absence Apologies for absence were received from Mr. John Foster Thomas, Mrs Katy Chamberlain, Mrs Monnaza Hussain and Dr. Stephen Jackson. 1611. Declarations of Conflict of Interest There were no declarations of direct or indirect pecuniary or non-pecuniary conflicts of interest. 1612. Minutes of the Board of Governors: .1 29 November 2016 The minutes of the minutes of the meeting of 29 November 2016 were approved as a correct record and signed. There were no matters arising from the minutes. .2 Special Meeting of the Board of Governors: 28 February 2017: Open Minutes The open minutes of the special meeting held on 28 February 2017 were approved as a correct record, subject to two revisions to the attendance list, and signed. There were no matters arising from the minutes. The full, restricted minutes were presented during restricted business recorded at minute 1626 below. 1613. Strategic Risk Register A written report presented the updated Strategic Risk Register for termly review. As addressed in the business of this meeting, the report recognised that the risk of poor financial health was a fundamental and systemic risk factor in the University's ability to deliver its strategic direction and that the University faced several challenges in this area which increased uncertainty across the institution. It was reported that in the current year the University had had to absorb a shortfall in fees for 2016/17 and a £3.5m pension deficit charge. It was acknowledged that an urgent imperative was to address the high proportion of income spent on staffing and that over the medium to long term the University would need to address the investment constraints arising from its current size. The meeting noted and discussed the following: that the ratings for three risks associated with the University's financial sustainability and investment were unchanged from the previous report but remained at status red; that three risks had been increased, including one to red status, viz. the risk of the University being unable to agree its Fee & Access Plan with HEFCW, the regulator; that the rating for two risks had reduced to take into account developments since the last update; that no risks had been closed or added; that there was need to address instances of incomplete or insufficient data; that there was need to address protections against cyber attacks. The governing body was pleased to note progress made in migrating the University's risk management information and processes to the new risk management system. Assurance was given that under the new system numbers of risks would be reduced and individual risks would be better and more succinctly defined and cohered. The approval of a new Strategic Plan (min. 1615 below refers) would necessitate a fundamental review of the Strategic Risk Register to ensure inter alia its continued alignment with the University's strategic aims and objectives. Resolved that the report and the Summary Strategic Risk Register be noted. 1614. Standing Items .1. Chair's Business .1 Report of the Chair of the Board of Governors .1 Meetings and Events The Chair's periodic report set out details of meetings and events attended since 11 November 2016. The report included details of meetings held in relation to the establishment of a sixth School (latterly known as the Cardiff School of Technologies). .2 Chair's Action: As reported to the meeting of the former Phoenix Project Committee held on 22 February 2017, Chair's Action had been taken to authorise the appointment of a consultant to act on behalf of the University in the development of the Cardiff School of Technologies. 3. Senior Post-Holders The appendix to the report presented the job description and person specification for the new post of Deputy Vice-Chancellor (Academic) – minute 1614.2 below refers. It was reported that, as agreed during restricted business transacted at the special meeting of the Board of Governors held on 28 February 2017, a selection and recruitment procedure for a new position of PVC (Student Engagement) was to proceed as soon as was practicable. Indicative proposals for revisions to the senior staff structure were provided under restricted business at minute 1626. 4. Strategic Planning & Performance Committee The unconfirmed minutes of the Strategic Planning & Performance Committee (SPPC) meeting of 21 March 2017 were provided for information (min. 1614.1.3 refers). Particular attention was drawn to items of SPPC business which did not appear on the agenda for this meeting, viz. i) Staff Monitoring Report; ii) Update on Teaching Excellence Framework 2 Submission and iii) Welsh Language Standards: Update. It was reported that SPPC had agreed that an additional report would be provided to this meeting providing a comprehensive explanation of the causes of the forecast deficit, the escalation of the ratio of staff spend to total income to its current level and the level of underrecruitment together with an exploration of the options for improvement (min. 1619 below refers). Resolved that: .1 the report be received; .2 Chair's action be noted. .2 Appointment of Deputy Vice-Chancellor (Academic) Confirmation was provided that the selection and recruitment procedure for the appointment of a Deputy Vice-Chancellor (Academic) had proceeded in accordance with the resolutions of the Board of Governors on 28 November 2016. It was reported that 24 applications had been received and seven applicants short-listed. Interviews had been held on 4 and 6 April 2017 and an offer of employment made to one candidate subject to Board approval, the receipt of satisfactory references and the successful outcome of negotiations on terms and conditions. Details of the successful candidate were disclosed and, subject to conditions, a formal recommendation for appointment made to lay governors as recorded at minute 1626.3 below. It was noted that a policy dealing with the granting of professorial titles to senior post-holders appointed by the Board of Governors would be presented to the July 2017 meeting for approval. The selection process for the post of Deputy Vice-Chancellor (Academic) had included the required elements of the procedure for the granting of professorial title to that post-holder by the Appointments Committee; similar arrangements for award of professorial title would apply where appropriate to other senior post-holder recruitment and selection procedures undertaken during the Summer Term 2017. Resolved that: .1 progress in the appointment of a Deputy Vice-Chancellor (Academic) and the making of a recommendation for appointment to lay governors be noted. .2 arrangements for the award of professorial title to relevant senior posts by the Appointments Committee be approved. .3 Unconfirmed Minutes of the Strategic Planning & Performance Committee Meeting of 21 March 2017 The unconfirmed minutes of the most recent meeting of the Strategic Planning & Performance Committee were tabled for information. Resolved that the unconfirmed minutes be received. .2 Report of the Vice-Chancellor The Vice-Chancellor's periodic report covered the months of December 2016 to March 2017 over which time senior staff focus had been on: reducing the financial deficit for 2016/17; improving student recruitment, retention and experience; developing the Strategic Plan 2017/18 – 2022/23; building external relations to support the repositioning of the University; the planning of, and securing support for, the new Cardiff School of Technologies. The report addressed those five topics in detail and six additional topics more briefly and was supplemented by two agenda items with separate reports relating to the Strategic Plan and the new Cardiff School of Technologies. The additional topics addressed were: international partnerships and mobility including initiatives to position the University as an outward-looking institution offering a welcome to asylum seekers and refugees; exiting the EU, with continuing lobbying activity in partnership with Universities Wales and UUK to safeguard student recruitment, student mobility, research funding and the future of existing EU staff; research and estates developments including review of the Estates Master Plan; civic contribution and community relations. In response to a steer given to HEFCW by the Cabinet Secretary for Education, it was agreed that a full review would be undertaken of the feasibility of introducing the real living wage; a proposal was to be made to a future meeting. It was noted that a review was to be undertaken of the financial and other support provided to staff undertaking PhD research funded by the University; Resolved that the report be noted. .3 Report of the Students' Union President The meeting received the report by the Student's Union President on activity during the Spring Term 2017 under the five headings described below. Executive Officer Elections Elections held in March 2017 had resulted in the election of Mr. Will Fuller, the 2016/17 Vice President, as President for 2017/18 and Mr. Ieaun Gardiner, 2016/17 School of Education representative, as Vice President for 2017/18. It was noted that these elections had recorded the highest number of votes cast in such elections for a number of years. Ways were being examined to streamline the voting process and increase engagement across the student population. Development of Representation Structure Details were presented of a review of the Students' Union's representation structure and of the introduction of six part-time officer roles for the next academic year focussing on areas which would contribute to the University's strategic plan and assist in specific areas of student engagement. These six roles were Welsh Language Officer, Equality & Diversity Officer, Communications & Technology Officer, Activities & Societies Officer, International Students Officer and Health & Wellbeing Officer. International Student Partner Event In January 2017, with the support of the International & Partnerships Office, the Students' Union had held its annual training event for student representatives of the University's international partners. STAR Society In response to a petition handed in by the Student Action for Refugees Society seeking support for asylum-seeking students wishing to enrol at the University, it had been decided that the University and the Students' Union would provide joint support for eligible applications during 2017/18. Mental Health In January 2017 the President of the Students' Union had signed the Time to Change Wales pledge on behalf of the Students' Union to address stigma attached to those suffering from mental health problems. Resolved that the report be noted. .4 Unconfirmed Committee Minutes and Reports by Committee Chairs: The meeting received the unconfirmed minutes of the most recent meetings of the Resources Committee and the Audit Committee and summary oral reports of the most significant items of business. It was reported that the Transnational Education Committee had not met during the Spring Term 2017 and would next meet in June 2017. .1 Resources Committee: 14 March 2017 In the unavoidable absence of the Committee Chair, the meeting received an oral report on significant business from the Board's Vice-Chair. The oral report covered: the Human Resources Strategic Framework; the Strategic Estates Plan Update; the Committee's approval of Halls Fees for 2017/18 and Tuition Fees for 2018/19; receipt of reports on budget preparation for 2017/18, Treasury Management, staff monitoring and Level 3 and Professorial pay and terms & conditions, the annual Transparency Exercise and the University's compliance with HEFCW's Memorandum of Assurance and Accountability; receipt of a further update on a potential enterprise opportunity (Impact Innovation). .2 Audit Committee: 28 March 2017 The Committee Chair presented a summary report of the following significant business: good progress under the Internal Audit Plan for 2016/17 with receipt of three moderate assurance reports on i) UK Visas and Immigration, ii) Fee and Access Plans and iii) the Improvement, Capacity and Efficiency Programme); receipt of a presentation on the new Symbiant Risk Management software which was due for full implementation by the end of July 2017 – it was agreed that a similar presentation would be presented to the full governing body during 2017/18; receipt of a draft Risk Management Policy in advance of submission of a further version for the Committee's endorsement and subsequent approval by the Board of Governors during the Summer Term 2017; receipt of annual reports on Information Compliance and Procurement. Resolved that the oral reports and unconfirmed minutes be received. 1615. Strategic Plan 2017/18 – 2022/23 The meeting received and approved (subject to minor matters suggested for consideration) the final version of the Strategic Plan for the period 2017/18 to 2022/23. It was noted with approval that Academic Board on 3 March 2017 had recommended that the duration of the Plan be extended from five years to six years. The Plan was supported by the three pillars of Places, People and Performance and the seven strategic priorities of i) a values-driven University; ii) the Cardiff Met EDGE (Ethical, Digital, Global, Entrepreneurial Cardiff Global), iii) the Cardiff School of Technologies; iv) Cardiff Global: an international University rooted in Wales; v) managed growth across all Schools; vi) growth in research and innovation and vii) synergy between on- and off-campus provision. The Plan included twenty measures of success, progress under which would be monitored by SPPC and Management Board. These core measures of success would be supported by a wider range of management-focussed key performance indicators which were currently under development and would be approved by Management Board. It was noted with approval that the Plan, the achievement of which would be challenging, demonstrated the University's ambition and had been designed to enable growth and to allow the University to improve and enhance its reputation. It recognised the importance of competitive advantage and provided for the review and enhancement of portfolio and analysis of risks. Assurance was given that students and the student experience were core to the Plan and that the implementation of the Plan would take account of the impact of demographic dip and alternatives to university open to school leavers. The meeting noted that the implementation of the Plan would rely in part on effective monitoring and challenge by governors. It was suggested that the implementation of the Plan and the development of mechanisms for monitoring achievement and strategies for tackling under performance against targets would be discussed at the next Board away-day, scheduled for 2017/18. It was agreed that a communication plan for the introduction of the new Strategic Plan was to be drawn up for use internally and externally and that details of progress under the communication plan would be presented to the next meeting. The meeting acknowledged and was grateful for the contributions to the development of the Plan made by governors, students and staff. Resolved that the Strategic Plan for the period 2017/18 to 2022/23 be approved. 1616. School of Technologies: Update The Vice-Chancellor presented a written progress report on the development of the Cardiff School of Technologies (4D: Data, Digidol, Dylunio, Dyfodol). The new School was described as a new and unique collaborative approach to a global industry-education partnership of significant, educational, economic and social value designed to develop the future of digital, data and design technologies, deliver a catalyst for economic growth and devise an engine for educational aspiration and social cohesion. It was noted that the development of the Cardiff School of Technologies formed 'Priority 3' in the list of seven priorities outlined in the new Strategic Plan 2017/18 – 2022/23. The report set out the next steps in the School's development which included finalisation of membership of and the programme of work for the Project Executive Group (with reconfiguration of the Phoenix Project Group), appointment of an external consultant and recruitment of a Dean of School. Resolved that the report be received 1617. Portfolio Development Group A written report, which had been presented to the Strategic Planning & Performance Committee, provided details of the business and minutes of the revised Portfolio Development Group (PDG) meetings of 17 January 2017 and 2 March 2017 and contained a progress report on the revised arrangements for portfolio development. In accordance with the resolutions of SPPC, an update on that progress report was presented which detailed progress in the development of proposed metrics for portfolio review. A further progress report was to be presented to the next SPPC meeting (scheduled for 20 June 2017). Members commented on the enhancement actions and the initial proposals for a full portfolio review and sought assurance that the work of PDG cross-referred to that of the Financial Sustainability Group (FSG). Resolved that progress made in reviewing the operation of the PDG be noted 1618. Student Recruitment Summary (2016 Entry (Home/EU) and 2017 Entry Update A written report, which has been considered by the Resources Committee on 14 March 2017 and the Strategic Planning & Performance Committee on 21 March 2017, presented an update on 2016 enrolments and on Student Applications showing underachievement in undergraduate and postgraduate enrolment for 2016/17 and progress so far in undergraduate applications for 2017/18. The report presented a graphical representation of 2016 Enrolments and Application Patterns, UCAS tracker data as at 5 March 2017 (updated orally at the meeting) and current and planned marketing activity. It was reported that Resources Committee had noted that the usefulness of the report and an understanding of the true measure of over or under-achievement would be enhanced by a comparison of current targets and performance against past targets rather than against actual numbers. The meeting noted the benefits to be gained from closer and more strategic working with local partner institutions (FE Colleges and schools) to encourage progression. It had been agreed that the report to this meeting on recruitment and applications would be supplemented by an additional report providing a comprehensive explanation of the causes of the forecast deficit (minute 1619 refers) the current ratio of staff spend to total income and the level of under-recruitment together with an exploration of the options for improvement. Resolved that the report be noted. 1619. Deficit Causes and Corrective Actions In accordance with the foregoing minute, a written report provided an assessment of the environmental and internal factors which had contributed to the current financial position and an update on ongoing work to address that position. It was noted that recent reports had highlighted concerns about lower growth in income and the consequent negative impact on the metric around growth in the staff cost base target of no more than 60% of Income in a three year period. The report argued that the deficit could be attributed to two main causes: an increase of £3.5m in the assessment of the actuarial deficit in respect of the Local Government Pension Scheme notified to the University by the Scheme Actuaries during September 2016, after the budget had been approved; a projected reduction of £3.1m in tuition fee income due to a shortfall in new and returning students - approximately 2/3 rd relating to intake and 1/3 rd to retention. These negative factors had been offset in part by the release of the contingency fund (£890K) and a contribution from International Mobility projects. Corrective action was being undertaken through the work of the Financial Sustainability Group (FSG). The projected outturn had been revised to a loss of £2M with associated cash generation through operations of £6.1M, an improvement on the previously reported position of £2.1M. This improvement, it was argued, was due predominantly to the implementation of a number of inyear efficiency measures designed to reduce both salary and non-salary costs and also to the suspension of devolved budget authority within the five Schools. The report presented a summary of corrective actions including ongoing FSG activity to identify and implement efficiencies, a fundamental review of the academic portfolio, further development of cost reduction options, revised approaches to retention, ongoing student recruitment review, continued monitoring of recruitment and refinement of the forecasting approach. Resolved that the report be noted. 1620. Finance Reports .1 Outturn 2016/17: Second Review A written report provided the second outturn review of 2016/2017 and details of the maturing financial position at the end of January 2017. Appendices provided a summary of the Income & Expenditure Account at 31 January 2017 and outline cash management, balance sheet and capital expectations. It was reported that the University had originally budgeted for a surplus of £1.1m with associated cash generation through operations of £5.7m. The budgeted expectation had been reviewed during November 2016 and revised to a loss of £4.1m with associated cash generation through operations of £4m. Subsequently the projected outturn had been further revised and was currently targeted at a loss of £2m with associated cash generation through operations of £6.1m, an improvement on the previously reported position of £2.1m. Although the University was still targeting a loss for the year of £2m, it was also targeting cash generation of £6.1m (6% of turnover). If achieved, this level of cash generation would, it was argued, represent a solid financial performance Resolved that the report be approved. .2 Fee and Access Plan 2018/19 A written report, which had been presented to the Resources Committee on 14 March 2017, provided information on the development of the University's 2018/19 Fee and Access Plan. In addition, the report described a number of matters that would need to be taken into account by the University as the 2018/19 Fee & Access Plan was developed. In a recent announcement HEFCW had set Friday, 19 May 2017 as the date for submission of the Plan. A decision by the Funding Council on whether to approve or reject the Plan was expected to be made on or by 31 July 2017. It was agreed that a draft of the Plan would be provided to members for comment prior to submission of the Plan to HEFCW under Chair's Action by 19 May. Resolved that: .1 the report be noted; .2 the Fee and Access Plan for 2018/19 be submitted to HEFCW under Chair's Action by 19 May 2017. 1621. The Quality Assurance Framework for Wales, Governing Body Annual Quality Assurance Statements and Academic Governance A written report summarised developments in the Quality Assurance environment including quality assessment aspects of the Higher Education Wales Act 2015 and the responsibilities of governors under the developing Quality Assurance Framework for Wales. It was agreed that a comprehensive report, focussing on the key elements of the quality system and covering activity since the 2014 QAA Institutional Review, would be submitted for governors' consideration either at an away-day early in the Autumn Term 2017 or at the October 2017 meeting of the Board of Governors Resolved that the report be noted. 1622. Policy Approval: .1 Data Management and Governance Policy A written report submitted a draft Data Management and Governance Policy for approval and, for information, an outline three-year schedule of proposed business for the Data Governance Committee. It was noted that the proposed Policy had been endorsed by the Resources Committee and Management Board and had been subject to a positive (no detriment) equality impact assessment. Resolved that the Data Management and Governance Policy be approved and reviewed during 2019/20. .2 Records Management Policy A written report provided for approval a draft revised Records Management Policy which had been endorsed by the Resources Committee and Management Board. The draft Policy had been subject to a positive (no detriment) equality impact assessment. Resolved that the Records Management Policy be approved and further reviewed during 2019/20. 1623. Governance Report A periodic written report summarised developments in the University's governance arrangements since November 2016. Board and Committee Membership It was reported that, as an outcome of the recent search for new governors, a short-list of five candidates had been invited to attend informal interviews with the Chair, Vice-Chair and Vice-Chancellor during May 2017. The outcomes of these interviews, which were to be attended as observers by the Students' Union's President and the Support Staff Representative, were to be reported to the Nominations & Governance Committee with a view to recommendations for appointment being made to the Board of Governors on 4 July 2017. On the recommendation of the Nomination & Governance Committee the meeting agreed to appoint: Dr. Stephen Jackson, Chair of the TNE Committee, as a member of the Strategic Planning and Performance Committee with immediate effect; Ms. Nicola Amery, Board Vice-Chair, as the University's second representative on ChUW with immediate effect in succession to Mr. John Foster Thomas who was to retire from the Board of Governors on 31 July 2017 Developments in Equality & Diversity An appendix to the report presented an update prepared by the Equality & Diversity Unit on Equality & Diversity developments achieved to date during 2016/17. Vice-Chancellor's Professorial Title It was reported that in accordance with the procedure approved by the Board of Governors on 29 November 2016 (Board minute 1603.2 refers), the Appointing Committee, conducting its business by correspondence, approved the application by the Vice-Chancellor for a Personal Chair with the title 'Professor of Geography and Cultural Economy'. Modern Slavery Confirmation was given that the first Slavery and Human Trafficking Statement had been signed by the Chair and published before the due date of 31 January 2017. Appeals Committees Two Appeals Committees had met since the November 2016 meeting of the Board of Governors. The first appeal, a staff appeal against summary dismissal, had been successful and an order for summary dismissal replaced by a final written warning. The second appeal, a student appeal against permanent exclusion, had been unsuccessful. Review of Board and Committee Effectiveness Software problems having been resolved, it was anticipated that the paperless meetings project would be launched during the Summer Term 2017. It was reported that proposals for another round of effectiveness reviews of the Board and its Committees would be presented to the next meeting. These proposals would include a follow-up review of the last full review of the Board of Governors. Resolved that: .1 the report be noted, and .2 appointments to the Strategic Planning & Performance Committee and to Chairs of Universities Wales be made as recorded above. 1624. Any Other Business .1 Restricted Business Resolved that the following items would retain restricted status: Strategic Risk Register Strategic Plan Student recruitment Deficit Causes and Corrective Actions Outturn Second Review PART B Papers under Part B were not discussed at the meeting and any recommendations therein were taken as approved. 1625. .1 Welsh Government's Remit Letter to HEFCW 2017/18 The 2017/18 Remit Letter was presented for information prior to its presentation to the Strategic Planning & Performance Committee during the Summer Term 2017 for consideration. Resolved that the contents of the Remit Letter be noted. .2 Annual Monitoring Report (2015/16) on the Implementation of the Cardiff Metropolitan University's Welsh Language Scheme A written report presented the annual monitoring report on the University's Welsh Language Scheme for the 2015/16 academic year. The report had been presented to the Strategic Planning & Performance Committee on 21 March 2017 and was to be submitted to the Welsh Language Commissioner by 30 April 2017. Resolved that the report be approved. .3 Health & Safety Committee Annual Review 2016 A written report provided a summary of progress in the management of health and safety across the University during 2016. Assurance was given that the Health and Safety Committee continued to fulfil its remit to consider all relevant aspects of Health, Safety and Well-being in the working environment and to monitor the effectiveness of the University's Occupational Health and Safety policies. The Committee's termly meetings were provided with advice on relevant Health and Safety matters which included periodic progress reports on the management of health and safety within the University. Monitoring reports on health and safety management were provided to the University's Resources and Audit Committees and Management Board (sitting as the Risk Management Committees). Attached to the report was the Health and Safety Committee's Annual Review for 2016 which had been based on the Health and Safety Executive's 'Successful Health and Safety Management' publication HSG65 and the Universities and Colleges Employers Association (UCEA) 2015 publication 'Leadership and Management of Health and Safety in Higher Education'. The review included a summary of the following key areas: Policy development Health and safety organisation Health and safety planning and implementation Health and safety monitoring Health and Safety audit/review Resolved that the report and the annual review be noted. .4 Equality & Diversity Annual Report 2015-16 The final version of the annual Equality & Diversity Report, which had been published on 31 March 2017, was presented for information. Resolved that the Equality and Diversity Annual Report for 2015/2016 be received. .5 Complaints: Report 2015-16 The annual Complaints Report provided an analysis and summary of all types of formal and informal complaints received and administered by the Acting Dean of Students and the Complaints Manager between 1 August 2015 and 31 July 2016. Assurance was given that the Complaints Procedure continued to work efficiently and operate in line with the Office of the Independent Adjudicator's Good Practice Framework and guidance on consumer law rights. Resolved that the report be received. .6 Minutes of Academic Board: The most recent minutes of the Academic Board were presented for information: .1 Minutes of the special meeting of 16 November 2016 .2 Unconfirmed minutes of the meeting of 3 March 2017 Resolved that the Academic Board minutes be received. .7 Rolling Calendar 2017-18 The most recent iteration of the rolling calendar of Board and Committee meetings was presented for members' approval. Resolved that the rolling calendar be approved. 1626. Restricted Business The minutes of the restricted business of the meeting of 11 April 2017 were recorded separately and maintained confidentially by the Clerk to the Governors. They covered confirmation of the restricted minutes of the special meeting of the Board of Governors held on 28 February 2017, a report on the business of the Remuneration Committee held on 17 January 2017 and a report on progress in the reorganisation of the University's Leadership Structure (Levels Two and Three).

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BIODIVERSITY POLICY The Board of Directors at Sacyr, S.A. ("Sacyr"), as part of their general and non-delegable duties to determine the company's policies and general strategies, and following the review and proposal on the part of the Commission responsible, has approved this Biodiversity Policy (hereinafter, the "Policy"). The aim of this Policy, aimed at all stakeholders, is to define and establish the principles and criteria that govern activities related to Biodiversity. 1. Purpose Sacyr, aware of the impact of its activities on the ecosystem and the importance of the conservation of biodiversity, adopts respect for these in the course of its projects and operations. Sacyr understands that such behaviour cannot be imposed from the outside, rather it should come from its own human team, as well as the other companies in its Group, as part of its culture of respect for the environment, encouraging everyone to embrace it in their working environment and also encouraging its protection on the part of different stakeholders. As a consequence, the protection of the environment and especially biodiversity is approached with a proactive attitude. For this reason, one of its strategy lines is aimed at different levels of the Sacyr organisation and other companies in the Group moving forward in the development of methods aimed at the conservation, the reestablishment and sustainable use of terrestrial ecosystems, putting a stop to the loss of biological diversity, the rehabilitation of degraded land, and the mobilisation and increase in financial resources for their conservation and use. 2. General Principles To ensure the implementation of its pledge to biodiversity, Sacyr and the other companies that belong to its Group shall follow the guidelines contained in the general principles below: a) Integrate the conservation of biodiversity and natural capital into the Group's strategy, making it an important element in decision-making, in phases of project tendering, execution and operation, and establishing objectives that ensure the responsible management of natural capital. b) Conserve and make sustainable use of biological diversity and natural capital. c) Protect species and habitats, both those that are under threat and those that represent a high value for biodiversity, through the adoption of preventive, minimising and improvement measures. d) Promote compensation for impacts generated by activities in biodiversity and, especially, on habitats and protected species. e) Encourage employee and collaborator training in responsible practices with terrestrial ecosystems and in the area of biodiversity. f) Promote knowledge and awareness in the area of biodiversity, collaborating with local communities, recovery centres, research centres, administrations and other interested parties, with the aim of conserving and protecting biodiversity. g) Encourage the enhancement of biodiversity and divulge news of actions undertaken by Sacyr for its conservation. This Biodiversity Policy was approved by the Board of Directors at Sacyr on June 11 2020.

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Hausa and Swahili: A Common Arabic Heritage* Sergio BALDI University of Naples “L’Orientale” Tsakure Hausa da Suwahili su ne harsunan da suka fi yaduwa daga kudancin shara na Afirka. Mafiyawain al’umomin wadannan harsunan sun karbi addinin musulunci, saboda haka ne larabci ya yi tasiri matuka a kan harsunan. Sama da kashi talatin na kalmomin wadannan harsuna an aro su ne kai tsaye daga Larabci ko kuma an baddala su daga Larabci. Byan tasirin da aron kalmomin Larabci daga Al’kur’anî, akwai kuma wani aron da Hausa ta yi ta fuskar Larabcin gargaliya na mutanen Misra da wasu kare – karen Larabcin Magaribawa. Haka ma Suwahili ya yi irin wannan aro daga Larabcin gargaliya na Omaniyawa da Yamalawa. Saboda haka ire – iren wadannan kalmomin aro sun ƙara bunƙasa wadannan harsunan a dukkanin fannonin rayuwa, tunda yake shi Larabci harshe ne da tuni ya samu gatan rubutu. Wannan maƙala an nuna cewa a hanyoyi daban daban bayanan da aka gabatar sun fi karkata ne wajen nuna yadda kalmomin aro na Larabci suke tasarrufi a Hausa. A yayin da kalmomin aro na Larabci a Suwahili suke kusan kin sarrafuwa. Yawancin kalmomin aro an fi * In this paper, we use the following abbreviations: AR(rabic), BA(mbara), DA(gbani), DO(gon), FU(lfulde), HA(usa), KA(nuri), MA(ndingue), NU(pe), SA(ngo), SO(nghay), SW(ahili), WO(lof), YO(ruba). The transcription of Arabic is that one given by Wehr’s dictionary. As it concerns the other languages, the words are given according to the writing system used in dictionaries quoted in references, except for Hausa, given in the scientific transcription usually employed, which marks long vowels and tons, which are not marked in Standard Hausa, and Yoruba, where some corrections are made for words quoted from Abraham’s dictionary. In Hausa flapped r are not marked, on the contrary trilled r are given with an hyphen. Hausa and Swahili are the most widespread languages in Sub-Saharan Africa. Although they belong to linguistic phyla$^1$, they have many features in common. Both are spoken outside a single state and are used as a communication medium in a very large part of West Africa, in the case of Hausa, and East Africa in the case of Swahili. Apart from their border crossing distribution, there is a further common factor in both languages, which lies in their heavy Arabic influence on them. Both languages were both first written in *ajami*, i.e. with the Arabic alphabet$^2$. The acceptance of Islam by the majority of speakers of these languages has had such a great impact, that more than 30% of their lexicon is directly or indirectly borrowed from Arabic. Apart from classical Arabic, i.e. Arabic from the Koran, the main influence arrived from colloquial Arabic, i.e. from Egypt and some Maghrebinian dialects into Hausa and from Omani and Yemenite into Swahili. If we compare the loans which arrived into those languages, we see many astonishing similarities. Apart from the common loans related to the new religion (i.e. words related to law, customs, culture, etc.), one can find many words which substitute or --- $^1$ Hausa is a Chadic language belonging to Afro-Asiatic phylum, whereas Swahili is a Bantu language, more specifically a member of the Sabaki subgroup of North East Coast Bantu (Nurse & Spear 1985: 46; Nurse & Hinnebusch 1993: 490-496). $^2$ The earliest existent Swahili manuscript poem known to scholars is *Utendi Wa Tambuka*, an epic or heroic poem written in Pate for Fumo (Sultan) Laiti Nabhani, and is dated AD. 1728 (in the Library of the Seminar für afrikanischen Sprachen, Hamburg, No. 3554 H. 119). Hausa was comprisingly described first in a grammar by Schön in 1862. took over the old local ones, considered from that time on as vulgar: it is especially the case of words indicating some private parts of the body\textsuperscript{3}. So the loans enriched the local languages not only in the field of the new religion, but also in other spheres of their lexicon, since Arabic had the prestige to be a written language. In a work published in 1988, I compared most of the common Arabic loans in those languages and they were related to almost all semantic fields. Giving examples on these topics, I would like to examine some grammatical aspects of borrowings from Arabic. **Grammar** *Article.* In many cases the Arabic article is agglutinated in loans arrived into Hausa. Sometimes the forms with the article coexisted with those without it: \textit{miski}, \textit{almiski} (< \textit{misk} ‘musk’); \textit{tājiri}, \textit{attājiri} ‘wealthy person’ (< \textit{tājir} ‘merchant’), laifi and aibu. On this topics more examples are given by Baldi (1991: 84-85). On the contrary the article is nearly never agglutinated in Swahili loanwords. The examples are very few: \textit{alasiri} (< ‘\textit{ʿasr}’) ‘afternoon’; \textit{alfajiri} (< \textit{fajr}) ‘dawn’; \textit{alhaji} (< \textit{ḥājj}) ‘pilgrim’; \textit{Alhamdulillahi!} (< \textit{al-ḥamdu lillāh}) ‘praise be to God’; \textit{Alhamisi} (< \textit{kamīs}) ‘Thursday’. *Adverbs.* In Hausa adverbs are divided into several groups. Each group contains both primary and derivatory adverbs; the latter are formed in various ways. Among them there are some of Arabic origin: \textit{haka} (< \textit{hākadā}) ‘thus’; \textit{dōle} (< \textit{daula} ‘power’) ‘necessarily’; \textit{lābuddà} (< \textit{lā budda}) ‘doubtless, etc.’. As distinct grammatical or lexical items, adverbs hardly exist in Swahili\textsuperscript{4}. Most of them are derived from nouns, verbs or pronouns. \textsuperscript{3} It is the case of \textit{azakārī} ‘penis’ (< AR \textit{dakar}, cf. SW \textit{dhakari}). Robinson (1925: 23b) says: “a word used by educated men for \textit{būrā}”; or \textit{farjī} ‘vagina’ (AR < \textit{farj} ‘vulva’) at the place of \textit{dūrī}, \textit{gatō}, \textit{gūtsū}. \textsuperscript{4} Myachina (1981: 54). The non-derived adverbs are very small in number: among them most are borrowings from Arabic: *afadhali* ‘rather, better’ (< *afḍal* ‘better’); *aghalabu*, *aghlabu* (< *aqlab*) ‘usually’; *baada* (< *baʿda*) ‘after’; *bado* ‘not yet’ (< *baʿdun* ‘then; still, yet’); *dahari* ‘always’ (< *dahr* ‘time; age’); *daima* ‘perpetually’ (< *dāʾim* ‘lasting; perpetual’); *dike, tike* (< *bi-diqqa*) ‘exactly’; *fauka, foko* (< *fauqa*) ‘more’; *ghafula* ‘suddenly’ (< *ḡafla* ‘negligence’); *hadhara* ‘in public, before’ (< *hadra* ‘presence’); *halafu* ‘after a bit’ (< *kalfu* ‘back’); *hasa* ‘specially’ (< *kāṣa* ‘special’); *hobelahobela* ‘anyhow’ (< *kabal* ‘confusion’); *hususa* ‘expressly’ (< *kuṣīsan* ‘especially’); *kadhalika* ‘in like manner’ (< *kadālīka* ‘so, like so’); *nusura* ‘almost’ (< *nazr* ‘little’); *salimini* ‘safely’ (< *salīm* ‘safe’); *sana* ‘very much’ (< *sanāʾ* ‘brilliance’); *sawia* ‘then’ (< *sawīya* ‘equality’); *tashili* ‘quickly’ (< *tashīl* ‘facilitation’); *wahedu* ‘alone’ (< *wāḥid* ‘one; sole’); *zamani* ‘formerly’ (< *zamān* ‘time’). **Conjunctions.** In Hausa there are very few conjunctions of Arabic origin: *lōkacin dà* (< *waqt* ‘time’) ‘when’, *sāʾad/sāʾan dà* (< *sāʾa* ‘time; hour’) ‘when’. In Swahili there are no Bantu words which are basically conjunctions except NA which is composed of the -A of relationship and N- of association. There are, however, various ways of joining words and sentences (Ashton 1947: 197). Some are borrowings from Arabic: *ama ... ama* ‘either ... or’ (< *a-māʾ* ‘or?’); *ili* ‘in order that’ (< *ʿalāʾ* ‘according to’); *kusudi* ‘with the object of’ (< *qaṣada* v. ‘to intend’); *wala ...* ‘neither ... nor’ (< *wāʾ-lau* ‘even if, even though’). **Numerals.** In Hausa the decades are all Arabic-based (*i.e.* *àshiřin, tālātīn, āṛbàʾin, hàmsin, sittin, sābàʾin, tāmānin, càsàʾin*). There are also some higher numerals borrowed from Arabic which are less --- 5 Also *tis(i)ʾin*. commonly used, including: *minyà* ‘100’, *mètan* ‘200’, *àřhàminyà* ‘400’, and *hàmsàminyà* ‘500’, as well as the term for ‘zero’ (*sifiri* < *sıfr*). Where all the components of a compound numeral are Arabic borrowings, the Arabic conjunction *wa* is used instead of the Hausa word *dà*. In the first ten Swahili numerals three are of Arabic origin: *sita* ‘6’, *saba* ‘7’, *tisa* ‘9’. From 11 to 19 they coexist with the Bantu terms, but from 20 to 90, as well as the word for 100 (*mia*) and 1000 (*elfu*) they are all of Arabic origin. In such cases there is no concord. **Prepositions.** In Hausa very few prepositions are of Arabic origin: *bilā* ‘without’ (< *bi-lā*); *hātā* ‘even’ (< *hattā*). In Swahili there are no Bantu words which are basically prepositions (Ashton 1947: 195), so, among others, some words are borrowed from Arabic: *bila* ‘without’ (< *bi-lā*); *hata* ‘until, up to’ (< *hattā*). **Arabic Nominal Loans** The majority of loans is concentrated in the field of nouns. Here some examples are classified according to their semantic field. The large variety of semantic fields involved shows the enormous impact that Arabic had on these languages: **NATURE:** HA *suràyyā*, SW *Thurea* < AR *turayyā* ‘Pleiades’; HA *bahār*, *bahārī*, SW *bahari* < AR *bahr* ‘sea’; HA *zaibā*, SW *zebaki* < AR *zi’baq* ‘quicksilver’; HA *zābib*, SW *zabibu* < AR *zabīb* ‘raisin(s)’; HA *alḥānzir*, SW *hanziri* < AR *kinzir*6 ‘pig’; **MAN AS A PHYSICAL BEING:** HA *sautī*, SW *sauti* < AR *saut* ‘sounds, voice’; HA *albārās*, *barās*, SW *barasi* < AR *baras*; HA *lāfīyā*, SW *afya*, *afīa* < AR *‘āfiya* ‘(good) health’; HA *ḥalāwā*, SW *halua* < AR --- 6 The standard word for ‘pig’ in Swahili is *nguruwe*. *Hanziri* seems for me to have a connotation of moral disapproval. halwā ‘sweet’: HA jubbā, SW juba < AR jubba ‘jubbah’; HA laimā, SW hema < AR kaima ‘tent’; MAN AS A SPIRITUAL BEING: HA bāyānī, SW bayana < AR bayān ‘explanation’; HA azīnā, SW adha < AR adāh, adīya; HA lāhīrī, SW taahira < AR ta‘kīr ‘delay’; HA izīnī, SW (i)dhinī < AR iḍn ‘permission’; HA kalma, SW kalima < AR kalima ‘word’; HA hikāyā, SW hekaya < AR hikāya ‘story, tale’; HA hikāyā, SW hekaya < AR hikāya ‘story, tale’; HA imāmī, limān, SW imamū < AR imām ‘imam; leader’; MAN AS A SOCIAL BEING: HA ajālī, SW ajali < AR ajal ‘deadline’; HA zūri ā, zūriyā, SW dhuria < AR durrīya; HA ladābī, SW adabu < AR adab ‘good manners’; SOCIAL ORGANIZATION AND POLITICS: HA asalī, SW asili < AR asl ‘origin’; HA tūhumā, SW tuhuma < AR tuhma ‘suspicion’; HA jāsūsī, jāsūsi, SW jasusi < AR jāsūs ‘spy’; HA kāmūs, SW kamusi < AR qāmūs ‘dictionary’; HA bikārī, SW bikari < AR bikār ‘compass’; HA fā‘idā, ʿalfā‘idā, SW faida < AR fā‘ida ‘profit’; HA himilī, hamālī, SW himila < AR himl, haml ‘load’; NATURAL LAWS: HA sāwā, SW sawa < AR sawā ‘equality’; HA jimlā, SW jumla < AR jumla ‘sum’; HA mahallī, SW mahali < AR mahall ‘space’; HA zāmānī, SW zamani < AR zamān ‘time’; **Arabic Verbal Loans** In contact between two languages the majority of loans is generally from nouns - and verbs are very few. But in the case of these two languages we can observe, that the number of verbal loans is quite frequent. For Hausa, as a Chadic language, which is genetically is related to Arabic, it is not so unexpected to find many verbal loans, but for Swahili, a Bantu language, it is quite surprising to find such a --- 7 The word comes into Hausa through Kanuri läima ‘tent’, see Baldi (1992: 11). 8 In Swahili it can be a noun and a verb. 9 This variant, , arrived through Kanuri limān ‘imam’, see Baldi (1992: 12). great number of loans; sometimes in double forms of loans: *safara* “to travel” gives *-safiri* v. “to travel” and *safari* n. “journey”. Here some examples are given: | Arabic | Hausa | Swahili | English | |--------------|-----------|----------|-----------------------------------------------| | țalā | dàlàyà | -taliza | AR ‘to paint’ | | | | | HA ‘to pare’ | | | | | SW ‘to plaster’ | | ġayyara II | gayyàrā | -ghairi | ‘to change’ | | waṣafa | wassāfā/ | wasifu | AR-SW ‘to describe’ | | | wassāftā | | HA ‘to explain’ | | ʻaraḍa | ʻaralā | -aridhia | AR-HA ‘to happen’ | | | | | SW ‘to explain’ | | ʻaliqa taʻallaqā V | tāʻallakā/ ʻallakā | -aliki | AR-SW ‘to hang’ | | | | | AR-HA ‘to be devoted; to be dependent’ | | kalifa kallafa II | kallāfā | -kalifu | AR ‘to charge’ | | | | | HA ‘to impose sth. on s.o.’ | | | | | SW ‘to trouble’ | | kamala takāmala VI | kammālā/ kamāltā | -takamali | AR-HA ‘to complete’ | | | | | SW ‘to trouble’ | | balāga | bālaga | -balehe | ‘to reach puberty’ | | halaka I hallaka II | hālakā/ hallākā | -hiliki | AR-HA ‘to perish; to die’ | | | | | SW ‘to be destroyed’ | | salima sallama II | sallāmā | -salimu | AR-SW ‘to surrender’ | | | | | HA ‘to give in’ | | FSR | fasārā | -fasiri | ‘to explain’ | | FLS hallasa II | fallāsā | -filisi | AR-SW ‘to declare bankrupt’ | | | | | HA ‘to squander’ | | RTB rattaba II | rattābā | -ratibu | ‘to arrange’ | Arabic Adverbial, Conjunctional and Prepositional Loans Here few examples of common Arabic loans of these two languages can be observed: | Word | Meaning | AR-HA | AR-SW | |--------|---------|-------|-------| | abadan | for ever and ever | never | | illā | except | | | | au | or | whether ... or | | bi-lā | without | | | | lā budda| definitely | perhaps | | bas | only | well; it is enough | | bal | but | used to intensify a contradiction | | hattā | even | | | sawīya | equality | at that time | | qatū | ever; never | | | ka-dā | such and such | | | ka-mā | as, such as, like | similarity, appearance | | lā | no | | | lākin | but | | 10 See Roth-Laly (1969: 50b). 11 See Bargery (1934: 67b). 12 See Robinson (1925: 363a). 13 Bargery (1934: 586b) gives: kātsū. 14 The word is found in Sacleux’ dictionary. | | | | HA ‘for’ | |----------------|----------------|----------------|---------------------------| | matalan | masalan | mathalan | ‘for example’ | | na’am | nà’am | naam | ‘yes’ | | wa-lākin (dà) | wàlākin | walakini | AR-SW ‘but, however’ | | | | | HA ‘there’s more than | | | | | meets the eye’ | **Differences** Hausa has received loans relatively early and not only from (classical and spoken) Arabic, but also via some local West African languages like: Bambara, Fulfulde, Kanuri, Mandingo, Songhay, Tamasheq, etc. - Hausa *wàllafà* v. < Fulfulde *wallifa* v. < Arabic *alīfa* v. (II) ‘to compose’; - Hausa *lādī*¹⁵ < Kanuri *lādə* < Arabic *al-ahad* ‘Sunday’; - Hausa *lāhirà* ‘the Next World’ < Kanuri *lāira* ‘the Next World’ < Arabic *al-ākira* ‘the hereafter’; - Hausa *lardī* ‘district’ < Kanuri *lárda* ‘earth; country’ < Arabic *arḍ* ‘earth; land’; - Hausa *limān*¹⁶ < Kanuri *limān* < Arabic *imām* ‘imam’; - Hausa *lāyà*¹⁷ ‘written charm’ < Kanuri *láya* ‘amulet, charm’ < Arabic *āya* ‘Koranic verse’; - Hausa *wànzāmī* ‘barber’ < Songhay *wànzām* ‘barber’ < Tamasheq *wahaẓẓam* ‘barber, cupper’ < Arabic *hajjām* ‘cupper’. On the contrary Swahili has received loans from Arabic and other oriental languages, like Persian, but no Arabic loans entered through any local language. The reason probably lies in its pre-eminent role in the region. The majority of Arabic loanwords entered the language --- ¹⁵ In Hausa there is also: *lahàdī*, arrived directly from Arabic. ¹⁶ In Hausa there is also: *imāmī*, arrived directly from Arabic. ¹⁷ In Hausa there is also: *āyà* ‘verset (surt. du Coran)’, arrived directly from Arabic. relatively recent; most date back only as far as the period of Omani Arab domination in the 18th and 19th centuries respectively (Nurse & Hinnebusch 1993: 315): Swahili *balozi* ‘ambassador’ < Turkish *balyos, balyoz*¹⁸ ‘consul of Venice’; But both languages, Hausa and Swahili, spread Arabic words into other neighbouring languages: **Hausa as a medium of spreading Arabic Loans** Hausa has got many loans from Arabic (few through Fulfulde, Kanuri, Songhay, Tamasheq, etc.), but it was also a donor languages: Arabic *al-ahad* ‘Sunday’ > Hausa *lāḍī*¹⁹, *lahāḍi* > Buli *alaadi, laadi;* Gurenne *lasere daare, tahere daare; Vagla alaadi;* Arabic *ammā* ‘but’ > Hausa *àmmā* > Dagbani *amaa; Gade àmá;* Gurenne *ama;* Songhay *almāā;* Vagla *ama;* Arabic *baṣal* ‘onion(s)’ > Hausa *àlbasâ* > Buli *alabasa;* Busa *àlubásàn;* Dagbani *albasa;* Gurenne *alabasa;* Vagla *alibaasa;* Yoruba *àlùbọsà;* Arabic *talāḍī* ‘Tuesday’ > Hausa *tālāḍà* > Buli *talaata;* Gurenne *attalaata daare;* Vagla *atalaata;* Yoruba *àtálàà;* Arabic *al-itnain* ‘Monday’ > Hausa *littinūn* > Buli *tani;* Gurenne *attanii daare;* Vagla *atenee;* Yoruba *àtìnì;* Arabic *jum’a* ‘Friday’ > Hausa *jummaʾà* > Buli *azuma;* Gurenne *azuma daare;* Kotoko *jämawà;* Vagla *alajima;* Yoruba *jímọ;* Arabic *akbār* pl. ‘news’ > Hausa *lābārī* > Buli *labaari;* Dagbani *lahabali;* Gade *lābārī;* Songhay *lābbāāRi;* Yoruba *lābārī;* Arabic *duniyā* ‘word; earth’ > Hausa *dūniyā* > Buli *duninya;* Dagbani *dunia, duniya;* Gade *düniyā;* Gurenne *dunia;* Vagla *dunia;* Arabic *zakāh* ‘alms tax (*Isl. Law)*’ > Hausa *zākkā, zākā, zakkā* > Dagbani *zaka;* Yoruba *sáká.* --- ¹⁸ The Turkish word is coming from old Italian *balio* (see: *New Redhouse Turkish-English dictionary.* Istanbul 1968: 129). ¹⁹ Via Kanuri *lāḍo.* Swahili as a medium of spreading Arabic Loans Swahili was not only receiving Arabic loans, but it was also a donor language. Many Bantu and non-Bantu languages have received Arabic loans in the area via Swahili: Arabic *barwa* ‘waste, scrap’ > Swahili *barua* ‘letter’ > giKuyu *marua* ‘letter’; luGanda ‘*bbàluwà* ‘letter’; Madi *bàriùà* ‘letter’; Arabic *bunduqīya* ‘rifle, gun’ > Swahili *bunduki* ‘gun, rifle, musket’ > giKuyu *bundūki, bindūki* ‘rifle, gun’; luGanda ‘*mmûndu* ‘gun, rifle’; Madi *mundiukì, bundūki* ‘gun’; Arabic *kaima* ‘tent’ > Swahili *hema* ‘tent’ > giKuyu *hema* ‘tent’; luGanda *weemà* ‘tent’; Madi *kémà* ‘tent’; Arabic *daqīqa* ‘minute (time unit)’ > Swahili *dakika* ‘minute’ > giKuyu *ndagika, ndakinga* ‘a minute’; luGanda ‘*ddakiika* ‘minute’; Madi *dákikà* ‘minute ; one minute ; a moment’; Arabic *sāʾa* ‘while; hour; timepiece’ > Swahili *saa* ‘time; watch’ > liNgala *sâ (sáa)* ‘watch’ > Sango *sàà* ‘watch’; Arabic *māl* ‘money’ > Swahili *mali* ‘wealth’ > Ila *madi* ‘money’; Ndonga *oshimaliwa* ‘money’ (via Nama); Shona *mari* ‘money (cash)’; isiXhosa *imali* ‘money’; Arabic *qahwa* ‘coffee’ > Swahili *kahawa* ‘coffee’ > liNgala *káwa* ‘coffee’ > Sango *kávà* ‘coffee’; Arabic *qartas* ‘paper’ > Swahili *karatasi* ‘paper, a piece of paper’ > Acholi *kàrtaci* ‘sheet of paper’; Arabic *kūfīyā/kaffiyeh* > Swahili *kofia* ‘fez’ > Acholi *kòfìà* ‘tarboush’. Although the grammatical structure of the language has been unaffected by its contact with Arabic, the phonological system has absorbed some Arabic sounds along with the borrowed vocabulary (Contini-Morava 1997: 842). Swahili has being one of the first languages in Africa to be appointed as a national language in Tanzania (1967) and Kenya, has increased its role, even outside the national boundaries, so that in a near future, without any doubt, it will continue to spread Arabic loans. References Abraham, Roy Clive. 1958. *Dictionary of Modern Yoruba*. London. University of London Press. ———. 1962. *Dictionary of the Hausa language*. London. Hodder and Stoughton. Ashton, E.O. 1947. *Swahili Grammar (Including Intonation)*. London: Longman. Baldi, Sergio. 1988. *A First Ethnolinguistic Comparison of Arabic Loanwords Common to Hausa and Swahili*. Supplement n. 57 to *AIQN*, Vol. XXXXVIII (4). ———. 1992. “Arabic loanwords in Hausa via Kanuri and Fulfulde”: 9-14 in E. Ebermann, E.R. Sommerauer und K.É. Thomanek (ed.), *Komparative Afrikanistik (Festschrift Mukarovsky)*. Beiträge zur Afrikanistik, Band 90. Wien. Veröffentlichungen der Institute für Afrikanistik und Ägyptologie der Universität Wien. ———. 2007. *Dictionnaire des emprunts arabes dans les langues de l’Afrique centrale et orientale* (personal database). ———. 2008. *Dictionnaire des emprunts arabes dans les langues de l’Afrique de l’Ouest et en swahili*. Paris: Karthala. ———. 2009. “Swahili”, in *Encyclopaedia of Arabic Language and Linguistics*, Vol. IV. Leiden: Brill (forthcoming). Johnson, Frederick. 1939. *A Standard Swahili-English Dictionary*. London-Oxford: O.U.P. Lodhi, Abdulaziz Y. 2006. “East Africa”: 660-666 in *Encyclopaedia of Arabic Language and Linguistics*, Vol. I (A-Ed). Leiden: Brill. Nurse, Derek, and Thomas Hinnebusch. 1993. *Swahili and Sabaki: A Linguistic History*. Berkeley and Los Angeles: University of California Press. Nurse, Derek, and Thomas Spear. 1985. *The Swahili: Reconstructing the History and Language of an African Society, 800-1500*. Philadelphia: University of Pennsylvania Press. Robinson, Charles Henry. 1925. *Dictionary of the Hausa language*, I. *Hausa-English*. Cambridge. C.U.P. Schön, James Frederick. 1862. *Grammar of the Hausa Language*. London: Church Missionary House. Wehr, Hans. 1966. *A Dictionary of Modern Written Arabic*, edited by J. Milton Cowan. Wiesbaden-London. Otto Harrassowitz.

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U.S.D.A., Agricultural Research Service Sheep Experiment Station – Montana Water Rights Compact Summary The Montana Reserved Water Rights Compact Commission was created by the Montana Legislature in 1979 to act on behalf of the State and its water users to settle the water rights associated with reserved federal land, such as the U.S. Sheep Experiment Station. The Commission (now inactive after finishing negotiations surrounding 18 compacts) is composed of nine members. Four members are appointed by the Governor, four members are legislators (two from the House and two from the Senate), and one member is appointed by the Attorney General. The Commission negotiates with federal agencies and Indian tribes that claim federal reserved water rights within Montana. A federal reserved water right is a right to use water under federal law based on a Congressional act or treaty that reserved lands for a specific purpose. In this case, the portion of the U.S. Sheep Experiment Station in Montana was set aside by Executive Order No. 3767 for "agricultural experiment" purposes. Most of the lands in the U.S. Sheep Experiment Station, managed the Agricultural Research Service, are in Idaho and were quantified as part of the Snake River adjudication. The negotiated settlement quantifies the federal reserved water rights for the U.S. Sheep Experiment Station in Montana as summarized below. The priority date for all reserved water rights for the U.S. Sheep Experiment Station in Montana is December 19, 1922. The Compact recognizes federal reserved water rights in three categories, existing uses, future uses, and emergency fire suppression. Existing Uses * The U.S. Sheep Experiment Station currently uses up to 11.72 acre-feet per year from surface water for stock water use. Future Uses * Up to a total of an additional 15 acre-feet per year. The future uses may be for stock water or for administrative uses. (Administrative uses could include water for domestic use, to conduct research, dust abatement, reclamation or other administrative purposes from surface or groundwater to fulfill the purposes of the U.S. Sheep Experiment Station. Emergency Fire Suppression * Emergency Fire Suppression, as needed.

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Mite/8U Tournament December 31 - Tulsa, Oklahoma January 2 December 31 - January 2 Registration Deadline 12/1 for 8U/Mite Red, White & Blue Teams 5 Game Guarantee Half-Ice Games Trophy for 1st Place Medals for 1st, 2nd, 3rd Swag Available Hospitality Baskets $695 per team Limited spots available! Onsite Jewelry and more! Learn More: TulsaJrOilers.com & @tulsawinterclassic Stay to Play Tournament Hotel Information will be emailed to Team Managers. USA Hockey sanction number pending Questions? Contact Sarah for questions: [email protected]

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Hyndburn Borough Council's Pavement Cafe Licensing Policy October 2020 Contents 1. Introduction Alfresco eating is becoming a more widespread aspect of urban life and the presence of tables and chairs on the pavement can make a positive contribution by adding vitality, colour, life and interest to an area. Hyndburn Borough Council supports and encourages the provision of pavement cafes in the borough? as they can help maximise the use of public spaces, aid the local economy and add to the facilities offered to people who visit, live, and work in Hyndburn. Tables and chairs placed on the highway without permission can be illegal as they could amount to an obstruction. However, permission to use the highway for pavement cafes may be granted by the Council under Section 115E of the Highways Act 1980. Accordingly, whilst the Council wishes to encourage pavement cafes, it is important that they are properly located and managed. This is to ensure that they meet the standards we expect in Hyndburn and that they do not obstruct the highway nor create a hazard for pedestrians, especially for blind, partially sighted and other disabled people. The area to be used must take into account other needs in the immediate vicinity e.g. kerbside parking, bus stops and pedestrian crossings. Pedestrians' needs must be paramount. The expanse of the pavement cafe must not conflict with any access or dropped crossings that are required for free passage of normal road users. Barriers and tapping rails should be positioned and maintained to the satisfaction of Hyndburn Council and should be totally removed outside the permitted hours of operation of the cafe, restaurant or bar. The pavement cafe is normally expected to be in an area directly in front of and be visible from the existing premises. Emergency exit routes, including those of adjacent buildings, should not be obstructed by the pavement cafe and emergency service vehicles must have access along all streets at all times, even in pedestrianised streets. In general, all parts of the highway may be used for Pavement Cafe's, assuming all safety and non-obstruction requirements are met. The exceptions are: - Any carriageway or 'shared use surface' - Any highway verge - Where width of the pavement makes it impractical. - Where authorised street furniture makes it impossible Licences will not normally be granted where; - A significant effect on road safety would arise either from the siting of the tables and chairs, or from customers visiting or leaving the licensed area, or - Where there are concerns over the recorded level of personal injury accidents in the locality where the tables and chairs will be sited, or - There would be a significant loss of amenity caused by traffic, noise, rubbish, potential for the harbourage of vermin, odour or fumes, or - There is a conflict with Traffic Orders, such as waiting restrictions, or - The site obstructs either pedestrian or vehicular access, or traffic flows, or places pedestrians in danger when in use, or - The tables and chairs obstruct the safe passage of users of the footway or carriageway, or - The area to be licensed interferes with sight lines for any road users such as at road junctions, or pedestrian crossing facilities, or - The site does not allow the licence holder, staff and customers to park in a safe manner, or - The trading activity is carried out after dusk and the site is not adequately lit to allow safe access and egress from the site for both customers and staff. - The existing toilet and washing facilities are not adequate to accommodate an increased number of customers using the pavement cafe, or - The Council is not satisfied that applicants have made satisfactory arrangements for the storage and collection of all refuse associated with their business or - The Council is not satisfied that applicants have made satisfactory arrangements for the storage of all tables and chairs off the highway without impeding any access or egress from the premises. In considering the above matters, the standard guidance will be that a licence will only be issued if an unimpeded pedestrian route can be maintained at all times. The route shall ensure that all pedestrians and particularly those with a disability can maintain their normal path where feasible. All applications will be considered on their own merits. Pavement cafe licences will only be issued to cafes, restaurants, public houses or other catering establishments that serve food and drink within the premises. The Council will carry out periodic inspections to make sure that all the terms and conditions of the licence are being observed. A pre-licensing visit will be made to each premises upon receipt of an application for the granting, renewal or variation of a pavement cafe licence, to discuss the application process, the proposed operation of the cafe etc. to provide advice and information to the applicant. Once the pavement cafe licence has been issued, a further visit will be made to the premises to review the practical day-to-day operation of the cafe. An additional visit may also be undertaken to ensure the premises is meeting licence conditions. 2. Legal Framework and Controls Permissions to use the highway for pavement cafes are granted by the issue of licences by Hyndburn Borough Council (the Council) under Section 115E of the Highways Act 1980. Tables and chairs placed on the highway without permission are an illegal obstruction and the Council will take enforcement action in such cases. A fine of up to £1,000 can be levied by a Magistrates' Court for committing an offence of obstructing the highway. Granting a licence to operate a pavement cafe does not imply an exclusive right to the area. The operator of the cafe should be aware that the Council reserves the right to gain access to the cafe area for cleaning, repairing and maintaining the highway or street furniture. Other statutory organisations may also require access for maintenance and repair of their equipment. The Council therefore reserves the right to suspend the licence temporarily if, for any reason, it becomes necessary. If it appears to the Council that a person to whom they have granted a permission under Section 115E above, has committed any breach of the terms of that permission, they may serve a notice requiring that such steps are taken to remedy the breach as are specified in the notice within such time as is so specified. If a person who is served a notice fails to comply with the notice the Council has the power to take whatever steps are necessary, themselves. Where the Council has incurred expenses in the exercise of the power, then those expenses, together with interest at a reasonable rate, may be recovered by the Council from the Licence holder. Under the terms of the Highways Act 1980, the Council cannot grant permission unless it obtains the express consent of interested frontages that may be materially affected by the proposal. (Section 115A(7) of the 1980 Act states that "frontages" means: "the owners and occupiers of any premises adjoining the part of the highway on, in or over which facilities for recreation or refreshment or both, have been, are being or would be provided.) For express consent to be required, the frontage would have to be affected by the placing of the structure etc. between his own frontage and the highway, rather than a structure adjacent to his own frontage. The Pavement Cafe must operate in accordance with the conditions of the licence. Any breach of the conditions may lead to action by the Licensing Section to revoke or refuse a licence in the future. The Council will not permit any wheeled refuse containers, beer kegs, bottle crates on or adjacent to the pavement cafe area. The barriers, table, chairs, and layout shall be as agreed by the Council and conform to the plan at all times. The premises should not place A boards or advertising signs or any other unsightly or unapproved items adjacent to the area. The Licence holder shall make no claims or charge against the Council in the event of the street furniture being lost, stolen or damaged in any way from whatever cause except where the same is attributable to negligence on the part of the Council or any of its officers. If for whatever period or reason a public liability insurance policy is not in force, the Council shall be deemed to have withdrawn this Licence for the period during which the said policy is not in force and the licence holder may be held liable for obstruction of the highway and prosecution under Section 137 of the Act. The licence holder shall not cause or undertake any alterations to the highway surface. The licence holder shall not assign, sub-let or part with his interest or possession of a licence. The Council may suspend or terminate a licence if any of the conditions of the licence are breached. The licence does not take precedence over Police powers to preserve public order. 3. Private Land This policy relates only to pavement cafes on a public highway. Cafes on private land are not covered by this policy. However, although a pavement cafe on private land may not need a licence, it may require planning permission if the structures and fittings are not of a temporary nature. Land that might be private may in fact have become part of the highway if the public have enjoyed access over it for at least twenty years or if the Council has formally adopted the land. Before proceeding, it would be wise to check with Council Planning Services to establish if planning permission is necessary. 4. Right of Access Authorised Officers of the Council and Police Officers shall have access to a pavement cafe at all reasonable times. 5. Advertising Advertising of alcoholic or smoking products or their manufacturers will not be permitted on the barriers or furniture within the Pavement Cafe area. Advertising may only relate to the premises or business and will require the approval of Hyndburn Council. 6. Designing the Pavement Cafe The size and layout of the proposed Pavement Cafe will be dependent upon the characteristics of the site outside of the premises particularly the space available taking into account the needs of other users and it is not appropriate for this Policy to set a standard size for the Pavement Café. Plans will need to be submitted with an application and shall be drawn to scale and must include: - An up-to-date location plan (1:1250 scale) showing the outline of the premises and the proposed location of the street cafe; - Site layout plan (1:100 or 1:50 scale) showing the proposed boundary, kerb and building lines, enclosure barriers, points of access, table and seating layout, location of parasols, heaters etc. The layout of furniture and means of enclosure will only be approved if adequate provision has been made for customers with disabilities. The Pavement Cafe should: - occupy an area directly in front of the Applicant's premises; - be visible from these premises; and - Not extend beyond the width of its frontage (unless in exceptional circumstances and granted by Licensing Authority). Emergency routes from adjacent buildings and the Applicant's premises should not be obstructed by the Pavement Cafe. If the emergency services object to the proposal on safety grounds, it is very likely that the Council will refuse it. 7. Minimum Unobstructed Space Criteria On a normal street, there must remain at least 1.8 metres of unobstructed space between the carriageway and the front of the pavement cafe to allow pedestrians to pass by safely. On streets with high pedestrian usage, there must remain at least 2.75 metres of unobstructed space. Each case will be judged on its merits and the unobstructed space will be set between 2.0 and 2.75 metres according to the frequency of pedestrian usage and other relevant parameters. This requirement may however be waived by the Council in certain locations but ultimately, the decision will be made on safety grounds. 8. Lighting The Applicant for a pavement cafe licence should, if intending to open beyond dusk, carefully consider the level of lighting in the proposed pavement cafe area. Whilst street lighting may be perfectly adequate for a public highway, it may need supplementing to allow the pavement café to operate safely. Any additional lighting equipment and supply must be specified in the application to enable its impact upon the highway to be considered. 9. Tables and Chairs Tables and chairs shall be of a neutral colour scheme e.g. chrome, brushed aluminium, black, brown, beige, grey or white, with natural or neutral stained timber or wicker detailing; all must be fitted with rubber feet to reduce noise when moving and damage to paved surfaces. The Council reserves the right to reject applications where inappropriate furniture is proposed. So it is advisable to discuss furniture proposals with the Planning Section before any furniture is purchased. Full details of proposed furniture will be required upon submission of the application, including metric dimensions and material and a photo or drawing. When choosing furniture regard needs to be had of the highway surface on which it will stand uneven or sloping surfaces may require more sturdy styles of furniture and tables and chairs with narrow or thin legs may cause damage to certain paving, hours of proposed furniture, accompanied with photographs or drawings. 10. Parasols/ Umbrellas If parasols are to be used, then their metric dimensions, materials and colour must be specified as part of the application and their proposed locations shown on the site layout plan. Parasols, when opened, should be safely secured and contained entirely within the boundaries of the street cafe to ensure they do not cause an obstruction or present a danger to any user of the street cafe or any other users of the highway. The design and colour of parasols will not be restricted to a particular type but they should be made of high quality materials and fabric and be of a uniform design and colour. Garden style umbrellas are not acceptable. The base of the parasol must not cause a trip hazard in the street cafe area. No canopy or umbrella shall be lower than two metres in height. The only advertising permitted on parasols is the name of the cafe/ business. Such advertising must not be too dominant and should not detract from the appearance of the building and its setting, especially in conservation areas. Parasols advertising alcohol or tobacco will not be allowed. Canopies, awnings, blinds etc. which are to be attached to the building may require advertisement consent or planning permission. Advice should be sought from Planning Services. See the contacts section at the end of this guide. 11. Space Heaters If space heaters are to be used, then their metric dimensions, materials and colour must be specified as part of the application and their proposed locations shown on the site layout. In considering an application, the Council will have regard to the inherent safety of the equipment, its location, storage of Liquid Petroleum Gas cylinders, maintenance and training arrangements. Applicants will be required to submit a formal risk assessment as required by the Management of Health and Safety at Work Regulations 1999. This should be carried out by a competent person (someone who has knowledge of the law, British Standards, and Health and Safety Executive Codes of Practice and Guidance). The Council will consider the adequacy of the risk assessment which must: - Identify the hazards e.g. fire, explosion, burns, impact from falling equipment / cylinders - Decide who may be harmed and how - Record findings - Evaluate the risks and decide whether proposed precautions will be adequate or whether more could be done. - Review assessment and revise if necessary. 12. Barriers Barriers or other means of enclosure are required in order to ease/ guide pedestrian movement, guide the visually impaired, protect users of the facility and mark the boundary of the licensed area. The agreed street cafe boundaries shown on the plan that will be attached to the licence, if successful, must be adhered to at all times. The boundaries are required to be enclosed by either barriers or planters. These must be portable. It is essential that the means of enclosure is fit for purpose and suitable for the terrain in which that the pavement cafe operates. Should the Council deem barriers unsafe, we may ask that the tables and chairs be removed until suitable barriers are provided. The means of enclosure must: - Be stable and sturdy for all weather conditions the pavement café will operate in, including windy conditions: additional weights may be necessary to ensure barriers remain stable and secure; - Not contain protruding parts; - Have a tapping rail along the bottom of the barrier that visually impaired pedestrians can use to navigate around the street café using a stick; - Only display the name of the café/ business. They must not be used to advertise products or services. No alcohol advertising or tobacco is permitted. Proposed details of means of enclosure must be provided with the application. - Hoops or post and chain type barriers and low-level objects will not be acceptable. Barriers must not be permanently fixed to the ground where this is public highway 13. Managing the Pavement cafe & Insurance The licensee will be required to indemnify the Council against all actions, demands, costs, charges or expenses arising from using the highway under the permission granted. The Council will, therefore, require the licensee to take out third party public liability insurance in the sum of at least £5,000,000. 14. Hours of Operation Hours of operation will be determined on the application merits; although the following maximum hours will apply; The Licensing hours for street furniture will only be granted between the hours of 9:30hrs to 21:00hrs. All furniture should be removed between the hours of 21:00hrs to 9:30hrs unless the premises are licensed under the Licensing Act 2003 (for sale of alcohol). In this case, barriers can remain in place until either when the premises close, or no later than 04:00hrs to create a "smoking area". No furniture other than space heaters, parasols should be present in the "smoking area" and neither alcoholic drinks nor glassware should be present in this "smoking area" after 21:00hrs. The smoking area will be required to be covered by CCTV and by SIA door staff and comply with smoking regulations. Licences are granted for a maximum of one year and are renewable annually. Licences for new sites will be subject to a three month probationary period. The Licence shall be displayed in the window of the premises to which it relates. A copy of plan must be kept on the premises at all times and be available for inspection. When the area of a street cafe has been agreed, a definitive plan of the area showing the boundaries and the dimensions will be attached to, and form part of, the Licence. 15. Granting of a licence A Pavement Cafe Licence ('the Licence') is granted by Hyndburn Borough Council ('the Council') as the licensing authority for the Hyndburn Borough. Applications should be submitted by the prospective Licensee. A pavement café licence permits the approved Licensee to operate a pavement cafe serving food and beverages within a defined area ('the Licensed Area') and to a defined list of general conditions regarding use as set out at Appendix 1 of this document. Notice of any application for a new licence shall be displayed in the window of the premises to which it relates for a period of no less than 28 days. These notices set out details of the proposals and invite representations to be made by people who may be affected. If no objections are raised, the Licence will be granted within 5 working days, if an objection is raised, the delegated Service Manager will be required to determine the application within 20 working days. A copy of the required application form is attached at Appendix 2. Appendix 1 Conditions Attached to a Pavement Licence Please note that these conditions are not an exhaustive list, and each application will be considered on its own merits and individual, specific conditions may be attached where deemed appropriate. General 1.0 The Licence will have effect for 12 months, unless surrendered or revoked earlier. 2.0 The issue of a Licence does not give, or imply any permission to supply intoxicating liquor in the street. 3.0 The Licence shall be displayed in the window of the premises to which it relates. 4.0 The use of the Licensed Area shall cease before 21.00 hours each day and shall not commence prior to 09.30 hours. 5.0 The Licensed Area shall be vacated immediately if requested by the Council, Lancashire County Council as Highway Authority, Lancashire Constabulary or other emergency service, statutory undertaker etc. without any liability for compensation, refund of application fee, or damage arising. 6.0 The Council reserve the right to request the clearing of the Licensed Area if required for special one-off events for public safety 7.0 The Licence shall be rendered invalid, should the Licensee cease to own the premises or cease employment. 8.0 The Licensee shall indemnify the Council and shall produce to the Council's Licensing Manager for inspection a policy of insurance indemnifying himself and the Council against any injury or damage to any person or property and against any claim liability expense or damage arising by reason or in consequence of the permission granted. The policy shall provide cover of not less than £5,000,000 in respect of any one accident or series of accidents arising from one incident unlimited during the period of the insurance. 9.0 Where the Council has received representation from the Lancashire Constabulary or an authorised officer of the Council, and believes that any breaches of conditions are serious enough in nature to warrant it, and could lead to public disorder, or affect public safety, revocation or suspension of the permission may take immediate effect. 10.0 Upon expiry or revocation of the permission the Licensee shall remove any structures from the highway and reinstate the highway to its former state and condition and in default thereof, the Council will be empowered to carry out such work of reinstatement and recover the expense in so doing from the Licensee. Operational 11.0 For streets with footways and carriageways, the maximum width of any licensed area shall not exceed one third of the usable width of the footpath. A minimum unobstructed footpath width of 1.8 metres must be provided for safe and convenient pedestrian movement. This distance being, measured from the edge of the licensed area to any significant amount of street furniture (such as lamp posts, bollards, parking meters etc.). Where there is a heavy pedestrian flow additional footpath space may be required. 12.0 For pedestrianised streets a minimum width of 1.8 meters or two thirds of the total width of the public highway, whichever is the greater, must remain free and unobstructed to facilitate pedestrian movement. This figure may be increased where there is a heavy pedestrian flow. The unobstructed route shall fall equally either side of the centre line of the highway to ensure the space available for tables and chairs is shared equally between premises on each side of the street. 13.0 A clear direct pathway of at least 1.2 metres wide shall be maintained to allow entry and exit from building premises. 14.0 Only the Licensed Area shall be used for trading. 15.0 Where tables and chairs are proposed directly outside a shop front, a well designed and constructed physical barrier or roped area of approximately 0.8 metres in height is required to designate the area and to guide persons with sight disability around the use. Such barriers must not be permanently fixed to the ground and must be of a style, design and type to be agreed by the Council (Head of Regeneration and Policy). 16.0 Only tables, chairs and umbrellas associated with tables shall be placed within the Licensed Area. No other furniture other than receptacles shall be placed within this area. 17.0 Tables and chairs shall be durable and suitable for outside use. No damaged furniture should be used. 18.0 The design of all chairs, tables, umbrellas, etc. shall be subject to the approval of the Council's Head of Regeneration and Policy and such street furniture together with associated outdoor and pavement areas including an area of 1 metre around the Licensed Area must be regularly cleansed and floor debris and other' waste immediately removed to the satisfaction of the Council's Head of Environmental Services. 19.0 Tables, chairs and umbrellas shall not be positioned so as to obstruct sight lines for drivers of vehicles at junctions. 20.0 No canopy or umbrella shall be lower than two metres in height and shall be adequately secured. 21.0 All street cafe furniture, including barriers shall be removed at the end of trading each day, or at the end of the approved trading hours as defined by the Licence, whichever is the earliest. 22.0 Suitable storage for street cafe furniture shall be identified by the applicant at the time of application for a licence. 23.0 There must be adequate provision made for the collection and containment of litter and, where directed, the Licensee must provide suitable litter bins. 24.0 The Licensee will ensure that the designated area is maintained in a clean and tidy condition. The Licensee shall also take appropriate precautions to prevent the immediate highway from becoming littered as a result of trading activities. 25.0 The Licensee shall at all times when the pavement cafe is in operation make available for customers toilets and hand washing facilities, to wheelchair accessible standards where it is practicable and reasonable to do so. 26.0 The Licensee will be responsible for the conduct of customers. They must not be a nuisance or annoy users of the highway or tenants of adjoining premises. 27.0 No speakers or playing of music shall be permitted. 28.0 No electrical cables shall be run along the ground in such a way that they create a trip hazard or are susceptible to mechanical damage. Alcohol licenses only 29.0 Where intoxicating liquor is permitted to be served or consumed in the licensed area polycarbonate glasses must be used at all times. 30.0 Where intoxicating liquor is permitted to be consumed in the Licensed Area this may only be served and consumed when accompanying a substantial meal. This does not include bar snacks such as crisps, nuts etc. All patrons consuming intoxicating liquor must be seated at a table within the licensed area, there will be no vertical drinking whatsoever. Guidance Planning permission must be obtained for the change of use of the highway for a pavement café and for any structural alterations to the building or its appearance. This includes the fitting of electrical signs and canopies

