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Wausau West High School
Saturday, December 15 9am to 4pm
JOHN MUIR MIDDLE SCHOOL
1400 West Stewart Avenue, Wausau, WI 54401
OPEN TO THE PUBLIC
Questions? Contact West High School Computer Science Instructor John Quinn at: [email protected]
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Penn State Journal of Law & International Affairs
Volume 9 Issue 2
May 2021
JLIA Editorial Board & Staff
Follow this and additional works at: https://elibrary.law.psu.edu/jlia
Part of the International and Area Studies Commons, International Law Commons, International Trade Law Commons, and the Law and Politics Commons
ISSN: 2168-7951
Recommended Citation
JLIA Editorial Board & Staff, 9 PENN. ST. J.L. & INT'L AFF. (2021). Available at: https://elibrary.law.psu.edu/jlia/vol9/iss2/1
The Penn State Journal of Law & International Affairs is a joint publication of Penn State's School of Law and School of International Affairs.
Penn State Journal of Law & International Affairs
2020-2021
FACULTY EDITORIAL BOARD
Faculty Advisor Tiyanjana Maluwa
Johannes W. Fedderke Eleanor M. Brown
STUDENT EDITORIAL BOARD
Editor-in-Chief
Jason J. Sullivan-Halpern
Managing Editor of Articles Mitchell Latinkic
Managing Editor of Research Dallas Kephart
Student Works Editors Agneta Hendershot Britani Peterson Kelly Carman
Joseph deGeneres Thomas Crociata Dan Dicce Patrick Misale Emma Hoffmann Paul Pepi
Managing Editor of Student Works Maggie Kolcon
Managing Editor of Communications Ryan Lamon
Managing Editor of Digital Content Cody McGraw
Articles Editors
Simone Fair Morgan Ferrell Genesis Monserrate
Brea Jones Shivangi Tomar Kimberly Lennox Anne Park Audry Thompson Allie Chen
Larry Catá Backer Sophia McClennen Margaret Hu
EDITORIAL STAFF
Associate Editors Beth Anne Patterson May Lee Thomas Woodward Megan McClement Grace Canfield
Catherine A. Rogers Scott Sigmund Gartner James W. Houck
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AFFIDAVIT OF FACT
FOR A
LIEN OVER TEN YEARS OLD
This is to certify that I, ____________________________________________
am the registered vehicle owner for the following described vehicle:
Year _______ Make _______ Body Style ________________
VIN_____________________________________________________
I further state that the lien recorded in favor of _______________________
(Specify Lien holder’s Name)
with a lien date of __________ has been paid in full and lienholder cannot be
located. In accordance to Transportation Code 501.116, I hereby request
the Texas Department of Motor Vehicles to issue the title in my name free and
clear of the above referenced lien holder.
___________________________________________________________
Signature of Registered Vehicle Owner
___________________________________________________________
Date
NOTE: If the negotiable Texas Certificate of Title has been lost or if it was never received from the lienholder, the
above statement must be accompanied by a title application (Form 130U) for corrected title filed in the registered
owners name in order to clear lien holder.
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Social Studies 10-2 Course Outline 2020
TEACHER: Ms. Jans
EMAIL: [email protected]
EMAIL (for assignment submission only): [email protected]
GOOGLE CLASSROOM CODE:
bwetpke
PROGRAM RATIONALE FOR SOCIAL STUDIES:
Social studies provides opportunities for students to develop the attitudes, skills and knowledge that will enable them to become engaged, active, informed and responsible citizens. Recognition and respect for individual and collective identity is essential in a pluralistic and democratic society. Social studies helps students develop their sense of self and community, encouraging them to affirm a place as citizens in an inclusive, democratic society.
OVERVIEW OF 10-2:
Students will explore multiple perspectives on the origin of globalization and the local, national and international impacts of globalization on lands, cultures, economies, human rights and quality of life. Students will examine the relationships among globalization, citizenship and identity to enhance skills for citizenship in a globalizing world. The infusion of multiple perspectives will allow students to examine the effects of globalization on peoples in Canada and throughout the world, including the impact on Aboriginal and Francophone communities.
The main goal of Social Studies is for students to develop the knowledge, skills, attitudes and tools to become responsible active members of society. Social Studies takes a multidisciplined approach therefore the content of the course encompasses history, geography, economics, and social sciences.
KEY AND RELATED ISSUES:
Recognizing and appreciating the influence of globalization will lead students to develop individual and collective responses to the following key and related issues:
Key Issue
: To what extent should we embrace globalization?
Related Issues:
1. Should globalization shape identity?
2. How should society respond to the legacies of historical globalization?
3. How does globalization contribute to sustainable prosperity for all people?
4. How should I, as a citizen, respond to globalization?
ROOM:
2029
CLASS RESOURCES:
Textbook: Living in a Globalizing World
Digital Textbook: is available for each chapter in our Google Classroom.
COURSE EVALUATION:
Formal Writing
40%
Major Projects
40%
Reading and Exploration 20%
ACADEMIC INTEGRITY POLICY:
Across all academia, integrity and honesty are critical. Throughout your educational career you will find that the consequences for submitting work that is not your own are serious. Submitting your own work is not only the only way you can grow as a learner, but is also the only way that teachers can determine if you are meeting the general learning outcomes of the course.
Any work not meeting expectations for academic integrity will not be assessed. If not addressed appropriately, it may affect a student's course grade and, in some cases, their ability to move to the next level. In such cases, no mark is given until the student produces work that demonstrates that they met the outcomes pertaining to what was originally assigned.
In all cases of academic dishonesty parents and school administration will be notified and further disciplinary action may result.
TEST POLICY:
All multiple choice and written exams are the property of BCHS Social Studies for the purpose of evaluation and will be kept by the teacher. Students wishing to review a test may do so after school hours, with supervision, in the school.
APPEALS:
Appeal of Term Mark: Any course mark may be appealed as per BCHS guidelines. Feel free to discuss with the teacher and/or Guidance before referring to administration.
COURSE MATERIAL & CONTROVERSY MATERIAL:
Social Studies at Bert Church is explored free of any political agenda. There is no emphasis on, nor is there a deliberate effort to promote, any one particular ideology or viewpoint. The goal is exposure to as wide a variety of perspectives as possible. Social Studies involves exploring issues which may challenge your personal beliefs, and/or that of your friends/family. However, you should never feel your personal beliefs are being intentionally marginalized, attacked, or misrepresented. Feel free to approach Ms. Jans in confidence if you have concerns and we will discuss them in a mature, respectful fashion.
CLASSROOM EXPECTATIONS:
*An educationally functional electronic device as outlined by Bert Church High School policy is an asset! If students bring a device it is expected that students will bring their device to class with charge sufficient for use throughout the period as charging is only permitted in the designated and provided section of the classroom.
*As significant research reveals that cell phones are significant distractions to student learning and impediments to success, cell phones will only be used in-class as permitted as a learning tool. No social media, calls/texts, gaming, etc. Violating this expectation will result in administrative action at the teachers discretion.
Students are expected not to be eating during instructional time. Please ensure you are eating your lunch during the provided times. A small snack is permitted with the understanding that students are expected to clean up after themselves. Please ensure you are bringing a water bottle filled and ready to go at the start of every class. Students are asked to be mindful of sent sensitivity; try to minimize perfumes, body sprays, etc.
Washroom breaks will be permitted after instruction has been delivered; however, only one student will be able to leave at a time so please ensure you go before you enter.
TIMELINE:
Based on the four key questions listed above, the course will be divided into four major units of study.
1. Globalization and Identity (5-6 weeks)
* What is globalization?
* Culture and identity
* Media and pop culture
2. History of Globalization (5-6 weeks)
* Cultural contact
* Imperialism and colonialism
* Eurocentrism
3. Economics of Globalization (4-5 weeks)
* Foundations of economic globalization
* Free trade
* International trade agreements Transnational corporations
* Challenges and opportunities for identity
* Canadian experiences of historical globalization
* Legacies of imperialism
* Challenges and opportunities of economic globalization
* Environmental impacts of globalization
4. Globalization and the Individual (2-3 weeks)
* Quality of life
* Human rights
* Challenges in a globalizing world
* Individual and collective responsibilities in a globalizing world
CURRENT EVENTS:
In addition to the material listed above, current events will also be discussed on a regular basis throughout the course. This will be done on an informal and often spontaneous schedule as events arise. Students are encouraged to raise issues for discussion and to ask questions about what they see, hear, and read from media and other sources. It is only through critical thought and analysis that our world can be understood, and questioning what is going on around you is the first step in that process. We begin every class with BBC's One Minute World News as well as On This Day in History.
LOOKING FORWARD TO A WONDERFUL SEMESTER!
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Florida Trail Blazers Ride Information
Date(s): February 25, 2017
Hosted by: Chris Gropp
Where: Snow Hill
Host's Phone #: 407 376 9013
Host's email: [email protected]
Cost/Fee: $2 fee payable to Iron Ranger
*Main Dish: Club to furnish subs and chips
Bring your own drink and chair
*Camp outs are usually Pot Luck on Saturday night with club supplying Main Dish; Folks staying for dinner bring a covered dish. Non-members pay $5 when club furnishes main dish
Day Ride Camp out
(Check one)
Day Ride: Bring your own lunch or
FTB to provide lunch
(Check one)
Reservations:
Made by FTB
(Check one)
Call and make your own reservations:
Phone #_
No reservations needed
Address/Directions:_1350 Snow Hill Road, Geneva, FL 32732_
Park Information:
*Dogs OK on leash: Yes
No
Electric Available: Yes
No
Stalls Available: Yes
No
High Tie Available: Yes
No
Potable Water Available: Yes
No
Water For Horse Available: Yes
No
Restrooms available: Yes
No
Port-O-Let
Showers available: Yes
No
Additional comments: Bring your own chair and drinks…..Ride out at 9:30 a.m.
* Some parks require proof of rabies vaccination
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Canterbury Players Newsletter
June 2014
canterburyplayers.co.uk page 1 of 2
Forthcoming Productions"
As part of this year's Flixton Folk Festival, Canterbury Players Amateur Dramatic Society will be presenting a rehearsed reading of two episodes from the 1970s BBC TV series "Fawlty Towers by Connie Booth and John Cleese. It will be held at Urmston Sports Club on Wednesday 16th July, Thursday 17th July and Saturday 19th July at 7.30 pm. The ticket price includes a delicious home-made supper which will be served during the interval, and the bar will be open throughout the performance and until midnight. Further details and menu will appear on our website soon. Tickets are £10 and must be purchased in advance by contacting Judy Coates on 0161 748 8403. From the proceeds of the event, the society will make a donation to the locally-based charity Cancer Aid Listening Line (CALL) - an organisation at which our late member Wendy Herbert was a dedicated volunteer.
A rehearsed reading is more than just a play reading, but not quite a full production. A full performing licence is bought, and stage props, costumes, sound and lighting are used. The main difference is that some of the cast will have scripts and may read some of their lines. The idea is to make it more of a fun social event and a chance for those who don't normally appear on stage to have a go. This will be the second event of this type for the locally based group; last year they presented a special stage version of the popular 'Allo 'Allo which was extremely well enjoyed by audiences and all those involved. In fact, it was a sell-out, so tickets for "Fawlty" are expected to be in great demand.
(there are more rehearsal photos on our website)
Tickets On Sale Now!
Society Social Meetings
Just a reminder about our regular get-togethers for all members of the society. There's no formal agenda, no minutes – simply a chance to have a chat and about our plays (past, present, & future), what we've seen elsewhere, ideas for social events etc. Interested potential new members are also welcome to come along as well. We meet at The Swinging Bridge on the 2 nd Tuesday of every odd-numbered month, so for the rest of 2014, that's:
* Tuesday 8 th July
* Tuesday 9 th September
* Tuesday 11 th November
There's no need to say whether or not you're coming, just turn up!
Ticket Exchange Scheme
Look out for more dates!
The Ticket Exchange Scheme was originally with the intention to increase our Wednesday night audience. The idea was that, on our traditional 'quiet night' we would have an audience (made up of other societies members) to give the cast a boost. Then in return, we would provide a supportive audience for their quiet nights. After sending out thirty plus emails to amateur groups, we had a handful of interested parties. The opening night of 'Curtain Up on Murder' was subsequently very atmospheric, with really high audience numbers. This was followed by a gathering in the church to meet the other societies involved in the exchange.
Earlier this month was the last of the ticket exchange evenings. Since March, members have had the opportunity to go and watch plays for free; performed by HATs, Altrincham Little Theatre, Dunham Thespians and Barton Players. The feedback
Canterbury Players Newsletter
June 2014
canterburyplayers.co.uk page 2 of 2
has been that the evenings were all very enjoyable and people felt that it was a great learning experience too, to see what other societies do differently and to consider if the plays are ones that would suit us. We also had great feedback from our production and compliments on the front of house and whole organisation of our society, from the other societies involved. So well done to everyone, we are doing a great job and everyone's efforts go to make the productions enjoyable! We even got a mention in Dunham Thespians programme!
We are currently in the process of arranging for more exchanges, with more societies expressing an interest in doing so. So please look out for dates to be announced and come and enjoy some local entertainment. Tickets are given on first come first served basis and subject to availability, two tickets are available to each member.
If anyone has any questions or if anyone knows of other societies, (whether its drama, dance or music) that would be interested in the exchange, please contact me at [email protected]
Laura Fetherston - Vice Chairperson
Membership Subscriptions
Member subscriptions are due at the start of our new season which is 1 st July 2014. If you pay on or before the AGM, your name will go into the annual members' cash draw and you could win £30!
Annual General Meeting
The society's annual general meeting will be held at Urmston Sports Club, Moorside Road on Thursday 31st July 2014. After the formal business has been conducted, members are invited to stay behind and enjoy a drink, a chat and some cheese and biscuits. We'll also be having another "official" group photo taken which will appear in the banner of our website. Please let Judy know if you are attending, and don't forget to bring your £10 member subscription for the forthcoming season (cheque preferred, thanks).
Diary Dates
Members Social Meeting The Swinging Bridge Tuesday 8 th July 2014 - 7.00 p.m.
Fawlty Towers with supper Canterbury Players at Urmston Sports Club Wednesday 16 th July 2014 Thursday 17 th July 2014 Saturday 19 th July 2014
Canterbury Players Annual General Meeting (followed by cheese & biscuits) Urmston Sports Club Thursday 31 st July 2014 at 8.00 pm
This newsletter is compiled by David Holstein and approved by the committee prior to publication, which is usually every few months or as required. It is distributed to the entire membership by email or post as necessary. If you have an article or snippet of news which you would like to be considered for inclusion in a future newsletter, please send it to me, preferably by email. There's an archive of newsletters on our website: www.canterburyplayers.co.uk
email: [email protected] phone: 0161 747 9948
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We specialize in designing and producing expertly engineered valet podiums, hostess stations, security stations, and portable bars.
OUR COMPANIES
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TheHostessStation.com
Steel Hostess Stands
LED Signage
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History
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Location
Contact Us
The Valet Spot is the leading supplier of innovative and high-quality valet parking equipment in the world. Our products keep keys secure and organized at restaurants, hospitals, casinos, car dealerships, airports, and hotels worldwide.
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These models are available with clear coat frames so you can see the unique distressed steel for a rustic look that patinas over time.
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* All bars are shown with white acrylic panels. There are 800+ custom panel options available including LED lighting, wood laminates, and custom printing for branding.
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The Flash Bar Modular System is a product of The Portable Company. The Flash Bar is a modular and brandable bar system.
It’s customizable design allows you to pick and change the size, shape, look, and accessories to create a unique serving experience.
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A E International began in 2008 with a bold statement: we can make this better. Since then we’ve used our design expertise to bring good-looking, high-quality, portable products to market. Our podiums, stands, and bars provide best practice efficiency that makes our products as fun to use as they are stylish. Our companies, The Portable Bar Company, The Valet Spot, The Security Station, and The Hostess Station offer base options with best in class features. Custom options let buyers create unique models to match decor and branding.
To learn more about our companies visit aeinternationalgroup.com.
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Our offices are located at:
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Products are housed at and originate from:
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CONTACT US
Email: [email protected]
Phone: 866-853-7898
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Hayfield Primary School PTA
Winter 2017 Newsletter
iPads for all
Who are we?
Hayfield Primary School PTA is run entirely by the parents and carers of the children who attend the primary school with the support of the school staff, and is led by a small committee of parents.
The elected PTA members are Emma Parkinson, Bronwyn Van De Merwe, Helen Williams and Liz Land, accompanied by committee members from across the school years.
We welcome anyone who wants to get involved. If you'd like to join the PTA just ask one of the current members, or email us on [email protected]
Fundraising Successes!
The school year has already seen fun and successful fundraising, with movie nights, the Christmas Card project and Christmas Cracker.
The Christmas Cracker alone raised over £1300 – every penny destined for resources in school.
A huge thanks to everyone supporting our fundraising activities for far this year.
Your PTA – Your choice
In the summer we surveyed parents asking what you want the PTA to prioritise when funding school activities and resources this year.
Your top 3 priorities are more iPads, woodland learning resources and using drama across the curriculum to support learning and development.
Thank you for telling us. We'll be sharing our resulting action plan with you in the New Year.
Supporting school when it matters
Parents will have seen the recent letter from school about funding cuts. The PTA continues to fund key areas for the benefit for our children, and was reassured our recent survey confirmed that parents think we have got the balance of our funding priorities right.
The PTA have supplemented £600 funding that parents prioritised for iPads in the annual survey, with an additional £2600, so children don't have to share an iPad when working their class.
Follow the money...
We raise it.... so where it does it go? Follow the funding activity this term....
...£1000 funding to the mini-bus
...£450 on flight trays for infant meals, helping keeping the hall tidy & reducing slip risks
....£100 towards school's annual subscription to Matheletics
....£324 support to families whose children wouldn't have been able to participate in trips.
That's £5984 funding allocated so far this year!
We will also be funding whole school/key stage resources and activities throughout the year and share news of these when they happen.
Every penny counts
Don't forget to use EasyFundraising.org.uk to help us raise money – do your usual shopping and retailers give us money – what is not to like?
Dates for the diary
First PTA meeting of 2018 on 11 th January
Chocolate Bingo returns in February – Date TBC
The Easter Eggstravaganza on Saturday 14 th April.
Movie Night for the infants and juniors next term – dates TBC
Keeping in touch
If you want to share views, ideas, make requests or offers of help, you can do this in person, by email or using our PTA post box – which we've moved to new entrance foyer for easier access.
You can also follow us on Facebook to get news and updates by 'liking' our page www.facebook.com/Hayfieldprimaryschoolpta
Season's Greetings and best wishes for 2018
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Penn Valley Constructors, Inc.
"Partners in Excellence"
REEDMAN-TOLL CHEVROLET SHOWROOM
William O' Flanagan, Vice President 7,321 Square Feet Automobile Showroom Renovation Langhorne, Pennsylvania Spearman Associates, Architects Completed 2006
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CC SBAMD NEWSLETTER 2015/1
Commanders incentive: CHANGE!
For many armed forces in Europe and the United States, the year 2015 meant change. That is no different for the German-Dutch CC SBAMD. We saw a shift in the global and regional security environment and internally we changed both our structure and our personnel. Recently we transformed from an Extended Air Defence Task Force towards a Competence Center for Surface Based Air & Missile Defence. And as a center of knowledge development, we want to share our findings. That is why this – unclassified – newsletter is designed to bring you up to speed with our thoughts and ideas. As we hope it might help to better defend people, places, troops and human values from air & missile attacks. In other words, to protect our future. We are no specialists on STRATCOM and we are not salesmen. However, we are soldiers that deal with Air & Missile Defence.
It is almost Christmas and maybe that is why my admin specialist asked me about a new navigation tool for our military or rental cars. Because we need state of the art technology to tell us where to go, with global positioning leading the way. So he ordered a car navigation tool on the internet. An interesting piece of technology which can be used on both sides of the Atlantic Ocean. Because we sometimes physically and many times metaphorically 'navigate' in and with NATO Headquarters and with specialists in the United States on Missile Defence or Air Defence. But I also reminded our admin to buy classical roadmaps. In the case we have to perform ' manual operations'. As we can't always rely on Cyber and Space when we need to find our way in the world. And I wonder, how much 'manual' should we keep in our military system when it comes to Air & Missile Defence? What if our technological indications & warnings systems fail? Is there a backup?
Anyhow, if we are changing or transforming, we always aim at the future. Without With regards to Air & Missile Defence in NATO/Europe, I could make the case of knowing what it is. However, changing ' back' is never considered an option. transforming back to the well-engineered and designed strategic, operational, organizational and technical NATO structures before 1990. Although we were not always physically linked in during the Cold War, we were surely mentally and conceptually very well connected. And horizontally as well as vertically. We were integrated by NATO Opplans, Supplans, evaluations and clear Direction & Guidance. In other words; we were ready, without a Readiness Action Plan or Connected Forces Initiative. Sometimes changing back is not a retreat. It is like General MacArthur said; we are advancing in another direction.
Today we use our modern technology like smart phones or navigation aids. So does our adversary. Therefore we aim at tomorrow' s technology and weapon systems. But there is a catch. New technology is often based on so called legacy concepts, like the integrated air defence structure in the past. If that statement is paradoxically true, we are always out of operational alignment. My point? In Europe we try to align nations that have both legacy thoughts and legacy weapon platforms with nations converting to new doctrine and new technology. Speaking with one voice is hard, fighting as one even harder. Until now, most of the European nation's try to deal with legacy AD systems and new AMD concepts. Some even call that niche, but it is not. It is however a complicated task and we as NATO nations will have to put this together. We did it before. Therefore we need a vision and a plan, by starting to learn where we came from. We didn't come from PowerPoint, we came from integrated fighting power.
Intelligence: (F)Actual Developments
The year 2015 brought a lot of interesting developments in the field of Surface Based Air and Missile Defence.
Ballistic Missiles: Missiles and rockets were launched by many different nations for training or exercise purposes and we observed quite a number of real attacks from the sea, land and air. We witnessed an increase of mainly test launches of about 20 % to 25 % in North Korea, Iran, Pakistan and Russia. Special attention is paid to North Korea, which tried to launch Ballistic Missiles (BM) from a submarine. If North Korea will be successful in the future, this might change the strategic dimension in the Pacific region. We watched the very active Iranian ballistic missile program as they are focusing on extending their ranges, where other nations are looking for more accuracy or defying defensive systems in their development programs. Our conclusion is that worldwide the research and development of ballistic missiles increased. This year many missiles were built and tested to achieve various goals: better shapes, longer ranges, higher accuracy, fuel efficiency, improved propulsion and adapted guidance and control.
Cruise Missiles: We have seen a spectacular reentry of the 'neglected or forgotten' kin of the ballistic missile, the cruise missile (CM). More and more nations are interested in Cruise Missiles. That should be no surprise, as they are accurate, relatively cost-effective and easy to operate. Moreover, cruise missiles are not always bound by international agreements or treaties as sometimes they can fly a semi-ballistic profile, however they are not considered ballistic missiles. The INF treaty in fact helped the development of CMs. The real danger is that they are very hard to detect and to intercept, due to their very low observability (low radar cross-section), very low flying altitudes, adjustable flight profiles and last but not least their very high accuracy (GPS and/or combination with other guiding systems). Cruise Missiles are operationally very flexible: they can be launched from surface, subsurface or from the air. And CMs can be launched from great distances and penetrate air defenses (mostly) unseen before delivering a conventional or nuclear warhead. In the Atlantic we have known this for many years, and by now everybody knows. During the last weeks of December, the Russian Federation successfully launched a number of CM into Syria. Our conclusion is that Cruise Missile Defence must be on our joint agenda!
Background Information: The INF treaty
The INF treaty between USA and the Soviet Union from 1987 eliminated nuclear and conventional ground-launched ballistic and cruise missiles with intermediate ranges, defined as between 500– 5,500 km (300–3,400 miles).
This leaves these two nations with short range capabilities (up to 500 km) for CM and BM and their strategic capabilities (ICBM). However, other nations (e.g. China) are not bound and limited by the treaty.
See also: https://en.wikipedia.org/wiki/Intermediate-Range_Nuclear_Forces_Treaty
Summarizing, we note an abstract threat on the production, proliferation, deployment and use of ballistic and cruise missiles to many nations worldwide.
Classic Air Threat: Recurring events prompting QRA (Quick Reaction Alert) interventions culminated in the shooting down of a Russian (fighter-) bomber in the Turkish-Syrian border region a few weeks ago. This showed that air space violations occur and a perceived air threat remains in effect, even in peacetime. Therefore integrating air and missile defence will remain a priority. It experiences a renaissance after a period of relative neglect during the sole focus on crisis response operations in asymmetric conflicts. It does matter to us and will definitely continue to do so in the near future.
Maritime Integration:
In 2015 a draft operational Concept of Maritime Integrated Air and Missile Defence (MIAMD) was written and reviewed. The MIAMD aims at integrating the already existing maritime capabilities and it is based on the already existing NATO Integrated Air and Missile Defence (NIAMD) concept. The goal of this draft concept is to ensure efficiency and effectiveness of joint Air and Missile Defence forces, especially when units from different services and nations are working close together, inside and outside of NATO territory.
While this draft concept was still discussed amongst the Armed Forces of the Netherlands and Germany, it already became the operational basis for the upcoming exercise/experiment Constructive Optic Windmill (COW) 2016 and - following the given roadmap - also Joint Project Optic Windmill (JPOW) 2017. By exercising this draft concept in a joint and combined environment, it will be tested and proven several times. At the same time, by using it in seminars, of already available maritime contributions to Joint and Combined Air and Missile courses and trainings, this draft concept will assist to build a broader understanding Defence.
Besides that, several new tactics and procedures have been developed and exercised during the last year. Within the execution phase of the At Sea Demo (ASD) 2015 in the rough sea of the Hebrides, those new tools have been used and proven.
IAMD Concept Development:
In March 2015, Drafting Group 1 of the NATO Panel on Air and Missile Defence, was tasked to develop a vision on NATO Integrated Air and Missile Defence (IAMD) for 2030. A draft document was produced at the middle of December 2015 and will be sent to the Panel for approval. CC SBAMD was honored to contribute with subject matter expertise to the development of the document. Some of the findings in the draft document are as follows:
-
NATO Air and Missile Defence has been and will, in its evolution as NATO conduct the broad spectrum of air and missile defence missions in a changed security environment in order to preserve the integrity of its airspace, protect
-
IAMD, remain instrumental to deterrence, the indivisible security and freedom of action of the Alliance. NATO IAMD must be prepared to its territory, populations, forces and High Value Assets and Areas. Unmanned (autonomous) systems, stealthy platforms, hypervelocity and/or maneuverable missiles, swarming tactics, directed energy, WMD/E, cyber warfare and other emerging technologies will constitute a challenge in the future.