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San Gabriel Valley Council of Governments Audited Financial Statements (Primary Government) As of and for the Year Ended June 30, 2017 with Report of Independent Auditors Audited Financial Statements San Gabriel Valley Council of Governments (Primary Government) As of and for the Year Ended June 30, 2017 with Report of Independent Auditors | Section | Page | |------------------------------------------------------------------------|------| | REPORT OF INDEPENDENT AUDITORS | 1 | | MANAGEMENT’S DISCUSSION AND ANALYSIS | 4 | | BASIC FINANCIAL STATEMENTS | | | Statement of Net Position | 8 | | Statement of Revenues, Expenses and Changes in Net Position | 9 | | Statement of Cash Flows | 10 | | Notes to Financial Statements | 11 | | REQUIRED SUPPLEMENTARY INFORMATION | | | Schedule of Proportionate Share of the Net Pension Liability | 25 | | Schedule of Pension Contributions | 26 | | SUPPLEMENTARY INFORMATION | | | Schedule of Functional Revenues, Expenses and Changes in Net Position | 27 | | REPORT OF INDEPENDENT AUDITORS ON INTERNAL CONTROL OVER | | | FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS | | | BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN | | | ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS | 28 | Report of Independent Auditors Members of the Governing Board San Gabriel Valley Council of Governments Report on the Financial Statements We have audited the accompanying financial statements of the primary government of San Gabriel Valley Council of Governments (SGVCOG), which comprise the statement of net position as of June 30, 2017, and the related statements of revenues, expenses and changes in net position and cash flows for the year then ended, and the related notes to the financial statements, which collectively comprise SGVCOG’s basic financial statements. Management’s Responsibility on the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors’ Responsibility Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating that appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Opinion In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of the primary government of San Gabriel Valley Council of Governments as of June 30, 2017, and the changes in its financial position and cash flows for the year then ended in accordance with accounting principles generally accepted in the United States of America. Emphasis of Matter As discussed in Note 1, the financial statements referred to above include only the primary government of the San Gabriel Valley Council of Governments, which consists of all funds and departments that comprise San Gabriel Valley Council of Governments' legal entity. These primary government financial statements do not include financial data for the San Gabriel Valley Council of Governments' component unit, the Alameda Corridor - East Construction Authority, which accounting principles generally accepted in the United States of America require to be reported with the financial data of the SGVCOG's primary government. As a result, the primary government's financial statements do not purport to, and do not, present fairly the financial position of the reporting entity of the San Gabriel Valley Council of Governments as of June 30, 2017, the changes in its financial position and its cash flows for the year then ended in accordance with accounting principles generally accepted in the United States of America. Our opinion is not modified with respect to this matter. We have audited in accordance with auditing standards generally accepted in the United States of America, the financial statements of the reporting entity of San Gabriel Valley Council of Governments as of and for the year ended June 30, 2017, and our report thereon, dated January 31, 2018, expressed an unmodified opinion on those financial statements. Other Matters Required Supplementary Information Accounting principles generally accepted in the United States of America require that the management's discussion and analysis on pages 4 through 7 and the required supplementary information on pages 25 through 26 be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management's responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Supplementary Information Our audit was conducted for the purpose of forming an opinion on the financial statements that collectively comprise SGVCOG’s basic financial statements. The schedule of functional revenues, expenses, and changes in net position is presented for the purposes of additional analysis and is not a required part of the basic financial statements. The schedule of functional revenues, expenses and changes in net position on page 27 is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the statement of functional revenues, expenses and changes in net position is fairly stated, in all material respects, in relation to the basic financial statements as a whole. Other Reporting Required by Government Auditing Standards In accordance with *Government Auditing Standards*, we have also issued our report dated January 31, 2018 on our consideration of SGVCOG’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is solely to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the effectiveness of SGVCOG’s internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with *Government Auditing Standards* in considering SGVCOG’s internal control over financial reporting and compliance. Los Angeles, California January 31, 2018 Our discussion and analysis of the San Gabriel Valley Council of Governments (the "SGVCOG") financial performance presents an overview of the SGVCOG's financial activities during the fiscal year ended June 30, 2017. We encourage readers to consider information presented here in conjunction with the financial statements (beginning on page 8). The financial statements, notes and this discussion and analysis were prepared by management and are the responsibility of management. **Background** The SGVCOG was created on March 17, 1994 by a Joint Powers Agreement (JPA) among various member San Gabriel Valley Cities to promote cooperation, exchange ideas, coordinate regional government programs and to provide recommendations and solutions to common problems and to general concern of member governments. In 1998, the SGVCOG created the Alameda Corridor - East Construction Authority (ACE) to mitigate the effects of increasing Union Pacific Railroad (UPRR) train traffic in the San Gabriel Valley (Valley). There were 55 “at-grade” crossings in the Valley where vehicular and pedestrian traffic cross directly over railroad tracks and must stop while trains pass by. This creates congestion, degrades the local environment, and compromises safety. The ACE Project will separate 20 crossings at the busiest intersections – by either raising or lowering the railroad or the intersecting street – along the 35-mile freight rail corridor from East Los Angeles to Pomona. **Overview of Financial Statements** In FY 2017, operating revenues increased by 1% from the previous year. The increase was mainly attributable to higher Energywise grant revenues earned in 2017. The financial statements present the financial picture of the SGVCOG from the economic resources measurement focus using the accrual basis of accounting. These statements include all recordable position of the SGVCOG as well as all liabilities. All of the current year’s revenues and expenses are taken into account regardless of when cash is received or paid. The statement of cash flows provides information about the SGVCOG’s cash receipts, cash payments, and net changes in cash resulting from operating, capital and related investing activities during the reporting period. The statement of net position and the statement of revenues, expenses and changes in net position report the SGVCOG’s net position and related changes. Net position is the difference between the recorded assets and liabilities. The recorded activities include all revenues from dues and operating expenses related to the operation of the SGVCOG. In addition, all of the SGVCOG’s revenues and expenses related to its other programs and services are reflected in the statements. Various disclosures accompany the financial statements in order to provide a full picture of the SGVCOG’s finances. The notes to the financial statements are on pages 11-24. Financial Analysis Statements of Net Position The following table summarizes the assets, liabilities and net position of the SGVCOG as of June 30, 2017 and 2016: | | June 30 2017 | June 30 2016 | Variance Amount | Variance % | |--------------------------------|--------------|--------------|-----------------|------------| | Current assets | $866,566 | $917,083 | $(50,517) | -6% | | Deferred outflows of resources | 148,753 | 48,112 | 100,641 | 209% | | Total assets and deferred outflows of resources | 1,015,319 | 965,195 | 50,124 | 5% | | Liabilities | 149,908 | 146,522 | 3,386 | 2% | | Deferred inflows of resources | 49,731 | 23,578 | 26,153 | 111% | | Total liabilities and deferred inflows of resources | 199,639 | 170,100 | 29,539 | 17% | | Net position | | | | | | Restricted | 110,358 | 110,248 | 110 | 0% | | Unrestricted | 705,322 | 684,847 | 20,475 | 3% | | Total net position | $815,680 | $795,095 | $20,585 | 3% | Current assets decreased this year by $50,517 or 6%, and liabilities increased by $3,386 or 2%. Decrease in current assets was largely due to lower grants receivable balance in 2017 and collection of 2016 other receivables. Increase in liabilities was primarily due to the recognition of SGVCOG’s share in the net pension liability. As previously discussed, net position can serve as an indicator of financial health. The SGVCOG’s assets and deferred outflows of resources exceeded liabilities and deferred inflows of resources by $815,680 and $795,095 as of June 30, 2017 and 2016, respectively. Statements of Revenues, Expenses and Changes in Net Position The following table presents the SGVCOG's revenues, expenses and changes in net position for the years ended June 30, 2017 and 2016: | Operating revenues | Year ended June 30, 2017 | Year ended June 30, 2016 | Variance | |--------------------|-------------------------|-------------------------|----------| | | | | Amount | % | | Dues: | | | | | | General Fund | $564,716 | $566,734 | $(2,018) | 0% | | Transportation | 180,394 | 200,196 | (19,802) | -10% | | Sponsorships | 12,551 | - | 12,551 | 100% | | Grants and matches from other governments: | | | | | | Los Angeles County Metropolitan Transportation Authority | 90,844 | 89,378 | 1,466 | 2% | | Southern California Edison - Energywise | 139,384 | 173,822 | (34,438) | -20% | | Southern California Edison - California Energy Efficiency Strategic Plan Implementation | 44,291 | 115,946 | (71,655) | -62% | | Southern California Gas - Energywise | 128,342 | - | 128,342 | 100% | | Western Riverside Council of Governments - California HERO | 14,202 | 20,334 | (6,132) | -30% | | **Total operating revenues** | **1,174,724** | **1,166,410** | **8,314** | **1%** | | Operating expenses | Year ended June 30, 2017 | Year ended June 30, 2016 | Variance | |--------------------|-------------------------|-------------------------|----------| | | | | Amount | % | | Administrative | 738,108 | 570,248 | 167,860 | 29% | | Energywise | 267,726 | 173,822 | 93,904 | 54% | | Transportation | 105,832 | 120,060 | (14,228) | -12% | | California Energy Efficiency Strategic Plan Implementation | 44,291 | 115,947 | (71,656) | -62% | | **Total operating expenses** | **1,155,957** | **980,077** | **175,880** | **18%** | | Operating income | Year ended June 30, 2017 | Year ended June 30, 2016 | Variance | |------------------|-------------------------|-------------------------|----------| | | | | Amount | % | | **Operating income** | **18,767** | **186,333** | **(167,566)** | **-90%** | | Nonoperating income | Year ended June 30, 2017 | Year ended June 30, 2016 | Variance | |---------------------|-------------------------|-------------------------|----------| | | | | Amount | % | | Other income | - | 50,933 | (50,933) | 100% | | Interest income | 1,818 | 1,080 | 738 | 68% | | **Total nonoperating income** | **1,818** | **52,013** | **(50,195)** | **-97%** | | Change in net position | Year ended June 30, 2017 | Year ended June 30, 2016 | Variance | |------------------------|-------------------------|-------------------------|----------| | | | | Amount | % | | **Change in net position** | **20,585** | **238,346** | **(217,761)** | **-91%** | | Net position, beginning of year | Year ended June 30, 2017 | Year ended June 30, 2016 | Variance | |---------------------------------|-------------------------|-------------------------|----------| | | | | Amount | % | | **Net position, beginning of year** | **795,095** | **556,749** | **238,346** | **43%** | | Net position, end of year | Year ended June 30, 2017 | Year ended June 30, 2016 | Variance | |---------------------------|-------------------------|-------------------------|----------| | | | | Amount | % | | **Net position, end of year** | **$815,680** | **$795,095** | **$20,585** | **3%** | During fiscal year 2017, total operating revenues increased by 1% from the previous year. The increase was mainly attributable to higher Energywise grant revenues earned in 2017. Revenues for SGVCOG consist primarily of dues from 31 member cities, three Los Angeles County supervisorial districts, and a Joint Power Authority of the water agencies, which represents three municipal water districts, cost reimbursable grants from Southern California Edison (SCE), a local utility, grant matching funds from Los Angeles County MTA, and fees on the aggregate cost for the bonds issued to fund installation of renewable energy efficiency improvements from the Home Energy Renovation Opportunity (HERO) program. Grants and matches from other governments and Sponsorships were $429,614 in FY2017 compared to $399,480 in FY2016, an increase of $30,134 or 8%. The increase was mostly due to higher Energywise grant revenues earned in FY2017, reduced by lower California Energy Efficiency Strategic Plan Implementation - Phase 3 grant. This program was completed in September 2016. Operating expenses were $1,155,957 in FY2017 compared to $980,077 in FY 2016, an increase of $175,880 or 18%. The increase is primarily attributable to higher administrative salaries and wages, and fringe benefits, transportation technical support, administration, accounting, and finance support services provided by ACE staff, and an increase in grant writing services for new grants being pursued by the SGVCOG. Non-operating income, consisting of investment income, increased by $738 or 68% in FY2017 from FY2016, primarily due to higher yield on investments with the State’s Local Agency Investment Fund. During FY2016, SGVCOG was awarded a legal settlement of $50,933. **Next Year’s Budget** The budget for fiscal year 2018 assumes that the on-hand net position as of June 30, 2017 will be required and available to fulfill the program and administrative expense requirements. **Further Information** This report has been designed to provide a general overview to our stakeholders of the SGVCOG’s financial condition and related issues. Inquiries should be directed to Carlos Monroy, Director of Finance, 4900 Rivergrade Road, Suite A120 Irwindale, CA 91706. ## ASSETS ### Current assets - Cash and cash equivalents: $764,843 - Grants receivable: 75,782 - Other receivables: 14,109 - Prepaid expenses: 11,832 **Total current assets**: 866,566 ### Capital assets - Office equipment: 8,645 - Less accumulated depreciation: (8,645) **Capital assets, net**: - **Total assets**: 866,566 ### Deferred outflows of resources - Deferred outflows of resources related to pension: 148,753 ## LIABILITIES ### Current liabilities - Accounts payable and accrued expenses: 39,600 - Compensated absences, current portion: 17,761 **Total current liabilities**: 57,361 ### Noncurrent liabilities - Compensated absences: 6,849 - Net pension liability: 85,698 **Total noncurrent liabilities**: 92,547 **Total liabilities**: 149,908 ### Deferred inflows of resources - Deferred inflows of resources related to pension: 49,731 ## NET POSITION - Restricted for: - Water Quality Improvement: 55,562 - MS4-National Pollutant Discharge Elimination System: 54,796 - Unrestricted: 705,322 **Net position**: $815,680 --- *See notes to financial statements.* ## Statement of Revenues, Expenses and Changes in Net Position ### Year ended June 30, 2017 ### Operating revenues - **Dues:** - General Fund: $564,716 - Transportation: $180,394 - **Total Dues:** $745,110 - **Sponsorships:** $12,551 - **Grants and matches:** - Los Angeles County Metropolitan Transportation Authority: $90,844 - Southern California Edison - Energywise: $139,384 - Southern California Edison - California Energy Efficiency Strategic Plan Implementation: $44,291 - Southern California Gas - Energywise: $128,342 - Western Riverside Council of Governments - California HERO: $14,202 - **Total Grants and matches:** $436,163 - **Total operating revenues:** $1,174,724 ### Operating expenses - Administrative: $738,108 - Energywise: $267,726 - Transportation: $105,832 - California Energy Efficiency Strategic Plan Implementation: $44,291 - **Total operating expenses:** $1,155,957 ### Operating income - **Operating income:** $18,767 ### Nonoperating income - Interest income: $1,818 - **Total nonoperating income:** $1,818 ### Change in net position - **Change in net position:** $20,585 ### Net position, beginning of year - **Net position, beginning of year:** $795,095 ### Net position, end of year - **Net position, end of year:** $815,680 --- *See notes to financial statements.* ## Cash flows from operating activities | Description | Amount | |--------------------------------------------------|------------| | Cash receipts from cities | $696,751 | | Cash receipts from all other services | 536,203 | | Cash paid for operating expenses | (599,304) | | Cash paid for employee compensation and related costs | (574,914) | | **Net cash provided by operating activities** | 58,736 | ## Cash flows from investing activities | Description | Amount | |--------------------------------------------------|------------| | Cash receipts from interest | 1,600 | | **Cash provided by investing activities** | 1,600 | ## Change in cash and cash equivalents | Description | Amount | |--------------------------------------------------|------------| | **Change in cash and cash equivalents** | 60,336 | ## Cash and cash equivalents - beginning of year | Description | Amount | |--------------------------------------------------|------------| | **Cash and cash equivalents - beginning of year**| 704,507 | ## Cash and cash equivalents - end of year | Description | Amount | |--------------------------------------------------|------------| | **Cash and cash equivalents - end of year** | 764,843 | ### Reconciliation of operating income to net cash provided by operating activities: | Description | Amount | |--------------------------------------------------|------------| | Operating income | $18,767 | | Adjustment to reconcile operating income to net cash provided by operating activities: | | | Changes in operating assets and liabilities: | | | Member dues receivable | 800 | | Other receivables | 44,391 | | Grants receivable | 62,198 | | Prepaid expenses | 2,275 | | Deferred outflows of resources | (100,641) | | Accounts payable and accrued expenses | (57,763) | | Unearned revenues | (49,159) | | Compensated absences | 24,610 | | Net pension liability | 87,105 | | Deferred inflows of resources | 26,153 | | **Net cash provided by operating activities** | $58,736 | NOTE 1 SUMMARY OF SIGNIFICANT POLICIES Organization and Activities The San Gabriel Valley Council of Governments (the “SGVCOG”) was created effective March 17, 1994 by a Joint Powers Agreement (JPA) among various San Gabriel Valley Cities to promote cooperation, exchange ideas, coordinate regional government programs and to provide recommendations and solutions to common problems and to general concern of member governments. It is the immediate successor to the San Gabriel Valley Association of Cities, an unincorporated association. Its members organized the SGVCOG because they recognized a need for a more permanent and formalized structure. The SGVCOG is supported by contributions from its members and also receives grant funds to conduct regional studies on Transportation, Air Quality, Environmental Matters, as a sub-grantee of other governmental entities. The SGVCOG is a non-profit California Public Agency and it is tax exempt. The Reporting Entity These financial statements do not include funds of a component unit, the Alameda Corridor - East Construction Authority (ACE) and do not purport to, and do not, present the financial position of the reporting entity of San Gabriel Valley Council of Governments as of June 30, 2017, the changes in its financial position and cash flows for the year then ended in accordance with accounting principles generally accepted in the United States of America. Basis of Accounting The financial statements are prepared using the accrual basis of accounting. Revenues are recognized when earned, and expenses are recognized when incurred. The following are SGVCOG’s major revenue components: California Energy Efficiency Strategic Plan Implementation - Funds for the implementation of certain energy efficiency programs under the Decision 09-09-47 and 12-11-015 of the California Public Utilities Commission including the Energy Leader Partnership Program. Energywise - Funds to implement a program to reduce energy usage in the region by providing enhanced rebates for installing energy efficiency measures in municipal facilities, technical assistance, and various training and educational opportunities. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Cash and Cash Equivalents The SGVCOG considers money market funds and all equivalent liquid debt instruments purchased with a maturity of three months or less to be cash equivalents. Grants Receivable Grants receivable relate to expense reimbursement from governmental and other agencies and are expected to be fully collectible. Accordingly, an allowance for doubtful accounts is not provided. Office Equipment Office equipment is carried at historical cost. Depreciation is provided using the straight-line method over the individual assets' estimated useful life, usually five years for computers, copiers and other electronic equipment, ten years for cabinets, desks and furniture. Pension SGVCOG adopted GASB Statement No. 68, Accounting and Financial Reporting for Pensions during the fiscal year ended June 30, 2015. For purposes of measuring the net pension liability and deferred outflows/inflows of resources related to pensions, and pension expense, information about the fiduciary net position of SGVCOG's California Public Employees' Retirement System (CalPERS) plan (Plan) and additions to/deductions from the Plan's fiduciary net position have been determined on the same basis as they are reported by CalPERS. For this purpose, benefit payments (including refunds of employee contributions) are recognized when due and payable in accordance with the benefit terms. Investments are reported at fair value. Use of Estimates The presentation of financial statements in conformity with generally accepted accounting principles (GAAP) requires the use of estimates in many areas. Estimates used in these financial statements relate primarily to fixing estimated useful lives to depreciable assets. Based upon the preceding information, estimates do not have a material effect on these financial statements. NOTE 2 CASH AND CASH EQUIVALENTS Cash and cash equivalents as of June 30, 2017 consist of the following: | Description | Amount | |------------------------------------|------------| | Deposits with financial institution| $534,924 | | Short-term investments | $229,919 | | **Total cash and cash equivalents**| **$764,843** | Investments Authorized by the California Government Code and San Gabriel Valley Council of Governments’ Investment Policy The table below identifies the investment types that are authorized for SGVCOG by the California Government Code (or SGVCOG’s investment policy, where more restrictive). The table also identifies certain provisions of the California Government Code (or SGVCOG’s investment policy, where more restrictive) that address interest rate risk, credit risk, and concentration of credit risk. | Authorized Investment Type | Maximum Maturity | Maximum Percentage of Portfolio | Maximum Investment in One Issuer | |-----------------------------------------------------------------|------------------|---------------------------------|----------------------------------| | U.S. Treasury Notes | 5 years | 100% | None | | Treasury Notes of the State of California | 5 years | 25% | None | | Indebtness of Any Local Agency within CA | 5 years | 25% | None | | U.S. Government Agencies | 5 years | 50% | 15% | | Banker’s Acceptances | 180 days | 40% | 10% | | Commercial Paper | 270 days | 10% | 10% | | Negotiable Certificates of Deposit | 5 years | 30% | 10% | | Repurchase Agreements | 90 days | 20% | None | | Medium-Term Notes | 5 years | 30% | 10% | | Shares of Beneficial Interest Issued by Diversified Companies Registered with the SCE | None | 20% | 10% | | State of CA Local Agency Investment Fund (LAIF) | None | None | None | | Mortgage-backed Securities | 5 years | 15% | None | NOTE 2 CASH AND CASH EQUIVALENTS (CONTINUED) Disclosures Relating to Interest Rate Risk Interest rate risk is the risk that changes in market interest rates will adversely affect the fair value of an investment. Generally, the longer the maturity of an investment the greater the sensitivity of its fair value to changes in market interest rates. One of the ways that the SGVCOG manages its exposure to interest rate risk is by purchasing a combination of shorter-term and longer-term investments and by timing cash flows from maturities so that a portion of the portfolio is maturing or coming due over time as necessary to provide the cash flow and liquidity needed for operations. Information about the sensitivity of the fair values of SGVCOG's investments to market interest rate fluctuations is provided by the following table that shows the distribution of the SGVCOG's investments by maturity. | Investment Type | Total | 12 Months or less | |-----------------|---------|-------------------| | LAIF | $229,919| $229,919 | | Total | $229,919| $229,919 | Investment with Fair Values Highly Sensitive to Interest Rate Fluctuations The SGVCOG has no investments that are highly sensitive to interest rate fluctuations (to a greater degree than already indicated in the information provided above). Credit Risk Generally, credit risk is the risk that an issuer of an investment will not fulfill its obligation to the holder of the investment. This is measured by the assignment of a rating by a nationally recognized statistical rating organization. Presented below is the minimum rating required by (where applicable) the California Government Code, SGVCOG's investment policy, or debt agreements, and the actual rating as of year-end for each investment type. | Investment Type | Amount | Minimum Legal Rating | Rating as of Year End | |-----------------|------------|-----------------------|-----------------------| | LAIF | $229,919 | N/A | $229,919 | | Total | $229,919 | | $229,919 | Concentrations of Credit Risk The investment policy of the SGVCOG contains no limitations on the amount that can be invested in any one issuer beyond that stipulated by the California Government Code. As of June 30, 2017, the SGVCOG had no investments in any one issuer (other than U.S. external investment pools) that represent 5% or more of total SGVCOG investments. Custodial Credit Risk Custodial credit risk for deposits is the risk that, in the event of the failure of a depository financial institution, a government will not be able to recover its deposits or will not be able to recover collateral securities that are in the possession of an outside party. The custodial credit risk for investments is the risk that in the event of the failure of the counterparty (e.g., broker-dealer) to a transaction a government will not be able to recover the value of its investment or collateral securities that are in the possession of another party. The California Government Code and SGVCOG’s investment policy do not contain legal or policy requirements that would limit the exposure to custodial credit risk for deposits or investments, other than the following provision for deposits: The California Government Code requires that a financial institution secure deposits made by State or local governmental units by pledging securities in an undivided collateral pool held by a depository regulated under State law (unless so waived by the governmental unit). The market value of the pledged securities in the collateral pool must equal at least 110% of the total amount deposited by the public agencies. California law also allows financial institutions to secure local government units’ deposits by pledging first trust deed mortgage notes having a value of 150% of the secured public deposits. As of June 30, 2017, the SGVCOG’s cash in bank balance of $556,461 exceeded the $250,000 deposit insurance of the Federal Depository Insurance Corporation (FDIC) by $306,461. The SGVCOG is a voluntary participant in the Local Agency Investment Fund (LAIF) that is regulated by the California Government Code under the oversight of the Treasurer of the State of California. At June 30, 2017, the total market value of LAIF, including accrued interest was approximately $77.6 billion. The fair value of the SGVCOG’s investment in this pool is $229,675 at June 30, 2017 based upon the SGVCOG’s pro-rata share of the fair value provided by LAIF for the entire LAIF portfolio (in relation to the amortized cost of the portfolio). LAIF’s (and the SGVCOG’s) exposure to risk (credit, market or legal) is not currently available. NOTE 3 EMPLOYEE BENEFIT PLAN A. General Information about the Pension Plans Plan Description SGVCOG’s employee benefit plan was assigned to its component unit, ACE. SGVCOG does not have employees enrolled under the Classic Plan and currently represent 85% share of the PEPRA Plan. All qualified permanent and probationary employees are eligible to participate in ACE’s Miscellaneous Employee Pension Plan, a cost-sharing multiple employer defined benefit pension plan administered by the California Public Employees’ Retirement System (CalPERS). Benefit provisions under the Plan are established by State statute and ACE resolution. CalPERS issues publicly available reports that include a full description of the pension plans regarding benefit provisions, assumptions and membership information that can be found on the CalPERS website. Classic participants (defined as eligible participants prior to January 1, 2013) are required to contribute 7% of their annual covered salary. New participants (defined as eligible employees brought into CalPERS membership for the first time on or after January 1, 2013 (PEPRA) contribute at least half the normal cost rate as determined by CalPERS. SGVCOG contributes the remaining amounts necessary to fund the benefits for its employees, using the actuarial basis adopted by the CalPERS Board of Administration. Benefits Provided CalPERS provides service retirement and disability benefits, annual cost of living adjustments and death benefits to plan members, who must be public employees and beneficiaries. Benefits are based on years of credited service, equal to one year of full time employment. Members with five years of total service are eligible to retire at age 50 with statutorily reduced benefits. All members are eligible for non-duty disability benefits after 10 years of service. The death benefit is one of the following: the Basic Death Benefit, the 1957 Survivor Benefit, or the Optional Settlement 2W Death Benefit. The cost of living adjustments for each plan are applied as specified by the Public Employees’ Retirement Law. NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) Benefits Provided (Continued) The Plans’ provisions and benefits in effect at June 30, 2017 for PEPRA to which SGVCOG participates, are summarized as follows: | Miscellaneous Plan | PEPRA | |--------------------|-------| | Hire date | On or after Jan. 1, 2013 | | Benefit formula | 2% @ 62 | | Benefit vesting schedule | 5 years service | | Benefit payments | monthly for life | | Retirement age | 52 - 67 | | Monthly benefits, as a % of eligible compensation | 1.0% to 2.5% | | Required employee contribution rates | 6.25% | | Required employer contribution rates | 6.25% | Contributions Section 20814(c) of the California Public Employees’ Retirement Law requires that the employer contribution rates for all public employers be determined on an annual basis by the actuary and shall be effective on the July 1 following notice of a change in the rate. Funding contributions for both Plans are determined annually on an actuarial basis as of June 30 by CalPERS. The actuarially determined rate is the estimated amount necessary to finance the costs of benefits earned by employees during the year, with an additional amount to finance any unfunded accrued liability. SGVCOG is required to contribute the difference between the actuarially determined rate and the contribution rate of employees. For the year ended June 30, 2017, the contributions recognized as part of pension expense for the Plan were as follows: | Contributions – employer | $ 48,112 | NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) B. Pension Liabilities, Pension Expenses and Deferred Outflows/Inflows of Resources Related to Pensions As of June 30, 2017, SGVCOG reported net pension liabilities for its proportionate shares of the net pension liability of the Plan as follows: | Proportionate Share of Net Pension Liability | $85,698 | |---------------------------------------------|---------| | Miscellaneous (PEPRA) | $85,698 | SGVCOG’s net pension liability for the Plan is measured as the proportionate share of the net pension liability (asset). The net pension liability of the Plan is measured as of June 30, 2016, and the total pension liability for the Plan used to calculate the net pension liability was determined by an actuarial valuation as of June 30, 2015 rolled forward to June 30, 2016 using standard update procedures. SGVCOG’s proportion of the net pension liability was based on a projection of the SGVCOG’s long-term share of contributions to the pension plan relative to the projected contributions of all participating employers, which is actuarially determined. NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) Effective for measurement period 2015, CalPERS provides the GASB Statement No. 68 Accounting Valuation Report for the miscellaneous risk pool and allocation methodology to be used by participants in the risk pool. The schedules of employer allocation include three ratios. It includes allocation for the Total Pension Liability, Plan Fiduciary Net Position and all other pension amounts (e.g. deferred outflows/inflows of resources and pension expense). The Total Pension Liability is allocated based on the Actuarial Accrued Liability from the most recent Actuarial Valuation Report as of June 30, 2015 used for funding purposes. The Plan Fiduciary Net Position is allocated based on the sum of the Plan’s Market Value of Assets from the most recent Actuarial Valuation as of June 30, 2015 used for funding purposes plus supplemental payments made by employers during the current measurement period to reduce their unfunded actuarial accrued liabilities. All other pension amounts (deferred outflows/inflows of resources and pension expense) are allocated based on the legally or statutorily required employer contributions for the fiscal year ended June 30, 2016, including reported contribution adjustments and suspended payroll information. SGVCOG’s proportionate share for pension items as provided by CalPERS are as follows: | Item | 2017 | |-----------------------------------------------------------|------| | Total pension liability | 0.0005212 | | Plan fiduciary net position | 0.0005978 | | All other pension amounts (deferred outflows/inflows of resources and pension expense) | 0.0007990 | At June 30, 2017, SGVCOG reported deferred outflows of resources and deferred inflows of resources related to pensions from the following sources: ### NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) | Description | Miscellaneous Plan | PEPRA | |------------------------------------------------------------------------------|---------------------|----------------| | Pension contributions subsequent to measurement date | $66,429 | $- | | Differences between actual and expected experience | 1,155 | (195) | | Changes in assumption | - | (10,927) | | Differences in proportions | - | (2,602) | | Changes in employer's proportion | 4,677 | (32,271) | | Differences between the employer's contribution and the employer's proportionate share of contributions | 15,701 | (3,736) | | Net differences between projected and actual earnings on pension plan investments | 60,791 | $- | | **Total** | **$148,753** | **$(49,731)** | $66,429 reported as deferred outflows of resources related to contributions subsequent to the measurement date will be recognized as a reduction of the net pension liability in the year ending June 30, 2018. Other amounts reported as deferred outflows of resources and deferred inflows of resources related to pensions will be recognized as pension expense as follows: | Year ending June 30 | Amount | |---------------------|----------| | 2018 | $2,217 | | 2019 | 2,857 | | 2020 | 16,651 | | 2021 | 10,868 | | 2022 | - | NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) Actuarial Assumptions The total pension liabilities in the June 30, 2015 actuarial valuations were determined using the following actuarial assumptions: | Miscellaneous | |---------------| | Valuation Date | June 30, 2015 | | Measurement Date | June 30, 2016 | | Actuarial Cost Method | Entry-Age Normal Cost Method | Actuarial Assumptions: - Discount Rate: 7.50% - Inflation: 2.75% - Payroll Growth: 3.00% - Salary Increase: (1) - Investment Rate of Return: 7.5% (2) - Mortality: (3) - Post-Retirement Benefit Increase: (4) (1) Varies by entry age and service (2) Net of pension plan investment and administrative expenses, including inflation (3) Derived using CalPERS’ Membership Data for all funds (4) Contract COLA up to 2.75% until Purchasing Power Protection Allowance Floor on Purchasing Power applies, 2.75% thereafter The underlying mortality assumptions and all other actuarial assumptions used in the June 30, 2015 valuation were based on the results of a January 2015 actuarial experience study for the period 1997 to 2011. Further details of the Experience Study can be found on the CalPERS website. Discount Rate The discount rate used to measure the total pension liability was 7.65 percent. To determine whether the municipal bond rate should be used in the calculation of a discount rate for each plan, CalPERS stress tested plans that would most likely result in a discount rate that would be different from the actuarially assumed discount rate. Based on the testing, none of the tested plans run out of assets. Therefore, the current 7.65 percent discount rate is adequate and the use of the municipal bond rate calculation is not necessary. The long term expected discount rate of 7.65 percent will be applied to all plans in the Public Employees Retirement Fund (PERF). The stress test results are presented in a detailed report that can be obtained from the CalPERS website. NOTE 3 EMPLOYEE BENEFIT PLAN (CONTINUED) According to Paragraph 30 of GASB Statement No. 68, the long-term discount rate should be determined without reduction for pension plan administrative expense. The 7.50 percent investment return assumption used in this accounting valuation is net of administrative expenses. Administrative expenses are assumed to be 15 basis points. An investment return excluding administrative expenses would have been 7.65 percent. Using this lower discount rate has resulted in a slightly higher Total Pension Liability and Net Pension Liability. CalPERS checked the materiality threshold for the difference in calculation and did not find it to be a material difference. CalPERS is scheduled to review all actuarial assumptions as part of its regular Asset Liability Management (ALM) review cycle that is scheduled to be completed in February 2018. Any changes to the discount rate will require Board action and proper stakeholder outreach. For these reasons, CalPERS expects to continue using a discount rate net of administrative expenses for GASB Statement Nos. 67 and 68 calculations through at least the 2017-18 fiscal year. CalPERS will continue to check the materiality of the difference in calculation until such time as we have changed our methodology. The long-term expected rate of return on pension plan investments was determined using a building-block method in which best-estimate ranges of expected future real rates of return (expected returns, net of pension plan investment expense and inflation) are developed for each major asset class. The table below reflects the long-term expected real rate of return by asset class. The rate of return was calculated using the capital market assumptions applied to determine the discount rate and asset allocation. These rates of return are net of administrative expenses. | Asset Class | Assumed Asset Allocation | Real Return Years 1 - 10(a) | Real Return Years 11+(b) | |------------------------------|--------------------------|----------------------------|--------------------------| | Global Equity | 51.00% | 5.25% | 5.71% | | Global Debt Securities | 20.00% | 0.99% | 2.43% | | Inflation Assets | 6.00% | 0.45% | 3.36% | | Private Equity | 10.00% | 6.83% | 6.95% | | Real Estate | 10.00% | 4.50% | 5.13% | | Infrastructure and Forestland| 2.00% | 4.50% | 5.09% | | Liquidity | 1.00% | -0.55% | -1.05% | | **Total** | **100.00%** | | | (a) An expected inflation of 2.5% used for this period. (b) An expected inflation of 3.0% used for this period. Sensitivity of the Proportionate Share of the Net Pension Liability to Changes in the Discount Rate The following presents SGVCOG’s proportionate share of the net pension liability for the Plan, calculated using the discount rate for the Plan, as well as what SGVCOG’s proportionate share of the net pension liability would be if it were calculated using a discount rate that is 1-percentage point lower or 1-percentage point higher than the current rate: | Miscellaneous Plan | PEPRA | |--------------------|-------| | 1% Decrease | | | Net Pension Liability | $174,601 | | Current Discount Rate | 7.65% | | Net Pension Liability | $85,698 | | 1% Increase | | | Net Pension Liability | $12,225 | C. Pension Plan Fiduciary Net Position Detailed information about each pension plan’s fiduciary net position is available in the separately issued CalPERS financial reports. D. Payable to the Pension Plan At June 30, 2017, SGVCOG did not have outstanding amount of contributions to the pension plan required for the year ended June 30, 2017. Other Postemployment Benefits SGVCOG did not incur any other liabilities during the year 2017 related to other postemployment benefits. NOTE 4 RELATED PARTY TRANSACTIONS For the year ended June 30, 2017, SGVCOG paid ACE a total of $95,928 for transportation technical support, administrative support, and accounting support, and travel expenses. NOTE 5 CONTINGENCIES The SGVCOG is involved in claims arising from the normal course of business. After consultation with legal counsel, management estimates that these matters will be resolved without material effect on the SGVCOG’s financial position. NOTE 6 COMMITMENTS The SGVCOG has entered into an office space lease agreement covering the period from January 1, 2013 to December 31, 2017. Future minimum rental payments including tenant improvements are as follows: | Year ending June 30 | Amount | |---------------------|--------| | 2018 | $32,936| | Total | $32,936| NOTE 7 SUBSEQUENT EVENTS SGVCOG has evaluated events subsequent to June 30, 2017, to assess the need for potential recognition or disclosure in the financial statements. Such events were evaluated through January 31, 2018, the date the financial statements were available to be issued. Based upon this evaluation, it was determined that no subsequent events occurred that require recognition or additional disclosure in the financial statements. REQUIRED SUPPLEMENTARY INFORMATION ## Schedule of Proportionate Share of the Net Pension Liability ### Last Ten Years* | | 2017 Miscellaneous Plan | 2016 Miscellaneous Plan PEPRA | 2015 Miscellaneous Plan PEPRA | |----------------------|-------------------------|-------------------------------|-------------------------------| | Proportion of the net pension liability | 0.028030% | 0.000158% | 0.00001% | | Proportionate share of the net pension liability (asset) | $85,698 | $(1,407) | $538 | | Covered - employee payroll (1) | $358,859 | $164,916 | $155,191 | | Proportionate share of the net pension liability as percentage of covered-employee payroll | 23.88% | -0.85% | 0.35% | | Plan’s proportionate share of the fiduciary net position as a percentage of the plan’s total pension liability | 12.98% | 108.71% | 83.02% | | Plan’s proportionate share of aggregate employer contributions (2) | $243,174 | $15,076 | $88 | ### Notes to Schedule 1. Covered-Employee Payroll represented above is based on pensionable earnings provided by the employer. However, GASB 68 defines covered-employee payroll as the total payroll of employees that are provided pensions through the pension plan. Accordingly, if pensionable earnings are different than total earnings for covered-employees, the employer should display in the disclosure footnotes the payroll based on total earnings for the covered group and recalculate the required payroll-related ratios. 2. The plan’s proportionate share of aggregate employer contributions may not match the actual contributions made by the employer during the measurement period. The plan’s proportionate share of aggregate contributions is based on the plan’s proportion of fiduciary net position shown on line 5 of the table above as well as any additional side fund (or unfunded liability) contributions made by the employer during the measurement period. * Fiscal year 2015 was the 1st year of implementation, therefore, only three years are shown. ## San Gabriel Valley Council of Governments (Primary Government) Schedule of Pension Contributions Last Ten Years* | | 2017 Misc Plan PEPRA | 2016 Misc Plan PEPRA | 2015 Misc Plan PEPRA | |----------------------|----------------------|----------------------|----------------------| | Actuarially determined contributions | $66,429 | $8,824 | $8,214 | | Contributions in relation to the actuarially determined contributions | $(66,429) | $(8,824) | $(8,214) | | Contribution deficiency (excess) | - | - | - | | Covered-Employee Payroll | $358,859 | $164,916 | $155,191 | | Contributions as a percentage of covered-employee payroll | 18.51% | 5.35% | 5.29% | ### Notes to Schedule: **Valuation date:** June 30, 2015 **Methods and assumptions used to determine contribution rates:** - **Actuarial Cost Method** - **Amortization method / Period**: Level percent of payroll - **Remaining amortization period**: 15 years as of valuation date - **Asset valuation method**: 5 year Smoothed Market - **Inflation**: 2.75% - **Salary increases**: Varies by Entry Age and Service - **Investment rate of return**: 7.50%, net of pension plan investment expense and administrative expenses including inflation. - **Retirement age**: 55 years - **Mortality**: Derived using CalPERS Membership Data for all funds *Fiscal year 2015 was the first year of implementation, therefore, only three years are shown.* SUPPLEMENTARY INFORMATION ## Schedule of Functional Revenues, Expenses and Changes in Net Position ### Year ended June 30, 2017 | | G & A | LACMTA | SCE | SCG | Strategic Plan | CEESP | Total | |--------------------------------|---------|--------|---------|--------|----------------|-------|-------------| | **Operating revenues** | | | | | | | | | **Dues** | | | | | | | | | General fund | $564,716| $- | $- | $- | $- | $- | $564,716 | | Transportation | 165,406 | 14,988 | - | - | - | - | 180,394 | | LACMTA - Transportation | - | 90,844 | - | - | - | - | 90,844 | | General assembly ticket sales | 12,551 | - | - | - | - | - | 12,551 | | California HERO program | 14,202 | - | - | - | - | - | 14,202 | | **Energy efficient grants** | | | | | | | | | Administration | - | - | 10,854 | 8,980 | 1,641 | 217 | 21,692 | | Marketing | - | - | 31,264 | 35,851 | - | - | 67,115 | | Direct implementation | - | - | 97,266 | 83,511 | 26,803 | 15,630| 223,210 | | **Total Operating revenues** | 756,875 | 105,832| 139,384 | 128,342| 28,444 | 15,847| 1,174,724 | | **Direct expense** | | | | | | | | | Salaries & wages | | | 3,549 | 2,941 | 408 | 100 | 6,998 | | Administration | - | - | 3,549 | 2,941 | 408 | 100 | 6,998 | | Marketing | - | - | 7,713 | 11,993 | - | - | 19,706 | | Direct implementation | - | - | 34,266 | 29,298 | 9,927 | 4,492 | 77,983 | | Program management | - | - | 14,930 | 6,422 | 67 | 2,475 | 23,894 | | **Total direct expense** | - | - | 60,458 | 50,654 | 10,402 | 7,067 | 128,581 | | **Administrative expense** | | | | | | | | | Salaries & wages | 264,533 | 46,335 | 45,609 | 10,592 | 5,154 | 372,223| | Fringe benefits - allocated | 90,244 | 14,344 | 14,119 | 3,279 | 1,595 | 123,581| | Rent - Other | 45,648 | 8,435 | 8,303 | 1,929 | 938 | 65,253 | | Utilities | 3,366 | 622 | 612 | 142 | 69 | 4,811 | | Postage | 737 | 80 | 78 | 18 | 9 | 922 | | Office Supplies | 2,297 | 424 | 418 | 97 | 47 | 3,283 | | Printing/Publications | 7,171 | 1,325 | 1,304 | 303 | 148 | 10,251 | | Insurance | 3,767 | 696 | 685 | 159 | 77 | 5,384 | | Dues & Subscriptions | 1,246 | 230 | 226 | 53 | 25 | 1,780 | | Meetings/Travel | 21,453 | 3,440 | 3,386 | 786 | 382 | 29,447 | | Administrative Fees | 2,743 | 507 | 499 | 116 | 56 | 3,921 | | Office Expense | 6,191 | 1,144 | 1,126 | 261 | 128 | 8,850 | | Storage | 1,803 | 333 | 328 | 76 | 38 | 2,578 | | Equipment & Soft Acquisition | 3,844 | 710 | 699 | 162 | 80 | 5,495 | | Webpage/Software Services | 1,631 | 301 | 296 | 69 | 34 | 2,331 | | General Assembly Expense | 11,815 | - | - | - | - | 11,815 | | Grant Writing Services | 47,041 | - | - | - | - | 47,041 | | Professional services | 190,940 | 105,832| - | - | - | 296,772 | | Legal | 31,638 | - | - | - | - | 31,638 | | **Total administrative expense**| 738,108 | 105,832| 78,926 | 77,688 | 18,042 | 8,780 | 1,027,376 | | **Operating income** | 18,767 | - | - | - | - | - | 18,767 | | **Nonoperating income** | | | | | | | | | Interest income | 1,818 | - | - | - | - | - | 1,818 | | **Change in net position** | 20,585 | - | - | - | - | - | 20,585 | | **Net position, beginning of the year** | 795,095 | - | - | - | - | - | 795,095 | | **Net position, end of year** | $815,680| $- | $- | $- | $- | $- | $815,680 | Report of Independent Auditors on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards Members of the Governing Board San Gabriel Valley Council of Governments We have audited, in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in *Government Auditing Standards*, issued by the Comptroller General of the United States, the financial statements of the San Gabriel Valley Council of Governments (the SGVCOG), as of and for the year ended June 30, 2017, and the related notes to the financial statements, which collectively comprise SGVCOG’s basic financial statements, and have issued our report thereon dated January 31, 2018. **Internal Control Over Financial Reporting** In planning and performing our audit of the financial statements, we considered SGVCOG’s internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of SGVCOG’s internal control. Accordingly, we do not express an opinion on the effectiveness of SGVCOG’s internal control. A *deficiency in internal control* exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct misstatements on a timely basis. A *material weakness* is a deficiency, or a combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. A *significant deficiency* is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weakness. However, material weaknesses may exist that have not been identified. Compliance and Other Matters As part of obtaining reasonable assurance about whether SGVCOG’s financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. Los Angeles, California January 31, 2018 (This page left intentionally blank.) Vasquez & Company LLP has over 45 years of experience in performing audit, accounting & consulting services for all types of nonprofit organizations, for-profit companies, governmental entities and publicly traded companies. 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(213) 873-1700 • Fax (213) 873-1777 Alameda Corridor – East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Audited Financial Statements and Supplementary Information As of and for the Year Ended June 30, 2017 with Report of Independent Auditors Alameda Corridor – East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Audited Financial Statements and Supplementary Information As of and for the Year Ended June 30, 2017 with Report of Independent Auditors | Section | Page | |------------------------------------------------------------------------|------| | REPORT OF INDEPENDENT AUDITORS | 1 | | MANAGEMENT’S DISCUSSION AND ANALYSIS (UNAUDITED) | 4 | | BASIC FINANCIAL STATEMENTS | | | Government-wide Financial Statements: | | | Statement of Net Position | 12 | | Statement of Activities | 13 | | Fund Financial Statements: | | | Balance Sheet | 12 | | Statement of Revenues, Expenditures and Changes in Fund Balance | 13 | | Notes to Financial Statements | 14 | | REQUIRED SUPPLEMENTARY INFORMATION | | | Schedule of Proportionate Share of the Net Pension Liability | 33 | | Schedule of Pension Contributions | 34 | | Schedule of Revenues, Expenditures and Changes in Fund Balance | | | Capital Projects Fund - Budget to Actual | 35 | | REPORT OF INDEPENDENT AUDITORS ON INTERNAL CONTROL OVER | | | FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS | | | BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN | | | ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS | 36 | Report of Independent Auditors The Honorable Members of the Board of Directors Alameda Corridor – East Construction Authority Report on the Financial Statements We have audited the accompanying financial statements of Alameda Corridor - East Construction Authority (ACE), a component unit of San Gabriel Valley Council of Governments (SGVCOG), which comprise the statement of net position as of June 30, 2017, and the related statement of activities for the year then ended, and the related notes to the financial statements. Management’s Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors’ Responsibility Our responsibility is to express opinions on these financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinions. Opinions In our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Alameda Corridor – East Construction Authority as of June 30, 2017, and the changes in its financial position for the year then ended in accordance with accounting principles generally accepted in the United States of America. Other Matters Required Supplementary Information Accounting principles generally accepted in the United States of America require that the management's discussion and analysis on pages 4 – 11 and the required supplementary information on pages 33 – 35 be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Supplementary Information Our audit was conducted for the purpose of forming an opinion on the financial statements that collectively comprise ACE’s basic financial statements. The schedule of revenues, expenditures, and changes in fund balance – budget to actual is presented for the purposes of additional analysis and is not a required part of the basic financial statements. The schedule of revenues, expenditures and changes in fund balance – budget to actual is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the statement of revenues, expenditures and changes in fund balance – budget to actual is fairly stated, in all material respects, in relation to the basic financial statements as a whole. Other Reporting Required by Government Auditing Standards In accordance with Government Auditing Standards, we have also issued our report dated January 15, 2018, on our consideration of ACE’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is solely to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the effectiveness of ACE’s internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering ACE’s internal control over financial reporting and compliance. Los Angeles, California January 15, 2018 The management’s discussion and analysis (MD&A) of the financial performance and activity of the Alameda Corridor – East Construction Authority (ACE) provides an overview of ACE financial statements for the year ended June 30, 2017. This discussion was prepared by management and should be read in conjunction with the accompanying financial statements and notes, which follow this section. **Background** The San Gabriel Valley Council of Governments (SGVCOG) created ACE in 1998. ACE is a single purpose construction authority established to implement a construction program intended to mitigate the adverse impacts at rail-roadway crossings in the San Gabriel Valley of increasing rail traffic along the nationally significant Alameda Corridor East Trade Corridor. Train counts through the Valley are projected to nearly double by the year 2035 as increasing numbers of freight trains carry freight to and from the nation’s busiest container ports in San Pedro Bay. The ACE Project is a comprehensive program of constructing grade separations, where the road goes over or under the railroad, and safety and mobility upgrades at fifty-two crossings in the San Gabriel Valley. Construction has been completed on nine rail-roadway grade separations. Seven additional grade separations and a rail diversion project are under construction. Three grade separation projects are in design along with improved pedestrian and vehicle safety gate at another eight crossings. Safety improvements have been completed at 39 at-grade crossings. The cost estimate as of June 30, 2017 for the completed safety improvements and 14 grade separations either completed or going into construction is $1.662 billion. Projects under construction include the Fullerton Road, Fairway Drive, and Puente Avenue grade separations; the San Gabriel Trench; and the Temple Avenue rail diversion project. Going to construction in 2018 will be the Durfee Avenue grade separation project. Currently in design is the Montebello Corridor Project, the Turnbull Canyon Road Grade Separation Project, and the At-Grade Crossing Safety Improvements. ## Project Progress During FY 2017 | Project | 06/16 | 09/16 | 12/16 | 03/17 | 06/17 | |-------------------------------|-------|-------|-------|-------|-------| | At-Grade Crossing (212) | | | Design| | | | Durfee (208) | | | Design / ROW Acquisitions | | | | Fairway Drive (204) | | | ROW Acquisitions / Construction | | | | Fullerton (207) | | | ROW Acquisitions / Construction | | | | Montebello (209) | | | ROW Acquisitions / Construction | | | | Puente Avenue (202) | | | ROW Acquisitions / Construction | | | | Nogales - LA (250) | | | Construction | | | | S.G. Trench (201) | | | Construction | | | | Temple/Pomona (119) | | | Construction | | | | Turnbull Canyon (212) | | | Design | | | --- **Alameda Corridor-East Construction Authority** Los Angeles County, CA **Legend:** - Existing Single Track - Existing Double Track - Proposed Double Track - Grade Separation Completed - Safety Improvements in Design - Grade Separations in Design - Future Grade Separations in Design - Potential Grade Separations in Design - Street Closure/Grade Crossing Elimination - Safety and/or Traffic Signal Control Measures --- **Alameda Corridor-East Project Area** As of June 30, 2017, the following funding had been committed to the ACE project: ### ACE Funding Commitments | Federal | ($ millions) | |----------------------------------|--------------| | TEA-21 Earmark | $132.6 | | Annual Appropriations (FY 2000-10)| 21.5 | | SAFETEA-LU Earmark | 67.3 | | Rail-Highway Crossing Program | 10.0 | | ISTEA (Nogales LA) | 6.9 | | CMAQ (Nogales LA) | 6.3 | | **Total Federal** | **$244.7** | | State | ($ millions) | |----------------------------------|--------------| | Trans. Imp. Program (FY 2000-04) | 39.0 | | PUC Grade Separation Fund | 10.0 | | Trans. Cong. Relief Prog. (TCRP) | 130.3 | | Trade Corr. Impr. Fund (TCIF) | 420.5 | | Hwy. Rail Crossing Safety Act (HRCSA) | 46.6 | | **Total State** | **$646.4** | | L.A. County MTA | ($ millions) | |----------------------------------|--------------| | 17% - Match | 259.9 | | FY 2007 Call-for-projects | 28.8 | | Measure R | 400.0 | | **Total L.A. County MTA** | **$688.7** | | | ($ millions) | |------------------------------|--------------| | City/County Funds/MWD Funds | 12.1 | | Railroad Contributions | 40.6 | | City/Railroad/Betterments/Property Sales | 29.5 | | **Total ACE Project Funding** | **$1,662.0** | The committed/pledged amounts may differ slightly from authorized funding due to budgetary holdbacks on multi-year grants, and reflect management’s best estimate as to the amount that will be available. Railroad contributions reflect a regulatory ceiling of 5% of construction cost pro-rated over the construction phase of the various projects. ACE manages its projects to avoid risk wherever possible. All projects are designed to be within the scope allowed by federal, state and local guidelines. The project host city is responsible for paying for any “betterments” not needed for the basic grade separation. In addition, the California Department of Transportation (CalTRANS) must approve each phase - design, right-of-way acquisition and utility relocation, and construction - for reimbursement in advance. ACE must pay contractors and vendors first before invoicing grantors for reimbursement. Reimbursements are currently running between two to four weeks for CalTRANS (Federal and State funding) and the Los Angeles County Metropolitan Transportation Authority (“Metro”) (local funding). Working capital therefore remains a major consideration. ACE and Metro entered into an agreement to provide ACE $45M subordinate Proposition C Sales Tax Revenue Revolving Obligation Construction Fund, which replaced the Grants Anticipation Notes as the primary bridge funding. **Financial Highlights** For the year ended June 30, 2017: - Net position increased by $0.9 million, an increase of 6.7%. - Construction in progress increased by $103.5 million, an increase of 17.5%. - Total revenues decreased by $31.9 million, a decrease of 23.4%. - Total project expenses decreased by $31.0 million, a decrease of 23.1%. **Overview of Basic Financial Statements** ACE’s basic financial statements consist of three components: (1) Government-wide Financial Statements, (2) Fund Financial Statements and (3) Notes to the Basic Financial Statements. Governmental entities are required to report information on a government-wide basis and on a fund basis (with emphasis placed on major funds of the entity). The government-wide financial statements (i.e., the statement of net position and the statement of activities) report information on all of the non-fiduciary activities of the primary government and its component units. The governmental fund financial statements (i.e., the balance sheet and the statement of revenues, expenditures and changes in fund balance) report information on individual funds of the government. A fund is considered to be a separate accounting entity with a self-balancing set of accounts. Since ACE is engaged in a single governmental activity and it has no component units, the government-wide and governmental fund financial statements have been combined with a reconciliation of the individual line items in a separate column entitled “Adjustments” on the financial statements. The government-wide financial statements are reported in the “Statement of Net Position” and “Statement of Activities” columns. The governmental fund financial statements are reported in the “Capital Projects Fund” column. **Government-wide Financial Statements** The government-wide financial statements are designed to give readers a broad overview of ACE’s financial position. These include all of ACE’s assets and liabilities, deferred inflows/outflows of resources, revenues and expenses. The accounting basis is full accrual (similar to private sector companies) where ACE’s revenues and expenses are reported as the causal event occurs, instead of when the revenue was received or expense paid. The “Statement of Net Position” is the basic government-wide statement of financial position. It presents information on all of ACE’s assets, deferred outflows of resources, liabilities and deferred inflows of resources, with the difference reported as net position (or equity in the private sector). While large net position might indicate that a governmental agency has not spent all available revenues and other resources, negative net position indicates that the agency has overspent. It is management’s position to maintain sufficient net position to compensate for any disallowed costs, but to allocate any surplus to construction activities. The “Statement of Activities” presents ACE’s revenues and expenses for the year ended on June 30, 2017. The statement has four primary areas: project expenses, operating revenues, nonoperating income (expense), and change in net position. Expenses are broken out into direct (those expenses that can be identified directly to individual projects) and indirect. The financing income is the interest earned on cash balances less interest and fees paid on the corresponding debt. **Fund Financial Statements** The fund financial statements report information on Capital Projects Fund of ACE. A fund is a grouping of related accounts that is used to maintain control over resources that have been segregated for specific activities or objectives. ACE, unlike cities, county or state governments, has one activity – construction. All of ACE’s activities are classified as a Construction Fund (Capital Projects) with the exception of the amount invested in a deferred compensation plan funded solely by the employees. Differences between the two sets of financial statements are normally determined by the complexity of the reporting agency and usually revolve around different treatments for fixed assets and depreciation, debt issuance and repayment, and pension-related account balances. ACE’s focus on a single activity results in the two statements being very similar. **Notes to the Basic Financial Statements** The notes to the basic financial statements provide additional information that is essential to a full understanding of the data provided in the government-wide financial statements and the governmental funds financial statements. The notes can be found on pages 14 through 32 of this report. Condensed Statements of Net Position The following table shows the condensed statements of net position for the past two years: | | June 30, 2017 | June 30, 2016 | Variance | % | |--------------------------------|---------------------|---------------------|-------------------|-----| | Current and other assets | $100,343,185 | $93,669,646 | $6,673,539 | 7.1%| | Capital assets | 12,335 | 24,923 | (12,588) | -50.5%| | Construction in progress | 695,912,451 | 592,444,003 | 103,468,448 | 17.5%| | Less due to member cities and Union Pacific Railroad | (695,912,451) | (592,444,003) | (103,468,448) | 17.5%| | Total assets | 100,355,520 | 93,694,569 | 6,660,951 | 7.1% | | Deferred outflows of resources | 2,214,048 | 1,000,636 | 1,213,412 | 121.3%| | Liabilities | 87,223,814 | 79,965,009 | 7,258,805 | 9.1% | | Deferred inflow of resources | 515,398 | 827,531 | (312,133) | -37.7%| | Net position | $14,830,356 | $13,902,665 | $927,691 | 6.7% | All organizations are required to report construction in progress (that is, the sum of prior and current year’s construction expense) on the statement of net position as an asset. This would normally be done by treating each year’s construction as a capital expense, which would be excluded from the statement of activities. However, the grant reimbursements generated by construction would be included in the statement of activities as revenue. ACE is obligated to transfer components of completed projects to the UPRR and the cities so that they can be included in their financial statements. The resulting reduction in assets would flow through the statement of activities as a loss. The net effect would be to produce widely fluctuating net position and fund balances depending on whether ACE was constructing (surplus) or transferring assets to member cities (deficit). Therefore, ACE elected to treat construction in progress as a matching asset and liability. This shows the total cost of ACE’s projects and the resulting liability to transfer the assets upon completion while not unduly affecting the statement of activities. Total assets increased by 7.1% to $100.4 million, mainly due to increases in cash and investments, as one participating city funded future betterment work. Construction in progress increased by 17.5% to $695.9 million, primarily because of increased construction activity on San Gabriel Trench, Puente Avenue, Fairway Drive, and Fullerton Road projects. Unearned revenue increased by 38.6% to $22.3 million, mainly because of betterment funds received in advance for the Fullerton Road project. Due to delay in funding from previously approved federal grant, unbilled receivables increased 29.7% to $31.5 million. Condensed Statements of Activities The following table shows the condensed statements of activities for the years ended June 30, 2017 and 2016. Total net position increased by $0.9 million or 6.7% for the year ended June 30, 2017. The increase was due to an adjustment to construction expenses that were incurred in the prior year. | Years ended June 30 | Variance | |---------------------|----------------| | | 2017 | 2016 | Amount | % | | Project Expenses | | | | | | Direct (Construction)| $99,658,490 | $132,103,266 | $(32,444,776) | -24.6% | | Indirect expenses charged to operations | 3,465,867 | 2,025,888 | 1,439,979 | 71.1% | | Total project expenses | 103,124,357 | 134,129,154 | (31,004,797) | -23.1% | | Operating revenues | | | | | | Grant reimbursements| 104,116,255 | 133,732,844 | (29,616,589) | -22.1% | | Other operating revenues | 467,489 | 2,763,634 | (2,296,145) | -83.1% | | Total revenues | 104,583,744 | 136,496,478 | (31,912,734) | -23.4% | | Income/(loss) from operations | 1,459,387 | 2,367,324 | (907,937) | -38.4% | | Nonoperating income (expense) | | | | | | Financing income | 597,423 | 499,752 | 97,671 | 19.5% | | Financing expense | (1,129,119) | (394,603) | (734,516) | 186.1% | | Net financing income (loss) | (531,696) | 105,149 | (636,845) | -605.7% | | Change in net position | 927,691 | 2,472,473 | (1,544,782) | -62.5% | | Net position at beginning of year | 13,902,665 | 11,430,192 | 2,472,473 | 21.6% | | Net position at end of year | $14,830,356 | $13,902,665 | $927,691 | 6.7% | Capital Assets ACE had $12,335 invested in capital assets, net of depreciation, as of June 30, 2017. Economic Factors and New Year’s Budget Budget expenditures in fiscal year 2018 increased 10.9% over 2017, as increases in construction were offset by reductions in right-of-way acquisitions. Based on 2018 first quarter expenditures, it is anticipated the 2018 budget will be within 5% of budgeted expenditures. Requests for Information: These financial statements are designed to provide citizens, taxpayers, customers, and creditors with a general overview of ACE’s finances and to demonstrate accountability for the money it receives. If there are any questions about this report or a need for additional information, please contact ACE, 4900 Rivergrade Road, Suite A120, Irwindale, CA 91706, or call (626) 962-9292. ## Alameda Corridor - East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Governmental Fund Balance Sheet/ Statement of Net Position June 30, 2017 | ASSETS | Capital Projects Fund | Adjustments | Government Activities Statement of Net Position | |--------|-----------------------|-------------|-----------------------------------------------| | **Current assets** | | | | | Cash and investments | $47,737,803 | - | $47,737,803 | | Grants receivable | 14,383,963 | - | 14,383,963 | | Unbilled receivable | 31,530,596 | - | 31,530,596 | | Notes receivable | 150,000 | - | 150,000 | | Interest receivable | 3,670 | - | 3,670 | | Retention receivable | 873,136 | - | 873,136 | | Prepaid expenses | 387,056 | - | 387,056 | | Property held for sale | 4,260,128 | - | 4,260,128 | | Under-recovery of indirect cost | 1,016,833 | - | 1,016,833 | | **Total current assets** | 100,343,185 | - | 100,343,185 | | **Noncurrent assets** | | | | | Capital assets - Leasehold improvement and equipment | - | 12,335 | 12,335 | | Construction in progress | - | 695,912,451 | 695,912,451 | | Less due to member cities and Union Pacific Railroad | - | (695,912,451) | (695,912,451) | | **Total noncurrent assets** | - | 12,335 | 12,335 | | **Total assets** | 100,343,185 | 12,335 | 100,355,520 | ### DEFERRED OUTFLOWS OF RESOURCES | Deferred outflows of resources related to pensions | - | 2,214,048 | 2,214,048 | | **Total deferred outflows of resources** | - | 2,214,048 | 2,214,048 | **Total assets and deferred outflows of resources** $100,343,185 ## LIABILITIES | Current liabilities | Capital Projects Fund | Adjustments | Government Activities Statement of Net Position | |---------------------|-----------------------|-------------|-----------------------------------------------| | Accounts payable and accrued expense | $17,732,271 | - | 17,732,271 | | Accrued retention payable | 1,131,110 | - | 1,131,110 | | Unearned revenue | 22,254,454 | - | 22,254,454 | | Compensated absences | 217,831 | - | 217,831 | | MTA promissory note loan | 45,000,000 | - | 45,000,000 | | Net pension liability | - | 888,148 | 87,223,814 | | **Total current liabilities** | 86,335,666 | 888,148 | 87,223,814 | ### DEFERRED INFLOWS OF RESOURCES | Deferred inflows of resources related to pensions | - | 515,398 | 515,398 | | **Total deferred inflows of resources** | - | 515,398 | 515,398 | ## FUND BALANCES/NET POSITION ### Fund balance | Nonspendable for: | Capital Projects Fund | Adjustments | Government Activities Statement of Net Position | |--------------------|-----------------------|-------------|-----------------------------------------------| | Propaid expenses | 387,056 | | | | Committed: | CalPERS unfunded termination liability | 6,347,036 | | | Assigned: | Capital project fund | 7,273,427 | | | **Total fund balance** | 14,007,519 | | | **Total liabilities, deferred inflows of resources and fund balance** $100,343,185 ### Net position | Net investment in capital assets | 12,335 | 12,335 | |---------------------------------|---------|--------| | Unrestricted | 810,502 | 14,818,021 | | **Total net position** | $822,837 | $14,830,356 | See notes to financial statements. ## Statement of Governmental Fund Revenues, Expenditures and Changes in Fund Balance/Statement of Activities ### Year Ended June 30, 2017 | Description | Capital Projects Fund | Adjustments | Statement of Activities | |--------------------------------------------------|-----------------------|-------------|-------------------------| | **Project Expenses** | | | | | Direct (Construction) | $101,105,289 | $(1,446,799)| $99,658,490 | | Indirect expenses charged to operations | 3,478,455 | (12,588) | 3,465,867 | | **Total project expenses** | 104,583,744 | (1,459,387) | 103,124,357 | | **Operating revenues** | | | | | Grant reimbursements | 104,116,255 | - | 104,116,255 | | Other operating revenues | 467,489 | - | 467,489 | | **Total revenues** | 104,583,744 | - | 104,583,744 | | **Income from operations** | - | 1,459,387 | 1,459,387 | | **Nonoperating income (expense)** | | | | | Financing income | 597,423 | - | 597,423 | | Financing expense | (1,129,119) | - | (1,129,119) | | **Net nonoperating income (expense)** | (531,696) | - | (531,696) | | **Excess of revenues over expenditures/Change in net position** | (531,696) | 1,459,387 | 927,691 | | **Fund balance/Net Position at beginning of year** | 14,539,215 | (636,550) | 13,902,665 | | **Fund balance/Net Position at end of year** | $14,007,519 | $822,837 | $14,830,356 | See notes to financial statements. NOTE 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES The Reporting Entity The Alameda Corridor - East Construction Authority (ACE) is a component unit of the San Gabriel Valley Council of Governments (SGVCOG). SGVCOG created ACE in 1998. ACE is a single purpose construction authority established to implement a construction program intended to mitigate the adverse impacts at rail-roadway crossings in the San Gabriel Valley of increasing rail traffic along the nationally significant Alameda Corridor East Trade Corridor. The ACE Project is a comprehensive program of constructing grade separations, where the road goes over or under the railroad, and safety and mobility upgrades at fifty-two crossings in the San Gabriel Valley. Basis of Accounting Government-wide financial statements are reported using the full accrual basis of accounting. The statement of activities presents changes in net position (This is equivalent to a statement of income and statement of changes in equity in for-profit entities). Revenues are recorded when earned and expenses are recognized at the time of the causal event. The governmental funds financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. Revenues are recognized as soon as they are both measurable and available. Expenditures are generally recorded when a liability is incurred. ACE recognizes grant revenues to the extent reimbursable obligations are earned on or before June 30, 2017, and are therefore the same under both modified accrual and full accrual basis. Description of Funds ACE uses funds and account groups to report on its financial position and results of its operations. Fund accounting is designed to demonstrate legal compliance and to aid financial management by segregating transactions related to certain government functions or activities. Governmental Fund The Capital Projects Fund accounts for the activity of obtaining support from governmental groups, determining funding and specifications for structures needed and to fund the contracts for the grade crossing improvements. NOTE 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) Fund Balance Reporting Governmental Accounting Standards Board (GASB) Statement No. 54, *Fund Balance Reporting and Governmental Fund Type Definitions*, establishes the following fund balance classifications that comprise a hierarchy based primarily on the extent to which a government is bound to observe constraints imposed upon the use of the resources reported in governmental funds: *Nonspendable fund balance* includes amounts that cannot be spent because they are either (a) not in spendable form or (b) legally or contractually required to be maintained intact. Examples are inventories, prepaid expenses, long-term receivables, or non-financial assets held for resale unless the proceeds are restricted, committed or assigned. *Restricted fund balance* includes resources that are subject to externally enforceable legal restrictions. It includes amounts that can be spent only for the specific purposes stipulated by constitution, external resource providers, or through enabling legislation. *Committed fund balance* includes amounts that can be used only for the specific purposes determined by a formal action of the Board of Directors ("Board"), ACE's highest level of decision-making authority. The Board may commit fund balance for specific purposes pursuant to constraints imposed by formal actions taken. Committed amounts cannot be used for any other purpose unless the Board removes or changes the specific use through the same type of formal action taken to establish the commitment. The ACE Board of Directors committed $6,347,036 of its fund balance for CalPERS unfunded termination liability as of June 30, 2017. *Assigned fund balance* consists of funds that are set aside for specific purposes by ACE’s Board or a body or official that has been given the authority to assign funds. Assigned funds cannot cause a deficit in unassigned fund balance. *Unassigned fund balance* is the residual classification for all spendable amounts not contained in the other classifications. This category also provides the resources necessary to meet unexpected expenditures and revenue shortfalls. The Board delegates the authority to assign fund balance to the Chief Executive Officer for purposes of reporting in the annual financial statements. ACE considers the restricted fund balances to have been spent when expenditure is incurred for purposes for which both unrestricted and restricted fund balance is available. ACE considers unrestricted fund balances to have been spent when expenditure is incurred for purposes for which amounts in any of the unrestricted classifications of fund balance could be used. When expenditures are incurred for purposes for which amounts in any of the unrestricted fund balance classifications could be used, it is the policy of ACE to reduce the committed amounts first, followed by assigned amounts, and then unassigned amounts. **Budgetary Reporting** It is ACE's policy not to start any phase of a project (i.e., design, right-of-way acquisition, or construction), unless there are sufficient funds to complete that phase. All project related expenses are reimbursable from existing grants and, as such, revenues are not budgeted separately, but derived from budgeted expenditures. **Cash Equivalents** Cash equivalents are those short-term investments readily converted into cash. Deposits with the State of California’s Local Agency Investment Fund (LAIF) Operating Fund and the bond portfolio managed by Citizens’ Business Bank are considered cash equivalents. **Grant Revenues and Expenditures** All grant agreements are between the SGVCOG and the granting authorities. ACE has been given authority to obtain and administer funding in the name of SGVCOG. The Los Angeles County Metropolitan Transportation Authority (METRO) grant was in existence when ACE was created and all subsequent grants are therefore administered by ACE. Historically, all grants with the exception of the Union Pacific Railroad (UPRR) contributions are, and are anticipated to be in the future, cost reimbursable. That is, ACE must first incur the expenditure and then bill for reimbursement from the grantors. **Capital assets - Leasehold Improvements and Equipment** Equipment and other improvements that can be capitalized in the government-wide financial statements are recorded as expenditures in the Capital Projects Fund. The threshold for capitalization is $5,000 in accordance with federal guidelines. On the government-wide financial statements, such items that meet the capitalization threshold are recorded as capital assets and are depreciated based upon their estimated useful lives on a straight-line basis. Useful lives of capital assets are as follows: | Asset | Useful Life | |------------------------------|-------------| | Leasehold improvements | 10 years | | Office furniture | 10 years | | Computer and telephone equipment | 5 years | NOTE 1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) Leasehold Improvements and Equipment (Continued) Under GASB Statement No. 34, construction in progress is prepared on the statement of net position as an asset. Therefore, construction costs would normally be capitalized and excluded from the statement of activities. However, the grant reimbursements generated by construction would be included in the statement of activities as program revenue. ACE is obligated to transfer components of completed projects to the UPRR and the member cities so that they can be included in their financial statements. The resulting reduction in assets would flow through the statement of activities as a loss. The net effect would be to produce widely fluctuating net position and fund balances depending on whether ACE was constructing (surplus) or transferring assets to member cities (deficit). Therefore, ACE elected to treat construction in progress as a matching asset and liability. This shows the total cost of ACE’s projects and the resulting liability to transfer the assets upon completion while not unduly impacting the statement of activities. Use of Estimates The process of presenting financial information requires the use of estimates and assumptions regarding certain assets and liabilities and their related income and expense items. Grant revenues and construction costs are especially vulnerable to such assumptions and accordingly actual results may differ from estimated amounts. Property Held for Sale The property held for sale is recorded at the lower of acquisition cost or estimated net realizable value. At June 30, 2017, property held for resale was $4,260,128. Pensions For purposes of measuring the net pension liability and deferred outflows/inflows of resources related to pensions, and pension expense, information about the fiduciary net position of the Agency’s California Public Employees’ Retirement System (CalPERS) plans and additions to/deductions from the Plans’ fiduciary net position have been determined on the same basis as they are reported by CalPERS. For this purpose, benefit payments (including refunds of employee contributions) are recognized when due and payable in accordance with the benefit terms. Investments are reported at fair value. NOTE 2 CAPITAL ASSETS Capital assets are recorded at cost and consist of the following: | Cost: | Balance June 30, 2016 | Additions | Deletions | Balance June 30, 2017 | |-------|----------------------|-----------|-----------|----------------------| | Leasehold Improvements | $19,762 | - | - | $19,762 | | Computer Equipment: | | | | | | Hardware | $214,141 | - | - | $214,141 | | Software | $114,483 | - | - | $114,483 | | Website | $3,393 | - | - | $3,393 | | Telephone Equipment | $12,086 | - | - | $12,086 | | Office Furniture | $31,972 | - | - | $31,972 | | Total cost | $395,837 | - | - | $395,837 | Less accumulated depreciation for: | Leasehold Improvements | $19,762 | - | - | $19,762 | | Computer Equipment: | | | | | | Hardware | $191,416 | $10,830 | - | $202,246 | | Software | $112,285 | $1,758 | - | $114,043 | | Website | $3,393 | - | - | $3,393 | | Telephone Equipment | $12,086 | - | - | $12,086 | | Office Furniture | $31,972 | - | - | $31,972 | | Total accumulated depreciation | $370,914 | $12,588 | - | $383,502 | Capital assets, net $24,923 $ (12,588) $ - $12,335 Depreciation expense included in indirect expenses for the year ended June 30, 2017 amounted to $12,588. NOTE 3 CASH AND INVESTMENTS Cash and investments at June 30, 2017 consist of the following: | Description | Amount | |-------------|--------| | Cash in bank | $2,713,338 | | Pooled funds | $1,593,497 | | Money market funds | $12,696,181 | | Investments | $30,734,787 | | **Total cash and investments** | **$47,737,803** | Investments Authorized by the California Government Code and ACE's Investment Policy The table below identifies the investment types that are authorized for ACE by the California Government Code ("Code") or ACE's investment policy ("Policy"), which is more restrictive. The table also identifies certain provisions of the Code (or the Policy) that address interest rate risk, credit risk, and concentration of credit risk. This table does not address investments of debt proceeds held by bond trustee that are governed by the provisions of debt agreements, rather than the general provisions of the Code or the Policy. | Authorized Investment Type | Maximum Maturity | Maximum Percentage of Portfolio | Maximum Investment in One Issuer | |---------------------------------------------------------------|------------------|---------------------------------|---------------------------------| | U.S. Treasury Notes | 5 years | 100% | None | | Treasury Notes of the State of California | 5 years | 25% | None | | Indebtness of Any Local Agency within CA | 5 years | 25% | None | | U.S. Government Agencies | 5 years | 50% | 15% | | Banker's Acceptances | 180 days | 40% | 10% | | Commercial Paper | 270 days | 10% | 10% | | Negotiable Certificates of Deposit | 5 years | 30% | 10% | | Repurchase Agreements | 90 days | 20% | None | | Medium-Term Notes | 5 years | 30% | 10% | | Shares of Beneficial Interest Issued by Diversified Companies Registered with the SEC | None | 20% | 10% | | State of CA Local Agency Investment Fund (LAIF) | None | None | None | | Mortgage-backed Securities | 5 years | 15% | None | NOTE 3 CASH AND INVESTMENTS (CONTINUED) Investments Authorized by Debt Agreements Investment of debt proceeds held by bond trustees is governed by provisions of the debt agreements, rather than the general provisions of the Code or the Policy. The table below identifies the investment types that are authorized for investments held by bond trustee. The table also identifies certain provisions of these debt agreements that address interest rate risk, credit risk, and concentration of credit risk. | Authorized Investment Type | Maximum Maturity | Maximum Percentage Allowed in | Maximum Investment One Issuer | |---------------------------------------------|------------------|-------------------------------|------------------------------| | U.S Government Agencies | 5 years | 42% | 15% | | Medium-term Notes (Corporate Bonds) | 5 years | 28% | 10% | | Mortgage-backed Securities | 5 years | 7% | None | | Certificate of Deposits | 5 years | 13% | 10% | | Money Market Funds | None | 2% | None | | State’s Local Agency Investment Fund (LAIF)| None | 5% | None | | Municipals | None | 2% | None | Disclosures Relating to Interest Rate Risk Interest rate risk is the risk that changes in market interest rates will adversely affect the fair value of an investment. Generally, the longer the maturity of an investment, the greater the sensitivity of its fair value to changes in market interest rates. One of the ways that ACE manages its exposure to interest rate risk is by purchasing a combination of short-term and long-term investments and by timing cash flows from maturities so that a portion of the portfolio is maturing or coming close to maturity over time as necessary to provide the cash flow and liquidity needed for operations. Information about the sensitivity of the fair values of ACE's investments (including investments held by bond trustees) to market interest rate fluctuations is provided by the following table that shows the distribution of ACE's investments by maturity: | Investment Type | Total | Remaining Maturity (in Months) | | | | | |---------------------------------|-------------|-------------------------------|----------|----------|----------|----------| | | | 12 Months Or Less | 13 to 24 Months | 25-60 Months | More Than 60 Months | | LAIF | $1,593,497 | $1,517,010 | $46,211 | $30,276 | - | | Money Market Funds | $12,696,181 | $12,696,181 | - | - | - | | Fidelity Government Portfolio | $744,080 | $744,080 | - | - | - | | Government Agencies | $13,630,070 | - | - | $13,630,070 | - | | Certificates of Deposit | $4,337,044 | - | - | $4,337,044 | - | | Corporate Bonds | $9,273,853 | - | - | $9,273,853 | - | | Government Mortgages | $2,026,852 | - | - | $2,026,852 | - | | Municipals | $722,888 | - | - | $722,888 | - | | Total | $45,024,465 | $14,957,271 | $46,211 | $30,020,983 | - | Investments with Fair Values Highly Sensitive to Interest Rate Fluctuations ACE has no investments (including investments held by bond trustees) that are highly sensitive to interest rate fluctuations (to a greater degree than already indicated in the information provided above). Disclosures Relating to Credit Risk Generally, credit risk is the risk that an issuer of an investment will not fulfill its obligation to the holder of the investment. This is measured by the assignment of a rating by a nationally recognized statistical rating organization. Presented below is the minimum rating required by (where applicable) the Code, the Policy, or debt agreements, and the actual rating at the end of the year for each investment type. | Investment Type | Total | Minimum Legal Rating | Rating As of June 30, 2017 | |-------------------------------|-----------|----------------------|---------------------------| | | | AAA | AA | A | Not Rated | | LAIF | $1,593,497| N/A | - | - | $1,593,497| | Money Market Funds | $12,696,181| A | - | - | - | | Fidelity Government Portfolio | $744,080 | N/A | - | - | $744,080 | | Government Agencies | $13,630,070| A | - | - | - | | Certificates of Deposit | $4,337,044| N/A | - | - | $4,337,044 | | Corporate Bonds | $9,273,853| A | - | - | - | | Government Mortgages | $2,026,852| A | - | - | - | | Municipals | $722,888 | A | - | - | $464,578 | | **Total** | **$45,024,465** | **$12,954,491** | **$15,656,922** | **$9,738,431** | **$6,674,621** | Concentration of Credit Risk ACE’s investment policy contains no limitations on the amount that can be invested in any one issuer beyond that stipulated by the Code. As of June 30, 2017, ACE had no investments in any one issuer (other than U.S. Treasury securities, mutual funds, and external investment pools) that represent 5% or more of ACE’s total investments other than funds held by the trustees. Custodial Credit Risk Custodial credit risk for deposits is the risk that, in the event of the failure of a depository financial institution, a government will not be able to recover its deposits or will not be able to recover collateral securities that are in the possession of an outside party. The custodial credit risk for investments is the risk that, in the event of the failure of the counterparty (e.g., broker-dealer) to a transaction, a government will not be able to recover the value of its investment or collateral securities that are in the possession of another party. NOTE 3 CASH AND INVESTMENTS (CONTINUED) Custodial Credit Risk (Continued) The Code and the Policy do not contain legal or policy requirements that would limit the exposure to custodial credit risk for deposits or investments, other than the following provision for deposits: The Code requires that a financial institution secure deposits made by state or local governmental units by pledging securities in an undivided collateral pool held by a depository regulated under state law (unless so waived by the governmental unit). The market value of the pledged securities in the collateral pool must equal at least 110% of the total amount deposited by the public agencies. California law also allows financial institutions to secure public agency deposits by pledging first trust deed mortgage notes having a value of 150% of the secured public deposits. As of June 30, 2017, ACE’s deposit of $15,447,370 with financial institutions is in excess of federal depository insurance limits but are held in collateralized accounts. As of June 30, 2017, the following investment types were held by the same broker-dealer (counterparty) that was used by ACE to buy the securities: | Investment Type | Reported Amount | |-----------------------|-----------------| | Money Market Funds | $12,696,181 | Investments in State Investment Pool ACE is a voluntary participant in the Local Agency Investment Fund (LAIF) that is regulated by the Code under the oversight of the Treasurer of the State of California. At June 30, 2017, the total fair value of LAIF, including accrued interest was approximately $77.617 billion. The fair value of ACE's investment in this pool is $1,593,497 at June 30, 2017 based upon ACE's pro-rata share of the fair value provided by LAIF for the entire LAIF portfolio (in relation to the amortized cost of the portfolio). LAIF’s (and ACE’s) exposure to risk (credit, market or legal) is not currently available. NOTE 4 METRO PROMISSORY NOTE PAYABLE In June 2013, ACE entered into a promissory note to borrow up to $45,000,000, in variable rate, from the Metro to be used as working capital. The note payable balance outstanding at June 30, 2017 amounted to $45,000,000. Interest rates vary according to market conditions and have ranged from 1.26% to 1.60%. Proceeds from the note payable have been used to pay for construction activities. NOTE 4 METRO PROMISSORY NOTE PAYABLE (CONTINUED) The principal amount of the loan is to be used as working capital pursuant to the terms of the *Alameda Corridor East Phase II Grade Separations Master Funding Agreement* ("Master Agreement"), dated June 14, 2013. Except as otherwise provided in the Master Agreement and the promissory note, including, but not limited to, Metro's right to set off against the Measure R and/or Proposition C funds reimbursement due borrower, the entire unpaid balance of the working capital loan, all accrued and outstanding CP costs and any fees are unsecured and due on September 9, 2023, ten years after the first drawdown date. Because this is a revolving construction fund provided by Metro to facilitate the payment to the project contractors of ACE, this loan is not considered as a long-term debt. NOTE 5 GRANTS RECEIVABLE PROJECTS During the year ended June 30, 2017, ACE was the recipient, primarily from the U.S. Department of Transportation through California Department of Transportation (CalTRANS), of cost reimbursement type grants. Local matching share funds are also received from Metro. These grants are expenditure driven; funds must be expended before reimbursement is received. Certain amounts have been held back by the grantor agency pending completion of certain phases of contracted work and certain costs incurred may be subject to disallowance. Grants receivable and unbilled grants receivable at June 30, 2017 are shown net of disallowed costs. CalTRANS approved, under Uniform Guidance section 2 CFR 200.516, an indirect overhead allocation formula of 157.2% of total direct salaries and fringe benefit costs. Indirect costs incurred charged to grants for the year ended June 30, 2017 were $3,108,165. NOTE 6 EMPLOYEE BENEFIT PLANS A. General Information about the Pension Plans *Plan Description* All qualified permanent and probationary employees of ACE (as a component unit of SGVCOG), are eligible to participate in SGVCOG’s Miscellaneous Employee Pension Plans, cost-sharing multiple employer defined benefit pension plans administered by the California Public Employees’ Retirement System (CalPERS). Benefit provisions under the Plans are established by State statute and ACE resolution. CalPERS issues publicly available reports that include a full description of the pension plans regarding benefit provisions, assumptions and membership information that can be found on the CalPERS website. NOTE 6 EMPLOYEE BENEFIT PLAN (CONTINUED) Classic participants (defined as eligible participants prior to January 1, 2013) are required to contribute 7% of their annual covered salary. New participants (defined as eligible employees brought into CalPERS membership for the first time on or after January 1, 2013 PEPRA) contribute at least half the normal cost rate as determined by CalPERS. ACE contributes the remaining amounts necessary to fund the benefits for its employees, using the actuarial basis adopted by the CalPERS Board of Administration. **Benefits Provided** CalPERS provides service retirement and disability benefits, annual cost of living adjustments and death benefits to plan members, who must be public employees and beneficiaries. Benefits are based on years of credited service, equal to one year of full time employment. Members with five years of total service are eligible to retire at age 50 with statutorily reduced benefits. All members are eligible for non-duty disability benefits after 10 years of service. The death benefit is one of the following: the Basic Death Benefit, the 1957 Survivor Benefit, or the Optional Settlement 2W Death Benefit. The cost of living adjustments for each plan are applied as specified by the Public Employees’ Retirement Law. The Plans’ provisions and benefits in effect at June 30, 2017, are summarized as follows: | | Classic Prior to Jan. 1, 2013 | PEPPRA On or after Jan. 1, 2013 | |--------------------------------|-------------------------------|---------------------------------| | **Hire date** | | | | **Benefit formula** | 2% @ 55 | 2% @ 62 | | **Benefit vesting schedule** | 5 years service | 5 years service | | **Benefit payments** | monthly for life | monthly for life | | **Retirement age** | 50 - 55 | 52 - 67 | | **Monthly benefits, as a % of eligible compensation** | 2.0% to 2.7% | 1.0% to 2.5% | | **Required employee contribution rates** | 7.00% | 6.25% | | **Required employer contribution rates** | 8.38% | 6.55% | NOTE 6 EMPLOYEE BENEFIT PLAN (CONTINUED) Contributions Section 20814(c) of the California Public Employees’ Retirement Law requires that the employer contribution rates for all public employers be determined on an annual basis by the actuary and shall be effective on the July 1 following notice of a change in the rate. Funding contributions for both Plans are determined annually on an actuarial basis as of June 30 by CalPERS. The actuarially determined rate is the estimated amount necessary to finance the costs of benefits earned by employees during the year, with an additional amount to finance any unfunded accrued liability. ACE is required to contribute the difference between the actuarially determined rate and the contribution rate of employees. For the year ended June 30, 2017, the contributions made by ACE recognized as part of pension expense for the Plan were as follows: | Miscellaneous Plan | Contributions - employer | $421,250 | B. Pension Liabilities, Pension Expenses and Deferred Outflows/Inflows of Resources Related to Pensions As a component unit of SGVCOG, ACE was allocated pension liability, pension expense and deferred inflows and outflows of resources based on ACE’s share of the pension contribution during the fiscal year 2017. As of June 30, 2017, ACE reported net pension liabilities for its proportionate shares of the net pension liability of the Plan as follows: | Miscellaneous Plan | Net Pension Liability | $888,148 | ACE’s net pension liability for the Plan is measured as the proportionate share of the net pension liability. The net pension liability of the Plan is measured as of June 30, 2016, and the total pension liability for the Plan used to calculate the net pension liability was determined by an actuarial valuation as of June 30, 2015 rolled forward to June 30, 2016 using standard update procedures. ACE’s proportion of the net pension liability was based on a projection of the ACE’s long-term share of contributions to the pension plans relative to the projected contributions of all participating employers, which is actuarially determined. NOTE 6 EMPLOYEE BENEFIT PLAN (CONTINUED) Effective for measurement period 2015, CalPERS provides the GASB Statement No. 68 Accounting Valuation Report for the miscellaneous risk pool and allocation methodology to be used by participants in the risk pool. The schedules of employer allocation include three ratios. It includes allocation for the Total Pension Liability, Plan Fiduciary Net Position and all other pension amounts (e.g. deferred outflows/inflows of resources and pension expense). The Total Pension Liability is allocated based on the Actuarial Accrued Liability from the most recent Actuarial Valuation Report as of June 30, 2015 used for funding purposes. The Plan Fiduciary Net Position is allocated based on the sum of the Plan’s Market Value of Assets from the most recent Actuarial Valuation as of June 30, 2015 used for funding purposes plus supplemental payments made by employers during the current measurement period to reduce their unfunded actuarial accrued liabilities. All other pension amounts (deferred outflows/inflows of resources and pension expense) are allocated based on the legally or statutorily required employer contributions for the fiscal year ended June 30, 2016, including reported contribution adjustments and suspended payroll information. SGVCOG’s proportionate share for pension items as provided by CalPERS are as follows: | | 2017 | |--------------------------------|----------| | Total pension liability | 0.0005212| | Plan fiduciary net position | 0.0005978| | All other pension amounts (deferred outflows/inflows of resources and pension expense) | 0.0007990| At June 30, 2017, ACE reported deferred outflows of resources and deferred inflows of resources related to pensions from the following sources: ### 2017 Miscellaneous Plan | Classic | Deferred Outflows of Resources | Deferred Inflows of Resources | |---------|--------------------------------|-------------------------------| | | $1,360,867 | - | | | 11,970 | (2,024) | | | - | (113,244) | | | - | (26,968) | | | 48,468 | (334,448) | | | 162,724 | (38,714) | | | 630,019 | - | | | $2,214,048 | $(515,398) | $1,360,867 reported as deferred outflows of resources related to contributions subsequent to the measurement date will be recognized as a reduction of the net pension liability in the year ending June 30, 2018. Other amounts reported as deferred outflows of resources and deferred inflows of resources related to pensions will be recognized as pension expense as follows: | Year Ending June 30 | Amount | |---------------------|--------| | 2018 | $22,978| | 2019 | 29,608 | | 2020 | 172,562| | 2021 | 112,635| | 2022 | - | | Thereafter | - | NOTE 6 EMPLOYEE BENEFIT PLAN (CONTINUED) Actuarial Assumptions The total pension liabilities in the June 30, 2015 actuarial valuations were determined using the following actuarial assumptions: | Miscellaneous | |---------------| | Valuation Date | June 30, 2015 | | Measurement Date | June 30, 2016 | | Actuarial Cost Method | Entry-Age Normal Cost Method | Actuarial Assumptions: - Discount Rate: 7.65% - Inflation: 2.75% - Payroll Growth: 3.00% - Salary Increases: (1) - Investment Rate of Return: 7.5% (2) - Mortality: (3) - Post-Retirement Benefit Increase: (4) (1) Varies by entry age and service (2) Net of pension plan investment and administrative expenses, including inflation (3) Derived using CalPERS’ Membership Data for all funds (4) Contract COLA up to 2.75% until Purchasing Power Protection Allowance Floor on Purchasing Power applies, 2.75% thereafter The underlying mortality assumptions and all other actuarial assumptions used in the June 30, 2015 valuation were based on the results of a January 2015 actuarial experience study for the period 1997 to 2011. Further details of the Experience Study can be found on the CalPERS website. Discount Rate The discount rate used to measure the total pension liability was 7.65 percent. To determine whether the municipal bond rate should be used in the calculation of a discount rate for the plan, CalPERS stress tested plans that would most likely result in a discount rate that would be different from the actuarially assumed discount rate. Based on the testing, none of the tested plans run out of assets. Therefore, the current 7.65 percent discount rate is adequate and the use of the municipal bond rate calculation is not necessary. The long-term expected discount rate of 7.65 percent will be applied to all plans in the Public Employees Retirement Fund (PERF). The stress test results are presented in a detailed report that can be obtained from the CalPERS website. According to Paragraph 30 of GASB Statement No. 68, the long-term discount rate should be determined without reduction for pension plan administrative expense. The 7.50 percent investment return assumption used in this accounting valuation is net of administrative expenses. Administrative expenses are assumed to be 15 basis points. An investment return excluding administrative expenses would have been 7.65 percent. Using this lower discount rate has resulted in a slightly higher Total Pension Liability and Net Pension Liability. CalPERS checked the materiality threshold for the difference in calculation and did not find it to be a material difference. CalPERS is scheduled to review all actuarial assumptions as part of its regular Asset Liability Management (ALM) review cycle that is scheduled to be completed in February 2018. Any changes to the discount rate will require Board action and proper stakeholder outreach. For these reasons, CalPERS expects to continue using a discount rate net of administrative expenses for GASB Statement Nos. 67 and 68 calculations through at least the 2017-18 fiscal year. CalPERS will continue to check the materiality of the difference in calculation until such time as we have changed our methodology. The long-term expected rate of return on pension plan investments was determined using a building-block method in which best-estimate ranges of expected future real rates of return (expected returns, net of pension plan investment expense and inflation) are developed for each major asset class. The table below reflects the long-term expected real rate of return by asset class. The rate of return was calculated using the capital market assumptions applied to determine the discount rate and asset allocation. These rates of return are net of administrative expenses. | Asset Class | Assumed Asset Allocation | Real Return Years 1 - 10(a) | Real Return Years 11+(b) | |------------------------------------|--------------------------|----------------------------|--------------------------| | Global Equity | 51.00% | 5.25% | 5.71% | | Global Debt Securities | 20.00% | 0.99% | 2.43% | | Inflation Assets | 6.00% | 0.45% | 3.36% | | Private Equity | 10.00% | 6.83% | 6.95% | | Real Estate | 10.00% | 4.50% | 5.13% | | Infrastructure and Forestland | 2.00% | 4.50% | 5.09% | | Liquidity | 1.00% | -0.55% | -1.05% | Total 100% (a) An expected inflation of 2.5% used for this period. (b) An expected inflation of 3.0% used for this period. Sensitivity of the Proportionate Share of the Net Pension Liability to Changes in the Discount Rate The following presents ACE’s proportionate share of the net pension liability for the Plan, calculated using the discount rate for the Plan, as well as what ACE’s proportionate share of the net pension liability would be if it were calculated using a discount rate that is 1-percentage point lower or 1-percentage point higher than the current rate: | Miscellaneous Plan | | |--------------------|----------| | 1% Decrease | 6.65% | | Net Pension Liability | $1,809,504 | | Current Discount Rate | 7.65% | | Net Pension Liability | $888,148 | | 1% Increase | 8.65% | | Net Pension Liability | $126,693 | C. Pension Plan Fiduciary Net Position Detailed information about each pension plan’s fiduciary net position is available in the separately issued CalPERS financial reports. D. Payable to the Pension Plan At June 30, 2017, ACE did not have outstanding balance for contributions to the pension plan required for the Year Ended June 30, 2017. E. Deferred Compensation Plan ACE has entered into a salary reduction deferred compensation plan for its employees. The plan allows employees to defer a portion of their current income from state and federal taxation. Employees may withdraw their participation at any time by giving written notice at least a week in advance prior to the effective date of the withdrawal. At June 30, 2017, plan assets with a total fair value of $1,578,809 were held by independent trustees. Accordingly, such amounts are not reflected in the accompanying basic financial statements. All amounts of compensation deferred under the plans are solely the property and rights of each beneficiary (pursuant to legislative changes effective 1998 to the Internal Revenue Code Section 457, this includes all property and rights purchased and income attributable to these amounts until paid or made available to the employee or other beneficiary). NOTE 7 COMMITMENTS AND CONTINGENCIES As discussed in Note 5, ACE receives reimbursement type grants from federal, state and local sources. Certain expenditures are not subject to reimbursement. Also, there may be disallowed costs. Management’s experience in this regard indicates disallowances, if any, will not be material. In the ordinary course of operations, ACE is the subject of claims and litigations from outside parties. In the opinion of management, there is no pending litigation or unasserted claims, the outcome of which would materially affect ACE’s financial position. **Lease** ACE occupies its office from Metropolitan Life Insurance Company subject to a lease expiring April 30, 2018. The monthly base rent, as defined in the lease agreement, follows: | Period from / to | Monthly Rent | Annual Amount | |------------------------|--------------|---------------| | May 1, 2017 to April 30, 2018 | $20,834 | $250,009 | | May 1, 2018 to April 30, 2019 | ++ | 254,259 | | May 1, 2019 to April 30, 2020 | ++ | 261,887 | | May 1, 2020 to April 30, 2021 | ++ | 269,743 | Total lease commitments $1,035,898 ++ Proposed **Escrow Agreements for Contract Retention** Pursuant to contracts entered into between ACE and several of its contractors, funds are deposited with an Escrow Agent. The Escrow Agent holds the funds for the benefit of the contractors until the escrow is terminated. The Escrow Agent, contractor or ACE may terminate this Escrow Agreement, with or without cause, by providing 30 days prior written notice to the other parties. In the event of termination of this Escrow Agreement, all the funds on deposit shall be paid to ACE and any accrued interest less escrow fees shall be paid to the contractor. ACE has recognized expenditures related to contract retention payments totaling $14,890,552 for fiscal year ended June 30, 2017. Funds are deposited in several escrow accounts until release to the contractor is authorized. NOTE 8 CONSTRUCTION IN PROGRESS AND TRANSFER OF COMPLETED PROJECTS Except for minor acquisitions that may be sold by ACE when no longer needed, all of the construction projects, when completed, will be deeded and transferred to the UPRR and the cities in which they are located at no cost to the acquirer. At June 30, 2017, $695,912,451 of costs was accumulated on projects in process and $463,758,906 had been transferred to UPRR and impacted cities. Under the modified accrual basis of accounting project expenditures would be reported as expenditures in the year incurred. On the government-wide financial statements conforming to GASB 34 reporting on these transactions would result in (accumulating such costs as construction in progress (i.e., treated as a cash flow expenditure and not a current year expense). This would substantially overstate income while reporting the disposal and expensing the accumulated costs would distort the cost of operations. In both cases, net position would greatly fluctuate, depending on the timing of construction and transfer of the completed projects. To alleviate this situation, management has elected to record a liability (same amount as the construction in progress) to UPRR and governments likely to be the eventual owner of the improvements/grade separations upon project completion. This approach will minimize the effects both the acquisition of property for construction and the accumulation of construction costs and their eventual disposal. NOTE 9 SUBSEQUENT EVENTS ACE has evaluated events subsequent to June 30, 2017 to assess the need for potential recognition or disclosure in the financial statements. Such events were evaluated through January 15, 2018, the date the financial statements were available to be issued. Based upon this evaluation, there were no subsequent events occurred that require recognition or additional disclosure in the financial statements. REQUIRED SUPPLEMENTARY INFORMATION ### Alameda Corridor - East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Schedule of Proportionate Share of the Net Pension Liability Last Ten Years* | | 2017 Miscellaneous Plan | 2016 Miscellaneous Plan Classic | 2016 Miscellaneous Plan PEPRA | 2015 Miscellaneous Plan Classic | 2015 Miscellaneous Plan PEPRA | |----------------------|-------------------------|---------------------------------|-------------------------------|---------------------------------|-------------------------------| | Proportion of the net pension liability | 0.02803% ** | 0.04943% | 0.000158% | 0.01668% | 0.00001% | | Proportionate share of the net pension liability | $973,847 ** | $835,047 | $(469) $ | $1,038,037 $ | $126 | | Covered - employee payroll (1) | $3,422,438 ** | $2,769,467 $ | $55,122 $ | $2,764,711 $ | $176,748 | | Proportionate share of the net pension liability as percentage of covered-employee payroll | 28.45% ** | 30.15% | -0.85% | 37.55% | 0.07% | | Plan’s proportionate share of the fiduciary net position as a percentage of the plan’s total pension liability | 12.98% ** | 87.61% | 108.71% | 83.03% | 83.02% | | Plan’s proportionate share of aggregate employer contributions (2) | $243,174 ** | $393,080 $ | $15,076 $ | $137,329 $ | $88 | | ACE proportionate share of the net pension liability | $888,148 | | | | | ** Plan pertains to the Miscellaneous Plan of ACE and SGVCOG * Fiscal year 2015 was the first year of implementation, therefore only three years are shown. ### Notes to Schedule 1. Covered-Employee Payroll represented above is based on pensionable earnings provided by the employer. However, GASB Statement No. 68 defines covered-employee payroll as the total payroll of employees that are provided pensions through the pension plan. Accordingly, if pensionable earnings are different than total earnings for covered-employees, the employer should display in the disclosure footnotes the payroll based on total earnings for the covered group and recalculate the required payroll-related ratios. 2. The plan’s proportionate share of aggregate employer contributions may not match the actual contributions made by the employer during the measurement period. The plan’s proportionate share of aggregate contributions is based on the plan’s proportion of fiduciary net position shown on line 5 of the table above as well as any additional side fund (or unfunded liability) contributions made by the employer during the measurement period. * Fiscal year 2015 was the first year of implementation, therefore only three years are shown. See report of independent auditors. ### Schedule of Pension Contributions #### Last Ten Years* | | 2017 | 2016 | 2015 | |----------------------|------|------|------| | **Miscellaneous Plan** | | | | | Actuarially determined contributions | $527,296 | $306,775 | $11,765 | | Contributions in relation to the actuarially determined contributions | (527,296) | (306,775) | (11,765) | | Contribution deficiency (excess) | $ - | $ - | $ - | | Covered-Employee Payroll | $3,422,438 | $2,769,467 | $55,122 | | Contributions as a percentage of covered-employee payroll | 15.41% | 11.08% | 21.34% | **Notes to Schedule:** Valuation date: June 30, 2015 Methods and assumptions used to determine contribution rates: - **Actuarial Cost Method**: Entry age normal - **Amortization method / Period**: Level percent of payroll - **Remaining amortization period**: 15 years as of valuation date - **Asset valuation method**: 5 year Smoothed Market - **Inflation**: 2.75% - **Salary increases**: Varies by Entry Age and Service - **Investment rate of return**: 7.50%, net of pension plan investment expense and administrative expenses including inflation. - **Retirement age**: 55 years - **Mortality**: Derived using CalPERS Membership Data for all funds * Fiscal year 2015 was the first year of implementation, therefore only three years are shown. See report of independent auditors. ## Alameda Corridor - East Construction Authority (A Component Unit of San Gabriel Valley Council of Governments) Schedule of Revenues, Expenditures and Changes in Fund Balance Capital Project Fund - Budget to Actual Year Ended June 30, 2017 | | Budgeted Amounts | Actual Amounts | Variance Positive (Negative) | |--------------------------------|------------------|----------------|-----------------------------| | | Original | Amended Final | | | | **Revenues** | | | | | | Reimbursements | | | | | | Federal grants | $3,684,740 | $3,700,945 | $6,026,263 | $2,325,318 | | State grants | 101,321,172 | 101,766,761 | 56,234,202 | (45,532,559) | | Local grants | 22,446,639 | 22,545,354 | 23,912,324 | 1,366,970 | | Betterment - Other | 4,986,912 | 5,008,844 | 17,943,467 | 12,934,623 | | **Total revenues** | 132,439,463 | 133,021,904 | 104,116,255 | (28,905,649) | | **Operating expenditures** | | | | | | Construction | | | | | | Design | 7,569,842 | 7,569,842 | 1,915,373 | (5,654,469) | | Right-of-way acquisition | 19,052,985 | 19,052,985 | 77,654,948 | 58,601,963 | | Construction management | 15,533,366 | 15,533,366 | 16,598,338 | 1,064,972 | | Construction | 82,976,627 | 82,976,627 | 1,619,056 | (81,357,571) | | Betterments | 4,247,586 | 4,247,586 | 3,317,574 | (930,012) | | **Total construction** | 129,380,406 | 129,380,406 | 101,105,289 | (28,275,118) | | Indirect | | | | | | Personnel | | | | | | Salaries and wages | 1,476,847 | 1,476,847 | 1,542,894 | 66,047 | | Fringe benefits | 766,027 | 1,348,468 | 1,332,772 | (15,696) | | Employee related expenses | 37,300 | 37,300 | 32,172 | (5,128) | | Professional services | | | | | | Auditing/accounting | 41,504 | 41,504 | 48,724 | 7,220 | | Legal | 25,000 | 25,000 | 23,498 | (1,502) | | Brokerage | 65,000 | 65,000 | 51,271 | (13,729) | | Insurance | 230,000 | 230,000 | 170,984 | (59,016) | | Equipment expense | 112,628 | 112,628 | 69,409 | (43,219) | | Office rental expense | 244,451 | 244,451 | 246,902 | 2,451 | | Office operations | 52,500 | 52,500 | 39,328 | (13,172) | | Other | 7,800 | 7,800 | 11,007 | 3,207 | | Applied (under) indirect expense | - | - | (557,995) | (557,995) | | **Total indirect** | 3,059,057 | 3,641,499 | 3,010,967 | (630,532) | | **Total operating expenditures**| 132,439,463 | 133,021,905 | 104,116,255 | (28,905,649) | | Excess revenues over expenditures | - | - | - | - | | **Other financing sources (uses)** | | | | | | Investment revenue | 466,300 | 466,300 | 597,423 | 131,123 | | Interest and related expenses | (421,000) | (421,000) | (1,129,119) | (708,119) | | Non-project reimbursable funds | 352,436 | 352,436 | 371,342 | 18,906 | | Non-project reimbursable expense | (352,436) | (352,436) | (371,342) | (18,906) | | Intercompany revenue | 51,246 | 51,246 | 96,147 | 44,901 | | Intercompany expense | (51,246) | (51,246) | (96,147) | (44,901) | | Net other financing sources (uses) | 45,300 | 45,300 | (531,696) | (576,996) | | Change in fund balance | 45,300 | 45,300 | (531,696) | (576,996) | | **Fund balance at beginning of year** | 14,539,215 | 14,539,215 | 14,539,215 | - | | **Fund balance at end of year** | $14,584,515$ | $14,584,515$ | $14,007,519$ | $(576,996)$ | See report of independent auditors. Report of Independent Auditors on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards The Honorable Members of the Board of Directors Alameda Corridor – East Construction Authority We have audited, in accordance with the auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in *Government Auditing Standards*, issued by the Comptroller General of the United States, the financial statements of Alameda Corridor – East Construction Authority (ACE), a component unit of San Gabriel Valley Council of Governments, as of and for the Year Ended June 30, 2017, and the related notes to the financial statements, which collectively comprise ACE’s basic financial statements, and have issued our report thereon dated January 15, 2018. **Internal Control over Financial Reporting** In planning and performing our audit of the financial statements, we considered ACE’s internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of ACE’s internal control. Accordingly, we do not express an opinion on the effectiveness of ACE’s internal control. A *deficiency in internal control* exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A *material weakness* is a deficiency, or combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. A *significant deficiency* is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over financial reporting that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weakness. However, material weaknesses may exist that have not been identified. Compliance and Other Matters As part of obtaining reasonable assurance about whether ACE’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. 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(213) 873-1700 • Fax (213) 873-1777 Audited Financial Statements and Supplementary Information Year Ended June 30, 2017 with Report of Independent Auditors San Gabriel Valley Council of Governments Audited Financial Statements and Supplementary Information Year Ended June 30, 2017 with Report of Independent Auditors | Section | Page | |------------------------------------------------------------------------|------| | REPORT OF INDEPENDENT AUDITORS | 1 | | MANAGEMENT'S DISCUSSION AND ANALYSIS | 4 | | BASIC FINANCIAL STATEMENTS | | | Governmental Fund Balance Sheet / Statement of Net Position | 12 | | Statement of Governmental Fund Revenues, Expenditures and Changes in | | | Fund Balance / Statement of Activities | 13 | | Statement of Cash Flows | 14 | | Notes to Financial Statements | 15 | | REQUIRED SUPPLEMENTARY INFORMATION | | | Schedule of Proportionate Share of the Net Pension Liability | 38 | | Schedule of Pension Contributions | 39 | | SUPPLEMENTARY INFORMATION (UNAUDITED) | | | Component Unit - Statement of Revenues, Expenditures, and Changes in | | | Fund Balance - Budget to Actual | 40 | | REPORT OF INDEPENDENT AUDITORS ON INTERNAL CONTROL OVER | | | FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS | | | BASED ON AN AUDIT OF BASIC FINANCIAL STATEMENTS PERFORMED IN | | | ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS | 41 | Report of Independent Auditors Members of the Governing Board San Gabriel Valley Council of Governments Report on the Financial Statements We have audited the accompanying financial statements of the business-type activities and the discretely presented component unit of San Gabriel Valley Council of Governments (SGVCOG), as of and for the year ended June 30, 2017, and the related notes to the financial statements, which collectively comprise SGVCOG’s basic financial statements as listed in the table of contents. Management’s Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. Auditors’ Responsibility Our responsibility is to express opinions on these financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinions. **Opinions** In our opinion, the financial statements referred to above present fairly, in all material respects, the respective financial position of the business-type activities and the discretely presented component unit of San Gabriel Valley Council of Governments as of June 30, 2017, and the respective changes in financial position and, where applicable, cash flows thereof for the year then ended in accordance with accounting principles generally accepted in the United States of America. **Other Matters** **Required Supplementary Information** Accounting principles generally accepted in the United States of America require that the management’s discussion and analysis on pages 4 through 11 and the required supplementary information on pages 38-39 be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the management discussion and analysis and the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. **Other Information** Our audit was conducted for the purpose of forming opinions on the financial statements that collectively comprise SGVCOG’s basic financial statements. SGVCOG’s discretely presented component unit’s statement of revenues, expenditures and changes in fund balance – budget to actual on page 40, is presented for purposes of additional analysis and is not a required part of the basic financial statements. The statement of revenues, expenditures, and changes in fund balance – budget to actual is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the statement of revenues, expenditures and changes in fund balance – budget to actual is fairly stated, in all material respects, in relation to the basic financial statements as a whole. Other Reporting Required by Government Auditing Standards In accordance with Government Auditing Standards, we have also issued our report dated January 31, 2018, on our consideration of San Gabriel Valley Council of Governments’ internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is solely to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the effectiveness of SGVCOG’s internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering San Gabriel Valley Council of Governments’ internal control over financial reporting and compliance. Los Angeles, California January 31, 2018 Our discussion and analysis of the San Gabriel Valley Council of Governments (the SGVCOG) financial performance presents an overview of the SGVCOG’s financial activities during the year ended June 30, 2017. We encourage readers to consider information presented here in conjunction with the financial statements (beginning on page 12). The financial statements, notes and this discussion and analysis were prepared by management and are the responsibility of management. **Background** The SGVCOG was created on March 17, 1994 by a Joint Powers Agreement (JPA) among various member San Gabriel Valley Cities to promote cooperation, exchange ideas, coordinate regional government programs and to provide recommendations and solutions to common problems and to general concern of member governments. In 1998, the SGVCOG created the Alameda Corridor - East Construction Authority (ACE) (discretely presented component unit) to mitigate the effects of increasing Union Pacific Railroad (UPRR) train traffic in the San Gabriel Valley (Valley). There were 55 “at-grade” crossings in the Valley where vehicular and pedestrian traffic cross directly over railroad tracks and must stop while trains pass by. This creates congestion, degrades the local environment, and compromises safety. The ACE Project will separate 20 crossings at the busiest intersections – by either raising or lowering the railroad or the intersecting street – along the 35-mile freight rail corridor from East Los Angeles to Pomona. **Financial Highlights** In FY 2017, SGVCOG’s operating revenues increased by 1% from the previous year. The increase was mainly attributable to higher Energywise grant revenues earned in 2017. **Component Unit** ACE’s financial highlights for the year ended June 30, 2017: - Net position increased by $0.9 million, an increase of 6.7%. - Construction in progress increased by $103.5 million, an increase of 17.5%. - Total revenues decreased by $31.9 million, a decrease of 23.4%. - Total project expenses decreased by $31.0 million, a decrease of 23.1%. Overview of Financial Statements The SGVCOG’s basic financial statements consist of three components: (1) Government-wide Financial Statements, (2) Fund Financial Statements and (3) Notes to the Basic Financial Statements. Government-wide Financial Statements The government-wide financial statements found on pages 12 and 13 are designed to give readers a broad overview of the SGVCOG and its discretely presented component unit’s financial position. These include all of the SGVCOG and its discretely presented component unit’s assets and liabilities, deferred inflows/outflows of resources, revenues and expenses. The accounting basis is full accrual (similar to private sector companies) where the SGVCOG and its discretely presented component unit’s revenues and expenses are reported as the causal event occurs, instead of when the revenue was received or expense paid. The “Statement of Net Position” presents all of the SGVCOG and its discretely presented component unit’s assets, deferred outflows of resources, liabilities and deferred inflows of resources, with the difference reported as net position (or equity in the private sector). While large net position might indicate that a governmental agency has not spent all available revenues and other resources, negative net position indicates that the agency has overspent. It is management’s position to maintain sufficient net position to compensate for any disallowed costs, but to allocate any surplus to construction activities. The “Statement of Activities” presents the SGVCOG and its discretely presented component unit’s revenues and expenses for the year ended on June 30, 2017. Fund Financial Statements The fund financial statements can be found on pages 12 and 13 of this report. A fund is a grouping of related accounts that is used to maintain control over resources that have been segregated for specific activities or objectives. ACE, unlike cities, county or State governments, has one activity – construction. All of ACE’s activities are classified as a Construction (Capital Projects) Fund with the exception of the amount invested in a deferred compensation plan funded solely by staff. Differences between the two sets of financial statements are normally determined by the complexity of the reporting agency and usually revolve around different treatments for capital assets and depreciation, debt issuance and repayment, and pension-related account balances. ACE’s focus on a single activity results in the two statements being very similar. Notes to the Basic Financial Statements This report includes notes to the basic financial statements. They provide additional information that is important to a complete understanding of the data contained in the government-wide and fund financial statements. The notes can be found on pages 15 through 37 of this report. Financial Analysis Primary Government Condensed Statements of Net Position The following table summarizes the assets, deferred outflows of resources, liabilities, deferred inflows of resources, and net position of SGVCOG's primary government as of June 30, 2017 and 2016: | | June 30 | Variance | |--------------------------------|---------------|--------------| | | 2017 | 2016 | Amount | % | | Current assets | $866,566 | $917,083 | $(50,517) | -6% | | Deferred outflows of resources | 148,753 | 48,112 | 100,641 | 209%| | Total assets and deferred outflows of resources | 1,015,319 | 965,195 | 50,124 | 5% | | Liabilities | 149,908 | 146,522 | 3,386 | 2% | | Deferred inflows of resources | 49,731 | 23,578 | 26,153 | 111%| | Total liabilities and deferred inflows of resources | 199,639 | 170,100 | 29,539 | 17% | | Net position | | | | | | Restricted | 110,358 | 110,248 | 110 | 0% | | Unrestricted | 705,322 | 684,847 | 20,475 | 3% | | Total net position | $815,680 | $795,095 | $20,585 | 3% | Current assets decreased this year by $50,517, or 6%, and liabilities increased by $3,386 or 2%. Decrease in current assets was largely due to lower grants receivable balance in 2017 and collection of 2016 other receivables. Increase in liabilities was primarily due to the recognition of SGVCOG’s share in the net pension liability. As previously discussed, net position can serve as an indicator of financial health. The SGVCOG’s assets and deferred outflows of resources exceeded liabilities and deferred inflows of resources by $815,680 and $795,095 as of June 30, 2017 and 2016, respectively. Condensed Statements of Activities The following table presents the SGVCOG’s revenues, expenses, and changes in net position for the years ended June 30, 2017 and 2016: | Year ended June 30, | Variance | |---------------------|----------| | | Amount | % | | **Operating revenues** | | | | Dues: | | | | General Fund | $564,716 | $566,734 | $(2,018) | 0% | | Transportation | 180,394 | 200,196 | (19,802) | -10% | | Sponsorships | 745,110 | 766,930 | (21,820) | -3% | | Grants and matches from other governments: | | | | Los Angeles County Metropolitan Transportation Authority | 90,844 | 89,378 | 1,466 | 2% | | Southern California Edison - Energywise | 139,384 | 173,822 | (34,438) | -20% | | Southern California Edison - California Energy Efficiency Strategic Plan Implementation | 44,291 | 115,946 | (71,655) | -62% | | Southern California Gas - Energywise | 128,342 | - | 128,342 | 100% | | Western Riverside Council of Governments - California HERO | 14,202 | 20,334 | (6,132) | -30% | | **Total operating revenues** | 1,174,724 | 1,166,410 | 8,314 | 1% | | **Operating expenses** | | | | Administrative | 738,108 | 570,248 | 167,860 | 29% | | Energywise | 267,726 | 173,822 | 93,904 | 54% | | Transportation | 105,832 | 120,060 | (14,228) | -12% | | California Energy Efficiency Strategic Plan Implementation | 44,291 | 115,947 | (71,656) | -62% | | **Total operating expenses** | 1,155,957 | 980,077 | 175,880 | 18% | | **Operating income** | | | | | 18,767 | 186,333 | (167,566) | -90% | | **Nonoperating income** | | | | Other income | - | 50,933 | (50,933) | 100% | | Interest income | 1,818 | 1,080 | 738 | 68% | | **Total nonoperating income** | 1,818 | 52,013 | (50,195) | -97% | | **Change in net position** | | | | | 20,585 | 238,346 | (217,761) | -91% | | Net position, beginning of year | | | |---------------------------------|----------|--------| | | 795,095 | 556,749 | 238,346 | 43% | | Net position, end of year | | | |---------------------------------|----------|--------| | | $815,680 | $795,095 | $20,585 | 3% | During fiscal year 2017, total operating revenues increased by 1% from the previous year. The increase was mainly attributable to higher Energywise grant revenues earned in 2017. Revenues for SGVCOG consist primarily of dues from 31 member cities, three Los Angeles County supervisorial districts, and a Joint Power Authority of the water agencies, which represents three municipal water districts, cost reimbursable grants from Southern California Edison (SCE), a local utility, grant matching funds from Los Angeles County MTA, and fees on the aggregate cost for the bonds issued to fund installation of renewable energy efficiency improvements from the Home Energy Renovation Opportunity (HERO) program. Grants and matches from other governments and Sponsorships were $429,614 in FY2017 compared to $399,480 in FY2016, an increase of $30,134 or 8%. The increase was mostly due to higher Energywise grant revenues earned in FY2017, reduced by lower California Energy Efficiency Strategic Plan Implementation - Phase 3 grant. This program was completed in September 2016. Operating expenses were $1,155,957 in FY2017 compared to $980,077 in FY 2016, an increase of $175,880 or 18%. The increase is primarily attributable to higher administrative salaries and wages, and fringe benefits, transportation technical support, administration, accounting, and finance support services provided by ACE staff, and an increase in grant writing services for new grants being pursued by the SGVCOG. Non-operating income, consisting of investment income, increased by $738 or 68% in FY2017 from FY2016, primarily due to higher yield on investments with the State’s Local Agency Investment Fund. During FY2016, SGVCOG was awarded a legal settlement of $50,933. ### Component Unit #### Condensed Statements of Net Position | | June 30 | | Variance | % | |--------------------------------|---------------|-------|--------------|-----| | | 2017 | 2016 | Amount | | | Current and other assets | $100,343,185 | $93,669,646 | $6,673,539 | 7.1%| | Capital assets | 12,335 | 24,923 | (12,588) | -50.5%| | Construction in progress | 695,912,451 | 592,444,003 | 103,468,448 | 17.5%| | Less due to member cities and Union Pacific Railroad | (695,912,451) | (592,444,003) | (103,468,448) | 17.5%| | Total assets | 100,355,520 | 93,694,569 | 6,660,951 | 7.1% | | Deferred outflows of resources | 2,214,048 | 1,000,636 | 1,213,412 | 121.3%| | Liabilities | 87,223,814 | 79,965,009 | 7,258,805 | 9.1% | | Deferred inflow of resources | 515,398 | 827,531 | (312,133) | -37.7%| | Net position | $14,830,356 | $13,902,665 | $927,691 | 6.7% | 8 All organizations are required to report construction in progress (that is, the sum of prior and current year’s construction expense) on the statement of net position as an asset. This would normally be done by treating each year’s construction as a capital expense which would be excluded from the statement of activities. However, the grant reimbursements generated by construction would be included in the statement of activities as revenue. ACE is obligated to transfer components of completed projects to the UPRR and the cities so that they can be included in their financial statements. The resulting reduction in assets would flow through the statement of activities as a loss. The net effect would be to produce widely fluctuating net position and fund balances depending on whether ACE was constructing (surplus) or transferring assets to member cities (deficit). Therefore, ACE elected to treat construction in progress as a matching asset and liability. This shows the total cost of ACE’s projects and the resulting liability to transfer the assets upon completion while not unduly impacting the statement of activities. Total assets increased by 7.1% to $100.4 million, mainly due to increases in cash and investments, as one participating city funded future betterment work. Construction in progress increased by 17.5% to $695.9 million, primarily because of increased construction activity on San Gabriel Trench, Puente Avenue, Fairway Drive, and Fullerton Road projects. Unearned revenue increased 38.6% to $22.3 million, mainly because of betterment funds received in advance for the Fullerton Road project. Due to delay in funding from previously approved federal grant, unbilled receivables increased 29.7% to $31.5 million. Condensed Statements of Activities The following table shows the condensed statements of activities for the years ended June 30, 2017 and 2016. Total net position increased by $0.9 million or 6.7% for the year ended June 30, 2017. The increase was due to an adjustment to construction expenses that were incurred in the prior year. | Years ended June 30 | 2017 | 2016 | Variance | % | |---------------------|------------|------------|--------------|-----| | Project Expenses | | | | | | Direct (Construction)| $99,658,490| $132,103,266| $(32,444,776)| -24.6% | | Indirect expenses charged to operations | $3,465,867 | $2,025,888 | $1,439,979 | 71.1% | | Total project expenses | $103,124,357 | $134,129,154 | $(31,004,797) | -23.1% | | Operating revenues | | | | | | Grant reimbursements | $104,116,255 | $133,732,844 | $(29,616,589) | -22.1% | | Other operating revenues | $467,489 | $2,763,634 | $(2,296,145) | -83.1% | | Total revenues | $104,583,744 | $136,496,478 | $(31,912,734) | -23.4% | | Income/(loss) from operations | $1,459,387 | $2,367,324 | $(907,937) | -38.4% | | Nonoperating income (expense) | | | | | | Financing income | $597,423 | $499,752 | $97,671 | 19.5% | | Financing expense | $(1,129,119) | $(394,603) | $(734,516) | 186.1% | | Net financing income (loss) | $(531,696) | $105,149 | $(636,845) | -605.7% | | Change in net position | $927,691 | $2,472,473 | $(1,544,782) | -62.5% | | Net position at beginning of year | $13,902,665 | $11,430,192 | $2,472,473 | 21.6% | | Net position at end of year | $14,830,356 | $13,902,665 | $927,691 | 6.7% | Capital Assets Primary Government The SGVCOG had $0 invested in capital assets, net of depreciation, as of June 30, 2017 and 2016. The capital assets are fully depreciated as of June 30, 2017 and 2016. The SGVCOG's capital assets consist of office equipment only. Capital assets are purchased with governmental resources. Component Unit ACE had $12,335 invested in capital assets, net of depreciation, as of June 30, 2017 consisting of leasehold improvements and equipment. Economic Factors and Next Year’s Budget Primary Government The budget for fiscal year 2018 assumes that the on-hand net position as of June 30, 2017 will be required and available to fulfill the program and administrative expense requirements. Component Unit Budgeted expenditures in fiscal year 2018 increased 10.9% over 2017, as increases in construction were offset by reductions in right-of-way acquisitions. Based on 2018 first quarter expenditures, it is anticipated the 2018 budget will be within 5% of budgeted expenditures. Further Information This report has been designed to provide a general overview to our stakeholders of the SGVCOG's financial condition and related issues. Inquiries should be directed to Carlos Monroy, Director of Finance, 4900 Rivergrade Road, Suite A120 Irwindale, CA 91706. ## San Gabriel Valley Council of Governments ### Governmental Fund Balance Sheet / Statement of Net Position #### June 30, 2017 | ASSETS | Primary Government | Business-type Activities | Capital Projects Fund | Component Unit | Total | |--------|--------------------|--------------------------|-----------------------|----------------|-------| | | | | | Adjustment | | | **Current assets** | $764,843 | $47,737,803 | - | - | $47,737,803 | | Cash and investments | - | - | - | - | - | | Member receivable | - | - | - | - | - | | Grants receivable | $75,782 | $14,383,963 | - | - | $14,383,963 | | Unbilled receivables | - | $31,530,596 | - | - | $31,530,596 | | Notes receivables | - | $150,000 | - | - | $150,000 | | Other receivable | $14,109 | $3,670 | - | - | $3,670 | | Retention receivable | - | $873,136 | - | - | $873,136 | | Prepaid expenses | $11,832 | $387,056 | - | - | $387,056 | | Property held for sale | - | $4,260,128 | - | - | $4,260,128 | | Under-recovery of indirect costs | - | $1,016,833 | - | - | $1,016,833 | | **Total current assets** | $866,566 | $100,343,185 | - | - | $100,343,185 | | **Noncurrent assets** | $8,645 | - | $395,837 | - | $395,837 | | Leasehold improvements and equipment | Less accumulated depreciation and amortization | $(8,645) | - | $(383,502) | $(383,502) | | Construction in progress | Less due to member cities and Union Pacific Railroad | - | - | $695,912,451 | $(695,912,451) | | **Total assets** | $866,566 | $100,343,185 | $12,335 | - | $100,355,520 | | **DEFERRED OUTFLOWS OF RESOURCES** | $148,753 | - | $2,214,048 | - | $2,214,048 | | Deferred outflows of resources relatead to pension | - | - | - | - | - | | **Total assets and deferred outflows of resources** | $100,343,185 | - | $2,214,048 | - | $100,343,185 | | LIABILITIES | Primary Government | Business-type Activities | Capital Projects Fund | Component Unit | Total | |-------------|--------------------|--------------------------|-----------------------|----------------|-------| | **Current liabilities** | $39,600 | $17,732,271 | - | - | $17,732,271 | | Accounts payable and accrued expenses | Accrued retention payable | - | $1,131,110 | - | $1,131,110 | | Unearned revenue | Compensated absences, current portion | - | $22,254,454 | - | $22,254,454 | | Metro promissory note loan | - | $45,000,000 | - | - | $45,000,000 | | **Total current liabilities** | $57,361 | $86,335,666 | - | - | $86,335,666 | | **Noncurrent liabilities** | $6,849 | - | - | - | - | | Compensated absences | Net pension liability | $85,698 | - | $888,148 | $888,148 | | **Total noncurrent liabilities** | $92,547 | - | $888,148 | - | $888,148 | | **Total liabilities** | $149,908 | $86,335,666 | $888,148 | - | $87,223,814 | | **DEFERRED INFLOWS OF RESOURCES** | $49,731 | - | $515,398 | - | $515,398 | | Deferred inflows of resources related to pension | - | - | - | - | - | | **FUND BALANCES/NET POSITION** | $14,007,519 | - | $14,830,356 | - | $14,830,356 | | **Fund balance** | Nonspendable for: | Committed | Assigned: | Total fund balance | |------------------|-------------------|-----------|-----------|-------------------| | Prepaid expenses | $387,056 | CalPERS unfunded termination liability | $6,347,036 | Capital project fund | $7,273,427 | | **Total fund balance** | $14,007,519 | - | - | - | $14,007,519 | | **Net position** | Invested in capital assets | Restricted | Unrestricted | Total net position | |-----------------|---------------------------|------------|--------------|-------------------| | - | $110,358 | $705,322 | $822,837 | $14,830,356 | *See notes to financial statements.* ## San Gabriel Valley Council of Governments ### Statement of Governmental Fund Revenues, Expenditures and Changes in Fund Balance / Statement of Activities **Year ended June 30, 2017** | Functions/Programs | Expenses | Indirect Expense Allocation | Program Revenues | Capital Grants and Contributions | Primary Government Business-type Activities | Component Unit | |---------------------------------------------------------|--------------|-----------------------------|------------------|---------------------------------|---------------------------------------------|----------------| | **Primary government:** | | | | | | | | **Business-type activities:** | | | | | | | | General government | $738,108 | - | $564,716 | - | - | (173,392) | | Transportation | 105,832 | - | 180,394 | - | - | 74,562 | | Los Angeles County Metropolitan Transportation Authority| - | - | - | 90,844 | - | 90,844 | | California Energy Efficiency Strategic Plan Implementation| 44,291 | - | - | 44,291 | - | - | | Southern California - Energywise | 267,726 | - | - | 267,726 | - | - | | Others | - | - | - | 26,753 | - | 26,753 | | **Total business-type activities** | $1,155,957 | - | $745,110 | $429,614 | - | 18,767 | | **Component unit:** | | | | | | | | Project expenses | $101,105,289 | $3,478,455 | - | - | $104,583,744 | $1,459,387 | | Financing expense | 1,129,119 | - | - | - | - | (1,129,119) | | **Total component unit** | $102,234,408 | $3,478,455 | - | - | $104,583,744 | $1,459,387 | ### General revenues: - Interest and other income: $1,818 ### Change in net position - Fund balance/Net position, beginning of year: $795,095 - Fund balance/Net position, end of year: $815,680 ### Deficiency of Revenues over Expenditures - Primary Government: $(1,129,119) - Component Unit: $(1,129,119) ### Net (Expense) Revenue and Changes in Net Position - Primary Government: $(1,129,119) - Component Unit: $(1,129,119) --- *See notes to financial statements.* ## Cash flows from operating activities | Description | Amount | |--------------------------------------------------|------------| | Cash receipts from cities | $696,751 | | Cash receipts from all other services | 536,203 | | Cash paid for operating expenses | (599,304) | | Cash paid for employee compensation and related costs | (574,914) | | **Net cash provided by operating activities** | **58,736** | ## Cash flows from investing activities | Description | Amount | |--------------------------------------------------|------------| | Cash receipts from interest | 1,600 | | **Cash provided by investing activities** | **1,600** | ## Change in cash and cash equivalents | Description | Amount | |--------------------------------------------------|------------| | **Change in cash and cash equivalents** | **60,336** | ## Cash and cash equivalents - beginning of year | Description | Amount | |--------------------------------------------------|------------| | **Cash and cash equivalents - beginning of year**| **704,507**| ## Cash and cash equivalents - end of year | Description | Amount | |--------------------------------------------------|------------| | **Cash and cash equivalents - end of year** | **$764,843**| ## Reconciliation of operating income to net cash provided by operating activities: | Description | Amount | |--------------------------------------------------|------------| | Operating income | $18,767 | | Adjustment to reconcile operating income to net cash provided by operating activities: | | | Changes in operating assets and liabilities: | | | Member dues receivable | 800 | | Other receivables | 44,391 | | Grants receivable | 62,198 | | Prepaid expenses | 2,275 | | Deferred outflows of resources | (100,641) | | Accounts payable and accrued expenses | (57,763) | | Unearned revenues | (49,159) | | Compensated absences | 24,610 | | Net pension liability | 87,105 | | Deferred inflows of resources | 26,153 | | **Net cash provided by operating activities** | **$58,736** | NOTE 1 SUMMARY OF SIGNIFICANT POLICIES Organization and activities The San Gabriel Valley Council of Governments (the "SGVCOG") was created effective March 17, 1994 by a Joint Powers Agreement (JPA) among various San Gabriel Valley cities to promote cooperation, exchange ideas, coordinate regional government programs and to provide recommendations and solutions to common problems and to general concern of member governments. It is the immediate successor to the San Gabriel Valley Association of Cities, an unincorporated association. Its members organized the SGVCOG because they recognized a need for a more permanent and formalized structure. The SGVCOG is supported by contributions from its members and also receives grant funds to conduct regional studies on Transportation, Air Quality, Environmental Matters, as a sub-grantee of other governmental entities. The SGVCOG is a non-profit California Public Agency and it is tax exempt. Reporting entity The accompanying financial statements present the SGVCOG (the primary government) and its component unit, the Alameda Corridor - East Construction Authority (ACE). As defined by GASB Statement No. 14, component units are legally separate entities that are included in the primary government's reporting entity because of the significance of their operating or financial relationships with the primary government. SGVCOG and its component unit are together referred to herein as the reporting entity. ACE is a single purpose construction authority created by the SGVCOG in 1998 to mitigate the effects of increasing Union Pacific Railroad train traffic in the San Gabriel Valley. ACE does not meet the criteria for a blended component because it is a legally separate entity having its own set of Board of Directors, independent of SGVCOG’s Governing Board. ACE’s Board is responsible for approving its own budget and accounting and finance related activities. SGVCOG has no fiscal responsibility over ACE and there is no financial burden or benefit relationship between the two entities. Accordingly, ACE is reported as a discretely presented component unit in a separate column in the government-wide financial statements to emphasize that it is legally separate from the SGVCOG. Separate financial statements for ACE are issued. Government-wide and fund financial statements The government-wide financial statements (i.e., the statement of net position and the statement of activities) report information about the primary government (the SGVCOG) and its discretely presented component unit (ACE). The financial statements are prepared using the accrual basis of accounting. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Measurement focus, basis of accounting and financial statement presentation The government-wide and proprietary fund financial statements are reported using the economic resources measurement focus and the accrual basis of accounting. The Statement of Activities presents changes in Net Position. (This is equivalent to an Income and Changes in Equity Statement in private sector companies.) Revenues are recorded when earned and expenses are recognized at the time of the causal event. Governmental fund financial statements are reported using the current financial resources measurement focus and the modified accrual basis of accounting. ACE recognizes reimbursements from grants as revenues to the extent reimbursing obligations are earned on or before June 30, 2017 and are therefore the same under both modified accrual and full accrual basis. Major interest bearing debt is short-term in nature so there is no difference relating to accrued interest owed. Based upon the nature of the operations of ACE, only a capital projects fund is utilized (a governmental fund type). Amounts reflected in the adjustment column in the financial statements of ACE represents capital assets and construction in progress (less due to member cities and Union Pacific Railroad) used in governmental activities that are not current financial resources and therefore are not reported as assets in the governmental fund balance and the related depreciation expense on the capital assets reported in the government-wide statement of activities that do not require the use of current financial resources and therefore not reported as an expenditure in the governmental funds. Description of funds Proprietary Funds The focus of proprietary fund measurement is upon determination of operating income, changes in net position, financial position, and cash flows. The generally accepted accounting principles applicable are those similar to businesses in the private sector. The following are revenue components of the SGVCOG: California Energy Efficiency Strategic Plan Implementation - Funds for the implementation of certain energy efficiency programs under the Decision 09-09-47 and 12-11-015 of the California Public Utilities Commission including the Energy Leader Partnership Program. Energywise - Funds to implement a program to reduce energy usage in the region by providing enhanced rebates for installing energy efficiency measures in municipal facilities, technical assistance, and various training and educational opportunities. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Description of funds (Continued) **Governmental Fund** Capital Projects Fund - Accounts for the activity of obtaining support from governmental groups, determining funding and specifications for structures needed and to fund the contracts for the grade crossing improvements. This fund accounts for all of the activities of ACE. **Fund balance reporting** Governmental Accounting Standards Board (GASB) Statement No. 54, *Fund Balance Reporting and Governmental Fund Type Definitions*, establishes the following fund balance classifications that comprise a hierarchy based primarily on the extent to which a government is bound to observe constraints imposed upon the use of the resources reported in governmental funds: *Nonspendable fund balance* includes amounts that cannot be spent because they are either (a) not in spendable form or (b) legally or contractually required to be maintained intact. Examples are inventories, prepaid expenses, long-term receivables, or non-financial assets held for resale unless the proceeds are restricted, committed or assigned. *Restricted fund balance* includes resources that are subject to externally enforceable legal restrictions. It includes amounts that can be spent only for the specific purposes stipulated by constitution, external resource providers, or through enabling legislation. *Committed fund balance* includes amounts that can be used only for the specific purposes determined by a formal action of the highest level of decision-making authority (Board of Directors). *Assigned fund balance* consists of funds that are set aside for specific purposes by ACE Construction Authority’s highest level of decision making authority or a body or official that has been given the authority to assign funds. Assigned funds cannot cause a deficit in unassigned fund balance. *Unassigned fund balance* is the residual classification for ACE’s general fund and includes all spendable amounts not contained in the other classifications. This category also provides the resources necessary to meet unexpected expenditures and revenue shortfalls. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Fund balance reporting (Continued) The Board of Directors, as ACE’s highest level of decision-making authority, may commit fund balance for specific purposes pursuant to constraints imposed by formal actions taken. Committed amounts cannot be used for any other purpose unless the Board of Directors removes or changes the specific use through the same type of formal action taken to establish the commitment. The ACE Board of Directors committed $6,347,036 of its fund balance for CalPERS unfunded termination liability as of June 30, 2017. The Board of Directors delegates the authority to assign fund balance to the Chief Executive Officer for purposes of reporting in the annual financial statements. ACE considers the restricted fund balances to have been spent when expenditure is incurred for purposes for which both unrestricted and restricted fund balance is available. ACE considers unrestricted fund balances to have been spent when an expenditure is incurred for purposes for which amounts in any of the unrestricted classifications of fund balance could be used. When expenditures are incurred for purposes for which amounts in any of the unrestricted fund balance classifications could be used, it is the policy of ACE to reduce the committed amounts first, followed by assigned amounts, and then unassigned amounts. Budgetary reporting It is the ACE’s policy not to start any phase of a project (i.e., design, right-of-way acquisition, or construction), unless there are sufficient funds to complete that phase. All project related expenses are reimbursable from existing grants and, as such, budgeted revenues are not budgeted separately, but derived from budgeted expenditures. Cash and investments The SGVCOG considers money market funds and all equivalent liquid debt instruments purchased with a maturity of three months or less to be cash equivalents. Deposits with the State of California’s Local Agency Investment Fund (LAIF) Operating Fund and the bond portfolio managed by Citizens’ Business Bank are considered cash equivalents. Grants receivable Grants receivable relate to expense reimbursements due from governmental and other agencies and are expected to be fully collectible. Accordingly, an allowance for doubtful accounts is not provided. Grant revenues and expenditures All grants agreements are between the SGVCOG and the granting authority. ACE has been given authority to obtain and administer funding in the name of SGVCOG. The Los Angeles County Metropolitan Transportation Authority (Metro) grant was in existence when ACE was created and all subsequent grants therefore are administered by ACE. To-date, all grants with the exception of the Union Pacific Rail Road (UPRR) contributions are, and are anticipated to be in the future, cost reimbursable. That is, ACE must first expend the money and then bill for reimbursement from the grantors. Capital assets - leasehold improvements and equipment Equipment and other improvements that can be capitalized in the government-wide financial statements are recorded as expenditures in the Capital Projects Fund. The threshold for capitalization is $5,000 in accordance with federal guidelines. On the government-wide financial statements such items that meet the capitalized threshold are recorded as capital assets and are depreciated based upon their estimated useful lives on a straight-line basis. Useful lives of assets categories are as follows: - Leasehold improvements: 10 years - Office furniture: 10 years - Computer, office and telephone equipment: 5 years Pension SGVCOG and ACE adopted GASB Statement No. 68, *Accounting and Financial Reporting for Pensions* during the fiscal year ended June 30, 2015. For purposes of measuring the net pension liability and deferred outflows/inflows of resources related to pensions, and pension expense, information about the fiduciary net position of SGVCOG’s California Public Employees’ Retirement System (CalPERS) plan (Plan) and additions to/deductions from the Plan’s fiduciary net position have been determined on the same basis as they are reported by CalPERS. For this purpose, benefit payments (including refunds of employee contributions) are recognized when due and payable in accordance with the benefit terms. Investments are reported at fair value. NOTE 1 SUMMARY OF SIGNIFICANT POLICIES (CONTINUED) Use of estimates The process of presenting financial information requires the use of estimates and assumptions regarding certain assets and liabilities and their related income and expense items. Grant reimbursements and construction costs are especially vulnerable to such assumptions and accordingly actual results may differ from estimated amounts. Property held for sale The property held for sale is recorded at the lower of acquisition cost or estimated net realizable value. At June 30, 2017, property held for resale was $4,260,128. NOTE 2 CASH AND INVESTMENTS Cash and cash equivalents as of June 30, 2017 are as follows: Primary government: | Description | Amount | |------------------------------------|------------| | Deposits with financial institution| $534,924 | | Short-term investments | 229,919 | | Total cash and investments | $764,843 | Component unit: | Description | Amount | |------------------------------------|------------| | Cash in bank | $2,713,338 | | Pooled funds | 1,593,497 | | Money market funds | 12,696,181 | | Investments | 30,734,787 | | Total cash and investments | $47,737,803| Investments Authorized by the California Government Code and San Gabriel Valley Council of Governments and its component unit’s Investment Policy The table below identifies the investment types that are authorized for the reporting entity by the California Government Code (or reporting entity’s investment policy, where more restrictive). The table also identifies certain provisions of the California Government Code (or reporting entity’s investment policy, where more restrictive) that address interest rate risk, credit risk, and concentration of credit risk. NOTE 2 CASH AND INVESTMENTS (CONTINUED) Primary government and component unit: | Authorized Investment Type | Maximum Maturity | Maximum Percentage of Portfolio | Maximum Investment in One Issuer | |---------------------------------------------------------------|------------------|---------------------------------|---------------------------------| | U.S. Treasury Notes | 5 years | 100% | None | | Treasury Notes of the State of California | 5 years | 25% | None | | Indebtness of Any Local Agency within CA | 5 years | 25% | None | | U.S. Government Agencies | 5 years | 50% | 15% | | Banker’s Acceptances | 180 days | 40% | 10% | | Commercial Paper | 270 days | 10% | 10% | | Negotiable Certificates of Deposit | 5 years | 30% | 10% | | Repurchase Agreements | 90 days | 20% | None | | Medium-Term Notes | 5 years | 30% | 10% | | Shares of Beneficial Interest Issued by Diversified Companies Registered with the SEC | None | 20% | 10% | | State of CA Local Agency Investment Fund (LAIF) | None | None | None | | Mortgage-backed Securities | 5 years | 15% | None | Investments Authorized by Debt Agreements Investment of debt proceeds held by bond trustees are governed by provisions of the debt agreements, rather than the general provisions of the California Government Code or the reporting entity's investment policy. The table below identifies the investment types that are authorized for investments held by bond trustee. The table also identifies certain provisions of these debt agreements that address interest rate risk, credit risk, and concentration of credit risk. | Authorized Investment Type | Maximum Maturity | Maximum Percentage Allowed in | Maximum Investment One Issuer | |---------------------------------------------------------------|------------------|--------------------------------|--------------------------------| | U.S. Government Agencies | 5 years | 42% | 15% | | Medium-term Notes (Corporate Bonds) | 5 years | 28% | 10% | | Mortgage-backed Securities | 5 years | 7% | None | | Certificate of Deposits | 5 years | 13% | 10% | | Money Market Funds | None | 2% | None | | State’s Local Agency Investment Fund (LAIF) | None | 5% | None | | Municipals | None | 2% | None | NOTE 2 CASH AND INVESTMENTS (CONTINUED) Disclosures Relating to Interest Rate Risk Interest rate risk is the risk that changes in market interest rates will adversely affect the fair value of an investment. Generally, the longer the maturity of an investment the greater the sensitivity of its fair value to changes in market interest rates. One of the ways that the reporting entity manages its exposure to interest rate risk is by purchasing a combination of shorter-term and longer-term investments and by timing cash flows from maturities so that a portion of the portfolio is maturing or coming close to maturity over time as necessary to provide the cash flow and liquidity needed for operations. Information about the sensitivity of the fair values of the reporting entity’s investments to market interest rate fluctuations is provided by the following table that shows the distribution of the reporting entity’s investments by maturity. Primary government: | Investment Type | Total | 12 Months or less | |-----------------|-------------|-------------------| | LAIF | $229,919 | $229,919 | | **Total** | **$229,919**| **$229,919** | Component unit: | Investment Type | Total | Remaining maturity in months | |----------------------------------|-------------|------------------------------| | | | 12 Months or less | 13 to 24 Months | 25 to 60 Months | | LAIF | $1,593,497 | $1,517,010 | $46,211 | $30,276 | | Money market funds | $12,696,181 | $12,696,181 | - | - | | Fidelity government portfolio | $744,080 | $744,080 | - | - | | Government agencies | $13,630,070 | - | - | $13,630,070 | | Certificates of deposit | $4,337,044 | - | - | $4,337,044 | | Corporate bonds | $9,273,853 | - | - | $9,273,853 | | Government mortgages | $2,026,852 | - | - | $2,026,852 | | Municipals | $722,888 | - | - | $722,888 | | **Total** | **$45,024,465** | **$14,957,271** | **$46,211** | **$30,020,983** | Investment with Fair Values Highly Sensitive to Interest Rate Fluctuations The SGVCOG and its component unit have no investments that are highly sensitive to interest rate fluctuations (to a greater degree than already indicated in the information provided above). NOTE 2 CASH AND INVESTMENTS (CONTINUED) Credit Risk Generally, credit risk is the risk that an issuer of an investment will not fulfill its obligation to the holder of the investment. This is measured by the assignment of a rating by a nationally recognized statistical rating organization. Presented below is the minimum rating required by (where applicable) the California Government Code, reporting entity’s investment policy, or debt agreements, and the actual rating as of year-end for each investment type. Primary government: | Investment Type | Minimum Legal Rating | Exempt from Disclosure | Rating as of Year End | |-----------------|----------------------|------------------------|-----------------------| | | | AAA | AA | Not Rated | | LAIF | N/A | $ - | $ - | $ 229,919 | Component unit: | Investment Type | Minimum Legal Rating | Rating as of Year End | |-------------------------------|----------------------|-----------------------| | | AAA | AA | A | Not rated | | LAIF | N/A | $ - | $ - | $ 1,593,497 | | Money market funds | A | $ 12,696,181 | $ - | $ - | | Fidelity government portfolio | N/A | $ - | $ - | $ 744,080 | | Government agencies | A | $ 13,630,070 | $ - | $ - | | Certificates of deposit | N/A | $ - | $ - | $ 4,337,044 | | Corporate bonds | A | $ - | $ 9,273,853 | $ - | | Government mortgages | A | $ - | $ 2,026,852 | $ - | | Municipals | A | $ 258,310 | $ - | $ 464,578 | Total $ 45,024,465 Concentrations of Credit Risk The investment policy of the SGVCOG and ACE contains no limitations on the amount that can be invested in any one issuer beyond that stipulated by the California Government Code. As of June 30, 2017, the SGVCOG and its component unit have no investments in any one issuer (other than U.S. Treasury securities, mutual funds, and external investment pools) that represent 5% or more of total SGVCOG and its component unit’s investments. NOTE 2 CASH AND INVESTMENTS (CONTINUED) Custodial Credit Risk Custodial credit risk for deposits is the risk that, in the event of the failure of a depository financial institution, a government will not be able to recover its deposits or will not be able to recover collateral securities that are in the possession of an outside party. The custodial credit risk for investments is the risk that in the event of the failure of the counterparty (e.g., broker-dealer) to a transaction a government will not be able to recover the value of its investment or collateral securities that are in the possession of another party. The California Government Code and the reporting entity’s investment policy do not contain legal or policy requirements that would limit the exposure to custodial credit risk for deposits or investments, other than the following provision for deposits: The California Government Code requires that a financial institution secure deposits made by State or local governmental units by pledging securities in an undivided collateral pool held by a depository regulated under State law (unless so waived by the governmental unit). The market value of the pledged securities in the collateral pool must equal at least 110% of the total amount deposited by the public agencies. California law also allows financial institutions to secure local government units’ deposits by pledging first trust deed mortgage notes having a value of 150% of the secured public deposits. As of June 30, 2017, the SGVCOG’s cash in bank balances of $556,461 exceeded the $250,000 deposit insurance of the Federal Deposit Insurance Corporation (FDIC) by $306,461. ACE’s deposit of $15,447,370 with financial institutions is in excess of federal depository insurance limits but are held in collateralized accounts. The SGVCOG and ACE are voluntary participants in the Local Agency Investment Fund (LAIF) that is regulated by the California Government Code under the oversight of the Treasurer of the State of California. At June 30, 2017, the total market value of LAIF, including accrued interest was approximately $77.617 billion. The fair value of the SGVCOG’s investment in this pool is $229,675 at June 30, 2017 based upon the SGVCOG’s pro-rata share of the fair value provided by LAIF for the entire LAIF portfolio (in relation to the amortized cost of the portfolio). LAIF’s (and the SGVCOG’s) exposure to risk (credit, market or legal) is not currently available. The fair value of ACE’s investment in this pool is $1,593,497 at June 30, 2017 based upon ACE’s pro-rata share of the fair value provided by LAIF for the entire LAIF portfolio (in relation to the amortized cost of the portfolio). LAIF’s (and ACE’s) exposure to risk (credit, market or legal) is not currently available. NOTE 2 CASH AND INVESTMENTS (CONTINUED) As of June 30, 2017, the following investment types were held by the same broker-dealer (counterparty) that was used by ACE to buy the securities: | Investment Type | Reported Amount | |-----------------------|-----------------| | Money Market Funds | $12,696,181 | NOTE 3 LEASEHOLD IMPROVEMENTS AND EQUIPMENT The leasehold improvement and equipment of the component unit are recorded at cost and consist of the following: | Cost: | Balance June 30, 2016 | Additions | Deletions | Balance June 30, 2017 | |------------------------|-----------------------|-----------|-----------|-----------------------| | Leasehold Improvements | $19,762 | - | - | $19,762 | | Computer Equipment: | | | | | | Hardware | $214,141 | - | - | $214,141 | | Software | $114,483 | - | - | $114,483 | | Website | $3,393 | - | - | $3,393 | | Telephone Equipment | $12,086 | - | - | $12,086 | | Office Furniture | $31,972 | - | - | $31,972 | | Total cost | $395,837 | - | - | $395,837 | Less accumulated depreciation for: | Cost: | Balance June 30, 2016 | Additions | Deletions | Balance June 30, 2017 | |------------------------|-----------------------|-----------|-----------|-----------------------| | Leasehold Improvements | $19,762 | - | - | $19,762 | | Computer Equipment: | | | | | | Hardware | $191,416 | $10,830 | - | $202,246 | | Software | $112,285 | $1,758 | - | $114,043 | | Website | $3,393 | - | - | $3,393 | | Telephone Equipment | $12,086 | - | - | $12,086 | | Office Furniture | $31,972 | - | - | $31,972 | | Total accumulated depreciation | $370,914 | $12,588 | - | $383,502 | Capital assets, net $24,923 $ (12,588) $ - $12,335 Depreciation expense included in indirect expenses for the year ended June 30, 2017 amounted to $12,588. NOTE 4 RECEIVABLES Receivables of the component unit as of June 30, 2017, as shown in the government-wide financial statements, in the aggregate, including retention, are as follows: | Receivables | Amount | |-----------------|--------------| | Grants | $14,383,963 | | Notes | 150,000 | | Unbilled | 31,530,596 | | Retention | 873,136 | | Interest | 3,670 | | **Total** | **$46,941,365** | NOTE 5 METRO PROMISSORY NOTE PAYABLE In June 2013, ACE entered into a promissory note to borrow up to $45,000,000, in variable rate, from the Metro to be used as working capital. The note payable balance outstanding at June 30, 2017 amounted to $45,000,000. Interest rates vary according to market conditions and have ranged from 1.26% to 1.60%. Proceeds from the note payable have been used to pay for construction activities. The principal amount of the loan is to be used as working capital pursuant to the terms of the *Alameda Corridor East Phase II Grade Separations Master Funding Agreement* ("Master Agreement"), dated June 14, 2013. Except as otherwise provided in the Master Agreement and the promissory note, including, but not limited to, Metro's right to set off against the Measure R and/or Proposition C funds reimbursement due borrower, the entire unpaid balance of the working capital loan, all accrued and outstanding CP costs and any fees are unsecured and due on September 9, 2023, ten years after the first drawdown date. Because this is a revolving construction fund provided by Metro to facilitate the payment to the project contractors of ACE, this loan is not considered as a long-term debt. NOTE 6 GRANT ACCOUNTING During the year ended June 30, 2017, ACE was the recipient, primarily from the Federal Department of Transportation through the California Department of Transportation (Caltrans), of cost reimbursement type grants. There were also California transportation programs paid through Caltrans. Local share was received from Metro. All of these grants are expenditure driven; funds must be expended before reimbursement is received. Certain amounts have been held back by the grantor agency pending completion of certain phases of contracted work and some costs incurred are subject to disallowance. NOTE 6 GRANT ACCOUNTING (CONTINUED) Receivable amounts at June 30, 2017, are shown net of disallowed costs. CalTRANS approved, under Uniform Guidance Section 2 CFR 200.516, an indirect overhead allocation formula of 157.2% of total direct salaries and fringe benefit costs. Indirect costs incurred in the fiscal year ended June 30, 2017 were $3,108,165. NOTE 7 ADMINISTRATIVE EXPENSES The following were the administrative expenses of the primary government for the year ended June 30, 2017: | Administrative Expenses | Amount | |-----------------------------------------|----------| | Salaries & wages | $264,533 | | Fringe benefits - allocated | 90,244 | | Rent - other | 45,648 | | Utilities | 3,366 | | Postage | 737 | | Office supplies | 2,297 | | Printing/publications | 7,171 | | Insurance | 3,767 | | Dues and subscriptions | 1,246 | | Meetings/travel | 21,453 | | Administrative fees | 2,743 | | Office expense | 6,191 | | Storage | 1,803 | | Equipment and soft acquisition | 3,844 | | Webpage/software services | 1,631 | | General assembly expense | 11,815 | | Grant writing services | 47,041 | | Professional services | 190,940 | | Legal | 31,638 | | **Total** | **$738,108** | NOTE 8 RELATED PARTY TRANSACTIONS The ACE billed SGVCOG a total of $95,928 for transportation technical support, administrative and accounting support, and travel expenses. NOTE 9 EMPLOYEE BENEFIT PLAN A. General Information about the Pension Plans Plan Description SGVCOG’s employee benefit plan was assigned to its component unit, ACE. SGVCOG does not have employees enrolled under the Classic Plan and currently represent 85% share of the PEPRA Plan. All qualified permanent and probationary employees are eligible to participate in ACE’s Miscellaneous Employee Pension Plan, a cost-sharing multiple employer defined benefit pension plan administered by the California Public Employees’ Retirement System (CalPERS). Benefit provisions under the Plan are established by State statute and ACE resolution. CalPERS issues publicly available reports that include a full description of the pension plan regarding benefit provisions, assumptions and membership information that can be found on the CalPERS website. Classic participants (defined as eligible participants prior to January 1, 2013) are required to contribute 7% of their annual covered salary. New participants (defined as eligible employees brought into CalPERS membership for the first time on or after January 1, 2013 PEPRA) contribute at least half the normal cost rate as determined by CalPERS. ACE contributes the remaining amounts necessary to fund the benefits for its employees, using the actuarial basis adopted by the CalPERS Board of Administration. Benefits Provided CalPERS provides service retirement and disability benefits, annual cost of living adjustments and death benefits to plan members, who must be public employees and beneficiaries. Benefits are based on years of credited service, equal to one year of full time employment. Members with five years of total service are eligible to retire at age 50 with statutorily reduced benefits. All members are eligible for non-duty disability benefits after 10 years of service. The death benefit is one of the following: the Basic Death Benefit, the 1957 Survivor Benefit, or the Optional Settlement 2W Death Benefit. The cost of living adjustments for each plan are applied as specified by the Public Employees’ Retirement Law. NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) The Plan’s provisions and benefits in effect at June 30, 2017, are summarized as follows: | | Classic | PEPRA | |------------------------|---------------|---------------| | Hire date | Jan. 1, 2013 | On or after | | Benefit formula | 2% @ 55 | 2% @ 62 | | Benefit vesting schedule | 5 years service | 5 years service | | Benefit payments | monthly for life | monthly for life | | Retirement age | 50 - 55 | 52 - 67 | | Monthly benefits, as a % of eligible compensation | 2.0% to 2.7% | 1.0% to 2.5% | | Required employee contribution rates | 7.00% | 6.25% | | Required employer contribution rates | 8.38% | 6.25% | Contributions Section 20814(c) of the California Public Employees’ Retirement Law requires that the employer contribution rates for all public employers be determined on an annual basis by the actuary and shall be effective on the July 1 following notice of a change in the rate. Funding contributions for both Plans are determined annually on an actuarial basis as of June 30 by CalPERS. The actuarially determined rate is the estimated amount necessary to finance the costs of benefits earned by employees during the year, with an additional amount to finance any unfunded accrued liability. ACE is required to contribute the difference between the actuarially determined rate and the contribution rate of employees. For the year ended June 30, 2017, the contributions recognized as part of pension expense for the Plan were as follows: | Miscellaneous Plan | Contributions - employer | $469,362 | B. Pension Liabilities, Pension Expenses and Deferred Outflows/Inflows of Resources Related to Pensions As of June 30, 2017, SGVCOG and ACE reported net pension liabilities for their proportionate shares of the net pension liability of the Plan as follows: | Proportionate Share of Net Pension Liability | SGVCOG | ACE | |---------------------------------------------|--------|-----| | Miscellaneous Plan | $85,698 | $888,148 | NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) The net pension liability (asset) for the Plan is measured as the proportionate share of the net pension liability (asset). The net pension liability (asset) of the Plan is measured as of June 30, 2016, and the total pension liability for the Plan used to calculate the net pension liability was determined by an actuarial valuation as of June 30, 2015 rolled forward to June 30, 2016 using standard update procedures. SGVCOG’s and ACE’s proportion of the net pension liability was based on a projection of its long-term share of contributions to the pension plan relative to the projected contributions of all participating employers, actuarially determined. Effective for measurement period 2015, CalPERS provides the GASB Statement No. 68 Accounting Valuation Report for the miscellaneous risk pool and allocation methodology to be used by participants in the risk pool. The schedules of employer allocation include three ratios. It includes allocation for the Total Pension Liability, Plan Fiduciary Net Position and all other pension amounts (e.g. deferred outflows/inflows of resources and pension expense). The Total Pension Liability is allocated based on the Actuarial Accrued Liability from the most recent Actuarial Valuation Report as of June 30, 2015 used for funding purposes. The Plan Fiduciary Net Position is allocated based on the sum of the Plan’s Market Value of Assets from the most recent Actuarial Valuation as of June 30, 2015 used for funding purposes plus supplemental payments made by employers during the current measurement period to reduce their unfunded actuarial accrued liabilities. All other pension amounts (deferred outflows/inflows of resources and pension expense) are allocated based on the legally or statutorily required employer contributions for the fiscal year ended June 30, 2016, including reported contribution adjustments and suspended payroll information. The SGVCOG’s and ACE’s proportionate share for pension items as provided by CalPERS are as follows: | 2017 Miscellaneous | | |---------------------|-------| | Total pension liability | 0.0005212 | | Plan fiduciary net position | 0.0005978 | | All other pension amounts (deferred outflows/inflows of resources and pension expense) | 0.0007990 | At June 30, 2017, SGVCOG and ACE reported deferred outflows of resources and deferred inflows of resources related to pensions from the following sources: | Miscellaneous Plan | SGVCOG | ACE | |--------------------|--------|-----| | | Deferred Outflows of Resources | Deferred Inflows of Resources | Deferred Outflows of Resources | Deferred Inflows of Resources | | Pension contributions subsequent to measurement date | $66,429 | - | $1,360,867 | - | | Differences between actual and expected experience | 1,155 | (195) | 11,970 | (2,024) | | Changes in assumption | - | (10,927) | - | (113,244) | | Changes in proportions | - | (2,602) | - | (26,968) | | Differences in employer's proportion | 4,677 | (32,271) | 48,468 | (334,448) | | Differences between the employer's contribution and the employer's proportionate share of contributions | 15,701 | (3,736) | 162,724 | (38,714) | | Net differences between projected and actual earnings on pension plan investments | 60,791 | - | 630,019 | - | $148,753 $ (49,731) $2,214,048 $(515,398) SGVCOG and ACE reported $66,429 and $1,360,867, respectively, as deferred outflows of resources related to contributions subsequent to the measurement date that will be recognized as a reduction of the net pension liability in the year ending June 30, 2018. NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) Other amounts reported as deferred outflows of resources and deferred inflows of resources related to pensions will be recognized as pension expense as follows: | Year ending June 30 | SGVCOG | ACE | |---------------------|----------|---------| | 2018 | $2,217 | $22,978 | | 2019 | 2,857 | 29,608 | | 2020 | 16,651 | 172,562 | | 2021 | 10,868 | 112,635 | **Actuarial Assumptions** The total pension liabilities in the June 30, 2015 actuarial valuations were determined using the following actuarial assumptions: | Miscellaneous | |--------------------------------| | Valuation Date | June 30, 2015 | | Measurement Date | June 30, 2016 | | Actuarial Cost Method | Entry-Age Normal Cost Method | | Actuarial Assumptions: | | Discount Rate | 7.65% | | Inflation | 2.75% | | Payroll Growth | 3.00% | | Projected Salary Increase | (1) | | Investment Rate of Return | 7.5% (2) | | Mortality | (3) | | Post-Retirement Benefit Increase | (4) | (1) Varies by entry age and service (2) Net of pension plan investment and administrative expenses, including inflation (3) Derived using CalPERS’ Membership Data for all funds (4) Contract COLA up to 2.75% until Purchasing Power Protection Allowance Floor on Purchasing Power applies, 2.75% thereafter The underlying mortality assumptions and all other actuarial assumptions used in the June 30, 2015 valuation were based on the results of a January 2015 actuarial experience study for the period 1997 to 2011. Further details of the Experience Study can be found on the CalPERS website. Discount Rate The discount rate used to measure the total pension liability was 7.65 percent. To determine whether the municipal bond rate should be used in the calculation of a discount rate for each plan, CalPERS stress tested plans that would most likely result in a discount rate that would be different from the actuarially assumed discount rate. Based on the testing, none of the tested plans run out of assets. Therefore, the current 7.65 percent discount rate is adequate and the use of the municipal bond rate calculation is not necessary. The long term expected discount rate of 7.65 percent will be applied to all plans in the Public Employees Retirement Fund (PERF). The stress test results are presented in a detailed report that can be obtained from the CalPERS website. The long-term expected rate of return on pension plan investments was determined using a building-block method in which best-estimate ranges of expected future real rates of return (expected returns, net of pension plan investment expense and inflation) are developed for each major asset class. The table below reflects the long-term expected real rate of return by asset class. The rate of return was calculated using the capital market assumptions applied to determine the discount rate and asset allocation. These rates of return are net of administrative expenses. | Asset Class | New Strategic Allocation | Real Return Years 1 - 10(a) | Real Return Years 11+(b) | |------------------------------|--------------------------|----------------------------|--------------------------| | Global Equity | 51% | 5.25% | 5.71% | | Global Fixed Income | 20% | 0.99% | 2.43% | | Inflation Sensitive | 6% | 0.45% | 3.36% | | Private Equity | 10% | 6.83% | 6.95% | | Real Estate | 10% | 4.50% | 5.13% | | Infrastructure and Forestland| 2% | 4.50% | 5.09% | | Liquidity | 1% | -0.55% | -1.05% | | Total | 100% | | | (a) An expected inflation of 2.5% used for this period. (b) An expected inflation of 3.0% used for this period. NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) Sensitivity of the Proportionate Share of the Net Pension Liability to Changes in the Discount Rate The following presents SGVCOG’s and ACE’s proportionate share of the net pension liability for the Plan, calculated using the discount rate for the Plan, as well as what its proportionate share of the net pension liability would be if it were calculated using a discount rate that is 1-percentage point lower or 1-percentage point higher than the current rate: | | SGVCOG | ACE | |--------------------------------|----------|----------| | 1% Decrease | 6.65% | 6.65% | | Net Pension Liability | $174,601 | $1,809,504 | | Current Discount Rate | 7.65% | 7.65% | | Net Pension Liability | $85,698 | $888,148 | | 1% Increase | 8.65% | 8.65% | | Net Pension Liability | $12,225 | $126,693 | C. Pension Plan Fiduciary Net Position Detailed information about the pension plan’s fiduciary net position is available in the separately issued CalPERS financial reports. D. Payable to the Pension Plan At June 30, 2017, SGVCOG and ACE did not have outstanding amount of contributions to the pension plan required for the year ended June 30, 2017. Other Postemployment Benefits SGVCOG and ACE did not incur any other liabilities during the year 2017 related to other postemployment benefits. NOTE 9 EMPLOYEE BENEFIT PLAN (CONTINUED) Deferred Compensation Plan ACE has entered into a salary reduction deferred compensation plan for its employees. The plan allows employees to defer a portion of their current income from state and federal taxation. Employees may withdraw their participation at any time by giving written notice at least a week in advance prior to the effective date of the withdrawal. At June 30, 2017, plan assets totaling $1,578,809 were held by independent trustees and, as such, are not reflected in the accompanying basic financial statements. All amounts of compensation deferred under the plans are solely the property and rights of each beneficiary (pursuant to legislative changes effective 1998 to the Internal Revenue Code Section 457, this includes all property and rights purchased and income attributable to these amounts until paid or made available to the employee or other beneficiary). NOTE 10 COMMITMENTS AND CONTINGENCIES Primary government: The SGVCOG is involved in claims arising from the normal course of business. After consultation with legal counsel, management estimates that these matters will be resolved without material effect on the SGVCOG’s financial position. The SGVCOG has entered into an office space lease agreement covering the period from January 1, 2013 to December 31, 2017. Future minimum rental payments including tenant improvements are as follows: | Year ending June 30 | Amount | |---------------------|--------| | 2018 | $32,936| | Total | $32,936| Component unit: As mentioned in Note 6, ACE receives reimbursement type grants from federal, state and local sources. Certain expenditures are not allowable and not subject to reimbursement. Also, there may be disallowed costs. Management's experience in this regard indicates disallowances, if any, will not be material. NOTE 10 COMMITMENTS AND CONTINGENCIES (CONTINUED) In the ordinary course of its operations, ACE is the subject of claims and litigations from outside parties. In the opinion of management, there is no pending litigation or unasserted claims, the outcome of which would materially affect ACE’s financial position. ACE leases its office from Metropolitan Life Insurance Company subject to a lease expiring April 30, 2018. The monthly base rent, as defined in the lease agreement, follows: | Period from / to | Monthly Rent | Annual Amount | |---------------------------|--------------|---------------| | May 1, 2017 to April 30, 2018 | $20,834 | $250,009 | | May 1, 2018 to April 30, 2019 | ++ | 21,188 | 254,259 | | May 1, 2019 to April 30, 2020 | ++ | 21,824 | 261,887 | | May 1, 2020 to April 30, 2021 | ++ | 22,479 | 269,743 | Total lease commitments $1,035,898 ++ Proposed Escrow Agreements for Contract Retention Pursuant to contracts entered into between ACE and several of its contractors, funds are deposited with an Escrow Agent. The Escrow Agent holds the fund for the benefit of the contractors until the escrow is terminated. The Escrow Agent, contractor or ACE may terminate this Escrow Agreement, with or without cause, by providing 30 days prior written notice to the other parties. In the event of termination of this Escrow Agreement, all the funds on deposit shall be paid to ACE and any accrued interest less escrow fees shall be paid to the contractor. ACE has recognized expenditures related to contract retention payments totaling $14,890,552 for the fiscal year ended June 30, 2017. Funds are deposited in several escrow accounts until release to the contractor is authorized. NOTE 11 CONSTRUCTION IN PROGRESS AND TRANSFER OF COMPLETED PROJECTS Except for minor acquisitions that may be sold by ACE when no longer needed, all of the construction projects, when completed, will be deeded to the UPRR and the cities in which they are located at no cost to the acquirer. At June 30, 2017, $695,912,451 of costs was accumulated on projects in process and $463,758,906 had been transferred to UPRR and impacted cities. Under the modified accrual basis of accounting project expenditures would be reported as expenditures in the year incurred. On the government-wide financial statements conforming to GASB 34 reporting on these transactions presents a challenge. Accumulating those costs as construction in progress (i.e., treated as a cash flow expenditure and not a current year expense) would substantially overstate income while reporting the disposal and expensing the accumulated costs would distort the cost of operations. In both cases, net position would greatly fluctuate, depending on the timing of construction and transfer of the completed projects. To alleviate this situation, management has elected to record a liability (same amount as the construction in progress) to UPRR and governments likely to be the eventual owner of the improvements/grade separations. This approach will minimize the effects both the acquisition of property for construction and the accumulation of construction costs and their eventual disposal. NOTE 12 SUBSEQUENT EVENTS The SGVCOG has evaluated events subsequent to June 30, 2017, to assess the need for potential recognition or disclosure in the financial statements. Such events were evaluated through January 31, 2018, the date the financial statements were available to be issued. Based upon this evaluation, there were no subsequent events that require recognition or additional disclosure in the financial statements. REQUIRED SUPPLEMENTARY INFORMATION ## San Gabriel Valley Council of Governments ### Schedule of Proportionate Share of the Net Pension Liability #### Last Ten Years* | | June 30, 2017 | | | June 30, 2016 | | | June 30, 2015 | | | |--------------------------------|---------------|-------|-------|---------------|-------|-------|---------------|-------|-------| | | Miscellaneous Plan | | | Miscellaneous Plan | | | Miscellaneous Plan | | | | | SGVCOG | ACE | | SGVCOG | ACE | | SGVCOG | ACE | | | Proportion of the net pension liability | 0.02803% | 0.02803% | | 0.000158% | 0.04943% | | 0.00001% | 0.01668% | | | Proportionate share of the net pension liability (asset) | $85,698 | $888,148 | | $(1,407) | $834,578 | | $538 | $1,038,163 | | | Covered - employee payroll (1) | $250,677 | $3,422,438 | | $164,916 | $2,824,589 | | $155,191 | $2,786,268 | | | Proportionate share of the net pension liability as percentage of covered-employee payroll | 34.19% | 25.95% | | -0.85% | 29.55% | | 0.35% | 37.26% | | | Plan's proportionate share of the fiduciary net position as a percentage of the plan's total pension liability | 12.98% | 12.98% | | 108.71% | 87.61% | | 83.02% | 83.03% | | | Plan's proportionate share of aggregate employer contributions (2) | $243,174 | $243,174 | | $15,076 | $393,080 | | $88 | $137,329 | | **Notes to Schedule** 1. Covered-Employee Payroll represented above is based on pensionable earnings provided by the employer. However, GASB 68 defines covered-employee payroll as the total payroll of employees that are provided pensions through the pension plan. Accordingly, if pensionable earnings are different than total earnings for covered-employees, the employer should display in the disclosure footnotes the payroll based on total earnings for the covered group and recalculate the required payroll-related ratios. 2. The plan’s proportionate share of aggregate employer contributions may not match the actual contributions made by the employer during the measurement period. The plan’s proportionate share of aggregate contributions is based on the plan’s proportion of fiduciary net position shown on line 5 of the table above as well as any additional side fund (or unfunded liability) contributions made by the employer during the measurement period. * Fiscal year 2015 was the 1st year of implementation, therefore, only three years are shown. ## San Gabriel Valley Council of Governments ### Schedule of Pension Contributions #### Last Ten Years* | | 2017 | | 2016 | | 2015 | | |----------------------|------------|----------|------------|----------|------------|----------| | | SGVCOG | ACE | SGVCOG | ACE | SGVCOG | ACE | | Actuarially determined contributions | $66,429 | $527,296 | $8,824 | $318,540 | $8,214 | $288,094 | | Contributions in relation to the actuarially determined contributions | $(66,429) | $(527,296)| $(8,824) | $(318,540)| $(8,214) | $(288,094)| | Contribution deficiency (excess) | $- | $- | $- | $- | $- | $- | | Covered-Employee Payroll | $358,859 | $3,422,438 | $164,916 | $2,824,589 | $155,191 | $2,786,268 | | Contributions as a percentage of covered-employee payroll | 18.51% | 15.41% | 5.35% | 11.28% | 5.29% | 10.34% | **Notes to Schedule:** Valuation date: June 30, 2015 **Methods and assumptions used to determine contribution rates:** - **Actuarial Cost Method**: Entry age normal - **Amortization method / Period**: Level percent of payroll - **Remaining amortization period**: 15 years as of valuation date - **Asset valuation method**: 5 year Smoothed Market - **Inflation**: 2.75% - **Salary increases**: Varies by Entry Age and Service - **Investment rate of return**: 7.50%, net of pension plan investment expense and administrative expenses including inflation - **Retirement age**: 55 years - **Mortality**: Derived using CalPERS Membership Data for all funds * Fiscal year 2015 was the first year of implementation, therefore only three years are shown. SUPPLEMENTARY INFORMATION ## San Gabriel Valley Council of Governments ### Statement of Revenues, Expenditures, and Changes in Fund Balances – Component Unit #### Budget to Actual Year ended June 30, 2017 | | Budgeted Amounts | Amended Final | Actual Amounts | Variance Positive (Negative) | |--------------------------------|------------------|---------------|----------------|-------------------------------| | **Revenues** | | | | | | Reimbursements | | | | | | Federal grants | $3,684,740 | $3,700,945 | $6,026,263 | $2,325,318 | | State grants | 101,321,172 | 101,766,761 | 56,234,202 | (45,532,559) | | Local grants | 22,446,639 | 22,545,354 | 23,912,324 | 1,366,970 | | Betterment - Other | 4,986,912 | 5,008,844 | 17,943,466 | 12,934,622 | | **Total revenues** | 132,439,463 | 133,021,904 | 104,116,255 | (28,905,649) | | **Operating expenditures** | | | | | | Construction | | | | | | Design | 7,569,842 | 7,569,842 | 3,683,461 | (3,886,381) | | Right-of-way acquisition | 19,052,985 | 19,052,985 | 9,074,042 | (9,978,943) | | Construction management | 15,533,366 | 15,533,366 | 15,059,411 | (473,955) | | Construction | 82,976,627 | 82,976,627 | 60,726,190 | (22,250,437) | | Betterments | 4,247,586 | 4,247,586 | 12,562,185 | 8,314,599 | | **Total construction** | 129,380,406 | 129,380,406 | 101,105,289 | (28,275,117) | | Indirect | | | | | | Personnel | | | | | | Salaries and wages | 1,476,847 | 1,476,847 | 1,542,894 | 66,047 | | Fringe benefits | 766,027 | 1,348,468 | 1,332,772 | (15,696) | | Employee related expenses | 37,300 | 37,300 | 32,172 | (5,128) | | Professional services | | | | | | Auditing/accounting | 41,504 | 41,504 | 48,724 | 7,220 | | Legal | 25,000 | 25,000 | 23,498 | (1,502) | | Brokerage | 65,000 | 65,000 | 51,271 | (13,729) | | Insurance | 230,000 | 230,000 | 170,984 | (59,016) | | Equipment expense | 112,628 | 112,628 | 69,409 | (43,219) | | Office rental expense | 244,451 | 244,451 | 246,902 | 2,451 | | Office operations | 52,500 | 52,500 | 39,328 | (13,172) | | Other | 7,800 | 7,800 | 11,007 | 3,207 | | Applied (under) indirect expense | - | - | (557,995) | (557,995) | | **Total indirect** | 3,059,057 | 3,641,498 | 3,010,966 | (630,532) | | **Total operating expenditures**| 132,439,463 | 133,021,904 | 104,116,255 | (28,905,649) | | **Excess revenues over expenditures** | - | - | - | - | | **Other financing sources (uses)** | | | | | | Investment revenue | 466,300 | 466,300 | 597,423 | 131,123 | | Interest and related expenses | (421,000) | (421,000) | (1,129,119) | (708,119) | | Non-project reimbursable funds | 352,436 | 352,436 | 371,342 | 18,906 | | Non-project reimbursable expense | (352,436) | (352,436) | (371,342) | (18,906) | | Intercompany revenue | 51,246 | 51,246 | 96,147 | 44,901 | | Intercompany expense | (51,246) | (51,246) | (96,147) | (44,901) | | **Net other financing sources (uses)** | 45,300 | 45,300 | (531,696) | (576,996) | | **Change in fund balance** | 45,300 | 45,300 | (531,696) | (576,996) | | **Fund balance at beginning of year** | 14,539,215 | 14,539,215 | 14,539,215 | - | | **Fund balance at end of year** | $14,584,515 | $14,584,515 | $14,007,519 | $(576,996) | Report of Independent Auditors on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Basic Financial Statements Performed in Accordance with Government Auditing Standards Members of the Governing Board San Gabriel Valley Council of Governments We have audited, in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in *Government Auditing Standards*, issued by the Comptroller General of the United States, the financial statements of the business-type activities and the discretely presented component unit of the San Gabriel Valley Council of Governments (the SGVCOG) as of and for the year ended June 30, 2017 and the related notes to the financial statements, which collectively comprise the SGVCOG’s basic financial statements and have issued our report thereon dated January 31, 2018. **Internal Control over Financial Reporting** In planning and performing our audit of the financial statements, we considered the SGVCOG’s internal control over financial reporting (internal control) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the SGVCOG’s internal control. Accordingly, we do not express an opinion on the effectiveness of the SGVCOG’s internal control. A *deficiency in internal control* exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct misstatements on a timely basis. A *material weakness* is a deficiency, or combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. A *significant deficiency* is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over financial reporting that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weakness. However, material weaknesses may exist that have not been identified. Compliance and Other Matters As part of obtaining reasonable assurance about whether the SGVCOG’s financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. Los Angeles, California January 31, 2018 Vasquez & Company LLP has over 45 years of experience in performing audit, accounting & consulting services for all types of nonprofit organizations, for-profit companies, governmental entities and publicly traded companies. Vasquez is a member of the RSM US Alliance. RSM US Alliance provides its members with access to resources of RSM US LLP. RSM US Alliance member firms are separate and independent businesses and legal entities that are responsible for their own acts and omissions, and each are separate and independent from RSM US LLP. RSM US LLP is the U.S. member firm of RSM International, a global network of independent audit, tax, and consulting firms. Members of RSM US Alliance have access to RSM International resources through RSM US LLP but are not member firms of RSM International. Visit rsmus.com/about-us for more information regarding RSM US LLP and RSM International. The RSM™ logo is used under license by RSM US LLP. RSM US Alliance products and services are proprietary to RSM US LLP. 801 South Grand Avenue, Suite 400 • Los Angeles, California 90017-4646 • Ph. (213) 873-1700 • Fax (213) 873-1777

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EXECUTIVE COMMITTEE MINUTES September 12, 2022 Members present: Brenda Alcala, Jorden Jessup, Barry Leahy, Joshua Wood Members absent: Don Gurnard, Beverly Jagla Staff present: Rachel Evey, Mireya Sanchez CALL TO ORDER 4:02pm 1) CONSENT AGENDA B. Committee Reports A. June 2022 Minutes approved without changes or dissent 2) TREASURER'S REPORT – Brenda Alcala B. Balance Sheet- balance at CFNCW up from June. Clarifications on amount invested at community foundation vs. total asset amount. A. Income Statement (Restricted and Unrestricted)- little activity over the summer, with exceptions of Gifts, Grants &Awards to the college shown under expenses. Majority is the President's discretionary fund. C. Monthly Gift Report- large increase from last year due to large estate gifts received this year toward endowments and scholarships. 3) REPORT FROM THE COLLEGE – Rachel Evey B. Tomorrow is president's day here at WVC. Kickoff to being back on campus this year with everyone back in person (some hybrid options are still being offered). President Richardson will address and there is a keynote speaker. A. Application deadline for presidential search is at the end of this month. Brenda Alcala will be meeting with selection committee soon to go over those applications. Timeline available on the college's website. Goal is to offer the position to a selected candidate in November. C. Enrollment only down by around 1.5% this fall versus last fall, which is a huge recovery based on expectations. Running start numbers have continued to decline, but traditional student numbers have increased. D. Classes start on the 19 th . 4) EXECUTIVE DIRECTOR REPORT – Rachel Evey A. Scholarship Program- changes incoming to the structure of the scholarship program. Only offering quarterly scholarship application. This means we will not have our traditional application offered in the winter/spring months for the following academic year. All applications will be available 6-8 weeks prior to the start of the quarter they are intended for. Awarded funding is good through the end of the academic year students enroll in, so they will not have to reapply for scholarships each quarter. We will also be piloting the multi-year awarding program to provide students funding for the entirety of their program length. If they do not receive funds the first time applying, they will have the option to apply again. C. Foundation Staff- Ellora La Shier will be out November-February at the earliest, Brenda Magaña-Galvan will be out December-March at the earliest. Arrangements have been made to have a PT hourly person to help with scholarship work, with other annual giving duties split between remaining foundation staff. Discussion is being held with Cordell Neher to contract bookkeeping services in Brenda's absence. Question to clarify the scope of work for the PT scholarship person- they will have about a month to train with foundation staff and shown the methods of evaluation and selection. Workplan for events and most other concerns should be sustainable. Some projects will be outsourced, including the scholarship booklet. B. Athletics Program- new Director, Asst. Director and completely new coaching staff for all teams. Rachel Evey presented to coaches about how to fundraise with the foundation. We anticipate a much closer partnership with Athletics this year, as far as fundraising efforts go and that will result in the foundation receiving the management fees as well. D. Workshop Series Partnership- a corporate donor, Moss Adams is interested in partnering with TRIO/SSS and the Foundation to offer a series of workshops focused around career prep and networking. Fall Quarter will offer resume writing, networking, utilizing social media. Winter Quarter will offer individual industry focus with presentations. Spring Quarter will offer internship or work study opportunities. We anticipate outsourcing the workshop content (SkillSource or WorkSource), so the foundation would be here to promote it and offer the community connection. Alumni network is part of the foundation, but very quiet, so this would help rejuvenate that area of operations. F. Community Involvement- Rachel Evey serves on Estate Planning Council, this year as their Vice President/Treasurer. She is also serving as a board member for the Wenatchee Rotary, and this year as the chairperson of WAFL. Maintaining community connections is a major investment for the Foundation. E. Hispanic Business Council- Rachel Evey was invited to speak to the council and presented what the foundation does, our student demographic, etc. This is a potential resource for future board members to expand our demographic as discussed in previous executive committee sessions. 5) OLD BUSINESS B. At-Large Position- vacant position on exec committee. Brett Peterson had been recommended but has not expressed interest. Suggestion that another board member be considered. Proposal to wait until after the board retreat to submit suggestions, as it will give everyone a better idea of who might be a good fit for the position. Already have representation from all committees. Discussion deferred until after the retreat for the next executive committee session. A. Board Retreat- Monday September 19. Hosted at Cordell Neher this year starting with lunch/social time. SWOT analysis to establish goals and strategy for the year. Previous discussions have included emergency funding, student housing and family support. End of the day will include social at Watermill on the Ave. Board members and their partners are invited, along with the college's cabinet and trustees. C. RFP for Banking Services- significant issues with CVB have led to consideration to switch to another bank, as CVB does not link with our financial management software any longer. With Brenda Magana-Galvan being out for an extended period of time this year, it is recommended that this decision be deferred until we have a full-time accountant back in the office. Consensus to defer any changes until such time. 6) NEW BUSINESS B. Report to the Full Board A. 2022-23 Calendar- Newer format to show a better physical representation quarter-byquarter. Spring events are planned, but dates are TBD and so are not displayed on the calendar. Discussion regarding setting an estimate of necessary volunteers for each event to notify board members ahead of time. This will give all board members an opportunity to look ahead and hopefully get a better response from the board at large. ADJOURNMENT 4:51pm Minutes taken by Mireya Sanchez

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Claimant Cynthia Lapcheske filed a petition in arbitration on April 26, 2017, alleging she sustained injuries to her right shoulder and body as a whole while working for the defendant, Polk County, Iowa ("Polk County"), on December 29, 2015. Polk County filed an answer on May 15, 2017, denying Lapcheske sustained a work injury. An arbitration hearing was held on May 1, 2018, at the Division of Workers' Compensation in Des Moines, Iowa. Attorney Mark Hedberg represented Lapcheske. Lapcheske appeared and testified. Braedi Gloschen and Michael Lapcheske were also present, but did not testify. Assistant Polk County Attorneys Meghan Gavin and Julie Bussanmas represented Polk County. Joint Exhibits ("JE") 1 through 4, Exhibits 1 and 2, and A through AA were admitted into the record. The record was held open through May 14, 2018, for the receipt of post-hearing briefs. The briefs were received and the record was closed. After the record was closed the parties submitted a joint amendment to the hearing report on May 29, 2018, correcting the commencement date for permanent partial disability benefits to March 29, 2016. I reopened the record for the receipt of the amendment and the record was closed. Before the hearing the parties prepared a hearing report, listing stipulations and issues to be decided. Polk County waived all affirmative defenses. **STIPULATIONS** 1. An employer-employee relationship existed between Polk County and Lapcheske at the time of the alleged injury. 2. If the alleged injury arose out of and in the course of Lapcheske's employment with Polk County, the alleged injury is a cause of temporary disability, during a period of recovery. 3. If the alleged injury arose out of and in the course of Lapcheske’s employment with Polk County, the alleged injury is a cause of permanent disability. 4. Lapcheske was off work from December 29, 2015 through March 28, 2016, and she worked twenty-five hours per week from March 29, 2016 through April 8, 2016. 5. If Polk County is liable for the alleged injury, Lapcheske is entitled to temporary benefits from December 29, 2015 through April 8, 2016. 6. If the injury is found to be a cause of permanent disability, the disability is an industrial disability. 7. If the injury is found to be a cause of permanent disability, the commencement date for permanent partial disability benefits, if any are awarded, is March 29, 2016. 8. At the time of the alleged injury, Lapcheske’s gross earnings were $1,147.08 per week, she was married and entitled to two exemptions, and the parties believe the weekly rate to be $716.87. 9. Medical benefits are no longer in dispute. 10. Polk County is entitled to a credit of $31,662.26 paid by Lapcheske’s group health insurance plan. 11. Costs have been paid. **ISSUES** 1. Did Lapcheske sustain an injury on December 29, 2015, which arose out of and in the course of her employment with Polk County? 2. If Lapcheske sustained an injury arising out of and in the course of her employment with Polk County, what is the extent of disability? 3. Should costs be awarded to either party? **FINDINGS OF FACT** Lapcheske grew up in Marshalltown, Iowa. (Exhibit Z, pages 27-28) When she was eighteen she moved to Des Moines to attend AIB College of Business (“AIB”). (Ex. Z, p. 28) Lapcheske graduated with an associate’s degree from AIB in 1982. (Ex. Z, p. 28) After several years Lapcheske enrolled in additional classes at Grand View University. (Ex. Z, p. 28) Lapcheske later returned to AIB and earned a Bachelor of Science degree in accounting. (Ex. Z, p. 28) Lapcheske is right-hand dominant. (Tr., p. 18) At the time of the hearing she was fifty-six. (Transcript, p. 23) Lapcheske has worked since she was fourteen years old. (Tr., p. 18) Lapcheske has worked in the accounting field since she moved to Des Moines as an adult. Lapcheske worked for Blue Cross Blue Shield of Iowa and then for Blue Cross Blue Shield of Louisiana, auditing hospitals and in-home health agencies for Medicare and Medicaid compliance for six years. (Tr., p. 20) Lapcheske hauled heavy audit bags to perform her job duties. (Tr., pp. 20-21) Lapcheske initially worked as a cost report specialist. (Tr., p. 21) Lapcheske moved to Blue Cross Blue Shield of Louisiana when she was promoted to a Medicare auditor. (Tr., p. 21) After leaving Blue Cross Blue Shield of Louisiana, Lapcheske worked for Communications Data Services as an accountant, assistant manager, and temporary manager for approximately six years. (Tr., p. 19) Lapcheske sold accounting packages to fulfillment companies and her position required frequent travel. (Tr., p. 19) Lapcheske left Communication Data Services and accepted a position with Wesley Retirement Services as the office manager in accounting. (Tr., p. 18) While working for Wesley Retirement Services she was responsible for accounts payable, accounts receivable, payroll, human resources, and all other office accounting. (Tr., p. 18) Lapcheske worked a lot of overtime, and occasionally moved boxes and filed documents. (Tr., p. 18) After approximately six years, Lapcheske accepted a position with Polk County and she left Wesley Retirement Services. (Tr., p. 18) Lapcheske is a cash management technician for Polk County, in the Treasurer's Office. (Tr., p. 9; Ex. Z, p. 28) Lapcheske has worked for Polk County for twenty years. (Tr., p. 8; Ex. Z, p. 28) As a cash management technician, Lapcheske processes all of the money that flows in and out of Polk County, including cash receipts and ACH disbursements. (Tr., p. 9) One of Lapcheske's primary functions is property tax apportionment, where funds are distributed to different taxing entities. (Tr., p. 9) Lapcheske conducts wire transfers, remote deposits checks, enters data into financial spreadsheets through a keyboard, scans checks with a remote scanner, and runs checks through a repair and transmits the file. (Tr., p. 9) Earlier in her career, Lapcheske worked with large sub ledgers, but now her job is electronic. (Tr., pp. 9-10, Ex. Z, p. 28) On December 29, 2015, Lapcheske arrived at work at approximately 7:50 a.m. (Tr., pp. 10-11; Ex. Z, p. 28) Over the course of the day it snowed three inches. (Tr., p. 11) When Lapcheske arrived at work it had just started snowing lightly. (Tr., p. 11) Exhibit 1 documents it was snowing lightly at the time Lapcheske arrived at work, and it continued to snow the morning of her accident. (Ex. 1) Lapcheske testified, "by the time of the accident it was flurrying, so turned into like blizzard like." (Tr., p. 11) Lapcheske had been entering data on the computer and at 8:38 a.m., she walked from the cash management room to the interior door to the treasurer's office. (Tr., p. 12) Lapcheske testified: [w]ell, I was getting ready to swipe my badge. So we have an access door there and I felt my foot slip on the floor – floor, and then landed on my right arm and then I rolled, ended up on my back, and I immediately started screaming for help. I was screaming so loud the assessor’s office all the way down at the other end of the hallway heard me. That was Keith from the assessor’s office, and then Deb Soda from our office heard me and she opened the door and then I was just – I was so relieved, you know, that someone finely heard me that help was there. My whole body was overcome by the trauma of everything and then other people started arriving and I was in severe pain and waiting for the ambulance to come. And there were several people out there in the hallway by that time. I think ten witnesses or so and they asked me – started asking me questions about how I was feeling and etc., and if I needed a pillow etc., called - our security officer called the ambulance, I believe. (Lapcheske testified at the time of the injury, “I didn’t notice anything, but the floors are slippery. They’re routinely polished with a polishing machine and part marble in one area, which is directly in front of my cash management room, and then around the corner it switches over to cement type of flooring.” (Tr., p. 15) Lapcheske reported the area where she fell is cement that was polished at 5:00 p.m. every day at the time of her injury. (Tr., p. 16) At the time of her injury Lapcheske was responsible for locking the vault, which she did at 5:07 p.m. to 5:10 p.m. (Tr., p. 31) Lapcheske denied the machine used to clean the floors was an industrial vacuum, and relayed “I don’t think so, because it leaves a trail of wet behind it.” (Tr., p. 31) Lapcheske testified at the time of her accident Polk County was treating the floor in the evening, but she does not know whether Polk County only used water on the floor. (Tr., p. 31) John Rowan is the director of general services for Polk County. (Tr., p. 29; Ex. S, p. 19) Rowan did not testify at hearing and Polk County submitted an affidavit from him. (Ex. S, p. 19) Rowan relayed the flooring in the area where Lapcheske fell is made of terrazzo and is not uneven. (Ex. S, p. 19) Rowan relayed the last sealant was applied to the floor in 2011, and the floor is not polished or waxed and is vacuumed clean with water only in the evening. (Tr., p. 30; Ex. S, p. 19) Lapcheske noted everyone in the building knows the floor is slick. (Tr., pp. 16-17) Lapcheske testified she has slipped on the floor before, but caught herself. (Tr., p. 17) Lapcheske testified she fell forward close to the door as she was attempting to access it with her badge. (Tr., p. 27; Ex. Z, pp. 28-31) Lapcheske was wearing flat shoes with tread soles at the time of her accident. (Tr., p. 38) Lapcheske reported when she fell one of her shoes fell off and landed next to the wall next to her. (Tr., pp. 38-39) The Treasurer’s Office has a secure entrance and employees must swipe their badges to enter the office. (Tr., p. 15) Lapcheske relayed, “[s]o the employee’s come from around the corner from the exterior door, which is maybe 50 feet to that area where you swipe your badge, and they come from the outside so they potentially would be standing there with wet boots swiping their badge.” (Tr., p. 15) Polk County does not have any designated parking for Polk County employees. (Tr., p. 33) During cross-examination Lapcheske testified at the time of her accident she parked in a parking ramp and accessed the Polk County Administration Building through the skywalk, but reported most of the employees do not park in the ramp and park in outside parking lots. (Tr., pp. 32-33) Lapcheske acknowledged many Polk County employees park in the parking ramp where she parked at the time of the accident. (Tr., p. 34) Lapcheske was taken to the emergency room where she was diagnosed with a dislocated shoulder and fractured right humerus. (Tr., p. 13) The next day she received surgery. (Tr., p. 13) Lapcheske is a breast cancer survivor. (Tr., p. 26; Ex. Z, p. 31) She does not have any permanent restrictions related to her breast cancer. (Tr., p. 26) Lapcheske also has adult onset diabetes. (Tr., p. 24; Ex. Z, p. 32) Lapcheske relayed she controls her diabetes with insulin and diet. (Tr., p. 25; Ex. Z, pp. 31-32) A medical record from October 2015 documents Lapcheske’s diabetes was uncontrolled. (JE 1, p. 6) A medical record from December 27, 2015, documents her “[s]ugars are running good.” (JE 1, p. 8) Lapcheske has had problems with her cervical spine in the past, and in 2002 she underwent an allograft between C6 and C7. (Tr., p. 24) Lapcheske returned to normal duty without restrictions. (Tr., p. 24) Lapcheske has also had problems with her left shoulder, and she has received injections into her left shoulder, including an injection on December 27, 2015, before the accident. (Tr., p. 26; JE 1, p. 10; Ex. Z, pp. 31-32) Lapcheske relayed her physician told her the injection could increase her blood sugar and she should check her blood sugar two to three times per day. (Tr., pp. 34-35; JE 1, p. 10) Lapcheske took a half dose of a muscle relaxer on Sunday night, and a half dose on Monday night. (Tr., p. 36; Ex. Z, p. 32) Lapcheske reported she went to work on December 28, 2015, and did not have any issues “whatsoever.” (Tr., p. 26) Lapcheske testified that at the time of her work injury she was not having any dizzy spells and she has never had issues with passing out. (Tr., pp. 26-27) She had not checked her blood sugar the morning of the accident. Lapcheske relayed she never lost consciousness at the time of her accident, she was not dizzy or drowsy, she did not have a headache, and she was alert, talking, and answering questions. (Tr., pp. 27, 44-45) The morning of the accident James Jorgenson with Polk County prepared an incident report, as follows: [at] 0849 hours I was notified by telephone that a person was screaming in the hallway by the Treasurer’s office room 154. Upon arrival I found that an employee by the name of Cindy Lapcheske had accidentally slipped and fell on the floor and injured herself. The staff were comforting her and E911 had already been called. DMFD arrived and transported her to Methodist Hospital. While waiting for EMS Cindy said that she isn’t [sic] sure exactly why she fell. When she did fall she said that she tried to brace herself with her arm and injured her finger and arm. She was in severe pain. She advised staff and EMS that she was a cancer survivor and was diabetic. She was also currently taking some muscle relaxing medication. (Lapcheske testified there were a number of Polk County employees who came out when she fell. (Tr., p. 39) Polk County did not call any witnesses at hearing, and submitted written affidavits and statements from Lapcheske’s coworkers. (Exs. B-Y) An affidavit from Rachael Hagedorn documents she observed Lapcheske lying on the floor and Lapcheske was asked what had happened, she replied “she fell and commented about ‘these shoes.’” (Ex. B, p. 2) Hagedorn noted she did not observe any abnormal condition in the hallway that could have caused Lapcheske to slip. (Ex. B, p. 2) Hagedorn also sent an e-mail to Polk County officials stating paramedics asked Lapcheske if she had checked her blood sugar and she said no, but she had just ate, so it should be okay. (Ex. C, p. 3) Glenda Cogley submitted an affidavit reporting she observed Lapcheske lying on the floor in the hallway with one shoe off, and when Lapcheske was asked what happened, Lapcheske “said she thought maybe it was her shoes,” Lapcheske reported she had “taken muscle relaxers,” and the floor looked normal and dry. (Ex. D, p. 4) Cogley sent an e-mail to Polk County officials, noting several people asked Lapcheske if her blood sugar was low, and she said she had just ate something and she did not think so. (Ex. E, p. 5) Cogley sent a second e-mail stating Jorgenson asked Lapcheske if she was taking medication and Lapcheske responded she had taken muscle relaxers, and again reported Lapcheske relayed she did not believe her blood sugar was low because she had just eaten something, and “when her levels are low, she slurs her words and she wasn’t doing that.” (Ex. F, p. 6) An affidavit from Mary Mahnke relays Mahnke observed Lapcheske lying on the floor with one shoe off and when Lapcheske asked what happened Lapcheske "mentioned her shoes were slick on the bottom." (Ex. G, p. 7) Mahnke reported, "I did see a small puddle of water by the door." (Ex. G, p. 7) Mahnke also sent an e-mail to Polk County officials, reporting Lapcheske relayed "she did not lose consciousness when she fell" and documenting she observed the water on the floor by the door. (Ex. H, p. 8) Kyle Rice submitted an affidavit stating he saw Lapcheske lying on the floor with one shoe off, and when Lapcheske was asked what happened, Lapcheske responded, "the shoes she was wearing that day were sometimes slick in the hallway and that is probably why she fell." (Ex. I, p. 9) Rice relayed he did not notice any abnormal condition of the hallway. (Ex. I, p. 9) Rice submitted a written statement, reporting employees "asked about diabetic reaction said she was o.k. for that. She mentioned she was a 10 year cancer survivor and that she had taken a muscle relaxer earlier." (Ex. L, p. 12) An affidavit from Merle Hicks documents Hicks discovered Lapcheske lying on the floor on her back, that Lapcheske stated she did not know what happened, and Hicks did not observe any hazards on the floor. (Ex. K, p. 11) Ben Lacey submitted an affidavit stating he observed Lapcheske lying on the floor in the middle of the hallway with one shoe off, and Lapcheske "reported she was on muscle relaxers." (Ex. M, p. 13) Lacey stated he did not observe anything abnormal about the condition of the hallway. (Ex. M, p. 13) Donald Lewis submitted an affidavit reporting he observed Lapcheske lying on the floor with one shoe off, and when Lapcheske was asked about what happened, Lapcheske "said she was not sure how she had fallen." (Ex. O, p. 15) Lewis relayed he did not see any objects on the floor and the floor did not appear wet. (Ex. O, p. 15) An affidavit from Deb Soda relays she observed Lapcheske lying two feet from the door with her feet facing the wall, and when Lapcheske was asked about what happened, Lapcheske "said she slipped on the floor and tried to catch herself as she fell" and she lost one of her shoes. (Ex. Q, p. 17) Soda relayed she did not see anything on the floor. (Ex. Q, p. 17) Soda sent an e-mail to officials at Polk County reporting she noticed blood on Lapcheske's mouth, like she had bit her tongue, and she "asked her if her sugar was low, because she is a diabetic, and she said she had just eaten something and her sugar should be okay." (Ex. R, p. 18) At hearing and during her deposition Lapcheske denied making a comment about her shoes, and recalled Cogley made a comment about her shoes. (Tr., p. 40; Ex. Z, p. 33) Polk County did not call Cogley as a witness or any other witnesses to rebut Lapcheske's testimony. Polk County denied Lapcheske’s claim, and she used her group health insurance to pay for her treatment. Lapcheske initially attended sixty physical therapy visits, the maximum amount allowed by her insurance. (Tr., p. 14) Lapcheske had to wait six months before she could resume physical therapy, and she received additional treatments. (Tr., p. 14) Lapcheske testified that following surgery her diabetes went out of control due to stress. (Tr., p. 25) Lapcheske returned to work part-time, twenty-five hours per week, and she eventually returned to full-time employment. (Tr., p. 14) Lapcheske testified she received a thirty-five pound restriction from Megan Brady, M.D., her treating orthopedic surgeon. (Tr., p. 14) Lapcheske testified that when she returned to work she had difficulty performing her job due to pain and she continues to have pain. (Tr., p. 17) Lapcheske experiences pain when her “arm is outstretched for any length of time” where she is having to hold it up, and she is able to perform her job duties with her keyboard dropped. (Tr., p. 17) On January 19, 2017, Dr. Brady wrote a letter regarding Lapcheske, which provides: [t]his is a 54-year-old female who is status post open reduction and internal fixation of a right proximal humerus fracture by myself on December 30, 2015. Of note, this is a workman’s compensation injury. The patient did suffer a fall on a wet marble floor. Landing on a wet, slippery, hard surface such as a marble floor did result in a higher-energy fracture than if she would have fallen on carpet. The patient did have a direct fall resulting in a proximal humerus fracture that required surgical fixation. The patient has been doing well overall but does have some decreased range of motion of the right shoulder. She also has some numbness and tingling in her right thumb, index, and long finger. She complains of some dull achiness over the right humerus and having some issues of hygiene secondary to lack of range of motion. The patient had issues with physical therapy being suspended secondary to insurance issues. (JE 2, p. 12) Dr. Brady assessed Lapcheske with a healed right proximal humerus fracture with typical decreased range of motion. (JE 2, p. 12) Sunil Bansal, M.D., an occupational medicine physician, conducted and independent medical examination for Lapcheske on January 25, 2018. (Ex. 3) Dr. Bansal reviewed Lapcheske’s medical records and examined her. (Ex. 3) Dr. Bansal noted Lapcheske sustained a right proximal humerus fracture when she fell at work onto an outstretched arm onto a hard marble floor, which required surgery, and has resulted in a loss of range of motion in her right upper extremity. (JE 3, pp. 25-26) Using Figures 16-40 through 16-46 of the *Guides to the Evaluation of Permanent* Impairment (AMA Press, 5th Ed. 2001) ("AMA Guides"), and comparing to her left shoulder, Dr. Bansal opined: | Range of Motion | % UE Impairment | |-----------------------|-----------------| | Flexion: | 102, 100, and 98 degrees | 5 | | Abduction: | 136, 136, and 134 degrees | 2 | | Adduction: | 39, 39, and 40 degrees | 0 | | External Rotation: | 82, 84, and 81 degrees | 0 | | Extension: | 37, 35, and 39 degrees | 1 | | Internal Rotation: | 55, 58, and 56 degrees | 2 | This equals a 10% upper extremity impairment, which is equal to a 6% impairment of the body as a whole. (JE 3, p. 26) Dr. Bansal recommended permanent restrictions for the right arm of no lifting over twenty-five pounds occasionally, no lifting over ten pounds frequently, and no lifting above shoulder level. (JE 3, p. 27) Charles Mooney, M.D., an occupational medicine physician, conducted an independent medical examination of Lapcheske on April 9, 2018. (JE 4) Dr. Mooney examined Lapcheske and reviewed her medical records. (JE 4) Dr. Mooney assessed Lapcheske with status post proximal humerus fracture requiring internal fixation, after falling on a marble floor with an outstretched arm. (JE 4, p. 41) Using the AMA Guides, Dr. Mooney opined: 1. Loss of flexion in a 6% impairment based on Figure 16-40, page 476. 2. Loss of abduction in a 3% impairment based on figure 16-43 on page 477. 3. A 2% impairment based on loss of internal rotation, figure 16-46, page 479. Subsequently, an 11% impairment to the left upper extremity is applicable and when converted to whole person, equates to a 7% whole person impairment. (JE 4, p. 44) Lapcheske testified she has sustained a significant loss of range of motion in her right shoulder as a result of the accident. (Tr., p. 17) Lapcheske is able to bathe and dress herself, but she cannot put on her coat, style the back of her hair, perform housework, including any up and down motions like scrubbing her shower, or pushing or pulling with the vacuum cleaner, she cannot carry, push, or pull large, heavy objects, and she cannot reach above her head with her right arm to obtain things from shelves at home or work. (Tr., pp. 18-19, 43) Lapcheske testified she has a difficult time driving because she cannot reach across her body to make left hand turns. (Tr., p. 20) Her husband drives her everywhere since the accident, including to work. (Tr., p. 20) Lapcheske is not using any assistive devices to drive a vehicle with one hand. Before the accident Lapcheske enjoyed camping with her husband. (Tr., p. 44) Since her work injury she cannot tolerate sleeping on the bed in their camper. (Tr., p. 44) Lapcheske also struggles to stir food with her right arm while cooking. (Tr., p. 44) Lapcheske reported she is at the top of the pay scale at Polk County for her position. (Tr., p. 21) Lapcheske has applied for the financial reports specialist and accountant position twice after completing additional education, but she has not been promoted. (Tr., p. 22) Lapcheske testified she would not be able to return to her employment with Wesley Retirement Services because the job was nonstop where she would sit eight hours a day, whereas with Polk County she can get up and do a different task to give herself relief. (Tr., p. 19) Lapcheske relayed she would not be able to return to her work with Communications Data Services because she could not carry her luggage around or be able to drive after she arrived at her destination. (Tr., p. 19) She also reported she would not be able to return to Blue Cross Blue Shield because she could not haul around an audit bag. (Tr., p. 21) **CONCLUSIONS OF LAW** I. **Arising Out of Employment** To receive workers' compensation benefits, an injured employee must prove, by a preponderance of the evidence, the employee's injuries arose out of and in the course of the employee's employment with the employer. *2800 Corp. v. Fernandez*, 528 N.W.2d 124, 128 (Iowa 1995). An injury arises out of employment when a causal relationship exists between the employment and the injury. *Quaker Oats v. Ciha*, 552 N.W.2d 143, 151 (Iowa 1996). The injury must be a rational consequence of a hazard connected with the employment, and not merely incidental to the employment. *Koehler Elec. v. Willis*, 608 N.W.2d 1, 3 (Iowa 2000). The Iowa Supreme Court has held, an injury occurs "in the course of employment" when: it is within the period of employment at a place where the employee reasonably may be in performing his duties, and while he is fulfilling those duties or engaged in doing something incidental thereto. An injury in the course of employment embraces all injuries received while employed in furthering the employer's business and injuries received on the employer's premises, provided that the employee's presence must ordinarily be required at the place of the injury, or, if not so required, employee's departure from the usual place of employment must not amount to an abandonment of employment or be an act wholly foreign to his usual work. An employee does not cease to be in the course of his employment merely because he is not actually engaged in doing some specifically prescribed task, if, in the course of his employment, he does some act which he deems necessary for the benefit or interest of the employer. *Farmers Elevator Co. v. Manning*, 286 N.W.2d 174, 177 (Iowa 1979) (emphasis in original). It is undisputed the injury occurred while Lapcheske was working for Polk County, in the course of her employment. The parties dispute whether Lapcheske's injury arose out of her employment with Polk County. Polk County asserts Lapcheske sustained and idiopathic fall, which is not compensable. Whether a claimant's injury arises out of the claimant's employment is a "mixed question of law and fact." *Lakeside Casino v. Blue*, 743 N.W.2d 169, 173 (Iowa 2007). The Iowa Supreme Court has held, "[t]he factual aspect of this decision requires the [trier of fact] to determine 'the operative events that [gave]rise to the injury.'" *Meyer v. IBP, Inc.*, 710 N.W.2d 213, 218 (Iowa 2006). Once the facts are determined, a legal question remains: "[W]hether the facts, as determined, support a conclusion that the injury 'arose out of . . . [the] employment,' under our workers' compensation statute." *Id.* As a general rule, risks personal to the claimant are not compensable. *Koehler Elec.*, 608 N.W.2d at 4. The Iowa Supreme Court has adopted the "actual-risk" doctrine for determining the compensability of an idiopathic fall. *Lakeside Casino*, 743 N.W.2d 177; *Hanson v. Reichelt*, 452 N.W.2d 164, 168 (Iowa 1990). Under the "actual risk" doctrine adopted by the court in *Hanson*, if the nature of the employment exposes the employee to the risk of such an injury, the employee suffers an accidental injury arising out of and during the course of employment. And it makes no difference that the risk was common to the general public on the date of the injury. 452 N.W.2d at 168. The court noted in *Lakeside Casino*, "[c]onsequently, with limited exceptions, we have abandoned the requirement that the employment subject the employee to a risk or hazard that is greater than that faced by the general public.” 743 N.W.2d at 174-75. A. “Idiopathic Fall” The appellate courts have not defined the term “idiopathic fall.” There are a number of Iowa appellate published and unpublished idiopathic fall cases involving medical conditions personal to the claimant, such as epilepsy, dizziness, syncope, and alcoholism. *Lakeside Casino*, 743 N.W.2d at 171 (light-headed and nauseated); *Koehler Elec.*, 608 N.W.2d at 4 (alcohol withdrawal); *AARP v. Whitacre*, No. 12-1519, 2013 WL 2107398, *2 (Iowa Ct. App. 2013) (choking and passing out); *Bluml v. Dee Jays, Inc.*, File No. 5047125 (App. July 20, 2017) (seizure disorder). The Iowa Court of Appeals has looked to the dictionary definition of the term “idiopathy” in a workers’ compensation case. *Tyson Foods. Inc. v. Tameklo*, No. 15-0222, 2015 WL 7075834, *2 (Nov. 12, 2015). The court noted one of the physicians “leaned toward an ‘idiopathic’ or personal cause of the injury,” and noted the term “‘idiopathy’ is defined as ‘1. a disease of unknown origin or cause; a primary disease. 2. A disease for which no cause is known.’” *Tameklo*, 2015 WL 7075834, *2 (quoting The American Heritage Dictionary 639 (2d College Ed. 1985)). The focus was on a disease of the claimant. The Iowa Court of Appeals has noted a distinction between idiopathic and neutral or unexplained falls. In *Bartle v. Sidney Care, Inc.*, No. 02-1371, 2003 WL 22346956, *1-2 (Iowa Ct. App. Oct. 15, 2003), the court held “where the claimant slips or trips or falls for no specifically identifiable reason, that the cause of the fall and resulting injury is not idiopathic, but rather neutral or unexplained.” The court, affirmed the district court and agency, finding that even if the fall is neutral or unexplained, the claimant “must establish a nexus between a job duty or condition of employment and her injury,” and the claimant’s testimony indicated carrying the water pitchers did not contribute to her fall, nor did any other conditions of her employment contribute to her fall and injury. *Bartle*, 2003 WL 22346956, *2. As in *Bartle*, Lapcheske testified she did not know why she fell. Lapcheske relayed she never lost consciousness at the time of her accident, she was not dizzy or drowsy, she did not have a headache, and she was alert, talking, and answering questions. (Tr., pp. 27, 44-45) Several of Lapcheske’s coworkers heard Lapcheske speaking and responding to questions. (Exs. C, p. 3; E, p. 5; F, p. 6; L, p. 12; R, p. 18) When questioned about her diabetes, Lapcheske’s coworkers acknowledged she replied she had just eaten and she did not believe her blood sugar was low. (Exs. C, p. 3; E, p. 5; F, p. 6; L, p. 12; R, p. 18) While several of Lapcheske’s coworkers heard her say that she had taken a muscle relaxer for her left shoulder condition, there was no evidence presented at hearing that the muscle relaxer contributed to Lapcheske’s fall. (Exs. D, p. 4; L, p. 12; M, p. 13) Lapcheske was the sole witness at hearing. During the hearing I assessed her credibility by considering whether her testimony was reasonable and consistent with other evidence I believed, whether Lapcheske had made inconsistent statements, her "appearance, conduct, memory and knowledge of the facts," and her interest in the case. *State v. Frake*, 450 N.W.2d 817, 819 (Iowa 1990). Lapcheske has an obvious interest in the outcome of this case. I had the opportunity to observe her testify under oath. During her testimony, Lapcheske engaged in direct eye contact, her rate of speech was appropriate, and she did not make any furtive movements. Her testimony was consistent throughout the hearing, and I find it reasonable and consistent with the other evidence I believe. Based on my personal observations at hearing, I found Lapcheske to be a credible witness. Lapcheske has been diagnosed with diabetes, and she was taking a prescription muscle relaxer for her left shoulder condition at the time of her fall. Polk County has not established Lapcheske's personal disease conditions caused her fall. Lapcheske's fall was not idiopathic. This finding does not end the inquiry. Lapcheske still bears the burden of establishing a causal connection between the conditions of her employment and the injury. **B. Causal Connection** Lapcheske testified when she was getting ready to swipe her badge to an interior door "I felt my foot slip on the floor – floor, and then landed on my right arm and then I rolled, ended up on my back..." (Tr., p. 12) Lapcheske testified she fell forward. (Tr., p. 27) Lapcheske was wearing flat shoes with tread soles at the time of her accident. (Tr., p. 38) Lapcheske reported when she fell one of her shoes fell off and landed next to the wall next to her. (Tr., pp. 38-39) Lapcheske relayed, "I didn't notice anything, but the floors are slippery," noting they are polished every evening. (Tr., p. 15) Lapcheske noted everyone in the building knows the floor is slick. (Tr., pp. 16-17) Lapcheske testified she has slipped on the floor before, but caught herself. (Tr., p. 17) No witnesses were present at the time of her fall. Lapcheske did not see any water on the floor before she fell. (Ex. Z, pp. 34-35) As noted above, Lapcheske was the sole witness at hearing. Polk County relied on written affidavits and witness statements at hearing. Exhibit 1 documents it was snowing lightly at the time Lapcheske arrived at work, and that it continued to snow the morning of her accident. (Ex. 1) The Treasurer's Office has a secure entrance, and employees must swipe their badges to enter the office. (Tr., p. 15) While Lapcheske did not notice the floor was wet outside the office, she testified, "[s]o the employee's come from around the corner from the exterior door, which is maybe 50 feet to that area where you swipe your badge, and they come from the outside so they potentially would be standing there with wet boots swiping their badge." (Tr., p. 15) Polk County did not present any contrary evidence at hearing. The most probative evidence of the condition of the floor at the time of the accident is from Mahnke, an employee of Polk County. (Ex. G, H) Polk County submitted Exhibits G and H, an affidavit and an e-mail from Mahnke, which were admitted into the record at hearing. Mahnke, the administrative supervisor for the Treasurer's Office, sent an e-mail to Polk County officials on January 8, 2016, reporting, I was in my office in room 155 when I heard screaming. When I came out of my office there were several people rushing out of the door by the cash room on the west side of 155. I looked out and saw Cindy laying on her back. She said that her head and back hurt and another employee was on the floor next to her looking at her left hand. Cindy said that her left arm and hand hurt and she thought she may have broken her finger. Her shoe was off of her left?? Foot. She mentioned that her shoes were slick on the bottom. I looked around and did see a small puddle of water in the area by the door. When the paramedics came she said she had eaten something in the morning but had not checked her insulin levels as she is diabetic. She said she did not lose conscienceness [sic] when she fell. I left after that and did not witness her being put on the gurney. (Ex. H, p. 8) Mahnke later signed an affidavit again stating "I did see a small puddle of water by the door." (Ex. G, p. 7) Mahnke's e-mail is very detailed concerning her observations. There was no evidence presented at hearing supporting Mahnke had any reason to be untruthful concerning the condition of the floor. Exhibits H and G were obtained by Polk County, not by Lapcheske. Given it was snowing at the time of the accident, Lapcheske's testimony that individuals could enter the area from outdoors, and Mahnke's e-mail and sworn affidavit, I find the floor was wet at the time of Lapcheske's fall. This case is distinguishable from the level floor cases, where employees sustained idiopathic falls on level surfaces. *McIlravy v. N. River Ins. Co.*, 653 N.W.2d 323, 326 (Iowa 2002); *Bluml v. Dee Jay's, Inc.*, Case No. CVCV116561 (Iowa Dist. Ct. Jan. 25, 2018); *Khambanoun v. Ortiz Co.*, File No. 5052943 (Arb. Dec. 7, 2017); *Falck v. West Fork Servs.*, File No. 5061094 (Arb. Nov. 13, 2017). The surface of the floor was wet, making it slick, causing a hazard. *See Garcia v. JBS USA Holdings, Inc.*, File No. 5063059 (Apr. 19, 2018) (concluding while the floor was level, "[t]he slickness of the surface upon which claimant fell [which was wet] exposed the claimant to a risk of injury). The wet floor created a condition in the workplace, an actual risk Lapcheske encountered when she fell. As with the discussion of the dangerousness of stairs in *Lakeside Casino*, and ladders in *Koehler Electric*, it is a matter of common knowledge a wet surface poses an actual risk of stumbling or falling when traversing a level floor. *Lakeside Casino*, 743 N.W.2d at 177; *Koehler Elec.*, 608 N.W.2d at 1, 5. While several of Lapcheske's coworkers stated they heard her make comments that her shoes may have contributed to the fall, she denied making the comment. Even assuming Lapcheske's shoes contributed to the fall, the wet condition of the floor created an actual risk Lapcheske encountered. Lapcheske has established she sustained an injury arising out of her employment with Polk County. II. Extent of Disability "Industrial disability is determined by an evaluation of the employee's earning capacity." *Pease*, 807 N.W.2d at 852. In considering the employee's earning capacity, the deputy commissioner evaluates several factors, including "consideration of not only the claimant's functional disability, but also [his] age, education, qualifications, experience, and ability to engage in similar employment." *Swiss Colony, Inc. v. Deutmeyer*, 789 N.W.2d 129, 137-38 (Iowa 2010). The inquiry focuses on the injured employee's "ability to be gainfully employed." *Id.* at 138. The determination of the extent of disability is a mixed issue of law and fact. *Neal v. Annett Holdings, Inc.*, 814 N.W.2d 512, 525 (Iowa 2012). Compensation for permanent partial disability shall begin at the termination of the healing period. Iowa Code § 85.34(2). Compensation shall be paid in relation to 500 weeks as the disability bears to the body as a whole. *Id.* § 85.34(2)(u). Drs. Bansal and Mooney opined Lapcheske has sustained a permanent impairment as a result of the accident. (JE 3; JE 4) Dr. Bansal assigned Lapcheske a six percent impairment rating and Dr. Mooney assigned a seven percent impairment rating. (JE 3, p. 26; JE 4, p. 44) Dr. Mooney's report does not address restrictions. (JE 4) Dr. Bansal recommended permanent restrictions with the right arm of no lifting over twenty-five pounds occasionally, no lifting over ten pounds frequently, and no lifting above shoulder level. (JE 3, p. 27) I find Dr. Bansal's restrictions appropriate. Lapcheske continues to work for Polk County in the same position she held at the time of her work injury. Lapcheske continues to perform her normal duties within the restrictions imposed by Dr. Bansal. While she continues to perform the same job, Lapcheske has sustained a significant permanent loss of range of motion in her right shoulder as a result of the accident. Lapcheske's employment prior to Polk County required her to lift heavy bags and boxes, which she can no longer do. Lapcheske credibly testified at hearing she cannot put on her coat, style the back of her hair, scrub the shower, push or pull a vacuum cleaner, carry, push or pull heavy objects, or reach above her head with her right arm. (Tr., p. 20) Lapcheske struggles to stir food while cooking with her right, dominant arm. (Tr., p. 44) Before the accident Lapcheske enjoyed camping, but she cannot tolerate sleeping on the camper bed as a result of her injury. (Tr., p. 44) Considering all of the factors of industrial disability, I conclude Lapcheske has sustained a twenty-five percent industrial disability. III. Healing Period Benefits The parties stipulated Lapcheske was off work December 29, 2015 through March 28, 2016, and she returned to work twenty-five hours per week from March 29, 2016 through April 8, 2016. Iowa Code section 85.33 governs temporary disability benefits, and Iowa Code section 85.34 governs healing period and permanent disability benefits. *Dunlap v. Action Warehouse*, 824 N.W.2d 545, 556 (Iowa Ct. App. 2012). As a general rule, “temporary total disability compensation benefits and healing-period compensation benefits refer to the same condition.” *Clark v. Vicorp Rest., Inc.*, 696 N.W.2d 596, 604 (Iowa 2005). The purpose of temporary total disability benefits and healing period benefits is to “partially reimburse the employee for loss of earnings” during a period of recovery from the condition. *Id.* An award of healing period benefits or total temporary disability benefits is not dependent on a finding of permanent impairment. *Dunlap*, 824 N.W.2d at 556. The appropriate type of benefit depends on whether or not the employee has a permanent disability. *Id.* As analyzed above, Lapcheske has sustained a permanent impairment, therefore, she is entitled to healing period benefits. In *Evenson v. Winnebago Indus., Inc.*, the Iowa Supreme Court held that the healing period lasts until the claimant has returned to work, has reached maximum medical improvement, or until the claimant is medically capable of returning to substantially similar employment, “whichever occurs first.” 818 N.W.2d 360, 372-74 (Iowa 2016). Lapcheske returned to work on March 29, 2016. Under *Evenson*, when she returned to work, Lapcheske’s healing period ended. Lapcheske is awarded healing period benefits from December 29, 2015 through March 28, 2016. **IV. Costs** Lapcheske seeks to recover the $100.00 filing fee, the $545.00 cost of Dr. Bansal’s independent medical examination, and the $2,043.00 cost of Dr. Bansal’s report. (Ex. 2) Iowa Code section 86.40, provides, “[a]ll costs incurred in the hearing before the commissioner shall be taxed in the discretion of the commissioner.” Rule 876 IAC 4.33(6), provides, [c]osts taxed by the workers’ compensation commissioner or a deputy commissioner shall be (1) attendance of a certified shorthand reporter or presence of mechanical means at hearings and evidential depositions, (2) transcription costs when appropriate, (3) costs of service of the original notice and subpoenas, (4) witness fees and expenses as provided by Iowa Code sections 622.69 and 622.72, (5) the costs of doctors’ and practitioners’ deposition testimony, provided that said costs do not exceed the amounts provided by Iowa Code sections 622.69 and 622.72, (6) the reasonable costs of obtaining no more than two doctors’ or practitioners’ reports, (7) filing fees when appropriate, (8) costs of persons reviewing health service disputes. A. Filing Fee The administrative rule expressly allows for the recovery of the $100.00 filing fee. Lapcheske is entitled to recover the $100.00 filing fee. B. Independent Medical Examination and Report After receiving an injury, the employee, if requested by the employer is required to submit to examination at a reasonable time and place, as often as reasonably requested to a physician, without cost to the employee. Iowa Code § 85.39. If an evaluation of permanent disability has been made by a physician retained by the employer and the employee believes the evaluation is too low, the employee “shall, upon application to the employer and its insurance carrier, be reimbursed by the employer the reasonable fee for a subsequent examination by a physician of the employee’s own choosing.” Id. Polk County denied Lapcheske’s claim and she elected to seek treatment covered by her group insurance. Dr. Bansal performed an independent medical examination for Lapcheske on January 25, 2018. (Ex. 3) Dr. Mooney performed an independent medical examination for Polk County on April 9, 2018. (JE 4) The parties did not submit any records or other evidence supporting an evaluation of permanent disability had been made by a physician retained by Polk County prior to Dr. Bansal’s independent medical examination. Lapcheske is not entitled to recover the $545.00 cost of Dr. Bansal’s independent medical examination under the statute. Iowa Code § 85.39; cf. IBP, Inc. v. Harker, 633 N.W.2d 322, 326 (Iowa 2001) (holding although the employer acquiesced to the claimant’s physician choice, the claimant was not entitled to recover the cost of an independent medical examination because she chose the physicians who provided the unfavorable impairment ratings, and they were not “retained by the employer”). The administrative rule allows for the recovery of the cost of two practitioners’ reports. Rule 876 IAC 4.33(6). In the case of Des Moines Area Regional Transit Authority v. Young, the Iowa Supreme Court held: [We] conclude section 85.39 is the sole method for reimbursement of an examination by a physician of the employee’s choosing and that the expense of the examination is not included in the cost of a report. Further, even if the examination and report were considered to be a single, indivisible fee, the commissioner erred in taxing it as a cost under administrative rule 876-4.33 because the section 86.40 discretion to tax costs is expressly limited by Iowa Code section 85.39. 867 N.W.2d 839, 846-47 (Iowa 2015). Dr. Bansal’s bill is itemized. (Ex. 2, p. 2) There was no evidence presented at hearing challenging the amount of Dr. Bansal’s report fee. Under Young, Lapcheske is entitled to recover the $2,043.00 cost of Dr. Bansal’s report. Id. ORDER IT IS THEREFORE ORDERED, THAT: Defendant shall pay the claimant one hundred twenty-five (125) weeks of permanent partial disability benefits, at the rate of seven hundred sixteen and 87/100 dollars ($716.87) per week, commencing on March 29, 2016. Defendant shall pay the claimant healing period benefits from December 29, 2015 through March 28, 2016, at the rate of seven hundred sixteen and 87/100 dollars ($716.87) per week. Defendant shall pay accrued weekly benefits in a lump sum together with interest at the rate of ten (10) percent for all weekly benefits payable and not paid when due which accrued before July 1, 2017, and all interest on past due weekly compensation benefits accruing on or after July 1, 2017, shall be payable at an annual rate equal to the one-year treasury constant maturity published by the federal reserve in the most recent H15 report settled as of the date of injury, plus two (2) percent. See Gamble v. AG Leader Tech., File No. 5054686 (App. Apr. 24, 2018) Defendant is assessed one hundred and 00/100 dollars ($100.00) for the filing fee, and two thousand forty-three and 00/100 dollars ($2,043.00) for the cost of Dr. Bansal's report. Defendant shall file subsequent reports of injury as required by this agency pursuant to rules 876 IAC 3.1(2) and 876 IAC 11.7. Signed and filed this 7th day of June, 2018. HEATHER L. PALMER DEPUTY WORKERS' COMPENSATION COMMISSIONER Copies To: Mark Hedberg Attorney at Law 100 Court Ave., Ste. 425 Des Moines, IA 50309 [email protected] Meghan L. Gavin Julie Bussanmas Assistant county Attorneys 111 Court Ave., Rm. 340 Des Moines, IA 50309 [email protected] [email protected] HLP/sam Right to Appeal: This decision shall become final unless you or another interested party appeals within 20 days from the date above, pursuant to rule 876-4.27 (17A, 86) of the Iowa Administrative Code. 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PRIVACY POLICY Updated 05/10/18 PRIVACY We keep all our customer information conﬁdential. We do not sell, share, or divulge any information to third parties. We may email you, or our third party service contractors may email you our promotional material at certain times to only our customers in an eﬀort to present new selections, and/or inform customers of upcoming events we believe would be of interest. To be removed from any mailing list at any time contact Customer Care at 888-540-7656. Or using the "Remove" feature contained in any of our emails. Communications. We use a customer's name, mailing address, email address and telephone number for the following limited purposes: [email protected] 707-294-1885 Sending emails for informational and operational purposes, such as account management or system maintenance; Monitoring and ensuring customer satisfaction, including troubleshooting problems and resolving disputes; Keeping you informed of new products and promotions at Wine Ambassador; and Sending you Wine Ambassador newsletters. Aggregate Data. We may anonymize and aggregate data collected through the Service and use it for any purpose. For example, we may aggregate usage and transaction information to provide product recommendations to Website users. Promoting Wine Guides. Wine Ambassador may, from time to time, publish a Wine Guide's Personal Information (for example, name, photograph, sales results and achievements) to recognize the Wine guide's achievements and help motivate other Wine Ambassadors. These promotions will not contain Personal Information about customers. Cookies and Similar Technology We and our third party service providers, such as advertising networks and analytics service providers, may collect anonymous information automatically through the use of "cookies" and similar technology. The service providers also may collect information about your online activities over time and on other websites or apps. Cookies are small pieces of information that are stored by your browser on your computer's hard drive to collect information about your activities on our Website. Cookies do not contain any Personal Information. We use cookies to collect and store information for statistical purposes, including browsing and Service usage activity, and to improve the services we provide. For example, if you are a registered user, we will use a cookie to save your Service settings and to provide customizable and personalized services. Cookies also enable you to select products, place them in your shopping cart and purchase the items. If you select and purchase products on the Service, we keep a record of your browsing activity and purchases. Most browsers allow you to refuse cookies from websites or to remove cookies from your hard drive. If you choose to do this, you may not be able to access or use portions of the Website. Security If you place an order via our secure server, all your personal information is encrypted before it is transmitted over the Internet. We retrieve your order from our server, also via a secure connection. If you prefer not to enter your credit card online, you can call and order at 888-540-7656. Social Plug-Ins. The Website may allow you to use social media plug-ins, such as Facebook's "like" or Twitter's "tweet" functions. The social media plug-ins collect information about you, such as your IP address, when you use them. The privacy policies of the social media services, and not this Privacy Policy, apply to any data collected by the social media plug-ins. Social Media Pages. We may collect information about you when you visit our social media pages or other features. The social media website provider may provide us with information, including Personal Information, such as your name, email address, and other information made available to us. Customer Support. We may collect Personal Information through your communications with our customer-support team. As Required By Law and Similar Disclosures. We may access, preserve, and disclose collected information, if we believe doing so is required or appropriate to: comply with law enforcement requests and legal process, such as a court order or subpoena; respond to your requests; or protect your, our, or others' rights, property, or safety. Corporate Changes. We reserve the right to transfer Personal Information in the event Wine Ambassador acquires or merges with or is acquired by another company or during other corporate changes. Any information disclosed as a result of one of these events or other corporate changes will be subject to the Privacy Policy in eﬀect at the time. Returns and Refusals. If you wish to return a product or refuse delivery of a shipment, your account will be credited upon receipt of the returned items less the original and return shipping cost. If you wish to have the shipment sent out again to the same or diﬀerent address, applicable shipping rates will apply. Refunds. Credit card refunds typically take 3-5 business days to process dependent upon your ﬁnancial institutions processing policy. Check refunds will usually be processed by Wine Ambassador or the local licensee within 10 business days and then mailed via USPS. Shipping Policy Your Order will be forwarded to a designated licensee who is authorized to sell the products in your state. The designated licensee will reject your oﬀer to purchase or will accept the oﬀer to purchase and fulﬁll the order. Any sale made by a designated licensee will be subject to applicable local and state laws and sales taxes, as well as shipping and handling charges. Age Policy By placing an order, you authorize us to act on your behalf to engage a common carrier to deliver your order to you. WINES MAY BE SOLD ONLY TO PERSONS WHO ARE AT LEAST 21 YEARS OLD, WHO ARE USING THE PRODUCTS FOR PERSONAL USE AND NOT FOR RESALE AND ARE NOT INTOXICATED AT THE TIME OF DELIVERY. BY PLACING YOUR ORDER, YOU REPRESENT TO US THAT YOU ARE AT LEAST 21 YEARS OLD. When your wine is delivered to you, you will be required to show identiﬁcation proving that you are at least 21 years old. All orders legally require: Drivers License, Military, Passport, or State ID. How To Contact Us Your questions and comments are always welcome. Please feel free to email us at anytime by using our "Contact Us" email form or call our customer service line at 888-540-7656.

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F. M. Kirby Foundation, Inc. September 15, 2023, 2:00 p.m. Agenda for the Special Meeting of the Members The Peck School, Lindenwold Library, 247 South Street, Morristown, New Jersey Zoom Conference Option ( zoom.us ) Meeting ID: 849 3888 7925 / Password: 856952 Call-In: 1-929-436-2866 AGENDA 1) Call to order 2) Approval of the Minutes of the Meeting of the Members held April 28, 2023 3) Consider approval of the attached resolution (Amended and Restated Bylaws) 4) Adjournment

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Reporting Template Introductions & Conclusions 4-H Science Introduction 4-H Science 4-H Science programs create hands-on learning experiences to encourage young minds and help fill our nation's shortage of young leaders proficient in science, technology, engineering, and math. 4-H believes it is important to make STEM fun—engaging youth in hands-on, interactive projects that can bring the textbook concepts to life. 4-H Science programs are designed to include pathways for young people to explore STEM concepts early (as young as age 5); give them access to real-world STEM professionals; and bring STEM concepts to life through hands-on, interactive projects that are tailored to various age groups. Today over 5 million 4-H Science projects are completed by 4-H members annually. 4-H Science Conclusion Building a pipeline of STEM professionals is critical not only for American business and education, but also for our nation's global competitiveness and national security. 4-H has always demonstrated flexibility in meeting the needs of the changing population and society while continuing to use its signature hands-on learning strategies. This need for 4-H to prepare young people with STEM skills has never been greater as the data has shown that America is not keeping pace with current and projected demand for graduates with STEM skills and training. 4-H is equipped to meet this challenge. The Study of Positive Youth Development, conducted by Tufts University, highlighted that 4-H youth are more likely to pursue future courses in a career in science, engineering, or computer technology. 4-H Positive Youth Development 4-H Positive Youth Development Introduction (Universal & 4-H Experience) 4-H learning experiences are based on the principles and practices of Positive Youth Development. The structured learning, encouragement, and adult mentoring that young people receive through their participation in 4-H plays a vital role in helping them achieve future life success. Positive Youth Development views young people as vital resources with assets and potentials to be developed rather than as problems to be managed. 4-H staff and volunteers intentionally address youths' basic needs by intentionally integrating elements within 4-H experiences that create environments conducive to optimizing youth development. 4-H Positive Youth Development Conclusion Youth-driven 4-H experiences provide young people access to safe learning environments; challenging experiences that build skills, competencies, and resiliency to address life's challenges and to actively contribute to society; and partnerships with caring adults to help meet youths' basic needs of belonging, mastery, independence, and generosity. Youth who participate in 4-H report better grades, higher levels of academic competence, and an elevated level of engagement at school. They are also nearly two times more likely to plan to go to college. The structured learning, encouragement and adult mentoring that young people receive through their participation in 4-H plays a vital role in helping them achieve future life successes. 4-H Civic Engagement 4-H Citizenship Introduction 4-H Citizenship is the knowledge, skills, attitudes and motivation that give youth the capacity to move beyond one's individual self-interest and to be committed to the well-being of some larger group. 4-H Citizenship programs empower young people to be well-informed citizens who are actively engaged in their communities and the world. By providing them with opportunities to connect to their communities and adult leaders, youth gain a clear understanding of their role in civic events and are able to build their decision-making ability. This solid foundation helps youth understand and acquire the skills that will allow them to be astute leaders now and in the future. 4-H Citizenship Conclusion Through participation in 4-H Citizenship projects and activities youth have the opportunity to be involved in Community Based Service-Learning to identify and address issues of public concern; Civic Education to cultivate the virtues, knowledge, and skills necessary for political participation; Service though charitable activities performed to benefit someone besides one's self; and Personal Development through assuming leadership roles, growth of mutual respect and understanding, character development, and problem solving. 4-H Healthy Living 4-H Healthy Living Introduction: 4-H Healthy Living engages with youth and families through access and opportunities that achieve optimal physical, social, and emotional well-being. Families are integral to the Healthy Living program as youth decisions are often made within family context. By utilizing researchbased information and practices, 4-H Healthy Living programs help create supportive communities that provide access and opportunities through the acquisition of knowledge, skills, positive attitude, development of positive relationships, and engagement in behaviors that enable them to thrive. The 4-H Healthy Living programs have the capacity to mobilize young people and implement sustainable strategies that will create healthy lifestyles for America's families. 4-H Healthy Living Conclusion: Through our Healthy Living programs, 4-H youth are learning how to lead lives that balance physical, emotional, and social health. They are learning not only how to make smart and healthy decisions for themselves but also giving back to their communities so their friends and families can do the same. 4-H youth are creating change with the issues that matter the most to young people today - nutrition, childhood obesity, drug awareness, bullying, safe driving, suicide prevention, decision-making, and stress management. Working together, we can help shape the next generation of healthy youth. College and Career Readiness College and Career Readiness Introduction: In a world of rapid change, it's never been more important for young people to gather the knowledge, skills, and experiences that will enable them to effectively transition from education into the workforce. Helping youth understand how to navigate their options which will empower them to effectively reach their fullest potential is critical. Through participation in College and Career Readiness programs, youth learn to make meaningful decisions about college and career aspirations and gain professionalism skills that will last a lifetime. Through experiential learning opportunities youth develop the assets to successfully explore their postsecondary education and career options, identify the relationships between career and 4-H projects, and actively explore their future. College and Career Readiness Conclusion: Participation in 4-H College and Career Readiness programs prepare youth successfully make meaningful decisions about their postsecondary path. Preparing today's youth for tomorrow's world includes connecting youth with caring adult mentors and business and industry professionals who help them gain confidence, take ownership of their learning, and make informed decisions regarding their personal career path. College and Career Readiness programs can help lead young people to gainful employment, providing sustainable wages and opportunities for advancement in meet the demands of our ever-changing global workforce. Animal Science 4-H Animal Science Introduction 4-H Animal Science programs utilize real-world modeling of animal handling, care, training, and production to develop competent and caring consumers and industry leaders. 4-H recognizes the importance of empowering youth to make informed decisions that impact the food their animals produce, the wellbeing of their animal, and the larger world around them. Through a variety of engagement opportunities, youth in animal science programs gain valuable life skills, knowledge, and connections that will last a lifetime. 4-H Animal Science Conclusion Youth Animal Science programs develop the knowledge and skills that are necessary for youth to become responsible animal producers and/or employees in the agriculture or food industry. As a result, this instills a much larger impact of consumer confidence in our food supply. Youth not only learn about animal science, but also learn to share their knowledge with others. Youth animal science projects remain a consistent spark for many young people to develop skills like responsibility and decision making and provide many an opportunity to see science in everyday life.

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Samco ELSS Tax Saver Fund Experience tax savings along with wealth building opportunity Disclaimer MUTUAL FUND INVESTMENTS ARE SUBJECT TO MARKET RISKS, READ ALL SCHEME RELATED DOCUMENTS CAREFULLY. The views expressed herein are based on our current views and involve known and unknown risks and uncertainties that could cause actual results, performance or events to differ materially from those expressed or implied herein. Past performance may or may not be sustained in future. Neither Samco AMC and Samco Mutual Fund (the Fund) nor any person connected with them, accepts any liability arising from the use of this document. Stocks/Sectors referred hereto are illustrative and not recommended by the Fund / Samco AMC. The Scheme(s) offered by the Fund may or may not have any present or future positions in these stocks/sectors/instruments. Samco Mutual Fund/AMC is not guaranteeing/offering/communicating any indicative yields or guaranteed returns on investments made in the scheme(s) of the Fund. Simulated data is used for the purposes of explanation of the concept. Backtested, hypothetical or simulated performance results have inherent limitations. Past hypothetical backtest results are neither an indicator nor a guarantee of future results. Actual results shall vary from analysis. SAMCO makes no representation or warranty, either expressed or implied regarding future performance. This disclaimer is to be applied all slides of the presentation. # Table of Contents | | Title | Page | |---|--------------------------------------------|------| | 1 | Why Samco ELSS Tax Saver Fund? | 4 | | 2 | Samco ELSS Tax Saver Fund Strategy | 6 | | 3 | Portfolio Update | 16 | | 4 | Sectoral Positioning | 25 | | 5 | Fund Management Team | 31 | Why Samco ELSS Tax Saver Fund? 1. Predominantly invests in Quality Mid and Small Cap Stocks 2. Diversified exposure to various quality companies from a broader universe in a single fund 3. Appropriate management of risks and active monitoring across stocks 4. Dynamic allocation based on market conditions and economic trends 5. Benefits of taxation Samco ELSS Tax Saver Fund Features - Mid and Small Cap Predominance - Flexible Rebalancing - Tax Benefits - Risk Mitigation - Quality Diversification - Higher Volatility Large Cap Top 100 Stocks by Market Capitalization Midcap Cap Next 150 Stocks by Market Capitalization Small Cap Next 251 rank onwards Stocks by Market Capitalization Our Strategy - Buy only HexaShield Tested Companies - Predominantly Mid & Small Cap Portfolio - Well Diversified Portfolio of ~35 quality businesses Samco ELSS Tax Saver Fund’s Goal To focus on longer term value creation and not chase Point to Point returns To be the best fund generating high risk adjusted returns in the long term Participate in a continuum HexaShield Framework A proprietary investment screening framework to build a universe of stocks that pass six rigorous tests - Competitive Strength and Pricing Power Tests - Corporate Governance and Leadership Tests - Balance Sheet and Insolvency Tests - Cash Flow Tests - Reinvestment and Growth Tests - Regulatory Tests HexaShield Highlights Diverse Universe A diverse universe set with companies from different market capitalizations and industry segments from the Indian equity markets. Robust Screening Framework A comprehensive screening process backed by inhouse developed HexaShield Framework which assesses every company in the target universe on six parameters to ensure robust businesses are included in the portfolio. Concentrated Portfolio A focused India only domestic portfolio comprising of ~35 qualitatively superior companies with strong underlying fundamentals and industry tailwinds. Optimal Churn An agile allocation strategy with an approach to align the portfolio with winners and prune down the losers on a periodic basis as per evolving market dynamics. Risk Management A prudent portfolio construction process backed by internal screening models to ensure effective risk management of the capital deployed. Our Investible Universe Universe of 125+ HexaShield Tested companies out of 5000+ Indian Listed Companies HexaShield Tested Efficient Companies - High Return on Capital Employed - In Cash - Adjusted - Sustainable Characteristics of HexaShield Companies - Dominant franchises which are Price Setters - Strong cash flow generators with large market opportunity - Fast growing businesses with high rate of reinvestment - Institutions backed by experienced leaders and management Peter Lynch: Not Cutting the Flowers and Watering the Weeds - **Not Cutting the Flowers:** - *Hold on to Winners*: Retain stocks that are performing well. - *Long-Term Growth*: Allow successful investments to grow and compound over time. - **Not Watering the Weeds:** - *Avoid Holding Losers*: Don't keep investing in underperforming stocks hoping they will recover. - *Recognize Mistakes*: Be willing to cut losses and reallocate resources. Exit Strategy - Stock subsequently fails HexaShield Test - More compelling opportunity - Winners hit the 10% SEBI prescribed ceiling - Significant relative underperformance Portfolio Strategy Summary - Around 35 Stock Portfolio - Efficient HexaShield Tested Quality Companies - Optimal Diversification – Predominantly Mid and Small Cap Stocks - Dynamic Monitoring - Holding Winners and Cutting Losers Samco ELSS Tax Saver Fund Portfolio Update as of Aug 2024, Factsheet | Samco Flexi Cap Fund | % to Net Assets | |--------------------------------------------|-----------------| | Motilal Oswal Financial Services Ltd | 5.90% | | KEI Industries Ltd | 5.59% | | Godfrey Phillips India Ltd | 4.37% | | Solar Industries India Ltd | 4.03% | | Zensar Technologies Ltd | 3.99% | | Central Depository Services (India) Ltd | 3.80% | | Nippon Life India Asset Management Ltd | 3.61% | | Engineers India Ltd | 3.59% | | Persistent Systems Ltd | 3.28% | | Voltas Ltd | 3.21% | | 360 One WAM Ltd | 2.92% | | GlaxoSmithKline Pharmaceuticals Ltd | 2.76% | | HDFC Asset Management Company Ltd | 2.73% | | Emami Ltd | 2.66% | | Oracle Financial Services Software Ltd | 2.63% | | KSB Ltd | 2.54% | | Avanti Feeds Ltd | 2.52% | | Swan Energy Ltd | 2.51% | | Samco Flexi Cap Fund | % to Net Assets | |--------------------------------------------|-----------------| | Coromandel International Ltd | 2.46% | | Amara Raja Energy & Mobility Ltd | 2.45% | | Petronet LNG Ltd | 2.44% | | Muthoot Finance Ltd | 2.42% | | Godawari Power And Ispat Ltd | 2.35% | | Apar Industries Ltd | 2.27% | | Polycab India Ltd | 2.25% | | Praj Industries Ltd | 2.24% | | Gujarat Gas Ltd | 2.20% | | Gujarat Pipavav Port Ltd | 2.15% | | Cummins India Ltd | 2.10% | | Carborundum Universal Ltd | 2.05% | | Finolex Cables Ltd | 2.04% | | Honeywell Automation India Ltd | 1.98% | | JK Paper Ltd | 1.91% | | Hindustan Zinc Ltd | 1.86% | | Schaeffler India Ltd | 1.66% | TREPS, Cash, Cash Equivalents and Net Current Asset – 0.53% as of August 2024 Factsheet Market Capitalization (% of Allocation) - Large cap: 1.86% - Mid cap: 53.52% - Small cap: 44.09% As of August 2024, Factsheet Portfolio Sectoral Construction Industry Allocation of Equity Holding (As a % of Net Assets) | Sector | Percentage | |---------------------------------|------------| | Capital Markets | 18.96% | | Industrial Products | 18.92% | | IT - Software | 9.9% | | Gas | 4.64% | | Cigarettes & Tobacco Products | 4.37% | | Industrial Manufacturing | 4.22% | | Auto Components | 4.11% | | Chemicals & Petrochemicals | 4.03% | | Pharmaceuticals & Biotechnology | 2.76% | | Personal Products | 2.66% | | Food Products | 2.52% | | Diversified | 2.51% | | Fertilizers & Agrochemicals | 2.46% | | Finance | 2.42% | | Transportation Infrastructures | 2.15% | | Consumer Durables | 3.21% | | Electrical Equipment | 2.27% | | Paper, Forest & Jute Products | 1.91% | | Non-Ferrous Metals | 1.86% | As of August 2024, Factsheet | Company Name | Weight | ROE (%)¹ | PE (x)² | OPM (%)³ | ROCE (%)⁴ | Debt/ Equity⁵ | |--------------------------------------------------|---------|----------|---------|----------|-----------|---------------| | Motilal Oswal Financial Services Ltd | 5.90% | 32.59 | 16.32 | 58.65 | 20.69 | 1.58 | | KEI Industries Ltd | 5.59% | 20.25 | 66.94 | 10.46 | 27.21 | 0.05 | | Godfrey Phillips India Ltd | 4.37% | 18.97 | 36.91 | 19.92 | 22.17 | 0.08 | | Solar Industries India Ltd | 4.03% | 30.90 | 106.65 | 24.55 | 32.47 | 0.34 | | Zensar Technologies Ltd | 3.99% | 19.96 | 26.57 | 16.88 | 25.15 | 0.05 | | Central Depository Services (India) Ltd | 3.80% | 31.31 | 62.08 | 61.01 | 40.18 | 0.00 | | Nippon Life India Asset Management Ltd | 3.61% | 29.54 | 36.33 | 61.74 | 36.24 | 0.00 | | Engineers India Ltd | 3.59% | 20.80 | 30.76 | 8.98 | 22.21 | 0.01 | | Persistent Systems Ltd | 3.28% | 23.99 | 68.77 | 17.16 | 29.17 | 0.09 | | Voltas Ltd | 3.21% | 4.40 | 130.75 | 4.10 | 8.51 | 0.13 | | 360 One WAM Ltd | 2.92% | 24.47 | 43.61 | 55.18 | 14.47 | 2.75 | | GlaxoSmithKline Pharmaceuticals Ltd | 2.76% | 37.32 | 62.75 | 28.38 | 51.33 | 0.01 | | HDFC Asset Management Company Ltd | 2.73% | 29.51 | 45.87 | 76.40 | 37.72 | 0.00 | | Emami Ltd | 2.66% | 29.95 | 48.37 | 26.53 | 31.72 | 0.04 | | Oracle Financial Services Software Ltd | 2.63% | 28.98 | 41.95 | 45.22 | 39.54 | 0.01 | | KSB Ltd | 2.54% | 17.06 | 71.39 | 12.85 | 23.29 | 0.00 | | Avanti Feeds Ltd | 2.52% | 15.09 | 24.47 | 9.02 | 20.01 | 0.01 | | Swan Energy Ltd | 2.51% | 7.03 | 56.78 | 18.89 | 8.28 | 0.55 | | Coromandel International Ltd | 2.46% | 18.89 | 35.00 | 10.23 | 25.98 | 0.05 | | Amara Raja Energy & Mobility Ltd | 2.45% | 14.02 | 29.19 | 14.28 | 18.74 | 0.02 | As of August 2024, Factsheet | Company Name | Weight | ROE (%)¹ | PE (x)² | OPM (%)³ | ROCE (%)⁴ | Debt/ Equity⁵ | |------------------------------------|---------|----------|--------|----------|-----------|--------------| | Petronet LNG Ltd | 2.44% | 22.19 | 13.98 | 10.26 | 26.41 | 0.18 | | Muthoot Finance Ltd | 2.42% | 17.86 | 18.91 | 79.47 | 13.13 | 2.70 | | Godawari Power And Ispat Ltd | 2.35% | 21.89 | 12.89 | 26.11 | 29.19 | 0.01 | | Apar Industries Ltd | 2.27% | 26.83 | 43.07 | 9.49 | 43.96 | 0.12 | | Polycab India Ltd | 2.25% | 23.17 | 56.66 | 13.39 | 31.33 | 0.02 | | Praj Industries Ltd | 2.24% | 23.34 | 48.23 | 11.79 | 29.29 | 0.13 | | Gujarat Gas Ltd | 2.20% | 15.00 | 37.72 | 12.37 | 20.15 | 0.02 | | Gujarat Pipavav Port Ltd | 2.15% | 16.45 | 27.17 | 60.22 | 22.69 | 0.03 | | Cummins India Ltd | 2.10% | 28.11 | 60.29 | 20.85 | 35.23 | 0.02 | | Carborundum Universal Ltd | 2.05% | 15.56 | 75.01 | 16.22 | 20.13 | 0.05 | | Finolex Cables Ltd | 2.04% | 13.99 | 29.83 | 11.28 | 18.52 | 0.00 | | Honeywell Automation India Ltd | 1.98% | 14.76 | 83.73 | 15.25 | 19.85 | 0.02 | | JK Paper Ltd | 1.91% | 24.64 | 8.40 | 20.90 | 21.31 | 0.43 | | Hindustan Zinc Ltd | 1.86% | 55.19 | 25.05 | 47.89 | 46.25 | 0.57 | | Schaeffler India Ltd | 1.66% | 20.01 | 64.05 | 18.16 | 26.72 | 0.01 | | **Wtd. Average** | **22.90** | **47.59** | **28.18** | **26.61** | **0.32** | As of August 2024, Factsheet Source – Internal Research. The above financial analysis ratio do not constitute any research report/recommendation of the same. The fund manager(s) may or may not choose to hold the stock mentioned from time to time. 1Return on Average Equity (ROE): Return on average equity is a profitability ratio that measures the amount of net income compared to the average shareholders' equity of a company. 2Price-to-Earnings (P/E): The price-to-earnings (P/E) ratio is the proportion of a company's share price to its earnings per share. 3Operating Profit Margin (OPM): Operating Profit Margin is a profitability or performance ratio that reflects the percentage of profit a company produces from its operations before subtracting taxes and interest charges. 4Return on Average Capital Employed (ROCE): The return on average capital employed (ROCE) is a financial ratio that shows profitability versus the investments a company has made in itself. 5Debt to Equity Ratio: The debt-to-equity (D/E) ratio is used to evaluate a company's financial leverage and is calculated by dividing a company's total liabilities by its shareholder equity. What is Active Share? Active Share measures the fraction of a portfolio (based on position weights) that differs from the benchmark index. The Active Share measure was developed by Martijn Cremers and Antti Petajisto, both Yale professors. A highly active strategy with no index hugging + distinct portfolio vs benchmark + optimal churn as per evolving market dynamics. A truly actively managed scheme with a **96.71%** active share and top 10 holdings entirely distinct from the benchmark | Samco ELSS Tax Saver Fund | Top 10 | Nifty500 | Top 10 | |---------------------------|------------|-------------------|------------| | Motilal Oswal Financial Services Limited | 5.90% | HDFC Bank Ltd. | 6.41% | | KEI Industries Limited | 5.59% | Reliance Industries Ltd. | 5.31% | | Godfrey Phillips India Limited | 4.37% | ICICI Bank Ltd. | 4.50% | | Solar Industries India Limited | 4.03% | Infosys Ltd. | 3.65% | | Zensar Technologies Limited | 3.99% | ITC Ltd. | 2.41% | | Central Depository Services (India) Limited | 3.80% | Tata Consultancy Services Ltd. | 2.40% | | Nippon Life India Asset Management Limited | 3.61% | Larsen & Toubro Ltd. | 2.25% | | Engineers India Limited | 3.59% | Bharti Airtel Ltd. | 2.21% | | Persistent Systems Limited | 3.28% | Axis Bank Ltd. | 1.74% | | Voltas Limited | 3.21% | State Bank of India | 1.63% | As of August 2024, Factsheet The percentage of portfolio which can be liquidated in a day is 99.47% | Samco ELSS Tax Saver Fund | Liquidity | Samco ELSS Tax Saver Fund | Liquidity | |-------------------------------------------------|-----------|-------------------------------------------------|-----------| | Amara Raja Energy & Mobility Ltd | 0.009 | Oracle Financial Services Software Ltd | 0.008 | | Avanti Feeds Limited | 0.030 | 360 One WAM Limited | 0.041 | | Carborundum Universal Ltd | 0.072 | JK Paper Limited | 0.032 | | Central Depository Services (India) Limited | 0.008 | Cummins India Ltd | 0.008 | | Coromandel International Ltd | 0.032 | KEI Industries Limited | 0.051 | | Emami Ltd | 0.030 | KSB Limited | 0.125 | | Engineers India Ltd | 0.020 | Motilal Oswal Financial Services Ltd | 0.081 | | Schaeffler India Limited | 0.030 | Muthoot Finance Ltd | 0.020 | | Finolex Cables Ltd | 0.037 | Petronet LNG Ltd | 0.013 | | Zensar Technologies Ltd | 0.044 | Polycab India Limited | 0.007 | | Apar Industries Ltd | 0.020 | Praj Industries Ltd | 0.024 | | Gujarat Gas Ltd | 0.032 | Persistent Systems Ltd | 0.012 | | Glaxosmithkline Pharmaceuticals Ltd | 0.067 | Nippon Life India Asset Management Limited | 0.057 | | Godfrey Phillips India Ltd | 0.038 | Solar Industries (I) Ltd | 0.022 | | Godawari Power and Ispat Ltd | 0.054 | Swan Energy Limited | 0.017 | | Gujarat Pipavav Port Ltd | 0.021 | Honeywell Automation India Ltd | 0.050 | | HDFC Asset Management Company Limited | 0.014 | Voltas Ltd | 0.011 | | Hindustan Zinc Ltd | 0.011 | | | Liquidity Formula – Quantity Held/ 6M Average Daily Volume. As of August 2024, Factsheet Source: Internal Research, Morning Star The Top 5 themes towards which the portfolio has the highest allocation are as follows: 1. Capital Markets 2. Industrial Products 3. IT - Software Incremental share of other financial products (excluding Fixed Deposits) to increase the asset ownership pie Share of shares & debentures (incl. MFs) in financial savings | Year | Share | |------|-------| | FY14 | 1.6% | | FY16 | 1.9% | | FY18 | 8.6% | | FY20 | 3.4% | | FY21 | 3.9% | | FY22 | 8.9% | | FY23 | 6.9% | Source: RBI A strong savings rate as a percentage of GDP is indicative of higher traction towards financial products Gross savings (% of GDP), 2023 | Country | Savings Rate | |---------------|--------------| | China | 44% | | Singapore | 40% | | Korea | 34% | | Switzerland | 32% | | India | 30% | | Germany | 30% | | Malaysia | 27% | | Australia | 24% | | France | 24% | | Mexico | 23% | | US | 16% | | Brazil | 16% | | UK | 14% | | South Africa | 14% | Source: International Monetary Fund Indian savings have seen a strong trend and is expected to sustain over the years India HH savings trend (US$bn) - FY16: 437 - FY17: 485 - FY18: 628 - FY19: 660 - FY20: 652 - FY21: 707 - FY22: 759 - FY23: 813 Source: Jefferies The sustained increase in the number of UHNIs in the country would provide strong tailwinds for Wealth & Asset Managers No. of UHNIs on Rich List 2023 (>Rs10bn) - Size of list - >Rs16bn - >Rs18bn | Year | Size of list | >Rs16bn | >Rs18bn | |------|--------------|---------|---------| | 2012 | 100 | | | | 2013 | 141 | | | | 2014 | 230 | | | | 2015 | 296 | | | | 2016 | 339 | | | | 2017 | 617 | 680 | 750 | | 2018 | 680 | 750 | 828 | | 2019 | 750 | 828 | 1,007 | | 2020 | 828 | 1,007 | 1,103 | | 2021 | 1,007 | 1,103 | 1,319 | | 2022 | 1,103 | 1,319 | | | 2023 | 1,319 | | | Source: 360one Wealth Harun India Rich List 2023 Wires & Cables is a fast-growing industrial segment with multiple tailwinds backed by strong demand due to higher income & consumption levels leading to improved productivity levels. The exponential rise in demand for new data centres will be a growth driver for backup power solution providers. 2019-2023: - 28% 4-year CAGR in Commissioned Capacity - 31% 4-year CAGR in Data Generated IDC forecasts data volume to grow at 27% CAGR over 2023-27. Source: UBS India Source: Industry Reports Increased IT software players to benefit significantly in the next few years backed by strong adoption and evolving applications of products. The share of spending on Software has increased significantly in the last decade. Across multiple technology cycles, Software contribution has expanded ~3x from 8% in 2013 to ~20% in 2023. Software spending in India is expected to increase in the next few years. Software Revenue is expected to grow at 8.55% CAGR from FY24-28. Source: Gartner, Bernstein analysis Source: Statista ## Scheme Details | Frequency | Minimum Amount | |----------------------------|-------------------------------------| | Normal STP: Daily, Weekly, Fortnightly, Monthly, Quarterly | Rs. 500/- and in multiples of Rs. 500/- thereafter | | Minimal Additional Purchase Amount / Minimum SIP Amount | Exit Load | |--------------------------------------------------------|-----------| | Rs. 500/- and in multiples of Rs. 500/- thereafter | Nil | Source: Data as of August 2024 Factsheet | Feature | Description | |-------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------| | Deep Research Selection | Built on proprietary HexaShield Tested investing framework that combines top-down and bottom-up research to identify companies that are innovative, efficient and resilient across markets and geographies. Companies are strictly selected from a universe of ~125 HexaShield Tested companies. | | Domestic Only Portfolio | Stock selection from a diverse universe of over 5000 stocks from NSE and BSE. | | Growth Quality Strategy | The fund aims to invest in companies with great growth potential predominantly from a mid and small cap universe and hence investors will get exposure to companies aggressively investing for growth. | | Truly Active Fund | Fund shall be a truly active fund with an active share of over 80%-85%, highest in the category. This shall ensure that investors get a truly differentiated fund and not an index hugging fund when they pay for asset management fees. | | Around 35 Stock Portfolio | The fund shall run an ~35 stock portfolio and hence investors get the benefits of diversification. | | Predominantly Equity Fund with substantial equity exposure | The Funds will not undertake any debt exposure/derivative/hedging and will remain true to label of being an equity fund. | Samco ELSS Tax Saver Fund (An open-ended Equity Linked Saving Scheme with a statutory lock-in of 3 years and tax benefit.) This product is suitable for investors who are seeking*: - Long Term Capital Appreciation - Invests predominantly in equity and equity related instruments and provide tax benefits under Section 80C of the Income Tax Act, 1961 *Investors should consult their financial advisers if in doubt about whether the product is suitable for them. Mutual fund investments are subject to market risks, read all scheme related documents carefully. Fund Management Team Executive Director, CIO & Fund Manager Umeshkumar Mehta Qualification: B.Com, CA, PGDBA Brief Experience: Mr. Umeshkumar Mehta has over 20 years of experience in financial services industry. He has deep understanding of price and value. He is a vivid speaker and writer at various chartered account forums and business schools. He used to lead the Samco group’s Research team, managed Public Relations through regular interaction in Business Channels and print media. He has deep understanding of securities law and is passionate about equities. He has working knowledge of marketing & advertisement. He has extensive experience in analyzing business models, assessing balance sheets, profit and Loss accounts and as part of experience he has rated and ranked almost all companies listed on the National Stock Exchange. He is associated with the group since last fifteen years. Fund Manager Nirali Bhansali Qualification: B.E., MBA (Finance) Brief Experience: Mrs. Nirali Bhansali started out as a senior analyst at Samco Securities Ltd. and has been the Head of Equity Research. She has over 9 years of work experience with more than 7 years spanning capital markets and investment research. She has been instrumental in developing Samco's flagship research and investment products like HexaShield Framework, Stock Rating, StockBasket etc. by deep-diving into the business models and number crunching nitty-gritties of varied Indian companies. Her deep understanding of fundamental analysis has enabled her to provide cutting edge insights on various stocks. She is a regular panelist on media & business news channels such as Bloomberg Quint, Money9 Live, CNBC TV18 etc. Thank You

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orientations; or, more probably, these surfaces are triaxial ellipsoids which have the same orientation, but whose axes have different ratios. The twisting of the isophotes could then be considered as a projection effect. We see therefore that photometric studies bring a strong argument in favour of the triaxial ellipsoid hypothesis and that there are non-classical isolating integrals that may help elliptical galaxies to keep their shapes. So there is no reason to suppose that elliptical galaxies are necessarily spheroids since the most general configurations are triaxial. As long as it was not realized that non-classical integrals exist that could shape lasting triaxial configurations, it was natural to believe that elliptical galaxies were spheroids. This is because an initial triaxial distribution could not be preserved after the dynamical mixing phase which lasts for less than $10^9$ years. Now recent works seem to show that in order to produce a spheroidal rather than a triaxial galaxy one must start with peculiar initial conditions, that is from a configuration in which the isodensity surfaces have their same two main axes equal. Let us mention a very recent work to be published by Miller and Smith. These authors suggest on the basis of numerical experiments that most elliptical galaxies have reached their present state in two steps. They may have taken first the shape of a bar (prolate spheroid) during a protogalactic collapse controlled by rotation. Then they would have been slowed down by tidal interaction with their neighbourhood to finally rotate as slowly as shown by observations. **Conclusion** The revolution in the field of elliptical galaxies is going on. But we are far from knowing for sure what are the actual shapes and the dynamics of these objects. Many questions remain unanswered. For instance: If ellipticals are triaxial now, will they keep their shapes for a long time? We do not know how to write non-classical integrals and we are not sure whether they are isolating or non-isolating, stable, quasi-stable or unstable. Are triaxial galaxies generally closer to oblate or to prolate spheroids? How are galaxies distributed among these varieties? What is the rotation of these systems as a whole? Elliptical galaxies give rise not only to dynamical problems. We also would like to know about nuclei, interactions with the neighbourhood and resulting evolution, evolution of the stellar content, etc. The least we can say is that, contrary to the idea which was prevailing not so long ago, elliptical galaxies are very complex systems. --- **The Pre-Main-Sequence Shell Star HR 5999 Unveiled** *P.S. Thé and H.R.E. Tjin A Djie, Astronomical Institute, University of Amsterdam* The star HR 5999 is embedded in a dusty gaseous nebulosity and is surrounded by more than 10 faint T Tauri stars. From these facts and from studies so far made of the physical properties of HR 5999, we strongly believe that it is a very young pre-main-sequence object; it varies irregularly due most probably to changes in the properties of dust grains embedded in its circumstellar gas shell. In 1978 a campaign of simultaneous observations of the variable pre-main-sequence shell star HR 5999 from several observatories in the world was organized. At approximately maximum brightness ($V = 7.0$) the star was observed in the ultraviolet with the IUE, in the visual with Walraven, Johnson and Strömgren photometers, in the red and the near infrared with photometers attached to the ESO 1 m telescope. Near infrared and visual measures were obtained at the South African Astronomical Observatory. Furthermore, polarimetric and spectroscopic observations were also made. A description of this international campaign was given in *Messenger* No. 16 (March 1979). In this article the first results of the study of the photometric data and preliminary notes on the spectroscopic material are described. **Interstellar and Circumstellar Extinction** HR 5999 (= V 856 Sco) is one of the brightest pre-main-sequence stars. We have been studying this star for several years now. Due to particularly favourable circumstances it is possible to penetrate deeply into the extended atmosphere of this irregular variable star. Before its light arrives on earth it has to go through circumstellar material and through foreground interstellar medium. The way this light is attenuated by the latter is well known, but the manner in which it is dimmed by circumstellar dust grains is often different. This, in general, entails the problem of separating both types of extinction. In the case of HR 5999 it is possible to estimate the amount of foreground extinction, because it has a common proper motion companion, HR 6000, separated at an angular distance of only $45''$. The amount of foreground extinction suffered by the light of the companion is about the same as that by the light of HR 5999. Being located at a distance of approximately 270 pc only, the amounts of foreground colour excess and extinction are, actually, not excessively large: $E(B-V) = 0.06$ and $A_V = 0.19$. The star HR 5999 varies in the visual often about 1 magnitude in brightness, simultaneously with its change in colour index, in the sense that the star becomes redder when its light weakens. In general, the determination of the extinction by circumstellar matter is difficult. In the case of HR 5999 there are, however, strong indications that it is this material which causes the star to vary in brightness irregularly, perhaps triggered by a phenomenon which occurs closer to the surface of the star. Additional evidence for such a phenomenon is provided by the observations of linear polarization made simultaneously with the photometric measurements. They indicate that the degree of polarization is varying in phase with the change in colour index. Based on the way the variations in brightness and the simultaneous changes in colour index are correlated, it is possible to derive the character of the extinction law of the circumstellar dust grains. A value for the ratio of total to selective extinction, $ R = A_V / E(B-V) $, anomalously larger than for the normal interstellar dust grains was found: $ R = 4.37 $. Having also $ E(B-V) $ for the circumstellar matter separately, it is then not difficult to calculate $ A_V $ and $ A_B $ for this material: $ A_V = 0.17 $ and $ A_B = 0.21 $ at maximum brightness. **The Energy Distribution** Using the foreground interstellar colour excess discussed above it is possible to determine the interstellar extinction at the different passbands based on the normal extinction law. The spectral energy distribution of HR 5999 at about its maximum brightness $ V = 7.0 $, is depicted in Fig. 1 by the thick line. The ultraviolet part of this energy distribution was derived from low resolution IUE spectral observations, folded at the five ANS passbands. It should be noted that in order to obtain the true spectral energy distribution of HR 5999, the circumstellar extinction must be taken into account. Two points of the true spectral energy distribution are known at the effective wavelengths of the B and V passbands, using $ A_B $ and $ A_V $ obtained above. These points are indicated by black squares in Fig. 1. From spectrograms we know that HR 5999 is of spectral type A7 III. In the literature we have found two bright unreddened stars of the same spectral type (θ Tau and HR 3270) which were observed by Johnson in the visual, red and near infrared, and by the ANS in the ultraviolet. From the mean value of these observations we have derived an extinction-free spectral energy distribution, which is also shown (thin line) in Fig. 1, normalized at the two extinction-free points (black squares) of HR 5999. For comparison purposes we also show, by circles, the spectral energy distribution derived by Kurucz for a star of $ T_{\text{eff}} = 7750 $ K and $ \log g = 3.0 $. The agreement is quite good. We now assume that the true spectral energy distribution of HR 5999 is not much different from the above-mentioned one. ![Fig. 1: The spectral energy distribution of the star HR 5999 (thick line) freed from foreground interstellar extinction, compared to that of a Kurucz Model and of an unreddened mean A7 III comparison star. (Reproduced from Astronomy and Astrophysics Supplement Series.)](image) **The Energy Balance** Fig. 1 shows that the ultraviolet, visual and red energy emitted by the star HR 5999 is absorbed by the dust particles in the circumstellar shell. The total energy lost by the star to these dust grains, as estimated on earth, is about $ 1.5 \times 10^{-8} $ erg cm$^{-2}$ s$^{-1}$. This is about 25% of the total intrinsic energy of HR 5999. From Fig. 1 it is also clear that the absorbed energy by the dust grains is re-emitted in the infrared spectral region. This re-emitted energy can also be estimated. Up to 5 μm it turns out to be about $ 1.7 \times 10^{-8} $ erg cm$^{-2}$ s$^{-1}$. More towards the infrared the amount of re-emitted energy becomes negligibly small. Considering the errors in their determinations, it can be concluded that the absorbed energy (UV, visual and red) is in good balance with the re-emitted energy in the infrared. It is of interest to know the temperature of the absorbing dust grains. If we assume that the thermal dust radiation can be approximated by a Planck distribution, it is possible to fit the distribution of the excess infrared radiation at the long wavelength slope with a Planck curve. The temperature of the dust grains characterized by this curve is about 1400 K. Other physical characteristics of the dust grains can be derived. If it is assumed that our previous determination of grain size, 0.16 μm, is not far from the truth and if it is further assumed that the grains are composed of C or Fe, then it can be calculated that the radiating grains are located about 1.8 AU from the surface of the central star. However, if the dust grains are composed of Si$_x$O$_y$ or Si C, then they are lying more than 3 times further away: 5.8 AU. The corresponding total dust shell masses are $ 4 \times 10^{-11} $ and $ 9.5 \times 10^{-10} $ M$_\odot$, respectively. **The Circumstellar Extinction Law** It has been shown that the circumstellar extinction law is anomalous. The value of the ratio of total to selective extinction is larger than normal: $ R_J = 4.37 $. This extinction law is depicted in Fig. 2. The question is then: How is the behaviour of the circumstellar law in the ultraviolet? To answer this question, the extinction-free and real ultraviolet energy distribution have been compared, so that the UV circumstellar extinction law of the star HR 5999 could be ![Fig. 2: The extinction law of the circumstellar material of the star HR 5999. In the infrared as well as in the ultraviolet this law is anomalous. (Reproduced from Astronomy and Astrophysics Supplement Series.)](image) true, one can imagine that the dust extinction and polarization variations are the result of changes in the character of the dust grains due to perturbations in the photospheric or hot shell region, which are propagated outward supersonically through the cooler dusty surroundings. The cause and the characteristics of the perturbations are not yet clear, but the existence of instabilities in the shell of HR 5999 can be expected in view of the evolutionary stage of this pre-main-sequence star. **A Supernova Discovered at La Silla** Dr. André B. Muller from ESO recently described (*The Messenger* No. 19, p. 29, 1979) a new system allowing an easy and efficient monitoring of galaxies for the detection of supernovae. Using this system, H.E. Schuster discovered a supernova in NGC 1255 on December 30, 1980 (*IAU Circular* No. 3559, 1981). At the time of discovery its magnitude was 17. This was the first supernova found on La Silla. Thanks to the kind collaboration of Visiting Astronomers Dr. W. Seitter and Dr. H. Duerbeck, an immediate follow-up was carried out, showing that it was a type II supernova. P. V. **ESO/ESA Workshop on “Optical Jets in Galaxies”** With the aim of encouraging European cooperation and coordination in the use of the Space Telescope within some fields of research, ESO and ESA have arranged a series of workshops on the use of the Space Telescope and coordinated ground-based observations. The second of these workshops, entitled “Optical Jets in Galaxies”, took place in the auditorium of the new ESO Headquarters in Garching on February 18–19, 1981. Thanks to active contributions from 50 participants from different institutions in Europe and the USA, the meeting was very successful. Optical, radio and ultraviolet observations of jets were discussed in great detail. One of the results of the meeting is that the Space Telescope is expected to play a key role in the study of jets because of high resolution and UV sensitivity. The workshop proceedings will be published in a short time by the ESA Press. M. T. --- **ALGUNOS RESUMENES** **Observaciones “Speckle” en infrarrojo realizadas con una cámara de televisión** En principio, los grandes telescopios, como el de 3.6 m de la ESO, tienen una resolución angular mejor que 0.1 segundo de arco, vale decir, que detalles así de pequeños pueden ser vistos; pero comúnmente éste no es el caso. Las mejores fotografías tomadas con grandes telescopios pocas veces muestran detalles más pequeños que 1 segundo de arco (un segundo de arco es la separación angular de dos puntos separados por un milímetro a una distancia de 200 metros); esto se debe a la presencia de la atmósfera que es turbulenta, y esta turbulencia produce una imagen borrosa del objeto.

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The Learning Centre School Stationery List for Standard 2 Text Books and Worksheets All the books including the diary should be covered with adhesive clear plastic covers and returned to school. Uniform Monday and Thursday - PE Uniform with white socks Tuesday-Kidrobics Wednesday and Friday- Full-school uniform N.B. Students are supposed to pack their PE uniform during afternoon activities if it is Full School Uniform Day. Pack swimming costume, towel, flip-flops, swimming cap, and goggles for swimming. The labeling of the books is as follows: A4 hardcover is for homework. A4 brown brows are for: - Computers - Cultural Studies - Creative writing - French - Music - Setswana The Learning Centre School Stationery List for Standard 3 Text Books and Worksheets All the books, including the diary, should be covered with adhesive clear plastic covers and returned to school. Uniform Monday and Friday-PE Uniform with white socks Tuesday-Kidrobics Wednesday and Thursday- Full-School Uniform N.B. Students are supposed to pack their PE uniform during afternoon activities if it is Full School Uniform Day. Pack swimming costume, towel, flip-flops, swimming cap, and goggles for swimming. The labeling of books is as follows: - A4 hardcover is for homework A4 brown books are for: - Computers - Creative writing - Cultural studies - French - Music - Setswana The Learning Centre School Stationery List for Standard 4 | 2 | sharpeners | |---|---| | 2 | erasers | | 8 | pencils (HB only) | | 1 | box pencil crayons | | 2 | glue stick | | 1 | 12-inch and 30-cm ruler | | 1 | A4 hardcover book (192 pages- lined) | | 6 | A4 brown exercise books (lined) | | 1 | clear adhesive plastic cover | | 2 | boxes of tissues | | 1 | pair of scissors | | 2 | plastic pocket envelopes | | 1 | music recorder (from Uniform Shop) | | 1 | small Oxford Dictionary | | 1 | parrot product writing slate (small whiteboard from the Uniform Shop) | Text Books and Worksheets All the books, including the diary, should be covered with adhesive clear plastic covers and returned to school. Uniform Tuesday and Friday – PE Uniform Monday, Wednesday, and Thursday – Full Uniform N.B. Students are supposed to pack their PE uniform during afternoon activities if it is Full School Uniform Day. Pack swimming costume, towel, flip-flops, swimming cap, and goggles for swimming The labeling of books is as follows: - A4 hardcover is for homework. A4 brown books are for: - Computers - Cultural studies - Creative Writing - French - Music - Setswana

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NORTH QUEENSLAND ENSEMBLES INC BARRIER REEF ORCHESTRA ABN: 73-365-249-138 NOTICE OF 2017 ANNUAL GENERAL MEETING All members are advised that the Annual General Meeting (AGM), of North Queensland Ensembles Inc will take place at Pimlico Performing Arts Centre, Fulham Road, Pimlico on Sunday 21 st May 2017, commencing at 2:00pm. A copy of the agenda can be provided. The following points should be noted - Membership renewals were due by 31 January 2017. You must be a current financial member to vote on any issue raised at the AGM, to be eligible for nomination for election to the Management Committee and to make such a nomination(s). - Nominations are called for the positions of President, Vice President, Secretary, and Treasurer and for seven positions of Committee Members. Nomination forms are enclosed. Nominations close on 12 th May, 2017 and will be displayed on the Association web-site, (www.nqorchestra.com.au) as from Monday 15 th May 2017. - Members are urged to consider making themselves available for Committee membership so that there is a sound level of continuity. - A Proxy Vote form is also provided. Proxy Votes are to be lodged with the Secretary prior to the commencement of the meeting. All are invited to join in an Open Members' Forum immediately following the formal meeting. If you have any ideas you would like discussed please give them to the Secretary. Please send apologies to Secretary (477 96852) or [email protected] Lorraine Gray -McConnell SECRETARY P0 Box 576 TOWNSVILLE QLD 4810

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Energy Grid Grade/Subject: Physics Strand/Standard: Physics 2.5 Design a solution to a major global problem that accounts for societal energy needs and wants. Define the problem, identify criteria and constraints, develop possible solutions using models, analyze data to make improvements from iteratively testing solutions, and optimize a solution. Emphasize problems that require the application of conservation of energy principles through energy transfers and transformations. Examples of devices could include one that uses renewable energy resources to perform functions currently performed by nonrenewable fuels or ones that are more energy efficient to conserve energy. (PS3.A, PS3.B, PS3.D, ETS1.A, ETS1.B, ETS1.C) Lesson Performance Expectations: * Students will analyze the electrical grid in the United States and identify the types of systems. They will then play the "Power the Grid" game and identify the type of grid and its features. Materials: * Student sheet * One computer per student with internet access Time: 50 minutes unless students wish to play again, to win. Teacher Background Information: * Play the game yourself to make sure you understand how it is set up. There are not many instructions. The students will most likely pick it up fairly easily but you may need to help. * This activity is based on a video "game" based on energy use. The link below opens the game and allows the student to balance the electrical grid in a city. The energy produced must meet the demand. * Background info: https://www.epa.gov/green-power-markets/us-electricity-grid-markets Student Background Knowledge: * Students should be aware that electricity is involved in many applications in their daily lives. Many have seen the power lines extending from very tall towers around their city. You may wish to see if they know the difference between electricity and fuel burning as cars and homes are increasingly using both sources of energy. Teacher Step by Step: A 3-D lesson should insist that students think deeply. Provide time and space for the students to experience the phenomenon and ask questions. The student sheet provided below provides guidance but is only an example of how students might respond. 1. Introduce Phenomenon: Turn off the lights and any other electrical components in your classroom. Ask students how their day would be different without electricity. Ask them where the electricity for the lights in the school comes from? 2. Share the student sheet with students and provide time to read the website. Ask them to record ideas on the student sheet that are new to them. Review these ideas and make sure students read the whole article. 3. Draw student attention to the questions before they begin. They are based on the article and the game itself. 5. After as much time as you can stand the background music (mute is a good idea), ask students to stop and record their results (using the bar across the top) and answer the questions. Ask students to determine a "winner" based on their results. 4. Introduce the "Power the Grid" game at: https://kbhgames.com/game/power-the-grid 6. Students should then answer the questions and, if time allows, play the game from a more knowledgeable perspective. Assessment of Student Learning. 1. What are parts of a power grid? Choose all that apply: a. Substations * b. Transmission lines* c. Homes* d. Gasoline powered cars e. Power station* f. Energy storage facility* g. Gas furnace or fireplace h. Transformers* 2. What is the advantage of a large network of power sources on a grid? a. If one source becomes unavailable, other sources can fill the gap.* b. There is an unlimited amount of power because of the large network. c. The electricity will be cheaper and more available for everyone. d. The electricity will move more quickly through the grid. 3. How is electricity different from solid or gas fuel sources? a. Electricity does not yet have advanced storage methods.* b. Electricity has more energy per unit mass. c. Electricity can be stored more cheaply. d. Electricity is found in all locations. 4. Which of the following is true of the electrical grid that Utah belongs in? Choose all that apply. a. It is composed of many Western States in the US.* b. Customers have only one choice of who to buy power from* c. Utahns enjoy unlimited power from many different sources. d. There is very little management of the movement of electricity. Extension of lesson and Career Connections: Ask a parent or guardian to see a power bill for your home or apartment. What information do you see? When does your living space use the most electricity? Why?

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AUSTRALIA'S PUBLIC SECTOR : FIT FOR PURPOSE? IPAA NATIONAL CONFERENCE, 17 OCTOBER 2018 IPAA National President, Professor Peter Shergold AC In August I undertook a 9 city speaking tour as the National President of IPAA. Over 830 people attended the events. The theme of my speech was the same in every location, although the direction of questioning and commentary varied widely, reflecting the composition of the audiences. I used my presentations to reflect on the extent of which Australia's public services are fit for contemporary purpose. I talked of the leadership attributes and organisational capabilities necessary to design and delivery public policy. I spoke not only of the continued importance of conceptual and analytical skills but also on the need to enhance the status accorded to risk assessment, project management and evaluation. I argued the need to open up public administration to outsiders. I emphasised that in all jurisdictions there was an increasing requirement to move beyond the contracted management of outsourced providers to genuine cross-sectoral collaboration; to create, through commissioning, a contestable market of delivery agents; and to afford citizens greater capacity to and direct the government assistance to which they are entitled. But I was not downbeat. I tried to convey the exciting possibilities which exist to enhance the evidence-based advice provided to governments through mass data analytics (on the one hand), and greater understanding of behavioural psychology (on the other). I talked both of e-Government and of e-Democracy. Fitness-for-purpose, I suggested, would depend on preserving what was best of the past whilst embracing imaginatively the future: public services need to maintain the traditional vocational values associated with non-partisanship whilst at the same time proving that bureaucracies could be more flexible, agile and adaptive in employing new technologies and approaches. At each presentation, I sought survey feedback from participants on how they saw the state of Australian public services. I asked: are they fit for purpose; are they fit for the future? Today I report back to you. I received 817 completed surveys, many of which included extensive written comments. Most, but not all, were completed by people who had been in my audiences. About 73% of respondents worked in State or Territory public services and 15% in Commonwealth agencies and authorities. Some 12% were presently outside public administration, of whom about a quarter were retired public servants. The others, I hazard a guess, were consultants or providers who work closely with public services and, in that capacity, attend IPAA functions. Amongst the public service responders there was a good spread of experience although the distribution was skewed to more long-serving (and almost certainly more senior) individuals. That, I think, provides greater authority to the results. For, let me emphasise, this is a study of perceptions: it records how people, on the basis of their lived experience, understand their workplace and imagine how others regard it. Confidential in nature, the survey gives a glimpse into their private conversations rather than their public pronouncements. Given that the survey is not based on a random sampling, its responses should be treated as suggestive. Its findings are challenging. Indeed, I was shocked by the results. The problems of government are far too often described, by politicians and the media, as crises. Generally, public servants are more restrained in their language. The word 'crisis', I concluded when I was a public servant, was used with such frequency that it lost its potency. So I tread warily, cautious of exaggeration, when I tell you that the survey suggests to me a crisis of confidence within Australia's public services. I found the views expressed worrying. I understand them even if I do not necessarily share them. Public service background 6 | State | 73 | |---|---| | Commonwealth | 15 | | Other | 12 | THE SURVEY n = 817 6 Length of public service 6 | Years | Per cent | |---|---| | 0–5 | 16.2 | | 6–10 | 19.2 | | 11–15 | 18.7 | | 16–20 | 16.5 | | 21+ | 29.3 | Let me begin with the more optimistic results. Most public servants still regard their organisations as professional and ethical. Just over three-quarters believe that the public service cares about the citizens they serve. PERCEIVED STRENGTHS The public service is… | …professional | 82.3 | |---|---| | …ethical | 76.6 | (percentage who agree or strongly agree) Similarly, around three-quarters are proud to be public servants. This is a good measure of positive employee engagement. Around 73% agree with the statement, 18% are unsure and 10% disagree. ENGAGEMENT "I am proud to be a public servant" Almost the same percentage of public servants would recommend the public service as a place to work. They remain willing to promote their choice of career. This does not necessarily represent a ringing endorsement. The survey did not provide the 10-point scale necessary to calculate an employee Net Promoter Score (eNPS). However, on the basis that those who 'strongly agree' are workplace 'promoters'; those who 'agree' or are 'unsure' are 'passives'; and that those who 'disagree' or 'disagree strongly' are 'detractors', the Net Promoter Score can be calculated at +6 (the NPS ranges from -100 to +100). As context, it is generally considered that anything between + 10 and + 50 is an indicator of strong employee loyalty. PROMOTION "I would recommend the public service as a place to work" The responses on engagement and promotion are modestly reassuring and there are a few other questions the answers to which suggest that public servants perceive their work positively. Overall around 60% of public servant respondents believe that administrators still have strong policy skills. More worryingly, only 40% assess that public services deliver projects well (State public servants were somewhat more positive than their Commonwealth counterparts). Slightly more than 50% of respondents believed public services were outcome-oriented and just over 40% thought that they made effective use of taxpayers' money (in this instance it was Commonwealth public servants who felt more optimistic). MODEST SUCCESS The public service… | | State (%) | |---|---| | …delivers projects well | 42.2 | | …has strong policy skills | 63.8 | | …is outcome-oriented | 48.1 | | …makes effective use of taxpayers’ money | 39.6 | (percentage who agree or strongly agree) The survey suggests, however, that these modestly positive answers were overwhelmed by the scale of the negative responses. Only around a third of these surveyed affirmed that public services take a whole-of-government approach to public administration. Just over a quarter thought they were agile. Of more concern, almost three-quarters of respondents believed that public services were too hierarchical and only 18% of Commonwealth public administrators and 14% of State public servants thought that employee performance was handled well. It is difficult to put a positive spin on such abject responses. PERCEIVED WEAKNESSES The public service… | | State (%) | |---|---| | …manages performance well | 14.3 | | …is agile | 25 | | …takes a whole-of-government approach | 31.4 | | …is too hierarchical | 72.5 | On a few questions there were significant differences between how State and Commonwealth public servants viewed their organisations. Those who worked for the Commonwealth felt more positive about the non-partisanship and productivity of public services, whilst those employed by the States were more likely to believe that the culture of their workplace had improved. Yet even where these jurisdictional divergences are apparent, it is the shared sense of disquiet and dissatisfaction that is most striking. STATE : COMMONWEALTH DIFFERENCES The public service is… 80.0% If public servants are concerned about the performance of the organisation within which they work, the view of outsiders (almost certainly, informed outsiders) is even more disturbing. Asked whether public services were innovative, collaborative, outcomeoriented or efficient, the percentage of public servants who responded positively was modest (42%, 56%, 49% and 41% respectively). But, from the outside, the perceptions were far more negative (just 23%, 37%, 30% and 26% respectively). It is a matter of concern that 48% of public servants believe that their institutions are becoming more political. It is worse that 59% of the outsiders (with many of whom they probably work) hold that opinion. INSIDER: OUTSIDER DIFFERENCES The public service is… 80.0% 60.0% 40.0% 20.0% 0.0% 48.0% More Political Outsider Insider (percentage who agree or strongly agree) As I read through the tables my mood of despond deepened. Only around 30% of insiders maintain that public services remain frank and fearless. In this context the very high percentage who believe that public services are responsive to government may suggest a view that they are too willing to accede to government direction (and I regret not asking the question in this way). In general, public servants feel that their status is under threat. They sense a loss of situational authority. Around 60% of respondents concluded that ministerial advisers were now playing too great a role in governance and almost 70% thought the same of consultants. This is puzzling. Most public servants I talk to, like myself, do not believe that senior administrators should have a monopoly in providing advice to Ministers. I suspect that concerns relate to the transparency and accountability associated with the power wielded by advisers, and the extent to which internal budgetary constraints (rather than value) are driving the decisions to appoint consultants. Again, I wish I had posed a few more questions to test these interpretations. Perhaps most concerning, too few public servants feel loved by those whom they serve; less than a third believed that they were appreciated by governments. This is not the basis of the reciprocated trust and respect necessary for an effective working relationship. PERCEIVED THREATS The public service… Let me conclude this rather disheartening account. Asked if the public service is a better place to work than in the past, only 39% agreed. Some 34% were unsure and 27% disagreed. PROGRESS "The public service is a better place to work than in the past" And asked directly if the public service within which they worked were fit-for-purpose, just 32% agreed. Some 36% were unsure and 33% disagreed. FITNESS "The public service is fit-for-purpose" I did not expect these results. The speeches I delivered, although they addressed the scale of the challenges faced by public servants, did not lead my audiences to such pessimistic conclusions. I am left in no doubt that many well-experienced and senior public servants are troubled by the organisational capability of their workplaces. They worry whether the ethos and values that are inherent to their chosen vocation are being maintained and defended. Many respondents – in some instances, most – are uncertain or pessimistic about the future. Such gloom comes at the worst possible time. As I sought to convey in my speaking tour, the foundations of liberal democracy appear to be increasingly fragile. Populist responses to complex public policy conundrums are becoming attractive to disillusioned voters in search of simple answers. The authoritarian impulse is becoming more evident. Faith in expertise is declining. Conspiracy theories run wild. Freedom of speech is under challenge, even on our university campuses. In Australia, trust in politicians is at a low ebb. The young, in particular, seem unpersuaded of the relative merits of democratic politics. Political fragmentation and extremism, coupled with the increasing incivility of political discourse, makes the professional moderation of public servants seeking common ground less attractive. There is a rising tribalisation of Australian politics and culture. In this 'post-truth' world the value of a skilled public administration, trained in looking at all sides of a political proposition in a considered and thoughtful manner, is no longer regarded as a civic virtue. Yet the capacity to anticipate the unintended consequences of a policy proposal, and to imagine alternative solutions, is vital to government decisionmaking. This is especially true at times of electoral transition and political turmoil that are the hallmark of modern representative democracy. In today's uncertain environment, the ability of public administrators to serve successive governments in an apolitical manner has become significantly more important to the health functioning of the machinery of democratic government. Yet, perhaps in part because of the societal challenges, public servants feel less confident in their ability to administer effectively. Of course it is important for public services to improve their managerial capacity. They do need to develop their people and organise their resources in a more efficient and effective manner. Similarly, they must exhibit greater leadership in finding new and innovative approaches to the design and implementation of public policy, and which are more are responsive to the aspirations of citizens. They also need, to apply exhibit more facilitative skill to the development of cross-sectoral partnerships with business and community organisations in order to create beneficial public impact and outcomes. But the survey suggests to me that such capability enhancement is no longer enough. We do not just require new (or even newer) public management. IPAA (and its members) should expound a stronger narrative of the purpose of public service, focused on how it is central to the operations of democratic governance and to the maintenance of a civil society. We should be more proactive and vocal in framing public discourse around the role and accountability of public services. We need to present the professional face of a confident public sector. This is not impossible. After all bright young people in search of a job are still attracted to us. According to 16,000 votes from Australian university students in 2017, 11 of the top 25 employers were public sector organisations. Similarly, the most recent Randstad research report, based on almost 10,000 phone surveys, found that the Australian, Queensland, NSW and ACT governments all ranked in the top 20 most attractive employers for career seekers. Public service is still perceived as attractive. It is seen as interesting, worthwhile and meaningful. Moreover, public servants as a category, remain more than twice as trustworthy in the community as the politicians they serve. And at a time of declining respect for institutional authority, it is doctors, teachers, nurses and first responders (many of whom work in public services), who retain the highest levels of community trust. Lawyers, bankers, business and trade union leaders and ministers of religion are regarded far less favourably. But we cannot assume we can rely on an impartial public service – as an ethos – continuing to be appreciated. We need to tell of a convincing story of the way in which it is the bedrock of democratic governance. It is time for us to find ways in which to give collective voice to the profound societal value created by professional public servants, from Secretaries and Director-Generals to the frontline staff who meet and talk to citizens on a daily basis. For myself, as National President for IPAA, I will do my best to do my part in telling that tale.

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Time To Own FORGIVABLE DOWN PAYMENT ASSISTANCE The CHFA Time To Own - Forgivable Down Payment Assistance Program loan must be offered in conjunction with a CHFA first mortgage program. The Time To Own loan can also be combined with a CHFA Down Payment Assistance Program (DAP) loan to eligible applicants. The Time to Own Program is administered by CHFA on behalf of the Connecticut Department of Housing. ELIGIBILITY REQUIREMENTS - To be eligible for the CHFA Time To Own - Forgivable Down Payment Assistance Program, borrowers must receive a CHFA first mortgage loan. - Borrowers must be a current resident of Connecticut and able to demonstrate continued residency for the most recent three (3) years. - Borrowers must be first-time homebuyers or have not owned a home in the past three (3) years unless purchasing in a Targeted Area of the state. Borrowers may not own any other property at the time of the CHFA mortgage closing. (see: Targeted Areas at chfa.org) - The Time To Own Program Area Median Income (AMI) Limits and CHFA Sales Price and Income Limits apply. (see: chfa.org / Time To Own) PROGRAM IMPORTANT INFORMATION - The Time To Own Program is a 0% interest rate loan with no monthly payments. - Ten percent (10%) of the principal balance will be forgiven annually, on the anniversary date of the loan closing, until the loan is fully forgiven on the tenth anniversary. - Assistance may be used to cover up to 20% down payment and up to 5% closing costs. - Loan amounts up to $50,000 for homes located in High or Very High Opportunity Areas (per State of CT Opportunity Map). (See: CT Opportunity Areas at chfa.org) - Loan amounts up to $25,000 for homes located in areas other than High or Very High Opportunity Areas. - This is a needs based program with a minimum Housing Expense-to-Income ratio of 30%. - Applicants must meet all CHFA first mortgage and Time To Own Program eligibility and underwriting criteria. The Time To Own, CHFA - Participating Lender will work with applicants to determine complete program eligibility requirements. (see: Time To Own - Participating Lenders list at: chfa.org / Time to Own) HOW TO APPLY To learn more about the program and to apply, contact one of the Time To Own, CHFA - Participating Lenders for guidance. (see: chfa.org /Time To Own) or call us toll free at: 844-CT1-HOME (844-281-4663)

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Hello, Red Nose Day is an important day as we recognise those in our wider community who we can help through a small donation. This is something we highly value and it is part of our school code, which includes the mantra help if we can. Thank you to our school councillors who I met with last week who thought carefully about how we could all help by wearing our own clothes for a small donation to the Red Nose Day charity. Building Community is an important part of our school vision and being part of a wider Trust is a community we are pleased to be part of. We have enjoyed some Trust wide events over the last few weeks - some children from across the school classes took part in a Forest School morning where they completed team building activities with children from our other TEAM Trust schools. Team work, cooperation and problem solving was the order of the day and those who took part grew in confidence and met some new friends. Then this week a few of our year 3 and 4 children went to Pilton Bluecoat for a maths challenge where they worked in mixed teams with other children from across the Trust to solve some very tricky maths puzzles. Their enthusiasm to problem solve and work as a team was excellent. Again, this occasion developed their confidence and gave them a chance to work with other like-minded mathematicians. As we move forward, there will be many other opportunities such as the Year 6 residential in May. Our staff also benefit from the wealth of knowledge and expertise that is shared across the trust in inter school working parties. We look forward to more collaboration with our school partners from High Bickington, Beaford, Brayford, Pilton Bluecoat and Infants, Horwood and Newton Tracey, Witheridge and Swimbridge. Have a lovely weekend, Mr Hick SCHOOL TERM DATES 2023/2024 Spring Term Last Day: 28th March 2024 Summer Term First Day: 15th April 2024 Bank Holiday: 6th May 2024 (school closed) Half-term: 27th-31st May 2024 (school closed) First Day: 3rd June 2024 Last Day: 23rd July 2024 FOREST SCHOOL/PE DAYS Nursery: Forest School on Thursdays Reception: Forest School on Thursday afternoons, PE on Fridays - please can all PE and Forest School kits stay in school. Class 2: Yr1 Forest School on Tuesday afternoons - bring in Forest School kit on the day. Yr2: PE on Tuesday afternoons, children to wear PE kit into school on the day. Class 3: Tennis on Wednesdays. Children will need to come to school wearing their PE kit every Wednesday. Class 4: will be going to Falcons gymnastics on a Wednesday. Children will need to come to school wearing their PE kit on Wednesdays. WE KINDLY REQUEST THAT…: • If your child is poorly, please report their absence to the school office on 01271 858373 or email [email protected] by 9.30am • All medical appointments are to be advised in advance please to the school office • Any other absences must be applied for via an absence request form • Please supply your child with a refillable water bottle every day • Warm coats for outdoor play if it’s wet or cold! Emails are monitored between 7.40am - 3pm (Mon to Thurs) and between 7.40am - 12.20pm (Friday) If you need to speak to someone urgently please call the school number 01271 858373. If no one answers, please leave a message and someone will contact you as soon as they can. Class 1 This week Class 1 have been making 3D shapes with playdough and making primrose finger painting pictures. Class 2 This week, Class 2 began their DT project by exploring different fruits and vegetables. They investigated what they looked like and how they felt and thought about adjectives to describe the fruit. They were able to taste a range of fruits, deciding which was their favourite and which one they didn’t like - if any! Class 3 This week class 3 have started some learning on fractions. So far, we have been learning some new vocabulary; denominator and numerator, and representing different fractions as pictures. We have also been working on our houses in art and next week we are hoping to finish them off. Class 4 Class 4 have been learning about Vivienne Westwood in Art. We think Lily’s outfit for Red Nose Day is in keeping with Class 4’s topic! Nursery We love our cosy book area and reading stories. This Week Breakfast Club | Date | Event | |--------------------|----------------------------------------------------------------------| | Monday 18th March | Colouring After-school Club 3.30pm - 4.15pm (Week 10) | | | Cricket all day -Classes 1, 2, 3 and 4 to wear PE kits to school please | | | Child Measurement Reception and Year 6 - School Nursing Team | | Tuesday 19th March | Cooking After-school Club 3.30pm to 4.15pm (Final Session) | | | Cosmic Yoga After-school Club 3.30pm to 4.15pm (Week 10) | | Wednesday 20th March | Local Governing Body Meeting 6pm | | Thursday 21st March | Coding After-school Club 3.30pm to 4.15pm (Week 10) | | Friday 22nd March | TEMPEST - school class groups/vista | There will be an extra session for Coding Club on Thursday 28th March, Colouring Club on Monday 25th March and Cosmic Yoga Club on Tuesday 26th March. **TEA AT TWO** This week, Tea at Two is awarded to: Class 1: Alasdair and Elle Class 2: Reemy and Ziggy Class 3: Theo and Imogen Class 4: Chester and Daenerys for behaving exceptionally in school this week PRESENTATION HERO This week, our Presentation Hero award goes to: Laith (Class 1), Teddy (Class 2), Molly (Class 3), Ruben (Class 4) Our Presentation Hero is awarded to children across the school each week who always present their work carefully. OUR SCHOOL WEBSITE IS NOW LIVE! Find us at www.hntps.devon.sch.uk We have been very careful to ensure that only those children with parental permission for photographs have been included on the school website. If your child’s photo has been included, but you would prefer us to remove it, please let Carla know in the school office. We are still working on the content of the newsletter, so please bear with us. Year 3 & 4 Maths Challenge TEAM Event ‘...it was so lovely working with all of your mathematicians on Monday. Their enthusiasm to problem-solve and work with children from across the Trust was a real pleasure to see.’ [Team Teacher] On Monday 11th March, 6 TEAM schools came together to take part in a Year 3 and 4 maths challenge. They put their mathematical skills to the test by tackling some tricky Egyptian-themed fraction problems. What a lovely opportunity to work with children from across the Trust! Each child received a certificate to mark their involvement in the event. Congratulations to Bella! For completing Stage 3 Swimming! We are pleased to announce that Ottilie Robinson-Shaw will be joining us on the 25th April. She is a freestyle kayaker who will be coming in to talk to us about her journey as an athlete. All children will take part in some exercise during the day and will be seeking sponsorship. Children will be bringing home some more information and a sponsorship form this week. HNTPS Breakfast Club Menu | Monday | Tuesday | Wednesday | Thursday | Friday | |---------------------------------------------|--------------------------------------------|--------------------------------------------|--------------------------------------------|--------------------------------------------| | Cereals served with milk (7) | Cereals served with milk (7) | Cereals served with milk (7) | Cereals served with milk (7) | Cereals served with milk (7) | | Rice Krispies (2) | Rice Krispies (2) | Rice Krispies (2) | Rice Krispies (2) | Rice Krispies (2) | | Corn Flakes (2) | Corn Flakes (2) | Corn Flakes (2) | Corn Flakes (2) | Corn Flakes (2) | | Weetabix (2) (14) | Weetabix (2) (14) | Weetabix (2) (14) | Weetabix (2) (14) | Weetabix (2) (14) | | Fruit | Fruit | Fruit | Fruit | Fruit | | Toast (2) | Toast (2) | Toast (2) | Toast (2) | Toast (2) | | Jam (14) | Jam (14) | Jam (14) | Jam (14) | Jam (14) | | Marmalade (14) | Marmalade (14) | Marmalade (14) | Marmalade (14) | Marmalade (14) | | Honey | Honey | Honey | Honey | Honey | | Milk (7), water, orange juice, apple juice | Milk (7), water, orange juice, apple juice | Milk (7), water, orange juice, apple juice | Milk (7), water, orange juice, apple juice | Milk (7), water, orange juice, apple juice | Sign up for April and May - forms available from the school office now! PLEASE RETURN FORMS BY 20TH MARCH TO SECURE YOUR CHILD’S PLACE ## Spring Dinner Menu Meal price is £2.50 per day for Class 3 and 4 children, Classes 1 and 2 qualify for universal free school meal. Jacket Potatoes with a choice of toppings are available every day. Fresh fruit, salad & wholemeal bread are available daily. Reminder: we are a nut free school. ### Week 1: 18/03 | Day | Main Course | Side Dish | |-------|-------------------------------------------------|-----------------------------------------------| | Mon | Fish Fingers | Chips/Pasta/Baked Beans/Peas | | | Salmon Fishcakes | Filled Jacket Potato | | | Chocolate Cake & sauce | Fruit bowl/yoghurt | | Tues | Sweet & Sour Chicken Fajitas | Potato wedges, Mixed Veg | | | Filled Jacket Potato | Apple Muffins | | | Fruit bowl/yoghurt | | | Weds | Hot Dog | Sausage & Pasta/Veggie sausage | | | Spaghetti hoops/Sweetcorn | Filled Jacket Potato | | | Ginger cake & custard | Fruit bowl/yoghurt | | Thurs | Roast Gammon, Roast Potatoes, Veg and Gravy | Veggie Burger | | | Filled Jacket Potato | Ice Cream & Stewed Apple | | | Fruit bowl/yoghurt | | | Fri | Panini (ham, cheese, tuna) | Ham Roll | | | Garlic potatoes, fruit and veg selection | Filled Jacket Potato | | | Australian Crunch | Fruit bowl/yoghurt | ### Week 2: 25/03 | Day | Main Course | Side Dish | |-------|-------------------------------------------------|-----------------------------------------------| | Mon | Cod fillets | Chips/Pasta/Baked Beans/Peas | | | Salmon Fishcakes | Filled Jacket Potato | | | Veggie Fingers | Sprinkle Cake | | | Fruit bowl/yoghurt | | | Tues | Cottage Pie/Quorn Cottage Pie | Mixed Veg | | | Filled Jacket Potato | Apple & Blackberry Crumble & custard | | | Fruit bowl/yoghurt | | | Weds | Bacon Buttie | Veggie Burger Buttie | | | Potato Wedges | Spaghetti hoops/Sweetcorn | | | Filled Jacket Potato | Icecream and Custard Biscuit | | | Fruit bowl/yoghurt | | | Thurs | Roast Chicken/Quorn Chicken Fillet, | Roast Potatoes, Veg and Gravy | | | Filled Jacket Potato | Veggie Burger | | | Sticky Chocolate Courgette Cake | Fruit bowl/yoghurt | | Fri | Panini (ham, cheese, tuna) | Ham Roll | | | Filled Jacket Potato | Chocolate biscuits | | | Fruit bowl/yoghurt | | #LITTER HEROES AMBASSADORS Community Clear Up Day Your Parish Needs Your Help!! HINI Parish Council are taking part in the Community Clear up campaign and invite you to join us for Community Litter Pick Saturday 30th March 2024 10-11am At Lovacott Village Hall **Light refreshments provided** Everyone Welcome! Equipment provided but please bring your own gloves. The Woodcott Players present Aladdin Lovacott Village Hall 22 and 23 March Adults £6 and £3 for under 16s FRIDAY 22nd March at 7.30pm SATURDAY 23rd at 2pm and at 7.30pm TICKETS Box Office opens 12th February – and not before! For tickets call Patiline on 01271 858988 or text 07802 421516 Should I keep my child off school? Yes | Condition | Until... | |---------------------------|-----------------------------------------------| | Chickenpox | at least 5 days from the onset of the rash and until all blisters have crusted over | | Diarrhoea and Vomiting | 48 hours after their last episode | | Cold and Flu-like illness (including COVID-19) | they no longer have a high temperature and are well enough to attend school (follow guidance if they’ve tested positive for COVID-19) | | Impetigo | after they started using antiseptic washes and healers, or 48 hours after they started using antibiotics | | Measles | 4 days after the rash first appeared | | Mumps | 5 days after the swelling started | | Scarlet Fever | 24 hours after they started taking antibiotics | | Whooping Cough | 48 hours after they started taking antibiotics | No but make sure you let their school or nursery know about... | Condition | Until... | |---------------------------|-----------------------------------------------| | Hand, foot and mouth | Glueable fever | | Head lice | Tonsils | | Thrush/breastmilk | Stopped cheek | Advice and guidance To find out more, search for health posters in schools or go to our Q&As website: https://gprco.de/minfec

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**Appetizers** - **LOBSTER CROQUETTES** toasted sesame|yuzu dipping sauce - **BIG EYE TUNA TARTARE** tamari ginger glaze|pineapple avocado|plantain chips - **JUMBO LUMP CRAB CAKE** roasted jalapeño beurre blanc - **MARIGOLD TOAST** multigrain|house made ricotta spiced grapes|granny smith apples purple radish|rocket arugula|hot honey - **OUR LOBSTER FRIES** lobster|fontina cheese fondue - **THICK CUT BACON** shaved brussels sprouts|kumquat glaze --- **Chilled Bar** - **JUMBO SHRIMP COCKTAIL** spicy cocktail sauce|lemon wedge - **SEASONAL OYSTERS** sour apple mignonette - **SHELLFISH SAMPLER** black tiger shrimp|seasonal oysters king crab leg|main lobster cocktail sauce|mignonette house-made hot sauce --- **Soups** - **HEIRLOOM SQUASH BISQUE $13** spiced brioche|pumpkin oil - **NEW ENGLAND LOBSTER CHOWDER $15** melba toast --- **Going Green** - add shrimp|crab|lobster tail chicken|steak - **BLOOMSDALE SPINACH SALAD** maple bacon vinaigrette|butternut squash pomegranate arils|spicy walnuts goat cheese - **GOLDEN BEET SALAD** butter lettuce|honey crisp apples brioche crumbles|heirloom carrots pernod vinaigrette - **MG CAESAR SALAD** baby romaine|tuscan kale|parmigiano herb croutons|black garlic dressing --- **Craft Buns** - **butter lettuce|black sesame brioche** - **THE BOSS BURGER** prime beef|lobster meat|asian slaw pickled shallots|lemon aioli - **FARMSTEAD BURGER** prime beef|american cheese dill pickles|bacon thousand island dressing - **SMOKED SPICY BURGER** prime beef|smoked cheddar|bbq sauce green chili hash|tempura jalapeños - **SUPREME BURGER** prime beef|grilled onions forest mushrooms|swiss cheese béchamel - **GREAT VEGGIE BURGER** cauliflower patty|cucumber pea sprouts|roasted tomato tahini aioli --- **Plates** - **FREE RANGE ROASTED CHICKEN** boursin mac & cheese|green chile tuscan kale|chicken jus - **LOBSTER TORNNARELLI** squid ink pasta|roasted tomatoes south african lobster tail creamy lobster sauce - **SLOW BRAISED SHORT RIB** sunchoke purée|roasted corn port shallots - **STEAK FRITES** prime hanger steak|rosemary fries béarnaise sauce - **TORCHED BLACK COD** coconut yellow curry|furikake purple cauliflower --- **Sides** - **BUFFALO BRUSSELS SPROUTS** blue cheese crumbles - **CRISPY FRENCH FRIES** house made ketchup - **DAILY BAKED MONKEY BREAD** fontina|thyme|pomodoro dipping sauce - **OLD FASHIONED ONION RINGS** smoky bacon ranch - **SWEET POTATO PUFFS** curry dipping sauce --- **Proper Lobster and Crab Rolls** - **brioche roll|malt vinegar kettle chips add extra meat** - **VEGAS LOBSTER ROLL** santa barbara sea urchin american caviar|dill aioli - **CONNECTICUT LOBSTER ROLL** melted butter|lemon zest - **MAINE LOBSTER ROLL** celery|fennel|lemon pepper aioli - **MARYLAND BLUE CRAB ROLL** minced celery|old bay aioli --- **Desserts** - **BANANAS FOSTER BREAD PUDDING** cinnamon dulce de leche ice cream orange rum syrup - **BUTTERSCOTCH PUDDING** pecan shortbread|chantilly - **ICE CREAM** 1 or 3 scoop bowl vanilla|roasted pineapple malted chocolate|pistachio strawberry buttermilk cinnamon dulce de leche mango sorbet - **ICE CREAM SANDWICHES** chocolate chip cookie filled with choice of ice cream - **SHELL-ABRATION SUNDAE** choice of 3 ice cream flavors chocolate sauce|strawberry sauce crispy almond clusters|whipped cream black & white chocolate pearls sugar wafers|amarena cherry diced pineapple|sprinkles frosted sugar cookie - **THE SHAKE** --- **Ask us about Sunday Family Supper** --- CONSUMING RAW OR UNDERCOOKED MEAT, POULTRY, SEAFOOD, SHELL STOCK, OR EGG MAY INCREASE RISK OF FOODBORNE ILLNESS, ESPECIALLY IN CASE OF CERTAIN MEDICAL CONDITIONS MENU SUBJECT TO CHANGE

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CITY OF SULPHUR SPRINGS, TEXAS REGULAR MEETING OF THE CITY COUNCIL JUNE 2, 2015 7:00 p.m. Mayor Freddie Taylor called the regular meeting of the Sulphur Springs City Council to order at 6:30 p.m. Councilman Craig Johnson moved to adjourn to executive session in accordance with Texas Government Code 551.071, consultation with attorney - pending litigation. Mayor Pro Tem Kayla Price seconded the motion. There was no one present to speak to the issue. The vote was unanimous. The following council members and staff were present: Mayor Freddie Taylor Mayor Pro Tem Kayla Price Councilman Craig Johnson Councilman Clay Walker Councilman Oscar Aguilar Councilwoman Emily Glass Councilman John Sellers – 7PM Absent: None Staff: Marc Maxwell, City Manager Gale Roberts, City Secretary Jim McLeroy, City Attorney Shane Shepard, Community Development Director – 7P Gordon Frazier, Director Human Resources – 7P Phyllis Rogers, Municipal Court Judge – 7P RECONVENE INTO OPEN SESSION Mayor Taylor reconvened the meeting into open session at 7:01 p.m. PLEDGE AND INVOCATION Mayor Taylor led in the pledge of allegiance to the United States Flag and the Pledge to the Texas Flag as well as the invocation. PRESENTATIONS, ANNOUNCEMENTS AND PROCLAMATIONS Mayor Pro Tem Price reminded everyone of the 2015 Independence Day Celebration which will be held Saturday, June 27 th , with the concert by the Northeast Texas Symphony Orchestra. Councilman Aguilar thanked those that participated in the UPRA Rodeo by accepting the challenge of either riding a bull or paying a fee. It was a very successful endeavor. OATHS OF OFFICE WILL BE GIVEN TO COUNCILMAN CRAIG JOHNSON, COUNCILMAN CLAY WALKER, AND COUNCILMAN OSCAR AGUILAR City Secretary Gale Roberts administered the Oath of Office to Councilman Craig Johnson, Councilman Clay Walker, and Councilman Oscar Aguilar. DISCUSSION/ACTION ON SELECTION OF MAYOR Councilman Sellers moved to nominate Kayla Price as Mayor. Councilwoman Glass seconded and the vote was unanimous. The motion carried. Newly appointed Mayor Price presented the outgoing Mayor, Freddie Taylor, with an engraved gavel and striking block in its own walnut presentation box for his hard work and efforts as Mayor of the City of Sulphur Springs, Texas. Freddie Taylor thanked everyone and stated that he enjoys working with the current City Council and looks forward to the first Tuesday of the month. In the interim he enjoys visiting with the public. It has been a pleasure to serve the citizens of Sulphur Springs as their Mayor and he is thankful for the opportunity. He also stated that it is a pleasure to serve with the current, like-minded City Council and will continue to do so as we go forward to do what is best for the City of Sulphur Springs. Councilman Taylor appreciatively recognized the long-term of City Manager Marc Maxwell and his leadership. Incoming Mayor Kayla Price presented Freddie Taylor with a red rose to give to his lovely wife, Rita, for her support during his tenure as mayor. Mayor Price then recognized her boyfriend, Michael Mitchell, and presented him with a red rose. DISCUSSION/ACTION ON SELECTION OF MAYOR PRO TEM Councilman Johnson (addressing Mayor Price as Madame Mayor – wanting to be the first to do so) moved to nominate Councilwoman Emily Glass as Mayor Pro Tem. Councilman Taylor seconded and the vote was unanimous. The motion carried. Mayor Price noted that she had been told by our local historian, John Sellers, and City Secretary, Gale Roberts, this is the first time in Sulphur Springs' history where a woman has served as mayor and mayor pro tem at the same time. MANAGER'S REPORT STREETS, WATER AND SEWER - The FM 2285 waterline replacement project is moving slowly. The heavy rains have taken their toll on the project. We've installed 6,500 feet of pipe, and three of four bores have been completed. This project will replace 2.5 miles of undersized and dilapidated water main at a cost of $862,800. The project begins at S.H. 19 and extends past the Lake Sulphur Springs dam. The old water main generates more repairs that any other water main in the City. The Rockdale Road reconstruction project is on deck. You may recall that in the past five years we have replaced two out of four segments of Rockdale Road (on the north side of the interstate). This project will reconstruct the remainder of Rockdale Road. Expect the Davis Street waterline re-placement project to follow Rockdale Road. This project will replace 1,500 feet of water main on North Davis from Park to Glover. This will clear the way for this street segment to be paved this summer. STORM CLEANUP – During the past week city crews manned the spring cleanup site to receive trees and tree limbs that were downed by the recent storms. They also worked through the night after a recent storm to reopen streets where trees had fallen across them. We are compiling the cost of the cleanup effort. We might be able to obtain disaster relief from the state. CLAIMS – We did not have any worker's compensation claims in May. We did receive 3 liability claims in May, one for damage to a Verizon line, one for a minor vehicle accident, and one for damage allegedly arising from a pothole incident. The city also submitted a claim to TML for Wind and lightning damage to buildings, mobile equipment and real property at Airport, Service Center, Kids Kingdom and Downtown Plaza. CITY BUSINESS OFFICE – Reconstruction is moving right along at the old City Hall. The walls are painted, and tile flooring is being installed now. We expect to move in sometime in July. WASTEWATER TREATMENT PLANT - Total suspended solids (TSS) came in at 2.97 mg/L, not bad for such a rainy month. REVENUES AND EXPENDITURES – Finance Director, Peter Karstens will present the year-to-date summary of revenues and expenditures. Elsewhere around the city, employees: * Conducted 23 building inspections, 21 electrical inspections, 11 plumbing inspections, 1 mechanical inspection and issued 22 building permits. * Conducted 8 health inspections, opened 4 code enforcement complaints and pursued 59 ongoing code enforcement investigations. * Responded to 140 fire/rescue calls, including 4 structure fires. * Conducted 53 fire safety inspections. * Tested and performed preventative maintenance on 80 fire hydrants. * Made a temporary repair to the airport terminal roof. * Retrofit L.E.D. lights on the flag poles at the Hopkins County Veterans Memorial. * Relocated the radio tower at old city hall. * Repaired the airport fountain. * Repaired the car wash at the service center. * Repaired the fountain at Celebration Plaza. * Performed preventative maintenance and repairs on numerous apparatuses at the wastewater treatment plant and the water treatment plant. * Replaced 11 water meters. * Repaired 7 water mains and 2 sewer mains. * Unstopped 24 sewer mains. * Rebuilt gates at College Street water tower. * Washed 78,000 feet of sewer mains. * Repaired or replaced caps on 47 sewer cleanouts discovered while smoke testing. * Opened flood gates at Lake Sulphur Springs for a total of 12 days in May. * Flushed 36 dead end water mains. * Treated 120 million gallons of Cooper Lake water. * Responded to 199 animal control calls and achieved a 24% adoption rate. * Made 76 arrests, responded to 43 accidents, recorded 61 offences, and wrote 689 traffic citations. * Made 8 felony arrests in the special crimes unit. * Checked out 3,876 items from the library. DISCUSSION/ACTION ON THE CONSENT AGENDA Consider for approval the special City Council meeting minutes of April 30, and May 1, 2015; the regular City Council meeting minutes of May 5, 2015; the Special City Council meeting minutes of May 12, 2015; the City Council Retreat meeting minutes for May 12, 2015; and the Economic Development Corporation meeting minutes of April 27, 2015. There was no one to speak to the issue. Councilman Johnson moved to approve the consent agenda as presented. Councilman Sellers seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON PUBLIC HEARING AS REQUIRED BY CHAPTER 312 OF THE TEXAS TAX CODE, AND FIRST READING OF ORDINANCE NO. 2665 ESTABLISHING A REINVESTMENT ZONE FOR ALUF PLASTICS Mayor Price opened the public hearing. There was no one to speak to the issue. The public hearing was closed. Economic Development Executive Director, Roger Feagley, presented the staff report. Aluf Plastics purchased the property located at 1212 Elm Street. This was the old Winzen Film building and more recently Pari Olefins. Aluf Plastics, makers of draw-string trash bags, is in the process of getting their plant running efficiently and bringing on more equipment. This is a request to create a reinvestment zone which establishes geographical boundaries of an area where a taxing entity can offer a tax incentive. If the ordinance is approved and adopted they will request a tax abatement in the near future. There was no one else to speak to the issue. Councilman Sellers moved to approve the ordinance on first reading. Councilwoman Glass seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON RESOLUTION NO. 1086 AUTHORIZING THE SUBMISSION OF A REQUEST TO BECOME A RESERVATION SYSTEM PARTICIPANT TO THE TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS FOR HOME FUNDS Human Resources Director Gordon Frazier presented the staff report and was available to answer any questions. The HOME program consists of Homeowner Rehabilitation Assistance for housing reconstruction and rehabilitation. Funds are reserved for the city, and we can access those funds (when and if they are available) when we have a qualified homeowner. This is similar to the Reservation System the city recently participated which expired March 28, 2015. There was no one else to speak to the issue. Councilman Taylor moved to approve the resolution as presented. Councilman Aguilar seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON RESOLUTION NO. 1087 APPROVING A NEGOTIATED SETTLEMENT BETWEEN THE ATMOS CITIES STEERING COMMITTEE ("ACSC") AND ATMOS ENERGY CORP., MID-TEX DIVISION REGARDING THE COMPANY'S 2014 AND 2015 RATE REVIEW MECHANISM FILINGS; APPROVING A SETTLEMENT AGREEMENT WITH ATTACHED RATE TARIFFS AND PROOF OF REVENUES; DECLARING EXISTING RATES TO BE UNREASONABLE; ADOPTING TARIFFS THAT REFLECT RATE ADJUSTMENTS CONSISTENT WITH THE NEGOTIATED SETTLEMENT; FINDING THE RATES TO BE SET BY THE SETTLEMENT TARIFFS TO BE JUST AND REASONABLE AND IN PUBLIC INTEREST; REQUIRING THE COMPANY TO REIMBURSE ACSC'S REASONABLE RATEMAKING EXPENSES; DETERMINING THAT THIS RESOLUTION WAS PASSED IN ACCORDANCE WITH THE REQUIREMENTS OF THE TEXAS OPEN MEETING ACT; ADOPTING A SAVINGS CLAUSE; DECLARING AN EFFECTIVE DATE; AND REQUIRING DELIVERY OF THIS RESOLUTION TO THE COMPANY AND THE ACSC'S LEGAL COUNSEL City Manager Marc Maxwell presented the staff report. There was a brief general discussion. There was no one else to speak to the issue. Councilman Taylor moved to approve the resolution as presented. Mayor Pro Tem Glass seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON BOARD APPOINTMENT TO THE (1) ECONOMIC DEVELOPMENT CORPORATION, (2) ZONING BOARD OF ADJUSTMENTS, (3) AIRPORT ADVISORY BOARD, (4) SULPHUR RIVER MUNICIPAL WATER DISTRICT BOARD, (5) LIBRARY BOARD, (6) BOARD OF TOURISM AND PROMOTION, (7) CONSTRUCTION BOARD OF ADJUSTMENTS AND APPEALS, (8) PLANNING AND ZONING COMMISSION, (9) ARK-TEX COUNCIL OF GOVERNMENTS, AND (10) THE DOWNTOWN REVITALIZATION BOARD Councilman Sellers made a motion to accept the list of board and commission recommendations as was discussed and submitted in the City Council packet. Councilman Taylor seconded and the vote was as follows: The motion carried. Mayor Price read the list for the record: 2015-2016 BOARD AND COMMISSION RECOMMENDATIONS ECONOMIC DEVELOPMENT CLAY WALKER TOM SELLERS ZONING BOARD OF ADJUSTMENT CARRIE NUCKOLLS JEFF CARPENTER KYLE ROBINSON AIRPORT ADVISORY BOARD DAVID BAUCOM DR. CHARLES JONES SULPHUR RIVER MUNICIPAL WATER DISTRICT SAM JOHNSON LIBRARY BOARD LINDA MABE RITA TAYLOR BOARD OF TOURISM AND PROMOTION PAM SELLERS DON FAUSETT CONSTRUCTION BOARD OF ADJUSTMENT AND APPEALS JOHN COOPER RICKEY PAYNE JEFF REDDING PLANNING AND ZONING COMMISSION CHUCK SICKLES DAVE GRAVES BRANDON WILLIAMS ARK-TEX COUNCIL OF GOVERNMENTS JOHN SELLERS EMILY GLASS KAYLA PRICE DOWNTOWN REVITALIZATION BOARD TIFFANY WALKER MIKE ELLIOTT PHYLLIS ROUNDTREE DISCUSSION/ACTION ON RESOLUTION NO. 1089 AUTHORIZING THE APPOINTMENT OF A REPRESENTATIVE TO SERVE AS A DIRECTOR ON THE ARK-TEX COUNCIL OF GOVERNMENTS BOARD OF DIRECTORS Councilman Sellers moved to appointed Mayor Pro Tem Emily Glass to this board. Councilman Johnson seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON CONSIDERATION OF AMENDMENT #2 WITH GARVER ENGINEERING AUTHORIZING SPECIFIC ENGINEERING TASKS FOR DESIGN, PREPARATION OF CONTRACT AND BID DOCUMENTS AND OTHER ENGINEERING SERVICES FOR IMPROVEMENTS AND REHABILITATION OF THE SULPHUR SPRINGS WASTEWATER TREATMENT PLANT Finance Director Peter Karstens presented the staff report. Lance Klements and Scott Botti of Garver Engineering were present to answer any questions. City Manager Maxwell displayed a slide show presentation and explained in great detail about the wastewater treatment plant's operation and the proposed improvements. In November the City Council selected Garver Engineering to prepare a Conceptual Engineering Report detailing the proposed improvements and rehabilitation necessary to bring the wastewater treatment plant into continued compliance with TCEQ and the EPA as well as create a facility which will serve the city's wastewater treatment needs for the next 20 – 40 years. The Conceptual Engineering Report was just completed with the recommended option being Amendment #2 which would cost $1,282,402.00. There was a general discussion. There was no one else to speak to the issue. Councilman Aguilar moved to approve Amendment #2. Councilman Walker seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON REIMBURSEMENT RESOLUTION NO. 1088 Finance Director Peter Karstens presented the staff report. As mentioned in the previous agenda item, this resolution would allow the city to include some or all of the wastewater plant design engineering costs in the Texas Water Development Board loan or our own bonds (if it should come to that). This is a process required by the IRS to maintain the tax exempt status of the bonds. There was no one to speak to the issue. Councilman Taylor moved to approve the resolution as presented. Councilman Johnson seconded and the vote was unanimous. The motion carried. DISCUSSION/ACTION ON APPOINTMENT OF MUNICIPAL COURT JUDGE Councilman Sellers moved to reappoint Phyllis Rogers as the Municipal Court Judge. Councilman Taylor seconded and the vote was unanimous. The motion carried. At this time the Oath of Office was administered to Municipal Court Judge Phyllis Rogers by City Secretary Gale Roberts. VISITORS/PUBLIC FORUM Charles Oxford addressed the City Council regarding untethered pets in boats and pickup trucks. He believes an ordinance should be created to make pet owners tether their pets. ADJOURN With all business complete the meeting was adjourned at 7:57 p.m.