-
Whilst the current NATO IAMD is based on sound principles requiring no fundamental changes, the changed security environment in 2030 compels it to be even more combined, joint, integrated/interoperable and networkenabled. Enhanced surveillance, a BMC3I system facilitating decision superiority and a netted sensor-to-shooter system, supported by appropriate passive defence measures, will enable NATO IAMD to counter the future air and missile threat.
The new tasking for DG-1 for 2016 will be to analyze the responses on AMDrelated capabilities to the Defence Capabilities Review with the aim to use the result of this analysis to create a better overview on IAMD capabilities, which would then serve as baseline for the next IAMD Planning Guidance. CC SBAMD will gladly participate in this analysis and is looking forward to start this tasking in 2016.
CC SBAMD Air and Missile Defence Conference:
Change in the past, present and future. That is why the "Back to the Future" concept of time travel is chosen to be the topic for our classified CC SBAMD Conference in Soesterberg / The Netherlands, scheduled for 5 to 7 April 2016. We will mirror the former Air Defence structure that was based on its military effectiveness in crisis and conflict with more contemporary structures, made out of efficiency in political peacetime. But there is more to tell. In short, we will give you a 'food for thought' picture of developments and ideas that we think are interesting. You will need a special US/NATO clearance to join the conference. Currently, we are putting together the details of the conference. We will add and update the information on our homepage www.ccsbamd.org/CC-Conference/ on a regular basis, so please feel free to visit and stay up-to-date.
Training and Education:
Traditionally, CC SBAMD offers an Advanced IAMD Course twice a year. Due to our high level of commitment in the first half of 2016, unfortunately, there will be likely only one course in 2016. This course will take place in the second half of the year. Once we have set the date, we will announce it on www.ccsbamd.org/Operations/.
White Paper:
Last month, we published our first white paper on the collaboration with Third Party Nations when it comes to Ballistic Missile Defence. Although we are well aware that many entities in the community are thinking along roughly the same lines of thought, we still hope to provide added-value and stimulate discussion.
Without telling too much at this point, a number of additional White Paper are 'in progress', so please visit www.ccsbamd.org/Plans/ from time to time for new publications. We will also announce new releases in future newsletters.
Deployment of RUS S-400 to Syria
End of November 2015, RUS deployed a S-400 Триумф (NATO SA-21 GROWLER) system to Hmeimim Air Base near Latakia/Syria. This system can be configured in many possible ways using a whole sensor suite. If the most capable sensors and effectors are available, this will give RUS an acquisition range of about 600 km and an engagement envelope of about 400 km.
S-400 Deployment:
Hmeimim airbase near Latakia/SYR.
Depicted radar range is depending on available sensor.
Depending on deployed sensor, actual ranges might be less.
RUS S-400 (SA-21) Quick Fact Sheet
Interceptor speed:
* up to 4.8 km/s (3 miles/s // Mach 14).
System Parameter:
* Surveillance: up to 600 km (372 miles).
* Tracking capacity: > 100 targets simultaneously
* Engagement: up to 400 km (248 miles);
* Altitude: max. 30 km
Target Types:
* Aircraft,
* Cruise missiles,
* Medium-range missiles,
* Drones,
* Other airborne surveillance systems.
Sensors:
* Various sensors can be used
* Acquisition Ranges vary with sensor type
Sources: OSINT - (BBC, RIA Novosti, Russian 1TV.ru)
Last, but not least, I wish all of our friends and partners a quiet and peaceful Christmas, Happy Holidays and a great start into 2016.
Yours sincerely,
Ben Kamstra Colonel RNLAF
Commander CC SBAMD
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35th International Society for Animal Genetics Conference
P4067 Comparing genetic diversity of pig populations on the US mainland, Pacific Islands and China: Y chromosome evaluation. D. A. Faria (National Animal Germplasm Program, Fort Collins, CO), S. R. Paiva (Embrapa-Labex US-Secretariat International Affairs, Brasilia, Brazil), C. Wilson (National Animal Germplasm Program ARS-USDA, Fort Collins, CO), and H. Blackburn (National Animal Germplasm Program ARS-USDA, Fort Collins, CO)
Genetic diversity unpins a country's ability to adapt its livestock populations to varying environmental, production and consumer changes. Conservation of genetic resources in gene banks supports national conservation efforts. Previous work with ruminants suggests US populations held in the national gene bank are genetically diverse. Here we evaluate the genetic variability captured in the US gene bank focusing on differences among Y chromosomes for different pig populations. Pigs provide an interesting model for such a study in that mitochondrial analyses suggested pigs and wild boars have a worldwide distribution with multiple domestication centers. This study analyzed 485 boars belonging to 16 breeds (7 commercial: Berkshire, Duroc, Hampshire, Landrace, Yorkshire, Chester White, Spotted; 6 rare: Guinea Hog, Hereford, Large Black, Mangalista, Ossabaw Island, Tamworth; 3 from China: Fengjing, Meishan, Minzhu) and 3 feral populations (Pacific islands of Guam, Kauai and Hawaii) by 14 SNP markers on the Y chromosome in a commercial 70K chip. After quality control (SNP call rate, heterozygosity and absence of polymorphism), 6 of the 14 markers remained in the analysis. Five different haplotypes were found among the animals sampled. The H3 was present in 278 samples (57%). Except for Large Black and Mangalista, this haplotype was observed in all breeds that came to the US via the Atlantic. H3 was also the only haplotype observed in Duroc, Yorkshire, Tamworth, Hampshire and Guinea Hog breeds. The haplotypes H1 and H2 were present in pigs from the Hawaiian Islands, China, and the US mainland. If this represents admixture between Asian and European populations it would seem to have taken place a relatively long ago. The H4 haplotype was exclusive to animals from China and the Pacific islands. Pigs from Guam and Kauai islands were the only populations exhibiting the H5 haplotype. Median joining network analysis has shown that haplotypes H4 and H5 (China and Pacific islands) are closer than the remaining three haplotypes. However, there seems to have been no human migration between Guam and Kauai Islands but there may have been exchange between Guam and Polynesia. We find it interesting that 10 of the populations sampled only exhibited one haplotype and this lack of variation was inclusive of both rare, commercially important, and Chinese breeds.
Key Words: animal genetics resources, molecular markers, conservation genetics, gene banks, phylogeography
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One of the best things about *Magnum* magazine is that not only do we welcome reader’s correspondence, but do our best to provide a comprehensive and authoritative reply to each and every one of them. This is an entertaining business as it often happens that what emerges from the research runs counter to commonly held ideas on the subject, which often provokes a further reaction from other readers, all of which adds to our store of knowledge.
One of the topics that came up recently was how the new black powder Obatex performed, and another concerned the safety mechanisms that ended up on the US Government Model 1911 in calibre .45 ACP.
The Model 1911 query proved the easier to answer as it was a matter of historical record that John M Browning’s original thinking in his initial model of 1905 turned out to be a concept (hammer down on live round) that ran contrary to modern day opinion. The remainder of the safety features we are accustomed to on the final Model 1911 may well have been developed by Browning (or his employer’s design team) but the modifications were introduced at US Army insistence over a period of time.
The Obatex queries were a bit harder to answer as Obatex is currently not available to us in Durban. However, the Black Powder Shooting Union gave us a lot of help and provided much useful information. For further testing, we drove through the night from Durban to Pretoria and back to secure a tin of powder which was brought home in triumph. *Magnum* writers are made of hard flesh and unalterable resolve.
So there we were, with a tin of Obatex in one hand and a Model 1911 in the other, when a piece of editorial comment in the April 2017 edition (P61) caught our eye. Responding to the original .45 Auto query, it said: “We will publish his (meaning the present author’s) response which we will probably receive inscribed on a .45 calibre lead bullet, the cartridges stoked with black powder and fired our way from a Mod 1911”.
Oh Really? One clear point that emerged from the Model 1905 – Model 1911 research was that the design of self-loading handguns was held back for many decades because black powder (the only propellant easily available up to 1890) would not operate a self-loading mechanism. Only nitro powders give the long strong push that...
was needed to overcome spring pressure, eject, cock and reload the piece. Added to that is the freedom that nitro powders have from the fouling associated with black powder which would otherwise gum up the works. Nitro powders only came out around 1890, which led almost immediately to the Borchardt of 1894, the Mauser of 1896, the Luger of 1898 and of course Browning’s designs thereafter.
Black powder, after all, is a weak propellant, generating only about 30–40% of nitro powder operating pressures. This is partly because, even at the best of times, only 50% of the products of combustion are high pressure gas and the rest become black sticky fouling. Worse than that, black powder energy is given up in a single impulse which is relatively low and of short duration, insufficient to cycle the mechanism. Added to that, the fouling is dumped in the chamber and barrel such that successive cartridges do not chamber and the mechanism seizes up after the first few shots – assuming that the impulse from the first cartridge was ever strong enough to work the recoil mechanism in the first place.
BLACK POWDER DOES not work in self loaders. Period. Everybody knows this, Hugo Borchardt, Georg Luger, the Mauser brothers, John Moses B. It’s in all the books.
But here was a tin of Obatex which has proven to be a strong propellant with low fouling characteristics and here was a Model 1911 presently unoccupied. So what would the Obatex actually do in a Model 1911, which is legendary for its ability to perform under all conditions? Probably nothing at all, for the above mentioned reasons.
However, the editor’s wishes are a writer’s command, so we gave some thought to what a .45 ACP black powder load might look like. It must have the maximum amount of powder in the case, of course, which proved to be 13gr of FFg Obatex, which is theoretically too slow burning for pistols, but it was all we had.
We also figured that, since the normal .45 ACP jacketed bullet had no grease grooves to combat fouling, it wasn’t any use either. We did have some 230gr round nose lead bullets intended for Webley loads, a tad too heavy for the recommended loads in a .45 ACP but there again, there WERE no recommended black powder loads for the .45 ACP. So, we thought that the two grease grooves would carry some much needed lubricant and the extra mass of the bullet might just provide the extra recoil to work the mechanism. In summary, we were over the Edge and out in the Unknown.
The next question was, how many cartridges should we make up? My betting was that the first shot would fire, maybe there would be just enough recoil to cycle and chamber another round but the fouling would kick in and the third round (if any) would most likely smokestack and that would be the end of the test.
On the day, I loaded up 16 rounds, two magazines full and two spares, mainly for the reason that I had exactly that many empty cases of that particular head stamp and if we hit a problem they were expendable anyway. After all, we never expected to use more than three.
The first shot went off just fine except for the cloud of smoke which should not have surprised me. Having some experience of “double taps” I carried right on as fast as I could and suddenly found myself with an empty pistol with the slide back. Quite frankly I was astounded at having got this far but presumably experience kicked in at this point and I changed mags automatically and kept on popping away as fast as I could. Going by the photos, at one point I had three cases in the air at once (a personal best with an unaltered issue .45 ACP). The second mag disappeared faster than the first one and still the old Model 1911 felt hungry for more.
BUT BY THIS time I only had two rounds left and felt it best to chronograph those to find out what was going on and ended up with a velocity of 770fps which was quite respectable. The big puzzle was to why the pistol worked at all when all of the authorities said that it wouldn’t. However, 770fps generates around 300ft-lbs of energy which is the low end of .45 ACP ballistics, which, it would seem, was just sufficient to make the whole thing work. That, a slightly heavier bullet to provide more recoil, and the fast firing so that the fouling didn’t have time to dry out.
[According to Somchem a minimum load of 4.9gr MS200 propels a 230gr RN Eagle cast bullet at 755fps from a 5 inch barrel and the maximum load (5.5gr) delivers 846fps. So, 770fps is an impressive result for Ffg. I cannot but wonder what FFF would do in the .45. ED.]
I guess that the bottom line here is that the received wisdom over the last 120 years that self-loading pistols won’t work with black powder might just be a myth. For sure, this new Obatex is impressive stuff, though I think that the real accolade should go to the Model 1911 as being an amazing pistol that just keeps on going, no matter what. One myth busted, another legend (written on a lead bullet and fired by black powder) confirmed.
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Mark Scheme (Results)
Summer 2014
Pearson Edexcel GCE in Design & Technology Product Design Graphic Products 6GR03 01 (Paper 01: Designing for the future)
Edexcel and BTEC Qualifications
Edexcel and BTEC qualifications are awarded by Pearson, the UK's largest awarding body. We provide a wide range of qualifications including academic, vocational, occupational and specific programmes for employers. For further information visit our qualifications websites at www.edexcel.com or www.btec.co.uk. Alternatively, you can get in touch with us using the details on our contact us page at www.edexcel.com/contactus.
Pearson: helping people progress, everywhere
Pearson aspires to be the world's leading learning company. Our aim is to help everyone progress in their lives through education. We believe in every kind of learning, for all kinds of people, wherever they are in the world. We've been involved in education for over 150 years, and by working across 70 countries, in 100 languages, we have built an international reputation for our commitment to high standards and raising achievement through innovation in education. Find out more about how we can help you and your students at: www.pearson.com/uk
Summer 2014
Publications Code UA038525
All the material in this publication is copyright
© Pearson Education Ltd 2014
General Marking Guidance
* All candidates must receive the same treatment. Examiners must mark the first candidate in exactly the same way as they mark the last.
* Mark schemes should be applied positively. Candidates must be rewarded for what they have shown they can do rather than penalised for omissions.
* Examiners should mark according to the mark scheme not according to their perception of where the grade boundaries may lie.
* There is no ceiling on achievement. All marks on the mark scheme should be used appropriately.
* All the marks on the mark scheme are designed to be awarded. Examiners should always award full marks if deserved, i.e. if the answer matches the mark scheme. Examiners should also be prepared to award zero marks if the candidate's response is not worthy of credit according to the mark scheme.
* Where some judgement is required, mark schemes will provide the principles by which marks will be awarded and exemplification may be limited.
* When examiners are in doubt regarding the application of the mark scheme to a candidate's response, the team leader must be consulted.
* Crossed out work should be marked UNLESS the candidate has replaced it with an alternative response.
2(a) Any three of the following statements in a sentence, up to a maximum of 3 marks.
* The environment should be seen as an asset that should be protected (1)
* Development must not compromise needs of future generations (1)
* The environment must meet present and future needs (1)
* Safeguarding the world's resources / minimising the depletion of resources / deforestation (1)
* Finding better environmental ways of extraction / mining / manufacturing / producing energy (1)
* Ensuring the quality of life for future generations (1)
* To ensure worldwide impact of environmental policies / all countries need to contribute (1)
* Protection of wildlife, their habitats and environments (1)
* To allow developing countries to expand their economies and manufacturing base (1)
* Reduces atmospheric pollution / CO² emissions / global warming (1)
| | Question | | Answer | Mark |
|---|---|---|---|---|
| | Number | | | |
| 1(a) | | Any four of the following statements in a sentence, up to a maximum of 4 marks. • Used as a safety indicator in products that might be used in the kitchen (1) • Used as a safety indicator in products such as cutlery used by children (1) • Used as a safety indicator in products used in the bathroom e.g. bath toys (1) • Used on containers to register correct temperatures for the storage of foods (1) • Used as a thermometer e.g. forehead thermometer/room thermometer/fish tank thermometer (1) • Used for novelty effect e.g. décor/children’s toys / mugs / cups (1) • Used in food storage / fridges to indicate correct/safe temperature (1) • Radiator warning label / sticker (1) (4 x 1) | | |
| 1(b) | | Any four of the following statements in a sentence, up to a maximum of 4 marks. Advantages • Colour change give an indication of safe temperature (1) • Removes need for external thermometer (1) • Encourages children to make safety checks (1) • Gives novelty value (1) • Clear visual warning / indication of temperature (1) • Ease of use (1) • Thermochromic temperature indicators are cheaper than conventional thermometers (1) Disadvantages • Difficult to achieve a precise temperature reading (1) • Limited range of colours (1) • Become less effective over time (1) • Can lead to complacency (1) • Can be slow to react for some applications (1) • Products can be more expensive than conventional products (1) Do not accept answers that state ‘cheaper’ or ‘more expensive’ unless qualified [Max 3 marks if only one side of discussion put forward.] (4 x 1) | | |
| | | | Total for question | (8) |
(3 x 1)
Example:
The environment must meet present day demands (1) and safeguard resources (1) for future generations. (1)
2(b) Any five of the following statements in a sentence, up to a maximum of 5 marks.
* They take a long time to break down / decompose /they fill landfill sites (1)
* Burning polymers is not a good way to dispose of them as this causes air pollution (1)
* Polymers are a fire hazard (1)
* Polymers produce toxic materials / gases when burnt (1)
* Increased demand for oil, consumes energy during transportation / utilises land at extraction facilities and refineries / produces pollution during transportation and extraction (1)
* Difficult to dispose of/recycle some non organic polymers (1)
* Increased exploration of wilderness environments (1)
* Environmental issues / accidents / loss of wildlife habitat / other impacts on wildlife (1)
* Emissions resulting from polymer production/recycling (1)
* Polymers are manufactured from non-renewable fossil fuels (1)
* Visual/ground pollution of landfill sites (1)
(5 x 1)
(3)
Question Answer
Mark
| 3(a) | Any three of the following statements in a sentence. • Manufacturing on a much larger scale (1) • Coal / natural gas is often in plentiful supply meeting the demand for increased energy (1) • Increased demand for fossil fuels used in electricity production (1) • Mechanisation/new manufacturing technologies use energy (1) • Greater mobility / use of transport requires fuel and energy (1) • More centralised production increases transportation to market (1) • Factories operate 24/7 / mass production producing a continuous need for energy (1) • Advanced technologies require industrial production (1) (3 x 1) | (3) |
|---|---|---|
| 3(b) | Advantages • Hydroelectric, tidal and wave power can be harnessed (1) • Fossil fuels are not required/preserved for future generations (1) • Does not produce carbon dioxide/greenhouse gases/air pollution (1) • Hydroelectric plants are highly efficient (1) • Hydroelectric plants have longer economic lives than fuel fired plants (1) • High initial setup cost quickly recovered after a few years (1) • Reservoirs used for leisure/tourism and recreation (1) • Large dams protect towns down stream and control flooding (1) • Can provide off grid power in isolated locations (1) • Reliable/free source of energy/inexpensive in comparison to fossil fuels (1) • Water can be pumped using off peak power (1) • No start-up time/instant power (1) • Water is in abundant/unlimited supply and readily available (1) • Reduced risk of environmental accident (1) • low running costs (1) Disadvantages • High set-up costs (1) • Reservoirs use large land area/footprint (1) • Communities may be displaced (1) • Rivers maybe diverted / cause problems for people who rely on the river economically (1) • Dam failures have the potential for disasters (1) • Greenhouse gasses produced can be high in tropical regions due to decay of plant life in reservoirs producing methane (1) • Disruptive to surrounding ecosystems (1) • Cause changes to the downstream river environment (1) • Visually intrusive (1) • High maintenance costs (1) • Difficult environment for maintenance (1) • Not suitable for all locations (1) Maximum 4 marks if all advantages or all disadvantages (5x1) | (5) |
Number
| | Question | | Answer | Mark |
|---|---|---|---|---|
| | Number | | | |
| 4 | | Any six of the following statements in a sentence, up to a maximum of 6 marks. • Reduces need to cut down trees / deforestation (1) • saves resources for future generations (1) • Reduces chemical contamination (1) • Maintains existing natural habitats (1) • Allows timber to be used for other sustainable uses (1) • Reduces soil erosion/landslides (1) • Maintains existing ecosystems (1) • Reduction of chemicals required (1) • Maintains CO oxygen conversion (1) 2 • Less space in landfill / less waste produced (1) • Reduce CO2 emissions / pollution that would happen when extracting / transporting / processing raw materials (1) • Reduced energy required for recycling compared to using virgin fibres (1) (6 x 1) | | |
| | Question | | Answer | Mark |
|---|---|---|---|---|
| | Number | | | |
| 5(a) | | • Sequential product development is where each stage of development is completed before moving on to the next stage (1) • Concurrent manufacturing is where the stages of development / manufacture overlap / involve a team approach (1) (2 x 1 ) | | |
| 5(b) | | • Helps reduce time to market (1) • Reduces the need to make design modifications later/right first time (1) • Can reduce design / manufacturing costs (1) • Improves product quality (1) • Can improve customer satisfaction (1) (2 x 1 ) | | |
| 5(c) | | Any four of the following statements in a sentence, up to a maximum of 4 marks. • An integrated system linking a group of manufacturing cells (1) • An automatic material handling system is linked to a central computer (1) • Capable of producing a variety of parts (1) • Machine flexibility can switch from the machining of one component to another (1) • Routing flexibility allows several machines/cells to be used at the same time (1) • Can be used even when only small quantities are to be made/suitable for small or large batch production (1) • Can be linked to integrated computer systems to match production to sales demand (1) • Highly automated can be reprogrammed (1) • Staff trained to work on different machines and processes (1) (4 x 1 ) | | |
| | | | Total for question | 8 |
Question Answer
Mark
| 6(a) | Any two of the following statements in a sentence, up to a maximum of 2 marks. • A system designed to coordinate processes / resources / information / activities / shared database (1) • Integrates software from all departments into one system (1) • Provides a software road map for fulfilling customer orders (1) • Information required to fulfil an order is instantly accessible to all staff (1) • Instant updating of information (1) • Easy tracking of customer orders through to invoicing (1) (2 x 1) |
|---|---|
| 6(b) | There MUST be advantages and disadvantages discussed. At least one from either side for full marks Advantages • All elements in the supply and production chain easily accessed (1) • All the workforce can see the same information (1) • Information concerning order can be updated instantly/team members are updated (1) • Allows for greater time/efficiency in customer management (1) • Perceived company effectiveness improved (1) • Improved customer satisfaction (1) • Improves communication within the business (1) • Customer orders easily tracked (1) • Customer orders processed quicker (1) Disadvantages • Expensive to install (1) • Success depends on skill / experience of workforce (1) • High quality on-going training needed (1) • System failure affects all areas of the business (1) • Maybe teething problems with system introduction (1) • 24/7 operation maybe interrupted by down-time (1) Maximum of 5 marks if only advantages or only disadvantages are discussed. (6 x 1) |
Number
6(c) Any four of the following statements in a sentence, up to a maximum of 4 marks.
* Security of financial or personal details/hackers obtaining details (1)
* How do I return it/cost of returns (1)
* Is it what I want/correct size/no hands on experience of product
(1)
* Delivery/who will be in to receive it/length of delivery / Not knowing when it will be delivered (1)
* Does the photograph correctly represent the product/misleading product description (1)
* Damage in transit (1)
* Personal information can be shared with other companies (1)
* Time needed to trawl for the correct item (1)
* Possible increase in junk mail / scams / phishing / viruses (1)
* Slow broadband access/loss of connection/technical faults (1)
* Added on costs such as VAT / postage (1)
* Difficulty in navigating web pages (1)
* Is the website/product genuine/trustworthy? – risk of fraudulent activity (1)
(4 x 1)
Total for question 12
(4)
Question Answer
Mark
| 7(a) | Any four of the following statements in a sentence, up to a maximum of 4 marks. • Learner cannot be involved in any real accidents / no expensive repairs to cars (1) • Reduces risk to learner and other road users (1) • There is immediate feedback/allows playback of the simulation/lesson/experience (1) • Allows learner to understand how to avoid situations where accidents could happen (1) • Weather conditions can be simulated (1) • Allows practise on different types of road e.g. motorways / rural / urban roads (1) • Driving at different times of the day can be simulated e.g. rush hour / night time (1) • Allows learner to practice alone own without any help (1) • Helps identify strengths and weaknesses (see how driver would react), with the simulator pinpointing errors (1) • Because the learner is familiar with the controls, they will be able to concentrate on what's going on around them rather than what they are doing with their hands and feet (1) • Allows learner to gain basic driving skills before going out in a car (1) • Allows hazardous / real life scenarios can be to presented to the learner (1) (4 x 1) |
|---|---|
| | Number | | | |
|---|---|---|---|---|
| 7(b) | | Any eight of the following statements in a sentence, up to a maximum of 8 marks. • Software allows designers to work individually or in teams (1) • CAD used throughout the design process allows for quick editing / modifying in light of client feedback (1) • Detailed engineering drawings can be generated from 3D models / drawings and give manufacturing information very quickly (1) • Computer modelling can visually test ideas / components on screen (1) • CAD can virtually test designs under load and simulated operational conditions (1) • CAD gives photorealistic images suitable for marketing / brochures (1) • CAD reduces the need for labour intensive drawing offices (1) • CAD data easily transferred electronically (1) • Individual drawings can be stored in libraries on file and allows designers to call on them at any time (1) • Allows for zoom in and out when drawing to scale (1) • Allows for cut, paste, rotate, mirror images at speed so redrawing not needed (1) • Mistakes and changes can be easily edited/do not require total redraw (1) • CAD incorporates tools to add common manufacturing/engineering operations such as internal/external threads, knurling, chamfer, radius etc (1) • Can add textures/rendering/shadows/materials to make it look realistic (1) • CAD facilitates the use of rapid prototyping to facilitate the testing and evaluation of designs/gain client approval (1) • CAD allows 3D virtual modelling that can be rotated and viewed from any angle (1) • Software is integrated so changes to one part (or view) of the design automatically marks changes to corresponding parts (or views) of the design (1) • Automatic dimensioning of the design (1) • Virtual models can be superimposed onto photographic images to test the aesthetics of the product in its proposed environment (1) • CAD can be used to produce simulations/virtual ‘walkthroughs’ or ‘flypasts’ for presentation to a client (1) • Any appropriate specific cost advantage identified (1) (8 x 1) | | |
| | | | Total for question | 12 |
Question Answer
Mark
Number
The Art Deco Movement.
Both philosophy AND design style must be addressed.
Philosophy
* Popular modernism (1)
* Decorative / elegant / opulent / glamorous style (1)
* Eclectic / ideas come from a wide range of sources (1)
* Primary purpose to be beautiful / ornamental (1)
* Both hand-crafted and machine-made items accepted (1)
* A response to human need for pleasure / a reaction against austerity (1)
* Affordable materials should be used (1)
* Opulent architectural and decorative arts style (1)
Design style
NB. NO credit for examples.
* Based on geometric shapes / stepped forms / chevron patterns / fan shaped motifs / sunburst (1)
* Bright vibrant colours (1)
* Influenced by primitive arts (1)
* Symmetry and repetition (1)
* Designs based upon arts of Africa / Egyptian / Aztec influences (1)
* Controlled chaos
* Modern materials / aluminium / Bakelite / steel / chrome inlaid woods used (1)
* Expensive materials ivory/bronze/polished stone used (1)
* Exotic materials / sharkskin / zebra skins used (1)
[Max 5 marks if only philosophy or design style are discussed.]
(8 x 1)
Total for question
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The Care Aims Intended Outcomes Framework
Collaborative Decision-making for Well-being
What is the Care Aims Framework and how does it relate to Public Services?
* The Malcomess Care Aims approach is a powerful framework for service improvement. It is a population-based, person-centred approach to provision based on the fundamental ethical principal that all public services have a duty to do the most good and least harm for the most number of people in the populations they serve, within the resources they have available. It proposes that the only equitable way of doing this is by working out which people in the population are most at risk of not reaching their potential/being harmed and which of these risks/impacts would be reduced by the provision of one or more services.
* Service provision is spread across all four levels of the population (level 1(universal), level/tier 2 (targeted), and levels/tiers 3 & 4 (specialist), requiring a robust skill mix to manage complex cases and undertake sophisticated decision making and negotiation. The aim is ultimately to create a competent population that can be supported to manage their own lives.
* The Care Aims approach provides a strong strategy that encompasses managing a service, informing the population, empowering the workforce around the service user, and supporting the person and their family to manage their own lives wherever possible.
* Over 150 services/teams and organisations across the UK are using this way of evidencing practice in a wide variety of contexts.
* It is a person-centred, rather than a problem-centred, approach. It requires practitioners to ask "can I help change the impact of this problem on this person's life, and am I the best person to offer this help?" rather than "what is wrong and can I change the problem?"
What are the benefits of the Care Aims approach?
* It is a population-based approach that manages demand by managing the referral boundary and supporting public / workforce responsibility.
* It ensures capacity management decisions remain faithful to the ethical core principles of justice/fairness.
* It provides transparency of decision-making about professional input/allocation of resources
* It provides high quality services, value for money, and efficient services which empower the public and involve them as partners in achieving outcomes.
* It promotes self help and personal responsibility
* It prioritises clients for specialist intervention by considering the impact of a problem/disorder/ situation and the risk of them not reaching their potential, not on the severity of their disorder.
* It focuses on continual quality improvement and is professionally led.
* It is a powerful framework for reflective practice in professional decision making, thus it helps evidence effectiveness and supports professional reasoning
* It is an outcomes-centred approach, so focuses on the reasons for intervention rather than on the type or amount of input delivered.
* It is much more than simply a way of measuring outcomes
Implementation of the Care Aims approach involves:-
Organisations considering adopting this approach will need to develop a strong project process that encompasses a clear strategic steer and considerable tolerance for service redesign as follows:
* Redeployment of specialist staff to support all levels of risk management (universal, targeted and specialist)
* Re-defining relationships at the referral boundary to enable collaboration and helping relationships
* Re-focus of admission and discharge criteria at level 3
* Review of skill mix with a bias towards highly skilled practitioners working more as consultants and advisors at all levels
* Validation of current caseloads and waiting lists at level 3 to support capacity decisions
* A minimum of 4 days training for each member of staff over a 12 – 18 month period.
* Involvement of all partners to support consistency of message and approach
* Systems to record clinical and service outcomes with easy access to this information at all levels
* Involvement of service users in designing and reviewing service design and care packages and care plans
* Support from the organisation for service leaders to ensure implementation results in consistent change in practice across the whole staff group.
* The training of in-house trainers to support and sustain the use of the model in practice and with new staff.
How does the Care Aims approach work? (see table 4)
For the general population, specialist practitioners work at level 1 (universal) with commissioners and service leads in health promotion and prevention activities, including education of referrers and the public in the risks relating to a variety of disorders and difficulties, the scope of the help available and how to access services.
For targeted sub-populations, specialist practitioners work at level 2 (targeted) with the workforce and the public on managing the impact of identified problems by changing attitudes and opportunities and by creating supportive and effective environments. This includes training courses for groups of professionals or the public, with target groups being determined by the need and demographics of the population.
Therefore work at level 1& 2 is a population-based consultative model. The main objectives at levels 1 & 2 include health promotion & prevention, identification & signposting, and include reassurance, support and education.
When a member of the public is referred for specialist help (level 3), a decision has to be made as to whether intervention will be most effective at this level. If the most effective approach is assessed to be direct input to the referred client (direct treatment) then the client is offered a time-specific package of care. A Care Aim is allocated to this care to clarify the intended outcome and, thus, effectiveness of intervention is measured using a variety of clinical outcome measures according to the Care Aim allocated. Outcomes relate to the impact of the presenting problem rather than the condition/problem.
The person's journey (see diagram 1)
Following a request for help, support or advice, a triage decision is made on whether the impact of the problem can be managed at levels 1 & 2 by signposting and supporting universal or targeted services, or whether to admit the person for further assessment at level 3.
If further assessment is indicated a duty to assess is opened. The level of harm or future harm (in relation to illness/impairment, psychological well-being and day-to-day functioning) will suggest a level of urgency for assessment which considers the degree to which the person is impacted now in their daily life and the risk of future impact if their difficulties are not addressed. The over-riding consideration in deciding whether to admit a client for treatment will relate to the degree to which the practitioner can predict a reduction of the identified harm/impact as a result of their intervention.
If the decision is made to admit the client for intervention at level 3 service, a duty of care is opened and one of 7 'care aims' is selected, to clearly define foreseeable outcome for the first phase/episode of intervention. Before a package of care is provided, an episode goal is set and a baseline is taken against which the outcome can be measured. Intervention at level 3 may be direct or indirect, in a variety of locations, and is set for specified episodes. Each episode is followed by re-assessment of the impact of the problem to determine whether to open another episode and set another Care Aim or whether to close the case and signpost the person back to universal or targeted services.
If the client needs to access help at Level 4, practitioners working at this level would also use Care Aims to evidence their practice.
Original summary written by Dr Lisa Hirst, Salisbury District Hospital, after training by Kate Malcomess.
Edited by Kate Malcomess (November 2009 and updated 2015)
Care Aims Pathway (Diagram 1)
Based on the impact of the problem on the person and on his/her day-to-day life, and how much loss of potential or harm this is causing.
Level 1- Universal services
Health promotion / prevention
Duty of care of specialist level staff is
to the population
Work includes general education of
referrers, public, and workforce on
prevention and
access to & scope of services
Level 2 -Targeted services
Consultative work to people with open
duties of care
Duty of care of specialist level staff is
to the workforce and targeted groups
Work includes advocacy, consultation,
training and support
Level 3 Specialist services
Treatment or management
Duty of Care is to the client
Direct or indirect intervention
Specific Care Aim set
Effectiveness of intervention is
measured by clinical outcome tool
Request for Help
(referral form or drop-in
or help line)
Triage
to identify overall impact
of problem, condition or
situation on this person
and whether to a
ssess
further (urgent or
routine) or to
offer support at Levels
Levels 1 or 2
Assessment
To decide whether to
(re-)admit the client for
treatment or
management,
within
priority
bands
(high, medium or low)
Outcome
measured
Triage is based on the following guidelines:-
Table 1
| Functional ability (level of disability resulting from the problem) |
|---|
| Impact of the disability on daily life and the burden of care on the carers / educators |
| Impact of the environment (s) on the client’s ability to live their chosen life |
| Level of anxiety and insight shown by client/carers/educators/others |
| Timing: evidence available that suggests delaying care has an impact on the outcome |
Scored as urgent, routine or not necessary to admit for further assessment / investigation
Prediction of Effectiveness at level 3 is based on the following guidelines:-
Table 2
Motivation:
the client's (or carer's) likely engagement in and responsibility for treatment
Likely outcome:
the evidence for, or previous response to treatment indicating, a good prognosis
Stability of the impact / situation
(in relation to the likely effectiveness of care)
Level of help the client is already receiving
from other services, and the client's response to this (in relation to prognosis)
Scored as a high, medium or low priority, for admission to level 3 treatment or management.
Level 3: Direct Professional Intervention
Each Care Aim clarifies why the practitioner is intervening at Level 3, and helps to identify the intended outcome for the first episode of care. A SMART episode gaol and a set short term goals are agreed.
At the end of each episode, the effectiveness of input can be measured, according to the Care Aim used and against the baseline taken at the start, using one of several Professional Outcome measures (such as COPM, TOMS, EKOS, Visual analogue scales, etc). The measure will match the intention.
Involvement with many clients requires more than one episode and thus a Care Pathway is described in terms of episodes, care aims and clinical outcomes.
Table 3.
| Care Aim | | Intention of Interv | | examples of possible |
|---|---|---|---|---|
| | | | | outcome measures |
| Investigation (Assessment) | | | To determine the nature and impact of the | Assessment protocols. |
| | | | presenting problem, condition or situation. | |
| Prevention (Anticipatory) | | | To anticipate and prevent or reduce the | |
| | | | chance of any future difficulties. | |
| | Stabilisation | | To slow down or stabilise a deteriorating | |
| | (Maintenance) | | functional impact or situation. | |
| Participation (Enabling) | Participation | | To reduce the impact of the problem / | |
| | (Enabling) | | condition / situation, and increase | |
| | | | functioning, thus enabling the person to take | |
| | | | part more in his/her daily life | |
| Resolution (Curative) | | | To resolve the problem, or improve the | |
| | | | client’s skills and facilitate lasting change in | |
| | | | these to within normal limits (increased | |
| | | | participation is not expected at this stage) | |
| Improvement (Rehabilitation) | | | To reduce the problem, or improve skills, | |
| | | | though they are unlikely to reach normal | |
| | | | limits (increased participation is not | |
| | | | expected at this stage) | |
| Adjustment (Supportive) | | | To facilitate change in feelings, attitudes and | |
| | | | insight about care and/or the presenting | |
| | | | problem. | |
| Comfort (Palliative) | | | To increase comfort (where no other change | |
| | | | is possible or appropriate) although the | |
| | | | impact of the problem / condition and the | |
| | | | impact on daily life remains the same | |
Resources are spread across all four population levels. The type of work and the skills required are different at each level as described below in table 4.
Table 4.
Level of risk Type of Clinical work
Skill mix in
Example client / work
Health
| Level 2 Targeted | Consultative work with the public and workforce:- • Working on managing impact of the problem on the targeted population by changing attitudes, environment and opportunities in specific places / people • Training other professionals / parents /carers/educators, etc. | Bands 8 and 7 involved in training the specialist workforce and complex consultation where sophisticated decision making and negotiation is needed. Other Training and consultation planned and delivered mainly by bands 7 & 6, with band 5 to gain experience. | |
|---|---|---|---|
| Levels 3 & 4 Specialist & Regional There is a clinical risk and the professional has a duty of care | Treatment:- • Working with client (as well as family and workforce) • Working on skills/client attitude/condition (where managing the impact of the difficulty on the client cannot be achieved only through changes in opportunities, others’ attitude, or the environment) • Care Aims used to define the reason for intervention and to set short term goals and monitor effectiveness • Clinical effectiveness measured by clinical outcomes related to each care aim | | |
| | | | Mostly bands 3, 4, |
| | | | 5 & 6 to |
| | | | consolidate skills, |
| | | | and develop |
| | | | specialist skills. |
| | | | Bands 7 & 8 to |
| | | | work with complex |
| | | | cases, and offer |
| | | | support and |
| | | | second opinions. |
| | | | Skill Mix |
| | | | Proportion of time |
| | | | working at level 3 |
| | | | by band is |
| | | | recommended to |
| | | | be approx: |
| | | | 90% of B3,4,5 |
| | | | 80% of B6 |
| | | | 60% of B7 |
| | | | 40% of B8 |
| | | | (varies according |
| | | | to demographic) |
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Date: Mar 04, 2020
Page 1 of 23
ZHENGZHOU F-WHEEL INDUSTRIAL CO., LTD ZHENGZHOU CITY LIANYUN ROAD 27 DISTRICT NO. 123 HUANGHE SCIENCE AND TECHNOLOGY COLLEGE SCIENCE AND TECHNOLOGY PARK ( SOUTH) B
Sample Description
: D3+
As above test item and its relevant information regarding to the submission are provided and confirmed by the applicant. SGS is not liable to either the test item or its relevant information, in terms of the accuracy, suitability, reliability or/and integrity accordingly. ************
Sample Receiving Date: Aug 08, 2019
Test Performing Date
: Aug 08, 2019 to Mar 03, 2020
Test Performed
: Selected test(s) as requested by applicant
Test Result(s)
: For further details, please refer to the following page(s)
Signed for and on behalf of SGS-CSTC Standards Technical Services Co., Ltd. Guangzhou Branch
Arthur Mak Authorized Signatory
Based on
Test Conducted:
EN 15194:2017 Cycles - Electrically power assisted cycles - EPAC
1. Scope:
This European Standard applies to EPAC bicycles for private and commercial use with exception of EPAC intended for hire from unattended station.
This European Standard is intended to cover all common significant hazards, hazardous situations and events (see Clause 4) of electrically power assisted bicycles, when used as intended and under condition of misuse that are reasonably foreseeable by the manufacturer.
This European Standard is intended to cover electrically power assisted bicycles of a type which have a maximum continuous rated power of 0,25 kW, of which the output is progressively reduced and finally cut off as the EPAC reaches a speed of 25 km/h, or sooner, if the cyclist stops pedalling.
This European Standard specifies requirements and test methods for engine power management systems, electrical circuits including the charging system for the design and assembly of electrically power assisted bicycles and sub-assemblies for systems having a rated voltage up to and including 48 V d.c. or integrated battery charger with a nominal 230 V a.c. input.
This European Standard specifies safety and safety related performance requirements for the design, assembly, and testing of EPAC bicycles and subassemblies intended for use on public roads, and lays down guidelines for instructions on the use and care of such bicycles.
This European Standard applies to EPAC bicycles that have a maximum saddle height of 635 mm or more and that are intended for use on public roads.
This European Standard is not applicable to EPACs which are manufactured before the date of its publication as EN.
2. Number of Tested Sample: 2 set of packaged samples, 3 pieces of front fork, 3 sets of frame & fork assembly, 2 sets of saddle & seat post assembly, 3 sets of handlebar & stem assembly, 1 set of crank assembly, 4 pieces of chain, 1 couple of pedal and 1 set of other electric parts.
3. Sample description:
Maximum saddle height: 855 mm
Wheels: 14" wheels
Speed: Single speed
Brakes: Disc brakes on front & rear
Reflectors: White reflector on front, red reflector on rear, white wheel reflector, yellow pedal reflectors
Others: Quick release device on seat tube.
Electric motor maximum continuous rated power: 210W
Cut off speed: 23km/h
Battery output voltage: 36VDC
Battery charger input voltage: 100-240VAC
Details shown as following table
4. Test Results:
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| 4 | | | | | | |
| 4.1 | | General | | EPAC shall be designed according to the principles of EN ISO 12100 for relevant but not significant hazards, which are not dealt with by this document. It includes evaluation of such risks for all relevant components. Means shall be provided to the user to prevent an unauthorized use of the EPAC e.g. key, locks, electronic control device. | | |
| 4.2 | | | | | | |
| 4.2.1 | | Electric circuit | | The electrical control system shall be designed so that, should it malfunction in a hazardous manner, it shall switch off power to the electric motor without causing a hazardous situation and it requires user interaction to switch on again. | | |
| 4.2.2 | | Controls and symbols | | If symbols are used, their meaning shall be described in the instructions for use. “On” “Off” symbols, lightings symbols, start- up assistance symbols, audible warning device symbols design shall be in accordance with those described in Annex I and Annex J. A master control device shall be fitted to switch on and shut off the assistance, which shall be apparent, easy to reach and unmistakable. This master control device shall be activated by voluntary action to enable all assistance modes (start up and pedalling) before use of the EPAC. | | |
| 4.2.3 | | Batteries | | a) The EPAC and batteries pack shall be designed in order to avoid risk of fire and mechanical deterioration resulting from abnormal use. Compliance is checked by the test described in 126.96.36.199. b) During the test the EPAC and the batteries shall not emit flames, molten metal or poisonous ignitable gas in hazardous amounts and any enclosure shall show no damage that could impair compliance with this European Standard. Safety and compatibility of the battery/charger combination shall be ensured, according to the manufacturer's specifications. c) The battery terminals shall be protected against creating an accidental short circuit. d) An appropriate care shall be taken to ensure that the batteries are protected against overcharging. An appropriate overheating and short circuit protection device shall be fitted. | | |
| 4.2.4 | | Battery charger | | Chargers for EPAC are considered to be operated in a residential (household) environment. | | |
| 4.2.5 | | | | | | |
| 188.8.131.52 | | General | | All connectors for cable and wire shall be selected to prevent corrosion of electrical contact conductance. | | |
| 184.108.40.206 | | Requirements | | Cable and plug temperature shall be lower than that specified by the manufacturer of the cables and plugs. Damage to cable and plug insulation shall be prevented. | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | The cable cross sections shall be selected in accordance to EN 60335-1:2012, Table 11. If these requirements are not met, a temperature rise test shall be performed, in accordance to 220.127.116.11. | | |
| 4.2.6 | | Wiring | | Requirements on wiring shall be checked according to the following sequence at an ambient room temperature (20 ± 5) °C. a) Wire ways shall be smooth and free from sharp edges. b) Wires shall be protected so that they do not come into contact with burrs, cooling fins or similar sharp edges that may cause damage to their insulation. Holes in metal through which insulated wires pass shall have smooth well-rounded surfaces or be provided with bushings. c) Wiring shall be effectively prevented from coming into contact with moving parts. Compliance with a), b), c) shall be checked by inspection. d) Separate parts of the EPAC that can move in normal use or during user maintenance relative to each other, shall not cause undue stress to electrical connections and internal conductors, including those providing ground continuity. If an open coil spring is used to protect wire, it shall be correctly installed and insulated. Flexible metallic tubes shall not cause damage to the insulation of the conductors contained within them. Compliance with d) shall be checked by inspection and by the following test method. If flexing occurs in normal use, the appliance is placed in its normal operational position and is supplied at rated voltage under normal operation. The movable part is moved backwards and forwards through the largest angle permitted by its construction, so that the conductor is flexed. For conductors that are flexed in normal use, flex movable part for 10 000 cycles at a test frequency of 0,5 Hz. For conductors that are flexed during user maintenance, flex the movable part for 100 cycles at the same frequency. | | |
| 4.2.7 | | Power cables and conduits | | Conduit entries, cable entries and knockouts shall be constructed or located so that the introduction of the conduit or cable does not reduce the protection measures adopted by the manufacturer. Compliance is checked by inspection. Guidance for power cables size selection is given in HD 60364-5- 52:2011, 18.104.22.168, 523.1523.3 and Table A. The insulation of internal wiring shall withstand the electrical stress likely to occur in normal use. The wiring and its connections shall withstand the electrical strength test. The test voltage expressed in V shall be equal to(500 + 2×Ur) for 2 min and applied between live parts and | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | other metal parts only. | | |
| 4.2.8 | | External and internal electrical connections | | Electrical connection shall comply with HD 60364-5-52:2011, 526.1 and 526.2. | | |
| 4.2.9 | | Moisture resistance | | The electrical components of a fully assembled EPAC shall be tested and shall comply with IPX4 requirements according to EN 60529:1991. | | |
| 4.2.10 | | Mechanical strength test | | The electrical components including the battery shall have adequate mechanical strength and be constructed to withstand such rough handling that may be expected in normal use. Compliance is checked by: — Applying impacts to the battery pack mounted on the EPAC by means of the spring hammer as specified in EN 60068-2-75. The battery pack is rigidly supported and three impacts are applied to every point of the enclosure that is likely to be weak with an impact energy of (0,7 ± 0,05) J. After the test the battery pack shall show no damage that could impair compliance with this European Standard; — Detachable batteries are submitted to free fall on a rigid surface as specified in EN 22248 at a height of 0,90 m in three different positions. The positions shall be one surface, one edge and one corner of the enclosure that is likely to be weak. After the test the battery pack shall show no damage that could lead to emission of dangerous substances (gas or liquid) ignition, fire or overheating. | | |
| 4.2.11 | | Maximum speed for which the electric motor gives assistance | | The electrical motor assistance shall stop when the EPAC reaches a speed of 25 km/h or lower speed if limited by design. The maximum speed of the EPAC for which the electric motor gives assistance shall not differ by more than +10 % from the maximum assistance speed indicated in the marking required by Clause 5 when determined according to the test method described in 22.214.171.124. | | |
| 4.2.12 | | Start-up assistance mode | | An EPAC can be equipped with a start-up assistance mode that operates up to a maximum speed of 6 km/h. This mode shall be activated by the voluntary and maintained action of the user either when riding without pedalling or when the user is pushing the cycle. | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | maximum assistance speed as designed. This requirement shall be checked according to the test methods described in 126.96.36.199; e) the assistance shall be progressively and smoothly managed (e.g. no hunting); f) two independent applying actions shall be required to start the electrical assistance mode (e.g. power switch and forward pedalling activation); a traffic caused stop (e.g. traffic lights) is not subject to this requirement; g) after a deactivation of the electrical assistance mode due to any hazardous electric drive malfunction, the electric drive shall not start automatically without rider intervention (pedalling is not considered as rider intervention). | | |
| 4.2.14 | | Maximum power measurement — Measurement at the engine shaft | | The maximum continuous rated power shall be measured according to EN 60034-1 when the motor reaches its thermal equilibrium as specified by the manufacturer. In circumstance where the power is measured directly at the shaft of the electronic motor, the result of the measurement shall be divided by 1,10 to consider the measurement uncertainty and then divided by 1,05 to include for example the transmission losses, unless the real values of these losses are determined. | | |
| 4.2.15 | | | | | | |
| 188.8.131.52 | | Emission | | The EPAC and ESA shall fulfil the requirements of Annex C. | | |
| 184.108.40.206 | | Immunity | | The EPAC and ESA shall fulfil the requirements of Annex C. | | |
| 220.127.116.11 | | Battery charger | | As an EPAC is not intended to be used while charging on the electric network, for integrated charger the whole EPAC plus integrated charger shall be tested for EMC according to the applicable standards based on the European EMC directive. | | |
| 4.2.16 | | Failure mode | | It shall be possible to ride the EPAC by pedalling even if the assistance failed. This requirement shall be checked as described in 18.104.22.168. | | |
| 4.2.17 | | | | | | |
| 22.214.171.124 | | General | | Anti-tampering measures apply to tampering or modifications that general consumers carry out concerning the control unit, drive unit or other parts of power assisting system by using commercially available tools, equipment or parts. | | |
| 126.96.36.199 | | Prevention of tampering of the motor | | The following anti-tampering requirements shall be taken into account: a) Anti-tampering relevant parameters indicated below shall only be accessible to the manufacturer or authorized persons and changes of software configuration parameters require programming tools that are not commercially available or security protected: 1) maximum speed with motor assistance (all systems), 2) parameters affecting the maximum vehicle speed limited by design, | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | 3) maximum gear ratio (system with middle motors), 4) maximum motor power (all systems), 5) maximum speed of starting up assistance; b) Assumable manipulations on the approval relevant configuration shall be prevented or compensated by effective counter measures, i.e. plausibility logics to detect manipulations on sensors; c) Closed set of components (i.e. operation only with released battery); d) Protection against opening of relevant components without traces (sealing). | | |
| 4.3 | | | | | | |
| 4.3.2 | | Sharp edges | | Exposed edges that could come into contact with the rider's hands, legs, etc., during normal riding or normal handling and normal maintenance shall not be sharp, e.g. deburred, broken, rolled or processed with comparable techniques. | | |
| 4.3.3 | | | | | | |
| 188.8.131.52 | | Security of screws | | Any screws used in the assembly of suspension systems or screws used to attach bracket attached electric generators, brake-mechanisms and mud-guards to the frame or fork, and the saddle to the seat-post shall be provided with suitable locking devices, e.g. lock-washers, lock-nuts, thread locking compound or stiff nuts. | | |
| 184.108.40.206 | | Minimum failure torque | | The minimum failure torque of bolted joints for the fastening of handle bars, handlebar-stems, bar-ends, saddle and seat-posts shall be at least 50 % greater than the manufacturer's recommended tightening torque. | | |
| 220.127.116.11 | | Folding bicycles mechanism | | If provided, folding bicycle mechanism shall be designed so that EPAC can be locked for use in a simple, stable, safe way and when folded no damage shall occur to any cables. No locking mechanism shall contact the wheels or tyres during riding, and it shall be impossible to unintentionally loosen or unlock the folding mechanisms during riding. | | |
| 4.3.4 | | Protrusions | | These requirements are intended to address the hazards associated with the users of EPACs falling on projections or rigid components (e.g. handlebars, levers) on EPAC possibly causing internal injury or skin puncture. Tubes and rigid components in the form of projections which constitute a puncture hazard to the rider should be protected. The size and shape of the end protection has not been stipulated, but an adequate shape shall be given to avoid puncturing of the body. Screw threads which constitute a puncture hazard shall be limited to a protrusion length of one major diameter of the screw beyond the internally threaded mating part. | | |
| 4.3.5 | | | | | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | and one on the rear wheel. The braking-systems shall operate without binding and shall be capable of meeting the braking- performance requirements of 18.104.22.168. No hand shall need to be taken from the handlebar to operate the brake levers. If additional braking-systems are implemented, they shall meet the brake requirements of 4.3.5. Brake-blocks containing asbestos shall not be used. | | |
| 22.214.171.124 | | | | | | |
| 126.96.36.199. 1 | | Brake-lever position | | The brake levers for front and rear brakes shall be positioned according to the legislation or custom and practice of the country in which EPAC is to be sold, and EPAC manufacturer shall state in the manufacturer’s instructions which levers operate the front and rear brakes (see also Clause 6 i)). | | |
| 188.8.131.52. 2 | | Brake-lever grip dimensions | | The dimension, d, measured between the outer surfaces of the brake-lever in the region intended for contact with the rider's fingers and the handlebar or any other covering present shall over a distance of not less than 40 mm as shown in Figure 1 not exceed 90 mm. Conformance shall be established by the method detailed in 184.108.40.206.2.2. The range of adjustment on the brake-lever ought to permit these dimensions to be obtained. | | |
| 220.127.116.11 | | Attachment of brake assembly and cable requirements | | Cable pinch-bolts shall not sever any of the cable strands when assembled to the manufacturer's instructions. In the event of a cable failing, no part of the brake mechanism shall inadvertently inhibit the rotation of the wheel. The cable end shall either be protected with a cap that shall withstand a removal force of not less than 20 N or be otherwise treated to prevent unravelling. | | |
| 18.104.22.168 | | Brake-levers – Position of applied force | | For the purposes of braking tests in this standard, for brake- levers similar to Type A, the test force shall be applied at a distance, b, which is equal to either dimension a as determined in 22.214.171.124.2.2 or 25 mm from the free end of the brake-lever, whichever is the greater (see Figure 4). | | |
| 126.96.36.199 | | Brake-block and brake-pad assemblies – Safety test | | The friction material shall be securely attached to the holder, backing-plate, or shoe and there shall be no failure of the braking system or any component thereof when tested by the method specified in 188.8.131.52.2. | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | handlebars is set at 60°, nor shall the rods be bent, or be twisted after the handlebars are reset to the central position. | | |
| 184.108.40.206 | | Hand-operated braking-system – Strength test | | When tested by the method described in 220.127.116.11.2, there shall be no failure of the braking-system or of any component thereof. | | |
| 18.104.22.168 | | | | | | |
| 22.214.171.124. 1 | | General | | If a back-pedal braking system is fitted, the brake shall be actuated by the operator's foot applying force to the pedal in a direction opposite to that of the drive force. The brake mechanism shall function regardless of any drive-gear positions or adjustments. The differential between the drive and brake positions of the crank shall not exceed 60°. The measurement shall be taken with the crank held against each position with a pedal force of at least 250 N. The force shall be maintained for 1 min in each position. | | |
| 126.96.36.199. 2 | | Requirement | | When tested in accordance with 188.8.131.52.3, there shall be no failure of the brake system or any component thereof. | | |
| 184.108.40.206 | | Braking performance | | Requirements Where EPAC is fitted with secondary brake-levers attached to brake-levers, bar-ends or aerodynamic extensions, separate tests shall be conducted for the operation of the secondary brake-levers in addition to tests with the normal levers. When tested in accordance with 220.127.116.11.5, the bicycle shall fulfil the requirements shown in Table 1. Linearity requirements When tested by the methods described in 18.104.22.168.5.6 c) 1) and 2), the braking force FBr average shall be linearly proportional (within ± 20 %) to the progressively increasing intended operating forces FOp intend. The requirement applies to braking forces FBr average equal to and greater than 80 N (according to Annex F). Ratio between wet and dry braking performance requirements In order to ensure safety for both wet and dry braking, the ratio of | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | braking performance wet: dry shall be greater than 4:10. The methods for calculating this ratio are given in 22.214.171.124.5.6 g). | | |
| 126.96.36.199 | | Brakes – Heat- resistance test | | Throughout the test described in 188.8.131.52.3, the brake-lever shall not touch the handlebar-grip, the operating force shall not exceed 180 N, and the braking force shall not deviate outside the range 60 N to 115 N. Immediately after having been subjected to the test described in 184.108.40.206.3, the brakes shall achieve at least 60 % of the braking performance which was recorded at the highest operating force used during the performance tests 220.127.116.11.5.6 c) 1) and 2). | | |
| 18.104.22.168 | | Back-pedal brake linearity test | | This test shall be conducted on a fully assembled EPAC. The output force for a back-pedal brake shall be measured tangentially to the circumference of the rear tyre, when the wheel is rotated in the direction of forward movement, while a force of between 90 N and 300 N is being applied to the pedal at right angles to the crank and in the direction of braking. The braking force reading shall be taken during a steady pull and after one revolution of the wheel. A minimum of five results, each at a different pedal force level, shall be taken. Each result shall be the average of three individual readings at the same load level. The results shall be plotted on a graph, showing the line of best fit and the ± 20 % limit lines obtained by the method of least squares outlined in Annex F. | | |