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As a young, twenty-one year old, Ron Husman bought his first Nova in 1969 right off the showroom floor at Brown Chevrolet in Cherokee, Iowa for $2,575. Those new car prices have been gone for a long time. “The car was a nothing-special version with a 307, an automatic transmission, and black interior with a bench front seat,” Ron shared. Being smaller than most cars at the time made it fun to drive and cruise around in. He drove the car for a couple years and traded it for a newer Chevy pickup. Ron then traded the pickup for another Chevy pickup that had a 454 big block for an engine. He liked the big engine’s power enough to keep it for 22 years, eventually trading it for the Ford diesel pickup that he still has today. In 1986, Ron bought another unfinished Nova. It was a 1973 model with a (you guessed it) 454 engine that the previous owner had installed. Small cars with big engines were growing on Ron. He restored the car over a three-year period and eventually put it up for sale, and it was gone before he could blink. For the next 20 years, Ron wondered many times why he sold that big-engined Nova. In October of 2010, he found his current 1971 Chevrolet Nova advertised for sale online in Moline, Illinois. The Nova article listed a 396-cubic-inch V8 with a 4 speed; features interesting enough for him to make the trip to check it out. Upon arrival he saw that the car had a great paint job that was done recently, along with a good running 396 and a 4 speed. It was everything Ron was looking for. The owner had lost interest and wanted to build a Mopar because of recent auction sales prices. The car needed a little interior work as noted by Ron, so after some price negotiation, he brought the car home. Ron has been having fun bringing the car up to his standards. From redoing the interior to the correct original form, to installing 4-wheel disc brakes, along with new springs to help the ride. He has also tuned it to run on 30% ethanol, which helps the engine run better and stronger. One interesting fact Ron found out about the engine when he was checking things out was that the serial number on it had a “J O” in it, which means the engine came out of a Bel Air police car. The car has headers and Flowmaster exhaust for cool sound. Ron’s wife, Maritta, gets a kick out of riding in the Nova, which makes Ron smile and feel like a kid again. Happy wife, cool car, what more could you ask for?

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Enrolment Form Group Health, Life and Disability Benefits Group Health, Life and Disability Benefits Enrolment Form Employer completes section 1. Employee completes section 2, 3 and 4. Employee and employer signatures are required on page 2. CLEAR FORM NEW: Complete and submit this form entirely online at bfm.bm/online-health-life-disability-enrolment 1. Group employer information (to be completed by the employer) Group policy name: Policies available: Health insurance Date employed (dd-mmm-yyyy): Life/Disability enrolment date (dd-mmm-yyyy): Annual salary (Life/Disability benefits): BMD/USD $ 2. Employee information (to be completed by the employee) Name (first/middle/last): DOB (dd-mmm-yyyy): Address: Phone: Occupation: Email: W C H 3. Health and Dental benefits (to be completed by the employee) Clear Section You must remain on the chosen health/dental plan for 2 years. You may switch up or down one plan level without medical underwriting upon completing the 2-year period. Person(s) to be insured: Self Spouse/Domestic partner Children (18 years or younger) Students (18 years - 26 years) Have you been insured with BF&M during the past 31 days? Yes Select your health coverage: Global Health Global Plus Select your dental coverage: * No Dental Previous employer: No Global Elite Basic Comprehensive Standard Health Benefits Health insurance dependents (Complete this section to add your child(ren), stepchild(ren), legally adopted child(ren), spouse or domestic partner as dependents.) Eligible child(ren) must be unmarried, 18 or younger, or 18-26 years attending school, college or university as a full-time student. Age limits do not apply to dependents with disabilities who are reliant on the insured for support and maintenance. Dependent spouse information (Complete section only if your spouse is to be insured.) Clear Section Employment status: Unemployed Self-employed Employed Coverage required: Full (Standard Health and Supplemental Health benefits for non-working/self-employed spouse) Supplemental only (Standard Health benefits covered by spouse's employer) Previous insurance carrier: Termination date (dd-mmm-yyyy): SHB* Other: Nationality: Life insurance Group policy number: Long Term Disability insurance Short Term Disability insurance Hours worked per week (Health/Disability benefits): Hours worked per month (Life benefits): Gender: Male Clear Section Female CLEAR PAGE Dependent child school information Beneficiary name (first/middle/last) Nationality DOB(dd-mmm-yyyy) Relationship Primary Contingent Total share %: Declaration Employee declaration and signature: I confirm that I am applying for benefits that are available through the group policy provided by my employer and that the information provided is factual and true. I confirm that I have had the opportunity to review BF&M's Privacy Policy (www.bfm.bm/privacy) and I consent to the processing of my personal information for the purposes described within the Privacy Policy. If I have provided personal information relating to any third party, I confirm that I have received their consent for BF&M to process their personal information in line with the Privacy Policy. Employee name: Sign: Date (dd-mmm-yyyy): Signatory name: Sign: Date (dd-mmm-yyyy): Employer declaration and signature (authorised signatory): I confirm that I have all necessary consents and notices in place to enable the lawful transfer of employees' personal data to BF&M for the purposes described in BF&M's Privacy Policy (www.bfm.bm/privacy). I confirm that I have verified the identity and details of this member from section 1, of this form, and that the information provided is accurate. Dependent child name(first/middle/last) School, college or university name Location Trustee name (first/middle/last) Nationality DOB (dd-mmm-yyyy) Relationship to beneficiary Trustee A Trustee must be named if any beneficiary(ies) is under the age of 18. Beneficiaries 4. Life insurance benefits (Please complete this section if you are eligible to be enrolled in Life (LF) Insurance benefits.) The person(s) or entity(ies) designated as a primary beneficiary is first in line to inherit your life insurance benefit when you pass away. Benefits are only payable if the group and/or employee policy is active when submitting the claim. If more than one primary beneficiary is named, the beneficiaries share the inheritance when you die. If one or more of the primary beneficiaries do not take their share of the inheritance, it will be split equally between any remaining primary beneficiaries. The contingent beneficiary is the person(s) who becomes the beneficiary(ies) if the primary beneficiary(ies) dies or is otherwise disqualified. Contingent beneficiaries inherit only if none of the primary beneficiaries can be located, if they refuse the inheritance or if they die before you do. In other words, contingent beneficiaries will be second in line behind your primary beneficiaries and inherit nothing as long as one of your primary beneficiaries accepts their inheritance. I hereby appoint the following beneficiaries to receive any amount due under this policy upon my death. The total share % for all primary beneficiaries and contingent beneficiaries must add to 100%. Share % Policy #: HL cert #: For BF&M official use only NHL cert #: HL date: NHL date: Category: Prob. period: LF: ADD: LTD: WI: Admin: Complete this section for all children 18-26 years attending school, college or university as a full-time student. Attach school receipts to verify current enrolment. % % % % % % % % % % Clear Section Clear Section BF&M Life Insurance Company Limited is part of the BF&M Limited group of companies.

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Attachment D-3 Full-time Campus Security Monitors (School Year 2021-22) | First Name | Title | School | 2021-22 Step | 2021-22 Salary | 2021-22 Longevity | |---|---|---|---|---|---| | Michele | Campus Monitor | District | 12 | $44,638 | $1,100 | | Gene | Campus Monitor | District | 3 | $36,438 | | | Patricio | Campus Monitor | District | 3 | $36,438 | | | Arthur | Campus Monitor | District | 3 | $36,438 | | | Ronald | Campus Monitor | District | 13 | $46,938 | $1,700 | | Salvatore | Campus Monitor | District | 2 | $36,138 | | | Anthony | Campus Monitor | District | 4 | $36,738 | | | Michael G. | Campus Monitor | District | 2 | $36,138 | | | Paul | Campus Monitor | District | 4 | $36,738 | | | Jeffrey | Campus Monitor | District | 4 | $36,738 | | | Michael | Campus Monitor | District | 4 | $36,738 | | | Luis | Campus Monitor | District | 2 | $36,138 | | | Tracey | Campus Monitor | District | 1 | $35,838 | |

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IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF TEXAS MARSHALL DIVISION COMPLAINT FOR PATENT INFRINGEMENT COMES NOW, Plaintiff Telinit Technologies, LLC ("Telinit"), through the undersigned attorneys, and respectfully alleges, states, and prays as follows: NATURE OF THE ACTION 1. This is an action for patent infringement under the Patent Laws of the United States, Title 35 United States Code ("U.S.C.") to prevent and enjoin defendant Ooma, Inc. (hereinafter "Defendant") from infringing and profiting, in an illegal and unauthorized manner and without authorization and/or of the consent from Telinit, from U.S. Patent No. 6,192,123 (the "'123 patent", attached hereto as Exhibit "A") pursuant to 35 U.S.C. §271, and to recover damages, attorneys fees, and costs. THE PARTIES 2. Plaintiff Telinit is a Texas corporation with its principal place of business at 2500 Dallas Parkway, Suite 260, Plano, Texas 75093-4871. 3. Defendant is a corporation organized under the laws of the state of Delaware with its principal place of business at 1880 Embarcadero Road, Palo Alto, California 94303 and may be served with process through its agent, Eric Stang at 1880 Embarcadero Road, Palo Alto, California 94303. 4. Defendant is in the business of manufacturing, distributing and/or selling network-based telephony initiation systems and/or services throughout the United States, including within this judicial jurisdiction. JURISDICTION AND VENUE 5. The Court has subject matter jurisdiction over this action pursuant to 28 U.S.C. §§1331 and 1338(a) because the action arises under the Patent Laws of the United States, 35 U.S.C. §§ 1 et seq. 6. This Court has personal jurisdiction over Defendant by virtue of its systematic and continuous contacts with this jurisdiction, as alleged herein, as well as because of the injury to Telinit, and the cause of action Telinit has risen, as alleged herein. 7. Defendant is subject to this Court's specific and general personal jurisdiction pursuant to due process and/or the Texas Long Arm Statute, due at least to its substantial business in this forum, including: (i) at least a portion of the infringements alleged herein; and (ii) regularly doing or soliciting business, engaging in other persistent courses of conduct, and/or deriving substantial revenue from goods and services provided to individuals in Texas and in this judicial district. 8. Defendant has conducted and does conduct business within the state of Texas, including the geographic region within the Eastern District of Texas, directly or through intermediaries, resellers or agents, or offers for sale, sells, advertises (including the through use of interactive web pages with promotional material) products or services, or uses or induces others to use services or products in Texas, including this judicial district, that infringe the '123 patent. 9. Specifically, Defendant solicits business from and markets its services to consumers within Texas by offering to set connections for potential Texas consumers enabling them to communicate with other parties using said connection. 10. In addition to Defendant continuously and systematically conducting business in Texas, the causes of action against Defendant are connected (but not limited) to Defendant's purposeful acts committed in the state of Texas, including the geographic region within the Eastern District of Texas, including Defendant's making, using, offering for sale, or selling network-based products and services for initiating telephony communications systems which include features that fall within the scope of at least one claim of the '123 patent. 11. Venue lies in this judicial district pursuant to 28 U.S.C. §§1391 and 1400(b). FACTUAL ALLEGATIONS 12. On February 20, 2001, the United States Patent and Trademark Office ("USPTO") duly and legally issued the '123 patent, entitled "Method and apparatus for initiating telephone calls using a data network" after a full and fair examination. (Exhibit A). 13. Telinit is presently the owner of the patent, having received all right, title and interest in and to the '123 patent from the previous assignee of record. Telinit possesses all rights of recovery under the '123 patent, including the exclusive right to recover for past infringement. 14. The '123 patent is valid and enforceable. 15. The '123 patent contains two independent claims and six dependent claims. Defendant uses methods that perform one or more steps of the claims, and also makes, uses, sells and/or offers to sell products that encompass one or more of the claims. 16. The invention claimed in the '123 patent includes a system and process for initiating a telephone call using a data network request, that request signaling a switch, and that switch triggering a means of monitoring and providing status updates to a user of the telephone system. 17. The above described network-based method and process of connecting and monitoring communication by telephony is often accomplished when a user of a computer encounters a web-based interface with a button that it can push in order to be connected with another person, such as another user of the service or a contact stored in a compatible computer application. Meanwhile, the status of their call is monitored for such things as quality and connectivity. DEFENDANT'S PRODUCTS 18. Defendant is a company offering voice over internet protocol (VoIP) products and solutions for businesses. Defendant's products allow users to call contacts either by manually inputting a telephone number into a telephonic interface or accessing a contact's phone number from a database connected to a telephonic interface. These various cloud-based applications can be referred to as "Defendant's Products." 19. Defendant's Products are systems and components of devices for performing a process for initiating telephone calls on a voice network in response to requests from a data network. 20. Defendant's Products facilitate communication between devices such as Internet phones, cellular phones, tablets and landline phones. 21. Defendant's Products provide an interface that solicits generation of a network request to initiate telephone call connections based on a user telephone number that it then connects with stored telephone numbers. Call status is monitored by Defendant's Products and reported to users based on the status of such calls. 22. The cloud-based applications infringing the '123 patent include, but are not limited to, the system enabling the Ooma Mobile smartphone interface ("the Ooma Mobile System"), which is a system that performs a process for initiating telephone calls on a voice network in response to requests from a data network. 23. The Defendant's Products are accessible over a data network, and perform functions such as receiving data requests over the network enabling users and third parties to initiate telephony communications with each other. The requests include a user telephone number, such as telephone numbers identifying the users and/or third parties. For example when the call button is pressed, the Ooma Mobile System performs the step of receiving a data network request to initiate a telephone call. A user's Ooma telephone number is included in said request, and is used as the caller-ID for outgoing calls. 24. The Defendant's Products also identify stored telephone numbers, such as by handling requests to initiate telephone calls with users at a pre-designated user telephone number and/or with third parties. Ooma allows users create and store contacts with phone number information. When a contact is selected and the call button is pressed, the Ooma Mobile System performs the step of identifying a stored telephone number corresponding to the request. For example, the stored telephone number associated with the contact being called. 25. The Defendant's Products signal a switch to call a voice network, such as a public switched telephone network (PSTN), to other telephone devices identified by stored telephone numbers, such as by initiating telephone calls with a pre-designated user telephone number and/or third parties. For example, when placing a call to a stored telephone number designating a phone on the voice network, such as a cellular phone, the Ooma Mobile System performs the step of signaling a switch to make said call on the voice network. 26. Defendant's Products monitor call status. For example, the Ooma Mobile System performs the step of monitoring call status for indications of call progress and call history. 27. Defendant's Products provide users with an indication of a change in the status of the call. For example, the Ooma Mobile System performs the step of providing a user with an indication of a change in the status of the call, at least via visual indicators, such as a call timer, changed menu options, and a mute indicator. 28. Also, The Defendant's system includes an input component designed to receive data requests over the network enabling Defendant's customers and third parties to initiate telephony communications with each other. Those requests include a user telephone number, such as telephone numbers identifying the user and/or third party. For example when the call button is pressed, an Ooma input component is configured to receive a data network request to initiate a telephone call. A user's Ooma telephone number is included in said request, and is used as the caller-ID for outgoing calls. 29. Defendant's system includes processing components designed to identify stored telephone numbers, such as by handling requests to initiate telephone calls at a pre-designated user telephone number and/or with third parties. Ooma allows users create and store contacts with phone number information. When a contact is selected and the call button is pressed, an Ooma processing component is configured to identify a stored telephone number corresponding to the request. For example, the stored telephone number associated with the contact being called. 30. Defendant's system includes a signaling component configured to signal a switch to make a call on the voice network to an instrument identified by the stored telephone number. For example, placing a call to a stored telephone number designating a phone on the voice network, such as a cellular phone, is an indication of Ooma's use of a signaling component configured to signal a switch to make said call on the voice network. 31. Defendant's system includes a monitoring component configured to monitor a status of the call. For example, an Ooma monitoring component is configured to monitor call status for indications of call progress and call history. 32. Defendant's system includes a status component configured to provide a user with an indication of a change in the status of the call. For example, an Ooma status component is configured to provide a user with an indication of a change in the status of the call, at least via visual indicators, such as a call timer, changed menu options, and a mute indicator. DIRECT INFRINGEMENT 33. Plaintiff realleges and incorporates by reference the allegations set forth in paragraphs 1 to 32. 34. Taken together, either partially or entirely, the features included in Defendant's system including, but not limited to, the Ooma Mobile System, perform the process recited in one or more of Claims 1-4 of the '123 patent. 35. Taken together, either partially or entirely, the features included in Defendant's system including, but not limited to, the Ooma Mobile System, use the system recited in one or more of Claims 5-8 of the '123 patent. 36. Defendant directly infringes one or more of claims 1-8 of the '123 patent by making, using, selling, offering to sell and/or importing the process and the system for cloudbased services for initiating telephony communications in violation of 35 USC § 271(a). For example, and without limitation, Defendant directly infringes at least one claim of the '123 patent by offering to sell and conveying Defendant's Products to end users including a license to a fully-operational software program implementing and thus embodying the patented method. 37. By engaging in the conduct described herein, Defendant has injured Telinit and is thus liable for infringement of the '123 patents, pursuant to 35 U.S.C. §271. 38. Defendant has committed these acts of infringement without license or authorization. 39. To the extent that facts learned in discovery show that Defendant's infringement of the '123 patent is or has been willful, Telinit reserves the right to request such a finding at the time of trial. 40. As a result of Defendant's infringement of the '123 patent, Telinit has suffered monetary damages and is entitled to a monetary judgment in an amount adequate to compensate for Defendant's past infringement, together with interests and costs. 41. Telinit will continue to suffer damages in the future unless Defendant's infringing activities are enjoined by this Court. As such, Telinit is entitled to compensation for any continuing and/or future infringement up until the date that Defendant is finally and permanently enjoined from further infringement. 42. Telinit has also suffered and will continue to suffer severe and irreparable harm unless this Court issues a permanent injunction prohibiting Defendant, its officers, directors, agents, servants, employees, attorneys, affiliates, divisions, branches, parents, and those persons in active concert or participation with it from directly or indirectly infringing the '123 patent. INDUCING INFRINGEMENT 43. Plaintiff realleges and incorporates by reference the allegations set forth in paragraphs 1 to 42. 44. Defendant has had knowledge of its infringement at least as of service of the present complaint. 45. Defendant indirectly infringes one or more claims of the '123 patent by actively inducing the infringement of their respective customers, users, subscribers and licensees who directly infringe by performing the patented process in violation of 35 USC § 271(b). For example, Defendant instructs customers to install, setup, and use the Defendant's Products in an infringing manner. 46. With knowledge of the patents in suit, Defendant has infringed, and upon service of the complaint continues to indirectly infringe, the '123 patent by inducing the direct infringement of a class of actors which includes the end-users of the infringing products, as well as customers, users, subscribers and/or licensees, by selling, offering for sale, and otherwise encouraging the class of actors to use the infringing products which perform all the steps of the patented method or contain all the features of the apparatus described in one or more claims of the '123 patent, aware of the fact that such acts amount to infringement of one or more claims of the '123 patent. Such acts evidence specific intent to induce infringement of the '123 patent. CONTRIBUTORY INFRINGEMENT 47. Plaintiff realleges and incorporates by reference the allegations set forth in paragraphs 1 to 46. 48. Products sold by Defendant for implementation of Defendant's Products are components of a patented device covered by the '123 patent. Such components constitute a material part of the invention as they are the main focus of Defendant's advertisement. Such components are part of an apparatus for initiating telephone calls using a data network and, due to specific design of such technology, are not a staple article or commodity of commerce suitable for non-infringing use. 49. Defendant's Products, including but not limited to the Ooma Mobile System, are apparatuses for use in practicing a patented process covered by at least Claim 1 of the '123 patent. Such components constitute a material part of the invention as they are the main focus of Defendant's advertisement. Such components are part of an apparatus for initiating telephone calls using a data network and, due to specific design of such technology, are not a staple article or commodity of commerce suitable for non-infringing use. 50. Defendant's software included in, or sold as part of Defendant's Products, including but not limited to the Ooma Mobile System, is an apparatus for use in practicing a patented process covered by at least one of claims 1-8 of the '123 patent. Such component is part of an apparatus for initiating telephone calls using a data network and, due to specific design of such technology, is not a staple article or commodity of commerce suitable for non-infringing use. 51. Defendant has known that devices that implement Defendant's Products are especially made or especially adapted for use in infringement of the '123 patent at least as of service of the present complaint. 52. Defendant contributes to the direct infringement by others, such as their customers and licensees, of one or more of claims 1-8 of the '123 patent in violation of 35 USC § 271(c). 53. With knowledge of the patents in suit, Defendant has infringed, and upon service of the Complaint continues to indirectly infringe, the '123 patent by contributing to the direct infringement of a class of actors which includes the end-users of the infringing products, as well as customers, users, subscribers and/or licensees, by selling, offering for sale, and otherwise encouraging the class of actors to use the infringing products which perform all the steps of the patented method as described in one or more claims of the '123 patent, aware of the fact that such acts amount to infringement of one or more claims of '123 patent. Such acts evidence specific intent to contribute to the infringement of the '123 patent. DEMAND FOR JURY TRIAL 54. Telinit demands a trial by jury of any and all causes of action. PRAYER FOR RELIEF WHEREFORE, Telinit prays for the following relief: 1. That Defendant be adjudged to have infringed the '123 patent, directly and/or indirectly, by way of inducement and/or contributory infringement, literally and/or under the doctrine of equivalents; 2. That Defendant, its officers, directors, agents, servants, employees, attorneys, affiliates, divisions, branches, parents, and those persons in active concert or participation with any of them, be preliminarily and permanently restrained and enjoined from directly and/or indirectly infringing the '123 patent; 3. An award of damages pursuant to 35 U.S.C. §284 sufficient to compensate Telinit for the Defendant's past infringement and any continuing or future infringement up until the date that Defendant is finally and permanently enjoined from further infringement, including compensatory damages; 4. An assessment of pre-judgment and post-judgment interest and costs against Defendant, together with an award of such interest and costs, in accordance with 35 U.S.C. §284; 5. That Defendant be directed to pay enhanced damages, including Telinit's attorneys' fees incurred in connection with this lawsuit pursuant to 35 U.S.C. §285; and 6. That Telinit have such other and further relief as this Court may deem just and proper. Dated: June 4, 2013 Respectfully Submitted, By: /s/ William E. Davis, III William E. Davis, III Texas State Bar No. 24047416 The Davis Firm, PC 111 West Tyler Street Longview, Texas 75601 Telephone: (903) 230-9090 Facsimile: (903) 230-9661 Email: [email protected] Of Counsel Eugenio J. Torres-Oyola USDC No. 215505 Ferraiuoli LLC 221 Plaza, 5th Floor 221 Ponce de León Avenue San Juan, PR 00917 Telephone: (787) 766-7000 Facsimile: (787) 766-7001 ATTORNEYS FOR PLAINTIFF TELINIT TECHNOLOGIES, LLC

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PUBLIC STATEMENT TURKEY Fear for prisoner safety as gendarmes brought to prison gate The Justice Minister should ensure that gendarmes and police are not used to quell the crisis at Buca Prison and other disturbances developing in prisons throughout Turkey, Amnesty International said in a letter to the minister yesterday. In view of the many fatalities which have occurred in the past as a result of using police and gendarmes to suppress such prison unrest, the organization is concerned that gendarmes have been brought to quell disturbances in Ward 7 at Buca Prison, near Izmir, and have attempted to enter the ward. Disturbances have also been reported at Bergama Prison, Ankara Closed Prison and Ümraniye Special Type Prison in Istanbul. Amnesty International has written to the Turkish authorities on several past occasions, urging that sufficient resources be allocated so that prison services are not required to call upon Interior Ministry security forces -- police and gendarmes -- to handle such crises. The letter drew attention to the history of ill-treatment and fatalities which have occurred during such crises. When entering wards on previous occasions, police and gendarmes have consistently used excessive force to restore order, and have subsequently "punished" convicted members of illegal armed organizations who have participated in disturbances by dealing out severe beatings with sticks. In September 1995 when prisoners in Ward 6 at Buca Prison refused to appear for roll-call in protest at brutal treatment by gendarmes while being taken to and from court, a large group of gendarmes forced entry into Ward 6. After subduing the prisoners, the gendarmes allegedly brought them into the courtyard one by one and beat them with chains, iron bars, sticks and truncheons. Three prisoners, Yusuf Ba_ , U_ur Sariaslan and Turan Kilinç, were beaten to death. The injuries documented in Turan Kilinç's autopsy report suggested a ferocious attack: "general body trauma, broken skull, subdural and subarachnoidal haemorrhage, broken ribs, laceration and haemorrhage of the left lung." A few months after this incident, in January 1996, Orhan Özen, Riza Boyba_ and Abdülmecit Seçkin were beaten to death, and Gültekin Beyhan died later in hospital from head injuries, after police and gendarmes entered Ümraniye Special Type Prison to subdue a prisoners' protest action. ENDS.../

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BACHELOR DEGREE IN INTERNATIONAL HOSPITALITY MANAGEMENT Breakdown of fees & expenses SEPTEMBER 2018 International Students Tuition & Fees are indicated in Swiss francs (CHF) and include VAT | BREAKDOWN OF TUITION & SERVICE FEES | PREP. YEAR | YEAR 1 | YEAR 2 | YEAR 3 | |---|---|---|---|---| | Academic Tuitions | 21’423 | 35’236 | 21’423 | 30’363 | | Infrastructure & fees | 8’892 | 12’621 | 7’868 | 10’517 | | Prepaid Food & Beverage credit | 2’950 | 3’740 | 2’057 | 2’864 | | TOTAL | 33’265 | 51’597 | 31’348 | 43’744 | | OTHER COMPULSORY FEES (NOT INCLUDED IN THE BREAKDOWN) | PREP. YEAR | YEAR 1 | YEAR 2 | YEAR 3 | |---|---|---|---|---| | Lodging on campus | 3’775* | - | - | - | | Health insurance | 1’620 | 1’620 | 1’620 | 1’620 | | TOTAL | 5’395 | 1’620 | 1’620 | 1’620 | *EHL started to build its new campus and parking and lodging will be confirmed as the new student residences are ready. Prices are subject to change. ACADEMIC PROGRAM TUITION INCLUDES: Academic courses, exam fees, guest lectures, preparatory year including field trips and workshop in different locations, support for internships and access to industry partners for student business projects and thesis, language courses. INFRASTRUCTURE AND FEES INCLUDE: * Student Affairs Services: coaching, psychological support, sport and health center * Access to all sports facilities and sports activity training * Internships and Career Services: Internship planning & monitoring, job fairs on campus * Access to Digital Centre and professional print-shop services * Mandatory Swiss insurances: accident, public liability, theft, computer equipment insurance covering theft and damage * Extracurricular student activities * Equipment for practical and theory classes (wines, utensils, etc.) * Kitchen and service uniforms * 3-zone public transportation card (Mobilis) * Alumni lifelong membership PREPAID FOOD AND BEVERAGE ACCOUNT At the beginning of each academic year, student cards are charged with a mandatory minimum amount to cover meals and beverages taken in the outlets on campus. The prepaid amount must be used before the end of the academic year and is not refundable. Any remaining amount at the end of the academic year is transferred to EHL's scholarship fund. Students can recharge their card at any time. The recharged amount can be refunded at the end of their studies if not used. HEALTH INSURANCE Basic health and accident insurance is mandatory by law in Switzerland. Students whose fiscal residence – or whose parents' fiscal residence- is outside Switzerland are automatically enrolled in EHL's health and accident insurance plan. An exemption may be obtained by providing proof of adequate coverage to the Swiss authorities. TERMS & CONDITIONS OF PAYMENT DOWN PAYMENT After confirmation of admission to EHL, students are required to pay an advance on tuition fees of CHF 6,000 in order to guarantee their place. This amount is non-refundable, except in extreme circumstances. This down payment amount is then deducted from the total amount due. INVOICING The total amount of the compulsory fees is invoiced before the beginning of each academic year and payment is due within 30 days of reception. Students are charged the totality of compulsory fees as a lump sum (in accordance with Art. 160 & ff, Code des Obligations) even if they do not take up their place at the start of term or complete the academic year. In case a student suspends or repeats an academic year, the latest official fees apply. DEPOSIT (REIMBURSED AT THE END OF STUDIES) A deposit of CHF 5,000 is required from all new students. This deposit covers any exceptional costs which may arise, for example from damage to rooms or materials. The deposit will be reimbursed at the end of the student's studies at EHL. Interest earned on the deposit will accrue and be added to EHL's scholarship fund, as part of the institution's social responsibility policy for the education of students with financial difficulties. Students who abandon their studies during the academic year must inform EHL of their decision one month before the beginning of the next academic session in order to be eligible to request a refund of the deposit. These prices are defined based on the inflation rate forecasted by the Swiss National Bank (BNS). If there is a strong variation, EHL will make adjustments accordingly. For further information please consult our website: www.ehl.edu. CONTACT US FOR MORE INFORMATION: Admissions: [email protected] Finances: [email protected] Housing: [email protected] SWISS RESIDENCE TAX & VISA EXPENSES Administrative taxes are collected by the Swiss authorities for residence permits and visas. Other communal and cantonal fees may apply. NOTE : Swiss authorities require students from outside the EU/ EFTA to make an initial payment of CHF 18'000 before submitting a visa, this amount will be deducted from their first invoice. A tourist tax of CHF 18.50.- per 15 days will be invoiced to students whose legal address is not in Switzerland (legal obligation) for the duration of their stay on campus. ON-CAMPUS ACCOMMODATION & PARKING EXPENSES * Preparatory Year: Students are required to live on campus during the first semester. * Following years: Accommodations are available at EHL but are limited. Monthly leases range between CHF 800 and CHF1400 depending on location and features. For comparison purposes, a simple studio in the Lausanne region leases in general for 12 months at approximately CHF 1400 per month, excluding heating, electricity, linen, wifi etc. * Heating, electricity and internet costs as well as bed linen, towels and weekly cleaning are included in the price. * Interior and exterior parking spaces are available on the campus for an average monthly fee of CHF 200.-. Prices vary according to location and whether it is free or assigned spaces.* ADDITIONAL EXPENSES Other expenses such as textbooks and application fees are not included: plan a budget of CHF 150 per semester on average for study material. Application fee amounts to CHF 175 payable when students submit their application. If students need to retake examinations, the fee is CHF 300 per retake. All students are required to register at HES-SO (150.-). *EHL started to build its new campus and parking and lodging will be confirmed as the new student residences are ready. Prices are subject to change.

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AGENDA REGULAR MEETING OF THE CITY COUNCIL IN THE CITY OF SAVANNA, CARROLL COUNTY, ILLINOIS, ON TUESDAY, AUGUST 23, 2016 AT 7:00 P.M. IN THE COUNCIL CHAMBERS AT 333 CHICAGO AVENUE, SAVANNA, ILLINOIS 61074 ____________________________________________________________________________________________________________ CALL TO ORDER: PLEDGE OF ALLEGIANCE: ROLL CALL: ESTABLISHMENT OF QUORUM: APPROVAL OF AGENDA: APPROVAL OF MINUTES: *Consideration of the Minutes of the August 9, 2016 Regular and Executive Session Meetings COMMITTEE REPORTS: WARRANT #4A: *Additional Invoices Totaling $574.50 COMMUNICATIONS: *Winkel, Parker & Foster CPA PC, Presentation of Fiscal Year 2015/2016 Audit MONTHLY REPORTS: *Public Works for July 2016 UNFINISHED BUSINESS: *Wastewater Treatment Facility, Main and Bowen Street Lift Stations and In-System Sewer Improvements Project Update and Associated Action Items *Ordinance Officer Update *TIF, Update *Ordinance Amending, Title 7, Chapter 2, Section 7-Noxious Weeds NEW BUSINESS: *Hotel/Motel 2016-2017 Ad Plan *Advertising Signs, Regulations-Tabled *Intersection Solicitors License, VFW Post 2223 *Intersection Solicitors License, Council K of C Charities, Inc. *TBC Billing Service Agreement, Savanna Fire Department *TIF Ordinance #1-‘Approving the Highway 84 and Wacker Road Redevelopment Plan’ *TIF Ordinance #2-‘Designating the Proposed Highway 84 and Wacker Road Redevelopment Project Area’ *TIF Ordinance #3-‘Adopting Tax Increment Allocation Financing for the Highway 84 and Wacker Road Redevelopment Project Area’ CITIZENS, COUNCIL MEMBERS: EXECUTIVE SESSION: *5ILCS 120/2 (c)(1) Consideration and Discussion of the Appointment, Employment, Compensation, Discipline, Performance, Dismissal of Specific Employees or to Hear Testimony on a Complaint Lodged Against an Employee ADJOURNMENT: Finance APPOINTED MAY 2016 COMMITTEES AND MEMBERS Water/Sewer/Refuse/Street and Alley Tony McCombie, Mayor William Robinson-Chairperson Patrick Sanchez Christine Lee Building & Public Property/Health & Safety Tony McCombie, Mayor Scott Law-Chairperson Lisa Robinson John Peterson Hotel/Motel Tony McCombie, Mayor William Robinson-Chairperson Scott Law Patrick Sanchez Personnel/Ordinance/Public Relations Tony McCombie, Mayor Christine Lee-Chairperson John Peterson Jeff Griswold Contracts & Lease/Collective Bargaining Tony McCombie, Mayor Peg Haffey-Chairperson Lisa Robinson Kathy Christensen Tony McCombie, Mayor William Robinson-Chairperson Peg Haffey Jeff Griswold

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Business Performance January-June 2018 The information contained herein does not constitute an offer of securities in the United States. Offers and sales of securities in The United States may not be made absent made registration under the U.S. Securities Act of 1933, as amended, or an applicable exemption therefrom. This document does not solicit money, securities or any other type of consideration, and if any money, securities or other type of consideration is sent in response hereto, it will not be accepted. First half 2018 - Bolsas y Mercados Españoles (BME) reported a net profit for the second quarter of 2018 of €33.4 million, down 18.4% on the same period of the previous year. The accumulated net profit for the first half of 2018 totalled €71.3 million, 11.2% less than in 2017. - Total revenue, less variable costs for the provision of services, which from 18 September 2017 include the costs for the settlement and information services associated with Target2 Securities (T2S), amounted to €153.9 million for the first half of the year, down 6.3% compared to the previous year. - The operating costs for the second quarter and first half increase 3.5% and 1.8%, respectively, excluding the effect of certain costs associated to staff renewal measures. - The REITs sector has displayed the highest activity in terms of additions to the market. As of 30 June there were 58 REITs listed and their total market value has doubled during last year to stand at €22.4 billion. Already in July, seven new REITs have joined the BME Alternative Securities Market (MAB). - At the end of the second quarter, BME Fixed Income market has finalised the listing of all the German, French, Dutch, Belgian, Italian, Austrian, Portuguese and Irish Government Debt. After this inclusion, added to the Spanish Government and Corporate Debt, the outstanding balance on SEND trading platform, goes beyond €6.7 trillion. - The Spanish Alternative Fixed-Income Market (MARF) accumulated during the first half of 2018 an issued volume of €3.0 billion, 46.9% up on the same period the previous year, and an outstanding balance of €2.8 billion, 21.9% more than 12 months ago. - The activity of the BME Clearing unit has expanded since June with the inclusion of natural gas contracts in the energy segment, in its day-ahead formats and the entire future maturities curve of this product: weekly, monthly, quarterly, seasonal or annual. - An agreement between BME, owner of BME Clearing, and Nex Markets, BrokerTec Operator, the main trading platform for repos on Spanish Debt, has been announced. This new agreement allows the clearing in BME Clearing of Nex Markets operations, platform with a relevant presence of Spanish Banks. ## CONSOLIDATED PROFIT AND LOSS ACCOUNTS | | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |--------------------------------|----------|----------|----------|----------|----------|----------| | **Operating Income** | | | | | | | | Revenue | 76,474 | 82,900 | -7.8% | 157,065 | 163,979 | -4.2% | | Other operating income | 311 | 380 | -18.2% | 567 | 1,284 | -55.8% | | Own work capitalised | 350 | 345 | 1.4% | 694 | 656 | 5.8% | | Variable direct cost of operations | (2,237) | (814) | 174.8% | (4,414) | (1,618) | 172.8% | | **Net Revenue** | 74,898 | 82,811 | -9.6% | 153,912 | 164,301 | -6.3% | | **Operating Expenses** | | | | | | | | Employee benefits expense | (18,918) | (16,764) | 12.8% | (37,702) | (35,028) | 7.6% | | Other operating costs- external services | (10,201)| (9,823) | 3.8% | (19,678) | (19,168) | 2.7% | | Taxes | (229) | (84) | 172.6% | (316) | (201) | 57.2% | | **Earnings before interest, taxes, net impairment losses and depreciation** | 45,550 | 56,140 | -18.9% | 96,216 | 109,904 | -12.5% | | Amortisation | (2,013) | (2,031) | -0.9% | (3,961) | (4,062) | -2.5% | | Depreciation | 0 | 0 | - | 16 | (1) | - | | **Earnings before interest and taxes** | 43,537 | 54,109 | -19.5% | 92,271 | 105,841 | -12.8% | | Net financial income | 473 | 370 | 27.8% | 494 | 370 | 33.5% | | Share of profit (loss) of associates | 373 | (22) | - | 1,655 | 422 | 292.2% | | **Profit before tax** | 44,383 | 54,457 | -18.5% | 94,420 | 106,633 | -11.5% | | Income tax expense | (11,021) | (13,467) | -18.2% | (23,191) | (26,338) | -11.9% | | **Consolidated profit for the period** | 33,362 | 40,990 | -18.6% | 71,229 | 80,295 | -11.3% | | Profit attributable to non-controlling interests | (62) | 13 | - | (92) | (1) | 9,100.0% | | **Profit attributable to owners of the parent** | 33,424 | 40,977 | -18.4% | 71,321 | 80,296 | -11.2% | | **Earnings per share** | 0.40 | 0.49 | -18.4% | 0.86 | 0.97 | -11.2% | Bolsas y Mercados Españoles (BME) reported a net profit for the second quarter of 2018 of €33.4 million, down 18.4% on the same period of the previous year. The accumulated net profit for the first half of 2018 totalled €71.3 million, 11.2% less than in 2017. Total revenue for the second quarter and first half of the year, less variable costs for the provision of services, which from 18 September 2017 include the costs for the settlement and information services associated with Target2 Securities (T2S), amounted to €74.9 and €153.9 million respectively, down 9.6% and 6.3% compared to the previous year. The total operating costs for BME Group for the second quarter stood at €29.3 million, an increase of 10.0% compared to the same period of the previous year, whereas in the first half of the year this amounted to €57.7 million, an increase of 6.1%. EBITDA for the second quarter stood at €45.6 million, 18.9% down compared to the same period of 2018. The accumulated EBITDA for the first six months of 2018 amounts to €96.2 million, 12.5% lower than in 2017. Earnings per share for the second quarter of 2018 is €0.40, 18.4% down year-on-year. Whereas for the first half of the year it stands at €0.86, a decrease of 11.2%. The operating costs for the second quarter and first half totalled 3.5% and 1.8%, respectively, excluding the effect of certain costs associated to staff renewal measures. Excluding the effect of certain costs associated to staff renewal measures, the operating costs for the second quarter and first half increase 3.5% and 1.8%, respectively, whilst EBITDA decreases 15.7% and 10.2% in the quarter and semester, respectively, and net profit 15.2% and 8.9%. ## CONSOLIDATED BALANCE SHEETS AT CLOSING DATES | | as of 30/06/2018 (Th.Eur.) | as of 30/06/2017 (Th.Eur.) | Δ % | |--------------------------------|----------------------------|---------------------------|-----| | **NON-CURRENT ASSETS** | | | | | Goodwill | 88,718 | 88,718 | 0.0%| | Other intangible assets | 14,072 | 17,451 | -19.4%| | Property, plant and equipment | 42,432 | 42,852 | -1.0%| | Non-current financial assets | 19,870 | 17,672 | 12.4%| | Deferred tax assets | 8,524 | 8,111 | 5.1% | | **CURRENT ASSETS** | | | | | Trade and other receivables | 15,460,280 | 21,987,902 | -29.7%| | Current financial assets | 96,838 | 96,144 | 0.7% | | Other current financial assets- non Group | 7,815 | 47,209 | -83.4%| | Other current assets | 15,044,240 | 21,567,233 | -30.2%| | Cash and cash equivalents | 3,234 | 3,250 | -0.5%| | **TOTAL ASSETS** | 15,633,896 | 22,162,706 | -29.5%| | **EQUITY ATTRIBUTABLE TO OWNERS OF THE PARENT** | | | | | Capital | 435,712 | 439,492 | -0.9%| | Reserves | 250,847 | 250,847 | 0.0% | | Parent company shares or equity holdings | 118,827 | 112,002 | 6.1% | | Profit/(loss) for the period | (11,801) | (11,961) | -1.3%| | Other equity instruments | 71,321 | 80,296 | -11.2%| | Valuation adjustments | 4,205 | 5,501 | -23.6%| | **Non-controlling interests** | 2,313 | 2,807 | -17.6%| | **TOTAL EQUITY AND LIABILITIES** | 15,198,107 | 21,722,957 | -30.0%| The group includes as a balance of assets and liabilities the amounts related to: - Guarantees received from participants - Financial instruments in which it acts as central counterparty - Receivables balance (payables) on settlement of daily operations with options and futures - Receivables balance (payables) of cash withheld for settlement These amounts increase, for the same amount, the balances of the accounts "Other current financial assets- non Group" in the assets of the balance sheet and "Other current financial liabilities - non Group" in the liabilities of the balance sheet. This presentation criterion has no impact on income or equity. ## CONSOLIDATED CASH FLOW STATEMENT | | 1H18 | 1H17 | Δ | |--------------------------------|----------|----------|----------| | | (Th.Eur.)| (Th.Eur.)| % | | Profit before tax | 94,420 | 106,633 | -11.5% | | Adjustments to profit | 4,152 | 4,334 | -4.2% | | Changes in working capital | 5,912 | 11,387 | -48.1% | | Trade and other receivables | (16,565) | (14,363) | 15.3% | | Current financial assets | (1,240) | (1,593) | -22.2% | | excluding non-Group | | | | | Trade and other payables | 12,732 | 14,391 | -11.5% | | Other current liabilities | 11,682 | 11,546 | 1.2% | | Other non-current assets and | (697) | 1,406 | -149.6% | | liabilities | | | | | Other amounts received/ (paid) | (23,208) | (26,386) | -12.0% | | in operating activities | | | | | Net cash flows from operating | 81,276 | 95,968 | -15.3% | | activities | | | | | Net cash flows from investing | 6,736 | 9,758 | -31.0% | | activities | | | | | Net cash flows from financing | (55,598) | (56,089) | -0.9% | | activities | | | | | Net increase/(decrease) in cash| 32,414 | 49,637 | -34.7% | | and cash equivalents | | | | | Total cash and cash equivalents| 275,739 | 224,429 | 22.9% | | at beginning of year | | | | | Total cash and cash equivalents| 308,153 | 274,066 | 12.4% | | at period end | | | | Note: For the purpose of clear presentation of changes in working capital, cash flows from Other current financial assets and liabilities - non Group are included in the consolidated cash flow statement by its net amount. --- ## CHANGE IN SHAREHOLDERS’ EQUITY | | as of 30/06/2018 | as of 30/06/2017 | |-----------------------------------------------------------------|------------------|------------------| | Equity attributable to owners of the parent Opening balance | 430,147 | 423,792 | | Distribution of dividends | (64,819) | (66,473) | | Transactions with parent company shares and equity holdings | (661) | 0 | | Acquisitions / (disposals) of non-controlling interests | (175) | 0 | | Equity-settled share-based payments | (1,610) | (86) | | Total recognised income and expense | 72,830 | 82,259 | | Profit for the year | 71,321 | 80,296 | | Measurement of financial instruments | 160 | 1,937 | | Actuarial gains and losses and other adjustments | 1,834 | 688 | | Translation differences | 14 | (6) | | Tax effect | (499) | (656) | | Equity attributable to owners of the parent Closing balance | 435,712 | 439,492 | Highlights - The combined trading in equities during the second quarter of 2018 amounted to €192.1 billion, 6.3% lower than that registered for the same period in 2017, but 30.2% up on that for the previous quarter. The accumulated total trading for the first half of 2018 stands at €339.7 billion, 7.0% less than the first half of 2017. A total of €1.2 billion during the second quarter of 2018 and €5.8 billion during the first half of the year in new investment flows and financing in shares have been channelled to the market in the form of IPO, other new listings and capital increases of already listed companies. The largest increase in this activity was in the small and medium-sized listed companies with the value of these capital increases rising from €106.7 million in the first half of 2017 to €934.6 million in the first six months of 2018. REITs continue to play a major role during the year. As of 30 June there were 58 REITs listed and their total market value has doubled during last year to stand at €22.4 billion. Already in July, seven new REITs have joined the BME Alternative Securities Market (MAB). | Bolsas y Mercados Españoles (Quarterly Overview) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |--------------------------------------------------|--------|--------|---------|--------|--------|---------| | Equity | | | | | | | | Trading | | | | | | | | Turnover (€ Mill.) | 192,148| 205,120| -6.3% | 339,695| 365,133| -7.0% | | Number of trades | 10,850,035| 13,805,046| -21.4% | 23,355,504| 26,670,897| -12.4% | | Number of shares (Million) | 39,563 | 70,430 | -43.8% | 80,774 | 122,653| -34.1% | | Average amount per trade (Euros) | 17,709 | 14,858 | 19.2% | 14,545 | 13,690 | 6.2% | | Listing (€ Mill.) | | | | | | | | Market Capitalisation | | | | 1,103,042| 1,125,136| -2.0% | | Investment Flows channelled through Exchange | 1,235 | 11,310 | -89.1% | 5,751 | 20,758 | -72.3% | | Fixed Income | | | | | | | | Trading | | | | | | | | Turnover (€ Mill.) | 53,325 | 61,165 | -12.8% | 106,833| 143,263| -25.4% | | Number of Operations | 11,684 | 22,134 | -47.2% | 27,632 | 45,452 | -39.2% | | Listing | | | | | | | | AIAF volume admitted (nominal € Mill.) | 60,561 | 83,137 | -27.2% | 165,819| 195,559| -15.2% | | Public Debt | 49,386 | 57,294 | -13.8% | 121,995| 122,761| -0.6% | | Corporate Fixed Income | 9,853 | 24,669 | -60.1% | 40,802 | 70,741 | -42.3% | | MARF | 1,322 | 1,174 | 12.6% | 3,022 | 2,057 | 46.9% | | Derivatives | | | | | | | | Futures (number of contracts) | | | | | | | | Index Futures | 2,005,225| 1,901,762| 5.4% | 4,153,212| 3,806,285| 9.1% | | Stock Futures | 3,281,405| 3,690,533| -11.1% | 6,288,725| 6,594,702| -4.6% | | Options (number of contracts) | | | | | | | | Index Options | 760,095| 861,912| -11.8% | 1,847,815| 1,657,207| 11.5% | | Stock Options | 5,143,339| 5,045,726| 1.9% | 9,940,282| 10,309,071| -3.6% | | Open interest (number of contracts) | | | | 9,693,982| 9,682,357| 0.1% | | Clearing | | | | | | | | Financial Derivatives (number of contracts) | 11,190,064| 11,499,933| -2.7% | 22,230,034| 22,367,265| -0.6% | | Energy Derivatives (Volume MWh) | 3,277,141| 4,581,819| -28.5% | 5,922,131| 9,386,221| -36.9% | | Repo (Turnover Mill. Eur.) | 41,492 | 57,434 | -27.8% | 76,981 | 164,935| -53.3% | | Interest Rates Derivatives (Notional value reg. € Mill.) | 45 | 168 | -73.2% | 60 | 423 | -85.8% | | Equity (Transactions cleared) | 21,699,268| 27,603,230| -21.4% | 46,709,570| 53,334,268| -12.4% | | Settlement & Registration | | | | | | | | Operations settled | 2,321,099| 2,925,580| -20.7% | 4,651,332| 5,823,489| -20.1% | | Turnover settled (€ Billion daily avg.) | | | | 81.2 | 174.5 | -53.5% | | Volume registered - end of period- (€ Billion) | | | | 2,335.9| 2,359.4| -1.0% | The capitalisation of companies admitted to listing on markets managed by BME at 31 March 2018 reached €1.10 trillion, 2.0% lower year-on-year. In order to lend support to the liquidity of the securities of smaller companies that do not have analysis cover, BME announced the partnership with the Spanish Institute of Financial Analysts (IEAF) to start up an independent analysis service for securities without cover. - The close of the second quarter saw the completion of the inclusion into the market managed by BME Renta Fija of all German, French, Dutch, Belgian, Italian, Austrian, Portuguese and Irish debt. After these inclusions, and combined with the admitted Spanish public debt and private fixed income, the outstanding balance incorporated to the electronic SEND platform that can be traded, exceeds €6.7 trillion. 48 companies of varying sizes, many of which do not have a presence on the capital markets, have sought financing from the MARF Alternative Fixed Income Market since its creation in 2013. The first half of 2018 ended with an issued volume of €3.0 billion, 46.9% up year-on-year, and an outstanding balance of €2.8 billion, 22.0% more than 12 months ago. - With implied volatility remaining at low levels, IBEX 35® future products had an outstanding performance with a growth of 8.0% in the second quarter of 2018 and 10.0% in the first half of the year, compared to the same period of the previous year. Other derivative products whose underlying asset is the IBEX 35® have also grown during the first half of the year: options grew by 11.5%, Mini futures by 5.3% and Impacto Dividendo Futures by 30.4%. The open position of index-linked contracts increased by 48.7% at the close of the second quarter, with more than 1.1 million open contracts. - The Settlement and Registration unit for securities traded made ground with the adaptation of the business model to the new regulatory framework. This results in a greater weight of registration activities, the volume of which grew by 10.2% in the second quarter of 2018, as well as the development of a range of cross-border settlement and custody services for participants. The activity of the BME Clearing unit has expanded since June with the inclusion of natural gas contracts in the energy segment, in its day-ahead formats and the entire future maturities curve of this product. The beginning of July saw the announcement of the agreement between BME, owner of BME Clearing, and Nex Markets, the operator of BrokerTec, the main trading platform for Spanish debt repos, to allow BME Clearing to clear all trades executed via the platform, in which the Spanish banks would have a prominent role. - REGIS-TR®, the European trade repository for derivatives managed jointly by BME and Deutsche Börse, closed the second quarter of the year with a growth of 5.3% in the number of open accounts and 16.6% in the number of registered contracts. - The BME General Shareholders’ Meeting was held on 26 April 2018. All the proposals presented were approved by the vast majority, among these being, the approval of the financial statements, separate and consolidated, corresponding to the financial year 2017 and the distribution of the profit for the financial year, which resulted in the distribution of a final dividend for the amount of €0.78 gross per share, which was paid on 11 May. The General Shareholders’ Meeting also approved the re-election of Ignacio Garralda Ruiz de Velasco as Director and the appointments of Ana Isabel Fernández Álvarez, David Jiménez-Blanco Carrillo de Albornoz, Isabel Martín Castellá and Juan Carlos Ureta Domingo, as independent Directors. With the appointment of the aforementioned Directors, in line with the best practices in corporate governance, the Board of Directors is comprised of six independent Directors, representing more than 50% of its members. The Board of Directors during its meeting convened on 28 May 2018, appointed David Jiménez-Blanco Carrillo de Albornoz as Lead Director. On 26 July 2018, the Spanish National Securities Market Commission (CNMV) was notified of the resolution adopted as of that same date by the Board of Directors to distribute the first interim dividend out of the 2018 profit for the amount of €0.40 per share, gross, which will be paid on 14 September 2018 to the shareholders entered in the Shareholders Register on 13 September 2018 (record date). The ex-dividend trading date (ex-date) will be 12 September 2018. On 4 October 2018 BME plans to hold the first Investors Day of the Company at the Palacio de la Bolsa (Stock Exchange Palace) in Madrid. The event can be followed by any interested person via the webcast available on the corporate web page, www.bolsasymercados.es. Key performance indicators The monitoring and comparison with other companies in the sector in which the BME operates is performed through three indicators. The efficiency ratio measures the operating costs over total net revenue, the ROE measures the return on equity and the ratio of revenues not linked to volumes (RNLV) over operating costs. The ratio of revenues not linked to volumes over the cost base presented a value of 125% at the close of the first half of the year, reflecting the degree to which revenues not directly linked to cyclical contexts of the trading volumes of the financial instruments markets in which the company operates are capable of covering the costs incurred for their generation. The efficiency ratio, which is more favourable when the value of the indicator is lower, in 2018 presented a value of 39.2% for the second quarter and 37.5% for the year so far, compared to the values in 2017 of 32.2% and 33.1% respectively. The unfavourable performance of the indicator is the result of the higher costs incurred at the same time as a difference in the generation of revenue compared to the period of greater activity in volumes of 2017. The values of the indicator remain steady at the close of the first half of the year, however, the reference levels for the market and the sector with a difference in margins of 3.6 points compared to the average of the comparable companies operating globally in the same sector as BME. The return on equity (ROE) has ended the first half of the year at 33.1%, down 4.3 basis points on 2017. In terms of return, the difference compared to the average of comparable companies in its sector is 13.9 percentage points. | Bolsas y Mercados Españoles Group (KPIs) | 2Q18 | 2Q17 | 1H18 | 1H17 | |-----------------------------------------|------|------|------|------| | RNLV/Cost base ratio | | 125% | 127% | | | Efficiency ratio (%) | 39.2%| 32.2%| 37.5%| 33.1%| | ROE (%) | 29.7%| 36.5%| 33.1%| 37.4%| BME efficiency ratio (Quarterly series) Consolidated efficiency ratio evolution Note: Quarterly comparative data calculated using net revenues Staff | Bolsas y Mercados Españoles (Staff) | 2Q18 | 2Q17 | 1H18 | 1H17 | |-------------------------------------|------|------|------|------| | Average number of staff | 741 | 745 | 742 | 745 | | Employees as at balance sheet date | 744 | 744 | 744 | 744 | The performance of the BME share for the first half of 2018 has improved by 6.5%, a better performance than that of the market average, measured using the IBEX 35® underlying index, which presented a fall of 4.2%. The total return for the first half of the year, including the amount and reinvestment of the dividends, totalled 9.4%. The second quarter of 2018 saw an upward trend in the BME stock quotes. The share price hit a low of €27.22 at the start of the period and a maximum of €30.20 on 18 June to close the quarter at €28.28, 2.8% up on the close of the trading price for the first quarter. The performance of the market, measured using the IBEX 35® index, ended the quarter up 0.2% compared to the close of the previous quarter. Both the average daily cash volume and the number of securities traded in BME shares have fallen over the quarter and also for the six-month period. The average daily cash volume traded fell by 16.9% over the quarter and 15.4% for the six months up until June, whereas the fall in the number of securities traded was 4.5% and 9.8%, respectively. The number of trades for the quarter shows a drop of 8.2% and for the six-month period fall by 10.2%. ### BME: Share performance #### Quarterly BME's turnover and share performance evolution | Date | Volume (Mill. Euros) | Closing Price | |------------|----------------------|---------------| | 03/04 | 1.2 | 27.0 | | 09/04 | 1.3 | 27.2 | | 13/04 | 1.2 | 27.0 | | 19/04 | 1.2 | 27.0 | | 25/04 | 1.2 | 27.0 | | 01/05 | 1.2 | 27.0 | | 07/05 | 1.2 | 27.0 | | 13/05 | 1.2 | 27.0 | | 19/05 | 1.2 | 27.0 | | 25/05 | 1.2 | 27.0 | | 01/06 | 1.2 | 27.0 | | 07/06 | 1.2 | 27.0 | | 13/06 | 1.2 | 27.0 | | 19/06 | 1.2 | 27.0 | | 25/06 | 1.2 | 27.0 | | 01/07 | 1.2 | 27.0 | | 07/07 | 1.2 | 27.0 | | 13/07 | 1.2 | 27.0 | #### BME's share performance | | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |----------------------|------|------|-------|------|------|-------| | Higher quote | 30.20| 33.60| -10.1%| 30.20| 33.60| -10.1%| | Lower quote | 27.22| 31.00| -12.2%| 26.20| 28.00| -6.4% | | Average quote | 28.90| 32.26| -10.4%| 28.19| 30.73| -8.3% | | Closing quote | 28.28| 31.62| -10.6%| | | | #### BME's trading daily turnover (Mill. Euros) | | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |----------------------|------|------|-------|------|------|-------| | Higher daily turnover| 12.0 | 13.8 | -13.0%| 12.0 | 13.8 | -13.0%| | Lower daily turnover | 1.9 | 1.8 | 5.6% | 1.5 | 0.8 | 87.5% | | Average daily turnover| 4.9 | 5.9 | -16.9%| 4.4 | 5.2 | -15.4%| #### BME's shares trading (Mill. Shares) | | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |----------------------|------|------|-------|------|------|-------| | Higher daily turnover| 12.0 | 13.8 | -13.0%| 12.0 | 13.8 | -13.0%| | Lower daily turnover | 1.9 | 1.8 | 5.6% | 1.5 | 0.8 | 87.5% | | Average daily turnover| 4.9 | 5.9 | -16.9%| 4.4 | 5.2 | -15.4%| #### BME's number of trades | | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |----------------------|------|------|-------|------|------|-------| | Higher daily turnover| 12.0 | 13.8 | -13.0%| 12.0 | 13.8 | -13.0%| | Lower daily turnover | 1.9 | 1.8 | 5.6% | 1.5 | 0.8 | 87.5% | | Average daily turnover| 4.9 | 5.9 | -16.9%| 4.4 | 5.2 | -15.4%| ## Business Units Quarter Overview | Business Units 2Q18 (Thousands of Euros) | Equity | Fixed Income | Derivatives | Clearing | Settlement & Registration | Market Data & VAS | |----------------------------------------|--------|--------------|-------------|----------|--------------------------|------------------| | Net Revenues | 67,599 | 3,769 | 5,697 | 13,752 | 29,948 | 32,960 | | Operating Costs | (20,156)| (2,365) | (3,592) | (5,036) | (7,795) | (11,975) | | EBITDA | 47,443 | 1,404 | 2,105 | 8,716 | 22,153 | 20,985 | ### Key Investment Highlights **Key Financial Business Units overview** #### EBITDA evolution by Business Unit (1H18) ![EBITDA evolution by Business Unit](image) #### Net Revenues | Business Units Net Revenues (Thousands of Euros) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |-------------------------------------------------|------|------|-------|------|------|-------| | Equity | 32,098 | 38,366 | -16.3% | 67,599 | 76,087 | -11.2% | | Fixed Income | 1,685 | 2,242 | -24.8% | 3,769 | 4,556 | -17.3% | | Derivatives | 2,772 | 2,520 | 10.0% | 5,697 | 5,119 | 11.3% | | Clearing | 6,316 | 6,825 | -7.5% | 13,752 | 13,366 | 2.9% | | Settlement & Registration | 14,877 | 16,955 | -12.3% | 29,948 | 32,845 | -8.8% | | Market Data & VAS | 17,099 | 15,574 | 9.8% | 32,960 | 31,298 | 5.3% | | Total | 74,847 | 82,482 | -9.3% | 153,725| 163,271| -5.8% | | Corporate Unit | 4,607 | 4,882 | -5.6% | 9,143 | 10,460 | -12.6% | | Consolidation adjustments | (4,556)| (4,553)| 0.1% | (8,956)| (9,430)| -5.0% | | Consolidated | 74,898 | 82,811 | -9.6% | 153,912| 164,301| -6.3% | #### EBITDA | Business Units EBITDA (Thousands of Euros) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |-------------------------------------------|------|------|-------|------|------|-------| | Equity | 22,035 | 28,127 | -21.7% | 47,443 | 55,513 | -14.5% | | Fixed Income | 521 | 1,127 | -53.8% | 1,404 | 2,267 | -38.1% | | Derivatives | 954 | 977 | -2.4% | 2,105 | 2,011 | 4.7% | | Clearing | 3,804 | 4,471 | -14.9% | 8,716 | 8,689 | 0.3% | | Settlement & Registration | 10,817 | 13,138 | -17.7% | 22,153 | 25,168 | -12.0% | | Market Data & VAS | 10,910 | 9,965 | 9.5% | 20,985 | 20,086 | 4.5% | | Total | 49,041 | 57,805 | -15.2% | 102,806 | 113,734 | -9.6% | | Corporate unit | (3,491)| (1,665)| 109.7% | (6,590)| (3,830)| 72.1% | | Consolidation adjustments | 0 | 0 | 0.0% | 0 | 0 | 0.0% | | Consolidated | 45,550 | 56,140 | -18.9% | 96,216 | 109,904| -12.5% | Note: The information presented in the first quarter of 2017 of the Derivatives, Clearing and Market Data & VAS business units as well as the amount of eliminations correspond to proforma data in which, for comparability purposes, have been collected as if had been produced linearly from January 1, 2017, the economic effects resulting from the agreements between the different infrastructures of the Group as a result of their adaptation to the MiFID II regulations, which were fully booked in the fourth quarter of 2017. Therefore, the information corresponding to the first half of 2017 differs from public information presented in the year 2017. Equity The net revenue obtained by the Equities business unit in the first half of 2018 amounted to €67,599 thousand, 11.2% down on that obtained the previous year. Revenue from listing activities fell by 7.0% to stand at €11,445 thousand, a change relatively better than that for trading which totalled €56,154 thousand with a fall of 12.0% for the first half of the year. Of the unit’s total net revenue for the first half of the year, 16.9% came from the contribution of listing activities and 83.1% from trading operations. The EBITDA of €47,443 thousand for the first half of the year was 14.5% lower than 2017. The fall of 2.0% in operating costs for the first half of the year totalling €20,156 thousand has served to partially offset the fall in revenue. The second quarter of 2018 closed with a revenue of €32,098 thousand, 16.3% lower than 2017, with falls in both listing and trading activities. Costs fell 1.7% giving rise to an EBITDA of €22,035 thousand, 21.7% lower than the second quarter of 2017. Trading in equities for the second quarter of 2018 has shown better results in terms of turnover than in trades. In turnover, trading reached €192.1 billion, 6.3% lower than 2017, but improving on the previous quarter by 30.2%, although trades fell 21.4% year-on-year. The cumulative figure up to June totalled €339.7 billion in turnover, 7.0% less than the first half of 2017, with trades showing a cumulative decrease of 12.4%. In March 2018 started a new equity tariff scheme for those stocks that belong to companies above the 10 billion free float market capitalizations, consisting of a rate of 0.3 basis points over the value traded. Turnover during the second quarter by these stocks reached 59% of the total equity turnover during the quarter. On May BME announced a collaboration and financing agreement with the Spanish Institute of Financial Analysts (IEAF) to start-up an independent analysis service for securities without coverage, with the aim of encouraging investor access and an adequate valuation of securities, as well as being an instrument to lend support to the liquidity of these types of companies. | Bolsas y Mercados Españoles (Equity Business Unit Income) (Th.Eur.) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |---------------------------------------------------------------------|------|------|-------|-------|-------|-------| | Net Revenues | | | | | | | | Per transaction and regarding characteristics of the orders | | | | | | | | Listing and other services | | | | | | | | Operating Costs | | | | | | | | EBITDA | | | | | | | | Bolsas y Mercados Españoles (Equity Business Unit Activity Overview) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |---------------------------------------------------------------------|------|------|-------|-------|-------|-------| | TRADING (Mill. Euros) | | | | | | | | Equity | | | | | | | | Turnover (Mill. Euros) | | | | | | | | Number of trades | | | | | | | | Average amount per trade (Euros) | | | | | | | | Exchange Traded Funds (ETFs) | | | | | | | | Turnover (Mill. Euros) | | | | | | | | Number of trades | | | | | | | | Warrants | | | | | | | | Turnover (Mill. Euros) | | | | | | | | Number of Trades | | | | | | | | Number of shares (Mill. Shares) | | | | | | | | LISTING | | | | | | | | Number of Companies listed | | | | | | | | Market Capitalisation listed (Mill.Euros) | | | | | | | | Investment Flows channeled through Exchange (Mill. Euros) | | | | | | | | New listed companies | | | | | | | | Already listed companies | | | | | | | With regard to warrants and ETFs there was a fall in trading compared to the previous year. For the first half of the year the cash volume fell by 10.3% for warrants and 15.4% for ETFs. The assets of the ETFs admitted to trading at 30 June totalled €1.4 billion, whereas the number of outstanding warrants at the close of the first half of the year showed an increase of 14% from the beginning of the year. The capitalisation of the companies admitted to trading in the markets managed by BME at 30 June 2018 totalled €1.1 trillion, 2.0% less than in June 2017. Over the last twelve months the IBEX 35® has fallen 7.9%. This fall during this period is in stark contrast to the increase of 31.2% experienced by the share prices of the group of 30 companies making up the IBEX® Small Cap. The growth of the market base originating from investment flows channelled through the stock exchange has been lower than in previous quarters. €1.2 billion have been booked during the second quarter and a total of €5.8 billion for the first six months of the year, including new admissions and the admissions of already listed companies. The largest increase in activity in this section was in the small and medium-sized listed companies with the value of these increases rising from €106.7 million in the first half of 2017 to €934.6 million in the first six months of 2018. The payment of dividends for all the listed companies totalled €14.8 billion for the quarter, 9.7% more than in the same period of the previous year. The total for the first half of the year stood at €18.3 billion. Of these payments, scrip dividends required capital increases of €1.86 billion. No new secondary public offerings were registered during the second quarter of 2018, therefore, so far only Metrovacesa, in February, has an entry in this section this year, after some issuers decided to postpone their decision in this regard. The MAB has registered six additions during the second quarter making a total of ten new companies for the first half of the year. Of which seven are REITs, to which another seven will be added in July, among those already executed and announced. The REITs sector has shown greater activity in terms of additions to the market. On 30 June there were 58 listed companies and their total market value has doubled during last year to €22.4 billion. These companies have also distributed €368.2 million in dividends during the first half of the year, of which €217.9 million correspond to those listed on the MAB. During this period, the REITs listed on the MAB have also increased their capital by the amount of €54.1 million, 45% more than during the same months in 2017. Fixed Income The extensive structural and operational changes due to the entry into force at the beginning of 2018 of the new European MiFID II regulations, have resulted in stricter market rules and transparency for fixed income trades, similar to those for the equities market. Within this demanding scenario, BME aims to cover the widest possible combination of services to facilitate the intermediaries and their clients in the transactions of these assets. During the first six months of the year, the BME Renta Fija markets and platforms included a variety of new formats, such as the option to trade according to the signs of interest for illiquid instruments, as well as increasing the number of issues available for trading. During the first quarter more than 80 main references for government debt from European countries such as Germany, Austria and the Netherlands were included in the market and made available to intermediaries and end investors; the inclusion of all German, French, Dutch, Belgian, Italian, Austrian, Portuguese and Irish debt had been completed by 30 June. After these inclusions, and combined with the admitted Spanish public debt and private fixed income, the outstanding balance incorporated to the electronic SEND platform that can be traded exceeds €6.7 trillion. Of which, the outstanding balance for national public debt at the close of the first half of the year totalled €1.04 trillion whereas private debt stood at €482.3 billion. The regulatory changes have had a greater impact on trading. Trades during the first second and second quarter of 2018 are not comparable under the MiFID II Directive, only trades performed using electronic trading systems can be reported. Taking into account the comparable trading performed using the electronic platforms of BME Renta Fija, trading reached €53.3 billion during the second quarter of 2018, 62.2% higher than the trading reported in the same period in 2017. The accumulated volume during the first six months of the year amounted to €106.8 billion (+29.0%) mostly centred on trading in government debt. The amount of national debt admitted to trading in BME Renta Fija during the second quarter of 2018 reached €60.6 billion, 27.2% down year-on-year. Admissions to trading national debt, both private and public, for the first half of the year amounted to €165.8 billion, representing a fall of 15.2%. The MARF Alternative Fixed Income Market closed the first half of 2018 with an issue volume of €3.0 billion, 46.9% up on the same period of the previous year, and with an outstanding balance of €2.8 billion, 22% up year-on-year. Since its launch in 2013, a total of 48 companies have sought financing through issues on this market. The revenue from the Fixed Income business unit corresponding to the second quarter of 2018 totalled €1,685 thousand, 24.8% lower than that obtained in the same period of 2017. The cumulative for the first half of the year is a fall of 17.3%. | Net Revenues | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |--------------|------|------|-----|------|------|-----| | Trading | 1,056| 1,284| -17.8% | 2,231 | 2,748 | -18.8% | | Listing | 629 | 958 | -34.3% | 1,538 | 1,808 | -14.9% | | Operating Costs | (1,164) | (1,115) | 4.4% | (2,365) | (2,289) | 3.3% | | EBITDA | 521 | 1,127| -53.8% | 1,404 | 2,267 | -38.1% | | TRADING (Mill. Euros) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |-----------------------|------|------|-----|------|------|-----| | Platform | 53,325 | 61,165 | -12.8% | 106,833 | 143,263 | -25.4% | | Public Debt | 53,220 | 32,737 | 62.6% | 106,552 | 82,495 | 29.2% | | Private Fixed Income | 105 | 149 | -29.5% | 281 | 302 | -7.0% | | Bilateral | 0 | 28,279 | -100.0% | 0 | 60,466 | -100.0% | | Total Operations | 11,684 | 11,866 | -1.5% | 27,632 | 25,894 | 6.7% | | Platform | 0 | 10,268 | -100.0% | 0 | 19,558 | -100.0% | | Bilateral | 60,561 | 83,137 | -27.2% | 165,819 | 195,559 | -15.2% | | Volume admitted (nominal) | 49,386 | 57,294 | -13.8% | 121,995 | 122,761 | -0.6% | | Public Debt | 9,853 | 24,669 | -60.1% | 40,802 | 70,741 | -42.3% | | Private Fixed Income | 1,322 | 1,174 | 12.6% | 3,022 | 2,057 | 46.9% | Note: During the first half 2018 have been admitted to trading foreign Governments Bonds for the amount of €5.3 billion, which have not been included in the figures corresponding to Public Debt. Growth in IBEX 35® products has fuelled the revenue of the BME derivatives unit by 10.0% in the second quarter of 2018 compared to the same period year-on-year, totalling €2,772 thousand. The cumulative total for the first half of the year has recorded a growth of 11.3%. Costs during the second quarter amounted to €1,818 million (+17.8% year-on-year), whereas the cumulative total for the first half of the year stood at €3,592 thousand (+15.6%). The cumulative EBITDA for the first six months of the year rose 4.7% to €2.105 thousand. With implied volatility remaining at low levels (14.9%, the same as the previous year), the product with the largest margin of the unit, IBEX 35® futures, continue to perform well with a growth of 8.0% in the second quarter of 2018 and 10.0% in the first half of the year, compared to the same period of the previous year. Other derivative products whose underlying asset is the IBEX 35® have also performed well during the first six months in terms of volume: options grew by 11.5%, Mini futures by 5.3% and Impacto Dividendo Futures by 30.4%. The open interest at the end of June in index-linked derivatives had an outstanding performance, with growth compared to the previous year of 48.7%. The main individual equity derivatives have had an uneven performance, with the best performing products being those most recently launched. The individual equity futures have fallen year-on-year by 13.0% during the second quarter and by 6.9% for the first half of the year; equity options grew 1.9% during the quarter and fell by 3.6% for the first six months; and equity dividend futures, a younger product, recorded an increase of 74.7% during the second quarter and 98.0% for the first six months. Overall, the total number of financial derivative contracts traded during the first half of 2018 on the regulated market managed by BME amounted to 22.2 million, in line with the same period in 2017. The second quarter registered a decrease of 2.7% year-on-year. In the trading of electrical energy derivative products, the total volume of MWh fell by 28.5% during the second quarter and by 36.9% for this first six months of the year, in line with what happened in the national over-the-counter (OTC) spot market for electrical energy. Growth compared to the previous year has only been recorded in contracts with a monthly maturity, 43% for the second quarter and 65.4% for the first half of the year. The number of trades has risen in quarterly terms as well as for the first half of the year with increases of 12.8% and 11.3% respectively. | Bolsas y Mercados Españoles (Derivatives Business Unit Income) (Th.Eur.) | 2Q18 | 2Q17* | Δ | 1H18 | 1H17* | Δ | |------------------------------------------------------------------------|--------|--------|--------|--------|--------|--------| | Net Revenues | 2,772 | 2,520 | 10.0% | 5,697 | 5,119 | 11.3% | | Operating Costs | (1,818)| (1,543)| 17.8% | (3,592)| (3,108)| 15.6% | | EBITDA | 954 | 977 | -2.4% | 2,105 | 2,011 | 4.7% | (*) Correspond to proforma data as indicated on page 12. | Bolsas y Mercados Españoles (Derivatives Business Unit Activity Overview) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |--------------------------------------------------------------------------|--------|--------|--------|--------|--------|--------| | Financial Derivatives (number of contracts) | | | | | | | | Index Derivatives (number of contracts) | | | | | | | | IBEX 35® Index Futures | 1,595,835| 1,477,189| 8.0% | 3,299,886| 3,000,069| 10.0% | | Mini IBEX 35® Index Futures | 395,437| 409,501| -3.4% | 822,926| 781,509| 5.3% | | IBEX 35® Div Impact Futures | 13,247| 13,332| -0.6% | 28,835| 22,112| 30.4% | | IBEX® Sectorial Futures | 706 | 1,740 | -59.4% | 1,565 | 2,595 | -39.7% | | IBEX 35® Index Options | 760,095| 861,912| -11.8% | 1,847,815| 1,657,207| 11.5% | | Open Interest | | | | 1,108,126| 745,353| 48.7% | | Total notional value (Mill.Euros) | 168,802| 170,998| -1.3% | 353,377| 328,923| 7.4% | | Equity Derivatives (number of contracts) | | | | | | | | Equity Futures | 3,138,663| 3,608,843| -13.0% | 6,003,282| 6,450,512| -6.9% | | Equity dividend Futures | 142,742| 81,690| 74.7% | 285,443| 144,190| 98.0% | | Equity Options | 5,143,339| 5,045,726| 1.9% | 9,940,282| 10,309,071| -3.6% | | Open Interest | | | | 8,585,856| 8,937,004| -3.9% | | Total notional value (Mill.Euros) | 5,662 | 6,558 | -13.7% | 10,890 | 12,443 | -12.5% | | Energy Derivatives (MWh) | 3,277,141| 4,581,819| -28.5% | 5,922,131| 9,386,221| -36.9% | | Number of Trades | 957,296| 848,472| 12.8% | 1,895,051| 1,702,748| 11.3% | Clearing The activity of the BME Clearing unit has expanded since June with the inclusion of natural gas contracts in the energy segment, in its day-ahead formats and the entire future maturities curve of this product: weekly, monthly, quarterly, seasonal or annual. Accordingly, the current activity includes the spot trades in equities traded on the systems managed by BME, the clearing and settlement of all financial and electricity derivatives traded on the MEFF, the natural gas derivatives recently accepted for clearing, the repo transactions in fixed income securities (Spanish public debt repos) and interest rate derivatives traded outside the organised markets (OTC). The Clearing transactions taken as a whole have generated a revenue of €13,752 thousand during the first half of 2018, with an increase of 2.9% year-on-year. The EBITDA of the unit grew 0.3% to stand at €8,716 thousand for the first six months. In the equities segment, 46.7 million trades were processed during the first half of 2018, down 12.4%, with a cash volume of €645.3 billion. The positive performance in index-linked derivatives has been the driving force behind the clearing figures. During the first half of 2018, 6 million IBEX 35® or IBEX 35 Impacto Dividendo linked financial derivative contracts were cleared, 9.8% more than those cleared during the same period of 2017. 16.2 million equity derivatives or stock dividends were also cleared, representing a fall of 4.0% compared to contracts for the same period of the previous year. In line with the low level of activity of electricity spot market, the volume of cleared electricity derivatives for the first quarter of 2018 was 5.9 TWh, 36.9% less than the same period of the previous year and showing an open position at the end of the quarter of 5.8 TWh, a 41.9% decrease year-on-year. A total of 1,072 transactions with fixed-income securities (repos) were cleared in the first half of 2018, down 54.1% year-on-year, for a value of €77 billion, a fall of 53.3%. Trades in interest rate derivatives in the first half of 2018 had a notional value of €60 million, with the open interest at the end of the quarter of €500 million. The beginning of July saw the announcement of the agreement between BME, owner of BME Clearing, and Nex Markets, operator of BrokerTec, the main trading platform for Spanish debt repos, to permit BME Clearing to clear all trades executed via the platform, in which the Spanish banks have a prominent role. | Bolsas y Mercados Españoles (Clearing Business Unit Income) (Th.Eur.) | 2Q18 | 2Q17* | Δ | 1H18 | 1H17* | Δ | |-----------------------------------------------------------------------|------|-------|-----|------|-------|-----| | Net Revenues | 6,316| 6,825 | -7.5%| 13,752| 13,366| 2.9%| | Operating Costs | (2,512)| (2,354)| 6.7%| (5,036)| (4,677)| 7.7%| | EBITDA | 3,804| 4,471 | -14.9%| 8,716| 8,689 | 0.3%| (*) Correspond to proforma data as indicated on page 12. | Bolsas y Mercados Españoles (Clearing Business Unit Activity Overview) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |------------------------------------------------------------------------|------|------|-----|------|------|-----| | Financial Derivatives | | | | | | | | Index Derivatives (number of contracts) | 2,765,320| 2,763,674| 0.1%| 6,001,027| 5,463,492| 9.8%| | Equity Derivatives (number of contracts) | 8,424,744| 8,736,259| -3.6%| 16,229,007| 16,903,773| -4.0%| | Open Interest (number of contracts) | | | | 9,693,982| 9,682,357| 0.1%| | Energy Derivatives | | | | | | | | Volume (MWh) | 3,277,141| 4,581,819| -28.5%| 5,922,131| 9,386,221| -36.9%| | Open Interest (MWh) | | | | 5,799,026| 9,986,419| -41.9%| | Repo | | | | | | | | Turnover (€ Mill.) | 41,492| 57,434| -27.8%| 76,981| 164,935| -53.3%| | Number of Operations | 540| 987| -45.3%| 1,072| 2,333| -54.1%| | Interest Rates Derivatives | | | | | | | | Notional value registered (€ Mill.) | 45| 168| -73.2%| 60| 423| -85.8%| | Open Interest (€ Mill.) | | | | 500| 1,018| -50.9%| | Equity | | | | | | | | Number of transactions cleared | 21,699,268| 27,603,230| -21.4%| 46,709,570| 53,334,268| -12.4%| | Equity turnover cleared (€ Mill.) | 355,179| 406,346| -12.6%| 645,259| 723,296| -10.8%| Settlement & Registration After the connection to Target2 Securities, which was completed last September, at the close of the second quarter of 2018 the accounts reflected the adaptation of the business unit’s model to the new regulatory environment. This translates into less weight in the generation of revenue by the settlement component in favour of those deriving from registration activities. Accordingly, whereas revenue from Registration activities has increased 10.2% in the second quarter of 2018 year on year, those originating from Settlement have fallen 51.4%. Comparatively for the first half of the year this has resulted in an increase in revenue for the Registration activity of 13.1% and a fall of 47.9% for the Settlement activity. The first half of the year has ended with a fall of 20.1% in the number of settled trades and 53.5% in the daily average of cash volume settled. In the registration activity, the total volume registered at 30 June, the amount of €2.34 trillion, indicated a decrease of 1.0% compared to the previous year, as a result of an increase of 1.1% in the nominals registered in fixed income and a fall of 4.6% in the cash volumes registered in equities. The unit’s combination of businesses at the end of the first half of the year has resulted in a net revenue of €29,948 thousand, 8.8% lower than that registered a year ago. The operating costs have grown by 1.5% compared to the first half of 2017, resulting in an EBITDA for the first half of 2018 down 12.0%, amounting to €22,153 thousand. In comparison to the 2017, the weight of the revenue originating from the settlement activity has changed from 29.5% of the total to 16.9% in the first half of 2018, whereas the registration activities have moved from 49.6% of the total revenue to 61.5%. The accounts close with the contribution of revenue originating from other services totalling €6,488 thousand in the first half of the year, with a relative weight of 21.6% of the total, practically equaling that for the same period of 2017. The second quarter of 2018 saw the continued progress of the project for the development of a range of cross-border settlement and custody services for its participants. | Bolsas y Mercados Españoles (Settlement Business Unit Income) (Th.Eur.) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |------------------------------------------------------------------------|------|------|-------|------|------|-------| | Net Revenues | 14,877 | 16,955 | -12.3% | 29,948 | 32,845 | -8.8% | | Settlement | 2,441 | 5,025 | -51.4% | 5,050 | 9,696 | -47.9%| | Registration | 9,246 | 8,392 | 10.2% | 18,410 | 16,282 | 13.1% | | Other services | 3,190 | 3,538 | -9.8% | 6,488 | 6,867 | -5.5% | | Operating Costs | (4,060)| (3,817)| 6.4% | (7,795)| (7,677)| 1.5% | | EBITDA | 10,817 | 13,138 | -17.7% | 22,153 | 25,168 | -12.0%| | Bolsas y Mercados Españoles (Settlement Business Unit Activity Overview) | 2Q18 | 2Q17 | Δ | 1H18 | 1H17 | Δ | |------------------------------------------------------------------------|------|------|-------|------|------|-------| | Operations settled | 2,321,099 | 2,925,580 | -20.7% | 4,651,332 | 5,823,489 | -20.1% | | Turnover settled (€ Billion daily avg.) | 81.2 | 174.5 | -53.5% | | Volume registered - end of period- (€ Billion) | 2,335.9 | 2,359.4 | -1.0% | | Nominal Registered in Fixed Income | 1,502.7 | 1,486.3 | 1.1% | | Market Cap registered in Equity | 833.2 | 873.1 | -4.6% | Market Data & VAS The second quarter of 2018 saw the unit’s revenue grow by 9.8% compared to the same period of 2017 and the EBITDA by 9.5%. The first six months of the year closed with a revenue of €32,960 thousand, this being 5.3% up on that for the same period of 2017 which, after deducting costs, results in an EBITDA for the amount of €20,985 thousand, an increase of 4.5%. With regard to international consultancy, the implementation in Venezuela of the Fixed Income segment on the SMART platform, together with the development of a FIX for Fixed Income has been completed. In this line of the business, the works on the implementation in clients in Bolivia and Algeria continue. The value-added services provided by BME through this business unit are gaining weight within the unit’s revenue structure. The relative weight of the contribution of net revenue originating from value-added services has almost grown 4 points, increasing from 35.6% to 39.4%, to stand at €12,999 thousand at the close of June. This figure is 16.8% higher than that obtained during the first half of 2017, whereas the net revenue corresponding to the second quarter increased 23.6% compared to that of the previous year. The increase in revenue deriving from the value added services and products of this business unit are supported by the generalised growth in the majority of its business areas. The second quarter has seen the consolidation in the provision of Approved Publication Agent (APA) and Approved Information System (AIS) services provided by BME Regulatory Services. This section has also displayed growth in the contracting of the Integrated Service Against Market Abuse (SICAM) to control suspicious transactions. Turning to the Spanish financial market, it is worth highlighting the increase of clients contracting the Transaction Cost Analysis (TCA) service. An increase in demand for solutions for Portfolio Consultancy and Management Solutions has also been recorded within the area of the Spanish management entities. The penetration of BME Inntech into the markets of Mexico, Colombia, Costa Rica and Chile through several of its products continues to move forward. Together with other projects already under way, new opportunities have been confirmed to supply our investment management technological platform as part of the Digital Transformation strategy of clients. Among the functional areas covered are the broker-on-line services, Consultancy, Roboadvisor and Discretionary Portfolio Management. With regard to the information services activity, during the second quarter of 2018 there was an increase of 4.1% in the number of clients of “End-of-Day” information products compared to the same period in 2017. The number of clients with a direct connection to the BME information servers remained at record levels, although the total number of end users subscribed to “Real Time” products had 12.4% fewer subscribers than at the end of the second quarter of 2017. Revenue from these activities for the first six months of the year totalled €19,961 thousand, a drop of 1.0% compared to the previous year, whereas revenue for the second quarter rallied 1.5% to €9,892 thousand. | Bolsas y Mercados Españoles (Information Business Unit Income) (Th.Eur.) | 2Q18 | 2Q17* | Δ | 1H18 | 1H17* | Δ | |------------------------------------------------------------------------|--------|--------|--------|--------|--------|--------| | Net Revenues | 17,099 | 15,574 | 9.8% | 32,960 | 31,298 | 5.3% | | Primary Source information services | 9,892 | 9,743 | 1.5% | 19,961 | 20,168 | -1.0% | | Value Added services | 7,207 | 5,831 | 23.6% | 12,999 | 11,130 | 16.8% | | Operating Costs | (6,189)| (5,609)| 10.3% | (11,975)| (11,212)| 6.8% | | EBITDA | 10,910 | 9,965 | 9.5% | 20,985 | 20,086 | 4.5% | (*) Correspond to proforma data as indicated on page 12.

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Industrial spare parts Parsons Peebles is a leading supplier of power transmission products for all types of industries. As well as stocking a wide range of specialist, bespoke, standard, OEM or made to measure parts onsite, we also have access to a global network of partnerships and can provide all types of components from concept to delivery. Our round the clock operations mean we can supply your engineering parts and spares 24 hours a day, 365 days a year. Our flexible engagement models mean we can create accounts for large repeated purchases as well as accepting all major debit and credit cards for small one off purchases. We stock and supply a range of specialist, OEM and off-the-shelf spares and parts We can also manufacture bespoke spare parts, including components for equipment that is now obsolete Key Services - Bearings, couplings & clutches - Seals, tools, adhesives - Belts & pulleys - Chain & sprockets - Hydraulics and pneumatics - Lubricants - Conveyor parts - Maintenance products - Wheels & castors - Gears & racks Brands we stock - SKF - FAG & INA - NSK/RHP - COOPER - LOCTITE - RENOLD - SMC - FESTO - BROOK CROMPTON - TIMKEN Powered by Technology. Driven by Service. www.parsons-peebles.com We provide a complete portfolio of service solutions for motors, generators, pumps, gearboxes and compressed air solutions. With 11 manufacturing and service workshops in the UK as well as representation worldwide, we are well positioned to ensure you receive a high quality, rapid service for all your electromechanical requirements. Our locations | Location | Address | Phone Number | |-------------------|--------------------------|--------------------| | Avonmouth | BS11 9HS | +44 (0) 1179 820 081 | | Cardiff | CF10 4DF | +44 (0) 2920 481 831 | | Castle Donington | DE74 2NP | +44 (0) 1332 850 346 | | Cornwall | PL26 7YH | +44 (0) 1726 828 987 | | London | IG11 0BA | +44 (0) 20 8591 9957 | | Reading | RG30 1DZ | +44 (0) 845 408 4699 | | Rosyth | KY11 2EA | +44 (0) 1383 421 150 | | Rotherham | S26 5NU | +44 (0) 114 248 4391 | | Somerset | BA20 2YB | +44 (0) 1935 703 685 | | Stonehouse | GL10 3RF | +44 (0) 1453 826 433 | | Swindon | SN3 4TA | +44 (0) 1793 832 828 | For more information visit www.parsons-peebles.com or email: [email protected]

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Peer-to-Peer Accommodation Guidelines For a safe and enjoyable accommodation experience, please follow these guidelines. Regulations vary from location to location so ensure you are aware of the relevant regulations applicable to your vessel. General • Obtain permission from the marina to offer overnight accommodation • Comply with all laws and regulations relevant to your boat location and use • Inland Waterways require a non-private Boat Safety Certificate - see: www.boatsafetyscheme.org • Boats must not leave their mooring • Guests on board must not exceed max person capacity on the vessels builders plate • Guests on board must not exceed the number of guests booked • Follow marina guidelines (safety/noise/toilets etc) • Manage the guest and the stay yourself, or with your own agent • Complete a handover with a person familiar with the boat and marina, that includes; - Safety & access - Operating instructions of the boat and its systems - Environmental issues of being on board (toilets and rubbish etc) - Marina guidelines - Emergency contact number Safety • Make sure the boat is a safe environment for guests; - Trip hazards - Getting on and off the boat - Check all electrical appliances and connections - Provide a torch for the guest to use when going ashore • The boat should have a current gas safety certificate, if relevant • Gas and CO alarm to be fitted and working • The boat should have a current fire safety certificate • The boat should have a current electrical certificate • Marina safety instructions to be included in the handover; - Alcohol - Pontoons & ladders - Flotation devices • Provide access to lifejackets for children and non-swimmers Insurance • All boats must be covered by their insurance policy to provide overnight accommodation • If in any doubt please contact your insurance broker or insurer for confirmation • Check the booking agent provides a level of personal accident cover for guests

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docling

[ 1972 ]

April 24, 2018 City of Chino Hills Community Development Department Attn: Michael Hofflinger, Senior Planner 14000 City Center Drive Chino Hills, CA 91710 Dear Mr. Hofflinger Pursuant to your request, we have conducted a study of the potential impact on the city of Chino Hills’ existing hotel market from the opening of the under-construction TownePlace Suites and the proposed Holiday Inn Express, located at the northeast quadrant of Pomona Rincon Road and Soquel Canyon Parkway. The conclusions set forth in this report are based on an analysis of the existing and potential future supply and demand for the competitive lodging market as well as the city of Chino Hills’ hotel market, as of the completion of our fieldwork in March 2018. This report has been prepared for the City of Chino Hills, intended for use in reviewing the revised site plans for The Rincon development, and specifically the application to develop a second hotel on the site. The terms of our engagement are such that we have no obligation to revise our conclusions to reflect events or conditions that occur subsequent to the date of completion of our fieldwork. However, we are available to discuss the necessity for revisions in view of changes in the economy or market factors impacting the competitive lodging market or the city of Chino Hills’ lodging market. Since the hotel market’s future performance is based on estimates and assumptions that are subject to uncertainty and variation, we do not present them as results that will actually be achieved. However, our analysis has been conscientiously prepared on the basis of information obtained during the course of this assignment and our experience in the industry. This report is subject to the Terms and Conditions presented in the Addendum. A list of key definitions can also be found in the Addendum. After you have had an opportunity to review this report, please feel free to contact us with any questions or comments. It has been a pleasure to work with you on this interesting engagement. If CBRE Hotels can be of any further assistance in the interpretation of our findings, please do not hesitate to contact us. Respectfully submitted, Jeff Lugosi, CRE, MAI, FRICS, ISHC Managing Director # TABLE OF CONTENTS | Section | Page Number | |----------------------------------------------|-------------| | SECTION I INTRODUCTION | I-1 | | OVERVIEW OF THE STUDY | I-1 | | ASSUMPTIONS USED FOR PROJECTIONS | I-1 | | METHODOLOGY | I-1 | | SUMMARY OF CONCLUSIONS | I-2 | | SECTION II PROPERTY DESCRIPTIONS | II-1 | | SITE DESCRIPTION | II-1 | | Location, Access, and Visibility | II-1 | | BRAND DESCRIPTIONS | II-6 | | TownePlace Suites by Marriott | II-6 | | Holiday Inn Express by Intercontinental Hotel Group | II-7 | | IHG Rewards Club | II-7 | | SECTION III AREA REVIEW | III-1 | | INTRODUCTION | III-1 | | RIVERSIDE-SAN BERNARDINO COUNTY OVERVIEW | III-1 | | Economic and Demographic Overview | III-2 | | Employment | III-2 | | Unemployment | III-3 | | Industrial Space Market | III-3 | | Commercial Office Market | III-5 | | Port Activity | III-6 | | Transportation | III-6 | | Air | III-6 | | Highways | III-7 | | AREA CONCLUSIONS | III-7 | | NEIGHBORHOOD ANALYSIS | III-8 | | CITY OF CHINO HILLS | III-8 | | OVERVIEW | III-8 | | Population | III-8 | | Employment | III-9 | | Transportation | III-10 | | Recreational Amenities | III-10 | | Future Development | III-10 | | City of Chino Hills’ Sources of Hotel Demand | III-11 | | SECTION IV HOTEL MARKET AND TOT ANALYSIS | IV-1 | | INTRODUCTION | IV-1 | | National Hotel Overview | IV-1 | | Local Competitive Market | IV-2 | | OVERALL COMPETITIVE SUPPLY | IV-2 | | Competitive Lodging Supply | IV-5 | | Historical Market Performance | IV-5 | | City of Chino Hills Lodging Supply | IV-5 | | Historical Market Performance | IV-5 | | PROJECTED MARKET PERFORMANCE | IV-7 | | Scenario A - Projected Market Performance (Overall Competitive Supply) | IV-7 | | Scenario A – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) | IV-8 | | Scenario B - Projected Market Performance (Overall Competitive Supply) | IV-8 | | Scenario B – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) | IV-9 | | Scenario C - Projected Market Performance (Overall Competitive Supply) | IV-9 | | Scenario C – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) | IV-10 | | SUMMARY OF IMPACT | IV-10 | | TOT ANALYSIS AND CONVERSION TO FISCAL YEAR | IV-10 | | Historical Transient Occupancy Tax Collections | IV-11 | | Existing Chino Hills’ Hotel Market Transient Occupancy Tax Collections | IV-11 | | Absolute Transient Occupancy Tax Collections | IV-12 | | Conclusions | IV-14 | Section I INTRODUCTION INTRODUCTION OVERVIEW OF THE STUDY CBRE Hotels (“CBRE”) was retained by the City of Chino Hills to assist with the determination of the market supporting the addition of two hotel developments. The scope of this study includes an analysis of the impact on the existing hotel market in the city of Chino Hills (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) by the under-construction TownePlace Suites and the proposed Holiday Inn Express (“Subject Hotels”). The 116-room TownePlace Suites and the 120-room Holiday Inn Express will be located at The Rincon on the northeast corner of Pomona Rincon Road and Soquel Canyon Parkway. ASSUMPTIONS USED FOR PROJECTIONS Our analysis was based on the following set of assumptions: - The under-construction TownePlace Suites will open in July 2018 with 116 guestrooms and the proposed Holiday Inn Express will open in July 2019 with 120 guestrooms; - The hotels will be located at The Rincon, a mixed-use development site; - The subject hotels will offer facilities and services consistent with Marriott’s TownePlace Suites brand standards and InterContinental Hotel Group’s Holiday Inn Express brand standards; and, - The subject hotels will be managed by Twenty Four Seven Hotels, a third-party management company, familiar with the local market. METHODOLOGY In order to meet the objectives of this study, the scope of our analysis included, but was not limited to, the following: - Visited the development site and assessed the impact of its accessibility, visibility, and location, relative to demand generators; - Visited the existing hotel supply in the city of Chino Hills to evaluate demand segmentation, market mix, and potential future positioning; - Analyzed the economic and demographic factors of the market area to assess the environment which influences the existing lodging market; - Researched brand presence and potential future demand in the market through discussions with General Managers, Directors, Brand Representatives, and Management Companies; - Determined the overall competitive supply of lodging facilities for the subject hotels; - Prepared a summary of historical performance levels for the competitive lodging supply as well as the city of Chino Hills’ current lodging supply; - Estimated anticipated growth in rooms supply and demand in the market area; - Calculated future occupancy levels based on the estimated growth rates and specific additions to room supply; • Estimated the impact of the subject hotels on the competitive hotel market and the city of Chino Hills’ hotel market under three distinct scenarios: no additions to the competitive hotel market, the addition of the TownePlace Suites, and the addition of the TownePlace Suites as well as the Holiday Inn Express; • Prepared a summary of transient occupancy tax estimated to be collected by the city of Chino Hills under two scenarios: no addition to the hotel market and the addition of the TownePlace Suites as well as the Holiday Inn Express to the hotel market. Several resources were utilized in compiling the analytical information and preparing the analysis in this report. The resources included, but were not limited to: *Hotel Horizons and Trends in the Hotel Industry*, CBRE Hotels; data on the lodging market assembled from research independent of CBRE publications; planning departments in the local area; CBRE Economic Advisors; Moody’s Analytics; other local agencies; and, interviews with local industry professionals. **SUMMARY OF CONCLUSIONS** Based on our research and analysis conducted, we have made a determination of the potential impact of the under-construction TownePlace Suites and the proposed Holiday Inn Express on the three, existing city of Chino Hills hotels. The following list contains our conclusions of the factors that mitigate the impact of the TownePlace Suites and the Holiday Inn Express on the local hotel market: - **Overall Market Strength**: The city of Chino Hills has experienced positive economic growth in recent years and the existing hotel market has benefited from this growth. We are of the opinion that the Chino Hills’ existing hotel market is likely performing above its long-term level of stabilized occupancy and even without any additions to supply, is anticipated to regress during the projection period from recent peak levels. The existing hotel market has experienced occupancy levels around 80 percent during the last two calendar years; however, we anticipate occupancy levels to return to 78 percent on a stabilized basis, assuming no additions to supply. With the addition of the TownePlace Suites and the Holiday Inn Express hotels, the existing Chino Hills’ hotel market is estimated to stabilize at a 76 percent occupancy. - **Turndown Activity/Unsatisfied Demand**: As previously discussed, the city of Chino Hills’ existing hotel market has operated around 80 percent during the last two calendar years with higher occupancy percentages during the middle of the week (Tuesdays and Wednesday) and on weekends (Fridays and Saturdays). Demand for the middle of the week is primarily generated by the region’s prime location for warehousing, distribution, and logistics. Demand on the weekend is derived from leisure travelers visiting family, attending local events, or exploring the rest of Southern California. Due to the high demand during these parts of the week, travelers may be turned away and are forced to look for accommodations outside of the city. As a result, there exists unsatisfied demand in this market, which can be accommodated by the addition of the TownePlace Suites and the Holiday Inn Express hotels. - **Supply Impact**: While the addition of the TownePlace Suites and the Holiday Inn Express is anticipated to impact the existing Chino Hills’ hotel market, this impact is anticipated to be dispersed among a larger overall competitive supply. The TownePlace Suites and Holiday Inn Express will not only compete with the hotels in the city of Chino Hills, but the larger competitive market, herein identified as hotels in the Cities of Diamond Bar, Pomona, and Corona. The level of impact on the overall competitive supply and the city of Chino Hills’ existing hotel market is presented in further detail herein. - **Brand Presence/Induced Demand**: The city of Chino Hills’ hotel market does not currently have any Marriott or InterContinental Hotel Group hotels. Both of these hospitality groups have more than 100 million members that participate in their brand loyalty program and feature benefits that keep guests loyal based on their preferences. The closest TownePlace Suites is located in the city of Ontario, approximately 10.6 miles northeast of The Rincon development site. The closest Holiday Inn Express is located approximately 10.7 miles southeast of the Rincon development site. Therefore, it is anticipated that the planned additions to supply for the Chino Hills market will induce chain and/or brand loyal guests to stay in the city of Chino Hills that are currently staying elsewhere. - **Product Differentiation**: The TownePlace Suites hotel is an extended-stay product that appeals to the traveler looking to stay five nights or more. This product type includes a kitchen, larger public spaces, and other extended-stay amenities that are intended to capture different demand segments. The Holiday Inn Express is a limited-service hotel product that operates in a similar service segment as the existing hotels in the city of Chino Hills; however, the design and facilities proposed for this hotel are anticipated to be equal to or superior to the product that currently exists in the local marketplace. The following table includes our projected operating results for the existing hotel market in the city of Chino Hills (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) under the following three scenarios studied herein: - **Scenario A** - no additions to the hotel market - **Scenario B** - the addition of the under-construction TownePlace Suites with 116 guestrooms in July 2018 - **Scenario C** - the addition of the under-construction TownePlace Suites with 116 guestrooms and the addition of the Holiday Inn Express with 120 guestrooms in July 2019 | Year | Scenario A | Scenario B | Scenario C | Scenario B Impact | Scenario C Impact | |------|------------|------------|------------|------------------|------------------| | | Occ | ADR | Occ | ADR | Occ | ADR | | 2018 | 80% | $122.00 | 79% | $121.00 | 79% | $120.00 | | 2019 | 79 | 126.00 | 78 | 124.00 | 75 | 122.00 | | 2020 | 78 | 129.00 | 77 | 128.00 | 74 | 125.00 | | 2021 | 78 | 133.00 | 77 | 132.00 | 76 | 129.00 | | 2022 | 78 | 137.00 | 77 | 136.00 | 76 | 133.00 | | 2023 | 78 | 141.00 | 77 | 140.00 | 76 | 137.00 | Source: CBRE Hotels We are of the opinion, that the under-construction TownePlace Suites and the proposed Holiday Inn Express are anticipated to have moderate impact on the existing city of Chino Hills’ hotel However, the additional transient occupancy tax collection that the TownePlace Suites and the Holiday Inn Express are estimated to achieve will more than mitigate the loss of transient occupancy tax collections of the existing three hotels from the impact of these additions. Overall, the city of Chino Hills is estimated to have a larger absolute transient occupancy tax collection with the addition of the TownePlace Suites and the Holiday Inn Express. The following tables include our estimated TOT collections under each scenario. The first table includes the difference in TOT collections from Scenario A, which includes no additions to the Chino Hills’ hotel market, and Scenario C, which includes the addition of the TownePlace Suites and the Holiday Inn Express. The second table includes the difference in TOT collections from Scenario B, which includes the addition of the TownePlace Suites only, and Scenario C, which includes the addition of the TownePlace Suites and the Holiday Inn Express. Our analysis for estimated transient occupancy tax collections is presented in further detail herein. It is important to note that any mention of future TOT collections in our analysis assumes that 100 percent of guests are paying the tax, although there are exemptions (such as a certain government employees or stays of longer than 30 days) and therefore the figures presented herein may not actually be achieved. ### Total Estimated TOT Collections for City of Chino Hills’ Hotel Market #### Fiscal Years (July-June) – Scenario A/Scenario C | Year | Annual TOT* | Percent Change | |----------|-------------|----------------| | | Scenario A | Scenario B | Scenario C | Difference (A and C) | | | 2018/19 | $1,154,000 | $1,582,000 | $1,582,000 | $408,000 | 34.8% | | 2019/20 | 1,187,000 | 1,629,500 | 2,022,000 | 831,000 | 69.8 | | 2020/21 | 1,220,000 | 1,689,500 | 2,127,000 | 910,000 | 74.8 | | 2021/22 | 1,257,000 | 1,740,500 | 2,225,000 | 971,000 | 77.4 | | 2022/23 | 1,294,000 | 1,793,000 | 2,292,000 | 1,001,000 | 77.5 | | 2023/24 | 1,336,000 | 1,846,000 | 2,360,000 | 1,027,000 | 77.0 | | **Total**| | | | **$5,148,000** | | *Rounded and does not include TOT collection for timeshare, penalties, & interest charges Source: CBRE Hotels* ### Total Estimated TOT Collections for City of Chino Hills’ Hotel Market #### Fiscal Years (July-June) – Scenario B/Scenario C | Year | Annual TOT* | Percent Change | |----------|-------------|----------------| | | Scenario A | Scenario B | Scenario C | Difference (B and C) | | | 2018/19 | $1,154,000 | $1,582,000 | $1,582,000 | $0 | 0.0% | | 2019/20 | 1,187,000 | 1,629,500 | 2,022,000 | 393,000 | 24.1 | | 2020/21 | 1,220,000 | 1,689,500 | 2,127,000 | 438,000 | 25.9 | | 2021/22 | 1,257,000 | 1,740,500 | 2,225,000 | 485,000 | 27.8 | | 2022/23 | 1,294,000 | 1,793,000 | 2,292,000 | 499,000 | 27.8 | | 2023/24 | 1,336,000 | 1,846,000 | 2,360,000 | 514,000 | 27.8 | | **Total**| | | | **$2,329,000** | | *Rounded and does not include TOT collection for timeshare, penalties, & interest charges Source: CBRE Hotels* Section II PROPERTY DESCRIPTIONS PROPERTY DESCRIPTIONS SITE DESCRIPTION Location, Access, and Visibility The subject hotels will be part of the 10.3-acre Rincon planned mixed-use development, which is located at the northeast intersection of Pomona Rincon Road and Soquel Canyon Parkway. The site is adjacent to the California State Route 71 in the eastern Chino Hills. California State Route 60 is approximately 5.3 miles north and California State Route 91 is approximately 6.1 miles south. The most recent approved site plans for The Rincon include a 60,000-square foot medical building, a 116-room hotel, and 37,000 square feet of retail/restaurant space in four separate buildings. The developer has since submitted modified plans with the addition of a day care facility, additional office space, and the replacement of the 60,000-square foot medical building with a 120-room hotel. Currently, the retail buildings, the day care, and the 116-room hotel are under construction. All of these buildings are projected to be completed by August 2018. The full build-out of The Rincon is expected to be completed in 2019. The site has good visibility from both cross streets including the 71 Highway (Chino Valley Freeway). The following table summarizes the surrounding uses neighboring the development site. | Direction | Description | |-----------|-------------| | North | Soquel Canyon Parkway on/off ramp for the Chino Valley Freeway, Central Avenue, Hotel Chino Hills, Fairfield Ranch Plaza, BAPS Shri Swaminarayan Mandir Temple, | | East | Fairfield Ranch Commons, Big League Dreams, Chino Creek, NFI Industries Warehouses, vacant land | | South | The Santa Barbara mixed-use development, Chino Hills High School, resident homes, The Capriana at Chino Hills, Chino Hills State Park | | West | Bristol Chino Hills housing development, Los Serranos Country Club | The following maps depict the location of the subject site. We have also included proposed site plans for The Rincon, site plans for the TownePlaces Suites, and proposed site plans for the Holiday Inn Express, which have all been provided by the City of Chino Hills. The Rincon Site Chino Hills Hotel Market, Chino Hills, CA TownePlace Suites Chino Hills Site Plans First Floor Plan Second Floor Plan Holiday Inn Express Chino Hills Preliminary Site Plans First Floor Plan Second Floor Plan Chino Hills Hotel Market, Chino Hills, CA BRAND DESCRIPTIONS Based on our discussions with the developer and the City of Chino Hills, we have assumed that the development site will include a TownePlace Suites consisting of 116 guestrooms with a projected opening date of July 1, 2018 and a Holiday Inn Express consisting of 120 guestrooms with a projected opening date of July 1, 2019. It is our understanding that the hotels will be constructed within brand development standards and operate under brand guidelines. TownePlace Suites by Marriott TownePlace Suites was introduced by Marriott in 1997 with designs that primarily appeal to extended-stay travelers. The brand is positioned at a mid-priced level within the extended-stay product line and offers a residential atmosphere with the conveniences of home. The lobby offers expansive public space with soft seating and areas to collaborate and enjoy meals. The guest suites include the Elfa closet system, designed in partnership with The Container Store, which offers guests a custom closet loaded with storage options and flexibility. Other amenities include a GetFit exercise room and pool, Weber Grills in the BBQ patio, on site guest laundry, and scalable meeting space. There are currently over 300 TownePlaces Suites with a combined 32,000 guestrooms that exist and more than 180 projects in the pipeline. TownePlace Suites enjoys a loyal customer base with Marriott Rewards Member Paid Nights representing approximately 56 percent of total TownePlace Suites Nights. Additionally, Marriott’s channels generate approximately 64 percent of TownPlace Suites’ reservations. Marriott Rewards Club Marriott Rewards is the frequent traveler program that rewards guests with points and exclusive membership privileges with over 6,500 participating hotels in 127 countries. The portfolio of hotels includes more than 30 distinctive brands including TownePlace Suites. Marriott acquired Starwood Hotels and Resorts in 2016, making it the largest hotel company. With more than 100 million members, the Marriott Rewards program categorizes members into four separate levels: Member, Silver Elite, Gold Elite, and Platinum Elite. Benefits for the various levels include the following: - Elite night credit earned on paid and redemption stays - Additional bonus points for eligible stays - Reward points earned for meetings and events - Lowest rates, all the time when booking directly - No blackout dates - Complimentary in-room internet access when booking direct - Guaranteed room type - Complimentary room upgrade - Guaranteed 4 p.m. late checkout, subject to availability at resort and convention hotels - Guaranteed lounge access and breakfast for two • 48-hour guaranteed room availability • Arrival gift of bonus points, a food and beverage amenity or air miles **Holiday Inn Express by Intercontinental Hotel Group** Holiday Inn Express is a limited-service brand within the InterContinental Hotel Group (IHG). The brand combines the leisure appeal of the Holiday Inn Brand and the business frequency of the IHG Rewards Club. Originally introduced in 1991, Holiday Inn Express includes over 2,500 hotels in 33 countries. The design is adaptable to varying markets and can fit different site and market specifications. Holiday Inn Express is targeted specifically to mid-to-upper income Gen X business travelers and individual guests who expect modern conveniences and product design; the brand strives to create a comfortable yet high-tech environment to accommodate guests’ multi-tasking lifestyles. Amenities found in Holiday Inn Express properties include: in room microwaves ovens, same-day laundry and dry cleaning services, fax and photocopying services, Forget Something?™ personal care program, choice of soft or hard pillows, multi-function showerhead, premium toiletries, free high-speed internet access, and Free Express Start™ Breakfast Bar. **IHG Rewards Club** As part of the InterContinental Hotels Group portfolio of hotel brands, guests of the Holiday Inn Express are able to participate in *IHG Rewards Club*, the chain’s loyalty program. This incentive program strengthens brand loyalty of the Holiday Inn and IHG travelers and provides a competitive advantage over independent hotels and smaller chains. The program includes nearly 5,200 open hotels and resorts worldwide with more than 100 million members. The IHG Rewards Club includes four separate levels: Club Member, Gold Elite, Platinum Elite, and Spire Elite. Benefits for the various levels include the following: - Complimentary internet - Customer Stay Preferences - $30 in-room spa credit at participating hotels - Extended check-out based on availability - Priority check-in/early check-in - Welcome amenity - Bonus earnings on top of base points - Complimentary room upgrades based on availability - Guaranteed room availability - Inner Circle Amenity - Complimentary Chef’s Taste at participating hotels **BRAND LOYALTY** Brand loyalty preferences include room quality, hotel accessibility (such as convenience, ease of finding, and sheer number of locations), promotions, and service. Loyalty is also tied to price-related deals as well as the availability of a range of brands and price points within a hotel company’s portfolio. In recent years, brand loyalist value personalized experiences, including: courteous check-in process, acknowledgement of program participation, and welcome gifts. In addition, impactful first impressions, simple booking processes, incentives, relevant rewards, personal touches, and quality technology are all sought after in a brand loyalty program. Marriott Rewards and IHG Rewards Club are two of the largest hotel rewards programs with members returning to stay at the company’s portfolio of hotels. Furthermore, both programs include hotel brands that are highly ranked in customer service experience. Marriott Rewards Member paid nights represent more than 50 percent of total TownePlace Suites nights and Marriott’s reservation channel generates more than 60 percent of TownePlace Suites’ reservations. IHG Rewards Members Club is estimated to drive more than 70 percent of room nights at IHG branded hotels, including Holiday Inn Express. **CONCLUSIONS** The addition of the under-construction TownePlace Suites introduces an extended-stay hotel product into the City of Chino Hills’ hotel market with amenities such as a full-kitchen and open public spaces. We anticipate the addition of this product type will attract demand currently staying outside of the market and not compete directly with the existing three City Chino Hills hotels. Furthermore, loyal Marriott Rewards Members seeking to stay in the City of Chino Hills will now have the option to do so with the addition of this hotel. While the proposed Holiday Inn Express operates in a similar service segment as the existing hotels in Chino Hills, we anticipate the strength of the brand and IHG Rewards Club to differentiate itself from the rest of the products currently being offered. Guests seeking accommodations at a Holiday Inn Express specifically are staying outside of Chino Hills in the surrounding cities. We also anticipate the TownePlace Suites to compete for different demand than the Holiday Inn Express based on the aforementioned product differences. Section III AREA REVIEW AND NEIGHBORHOOD ANALYSIS AREA REVIEW INTRODUCTION The economic climate of the market area is an important consideration in forecasting hotel demand and growth potential. Economic and demographic trends that highlight the amount of visitation provide a basis for hotel demand projections. The purpose of this section is to review available economic and demographic data to determine whether the local market area will experience future economic growth. Accordingly, presented in the following section is an overview of the Riverside-San Bernardino Area (Inland Empire), followed by an analysis of the city of Chino Hills. RIVERSIDE-SAN BERNARDINO COUNTY OVERVIEW The “Inland Empire” is bordered by Los Angeles and Orange County to the west, and by the states of Nevada and Arizona to the east. This metropolitan area is broadly defined as the cities in Riverside County and San Bernardino County. Riverside County covers 7,303 square miles while San Bernardino covers 20,105 square miles. The population of the area totaled approximately 4.5 million people in 2017. The majority of the county’s acreage is a mixture of mountainous terrain and arid deserts. The center of the Inland Empire is located approximately 60 miles east of the center of Los Angeles, 110 miles northeast of San Diego, and 200 miles southwest of Las Vegas. The Inland Empire has become an international gateway for Southern California with infrastructure, facilities, and services to accommodate the increasing demand. It is a major transportation hub for both rail and truck services, is home to the Ontario International Airport (a UPS hub for both small packages and air freight), and is a major distribution center for firms moving goods through Southern California’s ports to the rest of the U.S. Strategic freeway access, two rail lines, and service by Amtrak and MetroLink are also favorable benefits for making this area a transportation hub. This area also has an impressive array of higher educational institutions, including the University of California Riverside (UCR), Cal State San Bernardino, University of Redlands, Loma Linda School of Medicine, and the University of La Verne College of Law. University of La Verne College of Law is the Inland Empire’s only ABA accredited law school. Additionally, Claremont College is a consortium of five undergraduate and two graduate schools located to the west of the county line. The two-county area also offers desert resorts with championship golf courses, mountain resorts with skiing in the winter as well as biking in the summer, Temecula Valley Wine Country, natural hot springs and spa, performing arts centers, the Auto Club Speedway, and relative proximity to internationally recognized destinations such as Los Angeles and Orange County. Affordable home ownership had historically been the primary motivating factor behind growth in the Inland Empire as homes in these communities are generally less expensive than comparable homes in Orange and Los Angeles Counties. Furthermore, employees are willing to work for less to avoid long commutes. Although these trends reversed during the recession, with the Inland Empire being one of the local economies hit hardest, encouraging signs have emerged and the area is continuing to grow in a positive manner. As unemployment trends downwards, the region is anticipated to experience widespread growth, fueling the region’s prosperity in coming years. Economic and Demographic Overview Employment There is a diverse economic base in the Inland Empire. In December 2017, the leading industries of employment were: trade, transportation and utilities with 371,600 jobs, education and health services with 226,500 jobs, and leisure and hospitality with 176,300 jobs. Of all industries, the construction sector has seen the greatest increase recently in employment on a percentage basis, increasing by 9.7 percent over the past six years. The following table depicts the historical trend in employment, segmented by sector, from 2012 through 2017, in San Bernardino and Riverside Counties. | Title | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | CAAG | |--------------------------------------------|--------|--------|--------|--------|--------|--------|------| | Total Nonfarm Employment | 1,185,200 | 1,233,300 | 1,289,300 | 1,347,400 | 1,400,800 | 1,495,700 | 4.0% | | Construction | 62,600 | 70,000 | 77,600 | 85,200 | 94,600 | 108,900 | 9.7 | | Manufacturing | 86,700 | 87,300 | 91,300 | 95,600 | 100,000 | 100,800 | 2.5 | | Trade, Transportation, & Utilities | 287,600 | 299,700 | 314,900 | 332,500 | 368,200 | 371,600 | 4.4 | | Information | 11,700 | 11,500 | 11,300 | 11,300 | 11,600 | 11,500 | -0.3 | | Financial Activities | 40,200 | 41,300 | 42,300 | 43,200 | 46,200 | 47,800 | 2.9 | | Professional and Business Services | 127,500 | 132,400 | 139,300 | 144,400 | 147,900 | 152,800 | 3.1 | | Education and Health Services | 173,600 | 187,600 | 194,800 | 205,000 | 217,800 | 226,500 | 4.5 | | Leisure and Hospitality | 129,400 | 135,900 | 144,800 | 151,500 | 165,400 | 176,300 | 5.3 | | Other Services | 40,100 | 41,100 | 43,000 | 44,000 | 45,900 | 46,900 | 2.6 | | Government | 224,600 | 225,200 | 228,800 | 233,400 | 247,400 | 251,800 | 1.9 | Source: California Employment Development Department, Labor Market Information Division The following table includes a list of the largest employers in Riverside and San Bernardino County. | Top Employers for Riverside County and San Bernardino County | Corporation | Employees | |-------------------------------------------------------------|--------------------------------------------------|-----------| | Stater Brothers Markets | 18,000 | | Arrowhead Regional Medical Center | 18,000 | | U.S Marine Corps. Air Ground Combat Center | 16,266 | | Fort Irwin | 13,805 | | Wal-Mart Stores, Inc. | 12,263 | | Loma Linda University | 8,582 | | March Air Reserve Base | 8,500 | | U.C. Riverside | 7,618 | | Ontario International Airport | 7,510 | | Amazon | 7,500 | | VA Loma Linda Healthcare System | 6,147 | | Kaiser Permanente | 5,739 | | Target Brands Inc. | 4,800 | | Pechanga Resort & Casino | 4,000 | | Riverside County Regional Medical Center | 3,876 | | Eisenhower Medical Center | 3,665 | | San Manuel Band of Mission Indians | 3,261 | | Morongo Casino, Resort & Spa | 3,000 | | JW Marriott Desert Springs Resort and Spa | 2,304 | Source: Moody’s Analytics Unemployment The following table presents a history of unemployment rates for the Riverside-San Bernardino County MSA and the State of California. The unemployment rate in the Riverside-San Bernardino-Ontario MSA was 4.1 percent in December 2017, down from a rate of 5.9 percent in the previous year. This rate is comparable with the unemployment rate of 4.2 percent for California and 4.1 percent for the nation during the same period. | Year | Riverside/San Bernardino MSA | State of California | |------|-----------------------------|---------------------| | 2006 | 4.9% | 4.9% | | 2007 | 5.8 | 5.4 | | 2008 | 8.3 | 7.2 | | 2009 | 13.2 | 11.3 | | 2010 | 14.3 | 12.4 | | 2011 | 13.6 | 11.8 | | 2012 | 11.5 | 10.4 | | 2013 | 9.8 | 8.9 | | 2014 | 8.1 | 7.5 | | 2015 | 6.6 | 6.2 | | 2016 | 5.9 | 5.4 | | 2017 | 4.1 | 4.2 | Source: State of California Employment Development Dept. Industrial Space Market The Inland Empire is comprised of 483.7 million square feet and represents more than 25 percent of the total industrial space in the Los Angeles Basin for buildings 10,000 square feet and greater. Considered the premier big-box market in Southern California, approximately 88 percent of the space in this market is contained in buildings 100,000 square feet and greater. The vast majority (90 percent) of its space was built in the past 25 years. The Inland Empire continues to attract large distributors, warehousemen and logistics firms seeking to consolidate their operations into large, state-of-the-art facilities. For descriptive and research purposes, the Inland Empire industrial market is comprised of East (Riverside, San Bernardino, and Corona) and West (Ontario, Rancho Cucamonga, and Fontana) Submarkets. The overall asking lease rate in Q4 2017 was $0.53 per square foot in the Inland Empire industrial market, unchanged from the previous quarter. Year over year the average asking lease rate increased by 4.0 percent; rental growth didn’t experience a significant jump due to large supply increases in certain pockets of the Inland Empire. The once “soft part” of the market, product within the size range 600,000 to 850,000 square feet, gained considerable traction due to increased tenant interest and landlord willingness to divide facilities. The market was red hot for buildings below 300,000 square feet where some of the higher rent increases and sale comps occurred, driven by constricted supply and new construction. Market demand moved eastward along the I-10 and I-210 freeways to cities with ample supply of available land for industrial development as space and land in the Inland Empire West became scarce. It is expected that as available supply tightens further in the Inland Empire West, the Inland Empire East market will no longer be viewed as maturing, but rather mirror asking rates in the Inland Empire West. The overall vacancy rate in the Inland Empire at the end of Q4 2017 was unchanged since Q1 2017 at 3.7 percent. The vacancy rate in the Inland Empire West was down as compared to Q1 2017 while the Inland Empire East saw an increase in vacancy rate due primarily to new completions outpacing net absorption. Over the course of 2017, nearly 20.0 million square feet of new construction was completed, while Q4 2017 alone saw 7.7 million square feet of new completions. The vacancy rate in the Inland Empire East continued to rise incrementally due to the endless wave of newly completed industrial product hitting the market. Availability is expected to follow a similar trend to vacancy as most available space on the market is occupied with tenants set on renewing, freeing them of the cumbersome task of searching for space in an already constricted market. Industrial development levels remained strong in the Inland Empire with construction activity under way in all size segments, indicative of strong fundamentals. Most large available land sites remain tied up in some phase of entitlement, however, opportunities for developers exist to acquire land sites in the Inland Empire East, particularly in the Riverside, Moreno Valley and Perris area. As a result, developers have remained patient and flexible reacting to opportunities as the competition for sites intensifies. In addition, developers continued to watch the market closely tracking activity levels and absorption, not wanting to overbuild the market. As a result, development activity and demand have remained in sync, which has mitigated the risk of overbuilding the market. CBRE Econometric Advisors forecast that the Inland Empire in 2018 will have more than 22 million square feet in new completions. The Inland Empire continues to be one of the most dynamic industrial markets in the nation, benefiting from excellent logistics advantages, solid demand and an ample amount of available land for future industrial developments. As a result, the region’s industrial base continues to grow adding hundreds of distribution and warehouse jobs to the local economy. Given how consistent demand has become, it is expected that net absorption will continue to keep pace with a steady amount of new deliveries scheduled to complete in 2018. The overall availability rate is projected to drop slightly over the next 12 months. CBRE Economic Advisors forecasts the overall average asking lease rate to continue to increase and grow by 1.7 percent in 2018. The following table summarizes the Inland Empire industrial market performance from Q4 2013 to Q4 2017, along with CBRE’s 12-month forecast. ![12-Month Forecast](image-url) Commercial Office Market The Inland Empire office market is comprised of 24.7 million square feet, representing 7.0 percent of the total inventory of office buildings 20,000 square feet and greater within the Los Angeles basin. Most of the office tenants located in the Inland Empire are firms predominantly in the finance, insurance, real estate and professional services sectors, businesses that have been hard hit by the collapse of the region’s construction industry. On the back of the strongest employment growth in Southern California, the Inland Empire office market has significantly improved over the past five years. The vacancy rate dropped from 11.7 percent in Q3 2017 to 10.9 percent in Q4 2017. There is still no construction in the pipeline in the region and the market would likely have to tighten even further to put enough upward pressure on rental rates to warrant any development. The market, however, continues to reach new post-recession highs in all key fundamental metrics. The strong employment and population growth in the region should continue to provide tail winds for the office market in the short and medium term. Despite the overall slow pace of growth in the Inland Empire, 2017 marked the sixth consecutive year of positive net absorption; the Inland Empire West dropped below 10.8 percent vacancy for the first time since 2007. Activity was essentially flat in most cities with larger office markets like Rancho Cucamonga, San Bernardino, and Corona leading the way in terms of positive net absorption. Net absorption was the highest in Riverside where it totaled 39,802 square feet in Q4 2017. Net absorption was also strong in the city of Corona with 39,274 square feet of positive absorption. A growing population and work force in the Inland Empire is opening up opportunities and needs for government, healthcare, insurance, and business services companies. Improvements in Inland Empire office market fundamentals have been slow and steady and this trend is expected to continue. With the lack of development activity and increased tenant demand, the existing office space in the Inland Empire is steadily being absorbed. CBRE EA forecasts vacancy to continue its downward trend, dropping within the 10.0 percent range by the end of the year. As a result, lease rates are projected to reach north of $2.00 per square foot by the end of 2018. The following table summarizes the Inland Empire office market performance from Q4 2013 to Q4 2017, along with CBRE’s 12-month forecast. Source: CBRE Econometric Advisors, Q4 2017. Port Activity As mentioned previously, Southern California’s ports are key Inland Empire economic drivers as much of their cargo is processed through inland warehouses, creating jobs in the region. The Port of Los Angeles is located in San Pedro Bay and encompasses 7,500 acres, 43 miles of waterfront and features two passenger terminals and 21 cargo terminals, including container, automobile, and dry and liquid bulk. In 2016, these 21 terminals handled 189.9 million metric revenue tons of cargo, a 4.5 percent increase over tonnage handled in 2016. In 2017, the Port moved an estimated 9.3 million TEUs (20-foot equivalent units), a 5.5 percent increase over 2016. The port generates approximately 1.5 million jobs in the United States and nearly $6.0 billion in local and state tax revenue. With continued capital improvement funding, the port is expected to keep upgrading and expanding its production. The Port of Los Angeles processed 725,059 TEUs in February 2018, the busiest February in the port’s 111-year history. Volumes jumped 16.0 percent compared to last February. Two months into 2018, overall volumes have increased 5.6 percent compared to 2017, which was the Port’s best year ever. The surge in February volumes is due in part to the Lunar New Year, which fell later this year. Shippers moved cargo ahead of the holiday celebrated in Asia and thus March volumes are expected to be lighter this year with the advance shipments coming in February. The Port of Long Beach, directly next to the Port of Los Angeles, is the second busiest port in the U.S. only behind its sister Port of Los Angeles, moving approximately 7.5 million TEUs annually. With 3,200 acres of land and 4,600 acres of water, the port features 22 shipping terminals that handle nearly one-third of all loaded containers passing through California’s ports. The port generates 316,000 jobs in Southern California, and 1.4 million jobs throughout the U.S. Transportation Air Ontario International Airport (ONT) is a medium-hub, full-service airport with direct service to major US cities and several international destinations. It is located approximately 38 miles east of downtown Los Angeles. Ontario International Airport’s service area includes San Bernardino and Riverside Counties and portions of north Orange County and East Los Angeles County. The following table provides year-end data on Ontario International Airport passenger and cargo statistics from 2007 through 2017. | Year | Passengers | Cargo (Tons) | |------|--------------|--------------| | 2007 | 7,207,150 | 532,865 | | 2008 | 6,232,761 | 481,284 | | 2009 | 4,886,695 | 391,060 | | 2010 | 4,808,241 | 392,427 | | 2011 | 4,551,875 | 417,686 | | 2012 | 4,305,426 | 454,880 | | 2013 | 3,969,974 | 460,535 | | 2014 | 4,127,280 | 474,502 | | 2015 | 4,209,311 | 509,809 | | 2016 | 4,251,903 | 567,295 | | 2017 | 4,552,225 | 654,378 | *CAAC = Compound Annual Average Change Source: Fly Ontario It was estimated by the Southern California Association of Governments (SCAG) that Ontario International Airport could service as many as 20 million air passengers by 2025. Despite the steep declines during the recession this estimate may not be overly optimistic considering recent developments in the transfer of ownership. After a long legal process and negotiations, the City of Los Angeles has agreed to return local control of the Ontario International airport to the City of Ontario. The City of Ontario relinquished control of the Airport in 1985, but had been fighting to regain control of the airport since alleged mismanagement and apathy by the city of Los Angeles led to sharp passenger declines from 2007 to 2012. The City of Ontario had filed a lawsuit in order to regain control of operations with an impending court date in August 2015, but prior to this date, the City of Los Angeles agreed to return the airport to local control provided that roughly $250 million in reimbursement costs and debt be paid and assumed. This local ownership which officially transferred on November 1, 2016, has allowed the Ontario airport to reduce its cost structure and increase marketing, advertising, and promotion of the airport. The change has allowed Ontario to better compete with other Southern California destinations and ultimately benefit the local and regional hotel communities. Due to strong customer demand, China Airlines will be the first carrier to offer service between Taiwan Taoyuan International Airport (TPE) and Ontario International Airport (ONT) scheduled for launch during the week of March 25, 2018. **Highways** Because the primary mode of transportation in Southern California is the automobile, San Bernardino and Riverside Counties both benefit from an extensive transportation network, with major roadways traveling both north/south and east/west. Interstate 10, State Route 60, and State Route 91 are the major east/west thoroughfares connecting the San Bernardino and Riverside County area with the Los Angeles basin to the west, and the Coachella Valley to the east. Interstates 15 and 215 and State Route 71 are the primary north/south thoroughfares in the area. While State Route 71 and Interstate 215 are used primarily as intraregional transportation, Interstate 15 connects the area with San Diego to the south and Las Vegas to the north. **AREA CONCLUSIONS** After review of the general economic and demographic information for the Inland Empire, it is evident that the local and regional economy has been experiencing strong overall growth since the beginning of the decade. The trend is expected to continue in the near-term as business and housing costs remain lower than nearby California coastal areas. The Inland Empire will also continue to have comparative advantages in transportation, distribution, and warehousing. Furthermore, we are of the opinion that Riverside and San Bernardino County will continue to facilitate demand for hotels in the general region. NEIGHBORHOOD ANALYSIS CITY OF CHINO HILLS To properly assess the future potential of hotel demand, it is necessary to have a general understanding of the dynamics specific to the Chino Hills area. The following paragraphs summarize our review of selected demographic and economic data pertaining to the greater Chino Hills market area. Future growth in lodging demand has been estimated in part based on our analysis of these key indicators. OVERVIEW The city of Chino Hills is located along State Route 71, an approximately 15-mile highway, which begins at Interstate 10 in Pomona to the north and terminates at the 91 Freeway in Corona. Due to its topography of rolling hills, Chino Hills was primarily rural prior to the mid-1970s; most land was utilized for equestrian purposes and for dairies. Rapid and extensive housing developments followed throughout the 1980s and 1990s, which continued at a similar pace in recent years, although according to local City representatives, future development in the city of Chino Hills is anticipated to slow as vacant sites become more limited. Most neighborhoods are arranged in a village-type format with shopping centers and parks designed to be within walking distance of nearby homes. Areas of the city adjoining the Orange County line are still primarily rural due to their relative isolation from transportation networks. Chino Hills is also home to the Vellano Country Club, a private golf course and housing development designed by golf champion Greg Norman, his first project in the greater Los Angeles area. Chino Hills is well known for its high quality of life and beautiful rural atmosphere. The community, with its population of more than 80,000 residents, boasts 3,000 acres of publicly-owned open space, 42 parks, and 47 miles of trails. The city of Chino Hills continues to be identified as one of the premier communities in the nation by various publications, persons, and institutions. Population The city of Chino Hills lies within San Bernardino County, the fifth most populated county in the State of California. The city of Chino Hills is the ninth largest city in San Bernardino County, of the 24 reporting cities in the county. The following table details the population for the city of Chino Hills, San Bernardino County, and the State of California. As can be seen in the table above, the city of Chino Hills has grown steadily from 2008 through 2017 except for a slight decrease from 2008 to 2009. The city of Chino Hills has a compounded growth rate of 0.7 percent, similar to the rate experienced in both the State of California and the County of San Bernardino. The recent growth can be accounted for, in part, by the increasing commercial and residential real estate development in the Chino Valley. This increase in real estate has increased business residency in the area, and as a result, an overall increase in city population. Nearly 45 percent of Chino Hills’ adult residents have a bachelor’s degree or higher and the community ranks among the top 15 Southern California cities in its share of residents employed as executives, professionals, or technology specialists. Additionally, many of the people who have moved to the area since 2000 have done so to find relatively less expensive housing on larger tracts of land than can be found in the communities of Los Angeles and Orange Counties. **Employment** According to the most recent U.S. Census Bureau survey the city of Chino Hills was home to nearly 800 business establishments. Of these firms, the most prevalent in the community included retail trade (101 firms), professional scientific and technical services (100 firms), and healthcare and social assistance (78 firms). In order to further identify the mix of business establishments in the city of Chino Hills, we have detailed the major employers in the city as of 2017. | Corporation | Employees | |-----------------------------------|-----------| | Chino Valley Unified School District | 2,509 | | Costco | 321 | | City of Chino Hills | 284 | | Boys Republic | 237 | | Lowe’s Home Improvement | 211 | | Kaiser Permanente Laboratory | 190 | | Albertson’s | 178 | | Harkins Theatres | 140 | | Chino Valley Independent Fire District | 139 | | BJ’s Restaurant/Brewhouse | 126 | *Source: City of Chino Hills* Transportation The main artery of transportation in the city of Chino Hills is State Route 71, which is also known as the Chino Valley Freeway. The Chino Valley Freeway (SR-71), offers access to the Pomona Freeway (SR-60) as well as the San Bernardino Freeway (I-10) to the north and the Riverside Freeway (SR-91) to the south. This freeway/expressway serves as an important commuter traffic corridor between the cities in the Pomona Valley (eastern Los Angeles County) and the cities of western Riverside County. It is heavily traveled and is used as an alternative to the Orange Freeway, California State Route 57 (CA/SR-57) located to the west and the Ontario Freeway, Interstate 15 (I-15) located to the east. Recreational Amenities Chino Hills has steadily drawn more travelers for recreation purposes. Big League Dreams Sports Park, a 33-acre recreation facility, provides adult softball and youth baseball players with the opportunity to play in Major League replica stadiums complete with lifelike fans in the bleachers. This multi-use sports facility attracts tournaments, new visitors, and commercial ventures to Chino Hills. Several beautiful public and private golf courses exist in Chino Hills including Western Hills Golf and Country Club, the North and South Courses at Los Serranos Country Club and the private Valleno Country Club designed by Greg Norman. Additionally, the Chino Hills State Park that stretches for more than 30 miles, attracts cyclists, hikers and equestrians that seek to experience the park that has preserved an early California experience. Future Development As the city of Chino Hills matures, developments in the Inland Empire is moving rapidly southeast along the Chino Valley Freeway (SR-71) corridor. The following list contains a number of planned commercial, industrial, residential and recreational developments in the city of Chino Hills. 1) **The Santa Barbara** is a 30.3-acre mixed-use development project located at the southeastern corner of Soquel Canyon Parkway and Pomona Rincon Road. This development project is adjacent to The Rincon site. The project is currently under-construction and will include 324 residential apartment units and approximately 15,700 square feet of retail/restaurant space. 2) **Trumark** is a mixed-use development project located at the northwestern side of Soquel Canyon Parkway and Pomona Rincon Road. The project is currently under-construction and is expected to include 42 townhomes and 68 small lot single-family residences, and an 18,000-square foot commercial building. 3) **Vila Borba**, surrounding Butterfield Ranch Road at the intersection of Pine Avenue, is a 336-acre development that includes four separate sites. In total, there are 702 single-family homes, 280 high-density homes, more than five acres of public park, and approximately 5 acres of commercial space. The first planning area is currently under-construction and remaining planning areas are currently being graded or still being finalized. 4) **Largo Los Serranos** is a 95-unit town home development, that is located at the southwest corner of Ramona Avenue and Birdfarm Road adjacent to the Los Serranos Golf Club. The units are expected to range in size from approximately 1,600 square feet to 1,850 square feet. Amenities will include sports courts, a swimming pool and spa, and open space. 5) **Fairfield Ranch Commons** is a business park development located on the northeast side of Fairfield Ranch Road and Monte Vista Avenue, east of California State Route 71. The project site is approximately 17.4 acres and will include three industrial buildings ranging in size from 100,120 to 120,516 square feet. **City of Chino Hills’ Sources of Hotel Demand** The city of Chino Hills’ hotel market derives demand primarily from three segments: corporate, leisure, and group. Corporate demand is generated from the businesses in the surrounding cities such as Corona, Ontario, and Pomona. Chino Hills/Ontario is a large warehousing area for numerous companies and weekday demand is driven largely by the companies themselves or the packaging/shipping service providers working with these companies. Best Buy, Wal-Mart, and Amazon are several companies that have warehouses in the Inland Empire, while Amcor is a company that provides packaging solutions. Leisure demand is comprised of travelers visiting family or relatives in the city of Chino Hills. The hotel market also benefits from an excellent location proximate to six major freeways, which allow guests to drive to numerous Southern California destinations. Also, nearby is the BAPS Hindu Temple, Raging Waters Waterpark, Big League Dreams sports park, and several colleges/universities in Pomona/Claremont. Group demand is comprised of social group business, such as wedding parties, SMERF (social, military, educational, religious, and fraternal), crew, association, and government business. Additionally, group demand is generated from the Fairplex in Pomona. Section IV HOTEL MARKET AND TOT ANALYSIS INTRODUCTION National Hotel Overview CBRE Hotels, Americas Research compiles an economics-based hotel forecasting model that projects supply, demand, occupancy, average daily room rates (ADR), and revenue per available room (RevPAR) for the U.S. lodging industry. Hotel Horizons® reports are published on a quarterly basis for 60 markets and six national chain-scales. The following provides an excerpt from the recently released March - May 2018 edition Hotel Horizons® report. The historical data (2013 through 2017) is provided by STR Inc., while the projections were developed by CBRE Hotels’ Americas Research. The U.S. lodging industry finished 2017 on a strong note. During 4Q17, lodging demand rose by a healthy 3.7 percent. With supply increasing at 1.9 percent, the national occupancy level reached 61.7 percent, the highest fourth quarter occupancy rate recorded since 1988. The strong fourth quarter performance boosted the 2017 national annual occupancy rate by 0.9 percent to 65.9 percent—another all-time record occupancy level. With the national average daily rate increasing by 2.1 percent, RevPAR growth during 2017 was 3.0 percent. CBRE Hotel’s Americas Research is forecasting a slight drop in occupancy for 2018. For the year, occupancy is projected to decline by 0.1 percent to 65.8 percent. Beyond 2018, lodging supply and demand are forecast to grow at roughly the same pace, thus sustaining occupancy levels in the mid-60s. Despite the sustained occupancy levels, nominal ADR growth is expected to moderate somewhat as the market absorbs new supply. **National Snapshot: Next Four Quarters** The arrows show the forecast direction of change over the next 4 quarters vs. the previous 4 quarters. Green indicates the change will be above the long run average, and orange indicates it will be below. | Occupancy | Occupancy will decrease to 65.8%, a decline over the past 4 quarters' rate of 65.9%, but above the long run average of 62.3% | |-----------|------------------------------------------------------------------------------------------------------------------| | Average Daily Rate | ADR growth expectations are increasing, 2.6% vs. the past 4 quarters' rate of 2.1%, but are below the long run average of 3.0% | | Revenue Per Available Room | RevPAR growth projections for the next 4 quarters are falling to 2.5% as compared to the past 4 quarters' rate of 3.0%, and are lower than the long run average of 3.3% | | Supply (orange indicates above long-term average) | Supply growth is climbing, 2.0% vs. the past 4 quarters' rate of 1.8%, and greater than the long run average of 1.8% | | Demand | Forecast demand growth is falling, 1.8% vs. the past 4 quarters' rate of 2.7%, and is below the long run average of 2.0% | The following tables include CBRE Hotel’s Americas Research national forecast summary from 2013 through 2022. | YEAR | OCC | Δ OCC | ADR | Δ ADR | REVPAR | Δ REVPAR | |------|-------|-------|-------|-------|--------|----------| | 2013 | 62.2% | 1.4% | $110.02 | 3.8% | $68.48 | 5.2% | | 2014 | 64.4% | 3.4% | $115.13 | 4.6% | $74.09 | 8.2% | | 2015 | 65.3% | 1.5% | $120.31 | 4.5% | $78.61 | 6.1% | | 2016 | 65.4% | 0.0% | $124.12 | 3.2% | $81.13 | 3.2% | | 2017 | 65.9% | 0.9% | $126.71 | 2.1% | $83.54 | 3.0% | | 2018F| 65.8% | -0.1% | $130.00 | 2.6% | $85.60 | 2.5% | | 2019F| 65.8% | 0.0% | $132.63 | 2.0% | $87.32 | 2.0% | | 2020F| 65.3% | -0.8% | $134.84 | 1.7% | $88.05 | 0.8% | | 2021F| 65.5% | 0.4% | $137.18 | 1.7% | $89.90 | 2.1% | | 2022F| 65.8% | 0.4% | $139.92 | 2.0% | $92.06 | 2.4% | Source: CBRE Hotels’ Americas Research, STR, Q4 2017. **Local Competitive Market** In order to develop conclusions relative to the impact of the city of Chino Hills’ hotel market from the addition of the subject hotels, we have determined the overall competitive lodging environment in which the subject hotels will likely compete with as this impact is expected to not only be concentrated in the city of Chino Hills’ hotel market. We analyzed the historical market performance of the city of Chino Hills’ lodging independently and in aggregate with the overall competitive market. We then project future operating performance for each market under three scenarios: no addition to the hotel market, the addition of the 116-room TownePlace Suites, and the addition of both the 116-room TownePlace Suites and the 120-room Holiday Inn Express. Utilizing these projections, we have estimated future transient occupancy tax collections to determine the positive or negative impact from the aforementioned scenarios to the city of Chino Hills. **OVERALL COMPETITIVE SUPPLY** The overall competitive properties have been selected based on their facilities, location, market performance and orientation, property rating, and rate structure. The competitive supply offers a reasonable basis of historical demand and operating performance on which to base our amount of impact from the subject hotels. We have considered the subject hotels to compete with the existing supply in the city of Chino Hills and the greater surrounding area including the cities of Diamond Bar, Pomona, and Corona. The hotels in the competitive market are located proximate to the demand generators of the general hotel market and compete for similar business. The following chart presents the competitive set for the subject hotels. | Map Code | Property | Number of Rooms | |----------|----------------------------------------------|-----------------| | ★ | TownePlace Suites and Holiday Inn Express Chino Hills | 116/120 | | 1 | Hampton Inn & Suites Chino Hills | 104 | | 2 | Ayres Hotel Chino Hills | 124 | | 3 | Hotel Chino Hills | 99 | | 4 | Holiday Inn Select Diamond Bar | 175 | | 5 | Ayres Suites Diamond Bar | 101 | | 6 | Sheraton Suites Fairplex Pomona | 247 | | 7 | Residence Inn Corona | 95 | | 8 | Fairfield Inn Corona | 96 | | 9 | SpringHill Suites Corona | 130 | **Competitive Market Total (without the city of Chino Hill’s Hotel Market)** 842 **Competitive Market Total** 1,169 It should be noted that there are other lodging facilities within the market that may be considered secondarily competitive and have not been included in our analysis due to facilities, market orientation, average rate, and/or location. The following map indicates the location of various properties which comprise the competitive set for the subject hotels. Map of the Competitive Supply Chino Hills Hotel Market, Chino Hills, CA Competitive Lodging Supply Historical Market Performance The following table presents a summary of the historical market performance of the aforementioned competitive set of the nine hotels including the city of Chino Hills’ three currently open and operating hotels (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel). Table 1: | Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | REVPAR | Percent Change | |------|---------------|----------------|----------------|----------------|------------------|--------------------|----------------|--------|----------------| | 2013 | 391,645 | N/A | 288,824 | N/A | 74% | $99.90 | N/A | $73.67 | N/A | | 2014 | 409,165 | 4.5% | 307,552 | 6.5% | 75 | 106.61 | 6.7% | 80.13 | 8.8% | | 2015 | 426,685 | 4.3% | 329,941 | 7.3% | 77 | 112.58 | 5.6% | 87.05 | 8.6% | | 2016 | 426,685 | 0.0% | 331,319 | 0.4% | 78 | 121.12 | 7.6% | 94.05 | 8.0% | | 2017 | 426,685 | 0.0% | 325,682 | -1.7% | 76 | 125.96 | 4.0% | 96.14 | 2.2% | | CAAG | 2.2% | | | 3.0% | | | 6.0% | | 6.9% | Source: CBRE Hotels Supply in the competitive market has increased on a compound annual basis of 2.2 percent from 2013 through 2017. In 2013, the room supply in the competitive market increased by 4.5 percent with the opening of the Fairfield Inn Corona/Norco in July 2014. In the following year, annual supply increased by 4.3 percent from the annualized rooms of the Fairfield Inn Corona/Norco being absorbed in the competitive market. Occupied room nights increased by 3.0 percent annually; however, the competitive supply experienced a 1.7 percent decline in 2017. This is mostly attributed to the extensive renovation that occurred at the Holiday Inn Diamond Bar. As a result, occupancy has increased each year except for 2017. The average daily room rate (ADR) of the competitive set increased by 6.0 percent on an average basis over the historic period. The competitive market achieved an average daily rate of $125.96 in 2017. Revenue per available room (RevPAR), a combination of occupancy and average daily room rate, increased by 6.9 percent on an annual basis over the last five years. RevPAR at the end of 2017 was $96.14, a 2.2 percent increase over the previous year. City of Chino Hills Lodging Supply Historical Market Performance We have derived the historical performance of the city of Chino Hills’ hotel market using historical transient occupancy tax collections alongside our data and knowledge of the hotel market. The current transient occupancy tax for the City is 10 percent of total room revenue. The transient occupancy tax collection for each property was used to determine the total revenues collected on a calendar year basis. Utilizing the total revenue of each property, we’ve estimated occupancy levels and average daily rate based on positioning, product offerings, internal data, and our knowledge of the Chino Hills’ hotel market. We have also accounted for a percentage variance based on the following exemptions as described in the City of Chino Hills’ Code of Ordinances, section 3.32.040: 1. Any person as to whom, or any occupancy as to which, it is beyond the legal authority of the city to impose the tax; 2. Any federal officer or employee when on official business; 3. Any officer or employee of a foreign government who is exempt by reason of express provision of federal law or international treaty; nor, 4. Any person who occupies a room in a hotel for more than thirty (30) consecutive days; 5. If the occupancy is of one permitted living unit for the owner/manager; or, 6. If the occupancy of a room in a hotel is by an employee of the operator and/or owner which room is utilized by such employee while visiting the premises for business purposes and for which no rent is charged. The aggregate average annual available and occupied rooms, resulting occupancy levels, average daily rate, and revenue per available room for the city of Chino Hills’ hotel market between 2013 and 2017 are presented in the following table. Table 2: | Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | REVPAR | Percent Change | |------|---------------|----------------|----------------|----------------|------------------|-------------------|----------------|--------|----------------| | 2013 | 119,355 | N/A | 87,389 | N/A | 73% | $95.29 | N/A | $69.77 | N/A | | 2014 | 119,355 | 0.0% | 91,645 | 4.9% | 77 | 102.83 | 7.9% | 78.95 | 13.2% | | 2015 | 119,355 | 0.0 | 94,219 | 2.8 | 79 | 107.78 | 4.8 | 85.09 | 7.8 | | 2016 | 119,355 | 0.0 | 95,696 | 1.6 | 80 | 115.25 | 6.9 | 92.40 | 8.6 | | 2017 | 119,355 | 0.0 | 96,378 | 0.7 | 81 | 119.35 | 3.6 | 96.38 | 4.3 | | CAAG | 0.0% | 2.5% | | | | 5.8% | | 8.4% | | Source: CBRE Hotels Supply in the city of Chino Hill’s hotel market has remained unchanged over the historical period, with the latest supply change occurring in 2011 from the opening of the 99-room Hotel Chino Hills. It should be noted that this hotel originally opened in January 2011 as a Holiday Inn Express Hotel, but its franchise with InterContinental Hotels was terminated in July 2011 and since that time it has operated as an independent hotel. Demand for rooms, as demonstrated by occupied room nights, has increased at a rate of 2.5 percent annually with the largest percent change of 4.9 percent from 2013 to 2014. These increases can be attributed to the improved economic health of the Inland Empire. Although occupied rooms have been increasing each year, it should be noted that the percentage increase has gradually declined. This is a result of the hotel market likely operating at or above stabilized levels in recent years. The average daily room rate (ADR) of the city of Chino Hill’s hotel market increased by 5.8 percent on an average basis over the historic period. The hotel market achieved an average daily rate of $119.35 at the end of 2017. As aforementioned, the growth in the market for average daily rate has been a result of improving economic conditions as well as increased development in and around the surrounding cities. However similar to the growth in occupied rooms, the percentage gains in average rate are anticipated to moderate to a level more in line with inflation in the coming years. Revenue per available room (RevPAR), a combination of occupancy and average daily room rate, increased by 8.4 percent on an annual basis over the last five years. RevPAR at the end of 2017 was $96.38, a 4.3 percent increase over the previous year. This is the highest RevPAR that has been achieved for the hotel market in the city of Chino Hills. PROJECTED MARKET PERFORMANCE As a component of our analysis, we have projected future operating projections for the overall competitive supply and the existing city of Chino Hills’ hotel market under the following three scenarios: - **Scenario A** - no additions to the hotel market - **Scenario B** - the addition of the under-construction TownePlace Suites with 116 guestrooms in July 2018 - **Scenario C** - the addition of the under-construction TownePlace Suites with 116 guestrooms and the addition of the Holiday Inn Express with 120 guestrooms in July 2019 It should be noted that the projected market performance tables of the *overall competitive supply* display the annual supply change from the addition of the TownePlace Suites in Scenario B and the addition of the TownePlace Suites as well as the Holiday Inn Express in Scenario C. The projected market performance tables of the *existing Chino Hills’ hotel market* (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) does not display the annual supply change as we have analyzed the impact of the addition of the TownePlace Suites and the Holiday Inn Express in each scenario specifically on the three existing Chino Hills hotels. **Scenario A - Projected Market Performance (Overall Competitive Supply)** | Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | RevPAR | Percent Change | |------|---------------|----------------|----------------|----------------|------------------|--------------------|----------------|--------|----------------| | 2018 | 426,685 | 0.0% | 332,800 | 2.2% | 78% | $128.00 | 1.6% | 99.84 | 3.8% | | 2019 | 426,685 | 0.0 | 328,500 | -1.3 | 77 | 132.00 | 3.1 | 101.63 | 1.8 | | 2020 | 426,685 | 0.0 | 324,300 | -1.3 | 76 | 136.00 | 3.0 | 103.37 | 1.7 | | 2021 | 426,685 | 0.0 | 324,300 | 0.0 | 76 | 140.00 | 2.9 | 106.41 | 2.9 | | 2022 | 426,685 | 0.0 | 324,300 | 0.0 | 76 | 144.00 | 2.9 | 109.45 | 2.9 | | 2023 | 426,685 | 0.0 | 324,300 | 0.0 | 76 | 149.00 | 3.5 | 113.25 | 3.5 | | CAAG | 0.0% | -0.5% | | | | 3.1% | | 2.6% | | Source: CBRE Hotels As can be noted in the preceding table, annual supply is expected to remain unchanged without any additions or deletions for the competitive supply. With regard to growth in demand in future years, overall demand is expected to gradually decline as the overall market and economic conditions stabilize. We are of the opinion, that the market has experienced positive conditions and will eventually return to a stabilized market occupancy of 76 percent as reflected in the table. Average daily rate is anticipated to grow at or around inflationary rates over the projection period. As a result, RevPAR is expected to grow at 2.6 percent annually. Scenario A – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) Table 4: Projected Performance of the Chino Hills’ Hotel Market – Scenario A | Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | RevPAR | Percent Change | |------|---------------|----------------|----------------|----------------|------------------|--------------------|----------------|--------|----------------| | 2018 | 119,355 | 0.0% | 95,300 | -1.1% | 80% | $122.00 | 2.2% | $97.41 | 1.1% | | 2019 | 119,355 | 0.0 | 94,000 | -1.4 | 79 | $126.00 | 3.0 | $99.23 | 1.9 | | 2020 | 119,355 | 0.0 | 92,900 | -1.2 | 78 | $129.00 | 3.0 | $100.41| 1.2 | | 2021 | 119,355 | 0.0 | 92,900 | 0.0 | 78 | $133.00 | 3.0 | $103.52| 3.1 | | 2022 | 119,355 | 0.0 | 92,900 | 0.0 | 78 | $137.00 | 3.0 | $106.63| 3.0 | | 2023 | 119,355 | 0.0 | 92,900 | 0.0 | 78 | $141.00 | 3.0 | $109.75| 2.9 | | CAAG | 0.0% | -0.5% | | | | | | | | Source: CBRE Hotels Demand for rooms is estimated to decrease by 0.5 percent on a compound annual basis similarly to the overall competitive supply. We are of the opinion that the existing Chino Hills’ hotel market has also been operating above stabilized levels in the previous years and will eventually return to a stabilized market occupancy of 78 percent. The average daily rate for the hotel market of Chino Hills’ is expected to increase by 2.9 percent annually, while RevPAR is expected to increase by 2.4 percent annually. Scenario B - Projected Market Performance (Overall Competitive Supply) Table 5: Projected Performance of the Competitive Supply – Scenario B | Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | RevPAR | Percent Change | |------|---------------|----------------|----------------|----------------|------------------|--------------------|----------------|--------|----------------| | 2018 | 447,855 | 5.0% | 336,500 | 3.3% | 75% | $128.00 | 1.6% | $96.17 | 0.0% | | 2019 | 469,025 | 4.7 | 347,600 | 3.3 | 74 | $132.00 | 3.1 | 97.83 | 1.7 | | 2020 | 469,025 | 0.0 | 356,500 | 2.6 | 76 | $136.00 | 3.0 | 103.37 | 5.7 | | 2021 | 469,025 | 0.0 | 356,500 | 0.0 | 76 | $140.00 | 2.9 | 106.41 | 2.9 | | 2022 | 469,025 | 0.0 | 356,500 | 0.0 | 76 | $144.00 | 2.9 | 109.45 | 2.9 | | 2023 | 469,025 | 0.0 | 356,500 | 0.0 | 76 | $149.00 | 3.5 | 113.25 | 3.5 | | CAAG | 0.9% | 1.2% | | | | | | | | Source: CBRE Hotels The annual supply is expected to increase by 5.0 percent in 2018 from the projected opening of the under-construction TownePlace Suites in July. The annualized rooms of the TownePlace Suites will be fully reflected in the following year, 2019. Occupied rooms are expected to increase by 1.2 percent from demand induced by the TownePlace Suites. This increase can be attributed to the travelers seeking extended-stay hotel options in the city of Chino Hills. Additionally, the hotel is expected to attract loyal Marriott Rewards members that were previously staying outside of the competitive market given the limited number of Marriott branded hotels in the local market. Average daily rate of the competitive supply is expected to remain the same as the TownePlace Suites is expected to be positioned similarly in terms of rate. RevPAR is anticipated to grow at a greater rate from Scenario A due to the market operating at lower levels in the first two years before stabilizing in the remaining projection period. Scenario B – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) Table 6: Projected Performance of the Chino Hills’ Hotel Market – Scenario B | Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | RevPAR | Percent Change | |------|---------------|----------------|----------------|----------------|------------------|--------------------|----------------|--------|----------------| | 2018 | 119,355 | 0.0% | 94,800 | -1.6% | 79% | $121.00 | 1.4% | $96.11 | -0.2% | | 2019 | 119,355 | 0.0 | 92,600 | -2.3 | 78 | $123.00 | 2.0 | $95.43 | -0.7 | | 2020 | 119,355 | 0.0 | 91,900 | -0.8 | 77 | $127.00 | 3.0 | $97.79 | 2.5 | | 2021 | 119,355 | 0.0 | 91,900 | 0.0 | 77 | $131.00 | 3.0 | $100.87| 3.1 | | 2022 | 119,355 | 0.0 | 91,900 | 0.0 | 77 | $135.00 | 3.0 | $103.95| 3.1 | | 2023 | 119,355 | 0.0 | 91,900 | 0.0 | 77 | $139.00 | 3.0 | $107.03| 3.0 | | CAAG | 0.0% | -0.6% | | | | | | | 2.8% | Source: CBRE Hotels The city of Chino Hills’ Hotel Market is anticipated to absorb the addition of the TownePlace Suites with minimal impact to the lodging market. Occupied rooms across the existing hotel market is expected to decrease by 0.6 percent annually. In 2018 and 2019, demand for rooms is projected to decrease by 1.6 percent and 2.3 percent respectively. In 2020, demand for rooms is expected to further decrease by 0.8 percent. We are of the opinion, that the existing Chino Hills’ hotel market will stabilize at 77 percent or one percent less than scenario A. The TownePlace Suites is expected consume some demand from the existing hotel market, as demonstrated by the reduction in occupied rooms in the existing market upon stabilization. The average daily rate is projected to increase by 2.8 percent on a compound annual basis as the existing Chino Hills’ hotel market modifies their rate positioning to attract more demand. Overall, RevPAR is expected to increase by 2.2 percent on an annual basis from 2018 through 2023. Scenario C – Projected Market Performance (Overall Competitive Supply) Table 7: Projected Performance of the Competitive Supply – Scenario C | Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | RevPAR | Percent Change | |------|---------------|----------------|----------------|----------------|------------------|--------------------|----------------|--------|----------------| | 2018 | 447,855 | 5.0% | 336,500 | 3.3% | 75% | $128.00 | 1.6% | $96.17 | 0.0% | | 2019 | 490,925 | 9.6 | 348,600 | 3.6 | 71 | $132.00 | 3.1 | $93.73 | -2.5 | | 2020 | 512,825 | 4.5 | 365,300 | 4.8 | 71 | $136.00 | 3.0 | $96.88 | 3.4 | | 2021 | 512,825 | 0.0 | 379,800 | 4.0 | 74 | $140.00 | 2.9 | $103.68| 7.0 | | 2022 | 512,825 | 0.0 | 389,800 | 2.6 | 76 | $144.00 | 2.9 | $109.45| 5.6 | | 2023 | 512,825 | 0.0 | 389,800 | 0.0 | 76 | $149.00 | 3.5 | $113.26| 3.5 | | CAAG | 2.7% | 3.0% | | | | | | | 3.1% | Source: CBRE Hotels The annual supply of the competitive market is expected to increase by 2.7 percent annually with the addition of the TownePlace Suites in July 2018 and the Holiday Inn Express in July 2019. Similarly, to Scenario B, the Holiday Inn Express is anticipated to induce additional demand from loyal brand members and those seeking select-service accommodations with a complimentary hot breakfast in the city of Chino Hills. As identified previously, there is only one InterContinental Group affiliated hotel within the competitive supply, and the closest Holiday Inn Express Hotels are located more than ten miles away in the city of San Dimas to the northwest and the city of Corona to the southeast. The market occupancy will decrease to 71 percent in 2019 and 2020, but eventually return to a stabilized level of 76 percent in 2022. The average daily rate and RevPAR is expected to increase at similar ratios as the previous Scenarios. **Scenario C – City of Chino Hills’ Projected Market Performance (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel)** | Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | REVPAR | Percent Change | |------|---------------|----------------|----------------|----------------|------------------|-------------------|----------------|--------|----------------| | 2018 | 119,355 | 0.0% | 94,800 | -1.6% | 79% | $121.00 | 1.4% | $96.11 | -0.2% | | 2019 | 119,355 | 0.0 | 89,600 | -5.5 | 75 | $122.00 | 1.0 | $91.59 | -4.7 | | 2020 | 119,355 | 0.0 | 88,000 | -1.8 | 74 | $125.00 | 2.5 | $92.16 | 0.6 | | 2021 | 119,355 | 0.0 | 90,900 | 3.3 | 76 | $129.00 | 3.0 | $98.25 | 6.6 | | 2022 | 119,355 | 0.0 | 90,900 | 0.0 | 76 | $133.00 | 3.0 | $101.29| 3.1 | | 2023 | 119,355 | 0.0 | 90,900 | 0.0 | 76 | $137.00 | 3.0 | $104.34| 3.0 | | CAAG | 0.0% | -0.8% | | | | | 2.5% | | 1.7% | Source: CBRE Hotels The existing city of Chino Hills’ hotel market is expected to be further impacted from the addition of the Holiday Inn Express in Scenario C. Demand for rooms is anticipated to decrease by 0.8 percent on a compounded annual basis. The market occupancy is anticipated to stabilize at 76 percent in 2021, two percent less than Scenario A and one percent less than Scenario B. The average daily rate is expected to be $122.00 in 2019 and increase by 2.5 on an annual basis through 2023. The Holiday Inn Express is expected to marginally decrease the market’s growth in average daily rate due to an increased level of competition in the local market. Overall, RevPAR is expected to increase by 1.7 percent annually. **SUMMARY OF IMPACT** The following table includes a summary of the occupancy and average daily rate impact from the previous three scenarios evaluated. | Year | Scenario A | Scenario B | Scenario C | Scenario B Impact | Scenario C Impact | |------|------------|------------|------------|-------------------|-------------------| | | Occ | ADR | Occ | ADR | Occupancy Impact | ADR Impact | | 2018 | 80% | $122.00 | 79% | $121.00 | -1% | ($1.00) | | 2019 | 79 | $126.00 | 78 | $124.00 | -1 | (2.00) | | 2020 | 78 | $129.00 | 77 | $128.00 | -1 | (1.00) | | 2021 | 78 | $133.00 | 77 | $132.00 | -1 | (1.00) | | 2022 | 78 | $137.00 | 77 | $136.00 | -1 | (1.00) | | 2023 | 78 | $141.00 | 77 | $140.00 | -1 | (1.00) | Source: CBRE Hotels **TOT ANALYSIS AND CONVERSION TO FISCAL YEAR** We have estimated transient occupancy tax collections under each Scenario on a fiscal year basis for the purposes of analyzing the impact of the TownePlace Suites and the Holiday Inn Express on the existing city of Chino Hills’ hotel market. For the purpose of this analysis, it should be noted that the TOT collections are direct calculations of total room revenue and do not include a percentage variance as previously accounted for in the historical performance. **Historical Transient Occupancy Tax Collections** The following table contains figures for historical transient occupancy tax collections on a fiscal year basis from July 2012 through June 2017 for the existing city of Chino Hills’ hotel market. | Year | Annual TOT Collected | Percent Change | |------------|----------------------|----------------| | 2012/13 | $649,807 | N/A | | 2013/14 | 770,469 | 18.6% | | 2014/15 | 928,703 | 20.5 | | 2015/16 | 1,011,338 | 8.9 | | 2016/17 | 1,080,990 | 6.9 | | CAAG | 10.7% | | Source: City of Chino Hills **Existing Chino Hills’ Hotel Market Transient Occupancy Tax Collections** The following table presents the estimated transient occupancy tax collection for the existing city of Chino Hills’ three hotels (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) based on our projections from Scenario A without any hotel additions to the market. It should be noted that the projections for TOT and the proposed additions to supply presented herein are estimates based upon our understanding of the local market. These estimates should not be relied upon by the City of Chino Hills or any other party as results that will actually be achieved without further study and a more detailed analysis. | Fiscal Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | RevPAR | Percent Change | TOT* | Percent Revenue Change | |-------------|---------------|----------------|----------------|----------------|------------------|--------------------|-----------------|--------|-----------------------|------|------------------------| | 2018/19 | 119,355 | N/A | 94,650 | N/A | 79% | $124.00 | N/A | $98.33 | N/A | $1,174,000 | N/A | | 2019/20 | 119,355 | 0.0% | 93,450 | -1.3% | 78 | 127.50 | 2.8% | 99.83 | 1.5% | 1,191,000 | 1.4% | | 2020/21 | 119,355 | 0.0 | 92,900 | -0.6 | 78 | 131.00 | 2.7 | 101.96 | 2.1 | 1,217,000 | 2.2 | | 2021/22 | 119,355 | 0.0 | 92,900 | 0.0 | 78 | 135.00 | 3.1 | 105.08 | 3.1 | 1,254,000 | 3.0 | | 2022/23 | 119,355 | 0.0 | 92,900 | 0.0 | 78 | 139.00 | 3.0 | 108.19 | 3.0 | 1,291,000 | 3.0 | | 2023/24 | 119,355 | 0.0 | 92,900 | 0.0 | 78 | 143.50 | 3.2 | 111.69 | 3.2 | 1,333,000 | 3.3 | | CAAG | 0.0% | -0.3% | | | 2.5% | | 2.1% | | | | | *Rounded and does not include TOT collection for exemptions, penalties, & interest charges Source: CBRE Hotels The following table presents the estimated transient occupancy tax collection for the existing city of Chino Hills’ hotel market (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) based on our projections from Scenario B with the impact from the TownePlace Suites. Table 12: Projected Market Performance of City of Chino Hills’ Hotel Market – Scenario B | Fiscal Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | RevPAR | TOT* Revenue | % Change | |-------------|---------------|----------------|----------------|----------------|------------------|-------------------|--------|--------------|----------| | 2018/19 | 119,355 | N/A | 93,700 | N/A | 79% | $122.00 | $95.78 | $1,143,000 | N/A | | 2019/20 | 119,355 | 0.0% | 92,250 | -1.5% | 77 | $125.00 | 96.61 | 1,153,000 | 0.9% | | 2020/21 | 119,355 | 0.0% | 91,900 | -0.4 | 77 | $129.00 | 99.33 | 1,186,000 | 2.9% | | 2021/22 | 119,355 | 0.0% | 91,900 | 0.0 | 77 | $133.00 | 102.41 | 1,222,000 | 3.0% | | 2022/23 | 119,355 | 0.0% | 91,900 | 0.0 | 77 | $137.00 | 105.49 | 1,259,000 | 3.0% | | 2023/24 | 119,355 | 0.0% | 91,900 | 0.0 | 77 | $141.00 | 108.57 | 1,296,000 | 2.9% | | CAAG | 0.0% | -0.3% | | | | 2.4% | 2.1% | 2.1% | | *Rounded and does not include TOT collection for exemptions, penalties, & interest charges Source: CBRE Hotels The following table presents the estimated transient occupancy tax collection for the existing city of Chino Hills’ hotel market (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) based on our projections from Scenario C with the impact from both hotel additions (TownePlace Suites and Holiday Inn Express). Table 13: Projected Market Performance of City of Chino Hills’ Hotel Market – Scenario C | Fiscal Year | Annual Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | RevPAR | TOT* Revenue | % Change | |-------------|---------------|----------------|----------------|----------------|------------------|-------------------|--------|--------------|----------| | 2018/19 | 119,355 | N/A | 93,700 | N/A | 79% | $122.00 | $95.78 | $1,143,000 | N/A | | 2019/20 | 119,355 | 0.0% | 88,800 | -3.7% | 74 | $123.50 | 91.88 | 1,097,000 | -4.0% | | 2020/21 | 119,355 | 0.0 | 89,450 | 0.7 | 75 | $127.00 | 95.18 | 1,136,000 | 3.6 | | 2021/22 | 119,355 | 0.0 | 90,900 | 1.6 | 76 | $131.00 | 99.77 | 1,191,000 | 4.8 | | 2022/23 | 119,355 | 0.0 | 90,900 | 0.0 | 76 | $135.00 | 102.82 | 1,227,000 | 3.0 | | 2023/24 | 119,355 | 0.0 | 90,900 | 0.0 | 76 | $139.00 | 105.86 | 1,264,000 | 3.0 | | CAAG | 0.0% | -0.5% | | | | 2.2% | 1.7% | 1.7% | | *Rounded and does not include TOT collection for exemptions, penalties, & interest charges Source: CBRE Hotels Utilizing the preceding tables, we’ve summarized the hypothetical difference in the estimated TOT to be collected from the existing three Chino Hills hotels (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) under Scenario A, Scenario B, and Scenario C. Table 14: Estimated TOT Collections from the Existing Three City of Chino Hills Hotels | Fiscal Years (July-June) | Scenario A | Scenario B | Scenario C | Difference of TOT Collected (A and C) | Percent Change | |--------------------------|------------|------------|------------|--------------------------------------|----------------| | 2018/19 | $1,154,000 | $1,143,000 | $1,143,000 | ($31,000) | N/A | | 2019/20 | $1,187,000 | $1,153,000 | $1,097,000 | ($94,000) | -2.6% | | 2020/21 | $1,220,000 | $1,186,000 | $1,136,000 | ($81,000) | -7.9% | | 2021/22 | $1,257,000 | $1,222,000 | $1,191,000 | ($63,000) | -6.7% | | 2022/23 | $1,294,000 | $1,259,000 | $1,227,000 | ($64,000) | -5.0% | | 2023/24 | $1,336,000 | $1,296,000 | $1,264,000 | ($69,000) | -5.0% | | Total Difference | | | | ($402,000) | | Source: CBRE Hotels Absolute Transient Occupancy Tax Collections While annual TOT collections from the existing hotel market is expected to moderately decrease, the addition of the TownePlace Suites and the Holiday Inn Express hotels are expected to increase absolute TOT collections to the City of Chino Hills. The following tables include presumed operating figures in occupancy and average daily rate of the TownePlace Suites and Holiday Inn Express to demonstrate the potential increase of TOT collections from the subject hotels based on estimates and assumptions. These estimates and assumptions are subject to uncertainty and variation, we do not present them as results that will actually be achieved. Further, our analysis has been conscientiously prepared on the basis of information obtained during the course of this assignment including our discussion with the developer, the potential management company, brand representatives, and our general knowledge in the industry. Table 15: TownePlace Suites (116 Rooms) – July 2018 Opening | Year | Occ | ADR | RevPAR | TOT (Rounded) | |------|-------|--------|--------|---------------| | 2018 | 72% | $138.00| $99.36 | $421,000 | | 2019 | 76 | 142.00 | 108.03 | 457,000 | | 2020 | 80 | 146.00 | 117.12 | 496,000 | | 2021 | 80 | 151.00 | 120.64 | 511,000 | | 2022 | 80 | 155.00 | 124.26 | 526,000 | | 2023 | 80 | 160.00 | 127.98 | 542,000 | | 2024 | 80 | 165.00 | 131.82 | 558,000 | Source: CBRE Hotels Table 16: Holiday Inn Express (120 Rooms) – July 2019 Opening | Year | Occ | ADR | RevPAR | TOT (Rounded) | |------|-------|--------|--------|---------------| | 2018 | - | - | - | - | | 2019 | 70% | $140.00| $98.00 | $429,000 | | 2020 | 74 | 144.00 | 106.71 | 467,000 | | 2021 | 78 | 149.00 | 115.85 | 507,000 | | 2022 | 78 | 153.00 | 119.33 | 523,000 | | 2023 | 78 | 158.00 | 122.91 | 538,000 | | 2024 | 78 | 162.00 | 126.59 | 554,000 | Source: CBRE Hotels The following table includes our estimated transient occupancy tax collections on a fiscal year basis (July – June) from the estimated projections of the TownePlace Suites and the Holiday Inn Express. For the purpose of this analysis, we have taken half the estimated TOT collections of each calendar each to calculate the estimated fiscal year TOT collections. Table 17: Estimated Fiscal TOT Calculation (from TownePlace Suites) | Year | TOT (Rounded) | |---------------|---------------| | 2018/19 | $439,000 | | 2019/20 | 476,500 | | 2020/21 | 503,500 | | 2021/22 | 518,500 | | 2022/23 | 534,000 | | 2023/24 | 550,000 | Source: CBRE Hotels Table 18: Estimated Fiscal TOT Calculation (from TownePlace Suites and Holiday Inn Express) | Year | TOT | |------------|--------------| | 2018/19 | $439,000 | | 2019/20 | 925,000 | | 2020/21 | 990,500 | | 2021/22 | 1,033,500 | | 2022/23 | 1,064,500 | | 2023/24 | 1,096,000 | Source: CBRE Hotels To derive at our absolute TOT collections for the City of Chino Hills, we have added our estimated TOT collections of the three existing Chino Hills hotels from each scenario and added the estimated fiscal year TOT collections from the TownePlace Suites and the Holiday Inn Express. The following table includes our estimated TOT collections as well as the difference in TOT collections from Scenario A, which includes no additions to the Chino Hills’ hotel market and Scenario C, which includes the addition of the TownePlace Suites and the Holiday Inn Express. Table 19: Total Estimated TOT Collections for City of Chino Hills’ Hotel Market Fiscal Years (July-June) | Year | Annual TOT* | Percent Change | |------------|-------------|----------------| | | Scenario A | Scenario B | Scenario C | Difference (A and C) | | | 2018/19 | $1,154,000 | $1,582,000 | $1,582,000 | $408,000 | 34.8% | | 2019/20 | 1,187,000 | 1,629,500 | 2,022,000 | 831,000 | 69.8 | | 2020/21 | 1,220,000 | 1,689,500 | 2,127,000 | 910,000 | 74.8 | | 2021/22 | 1,257,000 | 1,740,500 | 2,225,000 | 971,000 | 77.4 | | 2022/23 | 1,294,000 | 1,793,000 | 2,292,000 | 1,001,000 | 77.5 | | 2023/24 | 1,336,000 | 1,846,000 | 2,360,000 | 1,027,000 | 77.0 | | Total | | | | $5,148,000 | | *Rounded and does not include TOT collection for timeshare, penalties, & interest charges Source: CBRE Hotels Conclusions We anticipate the addition of the TownePlace Suites to slightly impact the existing city of Chino Hills’ hotel market and the addition of the Holiday Inn Express to result in a greater level of impact. Although transient occupancy tax collections are estimated to decrease from the existing three hotels, the addition of the TownePlace Suites and the Holiday Inn Express are anticipated to increase TOT collections on an absolute basis. This is due to the additional supply, the anticipated positioning of the TownePlace Suites and Holiday Inn Express, and increased demand in the area induced by these hotels. The TOT collections from the existing Chino Hills’ hotel market (Hampton Inn & Suites, Hotel Chino Hills, and Ayres Hotel) are estimated to decrease by approximately $402,000 from July 2018 through June 2024 as shown in the preceding table; however, the difference of the absolute TOT collections from Scenario A and Scenario C is estimated to be a positive approximately $5.1 million from July 2018 through June 2024, which more than mitigates the TOT collection decrease on the existing Chino Hills’ hotel market. Addendum A Terms and Limiting Conditions TERMS AND CONDITIONS 1. 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Such charges include and pertain to, but are not limited to, time spent in preparing for and providing court room testimony, depositions, travel time, mileage and related travel expenses, waiting time, document review and production, and preparation time (excluding preparation of the Consulting Report), meeting participation, and Consultant’s other related commitment of time and expertise. Hourly charges and other fees for such participation will be provided upon request. In the event Client requests additional consulting services beyond the scope and purpose stated in the Agreement, Client agrees to pay additional fees for such services and to reimburse related expenses, whether or not the completed report has been delivered to Client at the time of such request. 4. Consultant shall have the right to terminate this Agreement at any time for cause effective immediately upon written notice to Client on the occurrence of fraud or the willful misconduct of Client, its employees or agents, or without cause upon 30 days written notice. 5. In the event Client fails to make payments when due then, from the date due until paid, the amount due and payable shall bear interest at the maximum rate permitted in the state where the office is located for the Consultant executing the Agreement. In the event either party institutes legal action against the other to enforce its rights under this Agreement, the prevailing party shall be entitled to recover its reasonable attorney’s fees and expenses. Each party waives the right to a trial by jury in any action arising under this Agreement. 6. Consultant assumes there are no major or significant items or issues affecting the Property that would require the expertise of a professional building contractor, engineer, or environmental consultant for Consultant to prepare a valid report. Client acknowledges that such additional expertise is not covered in the Consulting Services fee and agrees that, if such additional expertise is required, it shall be provided by others at the discretion and direction of the Client, and solely at Client’s additional cost and expense. 7. In the event of any dispute between Client and Consultant relating to this Agreement, or Consultant’s or Client’s performance hereunder, Consultant and Client agree that such dispute shall be resolved by means of binding arbitration in accordance with the commercial arbitration rules of the American Arbitration Association, and judgment upon the award rendered by an arbitrator may be entered in any court of competent jurisdiction. Depositions may be taken and other discovery obtained during such arbitration proceedings to the same extent as authorized in civil judicial proceedings in the state where the office of the Consultant executing this Agreement is located. The arbitrator shall be limited to awarding compensatory damages and shall have no authority to award punitive, exemplary or similar damages. The prevailing party in the arbitration proceeding shall be entitled to recover its expenses from the losing party, including costs of the arbitration proceeding, and reasonable attorney’s fees. Client acknowledges that Consultant is being retained hereunder as an independent contractor to perform the services described herein and nothing in this Agreement shall be deemed to create any other relationship between Client and Consultant. This engagement shall be deemed concluded and the services hereunder completed upon delivery to Client of the Consulting Report discussed herein. 8. All statements of fact in the report which are used as the basis of the Consultant’s analyses, opinions, and conclusions will be true and correct to Consultant’s actual knowledge and belief. Consultant does not make any representation or warranty, express or implied, as to the accuracy or completeness of the information or the condition of the Property furnished to Consultant by Client or others. The conclusions and any permitted reliance on and use of the Consulting Report shall be subject to the assumptions, limitations, and qualifying statements contained in the report. 9. Consultant shall have no responsibility for legal matters, including zoning, or questions of survey or title, soil or subsoil conditions, engineering, or other similar technical matters. The report will not constitute a survey of the Property analyzed. 10. Client shall provide Consultant with such materials with respect to the assignment as are requested by Consultant and in the possession or under the control of Client. Client shall provide Consultant with sufficient access to the Property to be analyzed, and hereby grants permission for entry unless discussed in advance to the contrary. 11. The data gathered in the course of the assignment (except data furnished by Client) and the report prepared pursuant to the Agreement are, and will remain, the property of Consultant. With respect to data provided by Client, Consultant shall not violate the confidential nature of the Consultant-Client relationship by improperly disclosing any proprietary information furnished to Consultant. Notwithstanding the foregoing, Consultant is authorized by Client to disclose all or any portion of the report and related data as may be required by statute, government regulation, legal process, or judicial decree, including to appropriate representatives of the Appraisal Institute if such disclosure is required to enable Consultant to comply with the Bylaws and Regulations of such Institute as now or hereafter in effect. 12. Unless specifically noted, in preparing the Consulting Report the Consultant will not be considering the possible existence of asbestos, PCB transformers, or other toxic, hazardous, or contaminated substances and/or underground storage tanks (collectively, “Hazardous Material) on or affecting the Property, or the cost of encapsulation or removal thereof. Further, Client represents that there is no major or significant deferred maintenance of the Property that would require the expertise of a professional cost estimator or contractor. If such repairs are needed, the estimates are to be prepared by others, at Client’s discretion and direction, and are not covered as part of the Consulting fee. 13. In the event Client intends to use the Consulting Report in connection with a tax matter, Client acknowledges that Consultant provides no warranty, representation or prediction as to the outcome of such tax matter. Client understands and acknowledges that any relevant taxing authority (whether the Internal Revenue Service or any other federal, state or local taxing authority) may disagree with or reject the Consulting Report or otherwise disagree with Client’s tax position, and further understands and acknowledges that the taxing authority may seek to collect additional taxes, interest, penalties or fees from Client beyond what may be suggested by the Consulting Report. Client agrees that Consultant shall have no responsibility or liability to Client or any other party for any such taxes, interest, penalties or fees and that Client will not seek damages or other compensation from Consultant relating to any such taxes, interest, penalties or fees imposed on Client, or for any attorneys’ fees, costs or other expenses relating to Client’s tax matters. 14. Consultant shall have no liability with respect to any loss, damage, claim or expense incurred by or asserted against Client arising out of, based upon or resulting from Client’s failure to provide accurate or complete information or documentation pertaining to an assignment ordered under or in connection with this Agreement, including Client’s failure, or the failure of any of Client’s agents, to provide a complete copy of the Consulting Report to any third party. 15. LIMITATION OF LIABILITY. EXCEPT TO THE EXTENT ARISING FROM SECTION 16 BELOW, OR SECTION 17 IF APPLICABLE, IN NO EVENT SHALL EITHER PARTY OR ANY OF ITS AFFILIATE, OFFICERS, DIRECTORS, EMPLOYEES, AGENTS, OR CONTRACTORS BE LIABLE TO THE OTHER, WHETHER BASED IN CONTRACT, WARRANTY, INDEMNITY, NEGLIGENCE, STRICT LIABILITY OR OTHER TORT OR OTHERWISE, FOR ANY SPECIAL, CONSEQUENTIAL, PUNITIVE, INCIDENTAL OR INDIRECT DAMAGES, AND AGGREGATE DAMAGES IN CONNECTION WITH THIS AGREEMENT FOR EITHER PARTY (EXCLUDING THE OBLIGATION TO PAY THE FEES REQUIRED HEREUNDER) SHALL NOT EXCEED THE GREATER OF THE TOTAL FEES PAYABLE TO CONSULTANT UNDER THIS AGREEMENT OR TEN THOUSAND DOLLARS ($10,000). THIS LIABILITY LIMITATION SHALL NOT APPLY IN THE EVENT OF A FINAL FINDING BY AN ARBITRATOR OR A COURT OF COMPETENT JURISDICTION THAT SUCH LIABILITY IS THE RESULT OF A PARTY’S FRAUD OR WILLFUL MISCONDUCT. 16. Client shall not disseminate, distribute, make available or otherwise provide any Consulting Report prepared hereunder to any third party (including without limitation, incorporating or referencing the Consulting Report, in whole or in part, in any offering or other material intended for review by other parties) except to (i) any third party expressly acknowledged in a signed writing by Consultant as an “Intended User” of the Consulting Report provided that either Consultant has received an acceptable release from such third party with respect to such Consulting Report or Client provides acceptable indemnity protections to Consultant against any claims resulting from the distribution of the Consulting Report to such third party, (ii) any third party service provider (including rating agencies and Client’s auditors) using the Consulting Report in the course of providing services for the sole benefit of Client, or (iii) as required by statute, government regulation, legal process, or judicial decree. In the event Consultant consents, in writing, to Client incorporating or referencing the Consulting Report in any offering or other materials intended for review by other parties, Client shall not distribute, file, or otherwise make such materials available to any such parties unless and until Client has provided Consultant with complete copies of such materials and Consultant has approved all such materials in writing. Client shall not modify any such materials once approved by Consultant. In the absence of satisfying the conditions of this paragraph with respect to a party who is not designated as an Intended User, in no event shall the receipt of an Consulting Report by such party extend any right to the party to use and rely on such report, and Consultant shall have no liability for such unauthorized use and reliance on any Consulting Report. In the event Client breaches the provisions of this paragraph, Client shall indemnify, defend and hold Consultant, and its affiliates and their officers, directors, employees, contractors, agents and other representatives (Consultant and each of the foregoing an “Indemnified Party” and collectively the “Indemnified Parties”), fully harmless from and against all losses, liabilities, damages and expenses (collectively, “Damages”) claimed against, sustained or incurred by any Indemnified Party arising out of or in connection with such breach, regardless of any negligence on the part of any Indemnified Party in preparing the Consulting Report. 17. In the event Client incorporates or references the Consulting Report, in whole or in part, in any offering or other material intended for review by other parties, Client shall indemnify, defend and hold each of the Indemnified Parties harmless from and against any Damages in connection with (i) any transaction contemplated by this Agreement or in connection with the consulting report or the engagement of or performance of services by any Indemnified Party hereunder, (ii) any actual or alleged untrue statement of a material fact, or the actual or alleged failure to state a material fact necessary to make a statement not misleading in light of the circumstances under which it was made with respect to all information furnished to any Indemnified Party or made available to a prospective party to a transaction, or (iii) an actual or alleged violation of applicable law by Client (including, without limitation, securities laws) or the negligent or intentional acts or omissions of Client (including the failure to perform any duty imposed by law); and will reimburse each Indemnified Party for all reasonable fees and expenses (including fees and expenses of counsel) (collectively, “Expenses”) as incurred in connection with investigating, preparing, pursuing or defending any threatened or pending claim, action, proceeding or investigation (collectively, “Proceedings”) arising therefrom, and regardless of whether such Indemnified Party is a formal party to such Proceeding. Client agrees not to enter into any waiver, release or settlement of any Proceeding (whether or not any Indemnified Party is a formal party to such Proceeding) without the prior written consent of Consultant (which consent will not be unreasonably withheld or delayed) unless such waiver, release or settlement includes an unconditional release of each Indemnified Party from all liability arising out of such Proceeding. 18. Time Period for Legal Action. Unless the time period is shorter under applicable law, except in connection with paragraphs 16 and 17 above, Consultant and Client agree that any legal action or lawsuit by one party against the other party or its affiliates, officers, directors, employees, contractors, agents, or other representatives, whether based in contract, warranty, indemnity, negligence, strict liability or other tort or otherwise, relating to (a) this Agreement or the Consulting Report, (b) any services or consulting reports under this Agreement or (c) any acts or conduct relating to such services or consulting reports, shall be filed within two (2) years from the date of delivery to Client of the Consulting Report to which the claims or causes of action in the legal action or lawsuit relate. The time period stated in this section shall not be extended by any incapacity of a party or any delay in the discovery or accrual of the underlying claims, causes of action or damages. Addendum B Key Definitions KEY DEFINITIONS: The following definitions were provided by STR Global, a global benchmarking and analytics firm in the hospitality industry. **Average Daily Rate (ADR)** - A measure of the average rate paid for rooms sold, calculated by dividing room revenue by rooms sold. \[ \text{ADR} = \frac{\text{Room Revenue}}{\text{Rooms Sold}} \] **Demand** - The number of rooms sold in a specified time period (excludes complimentary rooms). **Meeting Space** - Space designed for catering and banquet events, used for meal functions and meeting room sets and physically located on the property. **Occupancy (Occ)** - Percentage of available rooms sold during a specified time period. Occupancy is calculated by dividing the number of rooms sold by rooms available. \[ \text{Occupancy} = \frac{\text{Rooms Sold}}{\text{Rooms Available}} \] **Percent Change (% Chg.)** - The amount of growth - positive, negative, or flat - expressed as a percentage comparing a period versus the same period last year. Calculated as $(\frac{\text{This Year} - \text{Last Year}}{\text{Last Year}}) \times 100$. **Revenue (Room Revenue)** - Total room revenue generated from the guestroom rentals or sales. Refer to Data Reporting Guidelines for more specific application. **Revenue Per Available Room (RevPAR)** - Total room revenue divided by the total number of available rooms. See Room Revenue, Rooms Available. \[ \text{Room Revenue/Rooms Available} = \text{RevPAR} \] **Rooms Available (Room Supply)** - The number of rooms in a hotel or set of hotels multiplied by the number of days in a specified time period. Annual Supply Example: 100 rooms in subject hotel x 365 days in the year = Annual Room Supply of 36,500 for the year. January 24, 2019 City of Chino Hills Community Development Department Attn: Michael Hofflinger, Senior Planner 14000 City Center Drive Chino Hills, CA 91710 Dear Mr. Hofflinger Pursuant to the request by members of the Planning Commission, we are pleased to submit this supplemental letter relative to the hotel developments at The Rincon in the City of Chino Hills. Specifically, CBRE Hotels Advisory has been further engaged to study the potential impact of three additional hotel properties in Pomona on the City of Chino Hills’ lodging market. Additionally, we have further defined and expounded on our understanding of the local market and identified the level to which the City of Chino Hills’ hotel market is competitive with other municipalities in the general area. To obtain data on current conditions, market mix, and likely future results, we conducted primary research in the area including interviews with representatives of the competitive hotels, real estate professionals, and representatives of various local governmental and planning entities. Moreover, we arrived at our conclusions as a result of our fieldwork, knowledge of the local lodging market, and our review of market supply and demand. This analysis is subject to the Terms and Conditions presented in our prior study dated, April 24, 2018. We would be pleased to hear from you if we can be of further assistance in the interpretation of our findings and conclusions. Sincerely, Jeff Lugosi, CRE, MAI, FRICS, ISHC Managing Director Brandon Feighner Director ADDITIONAL POMONA HOTELS Our most recent report to the City of Chino Hills was submitted to the Community Development Department (CDD) in October 2018. Our report was utilized by the CDD as a part of their presentation to the City of Chino Hills Planning Commission on November 6, 2018. At the November 6th meeting, members of the Planning Commission expressed a potential concern that new hotels being developed outside the City of Chino Hills may negatively impact the performance of the existing Chino Hills’ lodging market. As such we have conducted additional detailed market research with principals involved with each of the three projects in question. More specifically, the three hotel developments considered in our supplemental analysis include: 1. **DoubleTree by Hilton Pomona** The DoubleTree by Hilton Pomona opened in March 2018 and is located at 3101 West Temple Avenue. The property was formerly the Hilltop Suites Pomona and was purchased from a seller out of a foreclosure auction by SCG America in 2014. After undergoing an extensive multi-million-dollar renovation, the hotel reopened as the DoubleTree Pomona. The hotel includes 132 guestrooms, Vita Bar & Grill, 24-hour fitness center, outdoor swimming pool and whirlpool spa, and approximately 8,000 square feet of event space. 2. **Hilton Garden Inn Pomona – Rio Rancho Towne Center** The Hilton Garden Inn Pomona is currently being constructed at the Rio Rancho Towne Center along Rancho Valley Drive adjacent to the 71-Freeway. The 149-room hotel is anticipated to consist of five stories and include a restaurant with a bar, approximately 3,000 square feet of banquet space, a fitness room, outdoor patio, and a swimming pool. The hotel is part of a master plan by Lewis Management to complement the existing retail center. Construction of the hotel began in August 2018 and is expected to take approximately 14 to 18 months to complete. 3. **Hyatt House/Hyatt Place Pomona – Pomona Ranch Plaza** A dual-branded Hyatt House Hotel and Hyatt Place Hotel is being proposed at the southern end of the Pomona Ranch Plaza. The plaza consists of 72 acres with a Wal-Mart, WinCo Foods Supermarket, retail space, and office space. Original plans for the dual-branded hotel totaled 200 rooms as well as a banquet hall. Developer YK America is seeking to increase the number of rooms to 170 for the Hyatt Place and 110 for the Hyatt House. The site is still being graded and plans have not yet been finalized. The following page includes a map of the three aforementioned hotels as well as the Rincon Development in the City of Chino Hills. Generally, the three hotels are located approximately seven to ten miles northwest of The Rincon with a drive time of approximately 20 to 30 minutes during peak periods. Map of Additional Pomona Hotels The Rincon Development SUMMARY OF FINDINGS: Based on our research, we are of the opinion that the additional Pomona hotels will have minimal to no impact on the existing Chino Hills’ hotel market primarily due to the three reasons presented further herein. Our determination of impact is based on the following findings. 1. **Brand Representation/Differentiation:** The hotel brands currently represented in the City of Chino Hills include Hampton Inn & Suites by Hilton, Ayres Hotels, TownePlace Suites by Marriott, and the Hotel Chino Hills with independent affiliation. Additionally, the second proposed hotel at The Rincon is anticipated to be branded as a Holiday Inn Express by InterContinental Hotel Group. The brands of the three additional Pomona hotels do not currently exist in the local competitive market including the City of Chino Hills. These hotels are anticipated to generate demand from their loyalty base and membership program including guests that may have not previously stayed in the local market. While the DoubleTree and Hilton Garden Inn in Pomona are/will be affiliated with the same Hilton Honors membership program as the Hampton Inn & Suites in Chino Hills, these brands all have distinct differences in the services and amenities offered; i.e., the Hampton Inn brand features limited facilities and amenities, whereas the DoubleTree brand typically features one or more full-service restaurants and meeting and banquet facilities. The brands of the three additional Pomona hotels are described as follows: **DoubleTree by Hilton** As part of Hilton Hotel and Resorts, the DoubleTree brand benefits from its connection with the award-winning Hilton Honors loyalty program which currently hosts more than 70 million members. The DoubleTree by Hilton brand offers warm, comfortable, and friendly design and service to guests around the world. Amenities like the Sweet Dreams sleep experience, Wake-up DoubleTree Breakfast buffet, and spacious workout facilities target corporate and leisure travelers to this upscale lodging chain. **Hilton Garden Inn Brand by Hilton** The Hilton Garden Inn brand by Hilton serves as the upscale, mid-priced lodging chain in Hilton’s portfolio of hotels. The brand features designs and amenities to serve both corporate and leisure travelers. Amenities found in Hilton Garden Inn hotels typically include: a lobby seating area, an on-site restaurant, pool, fitness center, business center, and a 24-hour “Pavilion Pantry” for guests to purchase snacks, drinks, and sundries. **Hyatt House/Hyatt Place by Hyatt Hotels:** The proposed hotel at the Pomona Ranch Plaza will consist of two brands, Hyatt House and Hyatt Place by Hyatt Hotels. Guests of these brands are able to participate in World of Hyatt, the chain’s loyalty program. Hyatt House hotels are upscale, residential-style hotels that offer contemporary apartment-style suites. Spacious studio and one-bedroom suites include full kitchens, comfortable living rooms, large bedrooms and stylish bathrooms. Typical features include the Morning Spread breakfast with made-to-order omelets, H BAR with menu and full bar, the Guest Market, a workout room, laundry facilities and a business center. Hyatt Place is Hyatt Hotels’ upscale, select-service hotel brand, originally launched in 2007. Hyatt Place is targeted specifically to mid-to-upper income Gen X business travelers and individual guests who expect modern conveniences and product design; the brand strives to create a comfortable yet high-tech environment to accommodate guests’ multi-tasking lifestyles. Amenities found in Hyatt Place properties include: a lobby lounge featuring Hyatt’s “Gallery Host” model with spacious gathering areas and an “e-room” with complimentary access to computers and printers; complimentary high-speed wireless internet connection; swimming pool; flexible workspace in guestrooms; 24-hour “Stayfit” fitness centers; “Kitchen Skillet” breakfast; “Grab ‘n Go” case; a 24/7 Gallery dining menu; and a Bakery Café with Starbucks coffee offerings. 2. Year-To-Date Hotel Market Performance: The following table includes the overall competitive properties that were selected in our original analysis based on their facilities, location, market performance and orientation, property rating, and rate structure. Hypothetically and as a point of comparison, we have included the 132-room DoubleTree Pomona into our previously defined competitive market in order to analyze year-to-date performance before and after the property opening. This analysis is being evaluated to determine the impact (if any) of the recently opened DoubleTree on the competitive hotel market that was used in our original study and to demonstrate the difference in overall market performance. It should be noted that the under-construction Hilton Garden Inn and the proposed Hyatt House/Hyatt Place in Pomona have not been included as these hotels are not yet open. | Number | Property | Number of Rooms | |--------|---------------------------------|-----------------| | 1 | Hampton Inn & Suites Chino Hills| 104 | | 2 | Ayres Hotel Chino Hills | 124 | | 3 | Hotel Chino Hills | 99 | | 4 | Holiday Inn Select Diamond Bar | 175 | | 5 | Ayres Suites Diamond Bar | 101 | | 6 | Sheraton Suites Fairplex Pomona | 247 | | 7 | Residence Inn Corona | 95 | | 8 | Fairfield Inn Corona | 96 | | 9 | SpringHill Suites Corona | 130 | | 10 | DoubleTree Pomona (March 2018 Opening) | 132 | | | Competitive Market Total | 1,301 | Additionally, as described in our original study, there are other lodging facilities within the market area such as those in the City of Chino that may be considered secondarily competitive and have not been included in our analysis due to market orientation, average rate, and/or location. As an example, a lodging facility that has an average rate of roughly half that of the competitive market average would generally not be deemed competitive or affect the overall market performance of this set. The aggregate average annual available and occupied rooms, resulting occupancy levels, average daily rate (ADR), and revenue per available room (RevPAR or Average Daily Rate multiplied by Occupancy) for this sample set for year-to-date through November 2018 compared to the same period in the previous year are presented in the following table. Table 1. | Year | Total Supply | Percent Change | Occupied Rooms | Percent Change | Market Occupancy | Average Daily Rate | Percent Change | REVPAR | Percent Change | |------------|--------------|----------------|----------------|----------------|------------------|--------------------|----------------|--------|----------------| | 11/17 YTD | 390,446 | N/A | 299,538 | N/A | 76.7% | $125.69 | N/A | $96.42 | N/A | | 11/18 YTD | 424,634 | 8.8% | 336,764 | 12.4% | 79.3 | 128.73 | 2.4% | 102.09 | 5.9% | Source: CBRE Hotels As can be seen in the preceding table, the overall competitive market has increased 8.8 percent in terms of annual supply with the March 2018 opening of the 132-room DoubleTree in Pomona. Demand, as demonstrated by occupied rooms, increased by 12.4 percent, which demonstrates the DoubleTree was more than absorbed within its first partial year of operations. Demand outpaced supply growth therefore resulting in an occupancy of 79.3 percent, greater than the occupancy of the same period in the previous year. Average daily rate has also increased by 2.4 percent year-to-date November 2018. This level of rate growth is consistent with the national average of 2.5 percent ADR growth in 2018. The growth in demand and average daily rate displays the on-going strength of the market and the potential for new supply to be absorbed as well. To further elaborate on the impact of the DoubleTree Pomona without isolating the hotel’s specific data, the supply of the hotel market from January 2017 to November 2017 (number of rooms available in the market on a year-to-date basis) totaled 390,446 prior to the opening of the DoubleTree. During the same period, the number of occupied rooms totaled 299,538. As the DoubleTree Pomona opened in March 2018 and was introduced into the overall market, the supply of hotel rooms increased accordingly. Most importantly, the number of occupied rooms increased by a greater percentage than the level of new supply added, resulting in an occupancy of 79.3 percent. The increase in this key metric indicates that the overall market had actually improved and was positively impacted. If the DoubleTree Pomona had a negative impact to the competitive market, e.g., it cannibalized a material amount of demand from the Chino Hills hotels, we would have expected the year-to-date 2018 occupancy figure to have declined. Based on the historical data that actually occurred during the period of survey, this was clearly not the case. While we made several attempts to determine the level of new hotel supply entering the marketplace in our original analysis, it is impossible to determine every hotel that will be developed in the future, when they will be completed, or their potential impact to the Chino Hills’ lodging market. The inherent risk of any future new hotel supply had previously been considered in our determination of a long-term, stabilized occupancy level. The existing hotels in the City of Chino Hills’ had recently operated at occupancy levels near 80 percent and our long-term stabilized occupancy was projected to gradually ramp down to 76 percent to account for potential unforeseen additions to the market, including hotels such as those specifically noted herein. 3. Demand Generators/Competitive Market: Located further north on California State Route 71 and California State Route 57, the three additional hotels in Pomona are anticipated to compete primarily with the Cities of Ontario, Diamond Bar, Claremont, and Covina. This is attributed to the demand sources that are present in the markets surrounding the City of Pomona, especially in the City of Ontario. Additionally, the City of Pomona includes various State Routes providing accessibility to each of the aforementioned Cities. Larger sources of demand for the lodging market in the City of Pomona include: - Fairplex and Conference Center - California State Polytechnic University - Western University of Health Sciences - Pomona Valley Medical Center - Ontario International Airport - Claremont Colleges - Inland Empire’s Industrial/Office Market While the hotels located in the City of Chino Hills may on occasion compete for similar demand sources as the hotels in the City of Pomona, most of the demand is expected to come from other sources. Given its geography and major transportation routes, the demand for hotel rooms in the City of Chino Hills is generally derived from guests conducting business or visiting friends and family along the 71 Freeway. The City of Chino Hills’ lodging market also derives demand generated in the City of Corona given its accessibility via California State Route 71. Moreover, demand is also generated locally from sources such as displaced residents and corporate offices in the Cities of Chino Hills and Chino. To a lesser extent, demand for Chino Hills hotels is derived from Los Angeles County and Orange County as guests, especially international guests, visit other parts of the Southern California region. While there are several demand generators that overlap with hotels located in the City of Pomona and the City of Chino Hills, there are numerous demand generators that exist in the City of Chino Hills that do not generate demand in the City of Pomona. **CONCLUSION** Based on our research and the foregoing, we are of the opinion that the additional planned hotels in Pomona will have minimal to no impact on the existing City of Chino Hills’ lodging market. Specifically, the hotels of concern noted by the Planning Commission are anticipated to have minimal to no impact on our conclusions for the potential TOT collections of the Chino Hills hotel market. Our findings are based in part by the opening and ramp-up of the Doubletree Pomona, which opened in the beginning of 2018 and was more than absorbed by the local market within its first year of operations. Furthermore, the additional two hotels in varying stages of development do not alter the conclusions in our original report regarding the impact of the hotel developments at *The Rincon* on the rest of the Chino Hills’ hotels. The three hotels in Pomona are or will be branded as products that do not currently exist in the local market including the City of Chino Hills. Additionally, the November year-to-date performance of the local market displays positive growth and the potential to absorb new supply. Lastly, the primary demand generators and the competitive market for the hotels located in the City of Pomona vary from that of the hotels in the City of Chino Hill.

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Waterhead Moor - Muirshiel Wild Land Area Produced by the Geographical Information Group, SNH, September 2014 © Crown copyright and database rights 2014. Ordnance Survey 100017938 Waterhead Moor - Muirshiel is one of only three WLAs to the south of the Highland Boundary Fault, all of which are relatively isolated and small in extent (at 50 km$^2$ this is the smallest of all mainland WLAs). It consists of open, rolling plateau moorland which forms the high moorland core of the Clyde Muirshiel Regional Park, dissected by steep-sided glens and punctuated by several small but steep peaks. Lying less than 30 km from the centre of Glasgow it is the most accessible of all the WLAs and offers a wide range of recreational activities, attracting many visitors. Facilities include Muirshiel visitor centre, which lies nearby to the east and Greenock Cut visitor centre, further to the north. The disused barytes mine at Muirshiel is accessed by the heritage trail from the visitor centre and an off road driver training area is based in the same area.$^1$ The WLA lies partly within North Ayrshire and partly in Renfrewshire. The south western area forms part of a Special Landscape Character Area (SLCA)$^2$ and much of the area is included within the Renfrewshire Heights Special Protection Area. From within the WLA, its *extent* is generally obvious from the views of roads, settlements, forest plantations and infrastructure which surround and lie outwith it. Some narrow glens and lower-lying parts of the interior are more enclosed with fewer views, where the *extent* is less evident and the wild land qualities stronger. From outside the WLA, the rolling plateau is widely visible from the settled lowlands that surround it, forming a simple backdrop that contrasts strongly with the urbanised landscape. Misty Law is a distinctive landmark in wider views of the uplands from the east and the cluster of hills around Irish Law feature on the skyline in views from the west. Steep, often wooded slopes limit views from the west, from nearby settlements such as Largs and from the minor road that follows the Noddsdale Water, but the uplands within the centre of this WLA are widely visible from the Firth of Clyde and from the diverse, small scale landscape of the Garnock valley. Key attributes and qualities of the wild land area - **A wild land area with a surprisingly strong sense of naturalness** Much of the plateau is covered in wet moorland, consisting of a diverse mix of rough grassland, heather moorland and blanket mire, providing a strong *sense of naturalness*. Small lochans occur on areas of flatter ground and several steeply incised glens, such as those of Raith Burn and Greeto Water, dissect the plateau. Within these glens, rock outcrops, natural burns, waterfalls, broadleaved trees and luxuriant vegetation add to the *sense of naturalness*, unaffected by *contemporary land uses*. The plateau is also punctuated by well-defined, steep sided summits such as Misty Law, which provide a greater *sense of physical challenge*. Grassland tends to be more prominent on these drier slopes and the hills are often fringed by rocky crags and scree, adding to the *sense of naturalness*. Sheep grazing is evident and some of the lower-lying parts are also drained by parallel lines of ditches. There is no forestry within the WLA, although some forest plantations to the north east and south east and smaller conifer blocks amongst improved fields to the south of Muirshiel are visible from within. These signs of *contemporary land use* are not widespread and have a relatively localised effect upon the otherwise strong *sense of naturalness*. - **Few human elements within the WLA, in contrast to the surrounding landscape** The WLA is notable for the relative absence of *human artefacts and contemporary land use*, in sharp contrast to the lowland areas that surround it. The moorland is generally unenclosed, but a few post and wire fences cross the area, the most noticeable of these follows the county boundary. There are few obvious footpaths, but stone cairns mark the more prominent hills. Small timber posts and other markers dot the lower areas and some ATV tracks are evident, appearing to randomly cross the moorland. Together with signs of land drainage, these unobtrusive and isolated *human artefacts* have a limited effect on the overall *sense of remoteness and sanctuary*. A constructed track, which provides access to Misty Law (510 m) from the south east, has a more noticeable effect on these wild land qualities. Although there are few *human artefacts* within the WLA, various types of built development including wind farms outwith the WLA are visible from most of the area. From tops such as the Hill of Stake, human elements are visible in all directions, except to the south west towards Arran. To the north, several power lines are prominent in views towards Ben Lomond and the Arrochar Alps. Mining infrastructure, river engineering and tracks along the River Calder, Muirshiel visitor centre buildings and designated car parks have a localised but noticeable effect on the wild land qualities of the north western part of the WLA, especially near the former barytes mine track, where there are areas of hard standing, abandoned pipes, concrete abutments, palisade fencing and ground disturbance. Longer distance views towards the tower blocks of Glasgow, Helensburgh and other settlements along the Clyde valley also have a marked effect on the *sense of remoteness and sanctuary*, due to the extent of the view occupied by built development and the way in which buildings to the north tend to reflect sunlight, so making them more noticeable. From southern parts of the WLA the dispersed settlement pattern of the Ayrshire lowlands is evident beyond several reservoirs, with the cranes at Hunterston ore terminal and shipping on the Firth beyond, visible to the south west. At night, lighting within settlements is visible in most directions. The sound of traffic on the surrounding roads can be heard and the proximity of Glasgow airport results in regular overhead air traffic. These human elements have a noticeable effect on the *sense of remoteness and sanctuary* but encroach more where there is combined visibility of for example, nearby tracks and fences, power lines, forest plantations, wind turbines and settlements, or where they appear to encircle the WLA. - **An area where wild land qualities are restricted in extent, but which can be widely appreciated from the surrounding areas** From much of the interior, with the exception of the narrow incised glens, the relatively small *extent* of this WLA is evident from the surrounding human elements outwith the WLA, visible in all directions. There are also parts of the WLA where extensive views of rolling and deeply dissected moorland are possible, especially from the margins towards the interior, but these tend to be in the context of wider views containing settlements, infrastructure and forest plantations, which reduce the *sense of remoteness and sanctuary*. The restricted extent of the WLA and the predominantly gentle rolling moorland topography reduces the sense of risk, although burn crossings, bog holes and drainage ditches filled with vegetation provide a degree of physical challenge. Although the rolling moorland is not generally arresting, from the hill tops there are some extensive and inspiring panoramas over the Firth of Clyde to the islands of Cumbrae, Bute and Arran and of Ben Lomond and the Arrochar Alps. The smooth moorland hills form a comparatively rugged backdrop to the surrounding settled and urbanised lowlands, and large numbers of people are consequently able to experience this wild land quality as they move around the surrounding area. Whereas the sharp contrast between the WLA and its surroundings adds value to the area as a recreational resource, the proximity to the settled landscape, ease of access and relatively small extent of the area combine to limit the sense of remoteness and the potential for solitude. Endnotes 1 http://www.clydemuishiel.co.uk accessed February 2014 2 Designated by North Ayrshire Council Site assessment carried out November 2013

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Biosorption and Bioaccumulation Capacity of *Arthospira platensis* toward Europium Ions Nikita Yushin 1,2, Inga Zinicovscaia 1,3,4,*†, Liliana Cepoi 5, Tatiana Chiriac 5, Ludmila Rudi 5‡ and Dmitrii Grozdv 1§ 1 Joint Institute for Nuclear Research, 141980 Dubna, Russia; [email protected] (N.Y.); [email protected] (D.G.) 2 Doctoral School Biological, Geonomic, Chemical and Technological Science, State University of Moldova, MD-2006 Chisinau, Moldova 3 Horia Hulubei National Institute for R&D in Physics and Nuclear Engineering, 077125 Magurele, Romania 4 Institute of Chemistry, MD-2028 Chisinau, Moldova 5 Institute of Microbiology and Biotechnology, MD-2028 Chisinau, Moldova; [email protected] (L.C.); [email protected] (T.C.); [email protected] (L.R.) * Correspondence: [email protected]; Tel.: +7-4962165609 **Abstract:** Europium recovery from wastewater is determined by its high significance for industry and toxicity for living organisms. The capacity of cyanobacteria *Arthospira platensis* (*Spirulina*) to remove Eu(III) through biosorption and bioaccumulation was evaluated. In biosorption experiments, the effects of four variables pH, metal concentration, time, and temperature on metal removal were studied. In bioaccumulation experiments, the effect of Eu(III) concentrations on biomass bioaccumulation capacity and biochemical composition was assessed. The efficiency of Eu(III) uptake in both experiments was determined using ICP-AES techniques. Maximum biosorption of Eu(III) was achieved at pH 3.0. Equilibrium data fitted well with the Langmuir and Freundlich models, with maximum adsorption capacity of 89.5 mg/g. The pseudo-first-, pseudo-second-order, and Elovich models were found to correlate well with the experimental data. According to thermodynamic studies the sorption was feasible, spontaneous, and endothermic in nature. At addition of Eu(III) ions in the cultivation medium in concentrations of 10–30 mg/L, its accumulation in biomass was 9.8–29.8 mg/g (removal efficiency constituting 98–99%). Eu(III) did not affect productivity and content of carbohydrates and pigments in biomass but led to the decrease of the content of protein and an increase in the amount of MDA. The high Eu(III) biosorption and bioaccumulation efficiency of *Arthospira platensis* may constitute an effective and eco-friendly strategy to recover it from contaminated environment. **Keywords:** europium; removal; bioremediation; cyanobacteria 1. **Introduction** Eu(III), with a content of circa 0.000106% in earth, is one of the most critical rare earth elements [1]. Recently Eu(III) has been widely requested in the production of LED and LCD flat screen displays, batteries, fiber optics, portable wireless installations, superconductors, magnets, light emitting diodes and fluorescent lighting, and catalysts [2–4]. Beside wide application in industry, Eu(III) complexes are of interest for sensing and targeting specific DNA structures, bioimaging, melamine detection, and cellular imaging [3]. Eu(III) is also used in studies investigating trivalent metal ion surface interactions as a non-radioactive analog for Am(III) and Cm(III) due to complexities in dealing with transuranic elements [5]. In view of the high commercial value of Eu(III), it is important to apply innovative technologies to recover it from secondary resources, for example, electronic wastes or wastewater [4,6]. Equally important is the need to reduce the impact of Eu(III) ions on water, soil, agricultural crops, and consequently human health. It is known that Eu(III) can enter into reaction with biologically active compounds by replacing calcium, zinc, and magnesium irons [2,7]. High concentrations of europium resulted in the decrease of rat body, hyperkeratosis of the forestomach, and eosinocyte infiltration of the stomach submucosa [8]. Several methods are traditionally used for Eu(III) recovery, in particular solvent extraction, ion exchange, co-precipitation, electrochemical reduction, and leaching in sulfuric acid [4,9,10]. However, these techniques have several serious limitations, such as the requirement of large volumes of solvents and other chemicals, high energy consumption, and generation of large amount of hazardous waste products. They are usually time-consuming and labor-intensive [9,10]. As an alternative to the abovementioned techniques can be considered the application of biological objects (living or dead biomass). Use of biological objects for metal recovery has many advantages over the conventional methods, such as high sorption/accumulation capacity, ability of microorganisms to grow in polluted media for several life cycles and adaptation to high metals concentrations, applicability for remediation of dilute solutions, low price, low quantity of sewage sludge disposed, simple design of experiments, possibility of integration in existing schemes of wastewater treatment, and possibility of multiple use of biosorbents [10,11]. The use of biological object for Eu(III) sorption and accumulation has attracted interests in recent years. However, in comparison with heavy metals, the potential of biological sorbents for rare earth elements removal is not so well-scrutinized. Brown marine alga, *Turbinaria conoides*, was applied for lanthanum, cerium, europium, and ytterbium sorption [12]. *Sargassum polycystum* Ca-loaded biomass used for lanthanum, europium, and ytterbium sorption from single-component and multi-component batch systems showed the highest affinity for europium ions [13]. Bacteria *Bacillus thuringiensis* demonstrated excellent biosorption capacity (160 mg/g) toward Eu(III) (Pan et al. 2017). Equally good results were obtained when *Deinococcus radiodurans* was used for Eu(III) recovery from aquatic solutions [4]. Studying the bioaccumulation of Eu(III) by a thermophilic bacterium, *Thermus scotoductus* SA-01, authors revealed that strain can survive at Eu levels up to 1 mM [3]. The scope of the present study was to explore the biosorption and bioaccumulation potential of cyanobacteria *Arthospira (Spirulina) platensis* (*A. platensis*). To achieve the aim of the study the following objectives were addressed: (i) the effect of pH, initial Eu(III) concentration, time, and temperature on *A. platensis* sorption capacity was evaluated; (ii) the equilibrium, kinetics, and thermodynamics of the process were described; (iii) the bioaccumulation capacity of *A. platensis* grown in Eu-loaded medium was assessed; and (iv) the effect of Eu(III) on biochemical composition of biomass was examined. 2. Materials and Methods 2.1. *Arthospira platensis* Cyanobacteria *Arthospira platensis* (spirulina) CNMN-CB-02 used in the present study was obtained from collection of non-pathogenic microorganisms (Institute Microbiology and Biotechnology, Chisinau, Moldova). For biomass cultivation the medium with the following composition, major components (in g/L), namely NaNO₃—2.5; NaHCO₃—8.0; NaCl—1.0; K₂SO₄—1.0; Na₂HPO₄—0.2; MgSO₄·7H₂O—0.2; and in 1 mL/L of solution of microelements (mg/L), namely H₃BO₃—2.86; MnCl₂·4H₂O—1.81; CuSO₄·5H₂O—0.08; MoO₃—0.00015; FeEDTA—1 mL/L, were prepared. For biosorption experiments, biomass was grown at temperature of 25–28 °C, illumination ~37 μM photons/m²/s, and pH 8–9 during first two days of growth and temperature of 30–32 °C, pH —9–10, illumination ~55 μM photons/m²/s during next four days of cultivation. Then, it was separated from the culture medium by filtration, dried at 105 °C, homogenized, and used as biosorbent. Cultivation of biomass in bioaccumulation experiments is presented in details in Section 2.3. 2.2. Biosorption Experiment The solutions with desired Eu(III) concentrations were prepared by dissolving a suitable amount of Eu$_2$(SO$_4$)$_3$·8H$_2$O (Sigma Aldrich, Darmstadt, Germany). Biosorption experiments were performed in conic flask of 50 mL volume using 20 mL of solution and 100 mg of biosorbent. To obtain biosorption isotherms, Eu(III) initial concentration varied from 10 to 100 mg/L at fixing pH (3.0), contact time (30 min), and temperature (22 °C). To evaluate the kinetics of biosorption, samples were withdrawn at predetermined time intervals (3, 7, 15, 30, 45, 60, and 120 min), maintaining pH (3.0), Eu(III) concentration (10 mg/L), and temperature (22 °C) constant. The thermodynamic of the process was determined by varying the temperature of the solution from 20 to 50°, keeping other parameters constant. The effect of pH on Eu(III) removal was assessed in the pH range 2.0–6.0. Concentrated HNO$_3$ and NaOH solutions were used to obtain required values of pH. The concentration of Eu(III) in initial and experimental solution was determined by ICP-OES PlasmaQuant PQ 9000 Elite spectrometer (Analytik Jena, Jena, Germany). The sorption capacity q (mg/g) of *A. platensis* and efficiency of metal removal E (%) were calculated using Equations (1)–(2): \[ q = \frac{V(C_i - C_f)}{m} \] (1) \[ E = \frac{C_i - C_f}{C_i} \times 100 \] (2) where V is the volume of the solution, ml; $C_i$ and $C_f$ are the initial and final metal concentrations in mg/L, and m is the mass of sorbent in g. 2.3. Bioaccumulation Experiment In bioaccumulation experiment, on the first day of biomass growth in the cultivation medium described in the Section 2.1, Eu was added (standard for AAS, Merck, Germany) in concentrations 10–30 mg/L by metal. Spirulina was grown in europium-loaded medium during six days maintaining the following parameters: temperature of 25–28 °C, illumination ~37 µM photons/m$^2$/s, and pH 8–9 during first two days of growth and temperature of 30–32 °C, pH ~9–10, illumination ~55 µM photons/m$^2$/s during next four days of cultivation. Biomass cultivation was carried out in 250 mL Erlenmeyer flasks with a working volume of 100 mL. Biomass used as reference was cultivated in the same cultivation medium, but without addition of Eu(III). At the end of the cultivation cycle, the spirulina from the experimental and control variants was filtered, and the resulting biomass was standardized at a concentration of 10 mg/mL and subjected to freezing-thawing for three times in order to prepare biomass for biochemical analyzes. The concentration of Eu(III) in control and experimental solution was determined by ICP-OES. 2.4. Amount of Biomass The amount of biomass, expressed in g/L, was determined according to procedure described in [11]. 2.5. Biochemical Tests The protein content was measured according to the Lowry method, while phycobiliprotein content was determined by the method described by Siegelman and Kycia. The carbohydrates and lipids were determined spectrophotometrically based on the interaction with anthrone reagent and phospho-vanillin reagent, respectively. The content of chlorophyll $\alpha$ and $\beta$-carotene was determined spectrophotometrically at 665 nm for chlorophyll $\alpha$ and at 450 nm for $\beta$-carotene. Malondialdehyde (MDA) content was determined spectrophotometrically based on the reactive products of thiobarbituric acid. More details about biochemical test can be found in our previous study [14]. 2.6. Antioxidant Activity Ethanolic and water extracts were prepared for antioxidant tests. The antioxidative activity was determined by application of non-biological tests with radicals ABTS (2,2'-azino-bis(3-ethylbenzothiazoline-6-sulphonic acid)) [15]. 2.7. Statistical Analysis The experiments were performed in triplicate, and the data are presented as average of three experiments ± standard deviation. One-way analysis of variance (ANOVA) was performed using Student’s t-test. 3. Results and Discussion 3.1. Biosorption The pH is one of the key parameters in the adsorption experiments since it affects the charge of the binding sites of the biosorbent and chemical speciation of metals [4]. Figure 1 shows the pH dependence of Eu(III) adsorption on *A. platensis* at pH range 2.0–6.0. The experiments were not performed at higher pH values since, at pH > 6.5, Eu(III) is present in solution in the form of Eu(OH)$_2$ or Eu(OH)$_3$ [4]. At pH 2.0, the relatively low efficiency of Eu(III) removal (53%) can be explained by competition of metal ions and H$^+$ for binding sites. Main europium species at pH < 6.5 are Eu$^{3+}$ and Eu(OH)$_2$$^{+}$ [16]. ![Figure 1](image.png) **Figure 1.** Effect of pH on Eu(III) biosorption by *S. platensis* (C$_i$ 10 mg/L, time 60 min, temperature 22 °C). The highest rate of Eu(III) biosorption was attained at pH 3.0 (82%), and at the pH range of 4.0–6.0, it was reduced to 53%. High Eu(III) biosorption at pH 3 can be associated with the protonation of the functional groups and decrease of competing H$^+$ ions [2]. Decrease of Eu(III) biosorption between pH 4.0 and 6.0 can be explained by the reduced effect of protonation of the metal binding sites, associated with the increase of the number of hydroxyl groups due to the addition of sodium hydroxide to increase the pH of experimental solutions [2]. Reduction of Eu(III) removal with the increase of pH is possible in the case when ionic binding on cell surface is the main mechanism of metal adsorption [17]. The maximum Eu$^{3+}$ biosorption by *Bacillus thuringiensis* [1] was at pH 8.0. About 99% of Eu(III) was adsorbed on TiO$_2$ at pH > 6 [16]. Experiments on Eu(III) biosorption by *Deinococcus radiodurans* were conducted at pH 6.0 [14]. Thus, in the present study, the kinetics, isotherm, and thermodynamic studies were performed at pH 3.0. The evaluation of the sorption kinetics is important since it provides valuable information about the mechanism of a sorption reaction [12]. Results presented in Figure 2a showed that sorption of Eu(III) on *A. platensis* was very quick process, 75% of ions being removed from solution in the first 3 min of sorbent–sorbate interaction. This initial quick phase of sorption associated with the presence of a large number of exchangeable binding sites was followed by the slow attainment of equilibrium due to saturation of the binding sites. Three classical kinetic models were applied to describe Eu(III) biosorption (Figure 2a). The Lagergren-first-order model (PFO) describes adsorption in solid–liquid systems, representing a reversible sorption process [2,18]. It is assumed that one europium ion is sorbed on one sorption site on the *A. platensis* surface: \[ q = q_e \left(1 - e^{-k_1 t}\right) \] The pseudo-second-order (PSO) model is applied to analyze chemisorption kinetics from liquid solutions [18]. \[ q = \frac{q_e^2 k_2 t}{1 + q_e k_2 t} \] The Elovich equation is used to describe chemical adsorption mechanism in nature [19]. \[ q_t = \frac{1}{\beta} \ln(1 + \alpha \beta t) \] where $ q_e $ and $ q_t $ are the content of metal (mg/g) adsorbed at equilibrium and at time $ t $, $ k_2 $ (g/mg-min) and $ k_1 $ (1/min) are rates constant of pseudo-first order and pseudo-second order, and $ \alpha $ (g/mg-min) and $ \beta $ (g/mg) are the Elovich equation constants. The parameters of applied models are listed in Table 1. Extremely high values of $ k_2 $ in PSO model and $ \alpha $ in Elovich model indicate that these models are not applicable for description of experimentally obtained data. **Table 1.** Parameters of the kinetics and isotherm of Eu(III) sorption on *A. platensis*. | Model Parameters | Eu(III) | Kinetics | Isotherms | |------------------|---------|----------|-----------| | | | PFO | PSO | Elovich | | | | $ q_e $ | $ q_e $ | $ q_m $ | $ b $ | $ K_F $ | $ n $ | $ R^2 $ | | | 0.99 | 1.79 | 0.99 | 0.99 | 0.0009 | 0.99 | 0.98 | | Model Parameters | Eu(III) | $ k_1 $ | $ k_2 $ | $ \alpha $ | $ \beta $ | $ R^2 $ | |------------------|---------|-----------|-----------|-------------|------------|-----------| | | | 0.99 | 2.83·10$^{-44}$ | 1.07·10$^{-44}$ | 108 | 0.99 | | Model Parameters | Eu(III) | $ R^2 $ | $ R^2 $ | $ R^2 $ | |------------------|---------|-----------|-----------|-----------| | | | 0.99 | 0.99 | 0.98 | High correlation coefficient conveys that the adsorption of Eu(III) onto *A. platensis* follows the PFO model. Good agreement between $q$ values, both calculated and experimental supports this fact. Applicability of PFO model suggest that the adsorption proceed by diffusion of Eu(III) through the boundary layer on the adsorbent surface, and this may be the rate-determining step of the overall process [12]. Eu(III) removal by other sorbents, e.g., bacteria *Bacillus thuringiensis* [1] and cellulose–yeast surface [6], was better described by the PSO model. On the next step, equilibrium experiments were performed to evaluate the adsorption capacity of *A. platensis*. The effect of initial Eu(III) concentration on adsorption capacity was studied by varying its concentration in solution from 10 to 100 mg/L, maintaining other parameters as constant. According to obtained data, the biosorption capacity of *A. platensis* increased with the increase of Eu(III) concentration in solution from 0.8 to 7.25 mg/g (Figure 2b), which can be explained by the provision of more Eu(III) for the available adsorption sites [2]. The adsorption of Eu(III) onto the *A. platensis* was described using Langmuir and Freundlich models. The Langmuir model is applicable for monolayer adsorption on the sorbent containing definite number of identical binding sites [16] and is presented as: $$q_e = \frac{q_m bC_e}{1 + bC_e}$$ where $C_e$ is Eu(III) concentration at equilibrium in mg/L, $q_e$ and $q_m$ are amount of metal adsorbed at equilibrium and maximum adsorption capacity in mg/g, and $b$ is Langmuir constant in L/mg. The Freundlich expression is an empirical equation describing adsorption onto heterogeneous surface. It presupposes firstly that stronger binding sites are occupied and that the binding strength is reduced due to an increase in the degree of site occupation [6,16]. The equation is presented as: $$q_e = K_F C_e^{\frac{1}{n}}$$ where $K_F$ and $n$ are Freundlich constants. The correlation coefficient values of both applied models were 0.99, indicating their applicability for the description of experimentally obtained data (Table 1). Maximum sorption capacity calculated from Langmuir model was 89.5 mg/g, and $b$ indicates high affinity between the sorbate and sorbent. The high $R^2$ values of the Langmuir model indicate that that chemisorption may be the main mechanism of Eu(III) biosorption. The values of $n$ from Freundlich model higher than 1 support this fact [2]. The applicability of Langmuir and Freundlich models for the description of Eu(III) sorption onto bare TiO$_2$ was shown in [16]. Maximum sorption capacity of *A. platensis* was compared with the data presented in the literature (Table 2). According to present values, the sorption capacity of spirulina was lower compared to *Bacillus thuringiensis* [1] and *Acutodesmus acuminatus* [17] but higher than values obtained for other sorbents listed in the Table 2. The difference in the maximum Eu(III) sorption capacity of different sorbents can be explained by different conditions, temperature, pH, the sorbate and sorbent concentrations, and way of biomass pretreatment by which experiments were performed. Temperature is another important factor influencing the sorption process. The effect of temperature on the Eu(III) biosorption on *A. platensis* was studied at range of 20–50 °C. An increase in the temperature (Figure 3a) resulted in the decrease of Eu(III) adsorption, indicating that the process is exothermic. Biosorption of Eu(III) onto the cellulose–yeast surface was spontaneous and exothermic [6]. Table 2. Comparison of *A. platensis* sorption capacity with the literature data. | Sorbent | $q_e$ mg/g | Reference | |--------------------------------|------------|-----------------| | *Spirulina platensis* | 89.5 | Present study | | *Bacillus thuringiensis* | 160 | [1] | | Native cellulose | 18.5 | [6] | | *Saccharomyces cerevisiae* | 14.2 | [6] | | Yeast-immobilized cellulose | 25.9 | [6] | | *Arthrobacter* sp. | 9.53 | [2] | | Chitosan powder | 48.3 | [2] | | Chitosan beads | 18.4 | [2] | | *Acutodesmus acuminatus* | 174.2 | [17] | Figure 3. (a) Effect of temperature on Eu(III) removal and (b) ln$K_d$ versus 1/T. The free energy, enthalpy, and entropy changes were obtained from the plot of ln$K_d$ against 1/T (Figure 3b) and are presented in Table 3. $$\ln K_d = \frac{\Delta S^0}{R} - \frac{\Delta H^0}{RT}$$ \hspace{1cm} (8) $$\Delta G^0 = \Delta H^0 - T\Delta S^0$$ \hspace{1cm} (9) where $K_d$ is the distribution coefficient, and it is calculated according to Equation (15): $$K_d = \frac{(C_0 - C_e)V}{mC_e}$$ \hspace{1cm} (10) Table 3. Thermodynamics parameters for Eu(III) biosorption on *A. platensis*. | Temperature, K | $\Delta G^\circ$, kJ/mol | $\Delta H^\circ$, kJ/mol | $\Delta S^\circ$, J/mol·K | |----------------|---------------------------|---------------------------|---------------------------| | 293 | −10.5 | −4.7 | 19.9 | | 303 | −10.7 | | | | 313 | −10.9 | | | | 323 | −11.1 | | | Negative values of $\Delta G^\circ$ indicate spontaneous adsorption and the degree of spontaneity of the reaction increases with increasing temperature. The negative charge $\Delta H^\circ$ indicate the exothermic character of the sorption, while the positive $\Delta S^\circ$ reflects the affinity of the biosorbent toward Eu(III). 3.2. Bioaccumulation In bioaccumulation experiments, the effect of different concentrations of Eu(III) on *A. platensis* was assessed. According to ICP-AES data, the content of Eu in biomass increased directly proportionally to its concentration in medium. At Eu(III) concentration of 10 mg/L, its content in biomass constituted 9.8 mg/g and increased up to 29.8 mg/g at Eu(III) concentration in solution of 30 mg/L. The removal efficiency of *A. platensis* was at an extremely high level, constituting 98–99% at all studied Eu(III) concentrations. According to obtained results (Figure 4), the amount of biomass accumulated in the control and experimental samples was very close but without statistically significant differences and constituted 0.96–1.07 g/L dry biomass. ![Biomass vs Concentration](image) **Figure 4.** Influence of Eu(III) applied at a concentration of 10–30 mg/L on the *A. platensis* biomass. It is known that the effect of the rare earth elements on microorganisms depends on element and its concentration [20–23]. In our previous research, it has been shown that spirulina has a high degree of tolerance to rare earths elements in the concentration range of 10–30 mg/L. However, depending on the element added to the nutrient medium, different response patterns have been observed. Thus, Sm, Tb, and Nd at concentrations 10–30 mg/L did not influence amount of biomass, and Dy and La induced an increase of biomass up to 19.3%, while Yb, the on contrary, led to its decrease by 26.8% compared to control [14]. Although there were no pronounced effect of Eu(III) on biomass, it induced significant changes in the biochemical composition of biomass, especially at a concentration of 30 mg/L. The tendency of the decrease of protein content was observed at all applied concentrations, and at concentrations of 20 and 30 mg/L, the reduction of protein content was statistically significant (Figure 5). Thus, at Eu(III) concentration 20 mg/L, the content of protein in the biomass was 55.36%, which was 10.2% lower compared to control $(p = 0.0213)$, and at the concentration of 30 mg/L, it comprised 50.7% of the biomass, which was 17.7% less than in control $(p = 0.0097)$. Proteins are the basic components of spirulina biomass, constituting, depending on the conditions, 60–70% of biomass. Decreasing of their amount below 50% is associated with significant degradation of biomass. Usually, the content of protein below 45% is a result of a toxic effect, to which the culture is not able to adapt or adapts very poorly [24,25]. In the case of Eu(III), the toxic effect was directly proportional to increase of its concentration in the medium and at 30 mg/L reached the values close to the critical level for spirulina. The content of carbohydrates (Figure 5) in spirulina biomass at Eu(III) concentrations of 10 and 20 mg/L did not differ significantly from that characteristic for control, while at a concentration of 30 mg/L, it was reduced significantly, by 27.4% compared to control ($p = 0.0048$). Comparing results obtained in the present study with data obtained for other rare earth elements the different response of the culture was observed. Thus, in the case of Sm and Tb, which did influence the amount of biomass, the content of carbohydrates increased [14], which is associated with elimination of toxic element from the cell. The effect of Eu(III) was similar to those of Nd, resulting in a decrease of the content of carbohydrates at all studied concentrations. Spirulina is an organism with a low content of lipids, which are mainly located in the membranes and ensure the functioning of the cell as a whole. The control biomass contained 4.4% lipids, while in the experimental variants, their levels was reduced (Figure 6). At concentrations of 20 and 30 mg/L, the reduction was statistically significant ($p = 0.0269$ and $p = 0.0242$, respectively), and it was about 35% lower compared to the control. The content of the product of oxidative degradation of lipids (malonic dialdehyde) in the experimental samples increased by 41–73% compared to the control sample. Since MDA is considered a proper marker of oxidative stress, it can be suggested that presence of Eu(III) in the cultivation medium led to pronounced oxidative stress, which is associated with a decrease in the amount of total lipids. Under these conditions, the physiological processes in the spirulina cells can be compromised. Other rare earth elements can change the content of lipids in spirulina biomass in a very different way. Thus, Sm and Nd at concentrations of 10–30 mg/L did not produce quantitative changes in the total lipids content, and La caused their slight increase, while Tb, Dy, and Yb resulted in the decrease of the content of lipids [14]. Eu(III) provoked effect very similar to Yb ions. Regarding the amount of MDA, the Eu(III) effect on biomass can also be compared with the effect of Yb and Nd ions, which led to a considerable increase in the amount of MDA at all applied concentrations. Maintaining of the productivity of Eu-loaded biomass on the level of control was possible, due to retention of the adequate level of photosynthetic pigments (Figure 7). Thus, the amount of $\alpha$-chlorophyll and $\beta$-carotene at the first two concentrations of Eu(III) did not differ from the control. Their decrease was observed only at Eu(III) concentration of 30 mg/L. The total amount of phycobiliproteins also was not influenced significantly by addition of Eu(III) in the cultivation media. In this sense, Eu(III) behaved differently from other rare earth elements, which led to a significant reduction (by 10–50% compared to the control) of total phycobiliproteins [14]. **Figure 6.** The content of lipids and MDA in *A. platensis* biomass exposed to Eu(III) in concentrations 10–30 mg/L (*a—p < 0.01*, *b—p < 0.05*, *c—p < 0.005* for the difference between sample and control). **Figure 7.** The content of pigments in *A. platensis* biomass exposed to Eu(III) in concentrations 10–30 mg/L (*a—p < 0.01* for the difference between sample and control). The antioxidant activity of biomass was also maintained at a stable level (Figure 8). The activity of ethanolic extract obtained from spirulina biomass grown on medium loaded with Eu(III) was on the level of the control for all Eu(III) concentrations. The activity of the water extract at Eu(III) concentrations of 10 and 20 mg/L was higher compared to the control, while at concentration of 30 mg/L it was on the level of control. Data reported previously for La, Dy, Sm, and Tb showed a marked increase in the antioxidant activity of water extract from spirulina biomass, while Nd and Yb in concentrations of 10–30 mg/L caused its considerable decrease [14]. Figure 8. The antioxidant activity of extracts obtained from *A. platensis* biomass exposed to Eu(III) in concentrations 10–30 mg/L (a—$p < 0.01$, b—$p < 0.05$ for the difference between sample and control). Biosorption and bioaccumulation showed to be suitable approaches for Eu(III) removal from wastewater. Both processes occur permanently in natural environment in uncontrolled conditions and are also applied in the industrial practice under controlled conditions [26]. In the present study, in bioaccumulation experiments, higher efficiency of Eu(III) uptake was achieved that can be explained by presence of the functional groups on the surface and inside the cell and increase of biomass concentration, which make possible the binding of more Eu(III). However, bioaccumulation requires resources for biomass cultivation, and high metal concentrations can inhibit its growth; therefore, biosorption seems to be more suitable process for industrial application. The main limitation of biological sorbents is their short life in comparison with traditional sorbents [26]. Often, the parameters (pH, metal concentration) of real wastewater are different from batch systems; in this case, the efficiency of metal ions removal can be increased in several ways: by effluent dilution or application of a two-or-more-step scheme of metal removal with the addition of a new dosage of biosorbent, as it was shown in our previous studies [27,28]. 4. Conclusions Cyanobacteria *Arthrospira platensis* was tested for its ability to remove Eu(III) by means of biosorption and bioaccumulation experiments. Maximum Eu(III) removal in biosorption experiments can be achieved at pH 3.0, contact time 3 min, and temperature 20 °C. Equilibrium of the sorption can be described by both Langmuir and Freundlich models, while kinetics fits better to the pseudo-first-order model. From the thermodynamic point of view, it is an exothermic, spontaneous process. In bioaccumulation experiments, *Arthrospira platensis* showed a high rate of Eu(III) uptake, up to 98–99% at its concentration in the medium of 10–30 mg/L. Although Eu-loaded spirulina maintained a high level of productivity and a normal content of carbohydrates and pigments, Eu(III)’s toxic effect was manifested by the decrease of the content of protein and an increase in the amount of MDA. These two factors denote a state of pronounced oxidative stress, which can significantly impair the quality of spirulina biomass in the long term or in repeated action of metal ions. Author Contributions: Conceptualization, N.Y., L.C. and I.Z.; methodology, L.C. and I.Z.; software, D.G.; validation, L.C. and I.Z.; investigation, N.Y., T.C. and L.R.; writing—original draft preparation, L.C. and I.Z.; funding acquisition N.Y.; writing—review and editing, all authors; visualization, I.Z and N.Y. All authors have read and agreed to the published version of the manuscript. Funding: The study was carried out with financial support of Association of Young Scientists and Specialist of the JINR Grant No 22-402-11. Institutional Review Board Statement: Not applicable. Informed Consent Statement: Not applicable. Data Availability Statement: Not applicable. Conflicts of Interest: The authors declare no conflict of interest. References 1. Pan, X.; Wu, W.; Lü, J.; Chen, Z.; Li, L.; Rao, W.; Guan, X. Biosorption and extraction of europium by Bacillus thuringiensis strain. *Inorg. Chem. Commun.* **2017**, *75*, 21–24. [CrossRef] 2. Cadogan, E.I.; Lee, C.-H.; Popuri, S.R. Facile synthesis of chitosan derivatives and *Arthrobacter* sp. biomass for the removal of europium(III) ions from aqueous solution through biosorption. *Int. Biodeterior. Biodegrad.* **2015**, *102*, 286–297. [CrossRef] 3. Maleke, M.; Valverde, A.; Vermeulen, J.-G.; Cason, E.D.; Gómez-Arias, A.; Moloaantoa, K.; Coetsee-Hugo, L.; Swart, H.; Van Heerden, E.; Castillo, J. Biomineralization and Bioaccumulation of Europium by a Thermophilic Metal Resistant Bacterium. *Front. Microbiol.* **2019**, *10*, 81. [CrossRef] [PubMed] 4. Jena, A.; Pradhan, S.; Mishra, S.; Sahoo, N.K. Evaluation of Europium Biosorption Using Deinococcus radiodurans. *Environ. Process.* **2021**, *8*, 251–265. [CrossRef] 5. Baumer, T.; Hixon, A.E. Kinetics of europium sorption to four different aluminum (hydr)oxides: Corundum, γ-alumina, bayerite, and gibbsite. *J. Environ. Radioact.* **2018**, *195*, 20–25. [CrossRef] 6. Arunraj, B.; Sathvika, T.; Rajesh, V.; Rajesh, N. Cellulose and Saccharomyces cerevisiae Embark to Recover Europium from Phosphor Powder. *ACS Omega* **2019**, *4*, 940–952. [CrossRef] 7. Lazaris, D.; Liasko, R.; Leonardos, I.; Evangelou, A.; Kalfakakou, V. Toxic effects of europium chloride on developing zebrafish (*Danio rerio*) embryos. *J. Biol. Res.* **2012**, *18*, 291–296. 8. Nörenberg, D.; Schmidt, F.; Schinke, K.; Frenzel, T.; Pietsch, H.; Giese, A.; Ertl-Wagner, B.; Levin, J. Investigation of potential adverse central nervous system effects after long term oral administration of gadolinium in mice. *PLoS ONE* **2020**, *15*, e0231495. [CrossRef] 9. Das, N.; Das, D. Recovery of rare earth metals through biosorption: An overview. *J. Rare Earths* **2013**, *31*, 933–943. [CrossRef] 10. Rabah, M.A. Recyclables recovery of europium and yttrium metals and some salts from spent fluorescent lamps. *Waste Manag.* **2008**, *28*, 318–325. [CrossRef] 11. Cepoi, L.; Zinicovscaia, I.; Rudi, L.; Chiriac, T.; Djur, S.; Yushin, N.; Grozdov, D. Assessment of Metal Accumulation by *Arthrospira platensis* and Its Adaptation to Iterative Action of Nickel Mono- and Polymetallic Synthetic Effluents. *Microorganisms* **2022**, *10*, 1041. [CrossRef] [PubMed] 12. Vijayaraghavan, K.; Sathishkumar, M.; Balasubramanian, R. Biosorption of Lanthanum, Cerium, Europium, and Ytterbium by a Brown Marine Alga, *Turbinaria Conoides*. *Ind. Eng. Chem. Res.* **2010**, *49*, 4405–4411. [CrossRef] 13. Diniz, V.; Volesky, B. Biosorption of La, Eu and Yb using Sargassum biomass. *Water Res.* **2005**, *39*, 239–247. [CrossRef] [PubMed] 14. Zinicovscaia, I.; Cepoi, L.; Rudi, L.; Chiriac, T.; Grozdov, D.; Pavlov, S.; Djur, S. Accumulation of dysprosium, samarium, terbium, lanthanum, neodymium and ytterbium by *Arthrospira platensis* and their effects on biomass biochemical composition. *J. Rare Earths* **2020**, *39*, 1133–1143. [CrossRef] 15. Cepoi, L.; Rudi, L.; Miscu, V.; Cojocari, A.; Chiriac, T.; Sadovnic, D. Antioxidative activity of ethanol extracts from *Spirulina platensis* and *Nostoc linckia* measured by various methods. *Analele Univ. Oradea Fasc. Biol.* **2009**, *16*, 43–48. 16. Tan, X.; Fang, M.; Li, J.; Lu, Y.; Wang, X. Adsorption of Eu(III) onto TiO2: Effect of pH, concentration, ionic strength and soil fulvic acid. *J. Hazard. Mater.* **2009**, *168*, 458–465. [CrossRef] 17. Furuhashi, Y.; Honda, R.; Noguchi, M.; Hara-Yamamura, H.; Kobayashi, S.; Higashimine, K.; Hasegawa, H. Optimum conditions of pH, temperature and preculture for biosorption of europium by microalgae *Acutodesmus acuminatus*. *Biochem. Eng. J.* **2019**, *143*, 58–64. [CrossRef] 18. Boparai, H.K.; Joseph, M.; O’Carroll, D.M. Kinetics and thermodynamics of cadmium ion removal by adsorption onto nano zerovalent iron particles. *J. Hazard. Mater.* **2011**, *186*, 458–465. [CrossRef] 19. Wu, F.-C.; Tseng, R.-L.; Juang, R.-S. Characteristics of Elovich equation used for the analysis of adsorption kinetics in dye-chitosan systems. *Chem. Eng. J.* **2009**, *150*, 366–373. [CrossRef] 20. Wenhua, L.; Ruming, Z.; Zhixiong, X.; Xiangdong, C.; Ping, S. Effects of La3+ on Growth, Transformation, and Gene Expression of *Escherichia coli*. *Biol. Trace Element Res.* **2003**, *94*, 167–177. [CrossRef] 21. Jin, X.; Chu, Z.; Yan, F.; Zeng, Q. Effects of lanthanum(III) and EDTA on the growth and competition of *Microcystis aeruginosa* and *Scenedesmus quadricauda*. *Limnologica* **2009**, *39*, 86–93. [CrossRef] 22. Wang, Y.; Li, Y.; Luo, X.; Ren, Y.; Gao, E.; Gao, H. Effects of yttrium and phosphorus on growth and physiological characteristics of *Microcystis aeruginosa*. *J. Rare Earths* **2018**, *36*, 781–788. [CrossRef] 23. Wang, Y.; Li, J.; Lü, Y.; Jin, H.; Deng, S.; Zeng, Y. Effects of cerium on growth and physiological characteristics of *Anabaena flos-aquae*. *J. Rare Earths* **2012**, *30*, 1287–1292. [CrossRef] 24. Cepoi, L.; Zinicovscaia, I.; Rudi, L.; Chiriac, T.; Miscu, V.; Djur, S.; Strelkova, L.; Vergel, K.; Nekhoroshkov, P. Growth and heavy metals accumulation by *Spirulina platensis* biomass from multicomponent copper containing synthetic effluents during repeated cultivation cycles. *Ecol. Eng.* **2020**, *142*, 105637. [CrossRef] 25. Zinicovscaia, I.; Cepoi, L.; Rudi, L.; Chiriac, T.; Grozdov, D.; Vergel, K. Effect of zinc-containing systems on *Spirulina platensis* bioaccumulation capacity and biochemical composition. *Environ. Sci. Pollut. Res.* **2021**, *28*, 52216–52224. [CrossRef] 26. Chojnacka, K. Biosorption and bioaccumulation—The prospects for practical applications. *Environ. Int.* **2010**, *36*, 299–307. [CrossRef] 27. Zinicovscaia, I.; Yushin, N.; Grozdov, D.; Abdusamadzoda, D.; Safonov, A.; Rodlovskaya, E. Zinc-containing effluent treatment using *Shewanella xiamenensis* biofilm formed on zeolite. *Materials* **2021**, *14*, 1760. [CrossRef] 28. Zinicovscaia, I.; Yushin, N.; Grozdov, D.; Vergel, K.; Popova, N.; Artemiev, G.; Safonov, A. Metal removal from nickel-containing effluents using mineral–organic hybrid adsorbent. *Materials* **2020**, *13*, 4462. [CrossRef]

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TO WHOM IT MAY CONCERN IBAN: DE 78 540 515 50 00000 36 566 BESTMALZ AG Postfach 10 43 20 D-69033 Heidelberg Luisenstraße 14 D-69115 Heidelberg Tel. +49 (62 21) 64 66-0 Fax +49 (62 21) 64 66-99 [email protected] www.bestmalz.de Your Ref.: Your contact: Email: Direct line: Thomas Schumacher [email protected] +49 (6221) 6466-62 November 11, 2015 Declaration of Conformity Concerning Our Malt We are writing to confirm that to the best of our knowledge and in good conscience the production of malt in our facilities conforms to all German and European legal requirements known to us as well as to all legal requirements and statutory provisions governing food production. All products of BESTMALZ are fully traceable and thus in accordance with Directives 2002/178/EC and 2004/1935/EC. European laws require that a company has a system of traceability in place and can also guarantee that its products are free from harmful substances. As part of our compliance with these laws, we regularly participate in a testing program performed by the SGS and the Organization of German maltsters, in which our products are regularly subject to analysis for the presence of harmful substances. The complete set of data collected from the participants in this system is evaluated and summarized on an annual basis and subsequently made available to the participants, and therefore to their customers. Therefore we always go below the maximum levels of nitrosamine, residues of pesticides, heavy metals and mycotoxins in accordance with the existing EC Directives. Kind regards from Heidelberg BESTMALZ AG Thomas Schumacher Head of Quality Management Konto 740 207 2000 ∙ BLZ 600 501 00 BIC: SOLADEST IBAN: DE 86 600 501 01 740 207 2000