| 4.3.6 | | | | | | |
| 22.214.171.124 | | Handlebar – Dimensions | | Adjust the handlebar height to its highest normal riding position and the saddle to its lowest normal riding position as specified by the manufacturer (see Clause 6 i)). Measure the vertical distance from the centre and top of the handlebar grips to a point where the saddle surface is intersected by the seat post axis (see Figure 9). This dimension shall not exceed 400 mm. | | |
| 126.96.36.199 | | Handlebar grips and plugs | | The ends of the handlebar shall be fitted with handgrips or end plugs. When tested by the method described in 188.8.131.52.2 and 184.108.40.206.3, the handgrips or plugs shall withstand the specified removal forces. | | |
| 220.127.116.11 | | Handlebar stem – Insertion-depth mark or positive stop | | The handlebar-stem shall be provided with one of the two following alternative means of ensuring a safe insertion depth into the fork steerer: a) it shall contain a permanent, transverse mark, of length not less than the external diameter of the stem, that clearly indicates the minimum insertion depth of the handlebar-stem into the fork steerer. The insertion mark shall be located at a position not less than 2,5 times the external diameter of the handlebar-stem from the bottom of the stem, and there shall be at least one stem diameter's length of contiguous, circumferential stem material below the mark; b) it shall incorporates a permanent stop to prevent it from being | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | drawn out of the fork steerer such as to leave the insertion less than the amount specified in a) above. | | |
| 18.104.22.168 | | Handlebar stem to fork steerer – Clamping requirements | | The distance g, see Figure 11, between the top of the handlebar stem and the top of the fork steerer to which the handlebar stem is clamped shall not be greater than 5 mm. The upper part of the fork steerer to which the handlebar stem is clamped shall not be threaded. The dimension g shall also ensure that the proper adjustment of the steering system can be achieved. For aluminium and composite fork steerer any internal device that could damage the internal surface of the fork steerer shall be avoided. | | |
| 22.214.171.124 | | Steering stability | | The steering shall be free to turn through at least 60° either side of the straight-ahead position and shall exhibit no tight spots, stiffness or slackness in the bearings when correctly adjusted. A minimum of 25 % of the total mass of EPAC and rider shall act on the front wheel when the rider is holding the handlebar grips and sitting on the saddle, with the saddle and rider in their most rearward positions. | | |
| 126.96.36.199 | | | | | | |
| 188.8.131.52. 1 | | Handlebar and stem assembly – Lateral bending test | | When tested by the method described in 184.108.40.206.1.3, there shall be no cracking or fracture of the handlebar, stem or clamp-bolt and the permanent deformation measured at the point of application of the test force shall not exceed 15 mm. | | |
| 220.127.116.11. 2 | | Handlebar-stem – Forward bending test | | Requirement for Stage 1 When tested by the method described in 18.104.22.168.2.3, there shall be no visible cracks or fractures and the permanent deformation measured at the point of application of the test force and in the direction of the test force shall not exceed 10 mm. Requirement for Stage 2 When tested by the method described in 22.214.171.124.2.5, there shall be no visible cracks or fractures. | | |
| 126.96.36.199. 3 | | Handlebar to handlebar-stem – Torsional safety test | | When tested by the method described in 188.8.131.52.3.2, there shall be no movement of the handlebar relative to the handlebar-stem. | | |
| 184.108.40.206. 4 | | Handlebar-stem to fork steerer – Torsional safety test | | When tested by the method described in 220.127.116.11.4.2, there shall be no movement of the handlebar-stem relative to the fork steerer. | | |
| 18.104.22.168. 5 | | Bar-end to handlebar – Torsional safety test | | When tested by the method described in 22.214.171.124.5.2, there shall be no movement of the bar-end in relation to the handlebar. | | |
| 126.96.36.199 | | Handlebar and stem assembly – Fatigue test | | When tested by the method described in 188.8.131.52.3 or 184.108.40.206.4, there shall be no visible cracks or fractures in any part of the handlebar and stem assembly or any bolt failure. | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | For composite handlebars or stems, the running displacements (peak-to-peak value) at the points where the test forces are applied shall not increase by more than 20 % of the initial values. | | |
| 4.3.7 | | | | | | |
| 220.127.116.11 | | Suspension- frames – Special requirement | | The design shall be such that if the spring or damper fails, neither the tyre shall contact any part of the frame nor the assembly carrying the rear wheel become detached from the rest of the frame. | | |
| 18.104.22.168 | | Frame – Impact test (falling mass) | | When tested by the method described in 22.214.171.124.3, there shall be no visible cracks or fractures of the frame. The permanent deformation measured between the axes of the wheel axles shall not exceed the following values: a) 30 mm where a fork is fitted; b) where a dummy fork is fitted in place of a fork, the values are given in Table 9. | | |
| 126.96.36.199 | | Frame and front fork assembly – Impact test (falling frame) | | When tested by the method described in 188.8.131.52.3, there shall be no visible cracks or fractures in the assembly and after the second impact there shall be no separation of any parts of any suspension system. The permanent deformation measured between the axes of the wheel axles shall not exceed the values specified in Table 11. | | |
| 184.108.40.206 | | Frame – Fatigue test with pedalling forces | | When tested by the method described in 220.127.116.11.3, there shall be no visible cracks or fractures in any part of the frame, and there shall be no separation of any parts of the suspension system. For composite frames, the running displacements (peak-to-peak values) at the points where the test forces are applied shall not increase by more than 20 % of the initial values (see 18.104.22.168). | | |
| 22.214.171.124 | | Frame – Fatigue test with horizontal forces | | When tested by the method described in 126.96.36.199.3, there shall be no visible cracks or fractures in the frame and there shall be no separation of any parts of any suspension system. For composite frames, the running displacement (peak-to-peak value) at the point where the test forces are applied shall not increase by more than 20 % of the initial values (see 188.8.131.52). | | |
| 184.108.40.206 | | Frame – Fatigue test with a vertical force | | When tested by the method described in 220.127.116.11.3, there shall be no visible cracks or fractures in the frame and there shall be no separation of any parts of the suspension system. For composite frames, the running displacement (peak-to-peak value) at the point where the test forces are applied shall not | | |
Date: Mar 04, 2020
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | increase by more than 20 % of the initial value (see 18.104.22.168). | | |
| 4.3.8 | | | | | | |
| 22.214.171.124 | | General | | 126.96.36.199, 188.8.131.52, 184.108.40.206 and 220.127.116.11 apply to all types of fork. In the strength tests, 18.104.22.168, 22.214.171.124, 126.96.36.199 and 188.8.131.52, a suspension-fork shall be tested in its free, uncompressed length condition. | | |
| 184.108.40.206 | | Means of location of the axle and wheel retention | | The slots or other means of location for the wheel-axle within the front fork shall be such that when the axle or cones are firmly abutting the top face of the slots, the front wheel remains central within the fork. The front fork and wheel shall also fulfil the requirements of 220.127.116.11 and 18.104.22.168. | | |
| 22.214.171.124 | | | | | | |
| 126.96.36.199. 1 | | Tyre-clearance | | When tested by the method described in 188.8.131.52.1.2, the tyre shall not contact the crown of the fork nor shall the components separate. | | |
| 184.108.40.206. 2 | | Tensile test | | When tested by the method described in 220.127.116.11.2.2, there shall be no detachment or loosening of any parts of the assembly and the tubular, telescopic components of any fork-leg shall not separate under the test force. | | |
| 18.104.22.168 | | Front fork – Static bending test | | When tested by the method described in 22.214.171.124.2, there shall be no fractures or visible cracks in any part of the fork, and the permanent deformation, measured as the displacement of the axis of the wheelaxle or simulated axle in relation to the axis of the fork steerer, shall not exceed 10 mm. | | |
| 126.96.36.199 | | | | | | |
| 188.8.131.52. 1 | | | | | | |
| 184.108.40.206. 1.1 | | Crown/steerer joint assembled by welding or brazing | | When tested by the method described in 220.127.116.11.3, there shall be no fractures or visible cracks in any part of the fork, and the permanent deformation, measured as the displacement of the axis of the wheelaxle or simulated axle in relation to the axis of the fork steerer, shall not exceed 45 mm. If the fork is used in the frame impact test (falling-mass), 18.104.22.168, there is no need to perform this test. | | |
| 22.214.171.124. 1.2 | | Crown/steerer joint assembled by press-fitting, bonding, or clamping | | When tested by the method described 126.96.36.199.4 a), if there are any fractures or visible cracks in any part of the fork, and the permanent deformation, measured as the displacement of the axis of the wheel-axle or simulated axle in relation to the axis of the fork steerer, exceeds 45 mm, the fork shall be considered to have failed. If the fork meets these criteria then it shall be subjected to a second test as described in 188.8.131.52.4 b), after which, it shall exhibit no fractures, then it shall be subjected to a third test as described in 184.108.40.206.4 c), irrespective of the amount of permanent deformation, there shall be no relative movement between the steerer and the crown. | | |
| 220.127.116.11. | | Forks which have | | When tested by the method described in 18.104.22.168.3, there shall be | | |
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| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| 2 | | composite parts | | no fractures in any part of a fork and the permanent deformation, measured as the displacement of the axis of the wheel-axle or simulated axle in relation to the axis of the fork steerer, shall not exceed 45 mm. After which, it shall exhibit no fractures, then it shall be subjected to a second test as described in 22.214.171.124.4 c) Torque on fork, irrespective of the amount of permanent deformation, there shall be no relative movement between the steerer and the crown. | | |
| 126.96.36.199 | | Front fork – Bending fatigue test plus rearward impact test | | When tested by the method described in 188.8.131.52.2, there shall be no fractures in any part of the fork, and the permanent deformation, measured as the displacement of the axis of the wheel-axle or simulated axle in relation to the axis of the fork steerer, shall not exceed 45 mm. For composite forks, the running displacement (peak-to-peak value) at the points where the test forces are applied shall not increase by more than 20 % of the initial values (see 184.108.40.206). | | |
| 220.127.116.11 | | | | | | |
| 18.104.22.168. 2 | | Static brake-torque test | | When tested by the method described in 22.214.171.124.3, there shall be no fractures or visible cracks in any part of the fork. | | |
| 126.96.36.199. 4 | | Fork for hub/disc- brake – Brake mount fatigue test | | When tested by the method described in 188.8.131.52.5, there shall be no fractures or visible cracks in any part of the fork and, in the case of suspension-forks, there shall be no separation of any parts. | | |
| 184.108.40.206 | | Tensile test for a non-welded fork | | When tested by the method described in 220.127.116.11.3, there shall be no detachment or loosening of any parts of the assembly. | | |
| 4.3.9 | | | | | | |
| 18.104.22.168 | | Wheels/tyre | | When measured by the method described in 22.214.171.124.2, the run- out shall not exceed the values which are given in Table 22. | | |
| 126.96.36.199 | | Wheel/tyre assembly – Clearance | | Alignment of the wheel assembly in EPAC shall allow not less than the clearance values given in Table 23 between the tyre and any frame or fork element or a front mudguard and its attachment bolts. | | |
| 188.8.131.52 | | Wheel/tyre assembly – Static strength test | | When a fully assembled wheel fitted with a tyre inflated to the maximum inflation pressure is tested by the method described in 184.108.40.206.2, there shall be no failure of any of the components of the wheel, and the permanent deformation, measured at the point of application of the force on the rim, shall not exceed the values which are given in Table 24. | | |
Date: Mar 04, 2020
Page 15 of 23
| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| 220.127.116.11 | | | | | | |
| 18.104.22.168. 1 | | General | | Wheel retention safety is related to the combination of wheel, retention device, and drop-out design. Wheels shall be secured to EPAC frame and fork such that when adjusted to the manufacturer's instructions they comply with 22.214.171.124.2, 126.96.36.199.3 and 188.8.131.52. Wheel nuts shall have a minimum removal torque of 70 % of the manufacturer's recommended tightening torque. Where quick-release axle devices are used they shall comply with 184.108.40.206. | | |
| 220.127.116.11. 2 | | Wheel retention – Retention devices secured | | When tested by the method described in 18.104.22.168.2.2, there shall be no relative motion between the axle and the front fork/frame. | | |
| 22.214.171.124. 3 | | Front wheel retention – Retention devices unsecured | | EPAC shall be equipped with secondary retention system that retains the front wheel in the dropouts when the primary retention system is in the open (unlocked) position and wheel off the ground. Where threaded axles and nuts are fitted, and the nuts are unscrewed by at least 360° from the finger tight condition and the brake system disconnected or released, the wheel shall not detach from the front fork when a force of 100 N is applied radially outwards, in line with the drop-out slots, and maintained for 1 min. Where quick-release is fitted, and the quick-release lever is fully open and the brake system is disconnected or released, the wheel shall not detach from the front fork when a force of 100 N is applied to the wheel radially outwards, in line with the drop-out slots, and maintained for 1 min. | | |
| 126.96.36.199 | | Wheels – Quick- release devices – Operating features | | Any quick-release device shall have the following operating features: a) it shall be adjustable to allow setting for tightness; b) its form and marking shall clearly indicate whether the device is in the open or locked position; c) if adjustable by a lever, the force required to close a properly set lever shall not exceed 200 N and, at this closing force there shall be no permanent deformation of the quick-release device; d) the releasing force of the clamping device when closed shall not be less than 50 N; e) if operated by a lever, the quick-release device shall withstand without fracture or permanent deformation a closing force of not less than 250 N applied with the adjustment set to prevent closure at this force; f) the wheel retention with the quick-release device in the clamped position shall be in accordance with 188.8.131.52.2, 184.108.40.206.3; | | |
Date: Mar 04, 2020
Page 16 of 23
| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | g) the front wheel retention with the quick-release device in the open position shall be in accordance with 220.127.116.11.3. If applied to a lever, the forces specified in c), d), and e) shall be applied 5 mm from the tip end of the lever. | | |
| 4.3.10 | | | | | | |
| 18.104.22.168 | | General | | Non-pneumatic tyres are excluded from the requirements of 22.214.171.124 and 126.96.36.199. | | |
| 188.8.131.52 | | Tyre inflation pressure | | The maximum inflation pressure recommended by the manufacturer shall be permanently marked on the side wall of the tyre so as to be readily visible when the latter is assembled on the wheel. If the rim manufacturer recommends a maximum tyre inflation pressure, it shall be clearly and permanently marked on the rim and also specified in the manufacturer’s instructions. It is recommended that the minimum inflation pressure specified by the tyre manufacturer also be permanently marked on the side wall of the tyre. | | |
| 184.108.40.206 | | Tyre and rim compatibility | | Tyres that comply with the requirements of ISO 5775-1 and rims that comply with the requirements of ISO 5775-2 are compatible. The tyre, tube and tape shall be compatible with the rim design. When inflated to 110 % of the maximum inflation pressure, determined by the lower value between maximum inflation pressures recommended on the rim or the tyre, for a period of not less than 5 min, the tyre shall remain intact on the rim. | | |
| 220.127.116.11 | | Rim-wear | | In the case where the rim forms part of a braking system and there is a danger of failure due to wear, the manufacturer shall make the rider aware of this danger by durable and legible marking on the rim, in an area not obscured by the tyre, (see also Clause 6 z) and 5.1). Where the rim is made of composite materials, the manufacturer shall include in the manufacturer’s instructions warnings of the danger of rim failure caused by wear of the braking surfaces. | | |
| 18.104.22.168 | | Greenhouse effect test for composite wheels | | When a fully assembled wheel made of composite material, fitted with the appropriate size tyre and inflated according to the lowest value between maximum inflation pressure recommended on the rim or the tyre, is tested by the method described as 22.214.171.124.3, there shall be: — no failure of any of the components of the wheel; — no tyre separation from the rim during the test; — no increase in rim width greater than 5 % of the initial maximal width value; — compliance of lateral and concentricity tolerance according to 126.96.36.199; — compliance of tyre and rim compatibility according to 188.8.131.52; — compliance of static strength according to 184.108.40.206. | | |
| 4.3.11 | | Front mudguard | | If front mudguard is fitted, when tested by the method described in the two-stage tests in 220.127.116.11 (for mudguard with stays) or 18.104.22.168 (for mudguard without stays), the front mudguard shall | | |
Date: Mar 04, 2020
Page 17 of 23
| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | not prevent rotation of the wheel or obstruct steering. | | |
| 4.3.12 | | | | | | |
| 22.214.171.124 | | | | | | |
| 126.96.36.199 .1 | | Tread surface | | The tread surface of a pedal shall be secured against movement within the pedal assembly. | | |
| 188.8.131.52 .2 | | Toe Clips | | Pedals intended to be used without toe-clips, or for optional use with toe-clips, shall have: a) tread surfaces on the top and bottom surfaces of the pedal; or b) a definite preferred position that automatically presents the tread surface to the rider's foot. Pedals designed to be used only with toe-clips or shoe-retention devices shall have toe-clips or shoe-retention devices securely attached and need not comply with the requirements of 184.108.40.206.2 a) and b). | | |
| 220.127.116.11 | | | | | | |
| 18.104.22.168 .1 | | Ground clearance | | With EPAC un-laden, the pedal at its lowest point and the tread surface of the pedal parallel to the ground and uppermost where it has only one tread surface, EPAC shall be capable of being leaned over at an angle of θ from the vertical before any part of the pedal touches the ground. The values are given in Table 26. When EPAC is equipped with a suspension system, this measurement shall be taken with the suspension adjusted to the softest condition and with EPAC depressed into a position such as would be caused by a rider weighing 90 kg. | | |
| 22.214.171.124 .2 | | Toe clearance | | EPACs shall have at least C clearance between the pedal and front tyre or mudguard (when turned to any position). The clearance shall be measured forward and parallel to the longitudinal axis of EPAC from the centre of either pedal-axle to the arc swept by the tyre or mudguard, whichever results in the least clearance (see Figure 37). The values are given in Table 27. | | |
| 126.96.36.199 | | Pedal – Static strength test | | When tested by the method described in 188.8.131.52.2, there shall be no fractures, visible cracks, or distortion of the pedal or spindle that could affect the operation of the pedal and pedal- spindle. | | |
| 184.108.40.206 | | Pedal – Impact test | | When tested by the method described in 220.127.116.11.2, there shall be no fractures of any part of the pedal body, the pedal-spindle or any failure of the bearing system. | | |
Date: Mar 04, 2020
Page 18 of 23
| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| 18.104.22.168 | | Pedal – Dynamic durability test | | When tested by the method described in 22.214.171.124.2, there shall be no fractures or visible cracking of any part of the pedal, the pedal-spindle nor any failure of the bearing system. | | |
| 126.96.36.199 | | Drive-system – Static strength test | | a) Drive-system with chain When tested by the method described in 188.8.131.52.2, there shall be no fracture of any component of the drive system, and drive capability shall not be lost. b) Drive-system with belt When tested by the method described in 184.108.40.206.3, there shall be no fracture of any component of the drive system, and the belt shall not slip/skip, fracture or cause any loss in drive capability. Smooth sliding between pulleys and belt is allowed at a rate not exceeding 1 °/s at the drive axis. | | |
| 220.127.116.11 | | Crank assembly – Fatigue test | | When tested by the method described in 18.104.22.168.2, there shall be no fractures or visible cracks in the cranks, the bottom-bracket spindle or any of the attachment features, or loosening or detachment of the chain-wheel from the crank. For composite cranks, the running displacements (peak-to-peak values) of either crank at the point where the test forces are applied shall not increase by more than 20 % of the initial value (see 22.214.171.124). | | |
| 4.3.13 | | | | | | |
| 126.96.36.199 | | Drive-chain | | Where a chain-drive is used as a means of transmitting the motive force, the chain shall operate over the front and rear sprockets without binding. The chain shall conform to the tensile strength and push-out force requirements of ISO 9633. | | |
| 188.8.131.52 | | Drive belt | | Where a belt-drive is used as a means of transmitting the motive force, the drive belt shall operate over the front and rear pulleys without binding. And when tested by the methods described in 184.108.40.206.2, there shall be no evidence of cracking, fracture or delamination of the belt drive. | | |
| 4.3.14 | | | | | | |
| 220.127.116.11 | | Requirement | | EPAC shall be equipped with one of the following; a) a chain wheel disc or drive pulley disk which conforms to 18.104.22.168; or b) a chain and drive belt protective device which conforms to 22.214.171.124; or c) where fitted with positive foot-retention devices on the pedals, a combined front gear-change guide which conforms to 126.96.36.199 shall be used. | | |
| 188.8.131.52 | | Chain-wheel disc and drive pulley disc diameter | | A chain-wheel disc shall exceed the diameter of the outer chain- wheel, when measured across the tips of the teeth by not less than 10 mm (see Figure 44). A drive pulley disc shall exceed the diameter of the front pulley, when measured across the tips of the teeth by not less than 10 | | |
Date: Mar 04, 2020
Page 19 of 23
| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | mm (see Figure 45). Where the design is such that the pedal- crank and chainwheel are too close together to accommodate a full disc, a partial disc may be fitted which closely abuts the pedal-crank. | | |
| 184.108.40.206 | | Chain and drive belt protective device | | A chain protective device shall, as a minimum, shield the side- plates and top surface of the chain and the chain-wheel for a distance of at least 25 mm rearwards along the chain from the point where the chainwheel teeth first pass between the side- plates of the chain and forwards round the outer chain-wheel to a horizontal line passing through the bottom-bracket axle centre (see Figure 46 a)). A drive belt protective device shall, as a minimum, shield the side and top surface of the drive belt and the front pulley for a distance of at least 25 mm rearwards along the drive belt from the point where the tip circle of the pulley is intersected by the tip line of the belt (line C in Figure 46 b)) and forwards round the front pulley to a horizontal line passing through the bottom- bracket axle centre (see Figure 46 b)). | | |
| 220.127.116.11 | | Combined front gear-change guide | | When the chain is located in the outer gear position, some portion of the combined front gear change guide shall be above the chain in the region 25 mm from the point where the chain wheel first passes between the side plates of the chain, parallel to the chain side plates in the direction towards the rear wheel of the bicycle (see Figure 47). In addition some portion of the combined front gear change guide shall be present below the chain in the region beyond 25 mm from the point where the chain wheel first passes between the side plates of the chain, parallel to the chain side plates in the direction towards the rear wheel of the bicycle (see Figure 47). It is recommended that the gap between front-gear and front gear-change guide specified by the manufacturer is properly set. | | |
| 4.3.15 | | | | | | |
| 18.104.22.168 | | Limiting dimensions | | No part of the saddle, saddle supports, or accessories to the saddle shall be more than 125 mm above the top saddle surface at the point where the saddle surface is intersected by the seat- post axis. | | |
| 22.214.171.124 | | Seat-post – Insertion-depth mark or positive stop | | The seat-post shall be provided with one of the two following alternative means of ensuring a safe insertion-depth into the frame: a) it shall contain a permanent, transverse mark of length not less than the external diameter or the major dimension of the cross-section of the seat-post that clearly indicates the minimum insertiondepth of the seat-post into the frame. For a circular cross-section, the mark shall be located not less than two diameters of the seat-post from the bottom of the seat-post (i.e. where the diameter is the external diameter). For a non-circular cross-section, the insertion-depth mark shall be located not | | |
Date: Mar 04, 2020
Page 20 of 23
| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| | | | | less than 65 mm from the bottom of the seat-post (i.e. where seat-post has its full cross-section); b) it shall incorporate a permanent stop to prevent it from being drawn out of the frame such as to leave the insertion less than the amount specified in a) above. | | |
| 126.96.36.199 | | | | | | |
| 188.8.131.52 .1 | | General | | If a suspension seat-post is involved, the test may be conducted with the suspension-system either free to operate or locked. If it is locked, the pillar shall be at its maximum length. | | |
| 184.108.40.206 .2 | | Saddles with adjustment-clamps | | When tested by the method described in 220.127.116.11.4, there shall be no movement of the saddle adjustment clamp in any direction with respect to the seat-post, or of the seat-post with respect to the frame, nor any failure of saddle, adjustment clamp or seat- post. If the saddle design is such that it cannot accurately test the saddle/seat-post clamp, it shall be possible to use a fixture which is representative of the saddle dimensions. | | |
| 18.104.22.168 .3 | | Saddles without adjustment-clamps | | Saddles that are not clamped, but are designed to pivot in a vertical plane with respect to the seat-post, shall be allowed to move within the parameters of the design and shall withstand the tests described in 22.214.171.124.4 without failure of any components. | | |
| 126.96.36.199 | | Saddle – Static strength test | | When tested by the method described in 188.8.131.52.2, the saddle cover and/or plastic moulding shall not disengage from the chassis of the saddle, and there shall be no cracking or permanent distortion of the saddle assembly. | | |
| 184.108.40.206 | | Saddle and seat- post clamp – Fatigue test | | When tested by method described in 220.127.116.11.3, there shall be no fractures or visible cracks in the seat-post or in the saddle, and no loosening of the clamp. | | |
| 18.104.22.168 | | | | | | |
| 22.214.171.124 .1 | | General | | In the following test, if a suspension seat-post is involved, the test shall be conducted with the suspension system adjusted to give maximum resistance. Conduct the test in two stages on the same assembly as per 126.96.36.199.2 and 188.8.131.52.4. | | |
| 184.108.40.206 .2 | | | | | | |
| 220.127.116.11 .2.1 | | Seat-post without suspension system | | When tested by the method described in 18.104.22.168.3, there shall be no visible cracks or fractures in the seat-post, nor any bolt failure. For composite seat-post, the peak deflection of seat-post during the test shall not increase by more than 20 % of the initial value. | | |
| 22.214.171.124 .2.2 | | Seat-post with suspension system | | When tested by the method described in 126.96.36.199.3, there shall be no visible cracks or fractures in the seat-post, nor any bolt failure. The design shall be such that in the event of failure of the suspension system, the two main parts do not separate nor does the upper part (i.e. the part to which the saddle would be attached) become free to swivel in the lower part. | | |
| 188.8.131.52 | | | | | | |
Date: Mar 04, 2020
Page 21 of 23
| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| .4 | | | | | | |
| 184.108.40.206 .4.1 | | Seat-post without suspension system | | When tested by the method described in 220.127.116.11.5, there shall be no fractures, and the displacement shall not exceed 10 mm during testing. | | |
| 18.104.22.168 .4.2 | | Seat-post with suspension system | | When tested by the method described in 22.214.171.124.5, there shall be no fractures. The design shall be such that in the event of failure of the suspension system, the two main parts do not separate nor does the upper part (i.e. the part to which the saddle would be attached) become free to swivel in the lower part. | | |
| 4.3.16 | | Spoke protector | | EPAC bicycles with multiple free-wheel/cassette sprockets shall be fitted with a spoke-protector guard to prevent the chain interfering with or stopping rotation of the wheel through improper adjustment or damage. | | |
| 4.3.17 | | Luggage carriers | | If luggage carriers are fitted or provided they shall comply with EN ISO 11243. | | |
| 4.3.18 | | Road-test of a fully-assembled EPAC | | When tested by the method described in 126.96.36.199, there shall be no system or component failure and no loosening or misalignment of the saddle, handlebar, controls or reflectors. The EPAC shall with or without assistance exhibit stable handling in braking, turning and steering, and it shall be possible to ride with one hand removed from the handlebar (as when giving hand signals), without difficulty of operation or hazard to the rider. | | |
| 4.3.19 | | | | | | |
| 188.8.131.52 | | General | | EPAC shall be equipped with reflectors at the front, rear and side. EPAC shall be equipped with lighting systems and reflectors in conformity with the national regulations in the country in which EPAC is marketed, because national regulations for lighting systems and reflectors differ from country to country. | | |
| 184.108.40.206 | | Wiring harness | | When a wiring harness is fitted, it shall be positioned to avoid any damage by contact with moving parts or sharp edges. All connections shall withstand a tensile force in any direction of 10 N. | | |
| 220.127.116.11 | | Lighting systems | | The lighting system consists of a front and a rear light. These devices shall comply with the provisions in force in the country in which the product is marketed. If there are no forced provisions of these devices, the lighting system shall comply with the requirements of ISO 6742-1. | | |
| 18.104.22.168 | | | | | | |
| 22.214.171.124 .1 | | General | | These devices shall comply with the provisions in force in the country in which the product is marketed. If there are no forced provisions of these devices, the retro- reflective devices shall comply with the requirements of ISO 6742-2. | | |
| 126.96.36.199 .2 | | Rear reflectors | | Rear reflectors shall be red in colour. | | |
| 188.8.131.52 | | Side reflectors | | The retro reflective device(s) shall be either | | |
Date: Mar 04, 2020
Page 22 of 23
| | Clause | | Test Item | | Test Requirement / Test Method | Test Result |
|---|---|---|---|---|---|---|
| .3 | | | | a) a reflectors fitted on the front half and on the rear half of EPAC. At least one of these shall be mounted on the spokes of the wheel. Where EPAC incorporates features at the rear wheel other than the frame and mudguard stays, the moving reflector shall be mounted on the front wheel; or b) a continuous circle of reflective material applied to both sides of each wheel within 10 cm of the outer diameter of the tyre. All side reflectors shall be of the same colour, either white (clear) or yellow. | | |
| 184.108.40.206 .4 | | Front reflectors | | Front reflectors shall be white (clear) in colour. | | |
| 220.127.116.11 .5 | | Pedal reflectors | | Each pedal shall have reflectors, located on the front and rear surfaces of the pedal. The reflector elements shall be either integral with the construction of the pedal or mechanically attached, but shall be recessed from the edge of the pedal, or of the reflector housing, to prevent contact of the reflector element with a flat edge placed in contact with the edge of the pedal. | | |
| 4.3.20 | | Warning device | | Where a bell or other suitable device is fitted, it shall comply with the provisions in force in the country in which the product is marketed. | | |
| 4.3.21 | | Thermal hazards | | A warning shall be placed on the surface if the temperature of the hot accessible surface could be above 60 °C (see EN ISO 7010:2012, symbol W017). Brake systems are excluded from this requirement. | | |
| 4.3.22 | | Performance levels (PLrs) for control system of EPACs | | The safety related parts of the control systems of the EPAC shall comply with the required performance level (PLr) given in Table 34 in accordance with EN ISO 13849-1. Should risk assessment indicate that additional or different PLr are required for a particular application, these should be determined in accordance with EN ISO 13849 (all parts). Such PLr will be outside the scope of this standard. The manufacturer of the EPAC shall record the process adopted for verification of compliance with PLr for each relevant safety function. | | |
| 5 | | | | | | |
| 5.1 | | Requirement | | Details please see the contents of standard. | | |
| 5.2 | | Durability test | | When tested by the method described in 5.2.2, the marking shall remain easily legible. It shall not be easily possible to remove any label nor shall any label show any sign of curling. | | |
Date: Mar 04, 2020
Page 23 of 23
Remark:
2. SGS Reference No.: GZES190802190832.
1. SGS Reference No.: GZES190802190831.
3. SGS Reference No.: GZEM190801497901.
5. SGS Reference No.：TJHL2001000201BC.
4. The content of this part is extracted from the test number GZHL1906023395BC.
This test was subcontracted to SGS-CSTC Standards Technical Services (Tianjin)Co., Ltd.
Reflector test report（Report No.: 1061.02932.002, Date: 31 May 2019, issued by: ACT）was submitted by clients for document review at time of testing.
6. Reflector test report（Report No.: 1061.02932.001, Date: 31 May 2019, issued by: ACT）was submitted by clients for document review at time of testing.
Reflector test report（Report No.: 1061.0011.001, Date: 01 Feb 2019, issued by: ACT）was submitted by clients for document review at time of testing.
7. NA = Not applicable.
Reflector test report（Report No.: 204.0021.04.R1, Date:19 September 2018, issued by: ACT）was submitted by clients for document review at time of testing.
8. NT = Not tested as per client's request.
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FINAL
ENVIRONMENTAL ASSESSMENT
FOR
BORDER ROAD AND FENCE; CONSTRUCTION AND REPAIR
TECATE TO CANYON CITY, SAN DIEGO COUNTY, CALIFORNIA
(JT-41-94A)
Prepared for:
Joint Task Force - Six
Fort Bliss, Texas
Prepared by:
U.S. Army Corps of Engineers
Los Angeles District
OCTOBER 1993
FINDING OF NO SIGNIFICANT IMPACT
FOR THE
JOINT TASK FORCE SIX OPERATION (JT 041-94A)
BORDER FENCE/ROAD CONSTRUCTION AND ROAD REPAIR
TECATE, SAN DIEGO COUNTY, CALIFORNIA
I have reviewed the attached Environmental Assessment (EA) prepared by the U.S. Army Corps of Engineers (COE), Los Angeles District (LAD) for the Joint Task Force Six (JTF-6) project for Tecate, California. JTF-6 coordinates all Department of Defense support to Federal, State and local law enforcement agencies as requested by Operation Alliance and approved by the Joint Chiefs of Staff in the efforts to disrupt illegal operations along the southwest land border and protect national security.
The purpose of JTF-6 Operation at Tecate, is to repair and construct roads and fencing to assist law enforcement agencies in the prevention of illegal importation of drugs along the border with Mexico. The proposed project consists of construction and repair of approximately 10 miles of road in the vicinity of Tecate City, California. The road repair will consist of light grading, installation of culverts, and grading and shaping for drainage. The road construction will be near and parallel to the border and be utilized for the construction and placement of a 10 foot high border fence. The improved border roads will be utilized to effectively monitor, patrol, spot and interdict drug trafficking and smuggling activities in the region. The intent is to repair the erosion damage on the existing roadway and the streams that intersect the road.
In the event of time delays, resource agencies and concerned individuals will be notified via telephone by Corps personnel. In the event of flooding or heavy rain, project construction will be delayed until conditions are again suitable for the movement of machines and materials.
The effects of the proposed project on natural, biological and cultural resources were analyzed in the Final Environmental Assessment (FEA) for the proposed project. Environmental commitments and mitigation measures are outlined in the FEA to minimize impacts to the environmental resources. The loss of 0.65 acres of willow habitat will be mitigated by planting willow cuttings within the project area. Mature oak trees in the project vicinity will be avoided and will not be disturbed. Erosion control measures will be implemented by seeding exposed surfaces created in the course of the project construction.
I have considered the available information contained in this EA, and it is my determination that the proposed project will not result in any significant long or short term adverse effects on the existing environment. Therefore, preparation of an Environmental Impact Statement (EIS) is not required.
Joint Task Force Six
7 Oct 93
TERRANCE L. SMITH
Colonel, U.S. Marine Corps
Commander
# TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| 1.0 PROJECT SUMMARY | 1 |
| 1.1 JTF-6 Mission | 1 |
| 2.0 PROJECT LOCATION AND VICINITY | 2 |
| 3.0 NEED FOR THE PROPOSED ACTION | 2 |
| 4.0 ACTION | 2 |
| 4.1 Road and Fence Construction and Repair | 2 |
| 4.2 Support Activities | 4 |
| 4.3 Fence Installation Equipment | 4 |
| 4.4 Road Construction/Repair Equipment | 4 |
| 4.5 Battalion Support | 4 |
| 4.6 No Action | 5 |
| 5.0 ALTERNATIVES | 5 |
| 5.1 No Action | 5 |
| 5.2 Construction and Repair as Proposed | 5 |
| 5.3 Construction of All New Roads | 5 |
| 5.4 Construction of All New Fencing | 5 |
| 6.0 AFFECTED ENVIRONMENT | 5 |
| 6.1 Physical Setting | 5 |
| 6.2 Climate | 6 |
| 6.3 Water Quality | 6 |
| 6.4 Air Quality | 6 |
| 6.5 Biological Resources | 6 |
| 6.5.1 Vegetation | 6 |
| 6.5.2 Fish and Wildlife | 7 |
| 6.5.3 Endangered and Threatened Species | 7 |
| 126.96.36.199 Federal | 7 |
| 188.8.131.52 State of California | 7 |
| 6.5.4 Candidate Species | 8 |
| 184.108.40.206 Federal | 8 |
| 220.127.116.11 State of California | 8 |
| 6.6 Cultural Resources | 8 |
| 6.7 Land Use | 10 |
| 6.8 Aesthetics | 10 |
| 6.9 Noise | 10 |
| 6.10 Socioeconomics | 10 |
| 6.11 Transportation | 10 |
| 7.0 ENVIRONMENTAL IMPACTS | 10 |
| 7.1 Physical Setting | 10 |
| 7.2 Climate | 11 |
| 7.3 Water Quality | 11 |
| 7.4 Air Quality | 11 |
| 7.5 Biological Resources | 11 |
| 7.5.1 Vegetation | 11 |
| 7.5.2 Fish and Wildlife | 15 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 7.5.3 Endangered and Threatened Species | 15 |
| 7.5.4 Candidate Species | 15 |
| 7.5.5 Mitigation | 15 |
| 7.6 Cultural Resources | 16 |
| 7.7 Land Use | 16 |
| 7.8 Aesthetics | 16 |
| 7.9 Noise | 17 |
| 7.10 Socioeconomics | 17 |
| 7.11 Transportation | 17 |
| 8.0 COORDINATION | 17 |
| 9.0 COMPLIANCE WITH ENVIRONMENTAL REQUIREMENTS | 21 |
| 10.0 COMMITMENTS | 22 |
| 11.0 LIST OF PREPARERS AND REVIEWERS | 25 |
| 12.0 REFERENCES | 25 |
**FIGURES**
- Figure 1 - Tecate Project Area Map
- Figure 2(a) and 2(b) - Tecate Project Maps
**TABLES**
- Table 1 - Plant Species Identified in the Project Area
- Table 2 - Animal Species Identified in the Project Area
**ATTACHMENT**
- Attachment 1 - Biological Assessment
**APPENDICES**
- Appendix A - Section 404(b)(1) Water Quality Evaluation
- Appendix B - Correspondence and Letters of Comment
- Appendix C - Replies to Comments
1.0 PROJECT SUMMARY
1.1 JTF-6 Mission. The Secretary of Defense established Joint Task Force Six (JTF-6) in November 1989 to coordinate all Title 10 Department of Defense support to Operation Alliance, Federal, state, and local law enforcement agencies as requested by local authorities and approved by the Secretary of Defense in their efforts to disrupt illegal drug smuggling operations along the southwest land border and protect national security. Under this direction, the Border Patrol has requested JTF-6 to assist them in repairing and constructing roadways. Subsequently, JTF-6 and the California National Guard (CANG) have requested that the Corps of Engineers (COE) assess impacts of the repair and/or construction of roads; and repair and/or construction of fencing along the border of the United States and Mexico in the vicinity of Tecate, California (See Figures 1, 2(a) and 2(b)).
This document consists of the Final Environmental Assessment (FEA) of the actions to be taken for border road construction and repair, and fence construction and repair. This FEA has been prepared to assess any environmental concerns associated with this action. It provides for the required National Environmental Policy Act (NEPA) documentation.
The U.S. Border Patrol utilizes the dirt/gravel road along and near the United States/Mexico border daily to meet their mission. This mission is detection and prevention of the illegal entry of narcotics along the border.
This proposal includes limited repairs and improvements to the existing roads, construction of several new road segments; the installation and/or repair of fencing; and the installation of culverts on about 10 miles of the U.S/Mexico border in the vicinity of Tecate, California. The project will include some widening of roads. A detailed project description is included in Section 4.0 of this FEA.
It is estimated that the project will take about 18 months to complete; construction will occur between October 1993 and March 1995. However, due to funding limitations, weather, or availability of construction personnel the work could take longer. If that should occur, the work then would be accomplished prior to April 1996. Construction activity will be reduced or stopped in the event of heavy rain or floods to reduce any impacts to water quality. If there is a delay in project construction, the appropriate resource agencies and concerned individuals will be notified via telephone by COE personnel.
Impacts from this action are minimal and primarily short term. Most movement of soils and other materials will primarily be confined to the present roadway imprint. Temporary storage of earthmoving and construction equipment will occur in areas
designated on Figure 2(a) and 2(b), near Tecate and Campo. Monitors for cultural features and/or vegetation will be utilized in any areas that contain sensitive resources.
2.0 PROJECT LOCATION AND VICINITY
The project area is located in the relatively sparsely settled area of southeastern San Diego County, California, approximately 30 to 60 miles east of the City of San Diego. San Diego is the seat of the County and the second largest city in the state. Most of this border area is composed of rugged terrain, with the highest elevations reaching 3,885 feet above mean sea level at Tecate Peak, west of the town of Tecate. The lowest elevation is 1,800 feet, in the vicinity of the town of Tecate. The area is relatively dry, with chaparral vegetation and no permanent surface streams.
3.0 NEED FOR THE PROPOSED ACTION
The purpose of this JTF-6/CANG operation is to construct and/or repair roadway and fencing along the border in the vicinity of the U.S./Mexico border from west of Tecate to east of Canyon City, California (See Figures 2(a) and 2(b)).
Present road conditions are such that excessive time is consumed in back-country travel and the vehicles are subject to much wear and tear. Also, at times officers can find themselves far removed from assistance if an emergency occurs. This project will assist in improving the performance and safety conditions for Border Patrol personnel while patrolling.
During the period of 1 October 1991 to 30 September 1992, 24,389 pounds of marijuana and 3,712 pounds of cocaine were seized in this area by the Border Patrol. From 1 October 1992 to 8 July 1993, 27,214 pounds of marijuana and 1,130 pounds of cocaine were seized. These figures may only represent a small portion of the illegal drug traffic in this area. With the improved border security in the San Ysidro area (west of this project) it is expected that illegal traffic will increase in this border area. Improved roads and solid fencing will greatly increase the effectiveness of the limited number of officers and vehicles available for this work.
4.0 ACTION
4.1 Road and Fence Construction and Repair. The project is outlined below (See Figures 1 and 2a &2b). The need for culverts and any alignment modifications will be assessed and monitored during construction. Access road width along the
border parallel to the fence will be approximately 20 feet and other existing or new road will be improved/constructed to maximum width of 24 feet.
A. Construct approximately 2.7 miles of new roadway and a 10 foot high steel fence, near to and parallel to the border, from southeast of Tecate Peak to near the Port of Entry in the town of Tecate.
B. Construct approximately 1.4 miles of new roadway and a 10 foot high steel fence, near to and parallel to the border, from near the Port of Entry in the town of Tecate to the border of Sections 29 and 30*.
C. On the west slopes of the border peak (located under Border Monument Marker 243) on the south side of Section 29*, near to and parallel to the border, install approximately 0.4 miles of a barrier composed of vertical I-beams.
D. Repair or construct approximately 2.5 miles of roadway, from the boundary between Sections 29 and 28* to 0.2 miles east of the boundary between Sections 27 and 28*.
E. Construct approximately 0.6 miles of new roadway in Section 27*. This will connect to 0.7 miles of new road and 10 foot high steel fence, near to and parallel to the border, across Bell Valley.
F. Construct and/or repair approximately 2.6 miles of roadway in Sections 23, 24* and 19#, to the boundary of Sections 19 and 20#.
* These sections are in Township 18 South and Range 4 East.
# These sections are in Township 18 South and Range 5 East.
The ten foot high fencing will be constructed from steel poles and steel airport runway matting. It will be composed of assembled sections that are 10 foot by 10 foot. The fence sections will be assembled at either of the two staging areas near Tecate. The steel poles will be set in concrete on site and the fence sections welded to them.
The barrier (item C, above), to be erected on the western side of the border hill in Section 29, will be constructed of vertical I-beams, five feet high, five feet apart, set in concrete. This structure may be constructed by the Marines' 7th Engineer Support Group.
During construction some fill material may be moved from one location to another, when needed. Where additional fill material may be needed, a borrow site near Tecate (See Figure 2a) will be
utilized to supply the material. Culverts, of 24" to 48" diameter galvanized steel, will be installed in washes where needed to prevent erosion to the road. Where large drainages may exist, Bell Valley and near the railroad trestle, multiple culverts may be installed.
4.2 Support Activities. Personnel from the Team Engineers, Task Force Grizzly, California National Guard will accomplish the road work. Personnel from the U.S. Marines, 7th Engineer Support Battalion will accomplish the fence work in the Tecate area.
4.3 Fence Installation Equipment. The equipment required to install the fencing will be provided and/or rented by the U.S. Marines and/or the Border Patrol maintenance department. Equipment to be utilized for this work will include: fork lifts, wheeled cranes, earth augers, rick drills, stake bed trucks and arc welders. This equipment will be stored in an area several hundred feet east of the Marine Billeting Area.
4.4 Road Construction/Repair Equipment. Various military units will be assigned to this work on a rotating basis. However, the number of personnel at the sites will vary depending upon operational needs and availability of personnel from the units. Equipment could include all or part of the following: four scrapers, four bulldozers, two compactors, two water distributor trucks, one auger truck, one backhoe, one excavator, one vibrator roller, two road graders, three flat-bed trucks (to carry fence panels).
R 4.5 Battalion Support. The approximately 20 National Guard personnel will be housed (billetted) at Camp Morena, on the north shore of Lake Morena. Vehicle transportation will be provided for the 20 to 30 miles to and from the construction sites. Their various equipments and trucks will be maintained and repaired at Camp Morena, but will be stored daily in an "Equipment Storage Site" near Tecate and/or Campo (See Figure 2a).
R The Marine contingent of 60 to 80 personnel will be housed (billetted) in a compound approximately two blocks north of the Tecate POE (See Figure 2(a)). The area, of about 4 acres, is on private land. The sparse, poor quality chaparral vegetation on the site will be removed for the installation of tents and support structures. A total of 14 tents will be erected to house the construction staff and provide office space. A telephone will be installed for outside communication. Rented portable restrooms will be available for personnel. The meals for breakfast and dinner will be contracted through nearby restaurants. Trash from this site will be handled via a local contractor.
Construction could be delayed due to funding, weather or availability of military construction personnel. However,
construction will be accomplished prior to April 1996. If a delay does occur in the proposed construction schedule, the Army Corps of Engineers staff will notify the appropriate agencies and concerned individuals by telephone.
5.0 ALTERNATIVES
5.1 No Action. Taking no action along this stretch of border would leave the area as it is today. This alternative would not allow for any repair or construction activity to take place.
This alternative would cause a deterioration in the ability of the law enforcement agencies to fulfill their mission. With recently increased border security to the west a large amount of illegal drug traffic will probably be shifted to this area. Safety of area residents, safety of law enforcement personnel, effectiveness of law enforcement personnel, law enforcement patrolling and vehicle wear and tear would be adversely impacted. As a result, this alternative is not acceptable and will not be addressed further in this document.
5.2 Construction and Repair, as Proposed. This alternative would allow for the repair/construction of the roadways and the repair/construction of the border fence as proposed in Section 4.0 above. This is the Preferred Alternative.
5.3 Construction of All New Roads. Construction of completely new roads would require land and/or right-of-way clearance, as well as engineering, planning, and construction implementation. This alternative would require many months to develop a project design and would be very costly. The local flora and fauna would be greatly impacted. This proposal would be much more environmentally damaging than the Preferred Alternative.
5.4 Construction of All New Fencing. Construction of completely new fencing would replace the old, damaged fence. This would be very expensive and difficult to accomplish in the more rugged areas. Replacement with all steel fencing, with stronger more resilient materials, would be even more expensive and difficult to construct than replacement of the present type of fence.
6.0 AFFECTED ENVIRONMENT
6.1 Physical Setting. This region is part of the Peninsular Ranges Physiographic Province of the extreme southwestern United States. Most of the project area is rather rugged terrain. Several prominent mountains lie in the project area: Tecate Peak (3,885 feet) and Boundary Peak (3,942 feet). Elevations in the project area range from 1,800 to almost 4,000 feet above mean sea level.
6.2 Climate. Climate in this region is characterized by mostly sunny days with hot summers and mild winters. Precipitation normally is highest in winter, due to moisture from the west, from low pressure systems moving inland from the Pacific Ocean. Average annual precipitation is approximately 12 inches. Annual snowfall can vary from none to about 6 inches, on the peaks of the inland area.
Temperatures normally vary, in the winter, from lows in the lower 30's to highs in the 60's or 70's. Summer temperatures can vary from low's in the 60's to highs in the low 100's. Winds for most of the year generally blow from the west.
6.3 Water Quality. Due to the dry climate of this area most of the surface drainage channels are dry most of the year. The direction of flow in this area is north to south, i.e. the United States into Mexico. Since most lands on both sides of the border are relatively undeveloped, there are few sources of contaminants in the area. Ground-water in the area is of good quality for local use. Most of the water consumed locally is from wells.
6.4 Air Quality. The project area has generally good air quality due to the rural nature of the region. Very few sources of contamination exist in the project area. However, due to winds that can blow from west to east some pollutants are transported into the area. San Diego County is a nonattainment area for Ozone and PM 10.
6.5 Biological Resources. The area of interest supports habitat classified as Chaparral, a community of fire-adapted shrubs usually forming dense, impenetrable thickets (Kricher and Morrison, 1993). Chaparral vegetation is located throughout the Southwest and northern Mexico, but is prominent in portions of California. Chaparral habitat supports an estimated 900 species of vegetation of which approximately 240 species are classified as woody, mostly evergreen shrubs. Although plant diversity appears to be high, the plant community is basically simple and supports a low animal diversity. The floral and faunal components have been described in several publications (Beauchamp, 1985; Brown, 1982; Kricher and Morrison, 1993). A Corps of Engineers Ecologist conducted a limited resource inventory survey of the proposed project area over a five day period in July and August 1993. An inspection of the survey area was conducted in the presence of U.S. Fish and Wildlife Service biologist, Ellen Berryman, on July 29, 1993 but was restricted to the Tecate, California portion of the project area due to time constraints on the part of the Service biologist.
6.5.1 Vegetation. Vegetation within the project area is generally characterized as Chamise Chaparral and Mixed Chaparral (Beauchamp, 1986) but also supports inland sage scrub intermixed with chaparral vegetation as well as drainage sites supporting
Oak Woodlands and Riparian Woodlands. The project site is predominantly vegetated by chamise, California buckwheat, scrub oaks, sage, ceanothus, manzanita, redshanks, sagebrush, yucca, laurel sumac, sugar bush, assorted grasses and California dodder as well as lesser occurring species. The project area is also dissected by numerous drainages which support riparian and oak woodland species including California sycamore, willows, mulefat, poison oak, Monkey flowers, Live Oaks, Tree Tobacco, and lesser occurring species. Plant species identified in the course of field surveys are listed in Table 1.
6.5.2 **Fish and Wildlife.** Animal species likely to occur within the project vicinity are those generally associated with chaparral communities and the few permanent drainages. Likely candidates which may occur in chaparral include turkey vultures, red-tailed Hawks, California quail, scrub jays, California towhee, wrentit, mourning dove, California ground squirrel, brush rabbit, California mouse, coast horned lizard, western fence lizard, rattlesnakes, gopher snakes, southern alligator lizard, coyote, cougars, gray foxes and mule deer (Kricher and Morrison, 1993). The most frequently sighted animals occurring in the project area included California ground squirrels, brush rabbits, turkey vultures, red-tailed hawks, California quail, mourning doves, ants, tarantula wasps, and roadrunners; animals encountered infrequently included a coast horned lizard, rattlesnake, gopher snake, and an owl. Animal species sighted during the course of field surveys are included in Table 2.