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IN THE HIGH COURT OF JUDICATURE AT BOMBAY BENCH AT AURANGABAD INCOME TAX APPEAL NO. 79 OF 2018 Souvenir Developers (I) Pvt. Ltd. Shop No. 1, Animesh Apartment, Plot No. 3, Janki Nagar, Wadibhokar Road, Deopur, Dhule-424 002. …. Appellant. Versus The Union of India Through Assistant Commissioner of Income Tax, Circle-3(1), Dhule. Mr. S. P. Shah, Advocate for appellant. Dr. Kalpalata Bharaswadkar-Patil, Advocate for respondent. ... CORAM : R. D. DHANUKA & S. G. MEHARE, JJ. Date on which reserved for judgment : 20 th April, 2022. Date on which judgment pronounced : 06 th May, 2022. JUDGMENT : [PER R. D. DHANUKA, J.] :- 1. The appeal by the assessee under section 260-A of the Income Tax Act, 1961 raises the following substantial questions of law :- (i) Whether on the facts and circumstances of the case and in law, the Tribunal was justified in confirming any addition on ::: Uploaded on - 06/05/2022 ::: Downloaded on - 19/05/2022 14:56:05 ::: .… Respondent. 2 transaction in derivatives on recognized stock exchange as defined under Section 43 (5) (d) of the Income Tax Act, 1961 with reference to explanation given to Section 73 of the Income Tax Act, 1961 which is applicable to speculative transactions. (ii) Whether loss suffered by the appellant on the transactions in respect of trading in derivatives referred to in clause (ac) of Section 2 of the Securities Contracts (Regulation) Act, 1956 carried out in a recognized stock exchange by the appellant could have been set off against the income of the appellant arisen out of infrastructure business carried on by the appellant under Section 70 of the Income Tax Act, 1961. 2. By consent of parties appeal is heard finally. Some of the relevant facts for the purpose of deciding this appeal are as under :- The relevant assessment year is 2009-10 and financial year is 2008-09. The appellant is a domestic company and derives income from business. The appellant is dealing in collection of Toll fees in the name and style "M/s. Souvenir Developer (India), Pvt. Ltd., Dhule". The appellant is also carrying business of shares and derivatives. The return of income declaring total income of Rs.85,43,220/- was 3 submitted electronically by assessee on 30 th September 2009. The same was processed on 28 th March 2011 under section 143 (1) of the Income Tax Act, 1961 by accepting the return of income. Subsequently the case of the appellant was picked up for scrutiny. The statutory notice under section 143(2) of the Income Tax Act, 1961 was issued on 28 th September 2010. The appellant was granted an opportunity of being heard by the assessing officer. The appellant produced the information called as per questionnaire before the assessing officer. The assessing officer passed order on 29 th December 2011 assessing the income of the appellant as Rs.90,79,092/-. TAXPUNDIT.ORG 3. In the said assessment order, the assessing officer made addition of the income to the extent of Rs.5,35,872/- under three different heads. The assessing officer refused to consider the loss suffered by the assessee on transaction in derivatives while computing net taxable income. The application for rectification under section 154 made by the appellant was rejected by order dated 14 th May 2012. On 4 th June 2012 the appellant preferred an appeal before the Commissioner of Income Tax (Appeals) against the assessment order. The appellant did not challenge the additions made by the Assessing Officer. 4. On 27 th February 2014, the Commissioner of Income Tax (Appeals) passed order refusing to consider the loss suffered by the appellant on transaction in derivatives while computing the net income of the appellant. The Commissioner of Income Tax (Appeal) was of the view that the appellant would not be entitled to set-off loss suffered from transactions in securities because of the provisions of section 73. The Commissioner held that as provided under section 73, the loss suffered by the assessee would be a loss from speculative business and as such the appellant would not be entitled to claim setoff against the income from a non-speculative business. TAXPUNDIT.ORG 5. Being aggrieved by the said order, the appellant preferred an appeal before the Income Tax Appellate Tribunal on 2 nd July 2014. On 31 st October 2017 the Income Tax Appellate Tribunal dismissed the said appeal. The Income Tax Appellate Tribunal was of the view that the appellant would not be entitled to claim set-off in view of the provisions of Section 73. Being aggrieved by the said decision of the Income Tax Appellate Tribunal, the appellant has preferred this appeal under section 260-A of the Income Tax Act, 1961. 6. Some of the relevant provisions for deciding this appeal are extracted as under :- Definitions of certain terms relevant to income from profits and gains of business or profession. 43. In Sections 28 to 41 and in this section, unless the context otherwise requires — (5) "speculative transaction" means a transaction in which a contract for the purchase or sale of any commodity, including stocks and shares, is periodically or ultimately settled otherwise than by the actual delivery or transfer of the commodity or scrips: Provided that for the purpose of this clause : (d) an eligible transaction in respect of trading in derivatives referred to in clause (ac) of section 2 of the Securities Contracts (Regulation) Act, 1956 (42 of 1956) carried out in a recognized stock exchange; or Explanation 1. — For the purposes of clause (d), the expressions — (i) "eligible transaction" means any transaction, — TAXPUNDIT.ORG (A) carried out electronically on screen-based systems through a stock broker or sub-broker or such other intermediary registered under section 12 of the Securities and Exchange Board of India Act, 1992 (15 of 1992) in accordance with the provisions of the Securities Contracts (Regulation) Act, 1956 (42 of 1956) or the Securities and Exchange Board of India Act, 1992 (15 of 1992) or the Depositories Act, 1996 (22 of 1996) and the rules, regulations or bye-laws made or directions issued under those Acts or by banks or mutual funds on a recognised stock exchange; and (B) which is supported by a time stamped contract note issued by such stock broker or sub-broker or such other intermediary to every client indicating in the contract note the unique client identity number allotted under any Act referred to in sub-clause (A) and permanent account number allotted under this Act; (ii) "recognized stock exchange" means a recognized stock exchange as referred to in clause (f) of section 2 of the Securities Contracts (Regulation) Act, 1956 (42 of 1956) and which fulfils such conditions as may be prescribed and notified 79 by the Central Government for this purpose; (2) Where the result of the computation made for any assessment year under sections 48 to 55 in respect of any short-term capital asset is a loss, the assessee shall be entitled to have the amount of such loss set off against the income, if any, as arrived at under a similar computation made for the assessment year in respect of any other capital asset. Set off of loss from one source against income from another source under the same head of income. 70. (1) Save as otherwise provided in this Act, where the net result for any assessment year in respect of any source falling under any head of income, other than "Capital gains", is a loss, the assessee shall be entitled to have the amount of such loss set off against his income from any other source under the same head. TAXPUNDIT.ORG (3) Where the result of the computation made for any assessment year under sections 48 to 55 in respect of any capital asset (other than a short-term capital asset) is a loss, the assessee shall be entitled to have the amount of such loss set off against the income, if any, as arrived at under a similar computation made for the assessment year in respect of any other capital asset not being a short-term capital asset. Losses in speculation business. 73. (1) Any loss, computed in respect of a speculation business carried on by the assessee, shall not be set off except against profits and gains, if any, of another speculation business. (2) Where for any assessment year any loss computed in respect of a speculation business has not been wholly set off under sub-section (1), so much of the loss as is not so set off or the whole loss where the assessee had no income from any other speculation business, shall, subject to the other provisions of this Chapter, be carried forward to the following assessment year, and — (i) it shall be set off against the profits and gains, if any, of any speculation business carried on by him assessable for that assessment year; and (ii) if the loss cannot be wholly so set off, the amount of loss not so set off shall be carried forward to the following assessment year and so on. (3) In respect of allowance on account of depreciation or capital expenditure on scientific research, the provisions of sub-section (2) of section 72 shall apply in relation to speculation business as they apply in relation to any other business. TAXPUNDIT.ORG (4) No loss shall be carried forward under this section for more than four assessment years immediately succeeding the assessment year for which the loss was first computed. Explanation. — Where any part of the business of a company (other than a company whose gross total income consists mainly of income which is chargeable under the heads "Interest on securities", "Income from house property", "Capital gains" and "Income from other sources", or a company the principal business of which is the business of trading in shares or banking]or the granting of loans and advances) consists in the purchase and sale of 8 shares of other companies, such company shall, for the purposes of this section, be deemed to be carrying on a speculation business to the extent to which the business consists of the purchase and sale of such shares. 7. Mr. Shah, learned counsel for the appellant submits that, during the financial year 2008-2009 the appellant had ventured into transactions in securities in derivatives at recognized stock exchange and through registered brokers. The appellant had suffered losses to the tune of Rs.1,90,66,444/- in those transactions in securities in the derivatives. He submitted that, though the Commissioner of Income Tax (Appeals) was pleased to accept that the appellant had suffered loss in the transactions in securities in derivatives, he refused to consider the said loss while computing the net income of the appellant on the ground that under Section 73, the loss suffered by the assessee would be a loss from speculative business and as such, the appellant would not be entitled to claim set-off against the income from a nonspeculative business. 8. It is submitted by the learned counsel that, in view of Section 28 Explanation-2 r/w Section 43(5) proviso (d) such transactions are kept out of the definition of speculative transactions. 9. The learned counsel for the appellant placed reliance on Section 73 of the Income Tax Act, 1961 and would submit that, the appellant was entitled to set-off the loss suffered by the appellant in the transactions in securities in the derivatives against the income derived by the appellant from the business of collection of toll and business of infrastructure. He submits that, the Commissioner of Income Tax (Appeals) did not deal with Section 43(5)(d) of the Income Tax Act, 1961 at all in the impugned order and erroneously held that, the entire transaction carried out by the appellant was speculative and thus loss suffered on such speculative transaction could not be claimed as set off against other heads of income. The learned counsel fairly states that, there is no dispute that, losses having arisen to the appellant on the trading in shares being speculative cannot be set-off against the other heads of income. 10. Learned counsel for the appellant placed reliance on the judgment delivered by a Division Bench of this court in case of The Commissioner of Income Tax, Central-IV Vs. Shri. Bharat R. Ruia (HUF) reported in (2011) 337 ITR 452 in particular paragraph nos.6, 7, 17, 18, 21, 23, 29, 30, 33, 35 and 37 in support of the submission that, the loss suffered by the appellant in the transactions arising out of securities in derivatives were not speculative transaction under Section 43(5) of the Income Tax Act, 1961. 11. Learned counsel for the appellant submits that, Proviso (d) to Section 43(5) of the Income Tax Act was inserted by Finance Act, 2005 with effect from 01.04.2006. He submits that, the said proviso to Section 43(5) carved out an exception to the definition of 'speculative transaction'. He submits that, the loss suffered in the transactions in derivatives before insertion of the proviso to Section 43(5) were considered as speculative and were not entitled to be setoff against the profit under any other heads of income except profit from speculative business. However, in view of the said proviso to Section 43(5) inserted by the Finance Act, 2005 with effect from 01.04.2006, the transactions in derivatives were not considered as speculative business. 12. The learned counsel for the appellant placed reliance on the judgment of the Hon'ble Supreme court in case of Snowtex Investment Limited Vs. Principal Commissioner of Income Tax, Central-2, Kolkata reported in 2019 SCC OnLine SC 749 and in particular paragraph nos.3 to 5, 14, 18, 25, 26, 33 and 34 in support of the submission that, the losses having arisen from trading in futures and options were not profits from a speculative business. 13. The learned counsel for the appellant distinguished the judgment of the Hon'ble Supreme Court in case of Commissioner of Income Tax Vs. Lokmat Newspapers P. Ltd. reported in (2010) 322 ITR 43 and would submit that, in the said judgment there were no derivative transactions involved. The transactions considered by this Court in the said judgment were arising out of trading in shares. The said judgment is thus clearly distinguishable on facts. 14. Smt. Bharaswadkar-Patil, learned counsel for the revenue on the other hand invited our attention to the grounds of Appeal before the Income Tax Appellate Tribunal and would submit that, it was clearly admitted by he appellant that no set-off of loss suffered in speculative transaction was permissible. The appellant had not claimed any set-off before the Assessing Officer. The Income Tax Appellate Tribunal, however, allowed the Rectification Application filed by the appellant. TAXPUNDIT.ORG 15. The learned counsel for the revenue invited our attention to Section 43(5) (d), Section 73 and would submit that, in view of the definition of speculative transaction and in view of Section 73 of the Income Tax Act, 1961, losses in speculation business would not be governed by Section 43(5) read with proviso thereto. She submits that, deeming fiction is created under Section 73 of the Income Tax Act, 1961. The learned counsel for the revenue placed reliance on the judgment of the Delhi High Court in case of The Commissioner of Income Tax Vs. DLF Commercial Developers Limited reported in (2013) 218 Taxman 45 and in particular paragraph nos.5, 6, 9 and 10. She submits that, in the said judgment it is clearly held that, objective of Section 73 apparent from the tenor of its language is to deny speculative businesses the benefit of carry forward of losses. 16. The learned counsel for the revenue made an attempt to distinguish the judgment of the Hon'ble Supreme Court in case of Snowtex Investment Limited (supra) on the ground that, the Hon'ble Supreme Court in the said judgment had considered the principal business of assessee. The issue before the Hon'ble Supreme Court was different. The learned counsel for the revenue strongly placed reliance on the judgment of this court in case of Commissioner of Income Tax Vs. Lokmat Newspapers P. Ltd. (supra) and would submit that, the authorities below have rightly considered the said judgment, though the same was not directly on the issue. In support of this submissions she placed reliance on paragraph no.6 of the said judgment. TAXPUNDIT.ORG 17. The learned counsel for the revenue made an attempt to distinguish this judgment in case of The Commissioner of Income Tax, Central-IV Vs. Shri. Bharat R. Ruia (HUF) (supra). She submits that, question felt for consideration by this Court in this judgment was whether proviso inserted to Section 43(5) was clarificatory or not and the ratio in the said judgment would not apply to the facts of this case. The learned counsel for the revenue tenders the explanatory notes on the provisions of the Finance Act, 2005 dated 27 th February, 2006 for showing the purpose and object of insertion of proviso to Section 43(5) of the Income Tax Act, 1961. 18. Mr. Shah, learned counsel for the appellant in his rejoinder argument would submit that, Section 43 of the Income Tax Act, 1961 falls under the Part (iv) of the Income Tax Act whereas, Section 43 of the said Act falls under Part (vi). It is submitted that, the appellant in this case had three sources of income i.e. (i) income arisen out of infrastructure business, (ii) losses incurred in the transaction in derivatives and (iii) losses suffered in transaction in equity shares. The appellant had claimed set-off in respect of the loss derived in the derivative transaction against the profits having arisen from the infrastructure business. He invited our attention to Section 73 of the Income Tax Act, 1961 and would submit that, the business of the infrastructure carried out by the appellant is not a speculative TAXPUNDIT.ORG business. It is not the case of the revenue that, loss in trasactions in securities carried out by the appellant in derivatives is a speculative business. He submits that, since business in derivative is not included in the definition of speculative business, the loss suffered by the appellant is permitted to be set-off against income having arisen to the appellant out of infrastructure business. 19. The learned counsel for the appellant strongly placed reliance on Section 70 of the Income Tax Act and would submit that, loss suffered by the appellant in the transactions in securities in derivatives being one of the distinct business falling under head of the income from business, the appellant is entitled to set-off the loss under the said source against the income having arisen from the infrastructure business which is also a distinct business falling under Section 28 of the Income Tax Act, 1961. He submits that, loss suffered by the assessee under distinct business under the said head can be also adjusted against the income of another business under the head of income under Section 28. Section 73 deals with the set-off of speculative business and thus reliance placed by the learned counsel for the revenue on the proviso thereto is totally misplaced. Learned counsel for the appellant invited our attention to the paragraph no.14, TAXPUNDIT.ORG 17, 25 and 36 of the judgment of the Hon'ble Supreme court in case of Snowtex Investment Limited (supra) and would submit that, the Hon'ble Supreme Court has considered the Memorandum issued by the Government explaining the amendment to Section 43(5) of the Income Tax Act, 1961. REASONS AND CONCLUSIONS 20. The Assessing Officer did not consider the effect of insertion of proviso to Section 43(5) of the Income Tax Act in the impugned order at all. The Commissioner of Income Tax (Appeals) allowed the Rectification Application filed by the appellant under Section 143(3) read with Section 143 (1). The said order passed by the Commissioner of Income Tax (Appeals) allowing the Rectification Application filed by the appellant was not challenged by the respondent-revenue at any stage. 21. The Commissioner of Income Tax (Appeals) observed that, the Assessing Officer had not impugned anything in regard to the share trading loss in the assessment order under Section 143(3) and had rejected the Rectification Application stating that as per the return of income there was an income of Rs.85,43,220/- and hence there was no mistake apparent from record which required rectification. In paragraph no.9 of the said order passed by the Commissioner of Income Tax (Appeals) it was observed that, on verification of the case record, it was noticed that the appellant company had carried out activity of share trading in derivatives and had incurred loss amounting to Rs.1,90,66,444/-. 22. The Commissioner of Income Tax (Appeals), however, considered the explanation to Section 73 of the Act and erroneously observed that, income from share trading is to be regarded as speculative income. The Commissioner of Income Tax (Appeals), adverted to the judgment of the Delhi High court in The Commissioner of Income Tax Vs. DLF Commercial Developers Limited (supra) and held that, the loss claimed by the appellant company in respect of the share trading in derivative at Rs.1,90,66,444/- is to be assessed as speculative loss. However, the set-off being speculative loss could not be set-off against the regular business income assessed by the Assessing Officer at Rs.90,79,092/- as claimed by the appellant. The Commissioner of Income Tax (Appeals) did not consider or dealt with the contention of the appellant that, in view of amended provisions of Section 43(5)(d), the trading of shares in derivatives was to be assessed as the regular business and not speculative business and thus loss if any in transaction in derivative was required to be set-off against the other heads of income. 23. In the impugned order, the Income Tax Appellate Tribunal has dealt with the grounds raised by the appellant that the learned CIT(A) erred in law and on facts in confirming an addition on transactions in derivatives on recognized stock exchange as defined in Section 43(5)(d) of the Income Tax Act 1961 with reference to explanation given to Section 73 of the Income Tax Act, 1961 which is applicable to speculative transactions. The Income Tax Appellate Tribunal, however, considered the judgment of this Court in case of Commissioner of Income Tax Vs. Lokmat Newspapers P. Ltd. (supra) and more particularly paragraph nos. 6 to 10 and erroneously held that, in view of the admitted facts of the case, the ground no.3 raised in Appeal filed by the appellant-assessee is dismissed. The Income Tax Appellate Tribunal did not consider the effect of insertion of the proviso in Section 43(5) of the Income Tax Act, 1961 by the Finance Act, 2005 with effect from 01.04.2006 at all. 24. Chapter IV of the Income Tax Act, 1961 provides for computation of total income under five heads. Section 28 to 44DB deals with profits and gains of any business or profession and about various permissible deductions out of such income. Section 43 provides for definitions of certain terms relevant to income from profits and gains of business or profession and more particularly under Section 28 to 41 of the Income Tax Act, 1961. Section 43(5) of the Income Tax Act defines that 'speculative transaction' means a transaction in which a contract for the purchase or sale of any commodity, including stocks and shares, is periodically or ultimately settled otherwise than by the actual delivery or transfer of the commodity or scrips. 25. In this case the appellant has not claimed any set-off of the loss suffered by the appellant in the transactions in shares where delivery was actually effected. The appellant has admittedly claimed set-off of the loss suffered in respect of transactions in derivatives in view of the Finance Act, 2005 with effect from 01.04.2006. It is thus clear beyond reasonable doubt that the transaction in derivative was carved out as an exception in the definition of speculative transaction. None of the Authorities below, however, considered and dealt with the effect of said proviso (d) to Section 43(5) of the Income Tax Act, 1961 inserted by the Finance Act, 2005 with effect from 01.04.2006 in the impugned orders. TAXPUNDIT.ORG 26. The explanatory notes on the provisions of the Finance Act, 2005 clearly indicates that the existing provision before such amendment of Clause (5) to Section 43 defines "speculative transaction" means a transaction in which a contract for the purchase or sale of any commodity, including stocks and shares, is periodically or ultimately settled otherwise than by the actual delivery or transfer of the commodity or scrips. Proviso to Section 43(5) list out certain transaction which are not deemed to be speculative transaction. 27. By the said explanatory note it was made clear that, the Finance Act, 2005 has amended Section 43(5) to provide that an eligible transaction in respect of trading in derivatives of securities carried out on a recognized stock exchange shall not be deemed as speculative transaction. The notification prescribing the transaction which are not deemed to be speculative transaction. It was made clear that the Finance Act, 2005 has, accordingly, amended Section 43 (5) to provide that an eligible transaction in respect of trading in derivatives of securities carried out on a recognized stock exchange shall not be deemed as speculative transaction. The notification prescribed the rules and the conditions to be fulfilled by a stock exchange to be recognized by the Central Government for the purposes of Section 43(5) [i.e., Rules 6DDA and 6DDB of the Income Tax Rules, 1962] TAXPUNDIT.ORG published in the Official Gazette on 1 st July, 2005 vide S.O. No.932(E). 28. The Hon'ble Supreme Court in case of Snowtex Investment Limited (supra) had considered an appeal arising out of the judgment of the High Court holding that the profits which had arisen from trading in futures and options were not profits from a speculative business and hence loss arising out of trading in shares could not be set off against the profits arising from the business of futures and options. In paragraph No. 15 of the said judgment, the Hon'ble Supreme Court held that the impact of the amendment to Section 43 (5) of the Income Tax Act by Finance Act, 2005 was that an eligible transaction on a recognized stock exchange in respect of trading in derivatives was deemed not to be a speculative transaction. TAXPUNDIT.ORG 29. With effect from 01.04.2006, trading in derivatives was by a deeming fiction not regarded as a speculative transaction when it was carried out on a given stock exchange. Prior to the amendment, Section 43 (5) defined a "speculative transaction" to mean a transaction in which a contract for the purchase or the sale of any commodity including stocks and shares which settled otherwise other than by the actual delivery or transfer of the commodity or scrips. The Hon'ble Supreme Court also considered the circular issued by the Central Board Direct Taxes dated 27.02.2006 and observed that the amendment by the Finance Act, 2005 was occasioned by the changes which were introduced by SEBI both at the legal and technological level for bringing in greater transparency in the market for derivatives. 30. The Hon'ble Supreme Court also considered the memorandum explaining the amendment introduced in the provisions of sub-section 43 (5) by the Finance Act, 2005 with effect from 01.04.2006. It is held that while amending the provisions of Section 43 (5), the Parliament indeed was cognizant of the provisions which were contained in Section 73 (4) of the Income Tax Act, 1961. It is held that it was only with effect from 01.04.2015 that an amendment was brought about to exclude trading in shares from the deeming provision contained in the Explanation to Section 73. 31. The Hon'ble Supreme Court held that it would be difficult to hold that the provisions which were contained in the Finance Act (No. 2) of 2014 in so far as they amended the Explanation to Section 73 were clarificatory or that notwithstanding the provision by which the amendment was brought into force with effect from 01.04.2015, that it should be given retrospective effect. The Hon'ble Supreme Court held that the amendment which was brought by Parliament to the Explanation to Section 73 by the Finance (No. 2) Act, 2014 was with effect from 01.04.2015. In its legislative wisdom, the Parliament amended Section 43 (5) with effect from 01.04.2006 in relation to the business of trading in derivatives, the Parliament brought about a specific amendment in the Explanation to Section 73, in so far as trading in shares is concerned, with effect from 01.04.2015. The latter amendment was intended to take effect from the date stipulated by Parliament. 32. The Hon'ble Supreme Court accordingly showed no reason to hold either that it was clarificatory or that the intent of Parliament was to give it retrospective effect. The Hon'ble Supreme Court accordingly held that in the assessment year 2008-2009, the loss which occurred to the assessee as a result of its activity of trading in shares (a loss arisen from the business of speculation) was not capable of being set off against the profits which it had earned against the business of futures and options since the latter did not constitute profits and gains of a speculative business. The Hon'ble Supreme Court accordingly did not interfere with the view taken by the High Court. The principles of law laid down by the Hon'ble Supreme Court in the said judgment in case of Snowtex Investment Limited (supra) apply to the facts of this case. TAXPUNDIT.ORG 33. Section 73 (1) of the Income Tax Act provides that any loss, computed in respect of a speculation business carried on by the assessee, shall not be set off except against profits and gains, if any, of another speculation business by Taxation Laws (Amendment) Act, 1975 with effect from 01.04.1977. The Explanation was inserted below Section 73 (4) of the Income Tax Act. 34. A perusal of the Explanation indicates that where any part of the business of a company other than the exceptions carved out therein consist in the purchase and sale of shares of other companies, such companies shall, for the purpose of section 73, be deemed to be carrying on a speculation business to the extent to which the business consist of the purchase and sale of shares. Proviso (d) to Section 43 (5) which defined "speculation transaction" was admittedly inserted by Finance Act, 2005 with effect from 01.04.2006. The said provision has been interpreted by the Hon'ble Supreme Court in case of Snowtex Investment Limited (supra). TAXPUNDIT.ORG 35. It is thus clear that, the transactions in respect of trading in derivatives referred to in Clause (ac) of Section 2 of Securities Contracts (Regulation) Act, 1956 carried in a recognized stock exchange are excluded from the definition of "speculation transaction" described under Section 43 (5) of the Income Tax Act, 1961. In our view, the respondents thus, cannot be allowed to contend that the appellant had claimed any set off of the losses suffered by the appellant in respect of the speculation business carried on by the assessee against the profits and gains, if any, of another speculation business. 36. In our view, Section 73 (1) as well as the explanation inserted by Taxation Laws (Amendment) Act, 1975 with effect from 01.04.1977 thus would not apply to the loss having arisen in the trading in derivatives being not speculative transaction which is excluded from the definition of "speculation transaction" described under Section 43 (5) of the Income Tax Act. In the facts of this case, the appellant has claimed set off in respect of the loss suffered by the appellant in the transaction in derivatives against the income arising of infrastructure business under the head of income from business or profession under Section 28 of the Income Tax Act, 1961. TAXPUNDIT.ORG 37. The Division Bench of this Court in case of Commissioner of Income Tax Vs. Shri Bharat R. Ruia (HUF) has considered the substantial question of law i.e. "whether the transactions in exchange traded financial derivatives are speculative transactions" as defined in Section 43 (5) of the Income Tax Act, 1961. In the facts of that case, proceedings arising out of the assessment year 2003-2004 were in question. In paragraph No. 23 of the said judgment, this Court held that plain reading of clause (d) of Section 43 (5) makes it clear that with effect from 01.04.2006 only those eligible transaction in derivatives referred to under Section 2 (ac) of 1956 Act which were carried out in a recognized stock exchange shall not be deemed to be a speculative transaction. It is only because, the transactions in derivatives referred to under Section 2 (ac) of the Act carried out in a recognized stock exchange were covered under Section 43 (5) of the Act, the legislature could exclude those transactions from the purview of Section 43 (5) with effect from 01.04.2006. TAXPUNDIT.ORG 38. This Court in the said judgment also considered the "Handbook on Derivatives Trading" published by the National Stock Exchange of India. This Court clearly held that the legislature by Finance Act, 1995 has specifically provided that clause (d) to the proviso to Section 43 (5) shall come into operation prospectively with effect from 01.04.2006. After insertion of clause (d), all transactions in derivatives are not taken outside the purview of Section 43 (5). It is only those derivative transactions which are covered under clause (d) are taken outside the purview of Section 43 (5) and the rest of the transactions in derivatives would continue to be covered under Section 43 (5) of the Income Tax Act. This Court rejected the submission made by the revenue that clause (d) was inserted to proviso to Section 43 (5) had retrospective effect. This Court accordingly held that the exchange traded derivative transaction carried on by the assessee during the assessment year 2003-2004 (i.e. prior to insertion of Clause (d) to the proviso to Section 43 (5) of the Finance Act, 2005) were speculative transactions covered under Section 43 (5) of the Act and the loss incurred in those transactions were liable to be treated as speculative loss and not bus ness loss. TAXPUNDIT.ORG 39. In the facts of this case, admittedly the assessment year in question is 2009 2010 and financial year is 2008-2009 i.e. after insertion of the said Clause (d) to the proviso to Section 43 (5) of the Income Tax Act, 1961. The principles laid down by this Court in the said judgment in case of Commissioner of Income Tax Vs. Shri Bharat R. Ruia (HUF) interpreting clause (d) inserted in the proviso to Section 43 (5) by Finance Act, 2005 with effect from 01.04.2006 apply to the facts of this case. Transactions in derivatives carried out by the assessee after 01.04.2006 thus would not be speculative transactions. 40. In so far as the judgment of this Court in case of Commissioner of Income Tax Vs. Lokmat Newspapers Pvt. Ltd. (supra) relied upon by the learned counsel for revenue is concerned, the substantial question of law fell for consideration of this Court in the said judgment was "whether, on the facts and in the circumstances of the case and in law, the Tribunal was justified in allowing brought forward speculation loss to be set off against delivery based profits earned by the assessee-company from sale and purchase of shares". 41. The assessee in that matter had offered the profit as a profit of speculation business and had claimed set off against a speculation loss brought forward from the assessment years 19961997 to 1998-1999. This court in the said judgment had not considered the clause (d) inserted to proviso to Section 43 (5) of the Income Tax Act and had considered unamended Section 43 (5) and Section 73. The said judgment in our view is clearly distinguishable on the facts and thus would not advance the case of the revenue. The reliance placed by the Income Tax Appellate Tribunal on the said judgment in case of Commissioner of Income Tax Vs. Lokmat Newspapers Pvt. Ltd. (supra) is totally misplaced. TAXPUNDIT.ORG 42. In so far as judgment of Delhi High Court in case of the Commissioner of Income Tax Vs. DLF Commercial Developers Limited (supra) relied upon by the learned counsel for revenue is concerned, the Delhi High Court has taken a view contrary to the view taken by this Court in case of Commissioner of Income Tax Vs. Shri Bharat R. Ruia (HUF) (supra). The Judgment of the Hon'ble Supreme Court in case of Snowtex Investment Limited (supra) was not brought to the notice of Delhi High Court while dealing with the case of Commissioner of Income Tax Vs. DLF Commercial Developers Limited. The said judgment of Delhi High Court would not advance the case of the revenue. 43. In our view the Income Tax Appellate Tribunal could not have confirmed any addition on transaction in derivatives on recognised stock exchange as defined in Section 43 (5) (d) of the Income Tax Act, 1961 with reference to explanation given to Section 73 of the Income Tax Act, 1961 which is applicable to speculative transaction. By virtue of insertion of clause (d) to the proviso to Section 43 (5) of the Income Tax Act, 1961, the transactions in respect of the trading in derivatives as prescribed in clause (d) inserted in proviso to Section 43(5) would not be a speculative transaction. TAXPUNDIT.ORG 44. The appellant was thus entitled to claim set off of the loss suffered by the appellant in the said transactions in derivatives against the business income of the appellant from infrastructure business under Section 70 of the Income Tax Act 1961. 45. We accordingly pass the following order :- (i) Substantial question of law No. 1 fell for consideration is answered in negative and in favour of the assessee. (ii) Substantial question No. 2 is answered in affirmative and in favour of the assessee. 46. Income Tax Appeal No. 79 of 2018 is allowed in aforesaid terms. No order as to costs. ( S. G. MEHARE, J. ) ( R. D. DHANUKA, J. ) TAXPUNDIT.ORG P.S.B.

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EL SALVADOR STATEMENT BY FCO SPOKESMAN: 25 FEBRUARY HMG have now had an opportunity to study the information provided by the US Government about arms supplies to insurgent groups in El Salvador. This points to activities which can only be regarded as gross interference in the internal affairs of El Salvador and HMG support the Government of the United States in calling for it to end. HMG note, with concern, the continuing violence inside El Salvador and the suffering and hardship this causes to the people of that country. HMG condemn such violence from whatever quarter. They look to the Government of El Salvador to take all possible steps to protect the Salvadorean people from violations of basic human rights and, in particular, to exercise firm control over all government institutions and organisations. HMG consider that the people of El Salvador should be able to determine their own future peacefully and democratically.

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DRAFT REPORT 2017 MONITORING REPORT GRAND COUNTY, COLORADO Prepared for: Grand County, Colorado 308 Byers Avenue P.O. Box 264 Hot Sulphur Springs, CO 80451 with support from Northern Colorado Water Conservancy District Denver Water Trout Unlimited Colorado River Water Conservation District Prepared by: TETRA TECH 130 Ski Hill Road, Suite 140 P.O. Box 1659 Breckenridge, CO 80424 and HabiTech, Inc. P.O. Box 944 Laramie, WY 82073 February 26, 2018 Revised April 13, 2018 Page Intentionally Left Blank EXECUTIVE SUMMARY Fraser River 2017 spring runoff in the Fraser River and Ranch Creek exceeded the magnitude and duration of the recommended flushing flows for the fourth consecutive year. Spawning bar habitat on both the Fraser River and Ranch Creek were in good condition with embeddedness the lowest recorded since monitoring began in 2010. Neither spawning bar was impaired by finer sediments (<8mm) based on the Colorado Water Quality Control Commission (CWQCC 2014) guidelines as outlined in Policy 98-1 (CWQCC guidelines). Riffle bed material mobilization occurred on both streams as it had in 2014, 2015 and 2016. Riffle Stability Index analyses indicated bed material up to small cobble size had been transported, with an estimated 34 to 43% of the riffle substrates mobilized. These findings are supportive of observations that flows in the range of the 3-year return interval, estimated to be 1,072 cubic feet per second for the Fraser River at Granby, Colorado, can initiate cobble mobilization and riffle maintenance. The Ranch Creek macroinvertebrate community has remained quite stable in recent years and has consistently attained its aquatic life use designation. Fraser River sites have shown more variability. Overall, the health of the Fraser River watershed macroinvertebrate community was the best in the downstream sites. The site downstream of Granby has consistently achieved the highest Colorado Multi-Metric Index (MMI) scores and attained its aquatic life use designation in all sample years and provides habitat for giant stoneflies. Upstream, the 2017 macroinvertebrate sites have been found to be impaired in at least one sample year. In 2017, both the above Winter Park and Rendezvous Bridge sites failed to attain their aquatic life use designation. All riffle habitats sampled in 2017 were well below the CWQCC guidelines threshold for fine sediment impairment (<2 mm). Trout populations at both the Kaibab Park and the Safeway stations once again exceeded Colorado Parks and Wildlife (CPW) Gold Medal benchmarks in 2017 (Ewert 2018a). At Fraser Flats both trout biomass and quality trout density exceed pre-project levels. The trout population at Confluence Park has shown the greatest variability of the Fraser River stations with both trout biomass and quality trout numbers below the Gold Medal biological benchmarks, with brook and brown trout out-competing stocked rainbow trout. No fish sampling was conducted on Ranch Creek in 2017. Colorado River 2017 spring runoff in the Colorado River exceeded the magnitude and duration of the recommended flushing flows for the fourth consecutive year. All four spawning bars sampled on the Colorado River were exceptionally clean, with little embeddedness. None of the bars were impaired by finer sediments based on the CWQCC guidelines. Riffle bed material mobilization occurred at all four sites, as it had in 2014, 2015 and 2016, with particles up to medium cobble transported and an estimated 40 to 50% of riffle substrates potentially mobilized. These findings are supportive of 2016 observations that flows in the range of the 3-year return interval, estimated to be 3,890 cubic feet per second for the Colorado River at Kremmling, Colorado, can initiate cobble mobilization and riffle maintenance. Overall, the health of the Colorado River macroinvertebrate community appeared satisfactory in 2017, with all sites attaining their designated aquatic life use. Giant stoneflies were collected immediately below Windy Gap for the first time since the LBD macroinvertebrate monitoring began. All riffle habitats sampled in 2017 were well below the CWQCC guidelines threshold for fine sediment impairment. Fish population sampling was only conducted at the Parshall-Sunset station in 2017, with trout biomass and density consistently excellent, similar to 2015 and 2016 levels (Ewert 2018b). However, quality trout numbers (trout greater than 14 inches in length) continue to decline. CPW has raised concerns that this reach of the Colorado River is uncomfortably close to not meeting Gold Medal standards and is a fishery in decline due to long-term trout forage base and habitat degradation. # Table of Contents 1 INTRODUCTION ........................................................................................................... 1 2 METHODS .................................................................................................................. 3 2.1 Objective #1 – Spawning Habitat Monitoring .................................................... 3 2.2 Objective #2 – Macroinvertebrate Sampling ...................................................... 4 2.3 Objective #3 – Fish Sampling ............................................................................. 9 2.4 Objective #4 – Trends and Relationships .......................................................... 10 3 RESULTS AND DISCUSSION .................................................................................... 11 3.1 Fraser River ....................................................................................................... 11 3.1.1 2017 Streamflow Regime ........................................................................... 11 3.1.2 Spawning Habitat ...................................................................................... 11 3.1.3 Macroinvertebrate Community ................................................................. 16 3.1.4 Fish Populations ....................................................................................... 22 3.2 Colorado River .................................................................................................. 26 3.2.1 2017 Streamflow Regime .......................................................................... 26 3.2.2 Spawning Habitat ...................................................................................... 30 3.2.3 Macroinvertebrate Community ................................................................. 34 3.2.4 Fish Populations ....................................................................................... 40 4 SUMMARY, CONCLUSIONS AND RECOMMENDATIONS .................................. 43 4.1 Summary and Conclusions ................................................................................ 43 4.1.1 Fraser River and Ranch Creek .................................................................. 43 4.1.2 Colorado River .......................................................................................... 43 4.2 Recommendations ............................................................................................. 44 5 LITERATURE CITED .................................................................................................. 45 ## List of Figures Figure 1 Site map ........................................................................................................... 7 Figure 2 April through October hydrographs for Fraser River (2010-2017) and Ranch Creek below Meadow Creek (2014-2017) in Grand County, CO .................................................. 12 Figure 3 Percent of spawning bar embedded at Fraser River and Ranch Creek sites, 2010-2017 ................................................................. 14 Figure 4 Riffle Stability Index (RSI) results for the Fraser River and Ranch Creek sites, 2017 ................................................................. 14 Figure 5 Trend of Fraser River and Ranch Creek MMI scores from upstream to downstream for 2015-2017. Red and green dashed lines depict boundaries of MMI “gray zone.” .................................................. 20 Figure 6 CPW trout biomass estimates (2003-2017) for Fraser River sites sampled in 2017 ................................................................. 25 Figure 7 Hydrographs for April through October 2010-2017 for five Colorado River stream gage stations in Grand County, Colorado .................................................. 26 Figure 8 Percent of spawning bar embedded at the four Colorado River sites, 2010-2017 ................................................................. 31 Figure 9 Riffle Stability Index (RSI) results for the four Colorado River spawning bar sites, 2017 ................................................................. 32 Figure 10 Trend of Colorado MMI scores from upstream to downstream, 2015-2017. Red and Green dashed lines depict boundaries of MMI "gray zone." .................................................. 38 Figure 11 CPW trout population estimates for Colorado River Parshall-Sunset reach, 2007-2017 ................................................................. 41 List of Tables Table 1 Locations for the six spawning bar sites sampled in 2017 ................................................................. 7 Table 2 2017 LBD macroinvertebrate sites in the LBD study area sampled September and October, 2017. ........................................................................................................................................................................... 7 Table 3 Summary of macroinvertebrate sampling protocols used by LBD partners on the Fraser and Colorado Rivers and Ranch Creek, 2008-2017. Table content, except Sample Type, provided by Northern Colorado Water Conservancy District. .................................................................................................................. 8 Table 4 Comparison of flushing flow recommendations (Q_{FF})\textsuperscript{1} to stream flow records for Fraser River monitoring sites, 2010-2017. ........................................................................................................................................................................... 13 Table 5 Pebble count summary for Fraser River Grand County spawning bar study sites, September 2017. ........................................................................................................................................................................... 13 Table 6 Pebble count summary for Fraser River Grand County Riffle Stability Index (RSI) spawning bar study sites, September 2017. ........................................................................................................................................................................... 15 Table 7 Comparison of Riffle Stability Index (RSI) at Fraser River monitoring sites, 2014-2017. ...................... 15 Table 8 Individual metrics and MMI scores from benthic macroinvertebrate samples collected in the LBD Fraser River study area by Timberline Aquatics, Inc. on September 18, 2017. All metric scores based on the MMI (v3) subsampling process. .................................................................................................................. 17 Table 9 Additional metrics for benthic macroinvertebrate samples collected in the LBD Fraser River study area. All metric scores based on full count Hess samples. .................................................................................................................. 18 Table 10 Colorado MMI and other key metric scores at the Fraser River and Ranch Creek sites sampled from 2011-2017. Sample types are described in Table 3. .................................................................................................................. 19 Table 11 Pebble count summary at macroinvertebrate sites on the Fraser River and Ranch Creek, 2015-2017. ........................................................................................................................................................................... 21 Table 12 Summary of CPW fish population data for the Fraser River in Grand County, 2003-................. 24 Table 13 Comparison of flushing flow recommendations (Q_{FF})\textsuperscript{1} to stream flow records for Colorado River monitoring sites, 2010-2017. ........................................................................................................................................................................... 29 Table 14 Pebble count summary for Colorado River Grand County spawning bar study sites, September 2017. ........................................................................................................................................................................... 30 Table 15 Pebble count summary for Colorado River, Grand County Riffle Stability Index (RSI) spawning bar study sites, September 2017. ........................................................................................................................................................................... 33 Table 16 Comparison of Riffle Stability Index (RSI) at Colorado River monitoring sites, 2014-2017. ......... 34 Table 17 Individual metrics and MMI scores from benthic macroinvertebrate samples collected in September and October, 2017. All metric scores based on MMI (v3) subsampling process. .................................................................................................................. 35 Table 18 Additional metrics and comparative values for macroinvertebrate samples collected at Colorado River sampling sites in September and October, 2017. .................................................................................................................. 36 Table 19 Colorado MMI and other key metric scores at the Colorado River sites sampled by GCWIN and Timberline Aquatics, Inc. from 2011-2017. .................................................................................................................. 37 Table 20 Pebble count summary at Colorado River Macroinvertebrates sampling sites. 2015-2017. ...... 39 Table 21 Summary of CPW fish population data by year for the Colorado River, 2007-2017. .................... 42 List of Appendices APPENDIX A: Chronology of Spawning Bar Site Sampling, Flood-frequency Analyses APPENDIX B: Macroinvertebrates Sampling APPENDIX C: CPW Fish Population Data APPENDIX D: Location Maps APPENDIX D.1: Core Sample Location Maps, GPS and Photo Logs APPENDIX D.2: Pebble Counts at Macroinvertebrate Sites: Location Maps, GPS and Photo Logs List of Acronyms | Acronym or Abbreviation | Full Phrase or Description | |-------------------------|----------------------------| | cfs | Cubic feet per second | | CPW | Colorado Parks and Wildlife| | CR4 | Colorado River, Fraser River confluence at Windy Gap to Williams Fork confluence | | CR4¹ | Colorado River downstream of Windy Gap at Chimney Rock | | CR4² | Colorado River at Paul Gilbert CPW | | CR4³ | Colorado River below Pioneer Park at Hot Sulphur Springs. | | CR5 | Colorado River, Williams Fork to KB Ditch | | CR6 | Colorado River, KB Ditch to Blue River Confluence | | CR7 | Colorado River, Blue River Confluence to County Line | | CWQCC | Colorado Water Quality Control Commission | | EPT | Ephemeroptera, Plecoptera, and Trichoptera | | F9 | Fraser River, Canyon to Granby | | F-RC2 | Fraser River Trib, Ranch Creek (lower) | | HBI | Hilsenhoff Biotic Index | | LBD | Learning By Doing | | MMI | Colorado Multi-Metric Index | | RSI | Riffle Stability Index | | SDI | Shannon Diversity Index | | SMP | Grand County Stream Management Plan | | STE | Survival-To-Emergence | | QFF | Flushing flow, cubic feet per second | | Qp | Peak flow, cubic feet per second | Page Intentionally Left Blank 1 INTRODUCTION The field sampling and analysis described in this monitoring report are undertaken in support of the draft Grand County Stream Management Plan (SMP) (Tetra Tech et al. 2010) and the “Learning By Doing” (LBD) Cooperative Effort. Members of the LBD Management and Technical Committees include Grand County (GC), Denver Water (DW), Northern Colorado Water Conservancy District – Municipal Subdistrict (Northern Water), Middle Park Water Conservancy District (MPWCD), Colorado River Water Conservation District (CRWCD), Colorado Parks and Wildlife (CPW), and Trout Unlimited (TU). This monitoring effort was originally initiated in 2010 to document the habitat quality of select trout spawning bars along the Fraser and Colorado Rivers within Grand County in response to the annual stream flow regimes. The primary goal was to evaluate the draft flushing flow recommendations contained in the SMP. These recommendations were based on maintenance of the structure and function of these important spawning habitats. Beginning in 2014, the LBD Management Committee requested the scope of the annual monitoring report be expanded to also include the results of macroinvertebrate and fish sampling being conducted by several of the LBD partners. The macroinvertebrate and fish sampling in combination with the habitat monitoring will provide a baseline of conditions to assist in detecting changes over time and to evaluate future projects. The goal of this report has been to provide a more comprehensive description of the health of the aquatic community and the habitats which support it, with a focus on changes relative to flow, spawning habitat quality and other pertinent habitat features. For 2017, specific study objectives were to: 1. Continue to monitor surface substrate conditions and riffle stability at six long-term spawning bar sites on the Fraser and Colorado Rivers and Ranch Creek; 2. Report on the existing data and results for macroinvertebrate communities at 12 sites on these three streams; 3. Report on the current status of fish populations on the Fraser and Colorado Rivers based on sampling by CPW, and 4. Discuss trends and potential relations between habitat conditions, the benthic community, fish populations, and stream flow regimes relative to the proposed flushing flow recommendations and other LBD management actions. The surface substrate conditions and riffle stability results stemming from Objective 1 can be used to evaluate the draft flushing flow recommendations, assess the condition of spawning gravel environments to promote survival-to-emergence (STE) of larval trout, investigate stream flows that may be needed periodically to maintain riffle habitat quality, and evaluate effects of LBD management actions. The results of the macroinvertebrate sampling program (Objective 2) inform on trends and changes to the health of the macroinvertebrate communities and can be used to assess compliance with Colorado’s aquatic life standard, and evaluate effects of LBD restoration efforts. Likewise, the information generated from Objective 3 can help to inform the LBD on the trends and changes in the size, health and status of Fraser and Colorado River fish populations and their response to various water, sediment and channel management activities. Objective 4 covers the discussion of trends and potential relations between habitat conditions, the benthic community, fish populations, and stream flow regimes relative to the proposed flushing flow recommendations and other LBD management actions, and is integrated into the results presented for Objectives 1 to 3. This report presents the results of the 2017 monitoring and where applicable, compares current with past conditions. The Methods section of the report is organized by objective, while the Results and Discussion chapter, at the request of the LBD in 2016, is organized by major river systems. The Results and Discussion chapter addresses all four objectives and includes a variety of topics such as an evaluation of spawning habitat quality within the context of spring runoff flows and the draft flushing flow recommendations, an assessment of Grand County spawning habitat conditions, and a discussion of the current condition and status of the aquatic communities in both the Fraser and the Colorado Rivers. 2 METHODS 2.1 Objective #1 – Spawning Habitat Monitoring 2017 field sampling was conducted during the week of September 6 at four long-time sampling sites on the Fraser River, Ranch Creek and Colorado River (F9, F-RC2, CR4\textsuperscript{4} and CR6), while work at CR5 and CR7 could not be completed until October 27 due to extended high flow releases from William’s Fork and Green Mountain Reservoirs. Site descriptions and locations are provided in Table 1 and Figure 1, while the sampling chronology at each of these trout spawning stations is provided in Appendix A. Pebble counts were made at each spawning site to describe the composition of the streambed surface and in particular to document the degree of embeddedness by finer sediments for each of the 100 measured particles. Pebble counts were made following the procedure described by Wolman (1954) and Kappesser (2002), and were in accordance with the guidance provided by the CWQCC in Policy 98-1 (CWQCC guidelines) for the sampling of small, targeted stream habitat types such as the trout spawning bars specifically identified for this study. A surface particle was recorded as embedded if the particle diameter was more than 50% covered by finer sediments. The 50% criterion was based upon the relationship between density of juvenile salmonids and the percent embeddedness of the substrate as reported in Bjornn and Reiser (1991), as well as the embeddedness rating system presented in Bain and Stevenson (1999). In this system, 50% is the lower threshold for the “high” embeddedness classification. The presence of aquatic vegetation at each particle measured was also noted and site photographs were taken to document conditions. McNeil-Ahnell core samples were not collected in 2017 for the LBD monitoring because streamflow was forecast to be similar to recent years and no differences were expected in the inter-gravel environments being sampled. Riffle Stability Index (RSI) (Kappesser 2002) analyses were also performed in 2017 at each of these six sites because the magnitude and duration of spring runoff flows had been sufficient to cause substantial bed-material mobilization and bar deposition. RSI measurements were taken at a riffle-point bar complex adjacent to or near the measured spawning bar and consisted of a 200-count pebble count within the riffle and the measurement of the 30 largest recently deposited sediment particles on the point bar. A particle size distribution plot was then developed from the measured riffle particles and the mean diameter of the largest point bar particles was calculated. Entering the distribution plot with the mean diameter, the percentage of riffle particles that potentially were mobilized during the preceding spring runoff was determined. Examples of these plots are provided in the Results chapter of this report and include comparisons to previous year’s results. Note that there were no RSI analyses were performed in 2012 and 2013 as inspection of spawning bar substrates and adjacent point bars indicated the magnitude and duration of spring runoff flows had not been sufficient to cause substantial bed material mobilization and bar deposition. The RSI protocol is intended for use only following runoff events of sufficient magnitude and duration to cause scour and deposition of coarse bed materials. 2.2 Objective #2 – Macroinvertebrate Sampling The primary objective of macroinvertebrate data collection is to assess the health of the aquatic community. One way this can be accomplished is with the Colorado Multi-Metric Index (MMI) which was developed by the Colorado Water Quality Control Division (CWQCC) to assess compliance with aquatic life use standards. The MMI is Colorado specific for use across a range of stream classes (e.g., Class 1 – Cold Water, Class 1 – Warm Water, Class 2- Cold and Warm Water) and biotypes (Transition, Mountains, Plains & Xeric). The MMI is composed of separate indices calibrated to respond to stressors affecting aquatic communities in one of these three analytically defined biotypes (CDPHE 2010). MMI’s are calibrated for each biotype with each index composed of several metrics selected to represent categories of community characteristics including richness, composition, functional feeding group, mode of locomotion and pollution tolerance. Each metric is scaled from 0 (worst case) to 100 (best case) and these values are then mathematically combined to generate an overall MMI score also scaled from 0 to 100. Aquatic life use thresholds for MMI scores are then applied to determine if a water body is attaining its use or if it is impaired. Since data collection began (see Table 3) there has been a lack of standardization in macroinvertebrate sample collection and analytical procedures. This leads to difficulty in making temporal and spatial comparisons between results. LBD felt there was a need to a standardized approach for sampling and analytical protocols, and documentation of previous protocols that were used. Two documents have been generated by LBD: 1. A table describing the sampling protocols, timing, and analytical procedures used by different LBD partners in recent years (Table 3); and 2. Grand County’s Learning By Doing 2017 Macroinvertebrate Sampling Program which appears in Appendix B. The MMI requires specific sampling and analytical protocols to be followed to produce the most representative MMI scores. While an MMI score can be calculated using a variety of sampling and analytical protocols, caution should be used when comparing the resulting MMI scores as they may not be totally comparable to those calculated following the protocol specific to the tool. Table 3 shows the various sampling protocols and analytic protocols that have been used to calculate MMI scores since 2011. The CWQCC and Timberline are the only two entities that have followed the MMI specific protocol. The BLM sampling and analytical methods are used nationally in BLM’s Assessment, Inventory, and Monitoring (AIM) program, but a formal comparison of results obtained using BLM sampling and analytical protocols versus results from CDPHE methods has not been conducted. The same holds true for the CPW sample and analytical methods. MMI results obtained using these sampling and analytical protocols are likely to be different, and caution is needed when comparing metrics between samples collected by different entities at different times. 2017 LBD macroinvertebrate sampling was conducted by Timberline Aquatics, Inc., Fort Collins, Colorado on September 18 at 12 riffle sites on the Fraser River (6 sites), Ranch Creek (1 site), and Colorado River (5 sites). These sites are described in Table 2 and their location is shown on Figure 1. A detailed description of the sampling and analysis procedures followed in 2017 is provided in the document entitled, “Grand County’s Learning By Doing 2017 Macroinvertebrate Sampling Program”, in Appendix B. Also in 2017, one macroinvertebrate sample was collected at site CR7 (Tables 1 and 2; Figure 1) by Grand County Water Information Network (GCWIN) personnel on October 27 in support of Grand County’s monitoring effort for the Gore Canyon Whitewater Feature. This sample was collected and analyzed following the procedures described in the 2016 LBD monitoring report (Tetra Tech and HabiTech, 2017) and results are reported herein. In addition, CPW’s 2017 macroinvertebrate sampling program included 8 sites upstream and downstream of Windy Gap Reservoir with 7 sites on the Colorado River and one site on the Fraser River. These samples have been collected to establish baseline conditions in support of the proposed connectivity channel around Windy Gap Reservoir. Results are not yet available for inclusion in this annual monitoring report, but will be presented in CPW’s annual Federal Aid Report at a later date. MMI Version 3.0 was used to calculate MMI scores for the 2017 macroinvertebrate data collected by both Timberline Aquatics, Inc. and GCWIN and developed by CDPHE. Figure 1 Site map Table 1 Locations for the six spawning bar sites sampled in 2017. | SMP Reach | Site Name | Description | Latitude | Longitude | Elevation (m) | Years | |-----------|-----------------|--------------------------------------------------|------------|--------------|---------------|-----------| | F-RC2 | RC blw MC | Ranch Creek below Meadow Creek (Miller Property) | 39.999722 | -105.82958 | 2542 | 2010-17 | | F9 | FR GranbyRanch | Fraser River at Granby Ranch below golf course | 40.079089 | -105.904255 | 2443 | 2010-17 | | CR4 | CR at Ppark | Colorado River at Pioneer Park | 40.072185 | -106.111498 | 2341 | 2014-17 | | CR5 | CR Blw WF | Colorado River below Williams Fork near Game Warden House | 40.062829 | -106.186273 | 2279 | 2010-17 | | CR6 | CR Blw KB Ditch | Colorado River below KB Ditch | 40.055494 | -106.285214 | 2249 | 2010-17 | | CR7 | CR Blw Pumphouse| Colorado River below Pumphouse below campground area | 39.978197 | -106.515681 | 2117 | 2011-17 | Table 2 2017 LBD macroinvertebrate sites in the LBD study area sampled September and October, 2017. | SMP Reach | River Mile ID | Site Name | Description | Latitude | Longitude | Elevation (m) | Collected Sample | |-----------|---------------|----------------|--------------------------------------------------|------------|--------------|---------------|------------------| | F2 | FR 23.2 | FR abvWPSD | Fraser River upstream of Winter Park Sanitation District | 39.8945 | -105.7682 | 2878 | Timberline | | F4 | FR 20 | FR Rendezvous | Fraser River at Rendezvous Bridge | 39.9341 | -105.7896 | 2678 | Timberline | | F6 | FR 15 | FR FrSpProj | Fraser River upstream of Fraser Flats restoration | 39.9813 | -105.8249 | 2372 | Timberline | | F6 | FR 14 | FR CR83 | Fraser River upstream of Tabernash below bridge on CR83 | 39.9905 | -105.8299 | 2558 | Timberline | | F-RC2 | RC 1.1 | RC blwMC | Ranch Creek downstream of Meadow Creek | 39.9991 | -105.8275 | 2561 | Timberline | | F7 | FR 12.4 | FR blwCrccr | Fraser River downstream of Crooked Creek | 40.011 | -105.8524 | 2500 | Timberline | | F10 | FR 1.9 | FR abvGSD | Fraser River upstream of Granby Sanitation District | 40.0853 | -105.9546 | 2420 | Timberline | | CR3 | CR 31 | CR WGU | Colorado River upstream of Fraser and Windy Gap | 40.1005 | -105.9725 | 2401 | Timberline | | CR4 | CR 28.7 | CR WGD | Colorado River downstream of Windy Gap | 40.1083 | -106.0036 | 2374 | Timberline | | CR4 | CR 22.9 | CR HSU | Colorado River upstream of Hot Sulfur Springs | 40.0803 | -106.0986 | 2341 | Timberline | | CR4 | CR 16.7 | CR WFU | Colorado River upstream of Williams Fork | 40.0503 | -106.1725 | 2305 | Timberline | | CR6 | CR 9.1 | CR KBDitch | Colorado River at CR39 Bridge at KB Ditch | 40.0538 | -106.2895 | 2285 | Timberline | | CR7 | | CR blw Pumphouse | Colorado River below Pumphouse at Campsite 11 | 39.9845 | -106.5134 | 2118 | GCWIN | Table 3 Summary of macroinvertebrate sampling protocols used by LBD partners on the Fraser and Colorado Rivers and Ranch Creek, 2008-2017. Table content, except Sample Type, provided by Northern Colorado Water Conservancy District. | Entity | Sampling Device | Sampling Protocol | Analytical Protocol | Maximum Organisms Counted | |--------|-----------------|-----------------------------------------------------------------------------------|-------------------------------------------------------------------------------------|---------------------------| | BLM | Hess Sampler | Collect samples at 8 cross sections, fully scrubbing rocks that are within in the sampler area. Combine the 8 samples into a single sample for analysis. | A grid subsample of 600 organisms | 600 | | CDPHE | Kick Net | Collect one sample by kicking substrate for 60 seconds. | A grid subsample of 300 organisms | 300 | | CPW | Hess Sampler | 5 replicate samples @ each site fully scrubbing rocks inside a Hess Sampler (0.086 m²) with a 350 µm mesh net; 0.43 m² area sampled. Samples collected from the same riffle with predominant cobble substrate, and disturbance of streambed to 10 cm. | 5 samples per site analyzed separately using the standard USGS 300-count protocol (see Moulton et al. 2000) | 1500 | | Timberline | Hess Sampler | 3 replicate samples @ each site, fully scrubbing rocks inside a Hess Sampler; 0.258 m² area sampled. Samples collected from riffle habitat with similar size substrate, depth, and velocity. | 3 samples per site analyzed separately; entire sample analyzed by identification to the lowest practical taxonomic level and enumeration of all individuals | Full count | | Entity | Year | Sampling Protocol | Analytical Protocol | Funding Sources | |------------|------------|-------------------|---------------------|--------------------------| | GCWIN | 2010-2014 | CDPHE | CDPHE | EPA & State | | GCWIN | 2015 | CDPHE | BLM | Funding Partners & BLM | | GCWIN | 2016-2017 | BLM | BLM | Funding Partners & BLM | | Northern | 2008-2017 | Timberline | Timberline | Northern | | Northern - Select sites Colorado | 2010-2017 | CDPHE | Both Timberline and CDPHE | Northern | The 2017 macroinvertebrate sampling sites on the Fraser and Colorado Rivers, and Ranch Creek, are classified as Class 1 – Cold Water and are in the Transition biotype. Given this designation, the metrics comprising the MMI include the number of mayfly and stonefly (Ephemeroptera and Plecoptera) taxonomic groups present in a sample (the number typically declines with increasing perturbation); the percent of individual organisms that are midge (Chironomid) larvae (typically increases with increasing perturbation); the percent of sensitive families represented (typically decreases with increasing perturbation); the number of predator and shredder taxa (typically decreases with increasing perturbation); the number of clinger taxa (typically decreases with increasing perturbation); and the percent of non-insect taxa present (typically increases with increasing perturbation). Additional explanation of these metrics and the 2017 results are provided in Appendix B. The attainment threshold for the transition biotype is a score of 52, while the impairment threshold is a score of 42 or less. If a score falls in the “gray zone” between 42 and 52, the Hilsenhoff Biotic Index (HBI) and the Shannon Diversity Index (SDI) scores are used to determine if a site has attained use or is impaired. The HBI is a widely-used indicator of organic pollution with high values (>5.4) indicating a predominance of tolerant species (i.e., sensitive species have been lost) and an impaired macroinvertebrate community. SDI values typically range from about 1.5 to 4.0, with high SDI scores (>2.4) indicating a good diversity of species present and a healthier community. If a “gray zone” site fails to meet either of these criteria, it is considered impaired. Additional metrics provided by Timberline Aquatics, Inc. and GCWIN for each site were the total density of macroinvertebrates (# per m²), taxa richness (the total number of taxonomic groups represented, typically decreases with increasing perturbation), EPT (the number of mayfly, stonefly and caddisfly taxa present, typically decreases with increasing perturbation), the density of *Pteronarcys californica* (# per m², typically decreases with increasing perturbation), the percent EPT excluding family Baetidae (typically decreases with increasing perturbation), and percent Chironomidae (midge larvae, typically increases with increasing perturbation). Again, variation in these metrics may be present because of the different sample collection and analytical methods used by Timberline Aquatics and GCWIN. A 100-count pebble count was conducted by Tetra Tech during the week of September 6 at riffles in close proximity to 2017 macroinvertebrate sample sites where collections were made by Timberline and GCWIN. Some of these riffle sites are located in the same location as the spawning bar sites, and results are used for both the pebble count and RSI analysis. Embeddedness of each measured particle was evaluated and the presence of aquatic vegetation noted. ### Objective #3 – Fish Sampling Fish population data were provided in early 2018 by Mr. Jon Ewert, CPW Fisheries Biologist, Hot Sulphur Springs, CO (see Ewert 2018a and 2018b in Appendix C). Fraser River 2017 fish collections were made in September and October at four sites, including Kaibab Park in Granby, Grand County Water and Sanitation District #1 (GCWSD#1) property just upstream of Tabernash, at Safeway in Fraser, and at Confluence Park in Winter Park (Figure 1). At each site, mark-recapture population estimates were made by electrofishing while wading. Colorado River 2017 fish collections were made in September at the two-mile Parshall to Sunset monitoring site by raft-mounted electrofishing. A mark-recapture population estimate was made. 2.4 Objective #4 – Trends and Relationships Where appropriate, statistical analyses were performed using Statistix 10 software (Analytical Software 2013) to investigate trends and relationships between the monitored parameters. For the 2017 analysis, we applied the Wilcoxon Rank Sum Test to compare MMI and other macroinvertebrate metrics between different sample types employed at the same sites and times. Comparisons were also made between MMI values for samples collected in the dry year 2012 with those from more recent wetter years. The significance level was set at $p \leq 0.05$. The Wilcoxon Rank Sum Test is a non-parametric procedure that tests for differences in the central values of samples from two independent samples. Non-parametric statistics have been consistently applied since the initiation of this annual monitoring effort due to the lack of normality commonly associated with the distribution of environmental data. Stream flow data required for the assessment outlined in the four objectives is provisional, obtained from the U.S. Geological Survey (USGS) for gage 09033100 (Ranch Creek below Meadow Creek near Tabernash, CO), gage 09034250 (Colorado River at Windy Gap), and gage 09058000 (Colorado River near Kremmling, CO). Northern Water provided 2017 stream flow data for their gages on Fraser River at Granby, Colorado River at Hot Sulphur Springs, Colorado River near Parshall, and Colorado River below KB Ditch. Flood frequency analysis by the Log Pearson III Method for water years 1986 – 2016 was conducted for the Fraser River at Granby, the Colorado River at Windy Gap, the Colorado River near Parshall, and the Colorado River at Kremmling (http://ponce.sdsu.edu/onlinepearson.php). These analyses can be found in Appendix A. The 3-year return interval flow events were estimated for each of these stations by interpolation between the 2- and 5-year events. Sediment composition in the spawning bars and channel riffles were reviewed and compared to threshold values identified by the CWQCC 2014 guidelines. Threshold values for salmonid spawning habitat protection at spawning bars is based on levels that are less than 20% fines smaller (finer) than 8 mm, and for macroinvertebrate protection these levels are less than 27.5% fines smaller (finer) than 2 mm in the riffles. 3 RESULTS AND DISCUSSION 3.1 Fraser River 3.1.1 2017 Streamflow Regime 2017 spring runoff in the Fraser River watershed was lower than those observed in 2014 to 2016, but 6.5 and 1.6 times higher than those experienced in the dry years of 2012 and 2013, respectively (Figure 2 and Table 4). The Fraser River at Granby peaked near mid-June at 1,028 cubic feet per second (cfs), while the peak observed on its tributary Ranch Creek was 272 cfs. The peak on the Fraser has a return interval slightly lower than 3-years based on the 1986 to 2016 period of record (Appendix A). Flows remained high throughout June declining to base levels in July. The recommended flushing flows (Table 4) on the Fraser River and Ranch Creek were exceeded in both magnitude and duration. 3.1.2 Spawning Habitat The predominant substrate type observed at both the Ranch Creek and Fraser River spawning bar sites in 2017 was coarse gravel (32 – 64 mm), while small cobble was the sub-dominant particle size (64 – 128 mm) (Table 5). Both spawning bars were exceptionally clean, with only 5% embeddedness observed at F-RC2 and 2% at F9. Both embeddedness values were the lowest recorded for these sites since monitoring began in 2010 (Figure 3) and likely reflect the effects of high spring runoff, which exceeded the flushing flow recommendations at both sites the past several years. Based on the CWQCC 2014 guideline for salmonid spawning habitat protection of less than 20% of surface particles less than 8 mm, neither bar was impaired by sediment. Filamentous green algae were observed at the Ranch Creek site at 38% of the pebble count locations, while no aquatic vegetation was observed on the Fraser River at site F9. Bed material mobilization occurred in 2017 at both the Fraser River and Ranch Creek sites based upon RSI analyses (Figure 4 and Table 6). Calculations indicate that at F9, the mean size of the largest particles transported was 111 mm (small cobble) and 43% of the riffle substrate was estimated to have been mobilized. Results were similar at F-RC2, where the mean was 104 mm (small cobble) and the percent mobilized was estimated to be 34%. These findings are comparable to those of 2014 to 2016 (Table 7), and support our observation last year (Tetra Tech and HabiTech 2017) that peak flows in the range of the 3-year return interval (1,072 cfs for the Fraser River at Granby) are sufficient for cobble mobilization and riffle cleaning. Both RSI riffles were found to be clean in 2017, with only 4% embeddedness at F9 and 9% at F-RC2. Observations of the riffles at both sites indicate minimal to non-existent presence of sand and finer sediments (< 2mm), well below the CWQCC guideline threshold of 27.5% to prevent sediment impacts to macroinvertebrate communities in Sediment Region 1. Figure 2 April through October hydrographs for Fraser River (2010-2017) and Ranch Creek below Meadow Creek (2014-2017) in Grand County, CO. Hydrographs depict time period of interest or as limited by available data. Table 4 Comparison of flushing flow recommendations ($Q_{FF}$) to stream flow records for Fraser River monitoring sites, 2010-2017. | SMP Reach | $Q_{FF}$ SMP Recommended Flushing Flow (CFS) | 2010 Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | 2011 Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | 2012 Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | 2013 Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | 2014 Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | 2015 Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | 2016 Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | 2017 Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | |-----------|---------------------------------------------|-------------------------------|------------------|-------------------------------|------------------|-------------------------------|------------------|-------------------------------|------------------|-------------------------------|------------------|-------------------------------|------------------|-------------------------------|------------------|-------------------------------|------------------| | F9 | 400 | 1767 | 41 | 1519 | 81 | 157 | 0 | 650 | 16 | 2256 | 76 | 1425 | 44 | 1351 | 54 | 1028 | 21 | | F-RC2 | 150 | | | | | | | | | | | | | | | | | 1 Recommended minimum peak flow for 3 days, 1 in 2 years. 2 Multiple consecutive day periods occurred. Table 5 Pebble count summary for Fraser River Grand County spawning bar study sites, September 2017. | Class Size (mm) | F-RC2 RC Blw MC Sept 2017 | F9 FR Granby Ranch Sept 2017 | |-----------------|---------------------------|------------------------------| | 0-2 | 0 | 0 | | 2-4 | 0 | 0 | | 4-8 | 0 | 0 | | 8-16 | 2 | 2 | | 16-32 | 6 | 17 | | 32-64 | 58 | 50 | | 64-128 | 33 | 28 | | 128-256 | 1 | 2 | | 256-512 | 1 | | | 512-1024 | | | | 1024-2048 | | | | 2048-4096 | | | | Sum | 100 | 100 | | % Embedded | 5 | 2 | Figure 3 Percent of spawning bar embedded at Fraser River and Ranch Creek sites, 2010-2017. Figure 4 Riffle Stability Index (RSI) results for the Fraser River and Ranch Creek sites, 2017 (red line represents sample gradation, blue line represents percent of mobilized riffle substrate, and black line represents mean of the largest bar size material mobilized). Table 6 Pebble count summary for Fraser River Grand County Riffle Stability Index (RSI) spawning bar study sites, September 2017. | SMP Reach | F-RC2 | F9 | |-----------|-------|----| | Site Name | RC blw MC | FR Granby Ranch | | Date | Sept 2017 | Sept 2017 | | Class Size (mm) | Count | Count | | 0-2 | 0 | 0 | | 2-4 | 0 | 0 | | 4-8 | 1 | 0 | | 8-16 | 4 | 2 | | 16-32 | 10 | 23 | | 32-64 | 87 | 81 | | 64-128 | 77 | 70 | | 128-256 | 18 | 23 | | 256-512 | 4 | 1 | | 512-1024 | | | | 1024-2048 | | | | 2048-4096 | | | | Sum | 201 | 200 | | Mean Bar Particle Size (mm) | 104 | 111 | | RSI (%) | 34 | 43 | | % embedded | 9.0 | 4.0 | Table 7 Comparison of Riffle Stability Index (RSI) at Fraser River monitoring sites, 2014-2017. | LBD Reach | Year | Mean Daily Peak Flow (Qp) (cfs) | Qp Times>QFF | # Days >QFF | Mean Bar Particle Size (mm) | % Riffle Mobilized | % Riffle Embedded | |-----------|------|---------------------------------|--------------|-------------|-----------------------------|--------------------|-------------------| | F-RC2 | 2014 | ND | ND | | 125 | 49 | 6.0 | | | 2015 | 417 | 2.8 | 30 | 114 | 45 | 13.2 | | | 2016 | 404 | 2.7 | 49 | 81 | 17 | 13.0 | | | 2017 | 272 | 1.8 | 17 | 104 | 34 | 9.0 | | F9 | 2014 | 2256 | 5.6 | 76 | 136 | 30 | 12.2 | | | 2015 | 1425 | 3.6 | 44 | 105 | 31 | 4.5 | | | 2016 | 1351 | 3.4 | 54 | 59 | 20 | 6.5 | | | 2017 | 1028 | 2.6 | 21 | 111 | 43 | 4.0 | 1 Mean diameter of 30 largest recently deposited on bar 2 Estimated % of riffle potentially mobilized QFF=flushing flow, Qp=peak flow 3.1.3 Macroinvertebrate Community 2017 benthic macroinvertebrate sample results are provided in Tables 8 and 9. Table 8 presents the individual metric and MMI scores as well as the auxiliary metrics and aquatic life use designations, while Table 9 presents the additional metrics described in the Methods chapter, Section 2.2. The Colorado Division of Water Quality’s Bioassessment Reports are provided in Appendix B. Overall, the health of the Fraser River watershed macroinvertebrate community improves in a downstream direction based on the 2017 results (Figure 5), with good diversity and density to support the aquatic system. Giant stoneflies (*Pteronarcys californica*), an important food source for trout and other aquatic/riparian organisms, were collected in the lower Fraser River. The two upstream sites, FR-abv WPSD and FR-Rendezvous, were designated as impaired, while the FR-FrSpProj site at the head of Fraser Flats fell into the “gray zone” based on its MMI score, but was designated as not impaired due to its low HBI and high SDI scores. All other Fraser River and Ranch Creek sites attained their aquatic life use designation in 2017. Individual MMI metrics that rated especially low at the two impaired sites on the Fraser River were the number of clinger taxa and the percent of sensitive families present (Table 8). Clingers are those benthic macroinvertebrates that attach or “cling” to substrate surfaces that are typically free of silt and fine sediment, while the sensitive families’ metric varies inversely with a variety of environmental stressors (Rees 2009). Taxa richness and the number of EPT taxa (mayflies, stoneflies, caddisflies) were also the lowest observed at any of the Fraser River watershed sites (Table 9), both of which vary inversely with environmental stress, while the percent of chironomid larvae was the highest observed, a metric which typically increases with perturbation. Although it is difficult to identify the exact cause of impairment at these sites, it is certainly possible that the long history of traction sand loading to the upper Fraser River watershed and the release of semi-volatile organic carbons into the Fraser from the Moffat Railroad Tunnel upstream of Winter Park may have contributed (Tetra Tech and HabiTech 2017). The health of the Ranch Creek macroinvertebrate community has remained quite stable in recent years and has achieved its aquatic life use designation for all sample years and sites (Table 10 and Figure 5). The Fraser River sites have shown more variability over time, although the improving downstream trend observed in 2017 generally holds true. In all years for which samples were collected, the highest MMI scores occurred at the lowermost site, FR-abvGSD, and in all cases, aquatic life use designation was achieved (Table 10). All other Fraser River sites have been designated as impaired in at least one sample year, with the FR-Rendezvous site so designated in 5 of the 6 years the macroinvertebrate community has been sampled. Likewise, both the FR-abvWPSD above Winter Park and the FR-CR83 upstream of Tabernash have been impaired in 4 of 6 years, although this latter site attained its designated use in both 2016 and 2017. Improved condition was also observed in 2017 at the FR-FrSpPro site at Fraser Flats where the macroinvertebrate community diversity improved sufficiently for the site to achieve attainment. While no clear trends between streamflow and macroinvertebrate community health are evident from Table 10, it is of interest to note the lowest MMI scores were realized at 3 of 4 sample sites in the low water year of 2012 when flushing flow levels were not reached, embeddedness was the highest observed since monitoring began, and some water quality/contamination effects may have been magnified by the low flow conditions. **Table 8** Individual metrics and MMI scores from benthic macroinvertebrate samples collected in the LBD Fraser River study area by Timberline Aquatics, Inc. on September 18, 2017. All metric scores based on the MMI (v3) subsampling process. | Metric | F2 | F4 | F6 | F6 | F-RC2 | F7 | F10 | |-------------------------|--------|--------|--------|--------|--------|--------|--------| | **SMP Reach** | | | | | | | | | **RM** | FR-23.2| FR-20 | FR-15 | FR-14 | RC-1.1 | FR-12.4| FR-1.9 | | **Site ID** | FR abvWPSD | FR Rendezvous | FR FrSpProj | FR CR83 | RC blwMC | FR blwCrcr | FR abvGSD | | **EP Taxa** | 37.3 | 39.1 | 68.9 | 46.6 | 57.1 | 93 | 100 | | **% Chironomidae** | 31.6 | 30.4 | 28.6 | 64.4 | 59.6 | 81.7 | 85.9 | | **% Sensitive Families**| 14.2 | 10 | 10 | 64.1 | 33.2 | 45.4 | 71.2 | | **Predator/Shredder** | | | | | | | | | **Taxa** | 85.7 | 92.9 | 64.3 | 100 | 100 | 100 | 100 | | **Clinger Taxa** | 0 | 2.5 | 71.7 | 60.7 | 69 | 55.6 | 100 | | **% Non-Insect Taxa** | 28.8 | 36.4 | 44.4 | 56.9 | 34.4 | 39 | 64.4 | | **MMI** | 32.9 | 35.2 | 48 | 65.4 | 58.9 | 69.1 | 86.9 | | **Aquatic Life Use Designation** | Impair | Impair | Attain | Attain | Attain | Attain | Attain | | **Diversity** | 3.44 | 3.08 | 3.49 | 3.82 | 3.97 | 3.46 | 4.24 | | **HBI** | 4.23 | 4.78 | 4.69 | 3.54 | 3.37 | 2.94 | 3.16 | Table 9 Additional metrics for benthic macroinvertebrate samples collected in the LBD Fraser River study area. All metric scores based on full count Hess samples. | Station ID | F2 | F4 | F6 | F6 | F-RC2 | F7 | F10 | |------------|--------|--------|--------|--------|--------|--------|--------| | RM | FR-23.2| FR-20 | FR-15 | FR-14 | RC-1.1 | FR-12.4| FR-1.9 | | Site Name | FR abvWPSD | FR Rendezvous | FR FrSpProj | FR CR83 | RC blwMC | FR blwCrcr | FR abvGSD | | Metric | | | | | | | | | Density (#/m²) | 3,866 | 10,789 | 8,284 | 8,908 | 9,388 | 11,725 | 7,934 | | Taxa Richness | 34 | 39 | 42 | 47 | 43 | 53 | 50 | | EPT | 15 | 14 | 16 | 22 | 19 | 24 | 28 | | Density of Pteronarcys californica (#/m²) | 0 | 0 | 0 | 0 | 0 | 0 | 4 | | Percent EPT excluding Baetidae | 14.49% | 10.36% | 22.50% | 46.51% | 40.28% | 55.51% | 57.79% | | Percent Chironomidae | 48.99% | 47.45% | 48.57% | 25.33% | 25.89% | 15.01% | 11.56% | Table 10 Colorado MMI and other key metric scores at the Fraser River and Ranch Creek sites sampled from 2011-2017. Sample types are described in Table 3. | SMP Reach | Site Name | Year | MMI | HBI ¹ | Shannon ² | Use Status | Sample Type ⁴ | |-----------|--------------------|------|-------|--------|-----------|------------|---------------| | CR3 | CR WGU | 2011 | 61.2 | 3.11 | 4.03 | Attain | 4 | | | | 2015 | 66.6 | 2.41 | 3.01 | Attain | 4 | | | | 2016 | 74.8 | 2.27 | 3.52 | Attain | 4 | | | | 2016 | 69.2 | 2.35 | 3.13 | Attain | 2 | | | | 2017 | 66.6 | 3.21 | 4.23 | Attain | 4 | | CR4 | CR WGD | 2011 | 62.70 | - | - | Attain | 2 | | | | 2011 | 70.80 | 2.36 | 2.97 | Attain | 4 | | | | 2012 | 43.90 | 4.93 | 4.28 | Attain | 2 | | | | 2012 | 60.80 | 2.37 | 3.29 | Attain | 2 | | | | 2012 | 65.60 | 2.34 | 3.49 | Attain | 4 | | | | 2015 | 59.60 | 3.89 | 2.10 | Attain | 2S, 1A | | | | 2015 | 61.80 | 2.48 | 2.50 | Attain | 2 | | | | 2015 | 61.00 | 2.80 | 2.83 | Attain | 4 | | | | 2016 | 64.70 | 3.10 | 2.43 | Attain | 1 | | | | 2016 | 83.00 | 2.67 | 3.62 | Attain | 2 | | | | 2016 | 80.20 | 2.63 | 3.77 | Attain | 4 | | | | 2017 | 74.60 | 2.28 | 3.94 | Attain | 4 | | CR4 | CR HSR | 2011 | 51.20 | - | - | ID ³ | 2 | | | | 2012 | 54.10 | 5.58 | 4.05 | Attain | 2 | | | | 2014 | 50.00 | 3.61 | 3.38 | Attain | 2 | | | | 2015 | 57.90 | 2.83 | 2.12 | Attain | 2S, 1A | | | | 2016 | 62.30 | 4.14 | 2.37 | Attain | 1 | | | | 2017 | 77.70 | 2.64 | 3.40 | Attain | 4 | | CR4 | CR WFU | 2017 | 78.80 | 2.38 | 2.38 | Attain | 4 | | CR5 | CR Kids' Pond | 2011 | 52.50 | - | - | Attain | 2 | | | | 2012 | 61.40 | 1.54 | 2.53 | Attain | 2 | | | | 2014 | 59.70 | 3.33 | 4.00 | Attain | 2 | | | | 2015 | 59.90 | 3.01 | 2.50 | Attain | 2S, 1A | | | | 2016 | 63.40 | 3.61 | 2.27 | Attain | 1 | | CR6 | CR KBDitch | 2011 | 61.70 | - | - | Attain | 2 | | | | 2012 | 42.30 | 3.63 | 4.17 | Attain | 2 | | | | 2014 | 45.80 | 3.22 | 3.61 | Attain | 2 | | | | 2015 | 68.30 | 2.51 | 2.02 | Attain | 2S, 1A | | | | 2016 | 64.00 | 3.50 | 2.38 | Attain | 1 | | | | 2017 | 73.20 | 3.03 | 4.23 | Attain | 4 | | CR7 | CR Blw Pumphouse | 2015 | 53.70 | 4.77 | 1.75 | Attain | 2S, 1A | | | | 2016 | 73.90 | 4.52 | 1.90 | Attain | 1 | | | | 2017 | 60.10 | 4.33 | 1.98 | Attain | 1 | ¹Hilsenoff Biotic Index ²Shannon Diversity Index (log base 2) ³Based on Hilsenoff Biotic and Shannon Diversity Indices ⁴Sample types are described in Table 3 and A = analytical protocol; S = sampling protocol NS = Not Sampled; “-” = Data not provided Figure 5 Trend of Fraser River and Ranch Creek MMI scores from upstream to downstream for 2015-2017. Red and green dashed lines depict boundaries of MMI “gray zone.” Pebble count summaries for each of the 2017 macroinvertebrate sample sites on the Fraser River and Ranch Creek are presented in Table 11 and compared with 2015 and 2016 values. Small cobble (64-128 mm) was the predominant substrate size at each riffle site, while the sub-dominant varied between very coarse gravel (32-64 mm) and medium cobble (128-256 mm), dependent upon site and year. Areas of sand and finer sediments (< 2 mm) at the time of sampling were minimal to non-existent at all sites, well below the CWQCC guideline threshold of 27.5% to prevent sediment impacts to macroinvertebrate communities in Grand County (Sediment Region 1). Substrate embeddedness was low in 2017 ranging from about 4 up to 17%. The highest degree of embeddedness occurred on the Fraser River above County Road 83, Fr CR83 83 at the FrSpProj site. Table 11 Pebble count summary at macroinvertebrate sites on the Fraser River and Ranch Creek, 2015-2017. | SMP Reach | F2 | F4 | F6 | F6 | F7 | F10 | F-RC2 | |-----------|-------------|-------------|-------------|-------------|-------------|-------------|-------------| | RM | FR 23.2 | FR 20 | FR 15 | FR 14 | FR 12.4 | FR 1.9 | RC-1.1 | | Site Name | FR AbvWPSD | FR Rendevous| FR FrSpProj | FR CR83 | FR blw CrCk | FR abv GSD | RC blw MC | | Class Size (mm) | 2015 | 2016 | 2017 | 2015 | 2016 | 2017 | 2015 | 2016 | 2017 | 2015 | 2016 | 2017 | 2015 | 2016 | 2017 | 2015 | 2016 | 2017 | | 0-2 | | | | | | | | | | | | | | | | | | | | 2-4 | | | | | | | | | | | | | | | | | | | | 4-8 | | | | | | | | | | | | | | | | | | | | 8-16 | | | | | | | | | | | | | | | | | | | | 16-32 | 5 | 3 | 7 | 3 | 2 | 1 | 2 | 3 | 5 | 6 | 2 | 1 | 1 | 2 | 26 | 4 | | | | 32-64 | 19 | 30 | 27 | 18 | 11 | 7 | 18 | 25 | 9 | 8 | 15 | 28 | 24 | 19 | 32 | 20 | 37 | 58 | 29 | | 64-128 | 56 | 50 | 48 | 46 | 71 | 53 | 46 | 57 | 57 | 57 | 49 | 45 | 56 | 67 | 46 | 55 | 55 | 10 | 44 | | 128-256 | 15 | 16 | 16 | 27 | 18 | 35 | 29 | 13 | 28 | 33 | 35 | 20 | 11 | 14 | 22 | 24 | 6 | 2 | 17 | | 256-512 | 8 | 2 | 2 | 10 | 1 | 4 | 3 | 2 | 5 | 5 | 2 | 1 | 1 | | | | | | | | 512-1024 | 1 | | | | | | | | | | | | | | | | | | | | 1024-2048 | | | | | | | | | | | | | | | | | | | | | 2048-4096 | | | | | | | | | | | | | | | | | | | | | Sum | 104 | 101 | 101 | 104 | 101 | 103 | 100 | 103 | 102 | 106 | 101 | 101 | 100 | 102 | 101 | 100 | 100 | 101 | 101 | | % Embedded | 27 | 2 | 8 | 14 | 1 | 4 | 20 | 17 | 6 | 10 | 13 | 12 | 9 | 36 | 2 | 4 | 5 | 8 | 13 | 3.1.4 Fish Populations A summary of Fraser River fish population estimates made by CPW in 2017 are presented in Figure 6 and Table 12, and compared with other years and sites. 2017 results are presented and discussed in greater detail in the CPW publication, “Fraser River, Fish Survey and Management Information” (Ewert 2018a) which is provided in Appendix C. At the Kaibab Park site, located immediately downstream of Highway 40 in Granby, brown trout (*Salmo trutta*) standing crop (114 lbs/acre) and fish per mile (1464 > 6” per mile) estimates were the highest observed since monitoring began in 2009. An estimated nineteen brown trout exceeded 14” in length. Applying the CPW biological criteria of 60 lbs/acre and at least 12 trout > 14”/acre to be classified as a “Gold Medal” fishery, the Kaibab Park site would qualify again in 2017 as it did in 2009 to 2011 and 2013 to 2015. “Gold Medal” is an administrative designation placed on a water body by the CPW Commission and at present, no section of the Fraser River has been so designated. Ewert (2018a) points out that these high brown trout numbers and biomass may be due to 2017 being a mid-range flow year with high flows not great enough to flush out juvenile fish and lower flows sufficient to hold larger fish. Few rainbow trout (*Oncorhynchus gairdneri*) and no brook trout (*Salvelinus fontinalis*) were captured at this site in 2017. Mottled sculpin (*Cottus bairdi*) were again collected at Kaibab Park in 2017. The Fraser River on the GCWSD#1 property located between Fraser and Tabernash has been sampled several times in recent years and serves as the monitoring site to gauge success of the habitat improvement project just completed on Fraser Flats, which is also located on the GCWSD#1 property. Project objectives were to reduce the high width-to-depth ratio, provide better thalweg definition, increase the number and depth of pools, and reduce excessive riffles (Ewert 2018a). Based on the 2017 fish collections made just several weeks after completion, early results suggest the project has been a success. The total trout biomass, predominantly brown trout, increased from 33 lbs/acre in 2016 to 127 lbs/acre in fall 2017, almost a four-fold increase, and the number of quality trout (>14”) went from 8 to 41/acre, a five-fold increase (Figure 6 and Table 12). These numbers well-exceed the Gold Medal benchmarks discussed earlier. Also encouraging was the continued collection of wild-spawned age-0 rainbow trout, suggesting a wild rainbow fishery may be developing in this area. Mottled sculpin were again collected in 2017. The Safeway station at Fraser is the most long-term of the Fraser River fish collection sites, with sampling initiated in 2003 just prior to a habitat improvement project located within the sampling station. Based upon the results presented in Figure 6 and Table 12, it is apparent the project has been a success. In recent years the total trout biomass has been stable, measuring 190 lbs/acre in 2017, with brown trout the predominant species accounting for about 64% of this total. Rainbow trout accounted for 14%, a proportion that has been declining in recent years with the cessation of rainbow stocking in 2013. The remaining 22% of the total trout biomass was composed of brook trout in 2017. The number of quality trout (>14”) has been gradually declining in recent years, with an estimate of 19/acre in 2017, down from 40/acre in 2013 and 70/acre in 2008. The high number observed in 2008 was the result of stocking large rainbows in an attempt to initiate a wild-spawned population. However, it is interesting to note that in recent years the percentage of these trophy fish that are rainbow trout has been increasing from 25% in 2013 to 58% in 2017. Ewert (2018a) indicates 2018 fish collections will be important for determining if the rainbow trout population here will be capable of sustaining itself in the long-term. Several factors may contribute to the decline in larger brown trout, including 1) the loss of small stocked rainbows as a food source, 2) recent high water years that may displace juvenile browns downstream thereby reducing recruitment, and 3) cooler water temperatures associated with high spring runoff that may place brown trout at a disadvantage (Ewert 2018a). Despite the observed decline in trophy fish numbers, this site continues to exceed the “Gold Medal” biological benchmarks. Mottled sculpin have been collected over the years at the Safeway site. The trout population at the Confluence Park station, located at the confluence of the Fraser and Vasquez Creek in Winter Park, has been more variable than at other Fraser River long-term sites. In 2017, total trout biomass was estimated at 54 lbs/acre, the lowest estimate in the 8 years of sampling since 2006, and only 2 fish of trophy size were collected, both metrics less than the “Gold Medal” benchmarks. An interesting aspect of this fish population has been the shift in species composition over the period of record. In 2006, brook trout accounted for over 90% of the biomass. By 2012, following successful stocking of fingerlings, rainbow trout comprised over 96% of the population by weight and brook and brown trout had virtually disappeared. Once rainbow trout stocking ceased in 2013, both brook and brown trout populations rebounded, comprising 48 and 37%, respectively, of the total trout biomass by 2017. Most of these fish were small (< 10”) reflecting the small size of the stream at this location and the cooler water temperatures at this elevation, although one 18” brown trout was collected. These findings suggest a rainbow trout population can’t be sustained here in the absence of stocking (Ewert 2018a) and has rapidly been outcompeted by both other species. Mottled sculpin have been collected over the years at Confluence Park since 2006. Fish sampling was not conducted at the Idlewild Campground station, located near Winter Park ski resort, in 2017, where declines were reported for populations of all three trout species present in 2016. This site will again be monitored in the future (Ewert 2018a). The Behler Creek station was also not sampled in 2017. Table 12 Summary of CPW fish population data for the Fraser River in Grand County, 2003-2017. | Site | Year | Brown Trout (lbs/acre) | (#>14" /acre) | Rainbow Trout (lbs/acre) | (#>14" /acre) | Brook Trout (lbs/acre) | Total Trout (lbs/acre) | Sculpin (#) | |---------------|------|-----------------------|---------------|--------------------------|---------------|------------------------|------------------------|-------------| | Idlewild | 2014 | 15 | 0 | 34 | 0 | 65 | 114 | 69 | | | 2016 | 11 | 0 | 16 | 0 | 39 | 66 | 60 | | Confluence Park | 2006 | 6 | 0 | 2 | 0 | 81 | 89 | 80 | | | 2007 | 2 | 0 | 40 | 8 | 29 | 71 | 188 | | | 2009 | 4 | 3 | 13 | 3 | 48 | 65 | 38 | | | 2012 | 0 | 0 | 123 | 0 | 4 | 127 | 211 | | | 2013 | 0 | 0 | 53 | 0 | 10 | 63 | 234 | | | 2014 | 3 | 0 | 74 | 0 | 31 | 108 | 99 | | | 2015 | 7 | 0 | 48 | 0 | 34 | 89 | 121 | | | 2017 | 20 | | 8 | | 26 | 54 | | | Safeway | 2003 | 1 | 0 | 1 | 0 | 10 | 12 | 159 | | | 2006 | 34 | 0 | 35 | 13 | 29 | 98 | 178 | | | 2007 | 56 | 10 | 70 | 23 | 15 | 141 | 160 | | | 2008 | 81 | 17 | 139 | 53 | 27 | 247 | 191 | | | 2009 | 57 | 20 | 30 | 10 | 19 | 106 | 176 | | | 2010 | 47 | 17 | 7 | 3 | 44 | 98 | 431 | | | 2011 | 55 | 27 | 30 | 3 | 17 | 102 | 292 | | | 2012 | 69 | 17 | 69 | 0 | 25 | 163 | 550 | | | 2013 | 116 | 30 | 48 | 10 | 16 | 180 | 355 | | | 2014 | 92 | 20 | 53 | 14 | 15 | 160 | 122 | | | 2015 | 94 | 11 | 50 | 11 | 39 | 183 | 249 | | | 2016 | 100 | 11 | 46 | 17 | 31 | 177 | 148 | | | 2017 | 121 | 8 | 27 | 11 | 42 | 190 | | | GCWSD#1 | 2007 | 33 | 3 | 9 | 3 | 2 | 44 | | | | 2016 | 26 | 6 | 6 | 2 | 1 | 33 | 971 | | | 2017 | 111 | 33 | 16 | 8 | 0 | 127 | 264 | | Behler Creek | 2015 | 148 | 39 | 9 | 4 | | 157 | 452 | | Granby Ranch | 2016 | 41 | 11 | - | - | | 41 | 45 | | Kaibab Park | 2009 | 76 | 18 | - | - | | 76 | 256 | | | 2010 | 62 | 23 | - | - | | 62 | 466 | | | 2011 | 60 | 14 | - | - | | 60 | 533 | | | 2012 | 56 | 4 | - | - | | 56 | 1279 | | | 2013 | 87 | 16 | - | - | | 87 | 521 | | | 2014 | 73 | 22 | - | - | | 73 | 262 | | | 2015 | 71 | 16 | - | - | | 71 | 469 | | | 2017 | 114 | 19 | - | - | | 114 | 249 | Figure 6 CPW trout biomass estimates (2003-2017) for Fraser River sites sampled in 2017. 3.2 Colorado River 3.2.1 2017 Streamflow Regime 2017 spring runoff on the Colorado River through Grand County was somewhat lower than those observed in 2014 to 2016, but 3.7 to 9.1 times higher than those experienced in the dry years of 2012 and 2013 (Figure 7 and Table 13). Streamflows peaked in mid- to late June and ranged from 2,238 cfs below Windy Gap to 4,280 cfs at Kremmling. These peaks had an estimated return interval of about 4 years based upon the 1986 to 2016 period of record (Appendix A). Flows generally remained high through June and early July declining toward base flow levels by mid-July. Late summer releases from William’s Fork and Green Mountain Reservoirs kept baseflows somewhat elevated through Reaches CR5, 6, and 7, delaying some field sampling until October. The recommended flushing flows (Table 13) on the Colorado River through Grand County were exceeded in both magnitude and duration during 2017. Figure 7 Hydrographs for April through October 2010-2017 for five Colorado River stream gage stations in Grand County, Colorado. Hydrographs depict time period of interest or as limited by available data. Figure 7 continued. Hydrographs for April through October 2010-2017 for five Colorado River stream gage stations in Grand County, Colorado. Hydrographs depict time period of interest or as limited by available data. Figure 7 continued. Hydrographs for April through October 2010-2017 for five Colorado River stream gage stations in Grand County, Colorado. Hydrographs depict time period of interest or as limited by available data. Table 13 Comparison of flushing flow recommendations ($Q_{FF}$)$^1$ to stream flow records for Colorado River monitoring sites, 2010-2017. | SMP Reach | $Q_{FF}$ SMP Recommended Flushing Flow (CFS) | 2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | |-----------|---------------------------------------------|------|------|------|------|------|------|------|------| | | Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | Peak Flow (mean daily cfs) | #Days > $Q_{FF}$ | | CR4 | 600 | 2160 | 40 | 4930 | 134 | 245 | 0 | 693 | 3 | 3210 | 10,60,4,4 | 4140 | 81 | 2501 | 60 | 2238 | 8, 28 | | CR5 | 800 | 3512 | 40 | 5718 | 137 | 460 | 0 | 1088 | 3 | 4419 | 93,4 | 4539 | 80 | 3206 | 63 | 2739 | 10, 5, 30 | | CR6 | 850 | 3596 | 38 | 4993 | 141 | 573 | 0 | 1119 | 4 | 4348 | 80,4,4 | 4565 | 77 | 3080 | 61 | 2972 | 10, 3, 28 | | CR7 | 2500 | 5870 | 30 | 9480 | 96 | 1160 | 0 | 1680 | 0 | 7670 | 79,3 | 7820 | 8,54 | 4770 | 49 | 4280 | 21 | $^1$ Recommended minimum peak flow for 3 days, 1 in 2 years. $^2$ Multiple consecutive day periods occurred. 3.2.2 Spawning Habitat The predominant substrate type observed at three of the four Colorado River spawning bar sites in 2017 was very coarse gravel (32 – 64 mm), similar to previous years, with small cobble (64 – 128 mm) and coarse gravel (16 – 32 mm) the sub-dominant particle sizes (Table 14). At the CR5 site, small cobble again predominated the substrate, with very coarse gravel the sub-dominant. All four spawning bars were exceptionally clean, with no embedded particles at CR4 and CR6, and less than 3% at CR5 and CR7. These embeddedness values were among the lowest recorded for these sites since monitoring began in 2010 (Figure 8) and likely reflect the effects of high spring runoff, which exceeded flushing flow recommendations at all four sites. Based on the CWQCC (2014) guideline for salmonid spawning habitat protection of less than 20% of surface particles less than 8 mm, none of the four Colorado River spawning bars were impaired by sediment. Pebble counts at CR5 and CR7 indicated only about 1% of their bed surfaces were < 8 mm, while no such areas were observed at CR4 and CR6. Aquatic vegetation was sparse in 2017, with filamentous green algae observed at 1% of pebble count locations at CR4 and 6% at the CR6 site. No aquatic vegetation was noted at CR5 and CR7. Table 14 Pebble count summary for Colorado River Grand County spawning bar study sites, September 2017. | Class Size (mm) | CR4 | CR5¹ | CR6 | CR7 | |-----------------|--------------|--------------|--------------|--------------| | | CR at Ppark | CR Blw WF | CR Blw KB Ditch | CR Blw Pumphouse | | Sept 2017 | Oct 2017 | Sept 2017 | Oct 2017 | | 0-2 | 0 | 2 | 0 | 0 | | 2-4 | 0 | 0 | 0 | 0 | | 4-8 | 0 | 0 | 0 | 1 | | 8-16 | 2 | 0 | 0 | 14 | | 16-32 | 20 | 6 | 7 | 37 | | 32-64 | 59 | 78 | 74 | 45 | | 64-128 | 18 | 91 | 17 | 4 | | 128-256 | 3 | 22 | 2 | | | 256-512 | 2 | 0 | | | | 512-1024 | | | | | | 1024-2048 | | | | | | 2048-4096 | | | | | | Sum | 102 | 201 | 100 | 101 | | % Embedded | 0 | 2.5 | 0 | 3 | ¹RSI conducted at spawning bar sample site Bed material mobilization occurred in 2017 at all four Colorado River sites based upon RSI analyses (Figure 9 and Table 15). Calculations indicate that at CR4, the mean size of the largest particles transported was 129 mm (medium cobble) and an estimated 50% of the riffle substrate was mobilized. Results were similar at the other sites, with a mean size of 126.5 mm (small cobble) and up to 42% mobilization at CR5, 112 mm mean (small cobble) and up to 40% mobilization at CR6, and 132.9 mm mean (medium cobble) and up to 42% mobilization at CR7. These findings are comparable to those of 2014 to 2016 (Table 16), and are supportive of observation last year (Tetra Tech and HabiTech 2017) that peak flows in the range of the 3-year return interval event are sufficient to initiate cobble mobilization and riffle maintenance. The 3-year events for the three Colorado River gage stations analyzed are estimated to be 1,702 cfs at Windy Gap, 2,239 cfs near Parshall, and 3,890 cfs at Kremmling (Appendix A). All four of the Colorado River RSI riffles were exceptionally clean in 2017, with less than 3% embeddedness at each. Likewise, sand and finer (<2 mm) substrate was observed at less than 1% of pebble count locations in the RSI riffles, well below the CWQCC guideline threshold of 27.5% to prevent impacts to macroinvertebrate communities in Sediment Region 1. Figure 9 Riffle Stability Index (RSI) results for the four Colorado River spawning bar sites, 2017 (red line represents sample gradation, blue line represents percent of mobilized riffle substrate, and black line represents mean of the largest bar size material mobilized). Table 15 Pebble count summary for Colorado River, Grand County Riffle Stability Index (RSI) spawning bar study sites, September 2017. | SMP Reach | CR4 | CR5 | CR6 | CR7 | |-----------|--------------|--------------|--------------|--------------| | Site Name | CR at Ppark | CR Blw WF | CR Blw KB Ditch | CR blw Pumphouse | | Date | Sept 2017 | Oct 2017 | Sept 2017 | Oct 2017 | | Class Size (mm) | Count | Count | Count | Count | | 0-2 | 0 | 2 | 0 | 0 | | 2-4 | 0 | 0 | 0 | 0 | | 4-8 | 0 | 0 | 0 | 0 | | 8-16 | 2 | 0 | 0 | 3 | | 16-32 | 21 | 6 | 7 | 50 | | 32-64 | 78 | 78 | 90 | 131 | | 64-128 | 90 | 91 | 100 | 25 | | 128-256 | 12 | 22 | 7 | | | 256-512 | 2 | 0 | | | | 512-1024 | | | | | | 1024-2048 | | | | | | 2048-4096 | | | | | | Sum | 203 | 201 | 204 | 209 | | Mean Bar Particle Size (mm) | 129 | 126.5 | 112 | 133 | | RSI (%) | 50 | 42 | 40 | 46 | | % embedded | 0.5 | 2.5 | 0.5 | 3.0 | Table 16 Comparison of Riffle Stability Index (RSI) at Colorado River monitoring sites, 2014-2017. | LBD Reach | Year | Mean Daily Peak Flow ($Q_p$) (cfs) | $Q_p$ Times > $Q_{FF}$ | # Days > $Q_{FF}$ | Mean Bar Particle Size (mm) | % Riffle Mobilized (%) | % Riffle Embedded (%) | |-----------|------|-----------------------------------|------------------------|------------------|-----------------------------|-----------------------|-----------------------| | CR4 | 2014 | 3210 | 5.4 | 78 | 139 | 22 | 100.0 | | | 2015 | 4140 | 6.9 | 81 | 144 | 44 | 3.9 | | | 2016 | 2501 | 4.2 | 60 | 117 | 12 | 5.0 | | | 2017 | 2238 | 3.7 | 36 | 129 | 50 | 0.5 | | CR5 | 2014 | 4419 | 5.5 | 97 | 134 | 21 | 7.9 | | | 2015 | 4539 | 5.7 | 80 | 129 | 39 | 4.6 | | | 2016 | 3206 | 4.0 | 63 | 133 | 34 | 12.9 | | | 2017 | 2739 | 3.4 | 45 | 126.5 | 42 | 2.5 | | CR6 | 2014 | 4348 | 5.1 | 88 | 121 | 32 | 3.8 | | | 2015 | 4565 | 5.4 | 77 | 110 | 30 | 4.5 | | | 2016 | 3080 | 3.6 | 61 | 96 | 30 | 6.5 | | | 2017 | 2972 | 3.5 | 41 | 112 | 49 | 0.5 | | CR7 | 2014 | 7670 | 3.1 | 82 | 105 | 37 | 18.0 | | | 2015 | 7820 | 3.1 | 62 | 136 | 40 | 8.5 | | | 2016 | 4770 | 1.9 | 49 | 132 | 37 | 6.4 | | | 2017 | 4280 | 1.7 | 21 | 132.9 | 46 | 3.0 | 1 Mean diameter of 30 largest recently deposited on bar 2 Estimated % of riffle potentially mobilized 3 Heavy didymo bloom $Q_{FF}=$ flushing flow, $Q_p=$ peak flow ### 3.2.3 Macroinvertebrate Community 2017 benthic macroinvertebrate sample results are provided in Tables 17 and 18. Table 17 presents the individual metric and MMI scores as well as the auxiliary metrics and aquatic life use designations, while Table 18 presents the additional metrics described in the Methods chapter, Section 2.2. The Colorado Division of Water Quality’s Bioassessment Reports are provided in Appendix B. Samples from CR3, CR4, and CR6 were collected by Timberline Aquatics, Inc. The sample from CR7 was collected by GCWIN. Based on benthic macroinvertebrate sampling in 2017 the overall health of the Colorado River through Grand County appears to have good diversity and density and is supportive of the aquatic community. All sites attained their designated use, with none found to be impaired. Giant stoneflies were collected at 5 of the 6 Colorado River sites and for the first time for LBD sampling, the species was found at all sites downstream of Windy Gap reservoir. As noted in Table 3, Timberline sampling methodologies used in 2017 use a full count method whereas in past years the sampling used a partial set, so it is possible that results differ in part due to methodology. Densities ranged from 4 per m$^2$ below Windy Gap and KB Ditch sites up to 175 per m$^2$ at the most downstream site, Pumphouse. The Pumphouse site did have the lowest overall density and diversity of the Colorado River sites, perhaps the result of extended late season flows delaying sample collection until October 27, well past the October 1 deadline recommended by CDPHE (CDPHE 2010) for evaluating optimum benthic macroinvertebrate conditions. Also, the difference in sampling and analytical protocols used at the Pumphouse site (Type 1 versus Type 4 at all other sites, (see Table 3). **Table 17** Individual metrics and MMI scores from benthic macroinvertebrate samples collected in September and October, 2017. All metric scores based on MMI (v3) subsampling process. | Station ID | CR3 | CR4 | CR4 | CR4 | CR6 | CR7 | |------------|-------|-------|-------|-------|-------|-------| | RM | CR 31 | CR 28.7 | CR 22.9 | CR 16.7 | CR 9.1 | | | Site Name | CR WGU | CR WGD | CR HSU | CR WFU | CR KBDitch | CR blw Pumphouse | | Metric | EP Taxa | % Chironomidae | % Sensitive Families | Predator/Shredder Taxa | Clinger Taxa | % Non-Insect Taxa | MMI | |-------------------------|---------|----------------|----------------------|------------------------|--------------|-------------------|-----| | | 100 | 52.9 | 21.3 | 78.6 | 100 | 46.6 | 66.6| | | 100 | 99.8 | 36.8 | 92.9 | 100 | 17.9 | 74.6| | | 100 | 92 | 48.8 | 92.9 | 100 | 32.7 | 77.7| | | 100 | 90.1 | 36.4 | 100 | 100 | 46.6 | 78.8| | | 100 | 75 | 46.2 | 78.6 | 100 | 39.2 | 73.2| | | 63.4 | 47.6 | 16.5 | 57.1 | 100 | 76.3 | 60.1| | Auxiliary Metrics | Attain | Attain | Attain | Attain | Attain | Attain | |-------------------------|--------|--------|--------|--------|--------|--------| | Diversity | 4.23 | 3.94 | 3.4 | 4.11 | 4.23 | 1.98 | | HBI | 3.21 | 2.28 | 2.64 | 2.38 | 3.03 | 4.33 | Table 18 Additional metrics and comparative values for macroinvertebrate samples collected at Colorado River sampling sites in September and October, 2017. | Station ID | CR3 | CR4 | CR4 | CR4 | CR6 | CR7 | |------------|-------|-------|-------|-------|-------|-------| | RM | CR 31 | CR 28.7 | CR 22.9 | CR 16.7 | CR 9.1 | | | Site Name | CR WGU | CR WGD | CR HSU | CR WFU | CR KBDitch | CR blw Pumphouse | | **Metric** | | | | | | | | Density (#/m²) | 8,488 | 6,589 | 8,736 | 6,938 | 8618 | 5791 | | Taxa Richness | 52 | 49 | 49 | 53 | 49 | 24 | | EPT | 25 | 28 | 27 | 29 | 25 | 15 | | Density of *Pteronarcys californica* (#/m²) | 0 | 4 | 19 | 116 | 4 | 175 | | Percent EPT excluding Baetidae | 27.8 | 24.7 | 32.8 | 33.7 | 48.4 | 25.2 | | Percent Chironomidae | 31.7 | 2.1 | 6.9 | 5.7 | 17.0 | 35.5 | Most individual MMI metrics at the Colorado River sites in 2017 scored near or well above the mid-range of the 0 to 100 scale (Table 18). Those metrics scoring near or at the optimum (100) for most or all sites were the number of clinger taxa, the number of mayfly and stonefly taxa, and the number of predator/shredder taxa present. All of these metrics are known to be inversely related to perturbation, with increasing numbers as environmental stress declines (CDPHE 2010). Two metrics were generally found to score lower system-wide, percent sensitive insect families and percent non-insect taxa, the cause of which is unknown at this time. A summary of Colorado River MMI analyses conducted since 2011 and made available by LBD partners for this monitoring report are presented in Table 19 and Figure 10. For years and sites having multiple MMI values, the highest value is plotted in Figure 10. The sample type, as described previously in Table 3, for each site and year is provided. A concern discussed by the LBD at their June 2017 meeting was the equitable comparison of these findings due to the different sample protocols employed over the years for collecting and analyzing these data. The data provided by Northern Water for samples collected and analyzed on the same dates at site CR-WGU in 2016 and at site CR-WGD in 2012, 2015 and 2016 present an opportunity, albeit limited by small sample size, to compare results from the Type 2 and Type 4 protocols. Results of the paired comparisons indicated no differences in MMI scores based on protocol type (p= 0.47). Likewise, no differences were found in HBI scores (p = 0.68). However, when SDI scores were compared, differences were found between the two protocols (p = 0.02), with diversity of Type 4 samples higher than Type 2 samples. While these results are based on a sample size of just four data pairs, they do suggest that equitable comparisons of MMI and HBI values developed through these two sample types may be possible, but comparison of SDI scores should be viewed with caution. Other such comparisons between sample types are limited by small sample sizes. Table 19 Colorado MMI and other key metric scores at the Colorado River sites sampled by GCWIN and Timberline Aquatics, Inc. from 2011-2017. | SMP Reach | Site Name | Year | MMI | HBI ¹ | Shannon ² | Use Status | Sample Type ⁴ | |-----------|-----------------|------|-------|--------|-----------|------------|---------------| | CR3 | CR WGU | 2011 | 61.2 | 3.11 | 4.03 | Attain | 4 | | | | 2015 | 66.6 | 2.41 | 3.01 | Attain | 4 | | | | 2016 | 74.8 | 2.27 | 3.52 | Attain | 4 | | | | 2016 | 69.2 | 2.35 | 3.13 | Attain | 2 | | | | 2017 | 66.6 | 3.21 | 4.23 | Attain | 4 | | CR4 | CR WGD | 2011 | 62.70 | - | - | Attain | 2 | | | | 2011 | 70.80 | 2.36 | 2.97 | Attain | 4 | | | | 2012 | 43.90 | 4.93 | 4.28 | Attain | 2 | | | | 2012 | 60.80 | 2.37 | 3.29 | Attain | 2 | | | | 2012 | 65.60 | 2.34 | 3.49 | Attain | 4 | | | | 2014 | 45.90 | 5.22 | 4.30 | Attain | 4 | | | | 2015 | 59.60 | 3.89 | 2.10 | Attain | 25,1A | | | | 2015 | 61.80 | 2.48 | 2.50 | Attain | 2 | | | | 2015 | 61.00 | 2.80 | 2.83 | Attain | 4 | | | | 2016 | 64.70 | 3.10 | 2.43 | Attain | 1 | | | | 2016 | 83.00 | 2.67 | 3.62 | Attain | 2 | | | | 2016 | 80.20 | 2.63 | 3.77 | Attain | 4 | | | | 2017 | 74.60 | 2.28 | 3.94 | Attain | 4 | | CR4 | CR HSR | 2011 | 51.20 | - | - | ID ³ | 2 | | | | 2012 | 54.10 | 5.58 | 4.05 | Attain | 2 | | | | 2014 | 50.00 | 3.61 | 3.38 | Attain | 2 | | | | 2015 | 57.90 | 2.83 | 2.12 | Attain | 25,1A | | | | 2016 | 62.30 | 4.14 | 2.37 | Attain | 1 | | | | 2017 | 77.70 | 2.64 | 3.40 | Attain | 4 | | CR4 | CR WFU | 2017 | 78.80 | 2.38 | 2.38 | Attain | 4 | | CR5 | CR Kids' Pond | 2011 | 52.50 | - | - | Attain | 2 | | | | 2012 | 61.40 | 1.54 | 2.53 | Attain | 2 | | | | 2014 | 59.70 | 3.33 | 4.00 | Attain | 2 | | | | 2015 | 59.90 | 3.01 | 2.50 | Attain | 25,1A | | | | 2016 | 63.40 | 3.61 | 2.27 | Attain | 1 | | CR6 | CR KBDitch | 2011 | 61.70 | - | - | Attain | 2 | | | | 2012 | 42.30 | 3.63 | 4.17 | Attain | 2 | | | | 2014 | 45.80 | 3.22 | 3.61 | Attain | 2 | | | | 2015 | 68.30 | 2.51 | 2.02 | Attain | 25,1A | | | | 2016 | 64.00 | 3.50 | 2.38 | Attain | 1 | | | | 2017 | 73.20 | 3.03 | 4.23 | Attain | 4 | | CR7 | CR Blw Pumphouse| 2015 | 53.70 | 4.77 | 1.75 | Attain | 25,1A | | | | 2016 | 73.90 | 4.52 | 1.90 | Attain | 1 | | | | 2017 | 60.10 | 4.33 | 1.98 | Attain | 1 | ¹Hilsenoff Biotic Index ²Shannon Diversity Index (log base 2) ³Based on Hilsenoff Biotic and Shannon Diversity Indices ⁴Sample types are described in Table 3 and A = analytical protocol; S = sampling protocol NS = Not Sampled; “-” = Data not provided From Table 19, it is important to note that although the sampling methods differ, across all Colorado River macroinvertebrate sample sites and years, aquatic life use designation was attained and there are similar trends. Since the exceptionally dry year of 2012, when flushing flow levels were not achieved at any site, MMI values have generally been improving. Comparisons between years found that 2012 values did not differ from those of either 2014 ($p = 0.71$) or 2015 ($p = 0.39$), but did differ significantly from 2016 ($p = 0.03$) and 2017 ($p = 0.02$). Results indicate MMI scores improved significantly in these wetter years likely due to improved habitat quality. As discussed in the 2016 monitoring report (Tetra Tech and HabiTech 2017), percent embeddedness was found to be significantly higher in 2012 than in those years when flushing flow levels were met or exceeded. Reduced embeddedness likely contributed to the improved health of the benthic community, and changes in other water quality-related parameters. Pebble count summaries for each of the 2017 macroinvertebrate sample sites on the Colorado River are presented in Table 20 and compared with 2015 and 2016 values. Small cobble (64 – 128 mm) was the predominant particle size at each riffle in 2017, with medium cobble (128 – 256 mm) the sub-dominant. Areas of sand and finer sediments (< 2 mm) at the time of sampling were non-existent at all sites, well below the CWQCC guideline threshold of 27.5% to prevent sediment impacts to macroinvertebrate communities in Sediment Region 1. Substrate embeddedness was again low in these riffle habitats, being observed on less than 2% of particles. These results are supportive of those presented above regarding habitat conditions in years when flushing flows were met or exceeded. Figure 10 Trend of Colorado MMI scores from upstream to downstream, 2015-2017. Red and Green dashed lines depict boundaries of MMI "gray zone." Table 20 Pebble count summary at Colorado River Macroinvertebrates sampling sites. 2015-2017. | SMP Reach | CR3 | CR4 | CR4 | CR4 | CR6 | CR7 | |-----------|--------------|--------------|--------------|--------------|--------------|--------------| | Site Name | CR WGU | CR WGD | CR HSU | CR WFU | CR KBDitch | CR Blw Pumphouse | | Class Size (mm) | 2017 | 2015 | 2016 | 2017 | 2015 | 2016 | 2017 | 2017 | 2015 | 2016 | 2017 | 2015 | 2016 | 2017 | | 0-2 | | | | | | | | | | | | | | | | 2-4 | | | | | | | | | | | | | | | | 4-8 | | | | | | | | | | | | | | | | 8-16 | | | | | | | | | | | | | | | | 16-32 | 2 | 0 | | 7 | 16 | 1 | 1 | 1 | 0 | 1 | 1 | 1 | | | | 32-64 | 8 | 12 | 8 | 5 | 40 | 59 | 19 | 12 | 14 | 23 | 4 | 11 | 6 | 6 | | 64-128 | 61 | 72 | 68 | 71 | 48 | 19 | 72 | 59 | 86 | 71 | 82 | 49 | 52 | 58 | | 128-256 | 30 | 20 | 24 | 26 | 5 | 4 | 9 | 26 | 9 | 7 | 16 | 38 | 37 | 36 | | 256-512 | | 1 | 1 | | | | | | | | | | | | | 512-1024 | | | | | | | | | | | | | | | | 1024-2048 | | | | | | | | | | | | | | | | 2048-4096 | | | | | | | | | | | | | | | | Sum | 101 | 104 | 101 | 103 | 100 | 100 | 101 | 100 | 109 | 102 | 102 | 100 | 100 | 101 | | % Embedded | 2 | 5 | 3 | 2 | 7 | 5 | 1 | 0 | 0 | 8 | 0 | 1 | 4 | 2 | 3.2.4 Fish Populations A summary of the Colorado River fish sampling through the Parshall to Sunset reach by CPW in 2017 is presented in Figure 11 and compared with other sites and years in Table 20. 2017 results are presented and discussed in greater detail in the CPW publication, “Colorado River near Parshall, Fish Survey and Management Information” (Ewert 2018b) which is provided in Appendix C. The Parshall to Sunset reach is located downstream of the confluence with the William’s Fork. Total trout population estimates for Parshall-Sunset in 2017 were relatively stable when compared with the past several years (Figure 11 and Table 20). Total trout biomass was estimated to be 149 lbs/acre, up slightly from the 146 lbs/acre estimated in 2016 and 132 lbs/acre in 2015. Brown trout comprised 90% of the standing crop in 2017, a similar proportion to the 2016 and 2015 results. Total trout numbers have also remained steady over the short-term, with 4298 trout > 6”/mile in 2017 compared to 4129 in 2016 and 4087 in 2015. When compared to the record high year of 2007 as reported in Ewert (2018b) however, 2017 values reflect a substantial decline in the fishery. Over this 11-year period, both trout biomass and numbers declined 44%. Quality trout (>14”) density estimates were down to 18 fish in 2017, compared to 32 in 2016 and 42 in 2015. The 2017 total is the lowest since 2013 and the second lowest recorded since 2007. While these declines in the trout population within the Parshall-Sunset reach are substantial, without confidence limits around these estimates it is not known if they are statistically significant reductions. The Parshall-Sunset reach is an officially designated “Gold Medal” fishery. The 2017 trout population estimates continue to support this status with 149 lbs/acre and 18 trout > 14”, as did the low estimates in 2012 and 2013. However, these declining trends have lead Ewert (2018b) to conclude this reach of the Colorado River has come uncomfortably close to not meeting the Gold Medal benchmarks and a case could be made this is a declining fishery. These declines are likely due to several inter-related factors including long-term degradation in the quality of the forage base, long-term degradation in the quality of physical habitat, especially over-winter habitat, and as a result, more frequent weak juvenile year classes and poor recruitment to adulthood (Ewert 2018b). Several CPW studies have documented the decline in the forage base due to sparse populations of giant stoneflies and mottled sculpin, both important trout food items, below Windy Gap reservoir (Nehring et al 2011a; Nehring et al 2011b). It is encouraging however, that giant stonefly nymphs were collected in 2017 at all five Colorado River sites below Windy Gap, with the second highest density (116 per m$^2$) at the site immediately upstream of the Williams Fork confluence, a short distance above the Parshall-Sunset reach. Regarding habitat degradation, the surveys conducted for the draft Stream Management Plan (Tetra Tech et al 2010) identified the same habitat deficiencies as noted by Ewert (2018b). The channel through much of this section of the river is wide and shallow with a high width-to-depth ratio, high quality pools are limited, and trout cover is sparse, all characteristics which can foster severe winter icing conditions and poor over-winter trout habitat. These habitat conditions coupled with the forage base deficiencies point toward the importance of the Windy Gap Connectivity Channel project now being planned and the downstream physical habitat improvement effort being developed for downstream of Windy Gap. These projects, when implemented, should address such issues and improve trout recruitment and population size in the affected reaches. Figure 11 CPW trout population estimates for Colorado River Parshall-Sunset reach, 2007-2017. Rainbow trout density in the Parshall-Sunset reach continued to respond positively in 2017 to the fry stocking policy adopted in 2010 (Ewert 2018b). The population estimate for rainbows > 6” climbed to 205 fish/mile and contributed about 10% of the total trout biomass estimated in the reach and about 17% of the quality trout. Successful natural reproduction has been documented, but it is not yet known if this will be sufficient to increase their proportion of the total trout population. Also in 2017, mountain whitefish (*Prosopium williamsoni*) were again collected indicating the “invasion” first documented in 2013 continues. In total, 33 were collected in 2017 with size ranging from 4 to 16” and several age classes represented. Effects of mountain whitefish on the trout population are not yet known (Ewert 2018b). Once again, no mottled sculpin were reported in the 2017 fish collections, not an unexpected finding as sampling was done by raft-mounted electrofishing. The status of mottled sculpin in this section of the Colorado River remains unclear. **Table 21** Summary of CPW fish population data by year for the Colorado River, 2007-2017. | Site | Year | Brown Trout (lbs/acre) | (#>14"/acre) | Rainbow Trout (lbs/acre) | (#>14"/acre) | Brook Trout (lbs/acre) | Total Trout (lbs/acre) | Sculpin (#) | Mountain Whitefish (#) | |---------------|------|-----------------------|--------------|--------------------------|--------------|------------------------|------------------------|-------------|------------------------| | Shorefox - Lower | 2016 | 223 | 65 | 3 | 2 | | 226 | 19 | | | Shorefox - Upper | 2016 | 193 | 75 | 12 | 6 | | 205 | 27 | | | Paul Gilbert | 2013 | 74 | 11 | 13 | 5 | | 87 | | | | | 2016 | 132 | 28 | 13 | 6 | | 145 | | 1 | | Parshall-Sunset | 2007 | 264 | 19 | | | | 264 | | | | | 2008 | 187 | 24 | | | | 187 | | | | | 2009 | 158 | 28 | 3 | 1 | | 161 | | | | | 2010 | 131 | 52 | 4 | 2 | | 135 | | | | | 2011 | 111 | 44 | 1 | 1 | | 112 | | | | | 2012 | 108 | 17 | 6 | 3 | | 114 | | | | | 2013 | 117 | 13 | 5 | 4 | | 122 | | | | | 2014 | 126 | 33 | 9 | 5 | | 135 | 2 | | | | 2015 | 122 | 39 | 10 | 3 | | 132 | 22 | | | | 2016 | 134 | 26 | 12 | 6 | | 146 | 49 | | | | 2017 | 134 | 15 | 15 | 3 | | 149 | 33 | | | Radium | 2010 | 103 | 36 | 17 | 10 | | 120 | 307 | | | | 2011 | 110 | 44 | 47 | 28 | | 157 | 162 | | | | 2012 | 143 | 46 | 6 | 3 | | 149 | 273 | | | | 2013 | 162 | 50 | 4 | 2 | | 166 | 248 | | | | 2015 | 129 | 56 | 26 | ** | | 155 | 219 | | **Equipment problems prevented valid brown trout population estimate** 4 SUMMARY, CONCLUSIONS AND RECOMMENDATIONS 4.1 Summary and Conclusions 4.1.1 Fraser River and Ranch Creek 2017 spring runoff in the Fraser River watershed was again relatively high with peak flows well exceeding the magnitude and duration of the recommended flushing flows for the fourth consecutive year. Spawning bar habitats had the lowest embeddedness recorded since monitoring began in 2010 and neither bar was impaired by finer sediments (<8mm) based on the CWQCC guideline. Riffle bed material mobilization occurred on both streams, as it had in 2014-2016. Riffle Stability Index analyses indicated bed material up to small cobble size had been transported, with an estimated 34 to 43% of the riffle substrates mobilized. Overall, the health of the Fraser River watershed macroinvertebrate community improved in a downstream direction. The Ranch Creek macroinvertebrate community has remained quite stable in recent years and has consistently attained its aquatic life use designation. Fraser River sites have shown more variability. The lowermost site in Granby has consistently achieved the highest MMI scores, has attained its aquatic life use designation in all sample years and provides habitat for giant stoneflies. Upstream, the remainder of the 2017 macroinvertebrate sites have been found to be “impaired” in at least one sample year. In 2017, both the above Winter Park and Rendezvous sites failed to attain their aquatic life use designation. All riffle habitats sampled in 2017 were well below the CWQCC guideline threshold for fine sediment impairment. Trout populations at both the Kaibab Park and the Safeway stations once again exceeded CPW Gold Medal benchmarks in 2017 (Ewert 2018a). At Fraser Flats, early results following completion of the habitat improvement project indicate success, with both trout biomass and quality trout density well exceeding pre-project levels. The trout population at Confluence Park has shown the greatest variability of the Fraser River stations. Both trout biomass and quality trout numbers here are below the Gold Medal biological benchmarks, with brook and brown trout out-competing stocked rainbow trout. No fish sampling was conducted on Ranch Creek in 2017. 4.1.2 Colorado River 2017 spring runoff on the Colorado River was relatively high with peak flows exceeding the magnitude and duration of the recommended flushing flows for the fourth consecutive year. All four spawning bars sampled were exceptionally clean, with little embeddedness. None of the bars were impaired by finer sediments based on the CWQCC guideline. Riffle bed material mobilization occurred at all four sites, as it had in 2014 to 2016, with particles up to medium cobble transported and an estimated 40 to 50% of riffle substrates potentially mobilized. These findings are supportive of our 2016 observation that flows in the range of the 3-year return interval event can initiate cobble mobilization and riffle maintenance. Overall, the health of the Colorado River macroinvertebrate community appeared satisfactory in 2017, with all sites attaining their designated aquatic life use. Giant stoneflies were collected at all LBD sites below Windy Gap. All riffle habitats sampled in 2017 were well below the CWQCC guideline threshold for fine sediment impairment. Fish population sampling was only conducted at the Parshall-Sunset station in 2017, with trout biomass and density similar to 2015 and 2016 levels (Ewert 2018b). However, quality trout numbers continue to decline. CPW has raised concerns that this reach of the Colorado River is uncomfortably close to not meeting Gold Medal standards and is a fishery in decline due to long-term trout forage base and habitat degradation. These conditions emphasize the importance of the Windy Gap Connectivity Channel project and the downstream Habitat Project improvement efforts now being planned. 4.2 Recommendations Recommendations at this time are general, awaiting improved spring runoff forecasts and guidance from the LBD Committees on future direction of monitoring activities. Following are several general recommendations which can be revised as the review process proceeds into spring 2018: 1. If spring runoff forecasts indicate 2018 flows will be low, similar to the drier 2012-2013 period, we recommend the LBD Committee consider a full scope of sampling and reporting for both spawning bar and pebble counts at macroinvertebrate sampling sites to provide additional documentation of aquatic habitats and communities under these more extreme conditions and to further examine the efficacy of the flushing flow recommendations. 2. If spring runoff forecasts indicate 2018 flows will be relatively high, similar to the 2014 to 2017 period, the LBD Committee may wish to consider a reduced scope and extent of the spawning bar monitoring effort to avoid continued duplication of recent results. Spawning bar monitoring could be delayed until such time as flow forecasts for future years indicate reduced spring runoff conditions. 3. The LBD may wish to consult with Timberline Aquatics, Inc. on a potential reduction in macroinvertebrate sampling that could be implemented without jeopardizing the knowledge gained to date from previous years efforts. In particular if there are trends relating the health of the macroinvertebrate community relative to flow magnitude and duration perhaps monitoring could be curtailed accordingly. 4. The LBD Committee may wish to consider having the entity conducting the macroinvertebrate sampling and analysis to also prepare the associated macroinvertebrate monitoring report. 5. Continue to work with CPW who has responsibility for sampling and managing fish populations throughout the LBD study area and in recent years have authored comprehensive and concise summary reports describing current conditions of the Fraser and Colorado River fisheries (e.g. Ewert 2018a and 2018b). 6. Consider employing an independent fourth party to review and assess trends in stream health and flows, by combining the annual monitoring reports for aquatic habitat (spawning bar and pebble counts at macroinvertebrates sampling sites), macroinvertebrate sampling, and fish sampling. It is possible this effort could be done less frequently than sampling. The timing and frequency of the assessments should consider project implementation and other factors that may influence trends and conclusions. 5 LITERATURE CITED Analytical Software. 2013. Statistix 10 User’s Manual. Tallahassee, Florida. Bain, M. B. and Stevenson, N. J. (eds). 1999. Aquatic Habitat Assessment: common methods. American Fisheries Society, Bethesda, MD. Bjornn, T. C. and Reiser, D. W. 1991. Habitat requirements of salmonids in streams. Ch. 4, pp. 83 – 138. In Meehan, W. R. (ed.) Influences of Forest and Rangeland Management on Salmonid Fishes and Their Habitat. American Fisheries Society Special Publication 19, Bethesda, MD. Colorado Department of Public Health and Environment (CDPHE). 2010. Aquatic Life Use Attainment - Methodology to determine use attainment for rivers and streams. Policy Statement 10 – 1. Water Quality Control Commission. Denver, CO. CDPHE. 2017. Section 303(d) Listing Methodology 2018 Listing Cycle. Water Quality Control Commission, Denver, CO. Colorado Water Quality Control Commission. 2014. Guidance for Implementation of Colorado’s Narrative Sediment Standard Regulation #31, Section 31.11(1)(a)(i), Policy 98 – 1. Denver, CO. Ewert, Jon. 2018a. Fraser River, Fish Survey and Management Information. Colorado Parks and Wildlife Department, Hot Sulphur Springs, CO. Ewert, Jon. 2018b. Colorado River near Parshall, Fish Survey and Management Information. Colorado Parks and Wildlife Department, Hot Sulphur Springs, CO. Kappesser, G. B. 2002. Riffle stability index to evaluate sediment loading to streams. Journal of the American Water Resource Association 38(4), pp. 1069 – 1081. Nehring, R. B., Heinhold, B. and Pomeranz, J. 2011a. Colorado River Aquatic Invertebrate Investigations. Job 1, Colorado River Aquatic Resources Investigations, Federal Aid Project F-237R-18. Colorado Division of Parks and Wildlife, Fort Collins, CO. Nehring, R. B., Heinhold, B., and Pomeranz, J. 2011b. Colorado River Mottled Sculpin Population Studies. Job 2, Colorado River Aquatic Resources Investigations, Federal Aid Project F-237R-18. Colorado Division of Parks and Wildlife, Fort Collins, CO. Rees, D. E. 2009. Summary Report Benthic Macroinvertebrate Biomonitoring Program, Fall 2008. Timberline Aquatics, Inc. Report Prepared for Northern Colorado Water Conservancy District, Berthoud, CO. Tetra Tech, Inc., HabiTech, Inc., and Walsh Aquatics, Inc. 2010. Draft report, Stream Management Plan, Phase 3, Grand County, Colorado. Prepared for Grand County, CO with support from Denver Water and Northern Colorado Water Conservancy District. Hot Sulphur Springs, CO. Tetra Tech, Inc. and HabiTech, Inc. 2017. 2016 Monitoring Report, Grand County, CO. Final draft report. Breckenridge, CO. April 7, 2017. Wolman, M. G. 1954. A method of sampling coarse river-bed material. Eos Trans. AGU, 35(6), 951. March 2018 APPENDIX A Chronology of Spawning Bar Site Sampling Flood-frequency Analyses Table A1. Sampling chronology at Grand County spawning bar monitoring sites, 2010-2017. | Location Information | Sample Date (month/year) | |----------------------|--------------------------| | | July 2010 | Aug & Sep 2011 | Oct 2011 | June 2012 | Oct 2012 | July 2013 | July-Aug 2014 | Oct 2014 | Aug & Oct 2015 | Sept & Oct 2016 | Sept & Oct 2017 | | **Fraser River** | | | | | | | | | | | | | F2 | | √ | | | | | | | | | | | F-RC2 | √ | √ | | | | | | | | | | | F9 | √ | √ | | | | | | | | | | | **Colorado River** | | | | | | | | | | | | | CR4 | √ | √ | | | | | | | | | | | CR4 | | | | | | | | | | | | | CR4 | | | | | | | | | | | | | CR5 | √ | √ | | | | | | | | | | | Cr6 | √ | √ | | | | | | | | | | | CR7 | √ | √ | | | | | | | | | | | **Tributaries** | | | | | | | | | | | | | MC2 | √ | √ | | | | | | | | | | | BR | √ | | | | | | | | | | | | BR | √ | | | | | | | | | | | 1 At Chimney Rock Ranch: sampling discontinued due to absence of spawning gravels 2 At Paul Gilbert Public Access Area; trout spawning observed in fall 2011; Cr4 site moved due to lack of spawning gravels Oct 2014 3 Below Pioneer Park at Hot Sulphur Springs; trout spawning observed October 2014 4 Access denied at Blue River Trough Road site after 2010 5 Stream restoration work at Blue Valley Ranch site removed spawning bar site in 2014 6 Ocular survey only in 2016 7 Core samples not collected on spawning bar Table A1. Fraser River at Granby, Colorado. | Return period T (yr) | Probability P (percent) | Frequency factor K | y = log(Q) | Peak flood discharge Q (cfs) | |---------------------|------------------------|--------------------|------------|-----------------------------| | 1.05 | 95.24 | -1.874 | 2.245 | 176 | | 1.11 | 90.09 | -1.34 | 2.43 | 269 | | 1.25 | 80 | -0.76 | 2.631 | 428 | | 2 | 50 | 0.162 | 2.95 | 892 | | 3 | | | | 1072 $^1$ | | 5 | 20 | 0.852 | 3.19 | 1547 | | 10 | 10 | 1.131 | 3.286 | 1932 | | 25 | 4 | 1.372 | 3.37 | 2342 | | 50 | 2 | 1.5 | 3.414 | 2594 | | 100 | 1 | 1.599 | 3.448 | 2806 | | 200 | 0.5 | 1.677 | 3.475 | 2986 | $^1$ Based on interpolation of log values, the 3-yr event was estimated to be about 1072 cfs. --- Table A2. Colorado River at Windy Gap Reservoir, Colorado. | Return period T (yr) | Probability P (percent) | Frequency factor K | y = log(Q) | Peak flood discharge Q (cfs) | |---------------------|------------------------|--------------------|------------|-----------------------------| | 1.05 | 95.2 | -1.707 | 2.51 | 323 | | 1.11 | 90.1 | -1.303 | 2.654 | 451 | | 1.25 | 80 | -0.828 | 2.825 | 668 | | 2 | 50 | 0.037 | 3.135 | 1366 | | 3 | | | | 1702 $^1$ | | 5 | 20 | 0.851 | 3.427 | 2675 | | 10 | 10 | 1.254 | 3.572 | 3735 | | 25 | 4 | 1.67 | 3.721 | 5266 | | 50 | 2 | 1.93 | 3.815 | 6529 | | 100 | 1 | 2.158 | 3.897 | 7882 | | 200 | 0.5 | 2.363 | 3.97 | 9337 | $^1$ Based on interpolation of log values, the 3-yr event was estimated to be about 1702 cfs. Table A3. Colorado River near Parshall below Williams Fork Reservoir, Colorado. | Return period T (yr) | Probability P (percent) | Frequency factor K | y = log (Q) | Peak flood discharge Q (cfs) | |---------------------|-------------------------|--------------------|-------------|-----------------------------| | 1.05 | 95.2 | -1.732 | 2.65 | 447 | | 1.11 | 90.1 | -1.311 | 2.794 | 622 | | 1.25 | 80 | -0.821 | 2.961 | 915 | | 2 | 50 | 0.054 | 3.26 | 1821 | | 3 | 33 | | | 2239¹ | | 5 | 20 | 0.853 | 3.533 | 3413 | | 10 | 10 | 1.241 | 3.666 | 4629 | | 25 | 4 | 1.633 | 3.799 | 6301 | | 50 | 2 | 1.874 | 3.882 | 7618 | | 100 | 1 | 2.083 | 3.953 | 8977 | | 200 | 0.5 | 2.268 | 4.017 | 10388 | ¹Based on interpolation of log values, the 3-yr event was estimated to be about 2239 cfs. Table A4. Colorado River at Kremmling, Colorado. | Return period T (yr) | Probability P (percent) | Frequency factor K | y = log (Q) | Peak flood discharge Q (cfs) | |---------------------|-------------------------|--------------------|-------------|-----------------------------| | 1.05 | 95.2 | -1.656 | 3.026 | 1063 | | 1.11 | 90.1 | -1.286 | 3.134 | 1362 | | 1.25 | 80 | -0.84 | 3.264 | 1836 | | 2 | 50 | 0.007 | 3.51 | 3236 | | 3 | 33 | | | 3890¹ | | 5 | 20 | 0.844 | 3.753 | 5666 | | 10 | 10 | 1.277 | 3.879 | 7574 | | 25 | 4 | 1.736 | 4.013 | 10300 | | 50 | 2 | 2.031 | 4.099 | 12549 | | 100 | 1 | 2.295 | 4.175 | 14974 | | 200 | 0.5 | 2.537 | 4.246 | 17604 | ¹Based on interpolation of log values, the 3-yr event was estimated to be about 2890 cfs. Appendix B Macroinvertebrate Sampling Learning By Doing (LBD) 2017 Macroinvertebrate Sampling Program CDPHE Benthic Macroinvertebrate Bioassessment Reports Fraser River and Ranch Creek, 2017 CDPHE Benthic Macroinvertebrate Bioassessment Reports for Colorado River, 2017 2017 Macroinvertebrate Sample Analysis Information for CR7-Pumphouse from BLM/USU National Aquatic Monitoring Center Sample results on Excel File Appended in CD Taxa List for 2017 Fraser River and Ranch Creek Benthic Macroinvertebrate Samples Taxa List for 2017 Colorado River Benthic Macroinvertebrate Samples 2017 Monitoring Report Draft Report Grand County’s Learning By Doing 2017 Macroinvertebrate Sampling Program Macroinvertebrate (aquatic organisms) communities are a good indicator of overall stream health. Macroinvertebrate communities are sensitive to a wide range of environmental disturbances and pollution. While water quality monitoring provides a snapshot of conditions at a specific time, monitoring the health of the macroinvertebrates is a better indicator of fluctuating environmental conditions. Changes in macroinvertebrate communities signal whether there might be impacts from urban development land use changes and changes in the riparian habitat or stream channel. Community diversity and presence (or absence) of certain sensitive species are indicators of the biological and ecological integrity of the rivers. The objectives of this macroinvertebrate monitoring program are to: - Assess the existing state of macroinvertebrate communities in the Colorado and Fraser Rivers and their tributaries; - Monitor trends and changes to the health of the macroinvertebrate communities; - Support 401 Certification and U.S. Army Corps of Engineers permit conditions (Colorado Department of Public Health and Environment, Water Quality Control Division, WGFP, 2016) (Colorado Department of Public Health and Environment, Water Quality Control Division, Moffat, 2016). - Assess compliance with Colorado’s aquatic life standard; - Monitor and assess impacts of restoration efforts performed by Learning by Doing. Data collected through this program are assessed using the Colorado Water Quality Control Division’s (Division’s) Multi Metric Index (MMI) to determine compliance with Colorado’s aquatic life standard. LBD has elected to compute additional standard metrics as a part of this program to provide a complete assessment of the macroinvertebrate community. The methods utilized are consistent with the Division’s protocols for collection and analysis of macroinvertebrates. The program is reviewed annually. **Monitoring Sites** The 2017 macroinvertebrate monitoring program consists of 12 sites; 5 sites in the Colorado River, 6 sites in the Fraser River and one site in a Fraser River tributary, Ranch Creek. Generally, monitoring sites are intended to provide a long-term record. It is anticipated that only minor changes in the location of the sites sampled would occur from one year to the next. During the annual review of the monitoring program, sites may be added or removed, especially in the short-term. As the macroinvertebrate monitoring program for LBD is evolving, changes may need to take place in the list of sites to better meet the objectives of the program. Table 1 summarizes all 2017 sites and indicates which sites are long-term monitoring sites. A map of the 2017 macroinvertebrate sampling sites is provided at the end of the program summary. In effort to normalize the naming convention of the monitoring sites, each site is assigned a river mile ID. The river mile ID is composed of abbreviated text representing the water body followed by a numeric value representing the river mile. For example, the river mile ID for the Colorado River at river mile 10 is CR-10. River mile zero is located at the most downstream portion of a waterbody, generally the confluence with a larger river. The river miles increase at upstream sites. For the Colorado River, river mile zero is at the Cooperative Effort Area boundary (the confluence with the Blue River). Table 1 – 2017 Macroinvertebrate Sampling Sites | River Mile ID | Station ID | Station Description | Latitude | Longitude | Long-Term Site? | |---------------|--------------|----------------------------------------------------------|-----------|------------|-----------------| | FR-23.2 | FR-abvWPSD | Fraser River upstream of Winter Park Sanitation District | 39.8945 | -105.7682 | Yes | | FR-20 | FR-Rendezvous| Fraser River at Rendezvous Bridge | 39.9341 | -105.7896 | Yes | | FR-15 | FR-FrSpProj | Fraser River upstream of Fraser Flats restoration | 39.9813 | -105.8249 | No | | FR-14 | FR-CR83 | Fraser River upstream of Tabernash below bridge on CR83 | 39.9905 | -105.8299 | Yes | | RC-1.1 | RC-blwMC | Ranch Creek downstream of Meadow Creek | 39.9991 | -105.8275 | Yes | | FR-12.4 | FR-blwCrcr | Fraser River downstream of Crooked Creek | 40.0110 | -105.8524 | Yes | | FR-1.9 | FR-abvGSD | Fraser River upstream of Granby Sanitation District | 40.0853 | -105.9546 | Yes | | CR-31 | CR-WGU | Colorado River upstream of Fraser and Windy Gap | 40.1005 | -105.9725 | Yes | | CR-28.7 | CR-WGD | Colorado River downstream of Windy Gap | 40.1083 | -106.0036 | Yes | | CR-22.9 | CR-HSU | Colorado River upstream of Hot Sulfur Springs | 40.0803 | -106.0986 | Yes | | CR-16.7 | CR-WFU | Colorado River upstream of Williams Fork | 40.0503 | -106.1725 | Yes | | CR-9.1 | COR-KBDitch | Colorado River at CR39 Bridge at KB Ditch | 40.0538 | -106.2895 | Yes | **Project Specific Sampling Sites** Sites that are established specifically to assess the effectiveness of restoration projects might be monitored on a short-term basis and have reduced sampling frequency or be discontinued once a post project baseline is established. In 2017, the site FR-15 (FR-FrSpProj) is associated with the Fraser Flats Restoration Project; this site is not considered a long-term monitoring site. **Funding** The cost of the macroinvertebrate monitoring program is shared between LBD’s cooperative partners. Some sites are individually sponsored by parties with interest in a specific site. The rest of the sites are equally cost-shared between the parties that have a stake in those sites. Table 2 shows what partners funded each site in 2017. Table 2 – Funding Partners for Monitoring Sites | River Mile ID | Denver Water | Grand County | LBD | Northern Water | River District | Town of Winter Park | Trout Unlimited | Winter Park WSD | |---------------|--------------|--------------|-----|----------------|----------------|---------------------|-----------------|----------------| | FR-23.2 | X | X | | | | X | X | X | | FR-20 | X | X | | | | X | X | X | | FR-15 | | | X | | | | | | | FR-14 | X | X | | | | X | X | | | RC-1.1 | X | X | | | | X | X | | | FR-12.4 | X | X | | | | X | X | | | FR-1.9 | X | X | | | | X | X | | | CR-31 | | | | | | | | | | CR-28.7 | | | | | | | | | | CR-22.9 | | | | | | | | | | CR-16.7 | | | | | | | | | | CR-9.1 | X | X | | | | X | X | | **Sample Collection** Macroinvertebrate sampling will be conducted during the period from late September to early October (fall) to target macroinvertebrate communities during annual periods of high density. This sampling period is consistent with the Division’s methodology for macroinvertebrate sampling (Colorado Department of Public Health and Environment, 2010). All samples are collected by Timberline Aquatics, Fort Collins, Colorado. Three (3) quantifiable samples (Hess samples) are taken from riffle habitat at each of the sites during the fall season. Each sample is taken from an area of similar size substrate and velocity (if possible) to avoid any bias from these physical parameters when making comparisons among sites (Timberline Aquatics, Inc., 2017). Samples are collected per the Division’s Section 303(d) Listing Methodology 2018 Listing Cycle (Colorado Department of Public Health and Environment, Water Quality Control Division, March 2017) **Macroinvertebrate Analysis** Timberline Aquatics performs the macroinvertebrate analysis for all samples. Experienced taxonomists conduct the analysis utilizing a wide selection of the most recent species. keys for aquatic insects. They are familiar with common and uncommon species that are specific to Colorado. Timberline Aquatics performs identification and enumeration for each entire sample (i.e. all macroinvertebrates in the sample are counted), or a full-count method of analysis. Macroinvertebrates are identified to the “lowest practical taxonomic level” based primarily on Merritt et al. (Merritt, 2008) and Ward et al. (Ward, 2002). The “lowest practical taxonomic level” means that all specimens will be identified to a level that is permitted by available physical characteristics and species keys using a dissecting microscope. This level of identification will be consistent with the Operational Taxonomic Unit (OTU) developed by the Division, which usually consists of genus or species for mayflies, stoneflies, caddisflies and many dipterans. Chironomidae will also be identified to the genus level. As part of the quality control protocols at Timberline Aquatics all sorted macroinvertebrate samples and approximately 10% of identifications are checked by another qualified taxonomist (Timberline Aquatics, Inc., 2017). **Laboratory Reports** Final data from Timberline Aquatics are provided in Excel files to the LBD Monitoring Committee. The files include a species list and count of all identified macroinvertebrates for each sample at each site. Nine metrics are calculated for each site and included in the excel file. The metrics are shown in Table 3. | Metric | Description | |---------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------| | Multi-Metric Index (MMI) | Colorado Division of Water Quality assessment tool. Provides a score which determines health of aquatic community. | | % Chironomidae (MMI Metric) | MMI score based on percent composition of chironomidae taxa. Chironomidae are tolerant to stress, a high score indicates a stressed environment. | | % EPT excluding Baetis (MMI Metric) | MMI score based on a classification of species specific to Colorado which are sensitive to zones that transition from pristine to anthropogenic. Based on community composition rather than the richness of sensitive taxa. | | Ephemeroptera Plecoptera Trichoptera (EPT) | Total number of distinguishable taxa in the orders Ephemeroptera, Plecoptera, and Trichoptera. | | Hilsenhoff Biotic Index (HBI) | Indicator of nutrient enrichment as well as other stressors. | | Shannon Diversity | Indicator of macroinvertebrate community structure and balance. | | Total Taxa Richness | Total number of identifiable taxa, indicator of general community health and stability. | | Pteronarcys Californica Density | Pteronarcys Californica abundance, mean number per square meter. | | Total Density | Macroinvertebrate abundance, mean number per square meter. | **Colorado Parks and Wildlife Sampling** Colorado Parks and Wildlife’s (CPW) 2017 macroinvertebrate sampling includes 8 additional sites upstream and downstream of Windy Gap Reservoir; 7 sites in the Colorado River and 1 site in the Fraser River (Table 4). CPW’s 2017 sampling was done to establish baseline conditions in support of the proposed connectivity channel around Windy Gap Reservoir. The macroinvertebrate data generated by CPW are specific to their sampling and analytical protocols and objectives. Therefore, although these data are of value, they may not be appropriate for comparison to macroinvertebrate data generated by LBD. These data are not included in Grand County’s annual Stream Management Plan Monitoring Report but will be available in CPW’s annual Federal Aid Report. **Map of LBD 2017 Macroinvertebrate Sampling Sites** | River Mile ID | Station ID | Station Description | Latitude | Longitude | |---------------|------------|----------------------------------------------------------|------------|-------------| | FR-0.1 | FR-WGU | Fraser River upstream of Windy Gap | 40.0986 | -105.9729 | | CR-31 | CR-WGU | Colorado River upstream of Fraser River and Windy Gap | 40.1005 | -105.9725 | | CR-30.8 | CR-FRD | Colorado River downstream of Fraser, upstream of Windy Gap| TBD | TBD | | CR-28.7 | CR-WGD | Colorado River downstream of Windy Gap | 40.1083 | -106.0036 | | CR-22.9 | CR-HSU | Colorado River at Pioneer Park upstream of Hot Sulfur Springs | 40.0803 | -106.0986 | | CR-16.7 | CR-WFU | Colorado River upstream of Williams Fork | 40.0503 | -106.1725 | | CR-14.9 | CR-WFD | Colorado River downstream of Williams Fork at Kid’s Pond | 40.0634 | -106.1907 | | CR-12.6 | CR-CON | Colorado River at ConRitschard | 40.0656 | -106.2318 | References Colorado Department of Public Health and Environment. (2010). *Aquatic life use attainment: Methodology to determine use attainment for rivers and streams. Policy Statement 2010-1.* Colorado Department of Public Health and Environment, Water Quality Control Division. (March 2017). *Section 303(d) Listing Methodology 2018 Listing Cycle.* Colorado Department of Public Health and Environment, Water Quality Control Division, Moffat. (2016, June). Rationale for Conditional 401 Certification of the Moffat Collection System Project. Denver, CO. Retrieved from https://www.colorado.gov/pacific/sites/default/files/Moffat%20Collection%20System%20Final%20401%20Certification.pdf Colorado Department of Public Health and Environment, Water Quality Control Division, WGFP. (2016, March). Rationale for Conditional 401 Certification of the Windy Gap Firming Project. Denver, Colorado, USA. Retrieved from https://www.colorado.gov/pacific/sites/default/files/WQ_WindyGapFirmingProject_ConditionalCertification.pdf Merritt, R. W. (2008). *An Introduction to the Aquatic Insects of North America* (Fourth ed.). Dubuque, Iowa: Kendall/Hunt. Timberline Aquatics, Inc. (2017). *Proposal - Benthic Macroinvertebrate Collection and Sample Processing, Submitted to Learning by Doing (LBD) Program, Grand County.* Ward, J. V. (2002). *An Illustrated Guide to the Mountain Stream Insects of Colorado* (Second ed.). Boulder, Colorado: University Press of Colorado. ## Benthic Macroinvertebrate Bioassessment Report | StationID: | CR-9.1 | |------------------|-----------------| | Waterbody Name: | Colorado River | | Location: | at CR39 Bridge - KB Ditch | | Latitude: | 40.05377 | | Longitude: | -106.28945 | | Reference Status:| Not Reference or Degraded | | BenSampID: | 1 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 73.2 | Metric Name | Metric Value | Metric Score | |--------------------------------------------------|--------------|--------------| | Total Taxa | 41 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 13 | 100.0 | | Chironomidae Pct | 17.7 | 75.0 | | Sensitive Plains Famillies Pct | 28.6 | 46.2 | | Predator+ Shredder Taxa | 11 | 78.6 | | Clinger Taxa | 21 | N/A | | Clinger Taxa adjusted with Elevation | 21 | 100.0 | | Insect Taxa | 34 | N/A | | Non-Insect % of taxa | 17.1 | 39.2 | | Ephemeroptera Pct | 15.0 | N/A | | BeckBI | 37.0 | N/A | | Dominant01 Taxon Pct | 17.0 | N/A | | Sprawler Pct | 1.0 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | FR-1.9 | |------------|--------| | Waterbody Name: | Fraser River | | Location: | abv Granby Sanitation District | | Latitude: | 40.08526 | | Longitude: | -105.95464 | | Reference Status: | Not Reference or Degraded | | BenSampID: | 2 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 86.9 | Metric Name | Metric Value | Metric Score | |-------------|--------------|--------------| | Total Taxa: | 40 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 13 | 100.0 | | Chironomidae Pct: | 10.5 | 85.9 | | Sensitive Plains Famillies Pct: | 44.0 | 71.2 | | Predator+ Shredder Taxa: | 14 | 100.0 | | Clinger Taxa: | 21 | N/A | | Clinger Taxa adjusted with Elevation: | 21 | 100.0 | | Insect Taxa: | 36 | N/A | | Non-Insect % of taxa: | 10.0 | 64.4 | | Ephemeroptera Pct: | 16.2 | N/A | | BeckBI: | 41.0 | N/A | | Dominant01 Taxon Pct: | 18.4 | N/A | | Sprawler Pct: | 6.4 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | FR-12.4 | |------------------|------------------| | Waterbody Name: | Fraser River | | Location: | blw Crooked and Ranch Creeks | | Latitude: | 40.011 | | Longitude: | -105.852417 | | Reference Status:| Not Reference or Degraded | | BenSampID: | 3 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 69.1 | Metric Name | Metric Value | Metric Score | |--------------------------------------------------|--------------|--------------| | Total Taxa | 35 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 12 | 93.0 | | Chironomidae Pct | 13.3 | 81.7 | | Sensitive Plains Famillies Pct | 28.0 | 45.4 | | Predator+ Shredder Taxa | 15 | 100.0 | | Clinger Taxa | 12 | N/A | | Clinger Taxa adjusted with Elevation | 12 | 55.6 | | Insect Taxa | 29 | N/A | | Non-Insect % of taxa | 17.1 | 39.0 | | Ephemeroptera Pct | 39.6 | N/A | | BeckBI | 26.0 | N/A | | Dominant01 Taxon Pct | 33.5 | N/A | | Sprawler Pct | 2.6 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | FR-14 | |------------|-------| | Waterbody Name: | Fraser River | | Location: | at Tabernash below bridge on CR83 | | Latitude: | 39.99053 | | Longitude: | -105.8299 | | Reference Status: | Not Reference or Degraded | | BenSampID: | 4 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 65.4 | Metric Name | Metric Value | Metric Score | |-------------|--------------|--------------| | Total Taxa: | 33 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 8 | 46.6 | | Chironomidae Pct: | 24.6 | 64.4 | | Sensitive Plains Famillies Pct: | 39.6 | 64.1 | | Predator+ Shredder Taxa: | 14 | 100.0 | | Clinger Taxa: | 13 | N/A | | Clinger Taxa adjusted with Elevation: | 13 | 60.7 | | Insect Taxa: | 29 | N/A | | Non-Insect % of taxa: | 12.1 | 56.9 | | Ephemeroptera Pct: | 17.5 | N/A | | BeckBI: | 27.0 | N/A | | Dominant01 Taxon Pct: | 14.6 | N/A | | Sprawler Pct: | 8.2 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | FR-15 | |------------|-------| | Waterbody Name: | Fraser River | | Location: | upstream Fraser Flats restoration | | Latitude: | 39.981338 | | Longitude: | -105.824946 | | Reference Status: | Not Reference or Degraded | | BenSampID: | 5 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 48.0 | Metric Name | Metric Value | Metric Score | |-------------|--------------|--------------| | Total Taxa: | 32 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 9 | 68.9 | | Chironomidae Pct: | 48.1 | 28.6 | | Sensitive Plains Famillies Pct: | 6.2 | 10.0 | | Predator+ Shredder Taxa: | 9 | 64.3 | | Clinger Taxa: | 13 | N/A | | Clinger Taxa adjusted with Elevation: | 13 | 71.7 | | Insect Taxa: | 27 | N/A | | Non-Insect % of taxa: | 15.6 | 44.4 | | Ephemeroptera Pct: | 21.2 | N/A | | BeckBI: | 25.0 | N/A | | Dominant01 Taxon Pct: | 30.1 | N/A | | Sprawler Pct: | 16.8 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | FR-20 | |------------|-------| | Waterbody Name: | Fraser River | | Location: | at Rendezvous Bridge | | Latitude: | 39.93412 | | Longitude: | -105.7896 | | Reference Status: | Not Reference or Degraded | | BenSampID: | 6 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 35.2 | Metric Name | Metric Value | Metric Score | |-------------|--------------|--------------| | Total Taxa: | 28 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 8 | 39.1 | | Chironomidae Pct: | 46.9 | 30.4 | | Sensitive Plains Famillies Pct: | 6.2 | 10.0 | | Predator+ Shredder Taxa: | 13 | 92.9 | | Clinger Taxa: | 7 | N/A | | Clinger Taxa adjusted with Elevation: | 7 | 2.5 | | Insect Taxa: | 23 | N/A | | Non-Insect % of taxa: | 17.9 | 36.4 | | Ephemeroptera Pct: | 6.2 | N/A | | BeckBI: | 21.0 | N/A | | Dominant01 Taxon Pct: | 42.9 | N/A | | Sprawler Pct: | 2.2 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | FR-23.2 | |------------------|------------------| | Waterbody Name: | Fraser River | | Location: | abv Winter Park Sanitation District | | Latitude: | 39.89445 | | Longitude: | -105.76821 | | Biotype: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 32.9 | Metric Name | Metric Value | Metric Score | |--------------------------------------------------|--------------|--------------| | Total Taxa | 30 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | | | | Chironomidae Pct | 46.2 | 31.6 | | Sensitive Plains Famillies Pct | 8.8 | 14.2 | | Predator+ Shredder Taxa | 12 | 85.7 | | Clinger Taxa | 8 | N/A | | Clinger Taxa adjusted with Elevation | 8 | 0.0 | | Insect Taxa | 24 | N/A | | Non-Insect % of taxa | 20.0 | 28.8 | | Ephemeroptera Pct | 15.4 | N/A | | BeckBI | 22.0 | N/A | | Dominant01 Taxon Pct | 36.6 | N/A | | Sprawler Pct | 5.5 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | RC-1.1 | |------------------|-----------------| | Waterbody Name: | Ranch Creek | | Location: | blw Meadow Creek| | Latitude: | 39.99912 | | Longitude: | -105.82746 | | Reference Status:| Not Reference or Degraded | | BenSampID: | 8 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 58.9 | Metric Name | Metric Value | Metric Score | |--------------------------------------------------|--------------|--------------| | Total Taxa | 38 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | | | | Chironomidae Pct: | 27.8 | 59.6 | | Sensitive Plains Famillies Pct: | 20.5 | 33.2 | | Predator+ Shredder Taxa: | 14 | 100.0 | | Clinger Taxa: | 14 | N/A | | Clinger Taxa adjusted with Elevation: | 14 | 69.0 | | Insect Taxa: | 31 | N/A | | Non-Insect % of taxa: | 18.4 | 34.4 | | Ephemeroptera Pct: | 19.3 | N/A | | BeckBI: | 31.0 | N/A | | Dominant01 Taxon Pct: | 17.8 | N/A | | Sprawler Pct: | 2.4 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | CR-HSU | |------------------|-----------------| | Waterbody Name: | Colorado River | | Location: | Hot Sulphur upstream | | Latitude: | 40.07394 | | Longitude: | -106.10959 | | Reference Status:| Not Reference or Degraded | | BenSampID: | 1 | | RepNum: | 1 | ### Predictive Model Results - **O/E (p>half):** - **Model Test:** ### Multimetric Index Model Results - **MMI:** 77.7 | Metric Name | Metric Value | Metric Score | |--------------------------------------------------|--------------|--------------| | Total Taxa | 37 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 12 | 100.0 | | Chironomidae Pct | 6.6 | 92.0 | | Sensitive Plains Famillies Pct | 30.1 | 48.8 | | Predator+ Shredder Taxa | 13 | 92.9 | | Clinger Taxa | 18 | N/A | | Clinger Taxa adjusted with Elevation | 18 | 100.0 | | Insect Taxa | 30 | N/A | | Non-Insect % of taxa | 18.9 | 32.7 | | Ephemeroptera Pct | 32.8 | N/A | | BeckBI | 34.0 | N/A | | Dominant01 Taxon Pct | 29.9 | N/A | | Sprawler Pct | 5.7 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | CR-WFU | |------------------|-----------------| | Waterbody Name: | Colorado River | | Location: | Williams Fork upstream | | Latitude: | 40.04689 | | Longitude: | -106.14299 | | Reference Status:| Not Reference or Degraded | | BenSampID: | 2 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 78.8 | Metric Name | Metric Value | Metric Score | |--------------------------------------------------|--------------|--------------| | Total Taxa | 40 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | | | | Chironomidae Pct | 7.8 | 90.1 | | Sensitive Plains Famillies Pct | 22.5 | 36.4 | | Predator+ Shredder Taxa | 14 | 100.0 | | Clinger Taxa | 20 | N/A | | Clinger Taxa adjusted with Elevation | 20 | 100.0 | | Insect Taxa | 34 | N/A | | Non-Insect % of taxa | 15.0 | 46.6 | | Ephemeroptera Pct | 37.8 | N/A | | BeckBI | 39.0 | N/A | | Dominant01 Taxon Pct | 24.4 | N/A | | Sprawler Pct | 4.4 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | CR-WGD | |------------------|-----------------| | Waterbody Name: | Colorado River | | Location: | below Windy Gap | | Latitude: | 40.1083 | | Longitude: | -106.00356 | | Reference Status:| Not Reference or Degraded | | BenSampID: | 3 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 74.6 | Metric Name | Metric Value | Metric Score | |--------------------------------------------------|--------------|--------------| | Total Taxa | 39 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 14 | 100.0 | | Chironomidae Pct | 1.4 | 99.8 | | Sensitive Plains Famillies Pct | 22.8 | 36.8 | | Predator+ Shredder Taxa | 13 | 92.9 | | Clinger Taxa | 18 | N/A | | Clinger Taxa adjusted with Elevation | 18 | 100.0 | | Insect Taxa | 30 | N/A | | Non-Insect % of taxa | 23.1 | 17.9 | | Ephemeroptera Pct | 27.4 | N/A | | BeckBI | 34.0 | N/A | | Dominant01 Taxon Pct | 19.6 | N/A | | Sprawler Pct | 1.8 | N/A | ## Benthic Macroinvertebrate Bioassessment Report | StationID: | CR-WGU | |------------------|-----------------| | Waterbody Name: | Colorado River | | Location: | WG upstream | | Latitude: | 40.10045 | | Longitude: | -105.97248 | | Reference Status:| Not Reference or Degraded | | BenSampID: | 4 | | RepNum: | 1 | ### Predictive Model Results - O/E (p>half): - Model Test: ### Multimetric Index Model Results - MMI: 66.6 | Metric Name | Metric Value | Metric Score | |--------------------------------------------------|--------------|--------------| | Total Taxa | 40 | N/A | | Ephemeroptera + Plecoptera Taxa (adjusted with Elevation): | 15 | 100.0 | | Chironomidae Pct | 32.2 | 52.9 | | Sensitive Plains Famillies Pct | 13.2 | 21.3 | | Predator+ Shredder Taxa | 11 | 78.6 | | Clinger Taxa | 18 | N/A | | Clinger Taxa adjusted with Elevation | 18 | 100.0 | | Insect Taxa | 34 | N/A | | Non-Insect % of taxa | 15.0 | 46.6 | | Ephemeroptera Pct | 29.2 | N/A | | BeckBI | 33.0 | N/A | | Dominant01 Taxon Pct | 21.3 | N/A | | Sprawler Pct | 15.5 | N/A | ## Table D.1. Colorado River at Pump House macroinvertebrate summary. | SampleID | 164310 | |----------|--------| | Station (NAMC) | COR-Pump | | Station (Customer) | COR-Pumphouse | | Waterbody | COR-Pumphouse | | County | Grand | | State | CO | | Latitude | 39.984714 | | Longitude | -106.514223 | | Collection Date | 10/27/2017 | | Habitat Sampled | Targeted Riffle | | Collection Method | Hess net | | Field Notes | NULL | | Lab Notes | NULL | | Area sampled (m^2) | 0.688 | | Field Split | 100 | | Lab Split | 15.63 | | Split Count | 616 | ### OUT Code | Phylum | Class | Order | Family | Genus | Species | OTUName | #/m² | |----------|-----------|-------------|----------------|----------|---------|------------------|------| | 5915 | Annelida | Clitellata | NULL | NULL | NULL | Oligochaeta | 19 | | 5020 | Arthropoda| Arachnida | NULL | NULL | NULL | Trombidiformes | 37 | | 51285 | Arthropoda| Arachnida | Trombidiformes | Sperchonidae | NULL | NULL | Sperchon | 74 | | 5012 | Arthropoda| Insecta | Coleoptera | Elmidae | NULL | NULL | Optioservus | 121 | | 5929 | Arthropoda| Insecta | Coleoptera | Elmidae | Optioservus | NULL | Optioservus quadrrimaculatus | 1 | | 51424 | Arthropoda| Insecta | Coleoptera | Elmidae | Zaitzevia | NULL | Zaitzevia parvulus | 9 | | 5266 | Arthropoda| Insecta | Diptera | Chironomidae | NULL | NULL | Chironominae | 9 | | 5381 | Arthropoda| Insecta | Diptera | Chironomidae | NULL | NULL | Diamesinae | 97 | | 5942 | Arthropoda| Insecta | Diptera | Chironomidae | NULL | NULL | Orthocladiinae | 1946 | | 51269 | Arthropoda| Insecta | Diptera | Simuliidae | NULL | NULL | Simulium | 178 | | 5098 | Arthropoda| Insecta | Diptera | Tipulidae | Antocha | NULL | Antocha monticola | 28 | | 5029 | Arthropoda| Insecta | Ephemeroptera | Baetidae | NULL | NULL | Acentrella | 11 | | 5139 | Arthropoda| Insecta | Ephemeroptera | Baetidae | NULL | NULL | Baetis | 1798 | | 5007 | Arthropoda| Insecta | Ephemeroptera | Ephemerellidae | NULL | NULL | Ephemerella | 290 | | 5454 | Arthropoda| Insecta | Ephemeroptera | Heptageniidae | NULL | NULL | Epeorus | 65 | | 51210 | Arthropoda| Insecta | Ephemeroptera | Heptageniidae | NULL | NULL | Rhithrogena | 87 | | 51379 | Arthropoda| Insecta | Ephemeroptera | Leptophyphidae | NULL | NULL | Tricorythodes | 19 | | 51034 | Arthropoda| Insecta | Plecoptera | NULL | NULL | NULL | Perlodidae | 37 | | 5690 | Arthropoda| Insecta | Plecoptera | Perlodidae | NULL | NULL | Isoperla | 19 | | 51183 | Arthropoda| Insecta | Plecoptera | Pteronarcyidae | Pteronarcys | NULL | Pteronarcys californica | 175 | | 5543 | Arthropoda| Insecta | Trichoptera | NULL | NULL | NULL | Glossosomatidae | 67 | | 5660 | Arthropoda| Insecta | Trichoptera | NULL | NULL | NULL | Hydropsychidae | 74 | | 5181 | Arthropoda| Insecta | Trichoptera | Brachycentridae | Brachycentrus | NULL | Brachycentrus americanus | 19 | | 5540 | Arthropoda| Insecta | Trichoptera | Glossosomatidae | NULL | NULL | Glossosoma | 67 | | 51148 | Arthropoda| Insecta | Trichoptera | Glossosomatidae | NULL | NULL | Protoptila | 19 | | 5260 | Arthropoda| Insecta | Trichoptera | Hydropsychidae | NULL | NULL | Cheumatopsyche | 19 | | 5655 | Arthropoda| Insecta | Trichoptera | Hydropsychidae | NULL | NULL | Hydropsyche | 302 | | 5662 | Arthropoda| Insecta | Trichoptera | Hydropsilidae | NULL | NULL | Hydropsila | 169 | | 5721 | Arthropoda| Insecta | Trichoptera | Lepidostomatidae | NULL | NULL | Lepidostoma | 28 | | 51213 | Arthropoda| Insecta | Trichoptera | Rhyacophilidae | NULL | NULL | Rhyacophila | 9 | Appendix C CPW Fish Population Data 2017 Monitoring Report Draft Report General Information: The Fraser River is a highly diverse river offering many transitions in habitat type through the course of its length. Public access is somewhat limited in some sections and care should be taken to avoid trespass problems. Please consult with local agencies regarding access locations. Guided fishing is available on some privately held reaches. Location: Eastern Grand County—towns of Winter Park, Fraser, and Granby. Recreational Management: US Forest Service, towns of Winter Park, Fraser and Granby, and BLM. Amenities and General Info. - The Fraser River flows through multiple towns which offer general amenities in close proximity to the river. - Guide services available through several area outfitters. Regulations Fraser River - Grand County a. From the headwaters downstream to the confluence with St. Louis Creek: 1. Fishing is by artificial flies and lures only. 2. All rainbow trout must be returned to the water immediately upon catch. b. From the confluence with St. Louis Creek downstream to the Colorado River: 1. The bag and possession limit for trout is two fish. Previous Stocking Whirling Disease-resistant Rainbow trout were stocked at various sizes from 2010-2013 with the goal of establishing a wild, self-sustaining rainbow fishery. Due to the success of this stocking, beginning in 2014 rainbow trout stocking ceased in order to give the rainbows a chance to sustain themselves. See discussion on following pages. Sportfishing Notes - The Fraser offers an enjoyable mix of fishing for brook, rainbow and brown trout. The composition of these three species depends on the location in the river one fishes. It is home to the highest densities of mottled sculpin in the area. Streamer fishing for large browns beneath undercut banks is always an option. The most prolific insect hatch is caddis, which takes place after runoff. Golden stoneflies and various mayflies are also abundant. Terrestrial fishing can be productive in late summer as well. This 5” sculpin had recently consumed a 3” dace. This is the only time we have documented sculpin piscivory in this area. This brown trout, captured in the same reach, had recently eaten a sculpin. The Kaibab Park station is located in the town of Granby where the river flows between the park and the fire station, immediately downstream of the Highway 40 crossing. This is the farthest downstream site on the Fraser that we survey regularly. Population estimates are shown in the table above and the graphs display the size distribution of brown and rainbow trout. Only brown trout population estimates appear in the table because rainbows have not constituted a significant portion of the fish population, despite the fact that rainbows have been stocked here on the same occasions that have been successful farther upstream. 2017 saw the highest biomass and fish-per-mile estimates to date for brown trout in this reach. Extreme high-water years such as 2014 likely have a flushing effect on juvenile brown trout in this reach, while drought years such as 2012 see decreases in large fish density estimates. 2017 conditions probably represent a “happy medium” situation in which the river has benefitted from the flush of recent high water years, yet the 2017 runoff wasn’t high enough to displace juveniles. The rainbow trout appearing in the 2015 sample were fingerlings stocked that year. This is the only location on the Fraser that rainbow fingerlings have been stocked since 2013. The 2014 and 2017 samples found that recruitment from rainbow fingerling stocking in this reach was poor. | Peak flows at Granby | |----------------------| | Date | Flow (cfs) | | 6/4/09 | 991 | | 6/8/10 | 1767 | | 7/1/11 | 1519 | | 4/27/12 | 157 | | 5/18/13 | 651 | | 5/31/14 | 2256 | | 6/12/15 | 1425 | | 6/13/16 | 1351 | | 6/11/17 | 1027 | This reach is on property owned by Grand County Water and Sanitation District 1 immediately outside of Tabernash, and is slated to be opened to public access in 2018. In 2017 an in-stream physical habitat improvement project was constructed on the site. This project was a cooperative effort by the Learning By Doing stakeholder group (for more information visit https://co.grand.co.us/737/Learning-by-Doing). Prior to the habitat project, this reach had relatively poor trout habitat, characterized by a high width-to-depth ratio, poor thalweg definition, sparse and shallow pools, and excessive riffles. All of these deficiencies were addressed in the habitat improvement project. The table above contains the trout population estimates obtained on the three occasions that we have surveyed the site. Prior to the habitat project (2007 and 2016), this site yielded the poorest estimates of any location discussed in this report, and among the lowest population estimates ever obtained in any location on the Fraser. We observed an immediate benefit after completion of the project, with greatly increased numbers of adult fish and a nearly four-fold increase in total trout biomass from 2016 to 2017. Rainbow and brown trout size distribution is displayed in the graphs above. Prior to the habitat project, we found high numbers of juvenile trout in their first two years of life, but by age 3 the fish had mostly vacated the reach in search of more suitable habitat. This did not appear to be the case any more after completion of the project. Interestingly, on all occasions we collected a number of age-0 rainbow fry. These fish were not stocked, and are the product of wild reproduction. This is an encouraging observation suggesting that a productive wild rainbow fishery may develop in this reach. The sharp decline in sculpin numbers captured in 2017 is most likely due to the fact that the electrofishing survey took place approximately two weeks after the habitat work was completed, which is a short amount of time for sculpin to recolonize after a high level of disturbance to the stream bed. If adult trout numbers continue to improve in the future, sculpin numbers may not return to their previous levels, due to increased predation. The Safeway station is located immediately behind the Safeway store in the town of Fraser. This station has the longest and most consistent history of surveys. The Town of Fraser, in partnership with other entities including Trout Unlimited and the Colorado Division of Wildlife (now CPW), completed a habitat improvement project in this area in 2005. These surveys show that the habitat project has proven to be overwhelmingly successful. 2003 was the only year that this station was surveyed prior to the habitat project construction. The survey that year yielded population estimates that were quite poor in all parameters of the trout population. All subsequent sampling occasions have produced estimates that are many times greater than the 2003 values. The figure above contains biomass estimates in pounds per surface acre by species. Many of the changes in the rainbow population can be directly attributed to stocking patterns. Soon after the habitat project was completed, we stocked rainbows in this reach at high densities in order to quickly occupy habitat and possibly gain a competitive advantage over the brown trout. In 2007 and 2008, we stocked several hundred large brood fish, averaging 14-15”, which produced the elevated rainbow biomass and quality fish density estimates in those years. The intention of stocking those fish was to “kick start” the rainbow population in the newly-improved habitat. These fish occupied the stream for a couple of seasons but did not accomplish natural reproduction. In 2010, we began a four-year period of stocking approximately 50,000 whirling-disease resistant rainbow fingerlings at 3-5”. These plants had good success, and rainbow fingerling stocking ceased after 2013 due to the success of the program. We were concerned about overstocking, and we also wanted to observe whether or not the rainbows would begin sustaining themselves through natural reproduction. 2017 yielded the lowest biomass estimate for rainbows since fingerling stocking ceased, which may indicate that more stocking in the future is warranted. The figure below contains estimates of fish greater than 14” per surface acre. No brook trout >14” have been captured at this site, which is not unexpected. The general downward trend in large fish that we have observed since 2013 is probably an effect of the cessation of rainbow stocking, because in addition to establishing a rainbow fishery, the abundance of small rainbows also provided forage for large, predatory browns, likely enhancing their numbers in the 2011-2014 period. It is encouraging that large rainbows outnumbered large browns in 2016 and 2017, and 2018 will be a critical year in determining whether or not the rainbows will sustain themselves long-term (see discussion on following page). High water years may disadvantage brown trout on this section, probably by displacing juveniles to points downstream. Those years produce colder temperature regimes, which would also disadvantage browns. The lower-water years of 2012 and 2013 saw much higher recruitment of brown trout, resulting in increased population estimates beginning in 2012. The period of 2013-2017 saw the highest brown trout biomass estimates on this reach to date. The graphs at left display the size distribution of rainbow and brown trout captured at the Safeway station over the past four years. 2013 was the last year that rainbow fingerlings were stocked. They were stocked on August 1, averaging 3.75” in length. In 2013 we also caught a large number of 2” rainbows, which were not explained by stocked fish and were likely the result of wild reproduction. Because of this, and the success of these plants that we have observed here and at Confluence Park, after 2013 we ceased the stocking of rainbows in order to observe whether or not they will sustain themselves through natural reproduction. This data set nicely captures the progression of the 2013 year class of brown trout, which had grown to 5” by 2014, 8” in 2015, 10” in 2016, and 12+” in 2017. This is actually the last large year class of browns that we observed in this reach. We did not capture any Age-0 fish in 2014, which is probably a reflection of the high water that year having an impact on fry survival. In 2015, 2016, and 2017 we captured moderate numbers of age-0 rainbow fry. Because we have not stocked since 2013, we know that these fish are the product of natural reproduction. It is especially encouraging to note that in ‘15 and ‘16, age-0 rainbows outnumbered age-0 brown trout by a significant margin. We found roughly equal numbers of age-0 fish of the two species in 2017. However, recruitment of rainbows from age-0 to age-1 appears to be poor, which is evident in the overall lack of rainbow trout in the 5-10” range from 2015 onward. If this trend continues into 2018 and adult rainbow densities dwindle, we will likely stock rainbow fingerlings again beginning in 2019. | Dates of Safeway Station surveys | |----------------------------------| | 9/30/2003 | 9/6/2012 | | 10/21/2006 | 9/4/2013 | | 8/23/2007 | 9/3/2014 | | 10/03/2008 | 9/2/2015 | | 9/3/2009 | 8/31/2016 | | 9/7/2010 | 9/5/2017 | | 9/1/2011 | | A Fraser River sculpin. Photo by Kevin Birznieks The Confluence Park station is located in the town of Winter Park. The upstream end of the station is the pool where Vasquez Creek joins the Fraser. The graph at right contains biomass estimates in pounds per surface acre. This reach was not sampled in the years with no data. This is a higher-gradient, forested reach with a colder temperature regime, which explains the relative scarcity of brown trout. Trout populations here have been highly dynamic, with 2017 revealing an unprecedented influx of brown trout, but also the lowest total trout biomass estimates to date. Fingerling rainbow trout stocking in 2010-2013 was very successful at this site. By 2012 the data suggested that our rainbow stocking may be overpopulating the reach, which was one of the factors that led to the decision to cease rainbow stocking as discussed previously. The 2017 data suggests that rainbow trout will not sustain themselves here without fingerling stocking. The size distribution of the trout captured in the last four surveys is displayed below. These data reflect a dynamic situation with regard to competition between brook trout and stocked rainbows. During the period of 2012-2014, the high density of rainbows in the 5-12” range appeared to be suppressing the adult brook trout population, which is an unusual occurrence. By 2015, brook trout began regaining the upper hand, with multiple age classes in the smaller sizes outnumbering juvenile rainbows, which were nonexistent in that survey. Two distinct size-groups of brown trout appeared for the first time in 2017, as well as an 18” brown, the largest ever captured here. It is unlikely that the influx of brown trout was due to spawning movements, because the survey has occurred close to the same date on every occasion. This site is located adjacent to the Forest Service campground just upstream of the town of Winter Park. This station is 675 feet in length and averages 20.2 feet in width. The table at right contains population estimates collected on the two occasions we have surveyed this reach. Every parameter of the trout population listed in this table experienced significant declines in 2016, and the estimate of total trout biomass declined by 49.6%. Sculpin capture declined only slightly, and this was not by a significant margin. The nearest other site that we surveyed in 2016 is the Safeway station in the town of Fraser. We did not observe similar declines in any of these parameters at that station compared to previous years. In 2013, the Confluence Park site saw a decline in biomass similar to this one; however, the decline was among rainbow trout only (brook trout actually increased) and is easily explained by changes in our stocking strategy at that time. Such a decline across three species of trout is unprecedented in the history of our Fraser River monitoring. The figures below display the size structure of brook trout and rainbow trout captured at this station in 2014 and 2016. It is important to be aware that 2013 was the last year that we stocked rainbow trout fingerlings in the Fraser, and some of the decline in the rainbow trout population can be attributed to this change. The rainbows in the 5-10” range in 2014 are the result of past fingerling stocking. The two small rainbows we captured in 2014, 1-2” in length, are evidence of successful natural reproduction that year. The information collected in 2016 suggests that rainbows may not sustain themselves in this reach without the aid of future stocking. The 2” brook trout captured in 2016 are young-of-the-year fish, and are evidence of a successful 2016 year class. We captured very few Age-0 fish in 2014. This is likely the result of a spring runoff that year that was far above normal. In some locations, unusually high spring runoff can either displace or kill an entire year class of juvenile brook or brown trout. This is likely what occurred here. Because this station was a new location surveyed for the first time in 2014, it is impossible to know which of the two years is out of the ordinary. It is possible that the 2016 data reflects a return to “normal” fish densities for the site and that 2014 happened to be a particularly productive year. However, it is more common to observe a short-term suppression of fish populations in years with extremely high runoff such as 2014. This reach has been the recipient of multiple discharge events in recent years that originate from the Moffat Tunnel. High levels of turbidity have occurred and CPW has received multiple reports from the public and other entities. While we have not observed a direct fish kill as a result of these events, this data appears to provide at least circumstantial evidence of some level of environmental stress or disturbance on the trout population here. We will continue to monitor this location in the future. General Information: The Colorado River offers approximately 4 miles of public access on the Kemp-Breeze, Lone Buck, and Paul Gilbert State Wildlife Areas and BLM Sunset property unit. Location: Approximately 10 miles east of Kremmling, CO on US highway 40. Recreational Management: Colorado Parks and Wildlife, Bureau of Land Management Fishery Management: Gold medal river trout fishery Amenities and General Info. - 4 miles of public river access for wade or bank angling at multiple access points - Picnic Areas - Kids fishing pond - Primitive restrooms - Guide services available through several area businesses Regulations - All fishing is by flies and lures only, and all trout must be returned to the water immediately. Previous Stocking Rainbow trout of various sizes have been stocked through 2015 (see report), with the goal of reestablishing a wild, self-sustaining rainbow population. Sportfishing Notes This section of The Colorado River is one of the most well-known and heavily fished sections of river in the state. - Despite heavy fishing pressure, trout populations are consistently excellent - Fly fishing is the most common method of choice. There is a wide spectrum of aquatic insect varieties to imitate, from midges in the winter to various mayflies in the spring, stoneflies in early summer, caddis, terrestrial, and more mayflies later in the summer. Usually the biggest challenge for catching fish is figuring out what the trout happen to be focused on that particular day. - These fish are well-educated and demand an accurate presentation. This and all the following information reflects trout population data collected on the two-mile reach of river beginning just upstream of the “Parshall Hole” and extending downstream to the irrigation diversion on the BLM Sunset property. This survey is conducted in the third or fourth week of September annually. Population estimates are obtained by raft electrofishing using standard mark-recapture methodology. The figure at top left displays trout population estimates in fish per mile 6” or larger. The high brown trout estimate in 2007 is the result of multiple large year classes of young brown trout recruiting during the relatively low-water years leading up to that year. It is common to see high recruitment of juvenile brown trout during drought periods, simultaneous with declining numbers of large fish. The increase in rainbow trout estimates beginning in 2012 reflects the introduction of Whirling Disease resistant rainbows to this section of river (see following discussion). The middle figure at left displays estimates for trout biomass in pounds per surface acre over the 2-mile reach. The lower figure at left displays density estimates of trout greater than 14” per surface acre. Biomass and density of quality trout are important parameters because these are the estimates used to confirm a river’s status as a Gold Medal fishery. In order to maintain Gold Medal status, a fishery must produce at least 60 pounds per acre of total trout biomass AND at least 12 trout per acre greater than 14” in length. In recent years such as 2012 and 2013, this reach of the Colorado River has come uncomfortably close to failing to meet those standards. Each of these three graphs show a point in recent history when the particular parameter being measured has reached a historic low point. This information makes a strong case that this is a declining fishery. All the reasons for this are not known, but some of the most likely culprits are a long-term degradation in the quality of invertebrate forage, long-term degradation in the quality of physical habitat (particularly overwinter habitat), resulting in more frequent weak juvenile year classes and poor recruitment into the adult population. These declines are probably attributable to a combination of these factors, which are interrelated. Brown trout population size structure These figures (and the following page) display the size distributions for all brown trout captured in the Parshall-Sunset reach in September from 2010-2017. The vertical axis on all graphs is the same, enabling comparisons among years. The vertical bars represent the number of fish that were captured in each size class by centimeter (15 cm = 6"). Viewing the data in this way reveals a wealth of useful information including rough estimates of annual growth and survival rates. Fish less than 15 cm are not effectively captured during these surveys, so it is difficult to assess the abundance of the age-0 year class (fish that were born the year of the survey) from this data. However, the age-1 year class (born the year prior to the sample), in the 12-20 cm range, is represented more accurately. When studying this survey data, a question sometimes arises regarding movement of trout. The question is whether or not the data represents the “true” resident population of fish, or whether the fish move so much that it is more of a single snapshot in time of the trout that happen to be occupying the reach on that day. There are a few aspects of this data which at least partially answer that question. First, the survey is conducted as close to the same date as possible every year. If the results are heavily influenced by fish movements, those movements should at least be similar among years as long as the dates of the survey are consistent. Anecdotally, many fish are collected each year that have small scars in the tail where they were marked in previous years’ surveys, proving that those fish occupy the same reach across multiple years. Also, the analysis below demonstrates that year class strength is a strong predictor of the future adult population. If the population was heavily influenced by emigration or immigration, this would not necessarily be the case. There are examples of other reaches of the Colorado (such as the Radium survey reach) where the number of juvenile fish has never explained the high density of adult fish present, meaning that the reach “gains” fish from elsewhere. The strength of the age-1 year class in any given year is of great interest because of its ability to predict trends in the adult population in future years. Due to high mortality rates in small fish, strong age-1 year classes are necessary in order to maintain the adult population. We found strong age-1 classes in 2007, 2010, 2011, 2012, 2015, and 2016. Weak age-1 classes were observed in 2008, 2009, 2013, 2014, and 2017. The result of weak age-1 recruitment in 2008 and 2009 can be seen in the weakening adult population in 2011 and 2012. That weakening of the adult population is evident on page 2 in the biomass and quality trout estimates for those years. In 2012 the age-2 fish were poised to bolster the adult population, which took place in 2013 and 2014. This also appears on page 2 in the improving biomass estimates in those years and the increase in quality trout in 2014. 2013 revealed another strong age-2 year class; however, the age-1 group was weak in both 2013 and 2014. The adult population in 2014 reflects the benefit of the strong age-1 groups of 2011 and 2012. This is also evident in the increased number of quality trout that we observed in 2014. However, the weak recruitment years of 2013 and 2014 resulted in moderate decreases in the adult population in 2015 and 2016, which was ultimately manifested in the lower quality fish estimate in 2016. Age-1 recruitment in 2015 and 2016 returned to strong levels, which should again bolster the adult population in 2017 and 2018. Age-0 capture in 2016 was low, resembling that of 2012 and 2013, suggesting that 2017 would reveal another weak Age-1 year class. Quality trout density estimates in 2017 were among the lowest ever (page 2). However, the 2017 sample revealed a large, overlapping group of Age-2 and 3 fish (peaking at 28 cm) resulting from the strong age-1 groups in 2015 and 2016. These fish should recruit into larger size classes in 2018 and 2019 and improve the densities of 14+ fish. Age-0 capture in 2017 mirrored that of 2016, predicting another weak Age-1 group for 2018. We do not have a strong understanding of factors that produce strong or weak year classes in any given year on this reach of the Colorado. In some rivers, above-average runoff results in high mortality of brown trout, thus forming poor year classes, while drought years see high survival of age-0 fish due to the lack of intense flows. However, we have seen counterexamples of that dynamic in the Colorado River in recent years. 2011 produced a peak runoff period that was far above average, yet a strong year class survived. Conversely, 2012 was a drought year that produced a weak age-1 group. Intensity of runoff probably plays a role in some years, but does not appear to be the chief factor determining year class strength on this reach. Spawning habitat quality could act as a limiting factor in the formation of year classes. However, if there was a general lack of spawning habitat, there would be no reason for the variability in year class strength that we have observed. All year classes would be equally poor. In some winters, anchor ice, frazil ice, and various formations of ice damming are common on this reach of the Colorado. It is possible that harsh winter conditions exacerbated by low flows lead to high mortality rates of brown trout eggs that are incubating in the gravel, which would result in poor year class formation. We do not currently have a way to quantify those conditions, and the degree to which they vary among winters. However, in-channel habitat improvements would address this issue by enhancing the quality of spawning riffles as well as overwintering habitat, making these areas less vulnerable to the harsh winter conditions that can take place during periods of cold weather and low flows. The Colorado River in Grand County historically supported one of the most productive wild rainbow trout fisheries in the world. In 1981, there were estimated to be 75 rainbow trout per acre over 14”. These fish were all the product of wild reproduction and unsupported by stocking. Brown trout comprised 25% of the trout population in the river that year. Whirling disease appeared in the river in 1987. The proliferation of this parasite ended virtually all successful reproduction of rainbow trout. In the following years, the brown trout population exploded to fill the habitat that was vacated due to lack of reproduction in the rainbow population. It has always been the goal of CPW to restore some level of a wild rainbow trout fishery to this reach of the Colorado. Beginning in 1994, CPW began stocking fingerling rainbow trout to attempt to compensate for the lost natural reproduction. Research has shown that rainbow trout mortality from whirling disease drops dramatically when the fish have reached a length of 5”. Based on this information, that is the size of fish that was stocked throughout the 2000’s. Due to the timing of rainbow spawn in the hatchery, fish of that size were not available until the fall, usually October. 40,000 5” fish per year were stocked annually in October in this reach of river. The figure to the left demonstrates the failure of the stocking strategy described above. Even though 5” fish should be able to survive in the presence of whirling disease, recruitment rates from stocking these fingerlings was abysmal, and rainbow trout continued to constitute a tiny fraction of the total trout population of this reach. In 2008 and 2009, the fingerlings stocked were a hybrid strain of Colorado River rainbow trout (the historic strain that had been developed in the river over the previous 100+ years), crossed with German rainbow trout which have been found to be highly resistant to whirling disease. The fish were still 5” long, and stocked in October. We did not observe any evidence that this strain was any more successful at recruiting into the population when stocked at that size. In 2010, we adopted a different stocking strategy based on the hypothesis that the limitation on recruitment in the 5” plants is timing rather than WD infection (if this was not the case we should have seen a positive response with the introduction of the WD-resistant strain in 2008). We stocked a larger number (60,000) of smaller (1.6 inches average) fish during the third week of July. We stocked these small fish out of a raft, only in the most ideal fry habitat. At this small size the fish are not habituated to being fed yet, and will hopefully quickly develop wild behaviors that are likely already lost in fish that have been raised to 5” in a hatchery environment. After encouraging results in 2010, in 2011 and 2012 we continued this stocking strategy and increased the number of fry stocked to 100,000. Pictures of the stocking operation are shown below. Our 2012 survey detected the recruitment of these fish into the adult rainbow trout population for the first time (above). Subsequent surveys have not yielded population estimates as high as 2012, but they have remained above pre-2012 levels. We have documented successful natural reproduction, but it remains to be seen if it will be enough for the percentage of rainbows in the trout population to increase (see discussion following page). The figures above display the size distribution of all the rainbow trout captured over the past six years in this reach. In 2010 we captured rainbow trout smaller than 6” for the first time. These were the 2” fry that had been stocked two months previously. In 2011, we found that the fry stocked in 2010 had grown to an average of 8 inches in length, which was an excellent growth rate, and were present in good numbers. 2012 saw the largest age-1 year class to date, and the 2010 year class was now in the 12-15” range. We did not capture age-0 fish in 2012 during the raft survey. 2013 revealed the continued development of a more robust adult population in the 12-16” range. We also observed another age-1 year class, although much weaker than 2012’s age-1 group, which explained why we did not find them in 2012. In 2014, we found the most fully developed adult rainbow population to date. The density estimate for rainbows larger than 14” was 5 fish per acre, which was the highest estimate in the post-WD era, until 2016 yielded an estimate of 6 per acre. We also did not detect an age-1 year class in 2014 for the first time since fry stocking began, for unknown reasons. However, we did collect some age-0 (fry stocked in 2014) fish. 2015 and 2016 saw the return of moderate age-1 groups. Due to a disease issue in our hatchery system, 2015 was the last year that we stocked rainbow trout fry. The 8” age-1 year class seen in 2016, and the 12” Age-2 group in 2017, represent the last stocked rainbow fry. This strain of rainbows will not be available until approximately 2019, and thus we are in a new period of no rainbow stocking and observation to determine if there are enough adult rainbows in the river now to sustain and increase their numbers through natural reproduction. The 7-9” group in 2017 are wild fish, and through fry monitoring we have observed some successful natural reproduction. We are hopeful that this trend will continue. Mountain Whitefish Invasion In 2013, we collected four juvenile mountain whitefish on this reach for the first time. This species had never been captured on this reach of river in a history of biological survey work that extends back to 1981. There are no historical records of mountain whitefish occurring anywhere in Middle Park upstream of Gore Canyon. This species is native to the White and Yampa river drainages but not to the Colorado. There is an established population in the Colorado downstream of Gore Canyon. The graphs at left display the size distribution of whitefish that we have captured since 2014. That year, we captured two juvenile whitefish. By 2015, we captured 22 whitefish representing three age-classes, which corresponded to the juveniles we had caught the two previous years. In 2016 our catch increased to 49 mountain whitefish representing four year-classes and ranging up to 19” in length. We captured fewer in 2017, but still found at least three year-classes. In other surveys, in 2016 we also captured single adult whitefish as far upstream as Windy Gap dam. These findings suggest that we are witnessing the beginning of a significant invasion of the species into the upper Colorado. The reasons that this is occurring now are unknown. 2011 saw the highest flows on the Colorado River since the early 1980’s, and our current theory is that the prolonged high flows during that summer allowed adult whitefish to find their way through Gore Canyon for the first time. Impacts of mountain whitefish on the trout fishery are unknown at this time. There are ways in which they might benefit the fishery (for example, providing an additional prey source for large, predatory brown trout), but they may also present new competition with trout for food and habitat. Catch-and-release regulations on this reach apply to trout only, so these fish are available for angler harvest. We will closely monitor this invasion over the coming years and continually assess whether or not any management changes are warranted. Mountain whitefish captured in the Parshall Hole. On April 19 & 21, 2016, we conducted a raft electrofishing survey of the Colorado River beginning just downstream of the Byers Canyon bridge and extending to the downstream border of the Lone Buck State Wildlife Area. This encompassed a river reach of approximately 7,000 feet in length. The main reason for this survey was to determine the number of spawning rainbow trout in this reach, which contains locations where rainbows regularly spawned historically. This was the first time since 2013 that we had surveyed this section. These are the only two occasions in recent history that the reach has been surveyed in the spring. Results of the 2013 and 2016 surveys are contained in the table at right. Rainbow estimates remained essentially the same across the two occasions, while the number of large brown trout increased dramatically. This resulted in a greatly increased estimate of brown trout biomass. The size distribution of both species is shown in the graphs below. In the 2016 survey, we also captured one mountain whitefish measuring 16”. At that time this was the farthest-upstream location that we had captured a whitefish; however, the following month we captured two more whitefish upstream of the town of Hot Sulphur Springs, indicating that they are present in the river up to Windy Gap dam. | Colorado River, Paul Gilbert—Lone Buck | 2013 | 2016 | |--------------------------------------|------|------| | **Date of survey** | 5/6 & 8 | 4/19 & 21 | | **Rainbows: #> 6”/mile** | 214 | 182 | | **#>14”/surface acre** | 5 | 6 | | **Biomass (lbs./acre)** | 13 | 13 | | **Browns: #> 6”/mile** | 1,537 | 1,178 | | **#>14”/acre** | 11 | 28 | | **Biomass (lbs./acre)** | 74 | 132 | A Whirling Disease-resistant rainbow from the Lone Buck reach. This handsome Parshall Hole rainbow in 2015 had recently enjoyed a meal of a 10” brown. The largest brown captured in 2014. 21 inches, 4.6 pounds This 15” brown had recently eaten some kind of rodent. APPENDIX D.1 Core Sample Location Maps, GPS, and Photo Logs Location Map: Fraser River. F2, coordinates represent downstream limits of ocular survey. N39°52'01.1", W105°44'58.5" No photos: ocular survey at F2 was not conducted in 2017 Location Map: Core Sample Site, Ranch Creek, F-RC2 N39°59' 57.96", W105°49'48.36" Core Sample Site: Ranch Creek, F-RC2. Sample Date: September 6, 2017 Ranch Creek, F-RC2, looking upstream. Ranch Creek, F-RC2, looking downstream. Location Map: Core Sample Site, Fraser River, FR9 N40°04'43.74", W105°54'15.32" Core Sample Site: Fraser River, FR9. Sample Date: September 7, 2017 Fraser River, FR9, looking upstream. Fraser River, FR9, looking downstream. Location Map: Core Sample Site, Colorado River CR4 (Chimney Rock Ranch) N40°06' 2.16", W106°01'36.36" No photos; sampling at Chimney Rock was not conducted in 2017 due to lack of spawning gravels. Location Map: Core Sample Site, Colorado River, CR4 (CDPW Paul Gilbert Public Access) N40°06'03.8", W106°01'33.1" No photos; sampling at CR4 (CDPW Paul Gilbert Public Access) was not conducted in 2017 due to lack of spawning gravels. Location Map: Core Sample Site, Colorado River, CR4-(Pioneer Park) N40°04'20.35", W106°06' 41.60" Core Sample Site: Colorado River, CR4-PP Sample Date: September 7, 2017 Colorado River, CR4-PP looking upstream. Colorado River, CR4-PP looking downstream. Location Map: Core Sample Site, Colorado River, CR5 N40°03'46.08", W106°11'02.16" Core Sample Site: Colorado River, CR5. Sample Date: October 27, 2017 Colorado River, CR5, looking upstream. Colorado River, CR5, on island looking downstream. Location Map: Core Sample Site, Colorado River, CR6 N40°03'20.98", W106°17'06.77" Core Sample Site: Colorado River, CR6. Sample Date: September 8, 2017 Colorado River, CR6, looking upstream. Colorado River, CR6, looking downstream. Location Map: Core Sample Site, Colorado River, CR7 N39°58'41.51", W106°30'56.45" Core Sample Site: Colorado River, CR7. Sample date: October 27, 2017 Colorado River, CR7, looking upstream. Colorado River, CR7, looking downstream. Core Sample Site: Colorado River, CR7. Sample date: October 27, 2017 Colorado River, CR7, looking at bar for pebble count. APPENDIX D.2 Pebble Counts at Macroinvertebrate Sites: Location Maps, GPS, and Photo Logs 2017 Monitoring Report Draft Report Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-abvWPSD N39° 53' 40.02", W105° 46' 5.58" Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-abvWPSD. Date: September 6, 2017 Fraser River, FR-abvWPSD, looking upstream. Fraser River, FR-abvWPSD, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-Rendezvous N39° 56’ 02.832”, W105° 47’ 22.56” Pebble Count at Macroinvertebrate Site: Fraser River, FR-Rendezvous. Date: September 6, 2017 Fraser River, FR-Rendezvous, looking upstream. Fraser River, FR-Rendezvous, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-FrSpProj N39° 58’ 54.11”, W105° 49’ 49.50” Pebble Count at Macroinvertebrate Site: Fraser River, FR-FrSpProj. Sample Date: September 6, 2017 Fraser River, FR-FrSpProj, looking upstream at site. Fraser River, FR-FrSpProj, looking downstream at site. Location Map: Pebble Count at Macroinvertebrate Site, Fraser River, FR-CR83 N39° 59' 25.99", W105° 49' 45.83" Pebble Count at Macroinvertebrate Site: Fraser River, FR-CR83. Sample Date: September 6, 2017 Fraser River, FR-CR83, looking upstream Fraser River, FR-CR83, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, Ranch Creek below Meadow Creek, RC-blwMC (labeled RC-CR84 in 2015) N39° 59’ 56.57”, W105° 49’ 39.11” Pebble Count at Macroinvertebrate Site: Ranch Creek, RC-blwMC Date: September 6, 2017 Ranch Creek, RC-CR84, looking upstream. Ranch Creek, RC-blwMC, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, FR-abvFrCan N 40° 00' 0.46", W 105° 50' 52.80" Pebble Count at Macroinvertebrate Site: Fraser River, FR-abvFrCan Sample Date: September 6, 2017 Fraser River, FR-abvFrCan, looking upstream Fraser River, FR-abvFrCan, looking downstream Location Map: Pebble Count at Macroinvertebrate Site, FR-abvGSD N 40° 05' 06.936", W 105° 57' 16.704" Pebble Count at Macroinvertebrate Site: FR-abvGSD. Date: September 7, 2017 Fraser River, FR-abvGSD, looking upstream. Fraser River, FR-abvGSD, looking downstream. Location Map: Pebble Count at Macroinvertebrate Site, COR-blwWG N 40° 06' 30.64", W 106° 00' 10.80" Pebble Count at Macroinvertebrate Site: COR-blwWG Date: September 7, 2017 Colorado River, COR-blwWG, looking upstream Colorado River, COR-blwWG, looking downstream Location Map: Pebble Count at Macroinvertebrate Site, COR-abvHSR N 40° 04' 25.60", W 106° 06' 36.00" Pebble Count at Macroinvertebrate Site: COR-abvHSR Date: September 7, 2017 Colorado River, COR-abvHSR, looking upstream Colorado River, COR-abvHSR, looking downstream Location Map: Pebble Count at Macroinvertebrate Site, COR-abvKidPond N 40° 03’ 48.31”, W 106° 11’ 27.60” Pebble Count at Macroinvertebrate Site: COR-abvKidPond Date: October 27, 2017 Colorado River, COR- abvKidPond, looking upstream (left bank) Colorado River, COR- abvKidPond, looking downstream (left bank) Location Map: Pebble Count at Macroinvertebrate Site, COR-KBDitch N 40° 03' 13.57", W 106° 17' 22.20" Pebble Count at Macroinvertebrate Site: COR-KBDitch Date: September 8, 2017 Colorado River, COR- KBDitch, looking upstream Colorado River, COR- KBDitch, looking downstream Location Map: Pebble Count at Macroinvertebrate Site, COR-Pumphouse N 39° 59' 04.68", W 106° 30' 51.55" Pebble Count at Macroinvertebrate Site: COR-Pumphouse. Date: October 27, 2017 Colorado River, COR-Pumphouse, looking upstream Colorado River, COR-Pumphouse, looking downstream