6.5.3 **Endangered and Threatened Species.**
18.104.22.168 **Federal.** A list of Federal listed endangered, threatened and proposed species with the potential to be found in the project vicinity was requested from the U.S. Fish and Wildlife Service(USFWS) on August 2, 1993. The results of this request were provided by letter dated September 17, 1993 and included six endangered species, one threatened species and two proposed endangered species (Appendix B). Endangered species with the potential to occur in the project area included the least Bell's vireo (*Vireo bellii pusillus*), the Riverside fairy shrimp (*Steptocephalus woottoni*), San Diego Button Celery (*Eryngium aristutlatum parishii*), San Diego mesa mint (*Pogogyne abramsii*), California orcutt grass (*Orcuttia californica*), Gambel's watercress (*Rorippa gambellii*); one threatened species: California gnatcatcher (*Polioptila californica*); and two proposed endangered species: southwestern willow flycatcher (*Empidonax trailii extimus*) and southwestern arroyo toad (*Bufo microscapius californicus*).
22.214.171.124 **State of California.** Resource management plans formulated by BLM in 1992 for land parcels in which a portion of the project occurs did not indicate the presence of a State special status species in parcels traversed by the project.
6.5.4 Candidate Species.
126.96.36.199 Federal. Information regarding the occurrence of candidate species which may be occur within the project area was requested from the USFWS on August 2, 1993; a response was received on September 17, 1993. Two Category one species were identified by the U.S. Fish and Wildlife Service with the potential to occur in the project vicinity: California red-legged frog (*Rana aurora draytoni*) and the San Diego thornmint (*Acanthominia ilicifolia*). Sixty five Category two species were identified with the potential to occur in the project vicinity and are included in Appendix B. An U.S. Bureau of Land Management (BLM) document addressing management of resources on land parcels in which portions of the project are located lists four candidate species with the potential to be encountered (BLM, 1992). These include the following plant species: felt-leaved monardella (*Monardella hypoleuca ssp. lanata*), slender-pod jewelflower (*Caulanthus stenocarpus*), and Tecate tarplant (*Hemizonia floribunda*) and one reptile: orange-throated whiptail (*Cnemidophorus hyperythrus*).
188.8.131.52 State of California. No state sensitive species were identified in BLM resource documents as occurring on portions of the project area (Bureau of Land Management, 1992).
6.6 Cultural Resources. Information that was obtained from the records and literature search, and subsequent correspondence with a private consultant and the Bureau of Land Management, Palm Springs Office, archeologist indicated the presence of three previously recorded cultural resources near the area of potential effects (APE). The entire APE was surveyed by COE staff archeologist, Richard Perry and Rod McLean from July 20 to 24, 1993. The survey consisted of walking (where possible) over all existing and proposed roads, areas to be fenced, and borrow and staging areas. An additional site was located as a result of the Corp survey (site BV-1).
The project corridor runs through an area which has an extensive prehistory and history. The main fence and road right-of-way (ROW) begins west of the town of Tecate, part way up the eastern slope of Tecate Peak and extends approximately nine miles east to the point where Campo Creek crosses the border into Mexico. The project area includes a staging area right outside of Tecate, and a borrow area on top of a small hill about one-quarter-mile northeast of Tecate. The ROW is bounded on the Mexico side by historic border markers that were placed approximately one-hundred years ago. The markers occur irregularly with shorter modern concrete ones placed in the intermediate expanses. The ROW includes a diversity of landforms that range from valleys, drainages, and flat areas to ridges and peaks with slopes as precipitous as 60 degrees.
The local geological resources provided a good source of material for the manufacture of stone tools. The entire project area is situated on granite of the Mesozoic Southern California batholith. This natural source of material was instrumental in the manufacture of manos, metates, and bedrock mortars and slicks.
Just over the western boundary of the APE is the National Register of Historic Places nominated Tecate Peak, known to the Kumeyaay Indians as Kuchamaa. The historic property is described as reaching down to the 3,000 foot contour level; this project's western boundary is well below that contour level, therefore the site will not be impacted in any way.
The "Heard Ranch Site", CA-SDI-9968, is located on the east flank of Tecate Peak near a year-round stream. The site was not recorded as part of a formal survey, and the site record form did not include a sketch map of the site. The form also listed the site as being located between the dirt road and the International Border. The site was relocated and inspected by COE staff archaeologists. SDI-9968 is a series of bedrock milling slicks, flakes and scraping tools. The site, when visited by the COE was found to have been recently burned from a brush fire, with the northern portion destroyed by heavy, dirt moving equipment. Generally speaking the observed remains of the site were extensive but will be avoided completely by the project, as it is outside of the APE.
Archeological site CA-SDI-11,168 was recorded near the APE close to the Port of Entry. The site was recorded as a very light lithic scatter, comprised only of several flakes and one core. An attempt to relocate the site was unsuccessful. There will be no impacts to this site as it is outside of the APE.
The additional site was found by the COE staff archaeologists in Bell Valley. The site has been temporarily designated BV-1. The site is comprised of bedrock mortars on the granite boulder overlooking the stream with six flakes south of the agricultural fence. The site will be avoided by the proposed project.
Two properties which are near the APE, but will not be affected by the project, are the historic railroad trestle for the San Diego and Arizona Eastern Railroad and a pipe from a buried water cistern. The trestle was given the trinomial CA-SDI-6992H and the metal pipe was given CA-SDI-9174H. The trestle crosses over Campo Creek into Mexico just about on the Section line between Sections 24 and 19 on the Potrero Quadrangle map. The pipe is east of the trestle near the existing road. There will be no impacts to these resources. No other cultural resources were found or relocated in the APE.
6.7 **Land Use.** Land usage in the area is primarily grazing of livestock, several small towns and isolated buildings. Some commercial chicken raising is conducted in the vicinity, but none in the immediate project area.
6.8 **Aesthetics.** This area is characterized by its rural, pastoral nature. The vistas are composed of desert mountains and valleys; it is pleasing and mostly untouched by development. Good visibility most of the year permits views of the surrounding countryside and mountains. Along the border abandoned vehicles, other structures, trash and burns were noted during the surveys. These factors contribute toward degrading the aesthetics of the area.
6.9 **Noise.** There are very few noise producing centers in this region. Noise is not a significant problem for people in the area.
6.10 **Socioeconomics.** The 1990 population of San Diego County exceeded 2.5 million people. The population within a 10 mile radius of the project area is approximately 2,300. Much of the land in the project area is under the ownership of the U.S. Bureau of Land Management. Very little land area is available for private economic development, therefore most employment in the area is in ranching, stables, chicken farms and other agricultural pursuits.
6.11 **Transportation.** There is one major transportation artery near the project area: Interstate Highway 8 (I-8) to the north. California Highway Routes 94 and 188 are the only state surface routes near the project area. Traffic is light on these roads compared with I-8. The traffic at the Tecate Port of Entry during fiscal year 1992 was: approximately 1 million private vehicles; 42,000 trucks; 330 buses; 7 trains; and over 400,000 pedestrians.
7.0 **ENVIRONMENTAL IMPACTS**
Environmental impacts related to the preferred alternative (repair/construction of roads and fencing) are summarized in the following paragraphs. Impacts related to the No Action, Construction of a New Roads and the Construction of New Fencing Alternatives are not addressed in this FEA because they are not viable alternatives. In general, impacts of No Action Alternatives are to allow continuous drug flow and other illegal activities in the United States.
7.1 **Physical Setting.** Project related impacts on the physical environment are anticipated to be minor, except in the areas where new roads would be constructed. A relatively small number of acres would be impacted, but this loss will not significantly
affect the physical terrain, climate, or water resources within the project area.
7.2 Climate. This project will have little to no impact on the climate of the area. Some relatively small amount of dust will be released to the atmosphere during the movement of dirt, sand and rock. Water will be sprayed on dust producing areas as the construction progresses.
7.3 Water Quality. There will be little to no impact to surface or ground water. Standard construction procedures will be followed to minimize erosion during construction if a rain should occur. Construction activities will cease or be curtailed until the surface conditions are satisfactory for them to be resumed. The decomposed granite material, which characterizes most of the area, will allow any surface water to quickly soak into the soil.
7.4 Air Quality. Air quality should remain good while this construction progresses. Some dust will be released during construction in the immediate area of the activities. Water sprayed by watering trucks during the construction should reduce dust and other particulates to a minimum. This impact will be short term and minor. Overall, air quality in the project area should not be adversely affected by the proposed project.
R 7.5 Biological Resources.
7.5.1 Vegetation. The proposed actions consist of three components:
1) Construction of a steel mat fence and parallel access road north of the existing border that separates the United States and Mexico east and west of Tecate Peak and across Bell Valley;
2) Improvements to an existing jeep trail by widening from the current 12 foot width to a maximum width of 24 feet where terrain permits commencing at the boundary between sections 28 and 29;
3) Construction of new roads on the upslope of the unnamed peak east of the Tecate POE (boundary marker 243), on the upslope side of the peak west of Bell Valley (section 27) to a maximum width of 24 feet, and new road north of the international boundary from the fence/road alignment across Bell Valley to the existing jeep trail.
Fence Construction.
Tecate POE: The proposed fence and parallel road will be constructed north of the international boundary between the U.S. and Mexico approximately 2.25 miles west and 1.4 miles east of the Tecate Port of Entry (POE). The construction corridor is a rectangular configuration of approximately 20000 feet in length.
(along the border) and 20 feet in width (approximately 9.2 acres). The construction corridor has undergone extensive degradation as evidenced by the sparse to none vegetation cover, the amount of trash that has been deposited, uncontrolled burns set by the local population, foot and car traffic, and its location within the international firebreak between the U.S. and Mexico. Vegetation community structure in the vicinity is indistinguishable with the exception of an area on the bottom slope of Tecate Peak that supports an area of intact chaparral that is estimated to be 0.45 acre. Chamise chaparral is reported as the dominant plant community in the vicinity by Beauchamps (1986) and chamise is relatively abundant in the vicinity of the construction corridor as well as California buckwheat, two common members of the chamise chaparral community. Inland sage scrub was reported to exist in the area but was not evident in the construction corridor. The construction corridor is similar east of the POE and has undergone more extensive disturbance as evidenced by a complete loss of vegetative cover as a result of fires. The fence east and west of the POE in its current alignment is expected to have a negligible impact upon the current habitat and may eventually contribute to recolonization by endemic plants.
The proposed fence and parallel road alignment east and west of the POE traverses a number of drainages which vary in size and quality. A total of eight are located in the segment west of the POE and the remaining two are located east of the POE. Seven of the ten drainages are ephemeral and contain plants typical of the construction corridor including mullein, buckwheat, assorted grasses, mustard as well as debris deposited by local residents; one additional drainage area contains a greater abundance of plants but is limited to grass, mustard, mullein, and one unidentified tree. Two drainage areas exist within the project corridor which support vegetation which can be characterized as riparian/marsh; the approximate locations are 1200 feet west of the POE and 3500 feet east of the POE. The drainage area west of the POE supports approximately twelve willows with an understory of grasses and is estimated to be approximately 0.4 acres. The drainage area east of the POE contains approximately 4 willow trees, bulrushes and an understory of cocklebur, sunflowers, mullein and mustard; the areal extent of impact in this area is estimated to be 0.25 acre.
Bell Valley. An additional fence and parallel road 20 feet in width is proposed to be constructed north of the international border across Bell Valley. The fence/road alignment commences at the base of the peak west of Bell Valley and terminates 2500 feet east of the commencement point. The construction corridor dimensions are approximately 2500 feet by 20 feet and impact an area estimated to be 1.15 acres. The major portion of the project corridor (approximately 0.95 acre) is within an area highly disturbed due to cattle grazing while the remaining
project corridor (approximately 0.20 acre) is considered to be disturbed chaparral supporting a mixture of chamise, buckwheat, yucca, sage, laurel sumac, and sugarbush. The area is within the international firebreak and has been subjected to vegetation management practices reducing the incidence of chamise which is expected to occur within this area. The fence/road will traverse a drainage area surrounded by old oak growth but no vegetation within the drainage. The placement of a fence/road across the ephemeral drainage will impact an area approximately 0.40 acre. Indirect impacts to vegetation may occur where the fence terminates as traffic will be distributed to end points of the fence. This is expected to be negligible as the site is located within an isolated area, usually traversed by vehicular traffic, which will be prevented by placement of a fence across the valley.
Road Widening. The current road system utilized by U.S. Border Patrol will be widened from its current width of approximately 12 feet to 24 feet where terrain permits. The sites where road improvements are projected to occur are demarcated by road markers placed by the California National Guard and include the road between mile markers 3.0 and 3.5, at mile marker 4.5, at mile marker 6.0, and between mile markers 5.0 and 8.0. The vegetation within the project corridor is chamise and mixed chaparral interspersed with inland sage scrub. Road improvements within these segments may potentially impact an area estimated to be approximately 2.85 acres in extent consisting primarily of mixed chaparral (1.8 acres), an area supporting component species of both chaparral and inland sage scrub (approximately 0.45) and an area recently subjected to fire (0.6 acre). A portion of the road at mile marker 4.5 will traverse a drainage that is dominated by chaparral species; the area of impact is estimated to be 0.25 acre. A permanent drainage exists at mile marker 6.0 where a concrete pad will be restored in the drainage; no vegetation will be impacted by this action.
New Road Construction. Three segments of new road construction are located within the project area. A road segment is proposed to be placed on an upslope position on the peak east of the Tecate POE (identified by boundary marker 243) and will impact an area approximately 1.2 acres in extent (2200 feet by 24 feet). The plant community in this location is heavily disturbed due to a high incidence of burning, its location within the international firebreak, and its proximity to the international border. The second site is located on an upslope position on the peak west of Bell Valley which will impact an area approximately 1.1 acres. The plant community within this area is mature chaparral and will be removed to accommodate a new road alignment. A third segment will be oriented north from the proposed border fence/road at the eastern termination point of Bell Valley. The proposed road alignment will impact an area of disturbed chaparral approximately 0.6 acre (1000 feet in length
and 24 feet in width). A small drainage will be traversed at the base of the peak east of the Tecate POE, vegetated by grasses, and is estimated to be less than 0.05 acre.
**Staging and Borrow Sites.** Four sites have been selected to accommodate equipment and personnel in the course of fence and road construction. Three of the four sites have been previously utilized by the local landowner for personnel use and had undergone a high degree of disturbance; no identifiable plant communities were present on these sites. A fourth location approximately 0.75 acre in extent was selected as a bivouac site for personnel involved in the construction of the fence; this site was considered to be in a disturbed chaparral predominantly composed of grasses, mullein, mustard, buckwheat, chamise, yucca and prickly pear. The borrow site supports a plant community predominantly composed of grasses and chamise as well as lesser occurring species including yucca and prickly pear. The area expected to be impacted through the removal of fill from the borrow site will not exceed 1.5 acres and may be significantly less depending upon the amount of fill required. An additional site for staging of equipment in the vicinity of the bivouac site may be required. A suitable site has been selected vegetated by mustard approximately 1.5 acres in extent and will be evaluated when permission from the land owner is secured.
**Summary of Impacts.**
| Construction Element | Plant Community |
|---------------------------------------|-----------------|
| | Chaparral | Sage Scrub | Riparian | Grassland |
| Fence/Road Alignment | | | | |
| West of Tecate POE | 5.8 | 0.40 | | |
| East of Tecate POE | 3.4 | 0.25 | | |
| Bell Valley | 1.15 | | | |
| Road Widening | 2.65 | 0.20 | | |
| New Road Construction | 2.9 | | | |
| Staging Sites | 0.75 | | | |
| Borrow Site | | | 1.5 | |
In Acres
\[
\begin{align*}
16.65^+ & \quad 0.20 & \quad 0.65 & \quad 1.5 \\
\end{align*}
\]
* Approximately 14.85 acres have previously been disturbed
7.5.2 Fish and Wildlife. Project activities will directly impact an area approximately 19 acres in extent but less than 5 acres throughout the project area supports intact stands of vegetation; the remainder of the project area has undergone a high degree of disturbance. The removal of relatively undisturbed habitat within the project area is limited to approximately 1.8 acres of chaparral. Wildlife species most likely to be impacted are those commonly observed within the project vicinity including rabbits, ground squirrels, raptors, ants, and tarantula wasps and will be subjected to indirect impacts as a result of construction activities. Similar vegetation exists throughout the project area and wildlife may relocate outside of the project area. Riparian/marsh habitat within the project area is located primarily in the vicinity of the Tecate POE and has been continuously subjected to human disturbance. Wildlife movement through the project area is not expected to be adversely impacted as corridors which potentially serve as routes of movement are not within the project corridor.
7.5.3 Endangered and Threatened Species. The proposed project is not expected to have any effect on the continued existence of any Federally listed endangered, threatened, or proposed endangered species identified by the USFWS. An assessment of the impacts to listed species is included as an attachment.
7.5.4 Candidate Species. The proposed project was anticipated to potentially affect four candidate species: the slendor-pod jewelflower, felt-leaved monardella, Tecate tarplant, and the orange-throated whiptail. An additional candidate species was observed in the project vicinity, the San Diego coast horned lizard, in a heavily impacted area of the project vicinity. The project area was resurveyed in September 1993 by Corps of Engineers biologists and a BLM botanist and the candidate species enumerated in this section were not observed to occur in the project vicinity. There is a low potential for the project to affect the San Diego coast horned lizard but the impacts are considered temporary and its potential for movement into undisturbed areas is likely. The existence of the horned lizard may be well served by the addition of a fence as this will reduce impacts to its present habitat which occur as a result of traffic movement and unauthorized fires.
7.5.5 Mitigation. The mitigation recommended in this report is based on estimates of habitat impacted by the proposed project, and in consideration of recommendations provided by the USFWS.
a. Vegetation. The loss of riparian and marsh vegetation represents the primary impact of the proposed project. The removal of riparian plants and shrubs will be compensated by replanting of similar species in an approved location. A qualified biologist will monitor for two years after replanting the cuttings and quarterly status report will be submitted to the
Regulatory Branch, Los Angeles District and USFWS. The majority of the affected area is heavily disturbed and was not considered for mitigation; inland sage scrub, a transition community, may be disturbed in an area estimated to be approximately 0.2 acres. Old oak growth which occurs in the project area will be avoided and will not be disturbed in the course of project activities.
b. Wildlife. Tree replacement in suitable sites and about 10 acres of disturbed areas will be seeded for the erosion control and to minimize impacts to wildlife.
c. Endangered, Threatened, and Proposed Species. The project will have no effect on the continued existence of any Federally listed Endangered, Threatened, or proposed Endangered species are expected; therefore, no mitigation measures or formal consultation under Section 7 of the Endangered Species Act is required.
7.6 Cultural Resources. No adverse effects to cultural resources will occur. There were no cultural resources located in the staging area or the borrow area; as the proposed fenceline does not extend too far up Tecate Peak towards the 3,000-foot contour level, there will be no problem with avoiding the National Register property. Site CA-SDI-11,168 was not found through extensive relocation efforts. The railroad trestle will not be affected since the roadway passes under it, and the pipe will not be affected as the road next to it has already been maintained to its proposed extent with no additional work planned.
The proposed fence and road which are scheduled to run near archeological site CA-SDI-9968 is routed to the north to avoid the site. In order to avoid impacts to Site BV-1 the fence and road will be placed as near the border as possible. Construction will be monitored to insure avoidance of all National Register of Historic Places eligible or listed properties. In summary, there will be no impacts to sites which are eligible for or listed on the National Register of Historic Places.
7.7 Land Use. This proposal will not have any adverse impacts to land uses in the area. Any traffic or construction activity will be short term, and therefore have very little impact or no significant impact.
7.8 Aesthetics. There will be impacts to the appearance of the immediate border areas that will have new roads and/or fence. This will be minor however, when viewed from a distance, due to the presence of the old roads and old fencing.
With joint effort of military personnel, CANG and U.S. Border Patrol the abandoned vehicles, trash and other structures will be removed from the project area. The fencing
will also assist in improving the immediate border area by preventing the dumping of trash and garbage across the border.
7.9 Noise. Noise from the equipment will increase the noise level in the immediate area of the work. With the exception of the Tecate, Mexico, area few people reside in the area to be impacted. The noise will move with the progress of work and therefore will not be much of a concern to anyone that may be nearby. The impact will be short term and insignificant.
7.10 Socioeconomic. The daily needs of approximately 60 to 80 Marines could have an economic impact on an area the size of Tecate. Local purchasing of goods and/or services will also have a limited increased short-term economic impact on the area.
7.11 Transportation. Some equipment will be transported by truck from the San Diego/Camp Pendelton area to the construction area. California Highways 94 and 188, and I-8 will most likely be the routes to be used. Any permits required for oversized or overweight equipment will be obtained from the California Department of Transportation (CDOT) by CLNG or Marines' Billeting.
8.0 COORDINATION
The proposed project outlined in this document has been brought to the attention of and/or discussed with the following agencies: U.S. Border Patrol, U.S. Customs Service, International Boundary and Water Commission (U.S. Section), U.S. Fish and Wildlife Service, U.S. Bureau of Land Management, California Department of Fish and Game, California State Historic Preservation Officer and various San Diego County offices.
The Immigration and Naturalization Service (INS), in a telephone conversation on 27 July 1993, indicated that their main concern was with the aesthetics of the fence in the immediate Tecate area. It was requested that the Mayor of Tecate, Mexico, be contacted and have the proposed project explained.
In a telephone conversation on the 8th of September the COE informed the INS of the Marines' Billeting location and other general information concerning their involvement with the proposed project (as described in Section 4 above).
R The U.S. Bureau of Land Management (BLM), in a telephone conversation on 26 July, and in letter dated August 5, 1993 (Appendix B) indicated concerns about the project's impacts on wildlife movements in the border area and about vegetation in the project area. On September 28-30, 1993, COE coordinated with Elena Misquez, BLM, regarding their concerns for the proposed project. COE informally coordinated responses with BLM and
obtained their verbal approval. Responses to BLM concerns are located in Appendix C. Informally, COE coordinated responses to BLM concerns and they agreed with the COE as long as the work on BLM land will occur after obtaining their permission to proceed with the construction.
The International Boundary and Water Commission (IBWC), in a telephone conversation on 15 July, requested that drawings of any water related feature near the border be sent for review and that the Draft Environmental Assessment should be forwarded to the IBWC office during the review period. JTF-6 staff will submit a letter of request for military personnel to work along the border. The Draft EA was mailed to IBWC during the public review period. By letter dated 17 September 1993 (Appendix B), IBWC indicated their concerns for the proposed project; responses to their concerns can be found in Appendix C and JTF-6 will notify the construction crew about their concerns (letter from JTF-6 is located in Appendix B).
In a telephone conversation on the 9th of September the Corps informed the Commission of the Marines' Billeting location and other general information concerning their involvement with the proposed project (as described in Section 4 above).
The U.S. Fish and Wildlife Service (USFWS) was informally coordinated with on July 8, 1993 on the proposed project. They indicated that the proposed project is not in the vicinity of the coastal area, however, it is advisable to coordinate with their biologist for habitat which may support California gnatcatcher. The COE requested an updated list of endangered and threatened species from the USFWS on August 2, 1993 and received a list of significant species in a letter dated September 17, 1993. A site visit was conducted with a USFWS biologist, Ellen Berryman, on July 29, 1993 in the vicinity of the Tecate POE; the remainder of the project area was not inspected by the USFWS due to the unavailability of Service personnel. An additional survey was conducted on September 28 and 29, 1993 after receipt of the species list to ensure that the project was properly evaluated for the occurrence of listed species within the project area. An assessment of impacts to listed species is included as an attachment.
The COE informally coordinated with USFWS regarding their comments on the draft EA. Section 10 of this EA, Environmental Commitments, has been revised to incorporate USFWS concerns.
In a telephone conversation on the 8th of September the COE informed the Border Patrol of the Marines' Billeting location and other general information concerning their involvement with the proposed project (as described in Section 4 above).
The General Services Administration (GSA), in a telephone conversation on 26 July, indicated a concern about the solid fence extending up to the border station at Tecate. A copy of their letter of April 30, 1993 on this subject is shown in Appendix B. Coordination about this design feature of this proposed project will be conducted between the U.S. Border Patrol and GSA.
R
The COE (Environmental Design Section) informally coordinated with Regulatory Branch, COE regarding 404 Water Quality Permit requirements. The project as proposed qualifies for Part 330, Section # 14 and # 26 of Nationwide Permit Program. The proposed project will not have an effect on any endangered, threatened species listed by USFWS. Mitigation measures for loss of willow has been developed (see Section 7.5). Construction along the washes that support the riparian vegetation will occur after receipt of a letter from the Regulatory Branch, San Diego, COE.
The COE informally coordinated with the U.S. Forest Service (USFS), Cleveland National Forest, Rancho Bernardo Office, Rancho Bernardo, California for indications as to sensitive resources which may occur within the project area. Hazel Gordon, Ecologist, informally discussed plant community structure in the project area and recommended making contact with personnel more familiar with the area. Responses received from recommended sources: Mr. F. Sproul and Mr. P. Unit were utilized to evaluate significant resources and are included in the biological assessment.
R
The COE contacted Ms. Anita Castio, of the Southern California Tribal Chairman's Association in August. The project parameters were explained to her and she recommended contacting Mr. Ralph Goff, Chairman of the Campo Band of Mission Indians. A telephone call was made to Mr. Goff in August and again on September 30, 1993. He was not available either time, but a message explaining the project was left.
All cultural resources documentation will be sent to the State Historic Preservation Officer (SHPO) for review and comment. Copies of the documentation will also be sent to the Bureau of Land Management, Palm Springs Office, and the Campo Band of Mission Indians.
A letter was sent to the SHPO which stated that the project as planned will have no effect on National Register eligible or listed properties. Upon concurrence from the SHPO the project may proceed. All coordination with the SHPO shall be conducted pursuant to Section 106 of the National historic Preservation Act (36 CFR 800).
The California Department of Forestry (CDF) was contacted regarding resources within the project area. A portion of the project site is located within the international firebreak north of the border and is cleared of vegetation at regular intervals to reduce fire hazards.
The California Department of Transportation, in a telephone conversation on 16 July, indicated that a new leach field was to be constructed in the area near the Tecate border station and may impact the road and/or fence construction.
The Regional Water Quality Control Board, San Diego (RWQCBSD), in a telephone conversation on 16 July, indicated they had no concerns at this time. They request that the project description be faxed to them and that the Draft EA be mailed to their offices in San Diego. The Draft EA was mailed to them and no comment received from the Regional Water Quality Control Board.
R Storm Water permit was submitted to State Water Resources Control Board, Division of Water Quality, Sacramento in second week of September 1993.