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News Release Wabtec Opens Its Largest Engineering Lab in India BENGALURU, October 13, 2021 – Wabtec Corporation (NYSE: WAB), a leading technology supplier for the freight and transit rail industries, inaugurated today a worldclass global engineering lab at Bengaluru to enable rail component design and performance. The new facility is Wabtec's biggest lab in India and adds to the company's growing engineering presence in the country. The facility was inaugurated by Eric Gebhardt, Wabtec's Executive Vice President and Chief Technology Officer and Dr. Sujatha Narayan, Regional Senior Vice President, Wabtec India, along with key members from the Engineering team. "India site is an important engineering hub for our company," said Gebhardt. "The Wabtec India Technology Center and this global engineering lab are vital to our strategy to develop sustainable solutions for our customers worldwide.". This engineering lab has a 30,000-square-foot test lab area and 12,000 square feet for an operations center and office space. The facility houses more than 30 complex mechanical, electrical and propulsion related custom built test rigs. The objective of the facility is to characterize the performance, understand the failures, predict the service life of components, and validate design improvements. "This new lab provides our team in Bengaluru the resources to design and validate products for our global and regional markets," said Narayan. Wabtec is planning to relocate and add test rigs to the new facility over the next three months. Some of the test equipment, such as the Resonance Type 1500 KN Fatigue rig, are unique and one of its kind in India. Engineers across the globe will leverage these labs for establishing dynamic characterization, comparing physical and virtual test results, component validations and development work. "The Global Engineering Lab allows us to conduct 'Smart Validation' of products in the most efficient way, this approach enables us to do component-level testing versus system level testing" said Gopal Madabhushi, Corporate Vice President, Wabtec Corporation "The lab's innovative rigs allow us to design for various operating conditions, gain insights on performance in shortest possible time, which supports successful product launches." Wabtec is one of the largest rail equipment manufacturers in India. With two large business entities in freight and transit rail, the company has supplied more than 300 locomotives to Indian Railways and have an installed base of subsystems in over 2,000 News Release cars in Metro projects. The company employs 2,700 people in India with large engineering bases in Bengaluru and Hyderabad. About Wabtec Wabtec Corporation (NYSE: WAB) is focused on creating transportation solutions that move and improve the world. The company is a leading global provider of equipment, systems, digital solutions and value-added services for the freight and transit rail industries, as well as the mining, marine and industrial markets. Wabtec has been a leader in the rail industry for over 150 years and has a vision to achieve a zero-emission rail system in the U.S. and worldwide. Visit Wabtec's website at www.wabteccorp.com. ### Media Contacts: Sanaj Natarajan +91 9972800477 [email protected]

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EMPIRE-PIC: A Performance Portable Unstructured Particle-in-Cell Code Matthew T. Bettencourt 1 , Dominic A. S. Brown 2, ∗ , Keith L. Cartwright 1 , Eric C. Cyr 1 , Christian A. Glusa 1 , Paul T. Lin 3 , Stan G. Moore 1 , Duncan A. O. McGregor 1 , Roger P. Pawlowski 1 , Edward G. Phillips 1 , Nathan V. Roberts 1 , Steven A. Wright 4 , Satheesh Maheswaran 5 , John P. Jones 6 and Stephen A. Jarvis 7 1 Sandia National Laboratories, Albuquerque, NM. 3 Lawrence Berkeley National Laboratory, Berkeley, CA. 2 Department of Computer Science, University of Warwick, UK. 4 Department of Computer Science, University of York, UK. 6 Atomic Weapons Establishment, Aldermaston, UK. 5 Diamond Light Source Ltd, Diamond House, Harwell Science and Innovation Campus, Didcot, UK 7 College of Engineering and Physical Sciences, University of Birmingham, UK. Received 24 December 2020; Accepted (in revised version) 30 March 2021 Abstract. In this paper we introduce EMPIRE-PIC, a ﬁnite element method particlein-cell (FEM-PIC) application developed at Sandia National Laboratories. The code has been developed in C++ using the Trilinos library and the Kokkos Performance Portability Framework to enable running on multiple modern compute architectures while only requiring maintenance of a single codebase. EMPIRE-PIC is capable of solving both electrostatic and electromagnetic problems in two- and three-dimensions to second-order accuracy in space and time. In this paper we validate the code against three benchmark problems – a simple electron orbit, an electrostatic Langmuir wave, and a transverse electromagnetic wave propagating through a plasma. We demonstrate the performance of EMPIRE-PIC on four different architectures: Intel Haswell CPUs, Intel's Xeon Phi Knights Landing, ARM Thunder-X2 CPUs, and NVIDIA Tesla V100 GPUs attached to IBM POWER9 processors. This analysis demonstrates scalability of the code up to more than two thousand GPUs, and greater than one hundred thousand CPUs. AMS subject classiﬁcations: To be provided by authors Key words: PIC, electrostatics, electromagnetics, HPC, performance portability. ∗ Corresponding author. Email addresses: [email protected](M. Bettencourt), [email protected](D. A. S. Brown) http://www.global-sci.com/cicp ⃝ c 2021 Global-Science Press 1 Introduction High Performance Computing (HPC) provides huge beneﬁt to the scientiﬁc community and has been especially useful within ﬁelds that require experiments that may be infeasible, and/or expensive to conduct physically. As a consequence of the continually rising computational performance of HPC systems, scientists are able to conduct research of ever increasing complexity. This improved capability will continue to grow with the move towards Exascale computing (the ability to carry out at least 10 18 ﬂoating point operations per second), a major milestone in the ﬁeld of HPC. This signiﬁcant improvement in performance has been accompanied by an increasing amount of diversity in modern compute architectures. For example, heterogeneous systems that make use of Graphics Processing Unit (GPU) accelerators or many-core CPUs are rapidly becoming more prevalent as we continue to move away from the traditional homogeneous cluster systems that were previously the norm [9]. As of June 2020, six out of the top ten supercomputers depend on heterogeneous architectures to achieve their compute performance [5]. The upcoming Exascale machines Aurora and Frontier will follow this same trend by using Intel and AMD GPUs respectively. As a result, it is now highly desirable for scientiﬁc codes to be able to perform well across a wide variety of systems, a concept often referred to as 'performance portability' [59]. However, this increase in architectural diversity brings greater difﬁculty in implementing production codes that are capable of fully exploiting the available hardware resources when compared to the traditional Single Program, Multiple Data (SPMD) MPI-based approach of the past. This problem is exacerbated by the fact that each architecture requires speciﬁc optimizations in order to achieve peak performance. Scientiﬁc codes must be able to adapt to this changing landscape without the difﬁculty of developing and maintaining several versions of the same application. There are various standards that have been proposed to remedy this issue by providing directives to the compiler that sections of code should be run in parallel and/or on a given device – commonly an accelerator card. These include OpenMP [16] and OpenACC [31]. Another approach being considered to aid performance portability is the use of parallel programming frameworks or libraries. Examples include Kokkos [36], from Sandia National Laboratories (SNL), and RAJA [47], from Lawrence Livermore National Laboratory (LLNL), both of which make use of C++ template meta-programming to inject hardware-speciﬁc device code, targeting a system during compilation. Other notable examples of parallel programming frameworks include Khronos' OpenCL [2] and SYCL [42], and Intel's newly developed OneAPI [4]. HPC contributes to a variety of scientiﬁc ﬁelds, with the areas of fusion energy research, and the behavior of plasmas under various conditions being notable examples. Particle-in-Cell (PIC) [14, 32, 45, 55] codes are commonly used to carry out simulations of charged particles under the inﬂuence of electric and magnetic ﬁelds. Examples in fusion energy research include both Inertial Conﬁnement Fusion (ICF) and Magnetic Conﬁnement Fusion (MCF) devices. Such devices include the National Ignition Facil-

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24 356 DL0 ATRIO SINGLE-LEVER MIXER WITH 3-WAY DIVERTER PRODUCT DESCRIPTION * Colour: brushed warm sunset * set for final installation for * GROHE Rapido SmartBox 35 600/35 604 * GROHE SilkMove 46 mm ceramic cartridge * GROHE Long-Life finish * wall escutcheon with GROHE FastFixation(covered escutcheon- and shaft sealing, covered fixing) * metal escutcheon, retroactively 6° adjustable * metal lever * 3-way diverter * flow performance:outlet A = 27 l/min,outlet B = 27 l/min,outlet C = 27 l/min * without roughing-in-set

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# Anna S Mine Complex Treatment System Operation and Maintenance Plan Developed for the Babb Creek Watershed Association By Hedin Environmental June 30, 2004 ## Table of Contents I. Partners and Responsibilities ................................................................. 2 II. System Overview .................................................................................. 2 A. Anna S System .................................................................................. 2 B. Hunter’s Drift System ....................................................................... 3 III. System Monitoring .............................................................................. 4 IV. Regular Inspections ............................................................................. 4 A. Equipment ....................................................................................... 4 B. Inspection Checklist ........................................................................ 5 V. Regular Maintenance Items ................................................................... 6 A. Mine Collection Boxes .................................................................... 6 B. Flow Distribution Boxes .................................................................. 7 C. VFP and Wetland Channels ............................................................ 7 D. Pest Damage .................................................................................... 7 VI. VFP Flushing ....................................................................................... 7 A. Flush Scheduling ............................................................................ 8 B. Performing a Flushing Event .......................................................... 9 C. Flushing Tips ................................................................................... 10 VII. Diagnosing Potential Problems and Their Solutions ......................... 10 VIII. Long-Term O, M &R Tasks ............................................................... 12 A. Compost Replacement .................................................................... 12 B. Limestone Replacement .................................................................. 12 C. Flush Pond Cleaning ....................................................................... 12 ## Attachments - Inspection and Monitoring Form - Flushing Form - O&M Site Map I. Partners and Responsibilities This project was funded by the Pennsylvania Department of Environmental Protection’s (DEP) Growing Greener Program, the U.S. Office of Surface Mining (OSM), and the Babb Creek Watershed Association (BCWA). The system was designed by Hedin Environmental (HE) of Pittsburgh and Hess & Fisher of Clearfield. BCWA is responsible for all regular inspections and O&M of the treatment system. In the event of a serious problem at the treatment system, DEP and HE should be notified immediately. II. System Overview This is one of the largest passive treatment systems ever constructed. It collects and treats mine water from three deep mine discharges using eight vertical flow ponds (VFPs), four constructed wetlands, and two flush ponds. The purpose of this section is to describe system components and how they are related. Because the flow paths are completely separate, this section discusses the Anna S system and Hunter’s Drift (HD) system separately. Items in Red Bold are shown on the attached O&M Map. A. Anna S System The Anna S system collects two discharges from the Anna S mine complex: Anna S1 and Anna S2. The S1 collection system extends from the deep mine entry into the **Anna S1 Mine Collection Box**. The purpose of this structure is to screen out debris, limit the total amount of water to the treatment systems, and allow the excess water to discharge to the stream. The outlet from the Mine Collection Box is transferred to the treatment system area. At regular intervals, the pipeline is equipped with cleanouts in the unlikely event of clogging. When the S1 pipeline reaches the treatment system area, the flow enters the **Anna S1 Drift Distribution Box**. The purpose of this structure is to split the mine water into four equal flows for treatment by the four VFPs. Four pipes lead from the Distribution Box to the VFPs. The Anna S2 discharge is collected in a perforated pipe buried in aggregate and leads to the **Anna S2 Mine Collection Box**. The purpose of this structure is to screen out debris, limit the total amount of water to the treatment systems, and allow the excess water to discharge to the stream. The outlet from the Mine Collection Box is transferred to the treatment system area. At regular intervals, the pipeline is equipped with cleanouts in the unlikely event of clogging. When the S2 pipeline reaches the treatment system area, the flow is controlled by two valves, labeled A2-1 and A2-3. These valves, when open, allow water to flow to VFP1 and VFP3, respectively. The VFPs for the Anna S flows are **VFP1**, **VFP2**, **VFP3** and **VFP4**. VFP1 and VFP3 have two inlets (one from Anna S1 and one from Anna S2). VFP2 and VFP4 only receive water from Anna S1. In each VFP, water flows down through the compost and limestone and into a series of underdrain pipes. The pipes in each VFP connect to a single pipe that discharges from the pond through flow control boxes, called **Box 1**, **Box 2**, **Box 3** and **Box 4**, respectively. These boxes carry the treated water into the channel. Panels can be removed from the boxes periodically if head losses are causing the water level in the VFP to rise. The effluents from VFP1 and VFP2 enter the channel together at its beginning. The channel outlets to the beginning of **Wetland 4**. The final treated water is discharged to the stream channel. Each of the Anna S VFPs is equipped with three flushing valves, numbered using the VFP number followed by A, B, and C. These valves all flush to **Flush Pond A**. The water from Flush Pond A is retained by **Box A**. **B. Hunter’s Drift System** The Hunter’s Drift (HD) system collects the HD deep mine discharge and conveys it to the treatment system area via a 3,000 ft pipeline. The collection system extends from the deep mine entry into the **Hunter’s Drift Mine Collection Box**. The purpose of this structure is to screen out debris, limit the total amount of water to the treatment systems, and allow the excess water to discharge to the stream. The outlet from the Mine Collection Box is transferred to the treatment system area. At regular intervals, the pipeline is equipped with cleanouts in the unlikely event of clogging. When the pipeline reaches the treatment system area, the flow enters the **Hunter’s Drift Distribution Box**. The purpose of this structure is to split the mine water into four equal flows for treatment by the four VFPs. Four pipes lead from the Distribution Box to the VFPs. The VFPs for this flow are **VFP5**, **VFP6**, **VFP7** and **VFP8**. Pipes inlet into each VFP in the northernmost corner. In each VFP, the water flows down through the compost and limestone and into a series of underdrain pipes. The pipes in each VFP flow into a single pipe that discharges through flow control boxes, called **Box 5**, **Box 6**, **Box 7** and **Box 8**, respectively. These boxes carry the treated water in a common pipeline. Panels can be removed from the boxes periodically if head losses are causing the water level in the VFP to rise. **Pipe 5-8** outlets to the beginning of **Wetland 1**, then flows to **Wetland 2** and **Wetland 3**. The final treated water from Wetland 3 is discharged to the stream channel. Each of the HD VFPs is equipped with four flushing valves, numbered using the VFP number followed by A, B, C, and D. These valves all flush to **Flush Pond B**. The water from Flush Pond B is retained by **Box B**. III. System Monitoring In conjunction with regular system inspections, monitoring of the flow and chemistry of mine water should also be performed. The following locations should be monitored for flow and/or chemistry. | Site Name | Parameters | Notes | |--------------------|-----------------------------|--------------------------------------------| | Anna 1 Mine Box | Flow rate of overflow | Should be zero most of the time | | Anna 2 Mine Box | Flow rate of overflow | Should be zero most of the time | | HD Mine Box | Flow rate of overflow | Should be zero most of the time | | VFP1 Inlet Anna S1 | Flow rate and chemistry | Chemistry for raw Anna S1 | | VFP1 Inlet Anna S2 | Flow rate and chemistry | Chemistry for raw Anna S2 | | VFP2 Inlet | Flow rate | | | VFP3 Inlet Anna 1 | Flow rate | | | VFP3 Inlet Anna 2 | Flow rate | | | VFP4 Inlet | Flow rate | | | VFP5 Inlet | Flow rate and chemistry | Chemistry for raw HD quality | | VFP6 Inlet | Flow rate | | | VFP7 Inlet | Flow rate | | | VFP8 Inlet | Flow rate | | | VFP1 and 2 Outlet | Chemistry | Taken at beginning of channel | | VFP3 Outlet | Chemistry | Taken at pipe to channel | | VFP4 Outlet | Chemistry | Taken at pipe to channel | | VFP 5-8 Outlet | Chemistry | Taken at inflow to Wetland 1 | | Wetland 3 Outlet | Chemistry | Taken in outlet channel | | Wetland 4 Outlet | Chemistry | Taken in outlet channel | The outlets of each VFP can be measured separately if a performance decline is expected. This can be done in the outlet Flow Control Box (FCB) for each VFP. IV. Regular Inspections Regular inspections are necessary in order to assess the performance of the treatment system and to identify any potential problems as soon as possible. The system should be inspected monthly and after severe rainfall events. The attached Regular Inspection Form should be filled out for each inspection of the site. A. Equipment The following equipment will be required for each inspection: - Keys for all boxes (mine boxes, distribution boxes, and level control boxes) - Wrenches to open mine boxes and distribution boxes - A calculator (for calculating head losses and flow rates) - A stopwatch - A large bucket marked in gallons - A ruler or stick marked in tenths of feet - A clipboard and inspection form - A copy of the O&M Map - These instructions Based on situations encountered during inspections, the following equipment may be required: - Valve keys - Flow control box panel lifters (stored in flow control boxes) - Shovel/garden rake (for clearing debris) Additional equipment and supplies, such as bottles, acid, pH meter, and alkalinity kit are required for field chemistry sampling and sample collection. **B. Inspection Checklist** The following table shows the items that should be checked during every inspection. Measurements, samples, and particular items to note are listed in the last column. This table is the second page of the regular inspection form, with the “What to Check” column listed as “Notes.” This is where measurements, samples, and observations should be listed. | ✓ | Item/Area | What to Check | |----|----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------| | | Anna S1 Mine Collection Box| Check to ensure that the inlet, overflow outlet, and outlet to the treatment system are clear. Remove any debris or growth from within the box. Measure and record any overflow that is occurring (inspection for page 1). | | | Anna S2 Mine Collection Box| Check to ensure that the inlet, overflow outlet, and outlet to the treatment system are clear. Remove any debris or growth from within the box. Measure and record any overflow that is occurring (inspection for page 1). | | | Anna S1 Distribution Box | Check to ensure that the inlet and the outlets to the treatment system are clear. Remove any debris or growth from within the box. | | | VFP1 | Measure and record the influent flow rates and the depths of water (inspection form page 1). Note if any boards are added or removed in the flow control box. Note any berm subsidence, leaks, or leaking valves. | | | VFP2 | | | | VFP3 | | | | VFP4 | | | | Wetland 4 | Check inlet and outlet channels for debris. Examine vegetation and berms for pest damage. The exit of this wetland is a sample location. | | | Flush Pond A | Berms should be checked for subsidence and leakage. | | | HD Mine Collection Box | Check to ensure that the inlet, overflow outlet, and outlet to the treatment system are clear. Remove any debris or growth from within the box. Measure and record any overflow that is occurring (inspection for page 1). | | Item | Description | |---------------|-----------------------------------------------------------------------------| | | Ensure that the inlet and outlet channels to the treatment system are clear. Remove any debris or growth from within the box. Measure and record any overflow that is occurring (inspection form page 1). | | HD Distribution Box | Check to ensure that the inlet and the outlets to the treatment system are clear. Remove any debris or growth from within the box. | | VFP5 | Measure and record the influent flow rates and the depths of water (inspection form page 1). Note if any boards are added or removed in the flow control box. Note any berm subsidence, leaks, or leaking valves. | | VFP6 | | | VFP7 | | | VFP8 | | | Flush Pond B | Berms should be checked for subsidence and leakage. | | Wetland 1 | Check inlet and outlet channels for debris. Examine vegetation and berms for pest damage. | | Wetland 2 | Check inlet and outlet channels for debris. Examine vegetation and berms for pest damage. | | Wetland 3 | Check inlet and outlet channels for debris. Examine vegetation and berms for pest damage. The exit of this wetland is a sample location. | | Site Access Roads | The general condition of the access roads and road culverts should be noted. | | Vegetation | On-site vegetation (excluding wetland vegetation) should be examined for success. Bare patches and damage should be noted. | | Vandalism | Note any evidence of vandalism, including cut locks, tracks in the wetlands, garbage, etc. | | Other | Anything else unusual about the site should be noted. | V. Regular Maintenance Items The regular inspections are designed to help identify problems before they develop or as soon as possible. Close attention to the following items will allow problems to be corrected before they damage the treatment system or cause a decrease in treatment performance. Flushing the VFPs will be the most intensive maintenance item and is described in detail in the following section. A. Mine Collection Boxes The mine collection boxes (Anna S1, Anna S2, and HD) each contain a debris screen that may accumulate debris or growth over time. This screen should be checked and cleaned if necessary. The overflow pipe and the outflow pipe to the treatment system should also be checked and cleared of any growth or debris. The boxes should be opened and inspected annually. If debris is found in the boxes, more frequent inspections should be considered. B. Flow Distribution Boxes The flow distribution boxes (Anna S1 and HD) should be periodically opened and checked for debris. While it is unlikely that debris would reach these boxes from the mine collection boxes, algae growth may occur. If so, the pipes leading to the VFPs should be cleared. The distribution boxes should be inspected annually. C. VFP and Wetland Channels Channels leading from the VFP exits, between the wetlands, and the wetland exit channels may become plugged with debris such as sticks, leaves, and other vegetation. Any debris clogging these channels should be removed. Then channels should be walked and inspected at least semi-annually. D. Pest Damage Pests such as muskrats and beavers have been known to cause damage to passive treatment systems by digging through berms, destroying wetland vegetation, blocking pipes and channels, and draining ponds and wetlands. If muskrat or beaver activity is noted, continuous trapping is recommended. Game commission regulations on trapping should be followed unless special permission is gained to trap outside of the regular seasons. This kind of special permission has been gained for passive treatment systems in other areas. Observations for evidence of pest activity should be made during every inspection. VI. VFP Flushing The purpose of the treatment system is to remove acidity and metals, primarily iron and aluminum. These metals can cause clogging and system failure if they accumulate in the compost and/or limestone. Therefore, a system of pipes has been built into the system and will be used to dislodge and remove these particles. The VFPs are equipped with valves that flush only a portion of the cell. The Anna S VFPs (VFPs 1 – 4) each have three flushing zones (and thus, three valves). These valves have been labeled with the number of the VFP and the letters A, B, and C. The HD VFPs (VFPs 5 – 8) each have four flushing zones (and thus, four valves). These valves have been labeled with the number of the VFP and the letters A, B, C, and D. Thus, 28 valves control all flushing activities. Before beginning any flushing event, the flush ponds should be drawn down as much as possible (if they contain any water). This is done by removing boards from Box A and Box B on the Flush Ponds A and B respectively. Boards should be removed one at a time so that water is slowly released to the stream. A. Flush Scheduling Each valve should be flushed 3 – 4 times a year or more frequently if the head losses increase rapidly (See Inspection Form, Table 2). Only one valve per header pipe should be flushed at a time. The following table shows the valves that share a common header pipe. | Valves with Common Headers | Flush Pond | |----------------------------|------------| | 1A, 1B, 1C, 2A, 2B, 2C | A | | 3A, 3B, 3C | A | | 4A, 4B, 4C | A | | 5A, 5B, 5C, 5D, 6A, 6B, 6C, 6D | B | | 7A, 7B, 7C, 7D | B | | 8A, 8B, 8C, 8D | B | One approach to flushing the valves is to set up a rotating monthly schedule of which valves to flush each month. A sample of this type of schedule is shown below. In this schedule, each valve is flushed three times a year. | | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | |-------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----| | VFP1 | A | B | C | | A | B | C | | A | B | C | | | VFP2 | B | C | A | | B | C | A | | B | C | A | | | VFP3 | A | B | C | | A | B | C | | A | B | C | | | VFP4 | B | C | A | | B | C | A | | B | C | A | | | VFP5 | A | B | C | D | A | B | C | D | A | B | C | D | | VFP6 | A | B | C | D | A | B | C | D | A | B | C | D | | VFP7 | A | B | C | D | A | B | C | D | A | B | C | D | | VFP8 | A | B | C | D | A | B | C | D | A | B | C | D | The advantage of this type of schedule is that fewer valves are flushed at a time, meaning that the flush ponds will not fill as quickly and the flushing event does not take as long as a full system flushing event. Monthly flushing could be performed during monthly inspections. The disadvantage of this type of schedule is that monthly access to the site is required. It also requires flushing valves that share a common header, meaning the flush on Valve 1B must be completed before Valve 2B can be opened. This will make the flushing event somewhat longer. If this type of schedule is followed, it is estimated that the inspection and flushing activities will take 1 full day. However, it will also be necessary to visit the site prior to flushing in order to empty the flush pond. An alternative to this schedule would be to perform flushing on all the valves over a several day period, three times a year. The advantage of this schedule is that flushing events could be timed to avoid the heaviest winter snows (March, July, and November). For this flushing scenario, the valves would be opened and flushed in sequence until the flush ponds are full. The flushing would then end for the day. On the next day, water that has cleared could be released from the flush ponds and more valves could be flushed. This would continue until all the valves had been flushed. One of the possible flushing patterns is: - Flush 1A, 4A, 5A, 7A - Flush 1B, 4B, 5B, 7B - Flush 1C, 4C, 5C, 7C - Flush 2A, 5D, 7D - Flush 2B, 6A, 8A - Flush 2C, 3A, 6B, 8B - Flush 3B, 6C, 8C - Flush 3C, 6D, 8D A sequence such as this one ensures that only one valve per common header is being flushed at a time. In addition, it avoids flushing more than two ponds to the same flush pond at one time. **B. Performing a Flushing Event** Each flushing event will likely be a unique experience. It is important to record the activities of the flushing event while flushing is taking place. The Flushing Form should be completely filled out for each flushing event. If a single event takes place over several days, the flushing form can continue to be used over the entire event. The following table is part of the Flushing Form. It has been filled out here as an example. This example assumes that the February flushing event is being performed using the monthly flushing schedule. | Date/Time | Action | |-----------------|------------------------------------------------------------------------| | 2/5/05, 10:00 AM| Started to drain down Flush A and Flush B. Added boards to all VFP flow control boxes. | | 2/5/05, 3:00 PM | Removed more boards from Box A and Box B. Checked water levels in VFPs. | | 2/6/05, 7:45 AM | Arrived on site. Replaced all boards in Box A and Box B. | | 8:10 AM | Opened Valve 1B. Water very black and smelly at first. | | 8:20 AM | Opened Valve 3B. Water orange/white with chunks. | | 8:30 AM | Opened Valve 4B. Strong odor to water but no color. | | 8:40 AM | Water has begun to clear. Will close valves as they clear. | | 8:45 AM | Closed Valve 1B. Opened Valve 2B. Water dark with some odor. | | 8:55 AM | Closed Valve 3B. | | 9:00 AM | Closed Valve 4B. | | 9:10 AM | Closed Valve 2B. Water running clear. | | 9:15 AM | Opened Valve 5B. Brownish water has no odor. | | Time | Action | |------------|------------------------------------------------------------------------| | 9:25 AM | Opened Valve 7B. Water is grey with slight odor. | | 9:35 AM | Opened Valve 8B. Orange/brown water. No odor. | | 9:45 AM | Closed Valve 5B. Opened Valve 6B. Water clear with slight odor. | | 9:55 AM | Closed Valve 7B. | | 10:05 AM | Closed Valve 8B. | | 10:10 AM | Closed Valve 6B. Water still running slightly cloudy. | | 10:30 AM | Returned all VFP flow control boxes to normal operating levels. | | 2/8/05, 9:00 AM | Checked water levels in all VFPs. Added one board to Box1 (VFP1) and Box 6 (VPF6). Pond A and Pond B clearing, removed one board from each box. | C. Flushing Tips - Fill out the Inspection and Monitoring Form before each flushing event. - Each valve should be flushed for a period of 20 – 60 minutes. - Observe and record the color and odor of the flush water. - The water level in the VFP should never fall below the top of the compost. - The flush pond should be drawn down as much as possible before beginning any flushing event. - Be sure to replace the boards in the flush pond box prior to flushing. - Only clear water should be released from the flush pond. If cloudy or colored water is leaving the flush pond, stop flushing and allow the water in the pond to settle. - The flow control boxes on the VFPs can be used to back the water up before flushing. This will result in a more powerful flushing action. VII. Diagnosing Potential Problems and Their Solutions While the systems have been designed to operate as smoothly and maintenance-free as possible, some problems may develop. The following table has been compiled in order to assist the BCWA in recognizing, diagnosing, and remedying potential problems. | Symptom | Possible Cause | Possible Solution | |------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | One or more VFPs is not receiving water | If all VFPs are affected, the mine collection box is not receiving water (all VFPs), the mine collection box outlet is plugged (all VFPs), or the pipeline is plugged between the mine box and the distribution box. If one or more are affected, the distribution box outlets are plugged or the pipeline is plugged after the distribution box. | Beginning at the mine water collection box, check the flow path to determine the location of the problem. Remove any debris encountered. If the pipe is plugged, remove debris via the pipe cleanouts (equipment necessary). | | The Anna S VFPs are not receiving equal amounts of flow or one VFP is not receiving any flow | The distribution box needs adjusted, distribution box outlets are partially plugged, pipelines are partially plugged. | | | The HD VFPs are not receiving equal amounts of flow or one VFP is not receiving any flow | The distribution box needs adjusted, distribution box outlets are partially plugged, pipelines are partially plugged. | | | The water is too high in a VFP and/or water is leaving the spillway of the VFP. | Not enough hydraulic head available. | Attempt to flush the VFP. If this does not improve the condition, remove one or boards from the VFP flow control box and monitor the water level over several weeks. If this does not improve the condition, contact DEP and Hedin Environmental. | | All the boards have been removed from the VFP flow control box but the water level in the VFP is still too high | Compost, limestone or plumbing is clogged. | Attempt to flush the VFP. If this does not improve the condition, contact DEP and Hedin Environmental | VIII. Long-Term O, M & R Tasks All short-term and regular operation and maintenance tasks have been discussed above. However, there are also long-term issues that will arise eventually. A. Compost Replacement Based on the performance of other systems, it is reasonable to expect at least 5 years of performance from the compost. The compost was amended with both wood chips and limestone in an effort to extend its life by adding buffering capability and secondary porosity. Indications that the compost may be failing include the retention of iron within the compost, bright orange flush water from the limestone, and decreased porosity (increased water levels) in the system. Before the compost is replaced, it should be stirred up with an excavator. In some VFPs, a hard iron crust forms on the surface of the compost, interfering with flow into the underlying compost and limestone. In these cases, breaking up the crusty condition usually returns the system’s permeability. B. Limestone Replacement Based on current performance of the systems and assuming that all alkalinity is being produced by limestone dissolution, approximately 600 tons of limestone will be dissolved each year. This is less than 2% of the 38,300 tons of limestone that are in the vertical flow ponds (which includes 3,300 tons of limestone chips in the compost mixture). The amount of limestone in the systems should be sufficient to provide over 20 years of treatment before the excess amount of alkalinity produced begins to decrease. Based on the performance and life cycles of many other VFPs, compost fouling and/or porosity issues will likely be the limiting factor in the overall lifespan of the systems, with limestone dissolution being a minor concern. If replacement of limestone appears necessary, an investigation of the condition of the limestone in the failed VFP should be conducted. The flow can be turned off at the distribution box and the system can be drainage at the water level control box. Excavation may reveal that only one-half of the limestone aggregate is fouled. If this is the case, a repair plan that includes partial replacement of limestone may be feasible. C. Flush Pond Cleaning The purpose of the flush ponds is to collect solids removed from the VFPs during flushing. The more effective the flushing is at removing solids from the VFPs, the faster the flush ponds will fill. As the ponds fill with solids, they will not be able to retain as much water during flushing. The solids will have to be removed and buried on site, possibly in the Hunter’s Drift borrow area between VFP8 and Wetland 1. It is estimated that this will be required every 10 – 15 years. When the performance of the flush ponds begins to decline, the ponds should be drained of all free water on top of the solids and allowed to dry as much as possible. Drying the solids will allow them to be removed using a backhoe or excavator. The solids should be placed in a pit and covered with at least 1 foot of soil. Permissions from the DEP, county conservation district, and property owner will likely be required. Date: _______________ Inspector(s): ______________________ Reason for Inspection: □ Regular Inspection □ Flooding Event □ Other Fill out the following table, except where shaded. Flow rate is in gallons per minute. Sample information should include field information and sample bottle numbers. Include any additional information in the “Notes” Section. Table 1 | Site Name | Flow Rate (gpm) | Sample Information | NOTES | |--------------------|-----------------|--------------------|-------| | Anna 1 Mine Box | | | | | Anna 2 Mine Box | | | | | HD Mine Box | | | | | VFP1 Inlet Anna S1| | | | | VFP1 Inlet Anna S2| | | | | VFP2 Inlet | | | | | VFP3 Inlet Anna 1 | | | | | VFP3 Inlet Anna 2 | | | | | VFP4 Inlet | | | | | VFP5 Inlet | | | | | VFP6 Inlet | | | | | VFP7 Inlet | | | | | VFP8 Inlet | | | | | VFP1 and 2 Outlet | | | | | VFP3 Outlet | | | | | VFP4 Outlet | | | | | VFP 5-8 Outlet | | | | | Wetland 3 Outlet | | | | | Wetland 4 Outlet | | | | Table 2 (Measure all distances in feet) | | A | B | C = A - B | D | E | F = D - E | G = F - C | |---|-------|-------|-----------|-------|-------|-----------|-----------| | VFP | Box Elev. | Dist. To Water in Box | Exit Elev. | Stake Top Elev. | Dist. To Water in VFP | Water Elev. | Head Loss | | 1 | 1676.98 | | | 1674.98 | | | | | 2 | 1679.32 | | | 1677.32 | | | | | 3 | 1677.01 | | | 1675.01 | | | | | 4 | 1676.69 | | | 1674.69 | | | | | 5 | 1639.61 | | | 1637.61 | | | | | 6 | 1637.60 | | | 1635.60 | | | | | 7 | 1637.98 | | | 1635.98 | | | | | 8 | 1635.86 | | | 1633.86 | | | | | Item/Area | What to Check | |---------------------------|---------------| | Anna S1 Mine Collection Box | | | Anna S2 Mine Collection Box | | | Anna S1 Distribution Box | | | VFP1 | | | VFP2 | | | VFP3 | | | VFP4 | | | Wetland 4 | | | Flush Pond A | | | HD Mine Collection Box | | | HD Distribution Box | | | VFP5 | | | VFP6 | | | VFP7 | | | VFP8 | | | Flush Pond B | | | Wetland 1 | | | Wetland 2 | | | Wetland 3 | | | Site Access Roads | | | Vegetation | | | Vandalism | | | Other | |

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OPERATING MANUAL JX Series OPERATING MANUAL WARNING Carefully read and understand all the instructions before connecting your new JX. Failure to follow these guidelines may result in serious injury to persons and property for which Trailer Valet will not be held liable. Do not allow persons to operate or assemble this unit until they have read this manual and have developed a thorough understanding of how the unit works. thank you for your purchase! Congratulations on your purchase of the Trailer Valet JX. For your future reference please complete the owner's record below: WARNING AND TABLE OF CONTENTS.........................................................................................................................2 IMPORTANT SAFETY INFORMATION..............................................................................................................................3 SPECIFICATIONS..................................................................................................................................................4 ASSEMBLY...................................................................................................................................................................5 OPERATING INSTRUCTIONS.................................................................................................................................................6 TABLE OF CONTENTS Purchase Date: ______________________ Order No.:______________________ Retailer:_____________________________ Be sure to save your receipt and owner's manual with warranty information in a safe place. LIMITED MANUFACTURER'S WARRANTY....................................................................................................................7 IMPORTANT SAFETY INFORMATION Failure to heed these markings may result in personal injury and/or property damage: 1. DO NOT leave your trailer free standing without the use of wheel chocks. 2. DO NOT submerge the jack in water (salt or fresh) or leave it in water for prolonged periods, since this can damage the gears and erode lubricants. 3. Carefully read all instructions. The operator of the jack must exercise common sense, caution, and full judgment when assessing situations not covered or cautioned in this manual. 4. The Trailer Valet JX is designed for specific applications only. Trailer Valet will not be responsible for issues arising from modifications made onto the device. Do not modify the device or use the device for any application other than its intended purpose. Do not exceed the designated weight limits. 5. As with all devices with moving parts, do not wear excessively loose clothing as it may become caught, resulting in injury. Tie back and secure long hair. 6. This product must be installed and used in strict accordance with these instructions. 7. Always read and understand your drill/driver operator's manual and instructions. 8. Before each use of the Trailer Valet JX, check for damaged parts. Carefully inspect the device for any part that appears to be damaged to determine if the device will operate properly. Check for alignment and secure mounting of all moving parts. If the device is neither aligned, secured, or both: DO NOT use the device. 9. When servicing, use only factory replacement parts. 10. Have wheel chocks in place before/after use and ready in case of emergency. 11. Never exceed the maximum rated capacity. Refer to the specifications section of this operating manual or decals on the product to obtain rated capacity. If uncertain, contact Customer Support at (844) 846-9344 or email: support@ trailervalet.com. 12. The Trailer Valet JX is designed for vertical loading. Excessive side forces may cause failure and must be avoided. 13. The use of gloves is recommended while attaching the device to the trailer. Phone: (844) 846-9344 Email: [email protected] Website: www.trailervalet.com SAVE THESE INSTRUCTIONS 3 Specifications The Trailer Valet JX Series is a line of manual hand-crank trailer jacks that have the versatility to be powered using any standard 18-24V drill and a Trailer Valet Drill Attachment. Designed for consumers to make hitching and adjusting quick and easy in comparison to standard hand-crank jacks, the line comes in two weight capacities with either side or center mount options. Each product comes standard with a hand crank, drill attachment, and static footplate. Accessories such as the JX Wheel option are sold separately. | PART # | CAPACITY | GEAR RATIO | |---|---|---| | TVJX2-C | 2,000lbs lift, 2,000lbs static | 1:1 | | TVJX5-C | 3,000lbs lift, 5,000lbs static | 3:4 | | TVJX2-S | 2,000lbs lift, 2,000lbs static | 3:4 | | TVJX5-S | 3,000lbs lift, 5,000lbs static | 3:4 | Upon removing items from packaging, it is very important to thoroughly inspect all parts of the system before using the device. Any part that is missing or damaged must be immediately replaced. Contact Trailer Valet Customer Service at 1-844-846-9344 or [email protected] Foot Plate Hand Crank Drill Adapter ATTACHMENTS Items Sold Separately: - Drop Leg Attachment - Standard Cordless Drill/Driver - Center Jack Bolts TVJXMW Wheel Attachment Assembly Prior to install, raise the trailer tongue until you have adequate space to attach the jack. The unit must be attached while the weight of the trailer is supported by an existing support or tow vehicle. Having wheel chocks in place during connection will insure a safe install. SIDE JACK INSTALLATION Place the mounting bracket onto an 8 inch clearing on your frame where the jack can freely rotate from its vertical position to its horizontal stow position. Secure with the four included bolts at desired height. WARNING The Mount Bracket is only to be installed on trailer frames that are rectangular in profile. Cylindrical frames are not compatible with the Mount Bracket. JX5K-S NOTE: While it is recommended that the bracket is installed with the attachment point in the low position for stability, the bracket can be flipped prior to install if needed. If installing the 5k model, you will now need to place the connection point of the Jack tube into the Mount bracket. CENTER JACK INSTALLATION With the footplate detached, drop the jack into the hole located in the trailer's coupler. Note that the support plate on the jack has one point that is flattened. This corner should face forward, toward the front of the coupler. You can now fit the jack to the coupler. Bolt sizes are specific to your coupler and are not included with your JX purchase. Alternatively, the center jack can also be welded for a more permanent attachment to the trailer. 5 operating instructions ATTACHING DRIVER Attach the Drive Handle to the Driveshaft located at the top of the unit. Turning the handle clockwise will extend the jack. Turning the handle counter-clockwise will retract the Jack. Option 1: Manual Operation Option 2: Drill Adapter The Drill Adapter can be used with any standard 18 to 24 volt, ½ inch chuck, consumer drill. Corded drills and impact drills are not recommended. Slot the Drill Adapter in your Drill chuck and secure tightly to avoid the adapter slipping. Align and insert the Drill Adapter to the driveshaft. NOTE: If you are using a power drill, be sure your battery pack is fully charged before use. Follow your drill/driver manufacturer's recommendation. When using an electric drill, it will have high initial torque if the drill trigger is pulled rather than squeezed. For proper use, hold the drill firmly and begin to squeeze the trigger slowly, increasing the power up to an appropriate speed. STORING THE DEVICE After use, lower your jack until your trailer frame sits level and remove the drill/drive handle. If storing, ensure that the trailer frame is jacked to level height. Alternatively, the jack's stow position will allow it to remain attached to the trailer while being towed. To stow the unit, secure the trailer to a tow vehicle then crank the jack handle until the inner jack tube is fully withdrawn and choose between the following two options: Stowing the JX5-S Stowing the JX2-S Remove the cotter and clevis/stow pin and rotate the unit 90 degrees. Restore the clevis and stow pins while the unit remains attached to the mounting bracket. Pull the set pin by the ring away from your trailer frame and rotate the unit 90 degrees. Release the pin and the Jack will lock into place. WARNING Failure to lock in the pins and bolt prior to trailering with the unit in the stowed position may result in the unit becoming dislodged during movement. Visit our website to see a video on how to stow your Trailer Valet Jack. LIMITED MANUFACTURER’S WARRANTY SuperTech S Corp warrants for one year from the purchase date that the product will be in working condition and will be free from manufacturing defects, provided that installation and use of the product is in accordance with product instructions. This warranty is only made to the original consumer purchaser and is non-transferable. ALL OTHER WARRANTIES IMPLIED OR EXPRESSED ARE HEREBY DISCLAIMED. THIS WARRANTY DOES NOT COVER: 2. Consumable parts designed to diminish over time, unless failure occurred due to a manufacturing defect; 1. Normal wear and tear or normal aging of the product; 3. Cosmetic damage, including but not limited to scratches and dents; 5. Damage through misapplication, overloading, or improper installation; 4. Damage through accident, abuse, neglect, misuse, natural events, or other external causes; 6. Damage due to improper maintenance and repair; and/or 7. Product alterations. LIMITATION OF LIABILITY: EXCEPT AS PROVIDED IN THIS WARRANTY AND TO THE MAXIMUM EXTENT PERMITTED BY LAW, SUPERTECH IS NOT RESPONSIBLE FOR ANY DIRECT, INCIDENTAL, CONSEQUENTIAL DAMAGES, OR INJURIES RESULTING FROM ANY BREACH OF WARRANTY OR CONDITION; INCLUDING, BUT NOT LIMITED TO, LOSS OF USE, LOSS OF REVENUE, LOSS OF ACTUAL OR ANTICIPATED PROFITS, LOSS OF BUSINESS, LOSS OF OPPORTUNITY, LOSS OF GOOD WILL, LOSS OF REPUTATION, OR ANY DIRECT, INDIRECT, OR CONSEQUENTIAL LOSS OR DAMAGE WHATSOEVER CAUSED, INCLUDING THE REPLACEMENT OF EQUIPMENT AND PROPERTY. CUSTOMER RESPONSIBILITIES: Customers may be required to provide proof of purchase date, respond to questions designed to assist with diagnosing potential issues, and follow Trailer Valet's directions to make a claim on your warranty. TO MAKE A WARRANTY CLAIM: WEBSITE: www.trailervalet.com Contact us either through: PHONE: (844) 846-9344 EMAIL: [email protected] TRAILER VALET SHALL HAVE THE EXCLUSIVE RIGHT TO DETERMINE IF A UNIT IS COVERED UNDER ITS LIMITED MANUFACTURER'S WARRANTY. SEVERABILITY: The invalidity, illegality, or unenforceability of any provision of this warranty shall not render the other provisions invalid, illegal, or unenforceable. GOVERNING LAW AND JURISDICTION This warranty shall be governed by the laws of the State of California. The courts of California shall have the exclusive right to adjudicate any disputes arising under or in connection to this warranty. 7 Copyright 2022 by Supertech S. Corporation. All rights reserved. No portion of this manual or any artwork contained herein may be reproduced in any shape or form without the express written consent of Supertech S. Corporation. For further information or if you have any questions, please contact: SUPERTECH S. CORP. Customer Service: (844) 846-9344 Email: [email protected] WWW.TRAILERVALET.COM

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Maiden High School Winter Track 2018-2019 Schedule | Date | Day | Location | |---|---|---| | Dec.19, 2018 | Wednesday | Bunker Hill | | Jan. 9, 2019 | Thursday | Hickory HS | | Jan. 19, 2019 | Saturday | Maiden HS | | Jan. 31, 2019 | Thursday | Lenoir-Rhyne | | Feb. 8, 2019 | Friday | Winston Salem | Due to the higher chance of inclement weather in the winter season, this schedule is subject to change.

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UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK x In re: Chapter 11 MOTORS LIQUIDATION COMPANY, f/k/a GENERAL MOTORS CORPORATION, et al., Case No. 09-50026 (MG) (Jointly Administered) Debtors. x ORDER (I) APPROVING AMENDMENTS TO THE THIRD AMENDED AND RESTATED AVOIDANCE ACTION TRUST AGREEMENT AND AUTHORIZING ENTRY INTO THE FOURTH AMENDED AND RESTATED AVOIDANCE ACTION TRUST AGREEMENT AND (II) AUTHORIZING THE AVOIDANCE ACTION TRUST TO ENTER INTO THE LW CAPITAL PROVISION AGREEMENT AND TO GRANT A LIEN TO THE LW CAPITAL PROVIDER Upon the motion (the "Motion") 1 of Motors Liquidation Company Avoidance Action Trust for entry of an order, pursuant to sections 105 and 1142 of title 11 of the United States Code: (1) approving the amendment and restatement of the Third Amended Avoidance Action Trust Agreement and (2) authorizing the Avoidance Action Trust to enter into the LW Transaction Documents and to grant a lien to the LW Capital Provider; and upon the Declaration of Arthur J. Gonzalez in support of the Motion; and it appearing that the Court has jurisdiction to consider the Motion and relief requested therein pursuant to 28 U.S.C. §§ 157 and 1334 and the Amended Standing Order of Reference M-431, dated January 31, 2012 (Preska, C.J.), consideration of the Motion and the relief requested therein being a core proceeding pursuant to 28 U.S.C. § 157(b) and venue being proper before this Court pursuant to 28 U.S.C. § 1409; and no objections having 1 Capitalized terms not otherwise defined herein shall have the meaning ascribed to them in the Motion. Capitalized terms not otherwise defined herein or in the Motion shall have the meaning ascribed to them in the applicable LW Transaction Document. 09-50026-mg Doc 14437 Filed 02/25/19 Entered 02/25/19 13:19:51 Main Document Pg 2 of 4 been filed; and it appearing that the relief requested in the Motion is in the best interest of the above-captioned post-effective date debtors' creditors and estates; and it appearing that due and appropriate notice of the Motion has been given under the circumstances in these Chapter 11 cases; and it appearing that no other or further notice need be provided; and upon the record in these Chapter 11 cases; and after due deliberation thereon; and good and sufficient cause appearing therefor; it is hereby ORDERED, that the Motion is granted as provided herein and the Avoidance Action Trust Administrator and Trust Monitor are authorized to enter into the Fourth Amended Avoidance Action Trust Agreement, in substantially the form attached as Exhibit C to the Motion; and it is further ORDERED, that the Avoidance Action Trust is authorized to enter into the LW Transaction Documents, and grant a priority lien to the LW Capital Provider (junior in priority to the liens of the DIP Lenders and the CE Capital Providers under the Fourth Amended Avoidance Action Trust Agreement) in the Collateral as set forth in the LW Transaction Documents; and it is further ORDERED, this Order shall be sufficient and conclusive evidence of the validity, enforceability, perfection, and priority of the liens granted to the LW Capital Provider without the necessity of filing or recording any financing statement or other instrument or document which may otherwise be required under the law of any jurisdiction, or taking any other action to validate or perfect the liens or to entitle the liens to the priorities granted herein; and it is further ORDERED, that the Avoidance Action Trust and the Avoidance Action Trust Administrator are authorized to take all necessary actions to carry out this Order and execute and perform all of the obligations of the Avoidance Action Trust under the LW Transaction 2 Documents, including the (i) satisfaction of all conditions precedent to the transactions contemplated thereby and (ii) payment to the LW Capital Provider of any fees or expense reimbursements due under the LW Transaction Documents, but solely to the extent permitted under the LW Subordination Agreement; and it is further ORDERED, the Avoidance Action Trust shall at all times maintain the security interest of the LW Capital Provider as set forth in the LW Capital Provision Agreement and the LW Security Agreement as a valid, perfected lien, junior in priority to the liens of the DIP Lenders and the CE Capital Providers in the Collateral and senior in priority to any lien or security interest of any other party, and it is further; ORDERED, the Avoidance Action Trust and the Avoidance Action Trust Administrator irrevocably waive any right to seek any amendment, modification, or extension of this Order without the prior written consent of the LW Capital Provider, the DIP Lenders, and the CE Capital Providers and no such consent shall be implied by any other action, inaction, or acquiescence of the LW Capital Provider, the DIP Lenders, or the CE Capital Providers; and it is further; ORDERED, the LW Capital Provider shall not be authorized, nor shall they be deemed, to control or direct in any manner whatsoever the method, manner and/or timing of the Avoidance Action Trust's actions in prosecuting, pursuing, negotiating and/or settling the Term Loan Avoidance Action or any contested matter, civil action, adversary proceeding or other matter of litigation to which the Avoidance Action Trust is a party; and it is further ORDERED, that in the event of any conflicting terms between the Fourth Amended Avoidance Action Trust Agreement and the LW Transaction Documents, the Fourth Amended Avoidance Action Trust Agreement shall govern and control; and it is further ORDERED, that the Avoidance Action Trust shall not distribute Proceeds in 3 09-50026-mg Doc 14437 Filed 02/25/19 Entered 02/25/19 13:19:51 Main Document Pg 4 of 4 contravention of the Fourth Amended Avoidance Action Trust Agreement; and it is further ORDERED, that this Order shall be effective immediately upon entry; and it is further ORDERED, that the Court shall retain jurisdiction to hear and determine any and all matters concerning this Order. IT IS SO ORDERED. Dated: February 25, 2019 New York, New York 4 _____/s/Martin Glenn_______ MARTIN GLENN United States Bankruptcy Judge

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CS PROFESSIONAL (OLD SYLLABUS) Chapter wise Test Series (8Unit + 2FT) The given CS Test Series Schedule is flexible for DEC 24 Exams and Incase you don't want to follow Scheduled Test Series you can attempt Test Series anytime before 15 th DECEMBER 2024 UNIT TEST-1 | Subject | | |---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 05/10/24 | | ADVANCED TAX LAWS | 05/10/24 | | DRAFTING, PLEADINGS AND APPEARANCES | 06/10/24 | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUEDILIGENCE | 06/10/24 | | CORPORATE RESTRUCTURING,INSOLVENCY, LIQUIDATION &WINDING-UP | 07/10/24 | | RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES | 07/10/24 | | Subject | | |---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 08/10/24 | | ADVANCED TAX LAWS | 09/10/24 | | DRAFTING, PLEADINGS AND APPEARANCES | 09/10/24 | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUEDILIGENCE | 10/10/24 | | CORPORATE RESTRUCTURING,INSOLVENCY, LIQUIDATION &WINDING-UP | 10/10/24 | | RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES | 11/10/24 | | Subject | | |---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 12/10/24 | | ADVANCED TAX LAWS | 13/10/24 | | DRAFTING, PLEADINGS AND APPEARANCES | 14/10/24 | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE | 14/10/24 | | CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP | 15/10/24 | | RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES | 15/10/24 | | Subject | | |---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 16/10/24 | | ADVANCED TAX LAWS | 17/10/24 | | DRAFTING, PLEADINGS AND APPEARANCES | 17/10/24 | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE | 18/10/24 | | CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP | 18/10/24 | | RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES | 19/10/24 | | Subject | | |---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 20/10/24 | | ADVANCED TAX LAWS | 20/10/24 | | DRAFTING, PLEADINGS AND APPEARANCES | 21/10/24 | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE | 21/10/24 | | CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP | 22/10/24 | | RESOLUTION OF CORPORATE DISPUTES, NON-COMPLIANCES & REMEDIES | 22/10/24 | | Subject | | |---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 23/10/24 | | ADVANCED TAX LAWS | 24/10/24 | | DRAFTING, PLEADINGS AND APPEARANCES | 24/10/24 | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE | 25/10/24 | | CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP | 25/10/24 | | RESOLUTION OF CORPORATE DISPUTES, NON-COMPLIANCES & REMEDIES | 26/10/24 | | Subject | | Syllabus | |---|---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 27/10/24 | • Ethics and Business • Sustainability and CSR | | ADVANCED TAX LAWS | 27/10/24 | • Taxation of Companies, LLP and Non-resident. • Rules General Anti Avoidance ‘GAAR’. • Basics of International Taxation | | DRAFTING, PLEADINGS AND APPEARANCES | 28/10/24 | • Pleadings. • Art of writing opinions. | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE | 28/10/24 | • Secretarial Audit – Fraud detection & Reporting • Quality Review | | CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP | 29/10/24 | • Fresh Start Process • Debt Recovery & SARFAESI • Cross Border Insolvency • Liquidation on or after Failing of Resolution Plan | | RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES | 29/10/24 | • Crisis Management & Risk and Liability Mitigation. | | CORPORATE FUNDING & LISTINGS IN STOCK EXCHANGES | 30/10/24 | • International Listing | | Subject | | |---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 30/10/24 | | ADVANCED TAX LAWS | 31/10/24 | | DRAFTING, PLEADINGS AND APPEARANCES | 31/10/24 | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE | 01/11/24 | | CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP | 01/11/24 | | RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES | 02/11/24 | FINAL TEST-1 | Subject | | |---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 05/11/24 | | ADVANCED TAX LAWS | 08/11/24 | | DRAFTING, PLEADINGS AND APPEARANCES | 11/11/24 | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE | 14/11/24 | | CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP | 17/11/24 | | RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES | 20/11/24 | FINAL TEST-2 | Subject | | Syllabus | |---|---|---| | GOVERNANCE, RISK MANAGEMENT, COMPLIANCES AND ETHICS | 27/11/24 | • FULL SYLLABUS | | ADVANCED TAX LAWS | 30/11/24 | • FULL SYLLABUS | | DRAFTING, PLEADINGS AND APPEARANCES | 03/12/24 | • FULL SYLLABUS | | SECRETARIAL AUDIT, COMPLIANCE MANAGEMENT AND DUE DILIGENCE | 06/12/24 | • FULL SYLLABUS | | CORPORATE RESTRUCTURING, INSOLVENCY, LIQUIDATION & WINDING-UP | 09/12/24 | • FULL SYLLABUS | | RESOLUTION OF CORPORATE DISPUTES, NON- COMPLIANCES & REMEDIES | 12/12/24 | • FULL SYLLABUS | | CORPORATE FUNDING & LISTINGS IN STOCK EXCHANGES | 15/12/24 | • FULL SYLLABUS |

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STATE OF SOUTH CAROLINA FORCE MAJEURE LAW COMPENDIUM (during COVID-19 pandemic) Prepared by Sweeny, Wingate & Barrow, P.A. 1515 Lady Street Columbia, SC 29201 (803) 256-2233 www.swblaw.com A. Introduction This memorandum will seek to provide a South Carolina exemplar for the USLAW NETWORK Compendium of Law on relevant considerations with respect to invoking "force majeure" clauses in contracts in light of the ongoing COVID-19 crisis. B. Force Majeure in South Carolina 1. Introduction The COVID-19 crisis is historically unique, and cases related to it are likely to present matters of first impression before appellate Courts in South Carolina. However, some of the established law on force majeure may be relied upon and is analyzed within this memorandum. 2. General Applicability of Force Majeure South Carolina's insurance statute defines "force majeure" as "any act of God, governmental act, act of terrorism, war, fire, flood, earthquake, hurricane, or other natural disaster, explosion or civil commotion." S.C. Code Ann. § 38-59-210. Despite this definition, South Carolinians are "generally free to contract for terms upon which they agree." Huckaby v. Confederate Motor Speedway, Inc., 276 S.C. 629, 630, 281 S.E.2d 223, 224 (1981). 3. Scope of Relief The scope of relief typically depends on the contours of the force majeure clause itself. Typically, however, the scope of relief might include delayed or excused performance of a contract, but the scope of relief is ill-defined from a case law perspective. 4. Other Considerations There is extremely limited South Carolina case law guiding application of force majeure clauses. In Coker Intern., Inc. v. Burlington Indus., Inc., a South Carolina District Court judge applying South Carolina law used classical methods of contract interpretation and applied the facts of the case to the clause to determine if the force majeure clause in the contract excused nonperformance. It is notable that the force majeure clause included more reasons for excuse of performance than South Carolina's insurance statute anticipates. This Compendium outline contains a brief overview of certain laws concerning various litigation and legal topics. The compendium provides a simple synopsis of current law and is not intended to explore lengthy analysis of legal issues. This compendium is provided for general information and educational purposes only. It does not solicit, establish, or continue an attorney-client relationship with any attorney or law firm identified as an author, editor or contributor. The contents should not be construed as legal advice or opinion. While every effort has been made to be accurate, the contents should not be relied upon in any specific factual situation. These materials are not intended to provide legal advice or to cover all laws or regulations that may be applicable to a specific factual situation. If you have matters or questions to be resolved for which legal advice may be indicated, you are encouraged to contact a lawyer authorized to practice law in the state for which you are investigating and/or seeking legal advice.