R In a telephone conversation on the 8th of September the COE informed the Border Patrol of the Marines' Billeting location and other general information concerning their involvement with the proposed project (as described in Section 4 above).
R On 1 October 1993, RWQCBSD indicated that request for Water Quality Certification should be submitted for the proposed project with a copy of comment letters and responses. Measures should be taken to prevent discharge of polluted material into waters of the United States. COE submitted a request for a waiver for the Water Quality Certification to the RWQCBSD (Appendix B) and provided additional information for their review. All possible measures will be taken to prevent discharge of polluted material into waters of the United States during construction across the washes. Erosion along the banks of the washes will be controlled by seeding native vegetation.
The San Diego Air Pollution Control District, in a telephone conversation on 16 July, indicated that any stationary air contamination sources (screening, sorting, grinding, etc. machinery) would require permits to operate. Screening, sorting or grinding of material is not involved in this project construction, therefore, air quality permit for the stationary air contamination sources will not be required.
In a telephone conversation on the 9th of September the COE informed the District of the Marines' Billeting location and
other general information concerning their involvement with the proposed project (as described in Section 4 above).
The San Diego County Department of Planning and Land Use, in a telephone conversation on 26 July, indicated concerns about the possibility of coastal sage scrub habitat and any drainage problems in the project area.
In a telephone conversation on the 8th of September the COE informed the Department of the Marines' Billeting location and other general information concerning their involvement with the proposed project (as described in Section 4 above).
The Draft EA was provided to the concern agencies and individuals for 15 days review in September 1993, the comment period was closed on 17 September 1993. Letters of comments are included in Appendix B, and response to the comment letters are located in Appendix C.
9.0 COMPLIANCE WITH ENVIRONMENTAL REQUIREMENTS
9.1 National Environmental Policy Act (NEPA), as amended. This Environmental Assessment has been prepared in accordance with the requirements of the Act and with the Council of Environmental Quality Regulations for implementing NEPA.
9.2 Clean Water Act, as amended. Limited construction activity will occur near any water channels, therefore no changes are anticipated to the quality of water in the area. In compliance with Section 404 of the Act, a 404(b)(1) has been prepared (Appendix A). The proposed road improvement passes through few washes. Proposed construction meets with the Nationwide permit criteria (coordination with COE, Regulatory Branch). Provisions of the Clean Water Act are complied with.
9.3 Clean Air Act, as amended. The small number of construction equipments needed for this work and the short duration of the work will not significantly impact the air quality in this area. This proposal is in compliance with this Act.
R 9.4 National Historic Preservation Act of 1966 (36 CFR 800).
A letter was sent to the SHPO, on 3 September 1993, stating that the project as planned will have no effect on National Register listed or eligible properties. According to 36 CFR 800 the SHPO must respond to a request for consultation within 30 days or the agency may proceed with the project. The SHPO failed to respond with comments within the allotted thirty days, therefore, the project is in compliance with Section 106.
9.5 Endangered Species Act of 1973, as amended (Public Law 93-205). Section 7(c) of the Act requires consultation with the U.S. Fish and Wildlife Service in order to determine if a Federal action will potentially affect an endangered or threatened species in order to ensure that the proposed project will not jeopardize the continued existence of any listed species or result in the destruction of critical habitat. A letter requesting information on endangered, threatened, proposed, and candidate species for the project area was sent to the U.S. Fish and Wildlife Service on August 2, 1993. A letter dated September 17, 1993 provided by USFWS listed endangered, threatened, proposed and candidate species. The proposed project is not expected to effect the continued existence of any Endangered or Threatened species with the potential to occur in the project area; formal consultation pursuant to Section 7 of the Act is not required.
9.6 Fish and Wildlife Coordination Act, as amended (Public Law 95-217). This project has been informally coordinated with the U.S. Fish and Wildlife Service. While the views and recommendations of the USFWS have been requested, no Coordination Act report is necessary because the project does not involve development of water resources. The project is in compliance with this act.
9.7 Executive Order 11990, Protection of Wetlands. Wetlands protection includes the avoidance to the maximum extent possible of long and short term adverse impacts associated with the destruction or modification of wetlands and avoidance of support of new construction in wetlands. The proposed project involves placement of culverts in washes. Riparian habitat will be mitigated.
9.8 Farmland Protection Policy Act, 1981 (Public Law 97-98). No unique or prime farmland of farmland of statewide importance would be impacted by the project, nor will there be an adverse impact on grazing land. The project is in compliance with this act.
9.9 Executive Order 11988, Floodplain Management. This Executive Order states that before an action may be undertaken, agencies will determine whether the action will occur in a floodplain. The proposed project does not exist within a floodplain.
10.0 COMMITMENTS
10.1 Thirty days prior to construction, JTF-6 will inform IBWC of approximate construction start date, type of equipment and number of personnel involved.
10.2 A qualified archeological monitor will be on site to insure that all sensitive areas will be flagged and avoided by the construction crews. The COE will insure that the western boundary of the project will not encroach upon Tecate Peak near the 3,000-foot contour level.
If buried archeological deposits are encountered during ground disturbing activities, the archeological monitor will halt all work in progress and the provisions of 36 CFR 800.11, "Properties discovered during implementation of an undertaking", will be complied with.
10.3 The proposed project will not disturb existing drainage patterns and flow rates.
10.4 Appropriate control techniques in the form of culverts will be utilized during construction along the washes to control erosion and improve water flow.
10.5 A watering program will be employed during the construction to minimize dust; the water will be obtained from a local source and will be free of contaminants.
10.6 Clean material will be used to construct structures; no polluted silts or other material will be placed in the washes; debris and rock will be removed upon completion of the project.
10.7 During construction any rocks, sand, oil and grease or other debris will be removed and properly disposed.
10.8 Roads parallel to the fence will be repaired and/or constructed to a width of approximately 20 feet; road widening of existing jeep trails will not exceed 24 feet from the current width of 12 feet.
10.9 A qualified Biologist familiar with the Environmental Assessment, including commitments and mitigation, will be present at critical times of the project including mobilization, construction in sensitive areas, and demobilization to provide guidance to construction personnel in order to avoid or minimize impacts to sensitive resources.
R 10.10 Qualified biologists will survey the site for biological resources, including Threatened and Endangered species, prior to construction in areas of the project where a specific road or fence alignment was not established during the planning stages. These surveys will ensure that no impacts will occur to Federally listed, proposed or candidate species or impair the movement of deer or large predators across the border.
10.11 A fire hazard will exist in and near the areas where welding equipment is utilized; i.e. the panel assembly areas and
the fence erection areas. Suitable fire suppression precautions and/or equipment will be readily available in these areas.
10.12 The U.S. Border Patrol will coordinate this project with the Mayor of Tecate, Mexico, and any other entity on the Mexico side of the border with an interest in these proposals.
10.13 Mature oak trees in project vicinity will be avoided and will not be disturbed. Exotic trees, i.e. eucalyptus which occur in the project area will be avoided, if possible.
10.14 Debris and abandoned vehicles which exist in the fence project corridor will be collected by military personnel from the project area and U.S. Border Patrol will make arrangements for disposal; no hazardous waste will be collected during the course of the project.
R 10.15 Loss of willows from riparian habitat will be mitigated by replacement with cuttings to provide an equivalent value of the existing habitat lost. Cuttings will be planted at a density that will optimize the potential for successful habitat replacement value. Labor will be provided by CANG, and funding will be provided by the responsible agencies. A qualified biologist will monitor the established cuttings for two years after planting to assess impacts to riparian vegetation, and a quarterly report will be submitted to the Regulatory Branch, Los Angeles District, and to the U.S. Fish and Wildlife Service, Southern California Field Station, Carlsbad Office.
R 10.16 Erosion control measures will be implemented by seeding exposed surfaces created in the course of the project construction. The seed mix will be coordinated with the U.S. Fish and Wildlife Service and will include species to replace the loss of .20 acre inland sage scrub habitat values. Labor for seeding will be provided by CANG, and funding will be contributed by responsible agencies.
10.17 Construction along the drainages which support willow habitat will occur after receipt of a letter approving the action from the Regulatory Branch, Los Angeles District.
10.18 Within the 60-foot international boundary strip, BLM is not the administering agency, therefore construction can proceed in this area. JTF-6/CANG will submit required permit application to work on BLM land. Road repair/construction on BLM land will not occur until permission is obtained from BLM.
10.19 COE will notify BLM of construction start date for the proposed project. On BLM land, construction shall not commence until they are notified. BLM stated they would have personnel available to monitor sensitive biological and cultural resources.
on their land and if possible would monitor other project segments.
10.20 To the maximum extent possible, native vegetation will not be removed between 15 February and 1 September, in order to avoid direct harm to birds covered under the Migratory Bird Treaty Act. If vegetation clearing during this period is unavoidable, a biologist familiar with the bird species potentially breeding in the project vicinity shall survey the area to be cleared. If any nests with eggs or unfledged young are found, the biologist will coordinate with USFWS to determine procedures to avoid or minimize impact, if appropriate. Road construction activities that do not involve vegetation removal, such as grading, are permitted during that period, if the vegetation is cleared prior to 15 February.
11.0 LIST OF PREPARERS AND REVIEWERS
Preparers.
David Compas, Geographer, Environmental Coordinator
Richard Perry, Archaeologist, Cultural Resources
Emily Carter, Ecologist, Biological Resources
Reviewers.
Ron MacDonald, Senior Ecologist
Steve Dibble, Senior Archaeologist
Joy Jaiswal, Environmental Protection Specialist
Laura Tschudi, Chief, Environmental Design Section
LTC. Mark DeHarde, Joint Task Force-Six
Milton Blankenship, Joint Task Force-Six
12.0 REFERENCES
Beauchamp, R.M. 1985. *A Flora of San Diego County, California.* Sweetwater Press, National City, California.
Brown, D.E. 1982. *Biotic Communities of the American Southwest—United States and Mexico.* Desert Plants 4, Numbers 1-4.
Canter, Larry W., 1977. *Environmental Impact Assessment.* 330 pp.
Kracher, J.C. and G. Morrison, eds. 1993. *Ecology of Western Forests*. Houghton Mifflin Company, Boston.
U.S. Bureau of Land Management. 1992. *South Coast Proposed Resource Management Plan and Final Environmental Impact Statement*. California Desert District, Palm Springs.
Washter, B.G., Bull W.B. and Reynolds, S.J. *The Mojave-Sonoran Natural Region Study*, for the National Park Service, September 1976.
FIGURES 1 AND 2a & 2b
TECATE PROJECT AREA MAP
FIGURE 1
TABLES 1 AND 2
| Common Name | Scientific Name |
|-----------------------------|----------------------------------------|
| Chamise (Greasewood) | Adenostoma fasciculatum |
| Whiteleaf Manzanita | Arctostaphylos viscida |
| Hoary Manzanita | Arctostaphylos canescens |
| Common Buckbrush | Ceanothus cuneatus |
| Hoaryleaf Ceanothus | Ceanothus crassifolius |
| Mountain Mahogany | Cercocarpus betuloides |
| Yucca | Yucca whipplei |
| Hedge Mustard | Systimbrium officinale |
| Laurel Sumac | Rhus laurina |
| Sugarbush | Rhus ovata |
| Castor Bean | Ricinis communis |
| Common Rabbitbush | Chrysothamnus spp. |
| Willow | Salix spp. |
| California Scrub Oak | Quercus dumosa |
| Coast Live Oak | Quercus agrifolia |
| California Buckwheat | Eriogonum fasciculatum |
| Red Shanks | Adenostoma sparsifolium |
| Redberry | Rhamnus crocea |
| Sage | Salvia spp. |
| Tree Tobacco | Nicotiana glauca |
| Red Monkeyflower | Mimulus punicus |
| Mule Fat | Baccharis viminea |
| Coyote Brush | Baccharis pilularis |
| Deerweed | Lotus scoparius |
| Mexican Elderberry | Sambucus mexicana |
| Scarlet Pimpernel | Anagallis arvensis |
| Cocklebur | Xanthium spinosum |
| California Encelia | Encelia californica |
| Sunflower | Helianthus annuus |
| Prickly Pear | Opuntia spp. |
| Cholla | Opuntia spp. |
| California Dodder | Cuscuta californica |
| Turkey Mullein | Eremocarpus setigerus |
| California Fuschia | Zauschneria californica |
| Rattlesnake Weed | Euphorbia albomarginata |
| Sweet Fennel | Foeniculum vulgare |
| California Sagebrush | Artemisia californica |
| Basin Sagebrush | Artemisia tridentata |
| Yerba Santa | Eriodycion crassifolium |
| Wild oats | Avena fatua |
| Common Name | Scientific Name |
|-----------------------------------|----------------------------------|
| Scrub Jay | Aphelocoma coerulescens |
| Quail | Callipepla spp. |
| Coast Horned Lizard | Phrynosoma coronatum |
| Turkey Vulture | Cathartes aura |
| Red-tailed Hawk | Buteo jamaicensis |
| Mourning Dove | Zenaida asiatica |
| Lizard | |
| Ants | |
| Tarantula Wasps | |
| Brush Rabbit | Sylvilagus bachmani |
| California Ground Squirrel | Citellus beecheyi |
| Gopher Snake | Pituophis melanoleucus |
| San Diego Coast Horned Lizard | Phrynosoma coronatum var. blainvillei |
ATTACHMENT 1
BIOLOGICAL ASSESSMENT OF ENDANGERED, THREATENED,
AND PROPOSED ENDANGERED SPECIES FOR THE
PROPOSED JTF-6 PROJECT FOR CONSTRUCTION OF BORDER
FENCE/ROAD AND ROAD IMPROVEMENTS,
TECATE, CALIFORNIA
September, 1993
PROJECT DESCRIPTION.
The proposed Joint Task Force Six (JTF-6) project in the vicinity of the international border between the United States and Mexico consists of the following components:
1) Construction of a steel mat fence and parallel access road within 25 feet of the international border between the United States and Mexico in the vicinity of the Tecate, California Port of Entry (POE) extending 2.25 miles west of the POE, 1.4 miles east of the POE, and 0.4 miles across Bell Valley, an isolated area 3.5 miles east of the POE.
2) Improvements to an existing jeep trail consisting of widening the current road from 12 feet to 24 feet where terrain permits and commencing 2.0 miles east of the POE.
3) Construction of new roads at three locations: an upslope position of an unnamed peak 1.0 mile east of the POE, an upslope position of a peak 3.0 miles west of the POE and immediately west of Bell Valley, and a road oriented north of the proposed fence/road alignment at the eastern portion of Bell Valley.
BIRDS
The Los Angeles District, Corps of Engineers has determined that the proposed JTF-6 project for the construction of a fence and road and improvements to existing roads will not affect the following Federally listed or proposed bird species:
California gnatcatcher (Polioptila californica)
Least Bell's vireo (Vireo bellii pusillus)
Southwestern willow flycatcher (Empidonax traillii extimus)
CALIFORNIA GNATCATCHER
Background Information: The California gnatcatcher, Federally listed as Threatened, is a small gray songbird which is distributed from coastal Southern California and south into lowland areas of Baja California to Cabo San Lucas. The primary habitat preferred by the California gnatcatcher is coastal sage scrub composed of aromatic, drought-deciduous species: *Artemisia californica*, *Salvia mellifera*, *S. leucophylla*, *S. apiana*, *Encelia californica*, and *Eriogonum fasciculatum* (Atwood, 1993). Its present geographical distribution in San Diego County is believed to be confined to areas below 250 meters but has been recorded at higher elevations (Atwood, 1993). The project area contains areas
of inland sage scrub which overlaps chamise and mixed chaparral which has been identified as the primary habitat component of the area (Beachamp, 1986). This may be characterized as transitional and not well developed as evidenced by the plant composition (personal communication, 1993, F. Sproul). Spot checking of the area for California gnatcatchers and the occurrence of appropriate habitat conducted by Phil Unitt, San Diego Natural History Museum, did not record the occurrence of California gnatcatchers or habitat capable of supporting California gnatcatchers (personal communication, 1993).
**Determination of Effect.** The project area does not contain appropriate habitat and is located at elevations beyond those where gnatcatchers have been recorded; in addition, surveys conducted in the project area did not record the presence of California gnatcatchers. Based on this information, the Corps of Engineers, Los Angeles District has determined that the proposed project will have no effect on the continued existence of the California gnatcatcher.
**LEAST BELL’S VIREO**
**Background Information.** The least Bell’s vireo, Federally listed as Endangered, is a small, migratory songbird that breeds in riparian woodlands in southern California and northwestern Baja California. As a result of habitat loss and nest parasitism, the bird species has endured serious population declines and occurs in small, widely dispersed subpopulations. Major subpopulations occur in the Santa Margarita River, Sweetwater River, San Luis Rey River, San Diego River, Prado Basin-Santa Ana River, and the Santa Ynez River-Gibraltar Reservoir and represent approximately 90% of the total number of breeding pairs (Franzreb, 1989). The habitat preference of least Bells’ vireo is permanent or nearly permanent streams with a dense shrub layer between 0.6 to 3.0 meters from the ground where willows dominate the canopy layer (BLM, 1992). Habitat characteristics include thickets dominated by willows and an understory of mulefat, in proximity to native brushland and southern California grassland, and not in proximity to agricultural, urban or recreational areas (RECON, 1988). The project area contains two drainage areas, one of which is dominated by willows but does not support an understory of mulefat; in addition it is located in an urbanized area. The second drainage contains 4 willows with an open canopy and undeveloped understory resembling a marsh. Although one drainage appears to be potential habitat for least Bell’s vireo, distribution records, field surveys, and resource evaluations do not indicate the presence of least Bell’s vireo in the project area.
**Determination of Effect.** Due to the absence of least Bells’ vireo in the project area, the Corps of Engineers, Los Angeles District has determined the proposed project will have no effect on the continued existence of the least Bell’s vireo.
SOUTHWESTERN WILLOW FLYCATCHER
Background Information. The southwestern willow flycatcher, proposed for Federal listing as Endangered, is one of four subspecies of the willow flycatcher (Empidonax traillii) and occurs in southern California, southern Nevada, southern Utah, western New Mexico and Arizona. It occurs in densely vegetated riparian habitats preferring streamside associations of cottonwood (Populus sp.), willows (Salix sp.) and other riparian vegetation (Bureau of Interior, 1992). Threats to its existence are the result of habitat loss, habitat replacement by tamarisk (Tamarisk sp.) and nest parasitism (Remsen, 1979). Its current range is restricted to drainages in the Sweetwater River, San Luis Rey River, and the Santa Margarita River, Prado Basin and Santa Ana River, and Santa Clara River (BLM, 1992). Two drainage areas are located within the project area, one dominated by willows, but field surveys and resource management records for the area did not indicate the presence of the southwestern willow flycatcher.
Determination of Effect. Due to the absence of southwestern willow flycatcher in the project area, the Corps of Engineers, Los Angeles District has determined the proposed project will have no effect on the continued existence of the southwestern willow flycatcher.
CRUSTACEANS
The Corps of Engineers, Los Angeles District has determined the proposed JTF-6 project for fence and road construction and road improvements in the vicinity of Tecate, California will not affect the following Federally listed crustacean species:
Riverside fairy shrimp (Steptocephalus woottoni)
RIVERSIDE FAIRY SHRIMP
Background Information. The Riverside fairy shrimp, Federally listed as Endangered, is a small, fresh water crustacean of the Order Anostraca. Suitable habitat for the existence of this species is seasonal (vernal) pools of freshwater which accumulate after suitable quantities of rainfall (Dpt. Interior, 1993b). No suitable habitat (vernal pools) occurs in the project area.
Determination of Effect. Due to the absence of vernal pool habitat in the project area, the Corps of Engineers, Los Angeles District has determined the proposed project will have no effect on the continued existence of the Riverside fairy shrimp.
AMPHIBIANS
The Corps of Engineers, Los Angeles District has determined the proposed JTF-6 project will not affect the following Federally listed amphibian species:
Southwestern arroyo toad (Bufo microscapius californicus)
SOUTHWESTERN ARROYO TOAD
Background Information. The southwestern arroyo toad, proposed for Federal listing as Endangered, is a small, light greenish gray or tan toad of the family Buionidae historically found in drainages from San Luis Obispo County to San Diego County. Habitat destruction has limited the toads to headwater areas in Los Padres, Angeles, San Bernardino, and Cleveland National Forests. Habitat characteristics associated with the southwestern arroyo toad are rivers with shallow, gravelly pools adjacent to sandy terraces. Juveniles and adults forage for insects on sandy stream terraces with nearly complete closure of cottonwoods, oaks, or willows (Dept. Interior, 1993(c)). The project area contains two drainages areas, one dominated by willows and the other a marsh/riparian area with willows and bulrushes. Field surveys and distribution records indicate the species does not occur in the project area.
Determination of Effect. Due to the absence of southwestern arroyo toad or suitable habitat, the Corps of Engineers, Los Angeles District has determined the proposed project will have no effect on the continued existence of the southwestern arroyo toad.
PLANTS
The Los Angeles District Corps of Engineers has determined that the proposed JTF-6 project will not affect the following Federally listed Endangered plant species:
San Diego button celery (Eryngium aristulatum ssp. parishii)
San Diego mesa mint (Pogogyne abramaii)
California Orcutt grass (Orcuttia californica)
SAN DIEGO BUTTON CELERY, SAN DIEGO MESA MINT, AND CALIFORNIA ORCUTT GRASS.
Background Information. These species, all Federally listed as Endangered, are all found in vernal pool habitats (Dept. of the Interior, 1993b). No appropriate habitat (vernal pools) for any these species occurs in the project area.
Determination of Effect. Due to the absence of vernal pool habitat in the project area, the Los Angeles District Corps of Engineers has determined that the proposed project will have no effect on the continued existence of these Federally listed Endangered plant species.
GAMBEL'S WATERCRESS, Additional Information.
Background Information. Gambel's watercress (Rorippa gambellii) is listed as Cardamine gambellii in Munz (1974) and Beauchamp (1986). The species historically occurred in coastal wetlands of San Luis Obispo and Santa Barbara Counties and in inland wetland communities in San Diego, San Bernardino, and Los Angeles Counties in California, and in Mexico. Habitat consists of fresh water or brackish marsh at the margin of lakes or slow-moving streams with permanent water. Associated species include cattail (Typha spp.) bur-reed (Sparganium), and bulrush (Scirpus spp.) (Dept. of the Interior, 1993a). In San Diego County, Gambel's watercress historically occurred near Julian (Beauchamp, 1986). All known remaining populations of Gambel's watercress occur in coastal San Luis Obispo County. The San Diego population has been extirpated due to habitat alteration (Dept. of the Interior, 1993a). One drainage in the project area, approximately 2/3 mi. east of the Tecate Port of Entry provides a permanent water source and supports cattails and bulrushes. Although this drainage appears to be potential habitat for the Endangered Gambel's watercress, distribution records and Corps biological field investigations conducted in July, August, and September 1993 indicate that the species does not occur in the project area.
Determination of Effect. Due to the absence of Gambel's watercress in the project area, the Los Angeles District Corps of Engineers has determined that the proposed project will have no effect on the continued existence of this Federally listed Endangered plant species.
REFERENCES
Atwood, J.L. 1993. California gnatcatchers and coastal sage scrub: the biological basis for endangered species listing. IN Interface between ecology and land development in California. J.E. Keeley, ed. 1993. Southern California Academy of Sciences, Los Angeles.
Beauchamp, R. M. 1986. A Flora of San Diego County, California. Sweetwater River Press, National City, CA. 241 pp.
Department of Interior, Bureau of Land Management, 1992. South Coast: Proposed Resource Management Plan and Final Environmental Impact Statement. California Desert District, Palm Springs.
Department of Interior, Fish and Wildlife Service, 1992. 50 CFR Part 17. Endangered and Threatened Wildlife and Plants: 90 Day Petition to List the Southwestern Willow Flycatcher and Initiation of Status Review. Federal Register/Vol. 57, No. 170. pp. 39664-39668.
Department of the Interior, Fish and Wildlife Service, 1993 (a). 50 CFR Part 17. Endangered and Threatened Wildlife and Plants: Determination of Endangered Status for Two Plants, Arenaria paludicola (Marsh Sandwort) and Rorippa gambellii (Gambel's watercress). Federal Register/Vol 58, No. 147. Pp. 41378-41384.
Department of the Interior, Fish and Wildlife Service, 1993 (b). 50 CFR Part 17. Endangered and Threatened Wildlife and Plants: Determination of Endangered Status for three Vernal Pool Plants and the Riverside Fairy Shrimp. Federal Register / Vol 58, No. 147. Pp. 41384-41392.
Department of Interior, Fish and Wildlife Service, 1993 (c). 50 CFR Part 17. Endangered and Threatened Wildlife and Plants: Proposed Endangered Status for the Arroyo Southwestern Toad. Federal Register / Vol. 58, No. 147. pp. 41231-41237.
Franzreb, K.E. 1989. Ecology and conservation of the endangered least Bell's vireo. U.S. Fish and Wildlife Service, Biological Report 89(1). 17 pp.
Munz, P. A. 1974. A Flora of Southern California. U. C. Press, Los Angeles. 1086 pp.
Regional Environmental Consultants, 1988. Draft comprehensive species management plan for the least Bell's vireo (*Vireo bellii pusillus*). Prepared for San Diego Association of Governments, San Diego, 212 pp.
Sproul, F. Consultant. Phone Record, September 1993.
Unitt, P. San Diego Natural History Museum. Phone Record, September, 1993.
TECATE QUADRANGLE
CALIFORNIA—SAN DIEGO CO.
7.5 MINUTE SERIES (TOPOGRAPHIC)
SCALE 1:24,000
LEGEND
PROPOSED ROAD
BORDER FENCE
BORROW SITE
MARINE BILLETING AREA
EQUIPMENT STORAGE AREAS
TECATE - CAMPO
BORDER FENCE/ROAD
PROJECT
SAN DIEGO COUNTY, CALIFORNIA
FIGURE 2(a)
TECATE - CAMPO
BORDER FENCE/ROAD
PROJECT
SAN DIEGO COUNTY, CALIFORNIA
LEGEND
PROPOSED ROAD
BORDER FENCE
BORROW SITE
MARINE BILLETING AREA
EQUIPMENT STORAGE AREAS
POTRERO QUADRANGLE
CALIFORNIA - SAN DIEGO CO.
7.5 MINUTE SERIES (TOPOGRAPHIC)
SCALE 1:24000
FIGURE 2(b)
THE EVALUATION OF THE EFFECTS
OF THE DISCHARGE OF DREDGED OR FILL MATERIAL
INTO THE WATERS OF THE UNITED STATES
(Section 404 Evaluation)
JTF-6
TECATE TO CANYON CITY, SAN DIEGO COUNTY, CALIFORNIA
I. INTRODUCTION. The following evaluation is provided in accordance with Section 404 (b)(1) of the Federal Water Pollution Control Act Amendments of 1972 (Public Law 92-500) as amended by the Clean Water Act of 1977 (Public Law 95-217). Its intent is to succinctly state and evaluate information regarding the effects of discharge of dredged or fill material into the waters of the United States. As such, it is not meant to stand alone and relies heavily upon information provided in the environmental document to which it is attached. Citation in brackets [ ] refer to expanded discussion found in the Environmental Assessment (EA), to which the reader should refer for details.