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The Air League Gliding Scholarship 2019 Application Criteria In order to qualify for a Gliding Scholarship, you must: * Be a permanent UK resident* * Be at least 16 years of age and no more than 26 years old on the 1st April 2019. * Meet certain weight and height criteria in order to meet the minimum safety requirements. Therefore, you must not: * weigh more than 103kg (228lbs) or less than 44kg (7 stone or 98 pounds) * be over 6' 4'' (193cm) in height. The minimum height is approximately five feet (152 cm). * Be a member of The Air League (or be applying to be a member at the time of application for the scholarship). To join, visit https://www.airleague.co.uk/membership/ * Please note: Some Air Cadets or those belonging to other youth organisations who belong to a squadron/section/group who have paid an annual fee for free applications to be submitted by it's members only need to become Air League members should they be successful in securing a scholarship. Please contact your leader for further information about eligibility under this special scheme. * Be happy to give back. All Air League Scholars and bursary holders in 2019 must commit to volunteering for at least 2 activities on the Air League's behalf. This might be coming to help us at Air Shows or other events, going to your local school to talk about your experiences etc. We will be asking you to contribute in fun ways to help get more young people involved and excited about careers in aviation and aerospace plus at the same time, give you fantastic new opportunities to develop yourself and gain new friends and experiences. Application process * Applications must be submitted no later than 2 nd January 2019. * Scholarships are awarded by considering the information given in the application form as well as the video CV. * You will be notified by April 2019 whether your application has been successful. Further information and conditions * You must submit your application form no later than the 2 nd January 2019. * All gliding scholarships must be completed by 1 st October 2019. * Priority for scholarships and bursaries will be given to those who are yet to have been given a scholarship by the Air League. * You can apply for as many different types of Air League scholarships and bursaries as you like however please note you will not be awarded more than one Air League Scholarship or bursary per year. The selection panel reserve the right to choose the most appropriate scholarship or bursary where more than one successful application has been made. * Successful scholars will be invited to the Air League Annual Reception held at St James' Palace in the Spring of 2020. * Your name, approximate location (e.g. London) and named scholarship awarded will be announced in the Air League Newsletter and website over the summer. Please provide your explicit consent for this in the application form. * If you are found to have provided false information knowingly, the Air League reserves to withdraw your scholarship application. No refunds for Air League membership will be issued at this point. * All suppliers (ie. ATOs) must have applicable insurances as required by the regulator the CAA. However, you should be aware that personal insurance is the responsibility of the scholar and not The Air League Trust. * According to government guidance, to be classed as a UK resident: * You must have spent 183 or more days in the UK in the current tax year * Your only home must be in the UK. * You must have owned, rented or lived in the home or at least 91 days in total and spent at least 30 days there in the current tax year

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(Registration No. 199202071D) (Incorporated in the Republic of Singapore on 22 April 1992) INCREASE IN PAID UP SHARE CAPITAL OF THE GROUP'S HONG KONG SUBSIDIARY The board of directors ("Board") of Serial System Ltd ("Company") and its subsidiaries ("Group") wishes to announce that the Group's 91% owned Hong Kong subsidiary, Serial Microelectronics (HK) Limited ("SMHK"), has increased its paid up share capital from HK$60,000,000 (US$7,692,308), comprising 60 million ordinary shares to HK$138,000,000 (US$17,692,308), comprising 138 million ordinary shares, pursuant to the issuance of 78 million new ordinary shares. The capital increase is to strengthen the financial position of SMHK. The Group has fully subscribed to its entitlement of 70.98 million ordinary shares through the capitalization of an amount for US$10 million, being amount owing from SMHK to the Company. The above transaction is not expected to have any financial impact on the net tangible assets per share and earnings per share of the Company and the Group for the financial year ended 31 December 2019 and current financial year ending 31 December 2020. None of the Directors or controlling shareholders (as defined in the Listing Manual) of the Company has any interest, direct or indirect in the above transactions, other than through their respective shareholdings in the Company BY ORDER OF THE BOARD Derek Goh Bak Heng Executive Chairman and Group CEO 31 Mar 2020

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CERTIFICATION OF ENROLLMENT SUBSTITUTE HOUSE BILL 1718 Chapter 236, Laws of 2011 62nd Legislature 2011 Regular Session OFFENDERS WITH DEVELOPMENTAL DISABILITIES--TRAUMATIC BRAIN INJURIES EFFECTIVE DATE: 07/22/11 Passed by the House April 14, 2011 Yeas 97 Nays 0 FRANK CHOPP Speaker of the House of Representatives Passed by the Senate April 12, 2011 Yeas 45 Nays 0 BRAD OWEN President of the Senate Approved May 3, 2011, 2:39 p.m. CHRISTINE GREGOIRE Governor of the State of Washington CERTIFICATE I, Barbara Baker, Chief Clerk of the House of Representatives of the State of Washington, do hereby certify that the attached is SUBSTITUTE HOUSE BILL 1718 as passed by the House of Representatives and the Senate on the dates hereon set forth. BARBARA BAKER Chief Clerk FILED May 4, 2011 Secretary of State State of Washington _____________________________________________ SUBSTITUTE HOUSE BILL 1718 _____________________________________________ AS AMENDED BY THE SENATE Passed Legislature - 2011 Regular Session State of Washington 62nd Legislature 2011 Regular Session By House Ways & Means (originally sponsored by Representatives Roberts, Moeller, Dammeier, and Green) READ FIRST TIME 02/25/11. 1 AN ACT Relating to offenders with developmental disabilities or 2 traumatic brain injuries; amending RCW 2.28.180; and adding a new 3 section to chapter 70.48 RCW. 4 BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF WASHINGTON: 5 Sec. 1. RCW 2.28.180 and 2005 c 504 s 501 are each amended to read 6 as follows: 7 (1) Counties may establish and operate mental health courts. 8 (2) For the purposes of this section, "mental health court" means 9 a court that has special calendars or dockets designed to achieve a 10 reduction in recidivism and symptoms of mental illness among 11 nonviolent, ((mentally ill)) felony and nonfelony offenders with mental 12 illnesses and recidivism among nonviolent felony and nonfelony 13 offenders who have developmental disabilities as defined in RCW 14 71A.10.020 or who have suffered a traumatic brain injury by increasing 15 their likelihood for successful rehabilitation through early, 16 continuous, and intense judicially supervised treatment including drug 17 treatment for persons with co-occurring disorders; mandatory periodic 18 reviews, including drug testing if indicated; and the use of 19 appropriate sanctions and other rehabilitation services. p. 1 SHB 1718.SL 1 2 3 4 5 6 7 8 9 (3)(a) Any jurisdiction that seeks a state appropriation to fund a mental health court program must first: (i) Exhaust all federal funding that is available to support the operations of its mental health court and associated services; and (ii) Match, on a dollar-for-dollar basis, state moneys allocated for mental health court programs with local cash or in-kind resources. Moneys allocated by the state must be used to supplement, not supplant, other federal, state, and local funds for mental health court operations and associated services. 10 (b) Any county that establishes a mental health court pursuant to 11 this section shall establish minimum requirements for the participation 12 of offenders in the program. The mental health court may adopt local 13 requirements that are more stringent than the minimum. The minimum 14 requirements are: 15 (i) The offender would benefit from psychiatric treatment or 16 treatment related to his or her developmental disability or traumatic 17 brain injury; 18 (ii) The offender has not previously been convicted of a serious 19 violent offense or sex offense as defined in RCW 9.94A.030; and 20 (iii) Without regard to whether proof of any of these elements is 21 required to convict, the offender is not currently charged with or 22 convicted of an offense: 23 (A) That is a sex offense; 24 (B) That is a serious violent offense; 25 (C) During which the defendant used a firearm; or 26 (D) During which the defendant caused substantial or great bodily 27 harm or death to another person. 28 NEW SECTION. Sec. 2. A new section is added to chapter 70.48 RCW 29 to read as follows: 30 When a jail has determined that a person in custody has or may have 31 a developmental disability as defined in RCW 71A.10.020 or a traumatic 32 brain injury, upon transfer of the person to a department of 33 corrections facility or other jail facility, every reasonable effort 34 35 shall be made by the transferring jail staff to communicate to receiving staff the nature of the disability, as determined by the jail SHB 1718.SL p. 2 1 and any necessary accommodation for the person as identified by the 2 transferring jail staff. Passed by the House April 14, 2011. Passed by the Senate April 12, 2011. Approved by the Governor May 3, 2011. Filed in Office of Secretary of State May 4, 2011. p. 3 SHB 1718.SL

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From: Peter Govea <[email protected]> To: 'Che McFarlin' <[email protected]> CC: Bob Hondeville <[email protected]>, Scott Tomashefsky <scott.tomashefsky@ncp... Date: 6/29/2009 9:57 AM Subject: RE: Draft AB2021 Report Hello Che: This message is in follow up to our phone conversation last Friday. The draft staff report titled "Achieving Cost-Effective Energy Efficiency For California: Second Annual AB 2021 Progress Report" (CEC-200-2009-008-SD) makes several references to the Modesto Irrigation District (MID), which are either incorrect or incomplete. MID submits the following minor corrections/edits to address those specific references. Please incorporate them into the final version of the report. Thank you for your consideration. Peter Peter Govea Senior Energy Services Engineer Modesto Irrigation District 209.526.7344 [email protected]<mailto:[email protected]> Staff Assessment of POU Progress in 2008 - Corrections & Addition DATE RECD. DOCKET 09- IEP -1 F June 29 2009 July 09 2009 (p 23) Table 5. The 2008 MWH target for MID should be 6,116. The value listed (13,586) is incorrect. Please refer to Establishing Energy Efficiency Targets: A Public Power Response to AB2021 Final Update (October 2007), which is on file with the CEC, for MID's targets. (p 24) "Four utilities project a decrease in 2009 energy savings relative to 2008 reported energy savings, the largest changes are expected by Lodi (‑ 75 percent), Modesto Irrigation District (MID) (‑ 57 percent), and Roseville (‑ 30 percent). Lodi cites the slow economy's impact on customer spending and "market saturation" due to high customer participation in programs since 1996. MID's savings in 2008 2007 included large industrial projects that will did not reoccur in 2009 2008. Roseville expects ..." Table A-3 – Incomplete Reference Please be advised that MID also provides the following Residential Programs: HVAC Duct Testing CFL Distribution / Give Away Energy Audit Low Income Assistance Refrigerator Recycling Rebates Residential Outreach Shade Tree Solar PV Table A-4 – Incomplete Reference Please be advised that MID also provides the following Non-Residential Programs: CFL Incentive Education / Outreach Energy Audits Energy Efficient Exit Signs Energy Star Rebates HVAC / New Cooling Heat Pump Rebates Metering New Construction Rebates Refrigeration Rebates Solar PV Table A-6 - Incomplete Reference Please be advised that MID completed a M&V plan for its 2008 programs, so should be included in this table. The plan is available at the link shown below - http://www.ncpa.com/energy-efficiency-m-v-reports.html

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Structure and function of *Scaptodrosophila lebanonensis* alcohol dehydrogenase Yimingjiang Wuxiuer A dissertation for the degree of Philosophiae Doctor July 2012 MSB BioStruct Yimingjiang Wuxiuer has been enrolled in BioStruct, the Norwegian national graduate school in Structural biology and in the PhD school in Molecular and Structural Biology at the University of Tromsø Structure and function of *Scaptodrosophila lebanonensis* alcohol dehydrogenase Yimingjiang Wuxiuer PhD Thesis 2012 Department of Medical Pharmacology and Toxicology Institute of Medical Biology Faculty of Health Sciences University of Tromsø Norway # Contents ACKNOWLEDGEMENTS ........................................................................................................... 3 LIST OF PAPERS .................................................................................................................. 4 ABBREVIATIONS .................................................................................................................... 5 1 Introduction ......................................................................................................................... 7 1.1 Alcohol dehydrogenases ............................................................................................... 7 1.2 Functions of short-chain dehydrogenases/reductases .................................................. 7 1.3 Reaction mechanism of DADH ..................................................................................... 8 1.4 Eight membered water chain in DADH ....................................................................... 11 1.5 SDRs as drug targets .................................................................................................... 12 1.5.1 17β-hydroxysteroid dehydrogenase type 1 and type 2 as drug targets in breast cancer ................................................................................................................................. 13 1.5.2 Amyloid-β (Aβ) peptide-binding alcohol dehydrogenase as a target in Alzheimer’s disease ......................................................................................................................... 14 1.6 Enzyme kinetics ............................................................................................................ 15 1.6.1 Two substrate enzymes and their catalytic mechanisms ...................................... 15 1.6.2 Enzyme Inhibition .................................................................................................. 19 1.6.3 Enzyme-inhibitor dissociation constants ............................................................... 21 1.7 Application of Molecular modeling in enzyme kinetic studies ..................................... 24 1.7.1 Docking and scoring ............................................................................................... 24 1.7.2 Glide docking program ............................................................................................ 25 1.7.3 Molecular Mechanics ............................................................................................. 27 1.7.4 Combined quantum mechanics and molecular mechanics .................................... 31 2 Aims of study ...................................................................................................................... 35 3 Materials and method ........................................................................................................ 37 3.1 Experimental studies of the Thr114Val mutant ............................................................ 37 3.1.1 Determination of kinetic constants of substrates .................................................. 37 3.1.2 Active site titration ................................................................................................ 37 3.1.3 Rate assay ............................................................................................................. 38 3.2 Molecular modeling ..................................................................................................... 38 3.2.1 Docking ................................................................................................................ 39 3.2.2 MD simulations ................................................................. 39 3.2.3 QM/MM calculation ......................................................... 39 4 Summary of results .................................................................. 41 4.1 Paper 1 .............................................................................. 41 4.2 Paper 2 .............................................................................. 42 4.3 Paper 3 .............................................................................. 44 5 Discussion ............................................................................. 46 5.1 The eight membered water chain in DADHs ....................... 47 5.1.1 Enzyme Kinetic studies of SIADHT114V .................... 47 5.1.2 Molecular dynamic perspective of SIADH$^{wt}$ and SIADHT$^{T114V}$ ........... 49 5.1.3 QM/MM studies of oxidation reaction mechanism of SIADH .......... 51 6 Conclusion ............................................................................. 53 7 Reference ............................................................................... 54 ACKNOWLEDGEMENTS This project was carried out at the University of Tromsø from 2008 – 2012. The work was supported by grants from the Norwegian Cancer Society and the University of Tromsø, and by CPU-hours from NOTUR - The Norwegian metacenter for computational science. I would like to express my special thanks to my supervisors, Professor Ingebrigt Sylte and Professor Jan-Olof Winberg. This thesis would not have been possible without their help, support and patience. I would also like to thank Associate Professor Kurt Kristiansen and Senior Engineer Eli Berg who gave me the help in the lab. It is an honor for me to work together with our collaborators from different countries. I would especially like to thank Professor Neus Cols who gave me the full support to protect the enzyme sample from lab all the way to the airport at Barcelona. It was a wonderful, exciting and adventurous trip. I would like to acknowledge the technical assistances from the Stallo and Schrodinger support teams with my work of molecular modelling on the super computer. My gratitude also goes to all the other members of the faculty, for their kindness, humour and creativity. Tromsø, July 2012 Yimingjiang Wuxiuer LIST OF PAPERS 3 papers are included in this thesis: 1. An intact eight-membered water chain in drosophilid alcohol dehydrogenases is Essential for Optimal Enzyme Activity *FEBS journal, 2012, in press, DOI: 10.1111/j.1742-4658.2012.08675.x* 2. Comparative molecular dynamic simulations of wild type and Thr114Val mutated *Scaptodrosophila lebanonensis* alcohol dehydrogenase *Manuscript, 2012* 3. QM/MM studies of the catalytic mechanism of short chain alcohol dehydrogenases *Manuscript, 2012* | Abbreviation | Description | |--------------|-------------| | ADHs | Alcohol dehydrogenases enzymes | | ADHS | Slow alcohol dehydrogenase from *drosophila melanogaster* | | ADHF | Fast alcohol dehydrogenase from *drosophila melanogaster* | | ADHUF | Ultrafast alcohol dehydrogenase from *drosophila melanogaster* | | NAD(P) | Nicotinamide adenine dinucleotide (phosphate) | | 17-β-HSD1 | 17-β-hydroxysteroid dehydrogenase type 1 | | 17-β-HSD2 | 17-β-hydroxysteroid dehydrogenase type 2 | | ABAD | Aβ-binding alcohol dehydrogenase | | AD | Alzheimer's disease | | AM1 | Austin model 1 | | AMBER | Assisted Model Building with Energy Refinement | | app$K_i$ | Apparent inhibition constant | | Aβ | Amyloid-β | | B3LYP | Becke, three-parameter, Lee-Yang-Parr functional | | BPTI | Pancreatic trypsin inhibitor | | CASPT2 | Complete active space with second-order perturbation theory | | CASSCF | Complete active space self-consistent field | | CG | Conjugate gradient | | CHARMM | Chemistry at Harvard macromolecular mechanic | | CM | Chorismate mutase | | CoA | Co-enzyme A | | DADHs | *Drosophila* alcohol dehydrogenases | | DFT | Density function theory | | DmADH | *Drosophila melanogaster* alcohol dehydrogenases | | DmADHS | Slow alloenzymes from drosophila melanogaster | | E1 | Oestrone | | E2 | 17-β-estradiol | | EFP | Effective fragment potential | | fs | Femtosecond | | GROMOS | Acronym of the groningen molecular simulation | | HF | Hartree-Fock | | HSDs | Hydroxysteroid dehydrogenases enzymes | | HTVS | high throughput virtual screening | | ICM | Internal coordinate mechanics | | $k$ | Rate constant | | $K_{cat}$ | First-order rate constant | | $K_d$ | Dissociation constant | | $K_i$ | Inhibition constant | | Abbreviation | Description | |--------------|-------------| | $K_m$ | Michaelis-Menten constant | | LDR | Long-chain dehydrogenase/reductases | | MC | Monte carlo | | MD | Molecular dynamic | | MDR | Medium-chain dehydrogenase/reductases | | MP | Moller-Plesset pertubation theory | | $M_r$ | Relative molecular mass | | MRCI | Multi-reference ab initio methods | | NMR | Nuclear magnetic resonance | | NR | Newton-Raphson | | ns | Nanosecond | | OPLS-AA | All atom optimized potentials for liquid simulations | | PDB | Protein data bank | | PHBH | Para-hydroxybenzoate hydroxylase | | PM3 | Parametric method number 3 | | ps | Picosecond | | QM/MM | Quantum mechanics and molecular mechanics | | RMSD | Root-mean-square deviation | | RMSF | Root-mean-square fluctuation | | SAC-CI | Symmetry-adapted cluster–configuration interaction method | | SCC-DFTB | Self-consistent charge density-functional tight binding method | | SD | Steepest descent | | SDR | Short-chain dehydrogenase/reductases | | SlADH | *Scaptodrosophila lebanonensis* alcohol dehydrogenases | | SP | Standard precision | | TD-DFT | Time-dependent density function theory | | UFF | Universal force field | | XP | Extra precision | | $\Delta G$ | Free energy of binding | 1 Introduction 1.1 Alcohol dehydrogenases Alcohol dehydrogenases (ADH) are a group of enzyme catalyzing the oxidation of alcohols to aldehydes and the reduction of aldehydes to alcohol by using nicotinamide adenine dinucleotide phosphate NAD(P)(H) as coenzyme [1]. Based on the length of primary sequence, they are classified into short-chain (SDR), medium-chain (MDR) and long-chain (LDR) dehydrogenase/reductases [2-5]. Through genome sequencing projects it is now clear that distinct families of ADH encode a large group of gene products within nearly every genome [6, 7]. This wide representation of oxidoreductases highlights their importance and functional diversity in the physiology of organisms reaching from prokaryotes to mammals [6]. ADHs from *drosophilid* species (*DADHs*) are typical members of the SDR family. 1.2 Functions of short-chain dehydrogenases/reductases SDRs form a large and evolutionary old family of enzymes, and currently more than 47000 members, including species variants are known [8]. SDR members catalyze diverse biochemical reactions such as isomerization, epimerization and oxidoreduction [9]. SDRs are involved in hormone metabolism (retinol dehydrogenases, prostaglandin dehydrogenases, hydroxysteroid dehydrogenases, testosterone 5α-reductases) fatty acid oxidation (hydroxyacyl CoA dehydrogenases) or biotransformation of xenobiotics (carbonyl reductases, quinone reductases) [10-13]. Interestingly, hydroxysteroid dehydrogenases (HSDs) of the SDR super-family are implicated in polycystic kidney diseases [14], regulation of blood pressure [15], Alzheimer’s disease [16], obesity [17] and in the development of steroid dependent cancer forms [15]. The SDR superfamily therefore contains several important pharmaceutical targets. SDR family members including ADH from *Drosophila melanogaster* (*DmADH*) and *Scaptodrosophila lebanonensis* (*S1ADH*) (formerly *Drosophila lebanonensis*) utilize nicotinamide adenine dinucleotides NAD(P)(H) as cofactors in the reduction or oxidation reactions. Currently there are around 300 x-ray crystal structures of SDRs in the protein data bank (www.pdb.org) [18], and 9 of them are of *S1ADH* (Table 1). Table 1. SfADHs structures available in the protein databank (www.pdb.org). | PDB ID | Ligand(s) | Resolution | Released Date | Number of amino acids | Reference | |--------|----------------------------|------------|-----------------|-----------------------|-----------| | 1A4U | - | 1,92 | 16.02.1999 | 508 | [19] | | 1B14 | NAD+ | 2,4 | 26.11.1999 | 508 | [20] | | 1B15 | NAD-acetone | 2,2 | 26.11.1999 | 508 | [20] | | 1B16 | NAD-3-Pentanone | 1,4 | 29.11.1999 | 508 | [20] | | 1B2L | NAD-Cyclohexanone | 1,6 | 26.11.1999 | 254 | [20] | | 1SBY | NAD+ and 2,2,2-trifluoroethanol | 1,1 | 22.02.2005 | 508 | [21] | | 1MG5 | NADH and acetate | 1,6 | 21.01.2005 | 510 | [22] | | 3RJ5 | NAD+ | 1,45 | 02.05.2012 | 508 | [23] | | 3RJ9 | NAD+ | 1,98 | 02.05.2012 | 1524 | [23] | 1.3 Reaction mechanism of DADH Most of the SDR family members show a one-domain architecture with the substrate binding site located in the highly variable C-terminal region and a characteristic NAD(H)-binding motif or Rossmann fold in the N-terminal region. The overall structure of this monomer is folded into a central 8-stranded β-sheet and flanked on each side by three α-helices (Figure 1) [9, 19, 20, 22, 24, 25]. Among these enzymes, conserved sequence regions include the cofactor binding Gly-X3-Gly-X-Gly motif in the N-terminal part, and an active site conformation nearly superimposable to each other with the catalytic important triad (Tyr, Lys, Ser) of amino acids [9, 26, 27]. Mutagenesis studies have shown that these three residues are essential for catalytic activity [28-32]. Enzyme kinetic studies of DADHs show that the SDR reaction appears to proceed through a two substrate compulsory mechanism (Scheme 1) [27, 33], where the coenzyme binds before the substrate and the product disassociates before the coenzyme. As shown in scheme 1, a proton is released in the oxidation process of alcohols, while a proton is taken up in the reduction of aldehydes/ketones. \[ \text{Alcohol} + \text{NAD}^+ \leftrightarrow \text{aldehyde/ketone} + \text{NADH} + \text{H}^+ \] (Scheme 1) Enzyme kinetic studies of DADHs have also shown that the proton is realised upon formation of the binary enzyme•NAD$^+$ (E•NAD$^+$) complex [27, 34, 35], and that most of the secondary alcohols tested are better substrates than the primary alcohols [36-38]. DADH is a dimer of $M_r$ 54800, consisting of two identical subunits [1, 39, 40]. The oxidation reaction of DADH includes two steps (Figure 2): 1. A proton transfer from the alcohol $H_{Alc}$ atom to the strong base or nucleophile of the binary E•NAD$^+$ complex. 2. A hydride transfer from the alcohol $H_{CAlc}$ atom to the C4 atom of NAD$^+$. Figure 2: Active site geometry of wild type *S*ADH with the catalytic triad (Ser138, Tyr151, Lys155), substrate 2-propanol and parts of NAD+ (PDB: 1SBY). Proposed oxidation reaction mechanism of 2-propanol by wild type *D*ADH. The exact catalytic function of the catalytic triad is not known. Enzyme kinetic data have shown that in order to promote hydride transfer from the substrate alcohol to the NAD$^+$ molecule, the group (or combination of groups) showing a pK$_a$ value of 7.1 in the E•NAD$^+$ complex has to abstract a proton from the C$_\alpha$ hydroxyl group of the substrate to generate an alcoholdate anion R-CH$_2$-O$^-$. This group needs to be negatively charged in order to bind the substrate and facilitate hydride transfer from the substrate [27]. Due to its position in the active site and the pH dependence of alcohol binding, it was proposed that this group is the strictly conserved Tyr151 [19, 20, 31, 41-44]. It was suggested that the tyrosine function as the basic catalyst being fully negatively charged, and that the lysine binds NAD(P)(H) and lowers the pKa value of the tyrosine, while the serine stabilizes the substrate, reaction intermediates and product during catalysis [45]. The tyrosine is strictly conserved, whereas Ser and Lys are conserved in most SDRs [9]. However, this hypothesis has been challenged by an electrostatic analysis of the ionization properties of the active site residues in *D*ADH, using an approach which accounts for multiple locations of the hydrogen atoms of ionizable and polar groups [46]. Theoretical calculations showed that the protonation/deprotonation transition of the E•NAD$^+$ complex is related to the coupled, irregular ionization of the active site groups Tyr151 and Lys155. 1.4 Eight membered water chain in DADH In protein crystal structures, it is now widely accepted that water molecules buried inside the protein play an important role in protein stability, dynamics and function [47, 48]. Water molecules trapped inside protein interiors can fill defects in the side chain packing or form hydrogen bonds to protein polar atoms [49, 50]. The number of water molecules included in the protein x-ray crystallographic models depends mainly on the resolution of the solved structure [51]. The exact range of processes mediated by buried water molecules in DADH was not known, until 1998, then the x-ray crystal structure of S1ADH (PDB Code: 1A4U) resolved at 1.9 Å resolution by Ladenstein and his colleagues showed three well-ordered water molecules in hydrogen bond distances to side-chains of the catalytic triad [19]. With an even higher resolution of the S1ADH x-ray structure (PDB Code: 1B16), water molecules were also found between NAD$^+$ and the enzyme [20]. Based on these findings and kinetic studies, Koumanov and his colleagues proposed a proton relay chain which includes the active site catalytic residues, the O$_2^-$ ribose hydroxyl group of the coenzyme that plays a key role by acting as a proton switch, as well as a chain of eight water molecules that connects the active site with the bulk solvent [19, 20, 25, 33, 35, 37, 43, 46, 52-54] (Fig 3). Later research has shown that the water chain also exists in the ternary complex and that all amino acids lining the water are conserved in 119 *drosophilid* species. These findings support the hypothesis of a proton transport in between the active site and the solvent mediated by the relay chain [10], and it was suggested that this relay mechanism facilitate the proton abstraction from the binary E•NAD$^+$ complex [19, 20, 46]. A similar water chain has also been shown to exist in human and bacterial SDR enzymes [55-57]. This suggests that if not all, but at least part of these buried water molecules are conserved between proteins belonging to the same family and they are structurally and functionally important. 1.5 SDRs as drug targets *Drosophilid* has been studied for quite some time as a laboratory model for genetics in general and also applied into human diseases studies, like substance addiction, Alzheimer’s disease and Parkinson’s disease [58-60]. By 2002, the total number of predicted genes of *drosophila* melanogaster was 13601, among which the number of estimated druggable targets were 1714 [61]. Among more than 46,000 primary structures of SDR superfamily enzymes identified in sequence databases by 2010, more than 80 were found in human [8]. The similarities in sequences, function and protein structures within a gene family may often suggest that the binding-site architecture between family members is well conserved (Figure 4). This indicates that if one member of a gene family could bind a drug, other members with similar active site architecture and function may also be able to bind a compound with similar physio-chemical properties [8, 62, 63]. Therefore DADHs can be used as model system for the development of new therapeutic compounds targeting therapeutical important SDRs [14-17]. In the following I will give a brief introduction into the potential of some SDRs as drug targets. 1.5.1 17β-hydroxysteroid dehydrogenase type 1 and type 2 as drug targets in breast cancer Breast cancer is a major cause of death in both European and American women, it occurs most frequently in post-menopausal women [64, 65]. 17-β-estradiol (E2) stimulates the growth of hormone-dependent breast cancer cells [66]. The precursor of E2 is oestrone (E1). The major enzyme catalyzing the reduction of E1 to E2 is 17-β-hydroxysteroid dehydrogenase type 1 (17-β-HSD1). The reverse reaction, the deactivation of E2 is catalyzed by 17-β-HSD type 2 (17-β-HSD2) (Figure 5) [67]. Both 17-β-HSD1 and 17-β-HSD2 belong to the family of SDRs requiring NAD(P)(H) as cofactor. They are present in healthy premenopausal women, but several studies have indicated that the ratio of 17-β-HSD1 to 17-β-HSD2 is increased in tumors of postmenopausal women with hormone dependent breast cancer [68-70]. Studies have also indicated that patients with high 17-β-HSD1 expression have significantly shortened disease-free and overall survival [71, 72], indicating that compounds that inhibit 17-β-HSD1 may be therapeutically beneficial in treatment of hormone dependent breast cancer in post-menopausal women [73, 74]. ![Estrone (E1) and 17 β-Estradiol (E2) catalyzed by 17-β-HSD1 or 17-β-HSD2](image) **Figure 5:** Inter-conversion of Estrone (E1) and 17 β-Estradiol (E2) catalyzed by 17-β-HSD1 or 17-β-HSD2. Due to the structural and functional similarities of 17-β-hydroxysteroid dehydrogenase to other SDRs, the general information obtained from combination of theoretical calculations and experimental studies of SDRs from DADHs as model systems can then be transferred to enzymes of the 17-β-HSDs family, and may be used for structural calculations of binding site geometry and inhibitors design of 17-β-HSD1 and (or) 17-β-HSD2. ### 1.5.2 Amyloid-β (Aβ) peptide-binding alcohol dehydrogenase as a target in Alzheimer’s disease Numerous studies have indicated the potential importance of amyloid-β peptide (Aβ) interaction with a mitochondrial enzyme called Aβ-binding alcohol dehydrogenase (ABAD), a member of SDRs family concentrated in mitochondria of neurons [75-82]. Aβ distorts ABAD's structure by forming Aβ-ABAD complex, thereby inactivate ABAD's metabolic functions and promotes Aβ-mediated cytotoxic events [83, 84]. Particularly, increased intracellular Aβ level prior to the appearance of neurofibrillary tangles and senile plaques in AD-affected areas of the brain suggested the role of Aβ in AD development [83, 85-88]. An ABAD function inactivated *drosophilid scully* showed a developmentally lethal phenotype with multiple abnormalities [89]. Alternative term for ABAD is L-3-hydroxyacyl Coenzyme A dehydrogenase type II [90]. First human ABAD x-ray crystal structure was resolved by Kissinger and coworkers in 2004 (PDB code: 1U7T) [91]. Like other SDRs or ADHs, ABAD share the same active site features and utilize dinucleotide cofactor in catalytic reaction. In metabolic homeostasis, ABAD oxidize/reduce a wide range of substrate, such as linear alcohols, steroid substrates (17b-estradiol), S-acetoacetyl-CoA and β-hydroxybutyrate [90, 92]. ABAD appears to have cytoprotective functions under homeo-static conditions and in response to stress [93]. Studies of Yao et al. in 2011 showed inhibition of ABAD interaction with Aβ reduced Aβ accumulation and improved mitochondrial function in a mouse model of AD [94]. Therefore, ABAD could be a potential drug target. The x-ray crystal structure of ABAD is known suggesting that computer added drug design could be possible. ### 1.6 Enzyme kinetics Until 2000, around 500 drug targets had been reported, among which 28% are enzymes [95]. However, only 120 drug targets are actually targeted by marketed drugs (47% are enzymes) [61]. Enzymes are powerful biological catalysts that are essential for the proper maintenance and reproduction of any organism. These properties make them excellent candidates as therapeutic targets to combat diseases. In this regard, one goal of molecular medicine is to develop and implement effective agents that can modulate the activities of various enzymes involved in essential biological pathways. Therefore, the process of drug development often requires accurate knowledge of the catalytic mechanism of the enzyme in question. In this study, we mainly focus on the mechanisms of two substrate enzymes. #### 1.6.1 Two substrate enzymes and their catalytic mechanisms Enzymes like oxidoreductases, transferases and ligases catalyze reactions involving more than one substrate [96]. These enzymes utilize metal ion or organic cofactors as additional substrates. When it comes to the binding order of substrates for a two substrate reaction, there are mainly two types of mechanism: i) Ping-Pong/double displacement mechanism/substituted enzyme mechanism, ii) ternary complex mechanism (Figure 6) [96-98]. ![Diagram of catalytic mechanisms](image) **Figure 6:** Example of catalytic mechanisms of two substrate enzymes. E: enzyme, S₁: substrate 1, S₂: substrate 2, P₁: product 1, P₂: product 2. Ping-pong mechanism occurs when two substrates share one active site. In this case, one substrate leaves one moiety (phosphate group, an amino group or acyl group etc) on the enzyme to be transferred to the second substrate. In such a case, the two substrates do not bind to the enzyme at the same time during the reaction. In the other main type of mechanism, the ternary complex mechanism, both substrates must be bound to the enzyme at the same time and form a ternary complex (ES₁S₂) in order to start the catalytic reaction. There are various possibilities for the formation of a ternary complex. The binding of S₁ and S₂ either follows sequential order (compulsory-order mechanism), or they randomly binds to the enzyme (random-order mechanism). A special case of a compulsory-order mechanism occurs when the interconversion of ES₁S₂ and EP₁P₂ is much faster than all the other steps and no kinetically significant ternary complexes appear to occur. This is called a Theorell-Chance mechanism. Enzyme kinetic studies provide microscopic views of the factors affecting enzyme-catalyzed reactions. Chemical reactions involved enzymes can be quantitatively evaluated by measuring the speed at which the reacting substances are transformed to the corresponding products, namely reaction rate. There are two types of kinetic studies that can be performed: (1) Pre-steady state, which is the period when an enzyme-substrate complex is formed, there is sometimes some transiently formed enzyme-intermediate complex. This period lasts from micro- to milli-seconds. To be able to detect the formed enzyme•substrate (ES) complex and probable intermediates, one method is stopped-flow kinetics. The enzyme concentration used in this method is usually high and in the region of the used substrate concentration; (2) Steady state, which is the period during the reaction where there is no change in the amount of the formed ES complex and other intermediates. This period often lasts from a fraction of a second to several minutes (sometimes hours). Furthermore, the enzyme concentration used is much lower than the used substrate concentrations [99, 100]. The reaction scheme including rate constant for compulsory-order mechanism was given as follows (Scheme 2): \[ E + S_1 \xrightarrow{k_1}{k_2} ES_1 + S_2 \xrightarrow{k_3}{k_4} ES_1S_2 \xrightarrow{k_5}{k_6} EP_1P_2 \xrightarrow{k_7}{k_8} EP_1 + P_2 \xrightarrow{k_9}{k_{10}} E + P_1 \] (Scheme 2) Where $ E $ is the enzyme, $ S_1 $ and $ S_2 $ are substrates, $ P_1 $ is the product from $ S_1 $ and $ P_2 $ is the product from $ S_2 $, $ ES_1 $ and $ EP_1 $ are binary complexes, $ ES_1S_2 $ and $ EP_1P_2 $ are ternary complexes, $ k_1 $ to $ k_{10} $ are rate constants. The catalytic mechanism and experimentally observed kinetic behavior can be mathematically expressed by a rate equation that depicts the process in terms of rate constant and reactant concentrations. The rate equation that describes the relation between kinetic coefficients and substrate concentrations can be written as equation (1) for a ternary complex mechanism and as equation (2) for a ping-pong mechanism using Dalziel nomenclature [101]: \[ \frac{e}{v} = \left[ \varphi_0 + \frac{\varphi_1}{[S_1]} \right] + \frac{1}{[S_2]} \left[ \varphi_2 + \frac{\varphi_{12}}{[S_1]} \right] \] (Eqn.1) \[ \frac{e}{v} = \varphi_0 + \frac{\varphi_1}{[S_1]} + \frac{\varphi_2}{[S_2]} \] (Eqn.2) In these equations, $e$ is the amount of active enzyme, $v_0$ is the initial rate of reaction, $[S_1]$ and $[S_2]$ are the concentration of substrate 1 and substrate 2, respectively. $\varphi_0$, $\varphi_1$, $\varphi_2$ and $\varphi_{12}$ are kinetic coefficients. In two substrate reactions, the reaction rate $v$ is dependent on the concentration of both $S_1$ and $S_2$. This algebraic rearrangement of the Michaelis-Menten equation is the mathematical basis for deducing Lineweaver-Burk type of plot [102]. Lineweaver-Burk analysis is one method of linearizing substrate-velocity data so that the kinetic coefficients can be determined by using primary and secondary plots (Fig 7) [101, 103]. ![Graphs](image) **Figure 7:** Plots illustrate the determination of the kinetic coefficients of equation (1) by secondary plots of slopes and intercepts (b) of primary Lineweaver-Burk plots (a). In figure 2, a series of Y intercept and Slope values collected from plot (a) can then be introduced into equation (1), where from a secondary plot (b), the value of different $\varphi$ coefficients can then be determined [96]. The physical meaning of $\varphi$ coefficients in a compulsory ordered ternary complex mechanism is listed in Table 2. **Table 2:** The meaning of different kinetic coefficients. | $\frac{1}{\varphi_1}$ ($k_1$ or $k_{on}$) | $\frac{1}{\varphi_2}$ ($k_2$ or $k_{off}$) | $\frac{1}{\varphi_0}$ ($k_{cat}$) | $\frac{\varphi_1}{\varphi_0}$ | $\frac{\varphi_2}{\varphi_0}$ | $\frac{\varphi_{12}}{\varphi_1} \frac{\varphi_2}{\varphi_2}$, ($k_{off}$), $k_1$ | |----------------------------------------|----------------------------------------|--------------------------------|-----------------------------|-----------------------------|---------------------------------------------------------------| | Formation rate of ES$_1$ complex. | Formation and break down of the ternary complex | Production of the EP$_1$P$_2$ complex from ES$_1$S$_2$ and the release of products from the enzyme. | Km for S$_1$ | Km for S$_2$ | Disassociation rate of S$_1$ from the binary ES$_1$ complex | Not only can the characteristics of the rate equation and different kinetic coefficients verify the mechanism, conversely, the experimental observations provide clues to what the mechanism may be. Another way to verify the catalytic mechanism is to determine the reaction velocity in the presence and absence of inhibitors. 1.6.2 Enzyme Inhibition Enzyme inhibitors may act either irreversibly or reversibly [100]. Irreversible inhibitors form covalent bonds with different functional groups on the enzyme surface. Reversible inhibitors form non-covalent interactions with various parts of the enzyme surface, which can be reversed by dilution and dialysis. Reversible inhibitors can either be products of the substrates investigated or other type of compounds. Reversible inhibitors can give rise to several types of inhibition patterns, and three such patterns are: competitive, uncompetitive and mixed inhibition. A product inhibitor pushes the reaction backwards while other compounds that react with a specific enzyme form and gives rise to an enzyme-inhibitor complex that is not a part of the flow from substrate to product is called a dead-end inhibitor [104]. It is common to use dead-end inhibitors in order to investigate the reaction mechanism of a multi substrate enzyme and if substrates bind and products leave in a specific order or not [100]. 220.127.116.11 Dead-end inhibition In 1962, Fromm and Zewe suggested that competitive inhibitors of substrates could be used to differentiate between random and ordered mechanisms [105]. Because dead-end inhibitors cannot reverse reaction sequences (as products for two substrate enzymes can), competitive dead-end inhibitors are often used to determine the enzyme’s reaction mechanism, especially whether the substrates bind in a specific order or not [99, 104]. To get a full picture of the binding order of the two substrates to the enzyme, it is necessary to check the inhibitory pattern of each inhibitor against varied $S_1$ (fixed $S_2$) and varied $S_2$ (fixed $S_1$). In most cases one experiment is performed with low concentration of the fixed substrate (compared to its $K_m$ value) and another experiment with high concentration of the fixed substrate, while the other substrate is varied in the presence and absence of inhibitor. The inhibition patterns for a two substrate random and compulsory-order mechanism are shown in Figure 3 and 4. For a convenience, we assume inhibitor $I_1$ only binds to the same site as substrate $S_1$, and inhibitor $I_2$ only binds to the same site as substrate $S_2$. In a random order mechanism (Figure 8a), if $I_1$ or $I_2$ only binds to the free enzyme (E), then both $S_1$ and $S_2$ will compete with $I_1$ or $I_2$ for the free enzyme. Therefore, both inhibitors are competitive inhibitors against both substrates and will therefor give rise to four competitive patterns (not shown). If $I_1$ binds both to E and ES$_2$, then relative to $S_1$ (fixed $S_2$ concentration), $I_1$ shows a competitive pattern (Figure 8b), and relative to $S_2$, $I_1$ shows mixed inhibition (with low fixed $S_1$ concentration, Figure 8d). No inhibition occurs at a high fixed $S_2$ concentration. Similarly, If $I_2$ binds both to E and ES$_1$ (Figure 8a), then relative to $S_2$ (fixed $S_1$ concentration), $I_2$ shows a competitive pattern (Figure 8e), and relative to $S_1$, $I_2$ shows mixed inhibition (with low fixed $S_2$ concentration, Figure 8c). No inhibition occurs at a high fixed $S_1$ concentration. In short, if both inhibitors bind to free enzyme and their corresponding binary complex, it will give two competitive patterns (i.e. $I_1$ vs $S_1$ and $I_2$ vs $S_2$ in Figure 8b, e) and two mixed patterns (i.e. $I_1$ vs $S_2$ and $I_2$ vs $S_1$ in Figure 8c, d). An uncompetitive pattern will never occur with a random order mechanism. ![Reaction scheme](image) **Figure 8:** (a) Reaction scheme for a random-ordered mechanism where $S_1$ binds to the free enzyme E and ES$_2$, and $S_2$ also binds to the free enzyme and the binary ES$_1$ complex. Inhibitor 1 ($I_1$) binds to E and binary ES$_2$ complex, $I_2$ binds to E and binary ES$_1$ complex. (b-e) double invers plots of v vs a varied substrate in the absence (0) and presence ($I_1$ or $I_2$) of inhibitor. Inhibition pattern of $I_1$ vs varied [S$_1$] (b) and $I_2$ vs varied [S$_1$] (c) using a fixed [S$_2$]. Inhibition pattern of $I_1$ vs varied [S$_2$] (d) and $I_2$ vs varied [S$_2$] (c) using a fixed [S$_1$]. In a compulsory ordered mechanism (Figure 9), when a competitive dead-end inhibitor $I_1$ binds to the free enzyme, it distorts the enzyme so that substrate $S_1$ cannot bind to the $EI_1$ binary complex. This makes the inhibitor $I_1$ to compete with the substrate $S_1$ (Figure 9b) and it will give a mixed inhibition against substrate $S_2$ (Figure 9d). On the other hand, inhibitor $I_2$ competes with substrate $S_2$ (Figure 9c) and does not bind to the free enzyme, only to the $ES_1$ binary complex (Figure 9a). In this mechanism, inhibitor $I_2$ shows an uncompetitive pattern against substrate $S_1$ (Figure 9c). This unique uncompetitive pattern of $I_2$ helps to distinguish a compulsory ordered mechanism from a random ordered mechanism. Similarly, $I_1$ shows mixed inhibition pattern against varied $S_2$ which means that the inhibitor binds before the varied substrate $S_2$ and that there is a reversible connection between $EI_1$ and $ES_1$ as shown in Fig 9a [104]. ![Reaction scheme for a compulsory ordered mechanism](image) **Figure 9:** Reaction scheme for a compulsory ordered mechanism where $S_1$ binds to the free enzyme $E$ and $S_2$ to the binary $ES_1$ complex. Inhibitor 1 ($I_1$) binds to $E$ and $I_2$ to the binary $ES_1$ complex. (b-e) double invers plots of $v$ vs a varied substrate in the absence (0) and presence ($I_1$ or $I_2$) of inhibitor. Inhibition pattern of $I_1$ vs varied $[S_1]$ (b) and $I_2$ vs varied $[S_1]$ (c) using a fixed $[S_2]$. Inhibition pattern of $I_1$ vs varied $[S_2]$ (d) and $I_2$ vs varied $[S_2]$ (c) using a fixed $[S_1]$. ### 1.6.3 Enzyme-inhibitor dissociation constants The equilibrium dissociation constant of an enzyme•inhibitor (EI) complex can be derived from inhibition kinetic studies, and is then called an inhibition constant, $K_i$ [103]. An obtained $K_i$ value from kinetic studies will either be a true dissociation constant ($K_i = K_d$) or an apparent constant ($\text{app} K_i$; i.e. $K_i \neq K_d$) [103]. This depends on the kinetic mechanism and the experimental conditions used. For a compulsory ordered two substrate reaction where $S_1$ binds to the free enzyme and a dead-end inhibitor also binds to free enzyme (Figure 9a), then equation (1) becomes: $$\frac{e}{v} = \varphi_0 + \frac{\varphi_2}{[S_2]} + \frac{1}{[S_1]} \left( \varphi_1 + \frac{\varphi_{12}}{[S_2]} \right) \left( 1 + \frac{[I_1]}{K_{i1}} \right)$$ (Eqn.3) If the concentration of $S_2$ is fixed, then the obtained $K_{i1}$ value from the slope of equation (3) represents the true dissociation constant ($K_i$) of the EI complex. This is independent of the concentration of the fixed substrate (in this case $S_2$). If competitive dead-end inhibitor binds only to the ES$_1$ binary complex (Figure 9a), then equation (3) becomes: $$\frac{e}{v} = \varphi_0 + \frac{\varphi_1}{[S_1]} + \frac{1}{[S_2]} \left[ \varphi_2 \left( 1 + \frac{[I_2]}{K_{i2}} \right) + \frac{\varphi_{12}}{[S_1]} \right]$$ (Eqn.4) Inhibitor $I_2$ competes with substrate ($S_2$). In this case, the obtained inhibitor constant $K_{i2}$ does not necessarily represent the true dissociation constant of the ES$_1$I$_2$ complex. The reason for that is simply that $I_2$ binds to the ES$_1$ complex. At a low concentration of $S_1$, only small amounts of the enzyme are in the form of the binary ES$_1$ complex to which $I_2$ can bind. Then the obtained binding constant is weaker than the true binding constant, i.e. $K_{i2}$ is larger than $K_d$. At an infinite (or high enough) concentration of the fixed substrate $S_1$, $\frac{\varphi_{12}}{[S_1]} \approx 0$, the obtained $K_{i2}$ value can represent the true dissociation constant of the ternary ES$_1$I$_2$ complex. This is because the entire amounts of enzyme are in the binary ES$_1$ complex. With a saturating concentration of $S_1$, the strength of the EI complex ($K_i$) calculated from the slop term ($K_{is}$) can be determined from equation (5) [33]: $$K_{is} = \frac{[I]}{\frac{s_1}{s_0} - 1}$$ (Eqn.5) Where $[I]$ is the inhibitor concentration, $s_i$ and $s_0$ are inhibited and uninhibited slopes in a Lineweaver-bruke plot (Figure 9e), respectively. Here, $K_{is}$ can be regarded as the dissociation constant of I$_2$ from the ternary complex (ES$_1$I$_2$). $K_i$ can also be calculated from plot in Figure 9c using intercept term ($K_{ii}$). The corresponding equation using the intercept term will be: \[ K_{ii} = \frac{[I]}{\frac{i_i}{i_0} - 1} \] (Eqn.6) Where $i_i$ and $i_0$ are the inhibited and uninhibited intercepts. As I$_2$ binds to the ES$_1$ binary complex, the mathematical correlation between $K_d$, $K_i$ and the kinetic coefficients using the Dalziel nomenclature is shown in equation (7) by using equation (5): \[ K_d = \frac{K_{is}}{\left(\frac{\varphi_{12}}{\varphi_2[S_1]} + 1\right)} \] (Eqn.7) Or by using equation (6): \[ K_d = \frac{K_{ii}}{\left(\frac{\varphi_0[S_2]}{\varphi_2} + 1\right)} \] (Eqn.8) From equation (8) it obvious that if a high enough concentration of S$_1$ is used $\left(\frac{\varphi_{12}}{\varphi_2[S_1]} \approx 0\right)$, then the obtained $K_i = K_d$. In all other situations the obtained $K_i$ is an apparent dissociation constant $(\text{app}K_i)$ which is larger than $K_d$. The larger the $K_d$ the weaker the binding. If the kinetic coefficients ($k_{cat}, K_m$ or different $\varphi$ value) for the reaction are known, and a $K_i$ value has been obtained from equation (5) using a fixed $[S_1]$, the true dissociation constant $K_d$ can be calculated from equation (7). 1.7 Application of Molecular modeling in enzyme kinetic studies 1.7.1 Docking and scoring Modern drug discovery often includes searching for small molecules that can bind to a preselected protein target. Protein-ligand docking aims to predict and rank binding orientations of ligands in a target protein of known 3D structure [106]. Starting from the early 1980's [107], it remains a field of vigorous research, having become a useful tool in drug discovery programs [108]. The protein-ligand docking occupies a very special place in the field of docking, because of its applications in medicine [109]. From the docking of both protein and ligand as rigid bodies [107], protein-ligand docking has developed to an area where full flexibility on the ligand is commonly included. Although binding orientation and affinity of a given ligand, and binding-site geometry of target protein can be greatly influenced by protein flexibility [110], including protein flexibility is still a challenge and computationally expensive by most docking programs. The traditional lock-and-key and induced-fit theories have given their way to more modern theories that bestow a greater weight to the receptor flexibility issue [111]. The current idea interprets a protein as an ensemble of differently populated conformational states in equilibrium, rather than the stable conformation appearing in X-ray crystal structure [111]. An important notion that needs attention is that the conformations of the target protein in the protein-ligand complex are not necessarily the most populated conformations in an unbound state [110-112]. So, when it comes to docking, these aspects imply that instead of targeting a single pose of a given ligand on a single target protein structure, one should ideally look for the most populated alternatives from an ensemble of solutions comprising several different binding conformations [106]. The docking result are mainly judged by two factors: (1) the ability to make key hydrogen bonding and hydrophobic contacts and (2) the ability to achieve a reasonable root-mean-square deviation (RMSD) which is lower than 2 Å after redocking compounds found in X-ray crystal structure complexes [113]. Molecular-docking ultimately seeks to predict the best mode by which a given compound will fit into a binding site of a macromolecular target. As a result, this usually involves two independent steps: - Docking: Determining the orientation of a ligand relative to the receptor. Scoring: Evaluate the ligand orientation. Scoring is used to evaluate the interaction between a ligand and its target protein by ranking how well the ligand fits into the binding pocket or by predicting the absolute binding affinity between the ligand and its target protein. Although the standard free energy of binding ($\Delta G$) is given by the Gibbs Helmholtz equation (equation 9) [100], the predicted binding affinity in terms of $\Delta G$ is still an approximation. $$\Delta G = \Delta H - T\Delta S = -RT \ln K_i$$ Where $\Delta H$ is the enthalpy, $T$ is the temperature (Kelvin), $\Delta S$ is the entropy, $K_i$ is the binding constant and $R$ is the gas constant [114]. 1.7.2 Glide docking program Glide (Grid-based Ligand Docking with Energetics) is one of the most widely used docking programs. The Glide algorithm approximates a systematic search of positions, orientations, and conformations of the ligand in the protein-binding pocket via a series of hierarchical filters. The procedure of how Glide works is illustrated in Figure 10. ![Glide docking procedure in four stages](image) Figure 10: Glide docking procedure in four stages. A typical scoring function contains terms like: \[ \Delta G_{\text{score}} = \alpha_1 \Delta E_{vdw} + \alpha_2 \Delta E_{H-bond} + \alpha_3 \Delta E_{el} + \alpha_4 \Delta E_{rot} + \alpha_5 \Delta E_{sol} + \ldots \] \hspace{1cm} (\text{Eqn.10}) Here $ \alpha_i $ is weighting factors that can be fitted to actual binding data of specific protein-ligand systems. The scoring in Glide 5.7 is first carried out in ‘Greedy score’ stage using Schrödinger’s ChemScore empirical scoring function [115]. Much as for ChemScore [116], this algorithm recognizes favorable hydrophobic, hydrogen-bonding, and metal-ligation interactions, and penalizes steric clashes. Only a small number of best refined poses are transferred to the next stage that involves evaluation and minimization of a grid approximation to the OPLS-AA non-bonded ligand-receptor interaction energy [117, 118]. Finally, the minimized poses are re-scored using Schrödinger’s proprietary GlideScore scoring function: \[ G_{\text{score}} = 0.065*vdW + 0.130*Coul + Lipo + Hbond + Metal + BuryP + RotB + Site \] \hspace{1cm} (\text{Eqn.11}) Here $ vdw $ stands for van der Waals energy, $ Coul $ is the Coulomb energy, $ Lipo $ is the lipophilic contact term, $ Metal $ is the metal binding term where only the interactions with anionic acceptor atoms are included, $ BuryP $ is the penalty for buried polar groups, $ RotB $ is the penalty for freezing rotatable bonds, and $ Site $ is the polar interactions in the active site. GlideScore is based on ChemScore, but includes a steric-clash term and adds buried polar terms devised by Schrödinger to penalize electrostatic mismatches. Before initiating the ligand docking, a receptor grid maps must be generated. The grid files represent physical properties of a volume of the target protein (specifically the active site) that are searched when attempting to dock a ligand. First, the prepared structures (both protein and ligand) are imported. The receptor is selected by excluding the ligand, while the active site can be defined as the centroid of the ligand. To increase the docking accuracy, different constraints can be added. For example, a hydrogen bond constraint can be set between the ligand and an active site amino acid or cofactor of the target protein. Other constraints like bond angle and atom position can also be used. The calculated target protein grid file is then used to dock the ligands with standard precision (SP), high throughput virtual screening (HTVS) or extra precision (XP) docking modes. In Glide XP docking, another scoring function called XP Glide-ChemScore [119] is used. This scoring function includes additional terms over the SP scoring function, and a more complete treatment of some of the SP terms. 1.7.3 Molecular Mechanics The molecular modeler often wants to understand and predict properties of liquids, solutions, solids and macromolecules. The experimental properties of a system such as the pressure and the heat capacity are determined by the positions and momentas of the particles that comprise the system. So the word simulation in turn refers to methods aimed at generating a representative sampling of a system at a finite temperature, volume and pressure. Molecular mechanical methods can be used to search energy minimum of a molecular system and simulate molecular behavior. The two main simulating methods using molecular mechanics are Monte Carlo (MC) and Molecular Dynamics (MD). These simulation methods can be used to overcome energy barriers and find global energy minimum and to study random or time dependent structural changes in a molecular system. Molecular mechanics calculations are using force fields (also named force field methods), and ignore the electronic motions and calculate the energy of a system as a function of the nuclear positions only. Basic functional form of a force field encapsulates both bonded terms relating to atoms that are linked by covalent bonds, and non-bonded (also called "non-covalent") terms describing the long-range electrostatic and van der Waals forces (Figure 11). ![Figure 11](image) Figure 11: Representation of the key contributions to a molecular mechanics force field: bond stretching, angle bending and torsional terms, as well as non-bonded terms (Electrostatic and Van der Waals interactions). The molecular in this figure is NAD⁺. The force field can be written as [114]: \[ E_{\text{total}} = E_{\text{bonded}} + E_{\text{nonbonded}} \] \[ E_{\text{bonded}} = E_{\text{bond}} + E_{\text{angle}} + E_{\text{dihedral}} \] \[ E_{\text{nonbonded}} = E_{\text{electrostatic}} + E_{\text{vanderwaals}} \] The total potential energy ($E_{\text{total}}$) is the sum of covalent ($E_{\text{bonded}}$) and non-covalent ($E_{\text{nonbonded}}$) bonding energy terms. $E_{\text{bonded}}$ represent the sum of bond stretching ($E_{\text{bond}}$), angle bending ($E_{\text{angle}}$) and torsional energy ($E_{\text{dihedral}}$) terms. $E_{\text{nonbonded}}$ refers to electrostatic ($E_{\text{electrostatic}}$) and Van der Waals ($E_{\text{vanderwaals}}$) energy terms. A force field defines a set of parameters for each type of atom. For example, OPLS-AA has a functional form [120]: \[ E = \sum_{\text{bonds}} K_r (r - r_{\text{eq}})^2 + \sum_{\text{angles}} K_\theta (\theta - \theta_{\text{eq}})^2 \\ + \sum_i \frac{V_1}{2} [1 + \cos(\varphi_i + f_i 1)] + \frac{V_2}{2} [1 - \cos(2\varphi_i + f_i 2)] + \frac{V_3}{2} [1 + \cos(3\varphi_i + f_i 3)] \\ + \sum_{i}^{\text{on a}} \sum_{j}^{\text{on b}} \left[ \frac{q_i q_j e^2}{r_{ij}} + 4\epsilon_{ij} \left( \frac{\sigma_{ij}^{12}}{r_{ij}^{12}} - \frac{\sigma_{ij}^{6}}{r_{ij}^{6}} \right) \right] f_{ij} \] (Eqn. 12) In this equation, the first three terms comprise bonded interactions, while the last term describes the nonbonded ones. The first and second terms represent the bond and angle terms, in which $K_r$ and $K_\theta$ are the bond force constants and valence angle force constant. $r_{\text{eq}}$ and $\theta_{\text{eq}}$ are equilibrium values for bond distance and valence angle, respectively. The third part represent the torsional energy terms between atom pairs $i$ and $j$ ($i<j$), in which $\varphi_i$ is the dihedral angle, $V_1$, $V_2$, and $V_3$ are the coefficients in the Fourier series, and $f_1$, $f_2$, and $f_3$ are phase angles. The total torsional energy is then the sum of this series for each dihedral angle. The sums for the bonded terms are carried out over all atoms involved. The intermolecular nonbonded interaction energy between atoms $i$ and $j$ are represented by the Coulomb plus Lennard-Jones terms in the last part of the equation, in which $q_i$ and $q_j$ are the partial charges of the atoms $i$ and $j$ involved and $e$ is the vacuum dielectric constant. $\epsilon_{ij}$, $\sigma_{ij}$, $f_{ij}$ and $r_{ij}$ represent the well depth, collision diameter, scaling factor and the distance between the atoms $i$ and $j$. The scaling factor $f_{ij}$ equals 0.5 for 1,4 interactions and one otherwise. The non-bonded term is calculated between all pairs of atoms ($i$ and $j$) that separated by at least three bonds. 18.104.22.168 Global energy minimum In molecular modeling we are especially interested in minimum points on the energy surface. Minimum energy arrangements of the atoms correspond to stable states of the system, any movement away from a minimum gives a configuration with a higher energy [114]. The minimum with the very lowest energy is known as the Global energy minimum. The way in which the energy varies with the coordinates is usually referred to as the potential energy surface. Most optimization methods try to determine the minima point, but for a large system, the potential energy is a complicated, multi-dimensional function of the coordinates. Therefore, energy landscapes for large system are extremely complex, and finding a minima can be a challenging task, finding the global minimum is even more challenging [121, 122]. Many variables are used in computational chemistry optimization methods. Basically all methods assume that the first derivative (i.e. the gradients) of the function with respect to all variables can be calculated. More sophisticated methods also assume the second derivative matrix, the Hessian matrix (force constant matrix) [123], can be calculated. Most commonly used global minimum searching algorithm includes: steepest descent (SD) method, conjugate gradient (CG) method and Newton-Raphson (NR) method [114]. CG and SD minimizations operate in Cartesian space rather than internal coordinates. They are much faster than the other methods. As a second derivative method, NR method uses not only the first derivative but also the second derivative (i.e. the Hessian matrix) to locate a minimum. Due to large amount of calculation of the full second derivative matrix which must be stored and inverted, this can be computationally demanding for systems with many atoms. Hence, the NR method is more suited to small molecules (usually less than 100 atoms or so). 22.214.171.124 Monte Carlo simulations Monte Carlo (MC) statistical mechanics methods typically employ a classical potential energy function for bond stretching, angle bending, torsions, and non-bonded interactions [124]. A MC simulation generates a new configuration by a set of random motions. The difference in energy between the new and the old configuration is used as a selection criterion by the Metropolis algorithm [125], which enforces a correct Boltzmann distribution of energies for the system at the desired temperature, and the procedure is then iteratively repeated until the minimum energy conformation is found. Although MC methods have the advantage of using energy as basic information and random sampling of coordinates, sampling for large flexible molecules can be problematic since degrees of freedom will increase. The MC method doesn’t consider atomic velocities and the time dimension. 126.96.36.199 Molecular dynamics simulations The MD method calculates the time dependent behaviour of a molecular system. It is based on Newton’s second law or the equation of motion, $ F_i = m_i a_i $, where $ F_i $ is the sum of all forces exerted on atom $ i $ that results in its acceleration $ a_i $, $ m_i $ is its mass. From knowledge of the force on each atom, it is possible to determine the acceleration of each atom in the system. The acceleration is the second derivative of the position with respect to time: \[ a_i = \frac{dv_i}{dt} = \frac{d^2 r_i}{dt^2} \] (Eqn.13) In words, it is the rate of change of the velocity $ v_i $, which in turn, is the rate of change of the position $ r_i $. Integration of the equations of motion then yields a trajectory that describes the positions, velocities and accelerations of the particles as they vary with time. From this trajectory, the average values of properties can be determined. The MD method was first introduced by Alder and Wainwright in the late 1950’s [126, 127] to study the interactions of hard spheres. Many suggestions concerning the behaviour of simple liquids emerged from their studies. The next major advance was in 1964, when Rahman carried out the first simulation using a realistic potential for liquid argon [128]. The behaviour of the particles in hard-sphere potential moves straight in lines at constant velocity between collisions. The collisions are perfectly elastic and occur when the separation between a pair of spheres equals the sum of their radii [114]. This simple model of hard spheres has given useful insights into hard-sphere particle movements, but is obviously not ideal for simulating atomic or molecular systems. The first MD simulation of a realistic system was done by Rahman and Stillinger in their simulation of liquid water in 1974 [129]. The first protein simulations appeared in 1977 with the simulation of the bovine pancreatic trypsin inhibitor (BPTI) [130]. Today in the literature, one routinely finds MD simulations of solvated proteins, protein-DNA complexes as well as lipid systems addressing a variety of issues including the thermodynamics of ligand binding and the folding of small proteins. MD techniques are also widely used as a supplement to experimental procedures such as X-ray crystallography and NMR structure determination. MD simulation can fold extended sequences to global potential energy minima for very small systems (peptides of length ten, or so, in vacuum) [131, 132], but it is most commonly used to simulate the dynamics of known structures. The number of simulation techniques has greatly expanded; today there exist many specialized techniques for particular problems, including mixed quantum mechanical - classical simulations (i.e. quantum mechanics and molecular mechanics) that are being employed to study enzymatic reactions in the context of the full protein [133]. 1.7.4 Combined quantum mechanics and molecular mechanics One of the main problems in computational chemistry is to find a balance between the accuracy of the results and the computational cost. However, it is often not possible to increase the accuracy of the calculation when large systems are considered. The idea of combining different computational methods starts with the realization that various regions of the system play very different roles in macro-biomolecules. Examples of such are most enzymatic reactions, where the bond breaking and forming takes place only at the active site. Therefore, the expensive computational methods can be used for the part of the system where the action takes place, while less expensive methods can be used for the supporting regions. In 1976 Warshel and Levitt introduced a hybrid quantum mechanics and molecular mechanics (QM/MM) methods that treated the active part of the system using a quantum mechanical representation while the rest of the system was represented by an empirical force field [134]. Quantum physics provides a mathematical description of the wave/particle duality and interactions of energy and matter. It departs from classical physics, primarily at the atomic and sub-atomic scales. Quantum mechanics (QM) explicitly represents the electrons in a calculation, and so it is possible to derive properties that depend upon the electronic distribution and, in particular, to investigate chemical reactions in which bonds are broken and formed [114]. However, QM methods are limited to systems of up to a few hundred atoms. The application and evaluation of QM/MM method against experimental data started only after 1990s [135-139]. 188.8.131.52 General principles The basic idea by using the hybrid methods is that a system is partitioned into several regions. The simplest approximation is to divide the system into three regions: a QM region, an MM region and the boundary region between QM-MM region (Figure 12). ![Diagram](image) **Figure 12:** Defining the bio-molecular system into QM, MM and boundary regions. Because of the strong interaction between QM and MM region, the total energy of the entire system cannot be written simply as the sum of the energies of these regions. Special precautions have to be taken at the boundary region, especially if it cuts through covalent bonds. Depending on the type of QM/MM method, this boundary may contain additional atoms (link atoms) that cap the QM region, or it may consist of atoms with special features that appear in both the QM and the MM calculations. Table (3) shows the most commonly used methods for these three regions and reference of their applications. Table 3: The commonly used methods applied on the QM regions, MM regions and boundary regions | Region | Methods | |-----------------|-------------------------------------------------------------------------| | **QM region** | Density function theory (DFT) [140], Hartree-Fock (HF) [141, 142], Möller-Plesset perturbation theory (MP) [143-145], Austin model 1 (AM1) [146-150], parametric method number 3 (PM3) [151-153], Self-consistent charge density-functional tight binding method (SCC-DFTB) [154-157], INDO/S-CIS method [158, 159], symmetry-adapted cluster–configuration interaction method (SAC–CI) [160-162], time-dependent DFT (TD-DFT) [163-165], multi-configuration $ab$ $initio$ methods (e.g., CASSCF or CASPT2) [166-168], Multi-reference $ab$ $initio$ methods (e.g., MRCI) [169] | | **Boundary region** | Link atom method [135, 170], boundary-atom method [171-175], frozen localized orbital method [134]. | | **MM region** | AMBER [176-178], CHARMM [179-181], OPLS-AA [120, 182], GROMOS [183], EFP [166], UFF [143, 184-186] | ### 184.108.40.206 The QM/MM energy expression Two types of QM/MM energy expression schemes are described in the literature [187]: the additive and subtractive schemes. The basic energy equation for an additive QM/MM scheme has been mentioned by Warshel and Levitt [134], Field, Bash and Karplus [135], Singh and Kollman [170]: \[ E_{QM/MM}^{add} = E_{MM} + E_{QM} + E_{QM-MM} \] (Eqn.14) Where $E_{MM}$ is the energy of MM region, $E_{QM}$ is the energy of QM region, $E_{QM-MM}$ is the QM-MM coupling term or interaction energy between QM and MM region in the boundary region. When $E_{MM}$ is considered in the force field, $E_{QM-MM}$ term includes bonded, van der Waals, and electrostatic interactions between QM and MM region: \[ E_{QM-MM} = E_{QM-MM}^{bonda} + E_{QM-MM}^{vdw} + E_{QM-MM}^{el} \] (Eqn.15) Most of the QM/MM methods presently in use (including the method in this study) are of the additive type. A subtractive QM/MM energy equation was described by Morokuma and co-workers [188]: \[ E_{QM/MM}^{sub} = E_{MM}^{sys} + E_{QM} - E_{MM}^{QM} \] (Eqn. 16) Where $ E_{MM}^{sys} $ is the energy from MM calculation of the entire system, $ E_{QM} $ is the energy of QM region, $ E_{MM}^{QM} $ is the energy of MM calculation on the QM region. The advantage of subtractive scheme is its simplicity, which means no explicit QM-MM coupling terms (Equation 14) are needed. On the other hand, the disadvantage is that handling the boundary region totally at MM level is particularly problematic when electrostatic interaction exists. ### 220.127.116.11 Application of QM/MM method A large amount of work has to be done to perform QM/MM calculation; this includes the preparation of the system before the actual QM/MM calculations are taking place and the appropriate combination of QM and MM methods, as well as the treatment of the boundary region. Although errors and wrong choices from the beginning can hardly be recovered at the later stages, the unique features and promising accuracy of these methods have attracted many researchers for its application in studies of chemical reactions. Some excellent agreements were obtained between experimental studies and theoretical QM/MM calculations. These examples include reaction barriers studies of chorismate mutase (CM) and para-hydroxybenzoate hydroxylase (PHBH) [189], and the catalytic reaction mechanism of cytochrome P450cam [190]. Since QM/MM methods were introduced into enzymatic reaction studies about 30 years ago, the number of publications has been rapidly growing covering a wide range of bio-molecular systems, such as oxidoreductases [191-199], transferases [142, 144, 200-202], hydrolases [203-205], lyases [206-208], isomerases [146, 147, 209-214], photoactive proteins [163, 215-220], oligonucleotides and adducts [187, 221-229]. 2 Aims of study Several therapeutically important drug targets of the SDR family have large structural similarities with *DmADH* and *SlADH*. That indicates that *DmADH* and *SlADH* can be used as model systems for therapeutically important SDRs. Insight into the structure and function of *DmADH* and *SlADH* may therefore contribute with valuable knowledge for the development of new drugs targeting SDRs. We and others have been studying the enzymatic mechanisms and structure of *DmADH* and *SlADH* for years [19, 21, 22, 25, 33, 35, 37, 43, 52-54, 230], and a quit clear picture about how these enzymes function has been obtained. However, there are still puzzles that need to be solved. All *DADHs* contain an eight-membered water chain connecting the active site with the solvent at the protein surface. A similar water chain has also been shown to exist in other SDR enzymes including therapeutically important SDRs. The role of this water chain in the enzymatic reaction is unknown, but it has been proposed to be involved in a proton relay system facilitating proton transport between the active site and the solvent [46]. Previously, site-directed mutagenesis studies targeting the catalytic triad, co-enzyme binding site and other amino acid in *DADH* were used to study *DADH* function [29-31, 231-236]. If the water relay mechanism is important for the oxidation reaction of *DADH*, site-directed mutagenesis studies replacing side chains lining the water chain (for example Thr114) would have an effect on the oxidation of substrates and/or destabilize the protein structure by disrupting the internal cavity structure, and effect the kinetic properties of the enzyme. Our collaborators in Spain (Roser Gonzalez-Duarte and Neus Cols) have constructed a mutant *SlADH* enzyme where Thr114 has been mutated to Val, (*SlADH*T114V mutant) and the X-ray structure of this mutant has been solved by the group of Rudolf Ladenstein in Sweden. Thr114 is lining the eight-membered water channel and mutating Thr114 to Val should break important hydrogen bonds taking part in the putative relay. The oxidation reaction of *DmADH* and *SlADH* includes two steps (Figure 2). 1. A proton transfer from the alcohol to the strong base or nucleophile of the binary E•NAD+ complex (the proton transfer step). 2. The hydride transfer from the alcohol to the C4 atom of NAD+ (the hydride transfer step). In both steps, energy is needed in order to break chemical bonds and facilitate the hydride and proton transfer. However, it is not clear which step takes place first in the oxidation reaction. Theoretical calculations are important compliments to experimental studies, especially for processes that are impossible or too expensive to study by experimental methods. The QM/MM approach has become a valuable complement to experimental studies for studying chemical reactions involving bond breaking and forming of new bonds. The QM/MM approach contributes with structural insights into such processes. MD methods are valuable approaches for studying molecular motions of importance for ligand binding and molecular mechanics of action of an enzyme. The specific aims of the present thesis are: (1) Use enzyme kinetic methods to study the mechanisms of the SIADH\textsuperscript{T114V} mutant, and compare the results with corresponding studies of wild type (SIADH\textsuperscript{WT}). In that way we may be able to determine the effect of the mutation on the enzyme kinetic mechanism and thereby the importance of the eight membered water chain for the enzyme kinetics of SIADH. (2) Study the effects of the Thr114 to Val mutation on the molecular dynamics of the enzyme by the use of comparative MD simulations of both SIADH\textsuperscript{WT} and SIADH\textsuperscript{T114V} mutant MD simulations of the free enzymes, binary E•NAD\textsuperscript{+} complexes and ternary E•NAD\textsuperscript{+}•Alcohol complexes should be performed. (3) Study the proton and hydride transfer of SIADH using the theoretical QM/MM approach in order to elucidate whether the two steps happen in order. 3 Materials and method In the following a summary of the methods used in the present thesis is given. 3.1 Experimental studies of the Thr114Val mutant 3.1.1 Determination of kinetic constants of substrates The oxidation of alcohols and the reduction of acetaldehyde by the S/ADH\textsuperscript{T114V} mutant were studied by steady state kinetics at 23.5 °C. The initial rates were measured by following the appearance and disappearance of NADH, respectively, using a Perkin Elmer λ-16 Spectrophotometer. Buffers used were 0.1 M pyrophosphate (pH 8.5 - 10.0), or 0.1 M phosphate (pH 6.5 - 8.0). The reported aldehyde concentrations represent the sum of the free and hydrated species present. In all experiments, the Lineweaver-Burk plots obtained were linear within the experimental error. The data fitted equation (1). The unprimed symbols ($ \varphi, S $) are used for the NAD$^+$ / alcohol reactions and the primed symbols ($ \varphi', S' $) are used for the NADH / aldehyde reactions. The kinetic coefficients in equation (3) were obtained from primary and secondary plots [237]. The concentrations of coenzyme and substrate used were within the following ranges: NAD$^+$ 0.24-6.0 mM, ethanol 5-500 mM, propan-2-ol 0.3-40 mM, $[^{2}\text{H}_3]$propan-2-ol 1-40 mM, $[^{2}\text{H}_3]$ethanol 20-500 mM for the alcohol / NAD$^+$ reactions and NADH 1.5-20 µM, acetaldehyde 0.3-5.0 mM, for the aldehyde / NADH reactions. Inhibition experiments were carried out with either a constant NAD$^+$ concentration and varied ethanol concentrations, or constant ethanol concentration and varied NAD$^+$ concentrations. 3.1.2 Active site titration Due to sample contamination and changing of physical conditions (like freeze drying), a certain proportion of the enzyme may denaturate. During such conditions, the enzyme concentration will be overestimated if it is based on the spectrophotometric method. For the determination of the kinetic coefficients and catalytic properties of an enzyme, it is absolutely necessary to be able to determine the active-enzyme concentration precisely. The best way to do this is to determine the active site concentration of the enzyme by active site titration and relate the obtained enzyme concentration to a rate assay [103]. Example of this method is spectrophotometric titration [238, 239]. The absorption and difference spectra (Perkin Elmer λ-16 Spectrophotometer) revealed that the formation of the ternary $S/\text{ADH}^{T114V}$•NAD$^+$•Pyrazole complex was accompanied by an absorption peak at 305 nm as previously described for the $S/\text{ADH}^{wt}$ and *drosophila* melanogaster alcohol dehydrogenase (*DmADH*) [37, 239, 240]. The mutant $S/\text{ADH}^{T114V}$ enzyme containing 100 mM pyrazole was therefore titrated at 305 nm with NAD$^+$ in 0.1 M Tris/HCl buffer pH 8.5 at 23.5 °C. The titration experiments were performed in duplicate, with reproducibility within 3 %. The linear parts of the titration curves were analysed by linear regression resulting in regression coefficients better than 0.99. Based on the titrations with the $S/\text{ADH}^{T114V}$ mutant enzyme and the assumption that the mutant enzyme has the same $\varepsilon_{280\text{nm}}$ coefficient as the $S/\text{ADH}^{wt}$ enzyme ($\varepsilon_{280\text{nm}} = 13.3 \times 10^4 \text{ M}^{-1} \text{ cm}^{-1}$) [37], it can be concluded that one NAD$^+$ molecule was bound to each enzyme subunit. Hence, there are two active sites per enzyme molecule as the enzyme is a dimer. ### 3.1.3 Rate assay The rate assay was based on the active site concentrations determined in the titration experiments. The rate assay (performed in duplicate with reproducibility within 5%) was carried out at 23.5°C with a varied concentration of enzyme and a fixed concentration of 1.0 mM of NAD$^+$ and 100 mM of ethanol in a total volume of 1 ml of 0.1 M glycine/NaOH buffer, pH 9.5. The velocity $v$ ($\Delta A_{340\text{nm}}/\text{min}$) is a linear function of [e], the enzyme active site concentration in the cuvette. As $v = k \cdot [e]$, a plot of $v$ against [e] gave a rate constant $k$ of 0.192 ($\Delta A_{340\text{nm}}/\text{min}$ per μN enzyme active sites), with a regression coefficient greater than 0.99. The enzyme concentration is expressed as the amount of subunits in nM. This is twice the amount of enzyme molecules as the enzyme is a dimer. ### 3.2 Molecular modeling Most of the graphical interpretation and the RMSD calculation of different enzyme complex were created by using ICM software Version 3.5 ([www.molsoft.com](http://www.molsoft.com)). However the molecular modeling calculations like docking, MD simulations, structure optimization, QM/MM calculation were all performed by using the Schrodinger software package [241]. 3.2.1 Docking The X-ray crystal structures of the *S.lADH*wt (PDB code: 1SBY) and the *S.lADH*T114V mutant (PDB: 3RJ9) were used as starting structures for computational studies. Both X-ray crystal structures were first optimized with protein preparation wizard in the Maestro V9.1 [242]. Epic [243] was used to model and optimize the three dimensional structures of ethanol and 2-propanol. The 1SBY X-ray crystal structure is a ternary complex containing NAD+ and the inhibitor 2,2,2-trifluoroethanol, while the *S.lADH*T114V mutant X-ray structures is a binary E•NAD+ complex. The 2,2,2-trifluoroethanol molecule from the crystal structure was manually adjusted and optimized to 2-propanol, while ethanol was manually created and optimized. Ethanol and 2-propanol were docked into the active site of both the wild type and mutant using Glide [244]. The best docking poses were selected based on scoring, similarities with the ternary X-ray complex (1SBY) and on the positions of the hydroxyl group and the CAle atom of the alcohol relative to the C4NAD atom of NAD+ and the catalytic triad (Ser138, Tyr151 and Lys155). 3.2.2 MD simulations The best docking conformation of 2-propanol and ethanol in both the *S.lADH*wt and the *S.lADH*T114V mutant enzymes were selected for MD simulations. The systems were solvated in SPC water molecules in a simulation box of 10Å×10Å×10Å. All the simulations were performed with Desmond [245] for a total of 50 ns (far time step 6fs), using the OPLS-2005 force field [120, 182], under constant pressure of 1 bar and a temperature of 300 K, thermostatted and barostatted using the Nose-Hoover chain [246] and Martyna-Tobias-Klein methods [247]. The short-range and long-range Coulombic interactions were calculated with cutoff (cutoff radius: 9Å) and Smooth particle mesh Ewald [248] methods (Ewald tolerance: 1e-9). All the model systems were relaxed before the simulations using default protocol. 3.2.3 QM/MM calculation The best docking conformations of ethanol and 2-propanol with the *S.lADH*wt and the *S.lADH*T114V mutant were chosen for QM/MM calculation with Qsite [249, 250]. The QM part consisted of (1) the alcohol molecule (2) NAD+; (3) side chains of Ser138, Tyr151 and Lys155. The side chain oxygen of Tyr151 is believed to act as a strong base or nucleophile and was therefore negatively charged during the calculations. The four complexes were initially optimized by Qsite and then the QM/MM relaxation scans were performed for two scenarios (the atom labeling is shown in Figure 2): **Scenario 1.** The proton ($H_{Alk}$) transfer from the alcohol donor oxygen ($O_{Alk}$) to the negatively charged acceptor oxygen on Tyr151 is followed by the hydride ($H_{CAlk}$) transfer from the donor atom ($C_{Alk}$) to the NAD$^+$ acceptor atom ($C4_{NAD}$). **Scenario 2.** The hydride transfer from the $C_{Alk}$ to the $C4_{NAD}$ is followed by the proton transfer from $O_{Alk}$ to $O_{Tyr151}$. Density functional theory (DFT) with the B3LYP function [251] was used for the QM part since this method is particularly useful for studying protein active-site reactive chemistry, while the OPLS-2005 force field [252] was employed for the MM part of the enzyme. The total amount of atoms at QM region was 101. The different atomic bonds were scanned with stepwise increments of 0.02 to 0.052 Å. Non-bonded cut off was not used. It is strongly advised to not use non-bonded cutoff in the QM/MM job settings, because it may create trouble in the optimization and sometimes in the final total energy [253]. The polarization basis sets 631G** [254] was used for all atoms treated quantum mechanically. The QM/MM energy was converted from Hartrees to kcal/mol by using the following interpretation: $627.51 \times (\text{QM/MM Energy} - \text{lowest QM/MM energy value})$. 4 Summary of results 4.1 Paper 1 Title: An Intact Eight-Membered Water Chain in Drosophilid Alcohol Short Chain Dehydrogenases/Reductases is Essential for Optimal Enzyme Activity Pyrazole and 4-bromopyrazole which were ethanol competitive inhibitors with the $S/\text{ADH}^{\text{T114V}}$ mutant enzyme in the pH region 7.0 to 9.5, showed uncompetitive inhibition against varied NAD$^+$ concentrations in the same pH region. The $S/\text{ADH}^{\text{T114V}}$ mutant’s oxidation reaction mechanism was consistent with a compulsory ordered mechanism over the entire pH region, where the coenzymes bind to the free enzyme following the substrate binding. During the oxidation of alcohols, the kinetic coefficients showed that the $k_{\text{on}}$ velocity for NAD$^+$ ($1/\varphi_1$) was approximately 30 times slower for the mutant than for the wild type enzyme over the entire pH region. Furthermore, NAD$^+$ binds weaker to the mutant than to the wild type enzyme, i.e. the $K_{E,O}$ is larger. The $k_{\text{on}}$ velocity for NAD$^+$ increases with increasing pH for mutant enzyme, which was also observed for the $S/\text{ADH}^{\text{wt}}$ and slow alloenzymes from *Drosophila melanogaster* (*DmADH$^S$*) [27, 34, 35]. For both the wild type and the mutant, 2-propanol was a better substrate than ethanol. The rate limiting step ($1/\varphi_0$) for ethanol was the hydride transfer step and for 2-propanol enzyme-NADH dissociation step. The kinetic coefficient $\varphi_0$ for the oxidation of ethanol and propan-2-ol did not vary within the pH region studied. The hydride transfer step has been reduced by approximately 4 times from $2.4 \text{s}^{-1}$ in the $S/\text{ADH}^{\text{wt}}$ enzyme to $0.6 \text{s}^{-1}$ in the $S/\text{ADH}^{\text{T114V}}$ mutant. The rate of the enzyme-NADH dissociation step was the same for both mutant and wild type. The p$K_a$ value of $7.1 \pm 0.1$ for the wild-type enzyme [34] has been changed to $7.9 \pm 0.1$ for the mutant. With the $S/\text{ADH}^{\text{T114V}}$ mutant a primary kinetic isotope effect of 3.5 on $\varphi_0^{\text{D}} / \varphi_0^{\text{H}}$ for [$^2\text{H}_6$]ethanol and ethanol was obtained. 4.2 Paper 2 Title: Comparative molecular dynamic simulations of wild type and Thr114Val mutated *Scaptodrosophila lebanonensis* alcohol dehydrogenase MD simulations were performed for the free enzymes, binary E•NAD⁺ complexes, ternary enzyme•NAD⁺•2propanol (E•NAD⁺•2pro) complexes and ternary enzyme•NAD⁺•Ethanol (E•NAD⁺•Eth) complexes of both the wild type and mutant enzyme. In the free enzyme simulation: for the S/ADH\textsuperscript{wt}, the RMSD of the backbone stabilized around 2.3-2.7 Å, while the backbone RMSD of the S/ADH\textsuperscript{T114V} mutant varied between 2.1 and 2.9 Å (Figure 1 in paper2). Compared with Thr114 in the wild type, Val114 in the mutant is lacking a hydroxyl group and only a hydrogen bond between backbone NH of Val114 and the backbone CO group of Gly 110 was seen. This hydrogen bond was also maintained during the entire 50 ns of MD. In the wild type E•NAD⁺ binary complex, the adenine part of NAD⁺ formed hydrogen bonds with Asp63 and Val64 that persisted during the entire 50 ns of MD, while these hydrogen bonds were broken after around 4 ns in mutant and were not seen for the rest of the MD. The nicotinamide part of NAD⁺ formed a hydrogen bond to Thr186 during MD of both the wild type and mutant binary complex. The hydrogen bond seemed more persistent during MD with the mutant binary complex than during MD with the wild type binary complex. In the region of amino acid 114 (mutation region), Gly110 interacted mainly with Thr114 by forming two hydrogen bonds in wild type. In the mutant, Gly110 interacted with Asn113 and the back bond NH group of Val114. RMSF profile showed reduced fluctuation of the region around amino acids 175 -195 that is located on the protein surface being important for binding the nicotinamide part of NAD⁺ during MD with the mutant compared with that of the wild type (Figure 4 in paper2). In the E•NAD⁺•2pro complex, the hydrogen bonds between the adenine part of NAD⁺ and Asp63/Val64 were stable during MD with the wild type, while in the mutant, these interactions were gradually reduced. For the wild type the RMSD for NAD⁺ was between 0.0 Å to 2.0 Å, while for the mutant the RMSD for NAD⁺ was between 0.5 Å to 2.5Å. The side chain carbon atoms of the hydrophobic amino acids Ile106 and Val64 were closer to each other in the S/ADH\textsuperscript{T114V} mutant than in the S/ADH\textsuperscript{wt}. In the wild type the atomic distance between their closest side chain carbon atoms was continuously 6 Å, while the corresponding distance in the mutant was 6 Å during the first 10 ns, then it dropped to around 4.5 Å for the rest of the simulation. Both the side chain OH group and the backbone NH group of Ser71 formed very stable hydrogen bonds with Pro67, while in the wild type, only the backbone NH group interacted stably with Pro67, while the side chain was in the direction of Tyr62 altering the position of Tyr62 compared with the mutant. The interaction between Gly110 and Thr114 in the wild type remained the stable during the entire 50 ns of MD, while in the mutant, Gly110 interacted not only with Val114 backbone -NH group, but also with Asn90 and a water molecule during MD. After 12 ns of simulation with the ternary E•NAD⁺•Eth complex of the mutant, the hydrogen bonds between the adenine part and Asp63 and Val64 were broken, while the hydrogen bond between nicotinamide part and Thr186 was not observed between 10 and 20 ns, but were for the rest of the simulation. Calculations of the RMSD of NAD⁺ during MD of the mutant showed an increase from 0.5 Å to 2.5 Å during the first 7 ns, for the rest of the MD the RMSD was stable between 2.5~3.5 Å. In the wild type, the interactions of the nicotinamide part of NAD⁺ with Thr186 and the interactions of the adenine part with Asp63 and Val64 were stable during the entire 50 ns of simulation. The side chain atomic distances Ala92 - Val64 and Ile106 - Val64 were quite stable during MD with the wild type ternary complex, while during MD with the mutant these distances increased from 4 to 8 Å (Ala92-Val64) and from 6 to 10 Å (Ile106-Val64). Gly110 in the mutant interacted with Asn90 during the first 30 ns, and then changed to the backbone NH group of Val114. During MD with the wild type, Gly110 mainly interacted with Thr114. The catalytic triad (Ser138, Tyr151 and Lys155) remained quite stable in both wild type and mutant free enzyme. 4.3 Paper 3 Title: QM/MM studies of the catalytic mechanism of short chain alcohol dehydrogenases After docking, the $H_{Alc}$ (Figure 2) of both 2-propanol and ethanol was located at a distance of 1.59 Å from the $O^-_{Tyr151}$ atom in the wild type. In the ternary $S/ADH^{T114V}$ mutant complexes, the $H_{Alc}$ of both 2-propanol and ethanol was located around 1.50 Å from the $O^-_{Tyr151}$ atom. In scenario 1a (Figure 2 in paper 3), QM/MM energies for E•NAD$^+$•2pro wild type complex increased by approximately 7 kcal/mol when going from the energy optimized complex until the complex with the $H_{Alc}–O^-_{Tyr151}$ atomic distance of 0.95 Å was obtained. During the successive decrease of the $H_{Alc}–O^-_{Tyr151}$ atom distance, the $C_{Alc}–O_{Alc}$ atomic distance decreased automatically from 1.44 to 1.40 Å. However, the $C_{Alc}–H_{Calc}$ and $H_{Calc}–C4_{NAD}$ atomic distances did not change. The energy developments during the relaxation scan 1b for 2-propanol indicated that activation energy of about 20 kcal/mol was needed, then the energy drops with approximately 17 kcal/mol until a stable $H_{Calc}–C4_{NAD}$ atomic distance of 1.10 Å was formed. In scenario 2a (Figure 2 in paper 3), at an $H_{Calc}–C4_{NAD}$ atomic distance of 1.095 Å the QM/MM energy reached minimum. Between increment step 18 and 19 of 2-propanol with the wild type enzyme, the $H_{Calc}–C4_{NAD}$ atomic distance changed from 1.47 to 1.42 Å, but the $H_{Alc}–O^-_{Tyr151}$ distance changed from 1.43 Å (increment 18) to 1.029 Å (increment 19), while $C_{Alc}–O_{Alc}$ changed dramatically from 1.39 to 1.32 Å and the $O_{Alc}–H_{Alc}$ atomic distance changed from 1.067 Å to 1.52 Å (Figure 5 and 6 in paper 3). Similar sudden changes in the region of the alcohol hydroxyl group were also observed during the $H_{Calc}–C4_{NAD}$ distance relaxation scan of other wild type and mutant ternary complexes. At the end of the relaxation scans when the QM/MM energy had reached the energy minimum, at a $H_{Calc}–C4_{NAD}$ atomic distance of 1.095 Å, the $H_{Alc}–O^-_{Tyr151}$ distances were: wild type E•NAD$^+$•2pro complex: 0.98 Å, the wild type E•NAD$^+$•Eth complex: 0.98 Å, the mutant E•NAD$^+$•2pro complex 0.99 Å and the mutant E•NAD$^+$•Eth complex 0.97 Å (Figure 4 in paper 3). During the relaxation scan the $C_{Alc}–O_{Alc}$ changed into a double bond in all calculations with an atomic distance around 1.23 Å. The calculations indicated that a double bond character was induced into $C_{Alc}–O_{Alc}$ bond before the $H_{CAlc}–C4_{NAD}$ relaxation scan was ended. For the ternary complex of E•NAD$^+$•2pro with the wild type enzyme, a $C_{Alc}–O_{Alc}$ double bond was formed between increment steps 19 to 23. During these steps, the $C_{Alc}–O_{Alc}$ bond distance change from 1.33 Å to 1.24 Å, while $H_{CAlc}–C4_{NAD}$ bond distance changed from 1.42 Å to 1.21 Å, while the hydride transfer relaxation was continued until an $H_{CAlc}–C4_{NAD}$ atomic distance of 1.105 Å at increment step 25. A similar change in the hydride transfer was not observed during the relaxation scan of the scenario (Figure 3 in paper 3). 5 Discussion The SDR family is the best studied family of the ADHs, and several review papers have covered this group of enzymes during the last years [8, 10, 62, 255-257]. With the fast development of genome projects, the number of identified SDR primary sequences has increased from around 2000 [255] to around 47000 [8] during the last ten years. These primary sequences come from a variety of different species. A web site based on SDR related research has also been constructed (http://www.sdr-enzymes.org/). In humans there are, so fare, 202 SDR forms, among which 24 enzymes are associated with diseases in the OMIM database (Online Mendelian Inheritance in Man) [8]. However, the functions of about half of the human SDR enzymes are unknown [8]. Therefore, understanding the function and chemical reaction mechanism of SDR is also medically very important. Studies from different species have indicated that most enzymes in the SDR family have large similarities in the active site architecture (Figure 4), and are either NAD$^+$ or NADP$^+$ specific or utilize both coenzymes [8, 10, 62, 255-257]. Based on these similarities it is reasonable to believe that SDRs from *drosophilid* species may be used as a model system for other enzymes in the SDR family. SDRs from *drosophilid* species are among the most convenient to study. In these SDRs the nucleotides stereospecifically transfers a hydride from or to a substrate carbon atom and position 4 of the nicotinamide ring, and a lot is known about their molecular mechanism of action. However, the exact mechanism is still unknown. A chain of eight water molecules that is conserved in all DADHs has been proposed to be involved in a proton relay mechanism transporting a proton in between the active site and the solvent [19, 20, 46]. In the present study, the $S/\text{ADH}^{T114V}$ mutant was studied by experimental enzyme kinetic studies and theoretical molecular modeling studies, while the $S/\text{ADH}^{\text{wt}}$ was studied by theoretical molecular modeling studies. The main focus was on the function of this water chain and on the proton transfer and hydride transfer steps during the oxidation of $S/\text{ADH}$. 5.1 The eight membered water chain in DADHs 5.1.1 Enzyme Kinetic studies of SIADHT114V Highly pure preparations of $SIADH^{T114V}$ mutant were obtained from one of our collaborators. The proton relay chain in the $SIADH^{wt}$ is shown in Figure 3. The resolved X-ray crystal structure of the $SIADH^{T114V}$ mutant (Figure 13) shows high similarity to the structure of the wild-type enzyme (Figure 3), although the eight-membered water chain in the $SIADH^{T114V}$ mutant is interrupted by the lack of the hydroxyl group at the side chain in position 114. However, differences in the kinetic properties between $SIADH^{wt}$ and $SIADH^{T114V}$ were found. ![Figure 13: Eight membered water chain in X-ray crystal structure of $SIADH^{T114V}$ mutant (PDB Code: 3RJ9).](image) Pyrazole and 4-bromopyrazole which were ethanol competitive inhibitors with the $SIADH^{T114V}$ mutant enzyme in the pH region 7.0 to 9.5, showed uncompetitive inhibition against varied NAD$^+$ in the same pH region, and not mixed inhibition pattern. Therefore, like the wild type [19, 21, 33, 37, 54, 230], binding of coenzyme and substrate to the $SIADH^{T114V}$ mutant is also consistent with a compulsory ordered reaction mechanism. (Scheme 2, Figure 6) with the coenzyme binding to the free enzyme before the substrate binding. This is valid for the entire pH region studied. This was further proved by the independency of $\varphi_1$ coefficient (the binding of NAD$^+$ to the free enzyme) at both pH 7.0 and 9.5 with different alcohols. With the $S/ADH^{T114V}$ mutant a primary kinetic isotope effect of 3.5 on $\varphi_0^D / \varphi_0^H$ for [$^2$H$_6$]ethanol and ethanol was obtained. This is of the same magnitude as previously obtained for the $S/ADH^{wt}$ enzyme and the *Drosophila melanogaster* alleloenzymes ADH$^S$, ADH$^E$ and ADH$^{UF}$ [34, 36, 37, 258, 259]. This primary kinetic isotope effect indicates that the interconversion of the ternary complexes, i.e. the hydride transfer step ($k$) largely contributes to the rate limiting step in the oxidation of ethanol. The hydride transfer step has been reduced by approximately 4 times from $2.4s^{-1}$ in the $S/ADH^{wt}$ enzyme to $0.6s^{-1}$ in the $S/ADH^{T114V}$ mutant. As with the wild-type enzyme, the rate of the hydride transfer step for ethanol with the mutant enzyme does not vary with pH. For the $S/ADH^{wt}$ enzyme and the various *DmADH* alleloenzymes, the hydride transfer rate ($k$) for the secondary alcohol propan-2-ol was large compared to the E•NADH dissociation step ($k'_{-1}$) [34, 35]. The reduction in hydride transfer rate introduced by a deuterium atom did not affect the maximum velocity. For the $S/ADH^{T114V}$ mutant, the E•NADH dissociation rate ($k'_{-1}$) was approximately the same as for the wild-type enzyme. The small primary isotope effect ($\varphi_0^D / \varphi_0^H$) of approximately 1.6 obtained for [$^2$H$_8$]propan-2-ol in relation to propan-2-ol reveals that the rate limiting step with the isotope labelled alcohol has been changed to also include the hydride transfer step in addition to the E•NADH dissociation step. This also suggests that the rate of the hydride transfer step with propan-2-ol as a substrate has been reduced in the mutant compared to the wild-type enzyme. Previous studies with the $S/ADH^{wt}$ and the *DmADH$^S$* showed that the pH dependence of the alcohol binding to the binary E•NAD$^+$ complex is derived exclusively from the on-velocity constant $k_2$ [27, 34, 43]. The present work with the $S/ADH^{T114V}$ mutant showed that the binding of ethanol to the binary $DADH$•NAD$^+$ complex also is dependent on the release of a single proton from the binary complex and that the hydride transfer step is pH independent. The 0.8 unit increase in the p$K_a$ value for binding of ethanol to the mutant $DADH$•NAD$^+$ complex compared to the wild type complex supports the water relay hypothesis of a linked ionization of the Tyr151/Lys155 residues in the active site. The orientation of the Thr114 OH group is pH dependent. Hence, Thr114 can be considered as a switch that keeps the water chain active, i.e. acting as proton relay. The change of Thr114 to Val114 in the mutant results in a break of the hydrogen bond pattern in the water chain (Figure 13), and hence affects the proton release to the bulk water through the water chain. Thus our results suggest that the water channel in DADH acts as a proton relay in the binary DADH•NAD⁺ complex. However, our results reveal the hydride transfer step in the mutant enzyme is 4 times slower than in the wild-type enzyme. This suggests that the water chain also is important for the hydride transfer and that the proton transfer may affect the rate of the hydride transfer. 5.1.2 Molecular dynamic perspective of SIADH\textsuperscript{wt} and SIADH\textsuperscript{T114V} From enzyme kinetic perspective, the studies in paper 1 verified the compulsory ordered mechanism of the S/ADH\textsuperscript{T114V} mutant and that the water relay system is important for optimal oxidation of alcohols by S/ADH\textsuperscript{wt}. However, in spite of differences in the enzyme kinetic constants, the X-ray crystal structure of the SIADH\textsuperscript{T114V} mutant was very similar to the structure of SIADH\textsuperscript{wt}. The important question in paper 2 was therefore if the Thr114 to Val mutation not only could interfere with the proton relay system by removing a connecting link in the chain, but also induce differences in molecular dynamics between the S/ADH\textsuperscript{wt} and the S/ADH\textsuperscript{T114V} mutant. Molecular motions are important for proper enzyme function, and differences in the structural dynamics between the S/ADH\textsuperscript{wt} and the S/ADH\textsuperscript{T114V} mutant may also contribute to the differences in their kinetic coefficients. The molecular dynamics simulations in paper 2 showed that there were differences in molecular dynamics in different regions of the enzymes between the S/ADH\textsuperscript{wt} and the S/ADH\textsuperscript{T114V} mutant. Measuring the substrate H\textsubscript{Alk}–O\textsuperscript{-}\textsubscript{Tyr151} and H\textsubscript{CAlk}–C\textsubscript{4NAD} atomic distances during the MD showed that both 2-propanol and ethanol had more freedom for movements in the active site region of the S/ADH\textsuperscript{wt} than of the S/ADH\textsuperscript{T114V} mutant. This may in part explain the faster hydride transfer rate in the wild type enzyme compared to the mutant enzyme. In this region, the hydrogen bonding between Thr186 and nicotinamide ring of NAD⁺ is important for NAD⁺ binding. This hydrogen bond was stable in MD of the wild type ternary complexes. While in the mutant ternary complex, this hydrogen bond was broken. However, during MD of the binary complexes, this hydrogen bond was more often seen in the mutant. This may indicate that substrate binding is favourable for forming the hydrogen bond between Thr186 and NAD$^+$. The simulations indicated that the Thr114 to Val mutations alters the hydrogen bonding interactions between Thr186 and the nicotinamide ring of NAD$^+$ and thereby induces differences in the dynamical behaviour in the region of amino acids 175-210. Hydrophobic interaction and hydrogen bonds are the two main types of interaction between the adenine part of NAD$^+$ and the hydrophobic pocket. The hydrogen bonding of adenine to both Asp63 and Val64 were generally reduced during MD with the mutant binary and ternary complexes compared with the corresponding wild type complexes. The adenine ring of NAD$^+$ was then twisted closer to the water channel in the mutant than in the wild type. Another consequence of this change was the increased atomic distances between the side chain atoms of Ala92 and Val64 and between the side chain atoms of Ile106 and Val64 during the simulations of the ternary complexes of ethanol with the $S/\text{ADH}^{T114V}$ mutant, while the atomic distance between Ile106 and Val64 decreased during MD of the ternary complex of 2-propanol with the $S/\text{ADH}^{T114V}$ mutant. However, during all simulations with the ternary complexes of the $S/\text{ADH}^{wt}$, these atomic distances remained stable. These differences observed during the MD in the region of the adenine and nicotinamide moiety of NAD$^+$ between the $S/\text{ADH}^{wt}$ and the $S/\text{ADH}^{T114V}$ mutant may affect the NAD$^+$ binding at Rossman fold and contribute to the experimentally observed differences in NAD$^+$ dissociation constant. The eight membered water channel may also be influenced by these dynamical changes since the water channels is situated close to the Rossman fold and the altered dynamics in the $S/\text{ADH}^{T114V}$ mutant due to the mutation may therefore also affect the proton abstraction from the binary enzyme-NAD$^+$ complex. Another hot spot is the region around amino acid 114. Several amino acids such as Gly110, Tyr62, Ser71, Pro67, Asn113 and Val66 are located around Thr144 (Val114). These amino acids may facilitate the proton transport from the NH$_3$-group at the side chain of Lys155 into the bulk solution through the end part of water channel [260]. In the wild type enzyme, the MDs of the $S/\text{ADH}^{T114V}$ indicated that several intramolecular interactions in this area disappeared or were reduced due to the Thr to Val mutation. An interaction between Tyr62 and Ser71 seems very important since it is located in the end part of proton relay system close to the bulk solution (Figure 3). This interaction was also reduced during MD with the $S/\text{ADH}^{\text{T114V}}$ enzyme complexes and of the free $S/\text{ADH}^{\text{T114V}}$ mutant enzyme compared with the corresponding simulations of the $S/\text{ADH}^{\text{wt}}$. All these differences in bonding interactions observed during MDs of the $S/\text{ADH}^{\text{T114V}}$ mutant compared to the MDs of the $S/\text{ADH}^{\text{wt}}$ in the region of water channel may contribute to a destabilizing of the end section of water chain in the mutant. 5.1.3 QM/MM studies of oxidation reaction mechanism of SIADH In paper 1 we mentioned the relationship between water relay system and the two steps in alcohol oxidation reaction (hydride transfer and proton release). The experimental result indicated that the hydride transfer step in the oxidation of ethanol was approximately 4 times slower for the $S/\text{ADH}^{\text{T114V}}$ mutant than for the $S/\text{ADH}^{\text{wt}}$. One can anticipate that disruption caused by the Thr114 to Val mutation on the water chain may affect the hydride transfer step under certain conditions. It is obvious that the differences in molecular motions between the $S/\text{ADH}^{\text{T114V}}$ mutant and the $S/\text{ADH}^{\text{wt}}$ found in paper 2 may contribute to the difference in hydride transfer. However, other differences may also contribute that can depend on whether the proton transfer occurs prior to or at the same time as the hydride transfer and alternatively regulate the latter step. In paper 3 we were using QM/MM calculations to study the proton and hydride transfer steps during alcohol oxidation of both the $S/\text{ADH}^{\text{wt}}$ and the $S/\text{ADH}^{\text{T114V}}$ mutant enzymes. Labeling of atoms mentioned in this section is given in Figure 2. Previous studies have suggested that proton abstraction from the hydroxyl group of alcohol is drawn by a negatively charged Tyr151 that may be also be coupled to Lys155 [33, 46, 54, 230]. After docking and energy optimization of the ternary $S/\text{ADH}^{\text{T114V}}$ mutant and $S/\text{ADH}^{\text{wt}}$ complexes, the hydroxyl hydrogen atoms ($\text{H}_{\text{Alc}}$) of both 2-propanol and ethanol were located much closer to Tyr151 (approximately 1.6Å) than to Lys155 (approximately 4Å). This may indicate that the proton most likely is donated to Tyr151. During the QM/MM calculations of the hydride transfer step it seemed like the proton transfer step was closely linked to the hydride transfer step. When the $\text{C}_{\text{Alc}}-\text{H}_{\text{CAlc}}$ atomic distance (Figure 2) has increased to 1.275 Å and the $\text{H}_{\text{CAlc}}-\text{C4}_{\text{NAD}}$ atomic distance (Figure 2) has decreased to 1.415 Å, we also got a sudden change in the C\textsubscript{Alc}–O\textsubscript{Alc} atom distance (1.43Å→1.32Å) and in the H\textsubscript{Alc}–O\textsuperscript{-}\textsubscript{Tyr151} atomic distances (1.57Å→1.03Å) indicating that the proton transfer was initiated by the hydride transfer. Similar results were also obtained during the QM/MM relaxation scans of the other complexes, the ternary complex of the S/ADH\textsuperscript{wt} with ethanol and the ternary complexes of the S/ADH\textsuperscript{T114V} mutant with 2-propanol and ethanol. This indicates three interesting phenomena: (1) Hydride transfer starts and at some point during the course, proton transfer starts and finish. (2) At the point when the proton transfer starts, a partly double bond character has been induced into the C\textsubscript{Alc}–O\textsubscript{Alc} bond. (3) The hydride transfer continues until reaching its finishing point accompanied with the formation of a C\textsubscript{Alc}–O\textsubscript{Alc} double bond. Especially, forming the partly double bond character most likely affects the pK\textsubscript{a} value of the alcohol OH group to a value lower than 7.1, i.e. the pK\textsubscript{a} value of the Tyr/Lys couple at the catalytic site of the wild type enzyme. This may explain why H\textsubscript{Alc} is transferred to O\textsuperscript{-}\textsubscript{Tyr151}. However during QM/MM calculation of the scenario in which the proton transfer happens prior to hydride transfer step, the C\textsubscript{Alc}–O\textsubscript{Alc} atomic distance was only slightly decreased (from 1.44 Å to 1.4 Å) and a double bond character was not induced. Calculation of the activation energy for our favorable scenario showed that the S/ADH\textsuperscript{wt} had lower activation energy than the S/ADH\textsuperscript{T114V} mutant for 2-propanol, while the activation energy was highest for the S/ADH\textsuperscript{wt} with ethanol. That may indicate that the activation energy is not the reason for slower hydride transfer for the S/ADH\textsuperscript{T114V} mutant compared with the S/ADH\textsuperscript{wt}. 6 Conclusion Despite their highly diverse substrate specificities, SDR family members show very similar folding pattern architectures, suggesting similarities in the catalytic mechanism and hence that $S/\text{ADH}$ can be used as a model enzyme for other SDR enzymes. The present study showed that the introduction of a Val instead of a Thr at position 114 in $S/\text{ADH}$ results in a break of the proton relay system. This break results in a slower $k_{\text{on}}$ velocity of NAD$^+$ and a weaker binding of this coenzyme to the enzyme. Furthermore, it results in a slower hydride transfer from alcohol to NAD$^+$ and an increase the p$K_a$ value of the group in the binary enzyme•NAD$^+$ complex that regulates the $k_{\text{on}}$ velocity of the alcohol and alcohol competitive inhibitors. Hence, an intact water chain in \textit{drosophilid} ADHs is essential for optimal enzyme activity. Other factors may also contribute to these changes, such as an altered dynamical behavior due to the mutation and the broken water chain. During the alcohol oxidation, hydride transfer most likely start first and initiate the proton transfer by lowering the p$K_a$ of hydroxyl group on alcohol. When the proton transfer is finished, the hydride transfer continues until it is finished. 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292 per million years) but could not generate diversity trajectories with temporally symmetrical waxing and waning phases nor the switch in the magnitudes of the initial origination and extinction rates with their final rates (10). Instead, clades quickly reached equilibrium diversity and then slowly rode the decaying equilibrium diversity down to extinction—the decline phase was longer than the diversification phase, and the final origination and extinction rates remained at intermediate values between the high initial origination rate and the low initial extinction rate, rather than switching in value. The only way to accommodate the observed diversity dynamics is if the intrinsic diversification rate (and thus the equilibrium diversity) deteriorated sufficiently fast. For example, when we modeled the decay in the intrinsic diversification at a rate of ~3% per million years, the clade was left with a standing diversity that increasingly lagged behind the equilibrium diversity as the clade went extinct (Fig. 3C). This resulted in the switching in the values of the initial and final pergenus origination and extinction rates and led to a sufficiently negative diversification rate during the clade's decline to produce the temporally symmetric waxing and waning phases of diversity change. An unexpected consequence of the rapid decline in the per-genus rate of diversification is that a clade's diversity only transiently equals the equilibrium diversity. In contrast, in typical diversity-dependent models, species diversity remains at or close to the equilibrium diversity after the initial radiation, even when the equilibrium diversity decays with time, for example, as in Whittaker et al.'s modeling of the disappearance of islands through erosion (18, 19). Under our model, the diversification phase involves a gain toward an equilibrium diversity, as in standard logistic growth. However, as diversity increases, the equilibrium diversity is decaying in response to an already deteriorating environment, and the clade reaches its peak diversity at an equilibrium value less than the initial equilibrium diversity. Then, as the clade moves into the decline phase, the decay in its intrinsic rate of diversification leads to a sufficiently rapid decrease in its equilibrium diversity that the clade's realized diversity increasingly lags behind the decaying equilibrium diversity (Fig. 3). Thus, although diversity dependence in the per-genus origination and extinction rates plays a role in determining the duration of the clade's history, the diversity dynamics is dominated by the decay in the intrinsic diversification rates, not by the diversity-dependent equilibrium processes. mine the clades' fates: the deterioration of their environment. Our results suggest that diversity dependence plays a role in diversity dynamics similar to the role that friction plays in the dynamics of motion—although it must be accounted for in the dynamics of diversity change, the dominant forces of diversity change lie beyond the existence of diversity dependence. References and Notes 1. D. M. Raup, Science 231, 1528–1533 (1986). 2. R. K. Bambach, Annu. Rev. Earth Planet. Sci. 34 127–155 (2006). , 3. L. M. Van Valen, Evol. Theory 1, 1–30 (1973). 4. We used Van Valen's original definition of the Red Queen as a measure of environmental deterioration regardless of the role that biotic and abiotic factors might have played in that deterioration (3). More recently, some have restricted the meaning of the Red Queen to biotic factors (5, 6), using the term Court Jester for abiotic factors (5, 6). 5. A. D. Barnosky, J. Vertebr. Paleontol. 21, 172–185 (2001). 6. M. J. Benton, Science 323, 728–732 (2009). 7. D. M. Raup, S. J. Gould, T. J. M. Schopf, D. S. Simberloff, J. Geol. 81, 525–542 (1973). 8. The idea that the major patterns in Phanerozoic diversity change could be attributed to purely stochastic process was later rejected (9). 9. S. M. Stanley, P. W. Signor III, S. Lidgard, A. F. Karr, Paleobiology 7, 115–127 (1981). 10. Material and methods and supplementary materials can be found on Science Online. 11. M. Foote, Paleobiology 33, 517–529 (2007). 12. R. H. MacArthur, E. O. Wilson, The Theory of Island Biogeography (Princeton Univ. Press, Princeton, NJ, 1967). 14. J. Alroy, in Speciation and Patterns of Diversity, R. Butlin, J. Bridle, D. Schluter, Eds. (Cambridge Univ. Press, Cambridge, 2009), pp. 301–323. 15. R. K. Bambach, A. H. Knoll, S. Wang, Paleobiology 30, 522–524 (2004). 16. In J. R. R. Tolkein's Middle Earth [J. R. R. Tolkien, The Lord of the Rings (Mariner Books, Boston, 2012)], the Ents lost their wives and thus had no means of regenerating their race, hence the term the Entwives effect. 17. L. Gilinsky, R. K. Bambach, Paleobiology 13, 427–445 (1987). 18. R. J. Whittaker, K. A. Triantis, R. J. Ladle, J. Biogeogr. 35, 977–994 (2008). 19. In Whittaker et al.'s model (18), their time axis is on a log scale. 20. J. J. Sepkoski Jr., Paleobiology 7, 36–53 (1984). 21. M. J. Benton, B. C. Emerson, Paleontology 50, 23–40 (2007). 22. S. M. Stanley, Paleobiology 33 (suppl.), 1–55 (2007). 23. S. M. Stanley, Paleobiology 34, 1–21 (2008). Acknowledgments: We thank all those who generated the mammal data as well as those who entered the data into the Paleobiology Database, especially J. Alroy, K. Behrensmeyer, A. Turner, M. Uhen, and M. Carrano. This is the Paleobiology Database publication number 178. We thank S. Finnegan, H. Morlon, and S. P. Quek for discussion. T.B.Q. thanks Fundação de Amparo à Pesquisa do Estado de São Paulo (2012/04072-3) and USP for funding. All of the data are available from the Paleobiology Database (http://paleodb.org). Supplementary Materials www.sciencemag.org/cgi/content/full/science.1239431/DC1 Materials and Methods Figs. S1 to S8 Tables S1 and S2 References (24–35) 13. J. Alroy, Palaeogeogr. Palaeoclimatol. Palaeoecol. 127, 285–311 (1996). 22 April 2013; accepted 5 June 2013 Published online 20 June 2013; 10.1126/science.1239431 Exceptional Convergence on the Macroevolutionary Landscape in Island Lizard Radiations D. Luke Mahler, 1 * Travis Ingram, 2 Liam J. Revell, 3 Jonathan B. Losos 2 G. G. Simpson, one of the chief architects of evolutionary biology's modern synthesis, proposed that diversification occurs on a macroevolutionary adaptive landscape, but landscape models are seldom used to study adaptive divergence in large radiations. We show that for Caribbean Anolis lizards, diversification on similar Simpsonian landscapes leads to striking convergence of entire faunas on four islands. Parallel radiations unfolding at large temporal scales shed light on the process of adaptive diversification, indicating that the adaptive landscape may give rise to predictable evolutionary patterns in nature, that adaptive peaks may be stable over macroevolutionary time, and that available geographic area influences the ability of lineages to discover new adaptive peaks. The secondary role that diversity-dependent rates of origination and extinction play in the diversity dynamics of the mammalian clades in decline offers a resolution to a debate in the paleontological literature, where diversity dependence has been proposed (13, 20) but where the evidence of equilibrium is scarce (21–23). In our model, the mechanism of diversity dependence is decoupled from the ultimate factors that deter- 1944 (1–4). Although influential as a metaphor, Simpson's landscape has only rarely been applied to study large adaptive radiations in nature. Moreover, when applied the macroevolutionary landscape generally has been invoked to describe evolutionary dynamics within a single lineage in a particular ecological setting. In recent years, however, a number of studies have suggested that entire evolutionary radiations can exhibit phenotypic convergence when they diversify in similar environments (5–10). To the extent that such The concept of a macroevolutionary adaptive landscape—a multivariate phenotype surface on which species evolve up local adaptive peaks—has guided thinking about adaptive radiation since G. G. Simpson proposed it in 1 Center for Population Biology, University of California Davis, Davis, CA 95616, USA. 2 Department of Organismic and Evolutionary Biology, Harvard University, Cambridge, MA 02138, USA. 3 Department of Biology, University of Massachusetts Boston, Boston, MA 02125, USA. *Correspondence to: [email protected] 19 JULY 2013 VOL 341 SCIENCE www.sciencemag.org on July 18, 2013 www.sciencemag.org Downloaded from "replicated adaptive radiations" exist (11), they suggest not only that diversification over macroevolutionary time scales may be surprisingly deterministic but also that ecological factors can give rise to highly similar adaptive landscapes in geographically distinct regions (1, 2, 12). Laboratory investigations of microbial divergence (13) and computer simulation studies (1) both suggest that stable adaptive landscapes can generate predictable evolutionary patterns, but testing this hypothesis in naturally evolving radiations requires the comparison of adaptive landscapes over macroevolutionary time scales. Investigations of this type require a two-step process in which we first test the hypothesis that radiations are more convergent than expected by chance (11), and then we ask if this convergence has resulted from diversification on similar macroevolutionary landscapes. instances of convergent evolution (16). However, these analyses omitted an important dimension of the anole radiations: so-called "unique" species that evolved a morphology and ecology not found on other islands (14, 15). The number of unique species varies among islands, from none on Puerto Rico to 14 on Cuba, and they collectively constitute approximately 20% of Greater Antillean Anolis diversity. Thus, although repeated evolution of the ecomorphs has been demonstrated, whether the anole radiations themselves are convergent remains an open question. We used this approach to study the putative replicated adaptive radiations (2, 14) of Anolis lizards (anoles) on Caribbean islands. On each island in the Greater Antilles (Cuba, Hispaniola, Puerto Rico, and Jamaica), anoles have independently evolved a similar set of habitat specialists termed "ecomorphs" (such as "twig" or "grassbush") (14, 15). Each ecomorph is composed of morphologically and behaviorally similar species that occupy similar microhabitats. Prior studies have documented that members of the same ecomorph category from different islands cluster morphologically, providing evidence for repeated Thus, we began by asking whether the four Greater Antillean anole faunas exhibit exceptional species-for-species matching (2); i.e., greater pairwise phenotypic similarity between species on different islands than expected by chance, when the full ecomorphological diversity of lineages is considered. We compiled phylogenetic and phenotypic data for 100 of 119 Greater Antillean Anolis species, representing the diversity of both the ecomorph and unique species. We tested for species-for-species matching among islands using a phylogenetic comparative analysis of species similarity in a four-dimensional principal components morphospace generated from 11 traits important for niche partitioning in Anolis, including body size, limb and tail lengths, and adhesive toepad lamella number (14, 17). We measured the among-island Euclidean distance between each species and its nearest neighbor from each other island in morphospace, and assessed whether the average among-island distance for anoles was lower than expected by chance via comparison to a phylogenetic null distribution (18). We simulated null morphospaces using the empirical maximum clade credibility (MCC) phylogeny from a Bayesian analysis of mitochondrial DNA and evolutionary models that account for temporal and among-trait evolutionary rate variation (17, 19). We repeated the analysis across a Bayesian posterior tree sample, obtaining qualitatively identical results (18). These analyses provide strong evidence for exceptional species-for-species matching among island anole faunas: Most species on each island are more morphologically similar to species from other islands than expected by chance (P = 0.003; Fig. 1A). Next, we investigated whether a macroevolutionary model involving convergent shifts to common peaks on a Simpsonian landscape can explain the evolution of remarkably similar faunas on these four Caribbean islands. We applied a new method (SURFACE) to infer the history of adaptive diversification in anoles using a phylogeny and phenotypic data. This method fits a model of adaptive radiation in which lineages may undergo shifts to adaptive peaks on a macroevolutionary landscape without reference to a priori hypotheses specifying which lineages correspond to particular peaks (18, 20). In this model, lineages may undergo shifts to otherwise unoccupied peaks or to those shared with other lineages, which gives us the ability to explicitly model the macroevolutionary convergence of independent lineages in a common phenotype space. Starting with an Ornstein-Uhlenbeck model (21, 22) in which all species are attracted to a single adaptive peak in trait space, SURFACE uses a stepwise model selection procedure based on the finite-samples Akaike information criterion (AICc) (23, 24) to fit increasingly complex multipeak models. At each step, a new peak shift is added to the branch of the phylogeny that most improves model fit across all traits, and shifts are added until none result in further improvement. To identify convergence, the method then evaluates whether the AICc score is further improved by permitting these independent lineages to shift toward shared adaptive peaks rather than requiring each to occupy a unique peak. We compared the convergent landscape model to several alternatives, including three variants of the "early burst" model of adaptive radiation, which features a diversitydependent decline in evolutionary rate but does not explicitly model adaptation or convergence on a macroevolutionary landscape (17, 19). A Simpsonian model of peak shifts on a shared macroevolutionary adaptive landscape best explains the evolution of ecomorphological traits in Greater Antillean Anolis. Convergence of lineages to shared adaptive peaks was the dominant mode of macroevolutionary trait change for these replicated island radiations: A landscape model with explicit convergence was strongly favored over the best nonconvergent landscape model (DAICc = 162.6; www.sciencemag.org SCIENCE VOL 341 19 JULY 2013 on July 18, 2013 www.sciencemag.org Downloaded from 293 294 fig. S2), and even more strongly favored over models without peaks (DAICc ≥ 279.3; fig. S2). Peak shifts on the adaptive landscape were common as anoles diversified (29 lineage-specific shifts), with 76% of shifts involving convergence in morphospace (Figs. 1B and 2 and Table 1). The estimated landscape contained 15 adaptive peaks, with 8 occupied by more than one lineage. These convergent peaks attracted 2.8 lineages on average, and all but one hosted lineages from multiple islands. Overall, the number of convergent adaptive peak shifts was significantly greater than expected by chance (P = 0.01; Fig. 1B), and these shifts account for the exceptional similarity among island faunas (18). The number and position of peak shifts varied across 100 phylogenies, but the number of convergent shifts was similar for all trees (Table 1). Species traditionally grouped in the same ecomorph class (14–16) tended to be attracted toward the same adaptive peak (fig. S4). Our comparison of macroevolutionary models suggests that the adaptive landscape plays an important role in shaping parallel diversification. The only modelto accountfor the observed convergence of entire island anole faunas was a Simpsonian model (3, 5, 20–22), in which lineages experience selection toward common peaks on the adaptive landscape (fig. S1). Fitted peaks on the anole landscape correspond to trait combinations that have been shown experimentally to be adaptive for microhabitat partitioning (14) (fig. S4). Although it is possible that evolutionary constraints may play a role in shaping whole-fauna convergence, in the case of anoles the evidence points to a dominant role for selection. The Anolis radiation unfolded over tens of millions of years (14), a time scale over which constraints on the production of variation are unlikely to be maintained, especially for quantitative traits (25). Constraint seems an even less likely culprit considering that diverse radiations of Central and South American Anolis, which occur in ecologically different communities, exhibit many morphologies not seen in Caribbean forms(26),stronglysuggestingthatrepeatedGreater Antillean convergence is not due to intrinsic limits on morphological variation. Replication of adaptive radiations is readily attainable in simple systems over short time scales (2, 13), but convincing examples at a grander macroevolutionary scale have so far been lacking. Why this is the case is not yet clear, but our results argue against the possibility that the temporal lability of adaptive landscapes precludes faunal convergence over long time scales. The Greater Antillean anole radiation is old (with a minimum age of 30 to 40 million years) (14), and most ecomorphological diversity among anoles arose long ago (17) (Fig. 2), suggesting not only that the adaptive landscape for anoles is similar across islands but also that it is relatively static in its principal features (14, 27). Stable landscapes are further indicated by the similarity of adaptive peaks discovered by anole lineages from different islands, which would be highly unlikely if adaptive landscapes were themselves highly labile (3, 27). It remains to be seen whether this stability is a general feature of adaptive radiation, but our observations support the hypothesis that stable macroevolutionary landscapes underlie the common pattern of long-term phenotypic stasis in both fossil and comparative data sets (28, 29). Although convergence is the most conspicuous feature of Greater Antillean anole radiations, the island faunas are far from identical. Most no- tably, we found evidence for a number of nonconvergent shifts to island-specific peaks. However, such peaks are occupied only on the larger islands of Hispaniola and Cuba, a predicted "area effect" from adaptive radiation theory (1). Larger areas provide greater opportunities for diversification (1, 30), which may permit lineages to more fully explore the macroevolutionary landscape and discover peaks not reached on smaller islands (1). Fig. 2. Phenotypic convergence on the macroevolutionary adaptive landscape in island radiations of Greater Antillean Anolis. MCC phylogeny (left panel), painted to depict the estimated phylogenetic history of adaptive peak shifts. Branches and island silhouettes representing geographic location are colored according to adaptive peak. Convergent peaks are colored and are connected by solid lines; with one exception, these peaks attract lineages from multiple islands. Nonconvergent peaks are light gray (single-island radiations), or black or dark gray (radiations that spread to multiple islands; these islands are connected by dashed lines). Right panels show that anole species (small circles) cluster near their inferred adaptive peak (large circles) in morphospace, especially for pPCs 1 to 3 (primary trait correlations and variance explained are reported in the axis labels). Inferred convergent peaks broadly correspond to Anolis ecomorph classes, a consistent finding across phylogenies, although specific peak assignments vary from tree to tree (18) (fig. S4). In the MCC estimate plotted here, grass-bush specialists are attracted to dark or light yellow peaks. Larger and smaller twig specialists occur on purple and red peaks, respectively. Green peaks contain trunk-crown specialists, and brown peaks contain trunk-ground specialists. Dark blue peaks contain large crown-giant anoles; light blue peaks contain smaller giant anoles. A single dark gray peak contains additional trunk-ground and trunk-crown species; although similar because of inherited ancestral condition rather than convergence in this reconstruction phenotypically similar species on this peak occur on three different islands. 19 JULY 2013 VOL 341 SCIENCE www.sciencemag.org on July 18, 2013 www.sciencemag.org Downloaded from Table 1. SURFACE convergence parameters estimated using the MCC tree, as well as 100 trees from the Bayesian posterior probability distribution of Anolis phylogeny. Anoles have diversified into many more species on the larger islands (14, 31). Given the number of convergent and unique adaptive peak shifts that have occurred across the Greater Antilles in anoles, the area effect hypothesis predicts that all endemic unique peaks should occur on Cuba and Hispaniola, as observed (18) (fig. S3). Thus, in this system, even the apparently contingent evolution of unique ecomorphologies may be, to some extent, predictable—in this case a result of the speciation-area relationship (30). Gould famously argued that evolution over long time scales is "utterly unpredictable and quite unrepeatable" (32, p. 14) due to historical contingency. Widespread convergence among entire faunas of Greater Antillean Anolis refutes Gould's claim and shows that adaptation can overcome the influence of chance events on the course of evolution. Our demonstration of deterministic convergence on a macroevolutionary adaptive landscape complements studies of diversification in species numbers in showing that many features of large-scale radiations may be surprisingly predictable. A recent analysis discovered that both island diversification rate and standing species richness in Greater Antillean anoles could be predicted from island size and time since colonization (31). In cichlids, whether colonizing lineageswillradiateinAfricanlakescanbepredicted from the intrinsic traits of the colonist and the ecological opportunities provided by the new habitat (33). Together, these studies suggest that the primary aspects of evolutionary radiation—adaptation and the proliferation of species—may in some cases be largely deterministic. References and Notes 1. S. Gavrilets, A. Vose, Proc. Natl. Acad. Sci. U.S.A. 102, 18040–18045 (2005). 2. D. Schluter, The Ecology of Adaptive Radiation (Oxford Univ. Press, Oxford, 2000). 3. G. G. Simpson, Tempo and Mode in Evolution (Columbia Univ. Press, New York, 1944). 4. E. I. Svensson, R. Calsbeek, Eds., The Adaptive Landscape in Evolutionary Biology (Oxford Univ. Press, Oxford, 2012). 5. B. Frédérich, L. Sorenson, F. Santini, G. J. Slater, M. E. Alfaro, Am. Nat. 181, 94–113 (2013). 6. R. Gillespie, Science 303, 356–359 (2004). 7. T. J. Givnish, in The Biology of Biodiversity, M. Kato, Ed. (Springer-Verlag, Tokyo, 1999), pp. 67–90. 8. M. Muschick, A. Indermaur, W. Salzburger, Curr. Biol. 22, 2362–2368 (2012). 9. M. L. J. Stiassny, A. Meyer, Sci. Am. 280, 64–69 (1999). 10. K. A. Young, J. Snoeks, O. Seehausen, PLoS ONE 4, e4740 (2009). 11. Past studies of convergence between species-rich radiations have been selective in scope and have not compared entire radiations. Even lineages diversifying randomly under genetic drift will generate many convergent pairs (34), as will radiations adapting on a labile macroevolutionary landscape (27). Much of the diversity unsampled by past studies may be nonconvergent, so that different radiations may share many convergent species pairs while being unexceptionally similar at the whole-radiation scale. 12. M. L. Cody, H. A. Mooney, Annu. Rev. Ecol. Syst. 9, 265–321 (1978). 13. R. Kassen, Ann. N. Y. Acad. Sci. 1168, 3–22 (2009). 14. J. B. Losos, Lizards in an Evolutionary Tree: Ecology and Adaptive Radiation of Anoles (Univ. of California Press, Berkeley, CA, 2009). 15. E. E. Williams, in Lizard Ecology: Studies of a Model Organism, R. B. Huey, E. R. Pianka, T. W. Schoener, Eds. (Harvard Univ. Press, Cambridge, MA, 1983), pp. 326–370. 16. J. B. Losos, T. R. Jackman, A. Larson, K. de Queiroz, L. Rodríguez-Schettino, Science 279, 2115–2118 (1998). 17. D. L. Mahler, L. J. Revell, R. E. Glor, J. B. Losos, Evolution 64, 2731–2745 (2010). 19. L. J. Harmon et al., Evolution 64, 2385–2396 (2010). 20. T. Ingram, D. L. Mahler, Methods Ecol. Evol. 4, 416–425 (2013). 21. M. A. Butler, A. A. King, Am. Nat. 164, 683–695 (2004). 22. T. F. Hansen, Evolution 51 , 1341 (1997). 23. M. E. Alfaro et al., Proc. Natl. Acad. Sci. U.S.A. 106, 13410–13414 (2009). 24. G. H. Thomas, R. P. Freckleton, Methods Ecol. Evol 3, 145–151 (2012). 25. G. L. Conte, M. E. Arnegard, C. L. Peichel, D. Schluter, Proc. Biol. Sci. 279, 5039–5047 (2012). 26. G. Pinto, D. L. Mahler, L. J. Harmon, J. B. Losos, Proc. Biol. Sci. 275, 2749–2757 (2008). 27. T. F. Hansen, in The Adaptive Landscape in Evolutionary Biology, E. Svensson, R. Calsbeek, Eds. (Oxford Univ. Press, Oxford, 2012), pp. 205–226. 28. S. Estes, S. J. Arnold, Am. Nat. 169, 227–244 (2007). 29. J. C. Uyeda, T. F. Hansen, S. J. Arnold, J. Pienaar, Proc. Natl. Acad. Sci. U.S.A. 108, 15908–15913 (2011). 30. Y. Kisel, T. G. Barraclough, Am. Nat. 175, 316–334 (2010). 31. D. L. Rabosky, R. E. Glor, Proc. Natl. Acad. Sci. U.S.A. 107, 22178–22183 (2010). 32. S. J. Gould, Wonderful Life: The Burgess Shale and the Nature of History (Norton, New York, 1989). 33. C. E. Wagner, L. J. Harmon, O. Seehausen, Nature 487, 366–369 (2012). 34. C. T. Stayton, J. Theor. Biol. 252, 1–14 (2008). Acknowledgments: We thank G. Bradburd, C. Davis, L. Harmon, and F. Jenkins for discussion and advice; the National Evolutionary Synthesis Center and NSF for financial support; and three anonymous reviewers for insightful feedback. Data are archived in Dryad (http://datadryad.org, doi: 10.5061/dryad.9g182). Supplementary Materials www.sciencemag.org/cgi/content/full/341/6143/292/DC1 Materials and Methods Figs. S1 to S9 Tables S1 to S5 References ( 35 – 42 ) Author Contributions 18. Information on materials and methods is available as supplementary material on Science Online. 5 November 2012; accepted 5 June 2013 10.1126/science.1232392 Predicting and Manipulating Cardiac Drug Inactivation by the Human Gut Bacterium Eggerthella lenta Henry J. Haiser, 1 David B. Gootenberg, 1 Kelly Chatman, 1 Gopal Sirasani, 2 Emily P. Balskus, 2 Peter J. Turnbaugh 1 * Despite numerous examples of the effects of the human gastrointestinal microbiome on drug efficacy and toxicity, there is often an incomplete understanding of the underlying mechanisms. Here, we dissect the inactivation of the cardiac drug digoxin by the gut Actinobacterium Eggerthella lenta. Transcriptional profiling, comparative genomics, and culture-based assays revealed a cytochrome-encoding operon up-regulated by digoxin, inhibited by arginine, absent in nonmetabolizing E. lenta strains, and predictive of digoxin inactivation by the human gut microbiome. Pharmacokinetic studies using gnotobiotic mice revealed that dietary protein reduces the in vivo microbial metabolism of digoxin, with significant changes to drug concentration in the serum and urine. These results emphasize the importance of viewing pharmacology from the perspective of both our human and microbial genomes. Humans are home to large and diverse microbial communities, the most abundant of which resides in the gastrointestinal tract. Recent studies have highlighted the clinical relevance of the biotransformations catalyzed by the human gut microbiome, including alterations to the bioavailability, activity, and toxicity of therapeutic drugs (1, 2). Although >40 drugs are metabolized by the gut microbiome, little is known about the underlying mechanisms. This www.sciencemag.org SCIENCE VOL 341 19 JULY 2013 on July 18, 2013 www.sciencemag.org Downloaded from 295

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Wednesday Evening Buccaneers Junior Series 2022 Haversham S C Wednesday Evening Buccaneers 2022 - After Race 4 Junior Fleet Sailed: 4, Discards: 1, To count: 3, Rating system: PY, Entries: 6, Scoring system: Appendix A | Rank | Fleet | Class | SailNo | HelmName | CrewName | PY | WBucc01 03/08/22 | WBucc02 10/08/22 | WBucc03 24/08/22 | WBucc04 31/08/22 | Total | Nett | |---|---|---|---|---|---|---|---|---|---|---|---|---| | 1st | Junior | Pico | Various | Ben | | 1330 | (7.0 DNC) | 2.0 | 1.0 | 1.0 | 11 | 4 | | 2nd | Junior | Pico | 5475 | Alex | | 1330 | (7.0 DNC) | 7.0 DNC | 2.0 | 2.0 | 18 | 11 | | 3rd | Junior | Pico | 2236 | Max | | 1330 | 3.0 | (7.0 DNC) | 7.0 DNC | 4.0 DNF | 21 | 14 | | 4th | Junior | RS Aero 7 | 1046 | Cyrus | | 1065 | (7.0 DNC) | 1.0 | 7.0 DNC | 7.0 DNC | 22 | 15 | | 5th | Junior | Pico | Pink | Raphy | | 1330 | 1.0 | (7.0 DNC) | 7.0 DNC | 7.0 DNC | 22 | 15 | | 6th | Junior | Pico | Blue | Joshua | | 1330 | 2.0 | (7.0 DNC) | 7.0 DNC | 7.0 DNC | 23 | 16 | New Club Handicaps for some 3 sail boats. See Club Website for new PY figures. WBucc01 - Junior Fleet - 03/08/22 Start: Start 1, Finishes: Place | Rank | Fleet | Class | SailNo | HelmName | CrewName | PY | Elapsed | Laps | Corrected | BCE | BCR | Points | |---|---|---|---|---|---|---|---|---|---|---|---|---| | 1 | Junior | Pico | Pink | Raphy | | 1330 | 25.46 | 3 | 0.19.22 | 0.00.00 | 1330 | 1 | | 2 | Junior | Pico | Blue | Joshua | | 1330 | 20.33 | 2 | 0.23.11 | 0.03.22 | 1591.1 | 2 | | 3 | Junior | Pico | 2236 | Max | | 1330 | 13.33 | 1 | 0.30.34 | 0.04.58 | 2098.23 | 3 | WBucc02 - Junior Fleet - 10/08/22 Start: Start 1, Finishes: Place WBucc03 - Junior Fleet - 24/08/22 Start: Start 1, Finishes: Place WBucc04 - Junior Fleet - 31/08/22 Start: Start 1, Finishes: Place | 1 | Junior | Pico | Various | Ben | 1330 | 46.46 | 4 | 0.35.10 | 0.00.00 | 1330 | 1.0 | |---|---|---|---|---|---|---|---|---|---|---|---| | 2 | Junior | Pico | 5475 | Alex | 1330 | 49.30 | 4 | 0.37.13 | 0.02.44 | 1407.733 | 2 | | 3 | Junior | Pico | 2236 | Max | 1330 | DNF | 4 | | | | 4 | Scoring codes used | Code | Description | |---|---| | DNC | Did not come to the starting area | Sailwave Scoring Software 2.29.0 www.sailwave.com

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