II. PROJECT DESCRIPTION.
A. Location [2.0]: The project is located between Tecate and Canyon City, eastern San Diego County, California, along the U.S. and Mexico border (See EA Map 1).
B. General Description [1.0]: This Environmental Assessment (EA) addresses the construction and repair of approximately 10 miles of road between Tecate and Canyon City, California. The road repair will consist of light grading, installation of culverts, and grading and shaping for drainage. The road construction will be near and parallel to the border, be utilized for the construction and placement of a 10 foot high border fence. The intent is to repair the erosion damage on the existing roadway and streams that intersect the road. The construction and repairs will be accomplished by military personnel and will be part of their training.
Project construction will take about 18 months and is scheduled to occur between October 1993 and March 1995. However, due to funding limitations and/or availability of construction personnel the work may be delayed. If that should occur the work would then be accomplished prior to April 1996. JTF-6 will avoid construction in the event of heavy rain or floods to reduce any impacts to water quality.
C. Authority and Purpose [1.1]: The Secretary of Defense established Joint Task Force Six (JTF-6) on 13 November 1989. The purpose of Joint Task Force Six (JTF-6) is to provide the U.S. Border Patrol, and other concerned agencies, with improved access to the border areas to spot and interdict illegal drug trafficking.
D. **Description of the Proposed Discharge Sites [4.0]:** The proposed discharge sites are located east of Tecate, California. At this time four streams have water in their channels. However, the USGS 7.5' Quads of the area (Tecate and Portrero) do not show any of these streams as perennial. Several stream crossings are planned for erosion control (culverts or rock emplacement). Sand bags will be used to protect banks where needed. Little, if any, discharge of materials or debris will take place.
E. **Description of Disposal Method:** Any materials needing disposal will be utilized in the grading and filling of the nearby roadway during construction.
III. **FACTUAL DETERMINATIONS.**
A. **Disposal Site Physical Substrate Determinations:**
1. **Substrate Elevation and Slope:** The project is located in the fairly rugged terrain of eastern San Diego County. The area is rather mountainous where elevations range between 1,800 and 3,900 feet above mean sea level.
2. **Sediment type:** During construction of culverts sand and/or dirt particles may fall from construction materials, therefore, sediment will be compatible with the material found in the walls of the streams.
3. **Dredged/Fill Material Movement:** All materials to be utilized on this road (stones, sand or gravel) will be obtained from the road surface itself or from a borrow site near Tecate. In the event of heavy rains, construction would be postponed until the project areas were suitable for machines and materials. Any silt or debris that might fall into any of the streams will be removed and used for nearby road repairs.
4. **Physical Effects on Benthos:** Not applicable to the proposed project.
5. **Other effects:**
- Impact: X N/A Insignif. Signif.
6. **Action Taken to Minimize Impacts:**
- Needed: X Yes No
**Effect on Water Circulation, Fluctuation, and Salinity Determinations:**
A. Effect on Water [6.3]. The following potential impacts were considered:
a. Salinity ____N/A____X____INSIGNIF.____SIGNIF.
b. Water Chemistry (pH, etc.) ____N/A____X____INSIGNIF.____SIGNIF.
c. Clarity ____N/A____X____INSIGNIF.____SIGNIF.
d. Color ____N/A____X____INSIGNIF.____SIGNIF.
e. Odor ____N/A____X____INSIGNIF.____SIGNIF.
f. Taste ____N/A____X____INSIGNIF.____SIGNIF.
g. Dissolved gas levels ____N/A____X____INSIGNIF.____SIGNIF.
h. Nutrients ____N/A____X____INSIGNIF.____SIGNIF.
i. Eutrophication ____N/A____X____INSIGNIF.____SIGNIF.
j. Others ____N/A____X____INSIGNIF.____SIGNIF.
B. Effect on Current Patterns and Circulation. The potential of discharge or fill on the following conditions were evaluated:
1. Current Pattern & Flow ____N/A____X____INSIGN.____SIGN.
2. Velocity ____N/A____X____INSIGN.____SIGN.
3. Stratification ____N/A____X____INSIGN.____SIGN.
4. Hydrology Regime ____N/A____X____INSIGN.____SIGN.
C. Effect on Normal Water Level Fluctuations: The potential effect of discharge or fill on tide and river stages is not applicable to this project.
IV. Suspended Particulate/Turbidity Determinations at the Disposal Site. Project construction will occur between October 1993 and March 1995. These streams will be dry for most of this period (precipitation ranges from 2 to 3 inches per month, only in the wettest months). In the event of heavy rains/flooding construction would be stopped until conditions are suitable for personnel and machines. Construction of culverts will reduce erosion, therefore, turbidity will be controlled. Disturbed areas will be seeded for the erosion control.
A. Expected Change in Suspended Particulate and Turbidity levels in Vicinity of Disposal Site: These impacts are considered insignificant because they will be distributed over a relatively small area and will be short term in duration.
Impact: ____N/A____X____INSIGNIF.____SIGNIF.
B. Effects (degree and duration) on Chemical and Physical Properties of the Water Column.
a. Light Penetration ____N/A__X__INSIGNIF.___SIGNIF.
b. Dissolved Oxygen ____N/A__X__INSIGNIF.___SIGNIF.
c. Toxic Metals &
Organic ____N/A__X__INSIGNIF.___SIGNIF.
d. Pathogen ____N/A__X__INSIGNIF.___SIGNIF.
e. Esthetics ____N/A__X__INSIGNIF.___SIGNIF.
f. Others ____N/A__X__INSIGNIF.___SIGNIF.
1. Effects of Turbidity on Biota: These impacts are considered insignificant because streams within the project area are dry most of the time, involve a relatively small area and will be short term in duration.
a. Primary Productivity ____N/A__X__INSIGNIF.___SIGNIF.
b. Suspension/Filter Feeders ____N/A__X__INSIGNIF.___SIGNIF.
c. Sight feeders ____N/A__X__INSIGNIF.___SIGNIF.
2. Actions taken to minimize impacts: In case of a flood occurrence, the project construction will be postponed until the streams areas are suitable for personnel and machines.
V. Contaminant Determination
No chemical or biological impacts are expected at the disposal site.
VI. Effect on Aquatic Ecosystem and Organism Determinations:
A. The Following ecosystem effects were evaluated [6.5]: The proposed construction and repair of the roads would have no significant effect on aquatic organisms, special aquatic sites, or threatened and endangered species.
1. On Plankton ____N/A__X__INSIGNIF.___SIGNIF.
2. On Benthos ____N/A__X__INSIGNIF.___SIGNIF.
3. On Nekton ____N/A__X__INSIGNIF.___SIGNIF.
4. Food Web ____N/A__X__INSIGNIF.___SIGNIF.
Sensitive Habitats:
1. Sanctuaries, refuges ____N/A__X__INSIGNIF.___SIGNIF.
2. Wetlands ____N/A__X__INSIGNIF.___SIGNIF.
3. Mudflats ____X__N/A____INSIGNIF.___SIGNIF.
4. Eelgrass beds ____X__N/A____INSIGNIF.___SIGNIF.
Approximately .65 acre of the riparian vegetation will be removed due to the project construction (for detail please refer Section 7.5). The removal of riparian plants and shrubs will be compensated by replanting of similar species in an approved location. A qualified biologist will monitor for two years after replanting the cuttings and quarterly status report will be submitted to the Regulatory Branch, Los Angeles District and USFWS.
Riffle and Pool Complexes
_X_ N/A ___INSIGNIF. ___SIGNIF.
Threatened & Endangered Species
_X_ N/A ___INSIGNIF. ___SIGNIF.
Other Wildlife (grunion, trout)
_____N/A __X__INSIGNIF. ___SIGNIF.
Actions to Minimize Impacts: None required.
VII. Proposed Disposal Site Determinations: Is the mixing zone for the disposal site confined to the smallest practicable Zone? Yes. Repair activities will be limited to the present road imprint and the adjoining several feet of surface, not to exceed 30 feet.
VIII. Determination of Cumulative Effects of Disposal or Fill on the Aquatic Ecosystem: No such cumulative impacts are anticipated as a result of proposed project.
Impacts: _____N/A __X__INSIGNIF. ___SIGNIF.
IX. Determination of Indirect Effects of Disposal or Fill on the Aquatic Ecosystem:
Impacts: _____N/A __X__INSIGNIF. ___SIGNIF.
X. FINDING OF COMPLIANCE.
A review of the proposed project indicates that:
A. The discharge represents the least environmentally damaging practicable alternative and if in a special aquatic site, the activity associated with the discharge must have direct access or proximity to, or be located in the aquatic ecosystem to fulfill its basic purpose.
_X_ YES _____NO
B. The activity does not appear to: 1) violate applicable state water quality standards or effluent standards prohibited under Section 307 of the CWA; 2) jeopardize the existence of
Federally listed endangered or threatened species or their habitat; and 3) violate requirements of any Federally designated marine sanctuary.
_X_ YES ___ NO
C. The activity will not cause or contribute to significant degradation of waters of the U.S. including adverse effects on human health, life stages of organisms dependent on the aquatic ecosystem, ecosystem diversity, productivity and stability, and recreational, aesthetic, and economic values;
_X_ YES ___ NO
D. Appropriate and practicable steps have been taken to minimize potential adverse impacts of the discharge on the aquatic ecosystem.
_X_ YES ___ NO
On the Basis of the Guidelines, the Proposed Disposal Site(s) for the Discharge of Dredged or Fill Material (specify which) is (select one):
______ (1) Specified as complying with the requirements of these guidelines; or,
_X_ (2) Specified as complying with the requirements of these guidelines, with the inclusion of appropriate and practical conditions to minimize pollution or adverse effects on the aquatic ecosystem; or,
______ (3) Specified as failing to comply with the requirements of these guidelines.
APPENDIX B
July 9, 1993
Office of the Chief
Environmental Resources Branch
Mr. Brooks Harper
Southern California Field Supervisor
U.S. Fish and Wildlife Service
2730 Loker Avenue
Carlsbad, California 92008
Dear Mr. Harper:
The Los Angeles District, U.S. Army Corps of Engineers (COE), requests a current list of any endangered, threatened, proposed, or candidate species that may be affected by the proposed Joint Task Force Six (JTF-6) Border Fence Construction/Road Improvement project to be conducted between Tecate Peak and the border area southeast of Canyon City, San Diego County, California. This request is pursuant to Section 7 of the Endangered Species Act of 1973 (as amended). Reproductions of topographic sheets depicting the project area were provided by Ms. Joy Jaiswal of the COE to U.S. Fish and Wildlife Service (USFWS) personnel on July 8, 1993. We also request your input regarding any other significant issues which may be affected by this project.
The project corridor is approximately ten (10) miles in length between Tecate Peak and the border area southeast of Canyon City, San Diego County, California. The proposed activities associated with this project include constructing 4.5 miles of fencing, upgrading approximately 9.0 miles of existing roadways, and construction of approximately 0.5 miles of new road. A second phase will be initiated at a future time which will continue fence construction and road improvements between Canyon City and Jacumba, California. A list of affected species will be requested at a later date and the impacts of this phase assessed in a Supplemental Environmental Assessment.
Please direct requests for clarifications or information to Dr. Emily Carter, Project Ecologist, at (213) 894-5082.
Thank you for your assistance in this matter.
Sincerely,
Robert S. Joe
Chief, Planning Division
Colonel Robert VanAntwerp
District Engineer
U.S. Army Corps of Engineers
Los Angeles District
P.O. Box 2711 Room 6650
Los Angeles, CA 90053-2325
Attn: Mr. Laura Tschudi, Chief, Environmental Design Section
Re: Sensitive Species Request for the Tecate to Canyon City Border Project in San Diego County, California.
Dear Colonel VanAntwerp:
This species list is provided in response to your request dated August 2, 1993, requesting information on endangered, threatened, and candidate species that may be present within the area of the referenced project in San Diego County, California. The attached list of species fulfills the requirements of the U.S. Fish and Wildlife Service (Service) under Section 7 (c) of the Endangered Species Act of 1973, as amended (Act).
The Federal lead agency under Section 7 (c) of the Act, has the responsibility to request a species list and to prepare a Biological Assessment if the proposed action is a construction activity which may require the preparation of an Environmental Impact Statement. If a Biological Assessment is not required, the agency still has the responsibility to review its proposed activities and determine whether the listed species will be affected.
During the assessment or review process, the Federal agency may engage in planning efforts, but may not make any irreversible commitment of resources. Such a commitment could constitute a violation of Section 7(d) of the Act. If a listed species may be affected, the federal agency should request, in writing through our office, formal consultation pursuant to Section 7 of the Act.
A Federal agency is required to confer with the Service when the agency determines that its action is likely to jeopardize the continued existence of any proposed species or result in the destruction or adverse modification of proposed critical habitat. Conferences are informal discussions between the Service and the federal agency, designed to identify and resolve potential conflicts between an action and proposed species or proposed critical habitat at an early point in the decision making process. The Service makes recommendations, if any, on ways to minimize or avoid adverse effects of the action. These recommendations are advisory because the jeopardy prohibition of section 7(a)(2) does not apply until the species is listed or the proposed
Listed, Proposed and Candidate Species
Which May Occur in the vicinity of the Tecate to
Canyon City Border Project in San Diego County, California
(1-6-93-SP-253)
LISTED SPECIES
| Common name | Scientific name | Status |
|------------------------------|----------------------------------------|--------|
| **Birds** | | |
| California Gnatcatcher | Polioptila californica | (T) |
| Least Bell's vireo | Vireo bellii pusillus | (E) |
| **Crustaceans** | | |
| Riverside fairy shrimp | Steptocephalus woottoni | (E) |
| **Plants** | | |
| San Diego button celery | Eryngium aristutatum parishii | (E) |
| San Diego mesa mint | Pogogyne abramsii | (E) |
| California Orcutt grass | Orcuttia californica | (E) |
| Gambel's Watercress | Rorippa gambellii | (E) |
PROPOSED SPECIES
| Common name | Scientific name | Status |
|------------------------------|----------------------------------------|--------|
| **Birds** | | |
| Southwestern Willow Flycatcher | Empidonax trailii extimus | (PE) |
| **Amphibians** | | |
| Southwestern Arroyo Toad | Bufo microscapius californicus | (PE) |
Butterflies & Moths
Quino checkerspot butterfly Euphydryas editha quino (2)
(=E. e. wrighti = Occidryas editha)
Dun skipper Euphyes vestris harbisoni (2)
Hermes copper butterfly Lycaena hermes (2)
Thorne's hairstreak butterfly Mitoura thornei (2)
Wandering skipper (=Eunus Skipper) Pseudocopaeodes eunus eunus (2)
PLANTS
San Diego thornmint Acanthomintha ilicifolia (1)
San Diego ragweed Ambrosia pumila (2)
Otay manzanita Arctostaphylos otayensis (2)
Dean's milk-vetch Astragalus deanei (2)
Round-podded (Jacumba) milk-vetch Astragalus douglasii perstrictus (2)
San Diego milk-vetch Astragalus pocarpus (2)
Orcutt's Brodiaea Brodiaea orcuttii (2)
Dunn's mariposa Calochortus dunnii (2)
Slender-pod Caulanthus Caulanthus stenocarpus (2)
Lakeside Ceanothus Ceanothus cyaneus (2)
Summer-holly Comarostaphylis diversifolia sep. diversifolia (2)
Orcutt's bird's beak Cordylanthus orcuttianus (2)
Tecate cypress Cupressus forbesii (2)
Variegated Dudleya Dudleya variegata (2)
Palmer's Haplopappus Ericameria palmeri palmeri (2)
San Diego barrel cactus Ferocactus viridescens (2)
Mexican flannelbush Fremontodendron mexicanum (2)
Mission Canyon bluecup Githoncia diffusa filicaulis (2)
(= G. filicaulis)
Palmer's Grapling Hook Harpagonella palmeri (2)
Otay tarplant Hemizonia conifugens (2)
Tecate tarplant Hemizonia floribunda (2)
Smooth Tarplant Hemizonia pungens laevis (2)
Graceful Tarplant Holocarpha virgata elongata (2)
San Diego marsh elder Iva hayesiana (2)
Gander's pitcher sage Lepechinia ganderi (2)
Otay Lotus Lotus crassifolius otayensis (2)
Willowy Monardella Monardella linoides viminea (2)
San Diego goldenstar Muilla clevelandii (2)
Little mousetail Myosurus minimus apus (2)
No-named Navarretia Navarretia fossalis (2)
Snake cholla Opuntia parryi serpentina (2)
Gander butterweed Senecio ganderi (2)
Narrow-leaved nightshade Solanum tenuilobatum (2)
San Diego button bush Tetracoccus diplocus (2)
September 17, 1993
Colonel Robert VanAntwerp, District Engineer
Los Angeles District, Corps of Engineers
P.O. Box 2711
Los Angeles, CA 90053-2325
Attn: Ms. Laura Tschudi, Chief, Environmental Design Section
Re: Draft Environmental Assessment for Joint Task Force-6, U.S. Border Patrol Project; Tecate to Canyon City
Dear Colonel VanAntwerp:
The Fish and Wildlife Service (Service) has reviewed the draft environmental assessment (EA) for the Joint Task Force-Six and U.S. Border Patrol Project for the construction and improvement of roads and fences along the border near Tecate. This report also includes the requested list of endangered and threatened species that may possibly occur in the project site.
This project involves the construction and improvement of 10 miles of road, fencing, and barriers along the border between Tecate and Canyon City, in an effort to curb the level of illegal traffic across this part of the border. The creation of a borrow pit, grading and widening of roads, and the construction of culverts and equipment storage sites is suggested as being vital to accomplishing this task.
The dominant plant community on the project site is Mixed Chaparral. Impacts to this habitat will be from road and fence construction on the lower east slope of Tecate Peak removing 2 acres; 19.5 acres within the city limits of Tecate; 2 acres in Bell Valley; and 1.5 acres for a borrow pit. A total of approximately 25 acres of chaparral would be removed. More than half of this habitat is described in the report as seriously degraded from dumping, burning, and other activities.
Road and culvert construction will cross 5 drainages, impacting 3+ acres of Riparian (Mule Fat/Willow) and Oak Woodland Communities. Impacts to wildlife will be from the direct removal of habitat, noise and disturbance from construction activity, and restriction of movement across the international border.
We recommend that a more detailed mitigation plan be incorporated into the final EA. The Service further recommends reducing construction sites and road widening to the minimum necessary and a 1:1 replacement ratio for
Colonel R.L. VanAntwerp
District Engineer
U.S. Army Corps of Engineers
Los Angeles District
Attn: Ms. Laura Tschudi (CESPL-PD-RL)
Chief, Environmental Design Section
P.O. Box 2711, Room 6650
Los Angeles, California 90053-2325
Dear Colonel VanAntwerp:
Thank you for the opportunity to review the Draft Environmental Assessment (DEA) for the Border Road and Fence, Construction and Repair, Tecate to Canyon City, San Diego County, California, dated August, 1993.
As you are aware from past correspondence prepared by our Agency regarding DEA's for various construction/repair/maintenance projects proposed to be undertaken by Joint Task Force Six along the U.S./Mexico border, the United States Section of the International Boundary and Water Commission (USIBWC), United States and Mexico, (Commission) by virtue of the 1944 Water Treaty (TS 994; 59 Stat. 1219) and agreements concluded thereunder by the United States and Mexico is responsible for ensuring that the United States Government meets the obligations incurred in those agreements. In this respect, we ask that the construction and/or repair of the roadways near the international border with Mexico and the construction of several sections of new steel fencing in the Tecate area which you propose be performed in a manner that will not adversely impact upon: (1) the visibility and permanency of the international boundary monuments, (2) the present drainage patterns to and from Mexico, and (3) that all potential sanitation problems be properly addressed to insure that no pollution occurs in either country.
We note that the construction activities will take place, in large part, directly adjacent to the international border. Regarding visibility and permanency of international boundary monuments, the United States and Mexico, through this and predecessor joint Commissions, placed and jointly maintain monuments in this area. Diplomatic protests by the Government of Mexico have been raised regarding the intrusion of the steel fence on the visibility of U.S./Mexico monuments that mark the international boundary. Under no circumstances would the Government of Mexico permit the incursion by personnel and equipment into Mexico to do the metallic fence construction. The Mexican government considers the steel fence to be a barrier to the amicable and friendly relations between the
governments and, therefore, it would be most improper for Mexico to cooperate with the U.S. in the construction of this steel fence. We will appreciate your cooperation in confining activities by equipment, materials, or personnel associated with this activity completely to U.S. territory and that to prevent any encroachment into Mexico, no fence be constructed or any materials placed any closer than 0.60 meters (2 feet) north of the international boundary. Where the fence is to be constructed next to the monuments themselves, it must be installed a minimum of 1.22 meters (4 feet) from the monument on a radius beginning and ending 1.83 meters (6 feet) from the monument to allow adequate room to set up survey instruments. A gate must also be installed to allow access to the monuments.
The DEA does not consider improved boundary demarcation as having a secondary border control benefit that may satisfy the purpose and need of the proposed action. In lieu of this fence, a proposal has been tendered to consider the installation of larger, more visible, and more permanent monuments to better demark the international boundary. It has further been suggested that there be a 18.3 meters (60-feet) open zone to either side of these larger markers within which there would be no construction of any works by either country, including fences. We urge you to consider improved boundary demarcation among the alternatives for the proposed action.
Regarding the present drainage patterns to and from Mexico, we note that your operation will involve the installation of culverts, and grading and shaping for drainage. We note that the proposed project is committed to not disturb existing drainage patterns and flow rates along the border. We ask that you provide the specific plans to P.E. Jose S. Valdez at this address as soon as possible for our review insofar as it impacts on transboundary drainage. Finally, we note that your operation will inform us thirty days in advance of the project's proposed start date, and detail the type of equipment and number of personnel to be involved. We thank you for this courtesy.
Thank you again for the opportunity to review and comment on your proposed project. Please send us two (2) copies of the Final Environmental Assessment (EA) when it becomes available.
Sincerely,
Conrad G. Keyes, Jr.
Principal Engineer, Planning
Mr. Don Crawford
International Boundary and Water Commission
4171 North Mesa, Suite C-31C
El Paso, Texas 79902
Mr. Crawford,
This letter is to inform you on current planning for Joint Task Force Six (JTF-6) operations. The proposed project JT 41A-94, is for border road and fence construction at Tecate to Canyon City, San Diego County, California. The proposed project has been requested by the U.S. Border Patrol. Following is a project outline: (1) Construct approximately 2.7 miles of roadway and a 10 foot high fence parallel to the border, from southeast of Tecate Peak to near the Port of Entry. (2) Construct approximately 1.4 miles of roadway and a 10 foot high fence parallel to the border form near the Port of Entry in Tecate to City Peak. (3) Repair or construct approximately 2.5 miles of roadway, from the boundary between Sections 23 and 28 to 0.2 miles east of the boundary between Sections 27 and 28. (4) the installation of approximately 0.4 miles of a barrier composed of vertical I-beams placed on the north side of border hill in section 29. (5) Construct and/or repair approximately 2.6 miles of roadway in sections 23, 24 and 19.
Road construction/repair will be undertaken by the California National Guard (CANG) under the direction of the State Adjutant General. JTF-6, in conjunction with the Los Angeles District Corps of Engineers, prepared environmental compliance documentation for the CANG. Fence repair/construction will be undertaken by the 7th Engineer Support Battalion, U.S. Marine Corps, under the direction of JTF-6.
We have received a copy of your letter to the Los Angeles District, and will notify the constructing units of your concerns for their compliance.
The project has been planned to begin around 12 October 1993. If you have any additional questions or comments please do not hesitate to contact me at (915) 568-8733. Thank you for your continued support to the counterdrug mission.
Joint Task Force Six - "Service to the Nation."
Sincerely,
Mark A. DeHarde
LTC, U.S. Army
Staff Engineer
Mr. David Compas
U.S. Army Corps of Engineers
P.O. Box 2711, Rm 6632
Los Angeles, CA 90053
Dear Mr. Compas:
Thank you for the opportunity to comment on the Environmental Assessment (EA) for the proposed International Border Fence, San Diego County. Our comments are as follows:
1. So long as the road and fence are built within the 60 feet international boundary strip and the BLM is not the administering agency, BLM’s signature on the EA and a right-of-way from the BLM is not required.
2. At this time, California BLM does not acknowledge responsibility for administering the 60 feet boundary strip (please see the enclosed letter to Congressman Duncan Hunter). This is not a critical issue to us, so long as the U.S. Border Patrol and Army Corp of Engineers have the legal authority to construct and maintain the road and fence. Therefore, for the sake of clarity, we suggest that you cite the authorizing authority in the EA.
3. We recommend that mitigation measures be included to offset adverse impacts to international wildlife movement, especially for Mountain lions and other wildlife.
Livestock and horses from Mexico have also been known to graze on both sides of the border. During fence construction, we recommend that livestock and horses be herded back into Mexico.
4. Please be sure to contact the local Tribal Association listed below for their concerns regarding Tecate peak. The Kumeyaay people consider this mountain sacred.
Southern California Tribal Chairman’s Association
Attn: Ms. Anita Castio
P.O. Box 1470
Valley Center, CA 92082
Archaeological surveys must be conducted on public and private lands prior to fence construction.
5. As per informal field discussion with U.S. Border Patrol and California National Guard, we request that as many trees as possible be saved within the 60 feet strip, especially west of Tecate.
6. In the spirit of continuing cooperation with the U.S. Border Patrol, BLM would support any efforts to remove abandoned vehicles or illegal structures within the 60 feet strip.
Thank you for your consideration.
Sincerely,
Henri Bisson
District Manager
October 1, 1993
Colonel R. L. VanAntwerp
District Engineer
U. S. Army Corps of Engineers
Attn: Ms. Laura Tschudi (CESPL-PD-RL)
P. O. Box 2711, Room 6650
Los Angeles, CA 90053-2325
Dear Ms. Tschudi:
The State has reviewed the Joint Task Force Six Operation (JTF-6) and U. S. Border Patrol, Draft Environmental Assessment for Border Road and Fence; Construction and Repair, Tecate to Canyon City, San Diego County, submitted through the Office of Planning and Research.
We coordinated review of this document with the California Highway Patrol; Native American Heritage, and State Lands Commissions; the Air Resources, and San Diego Regional Water Quality Control Boards; and the Departments of Fish and Game, and Transportation.
The Department of Transportation comments that the leach field described on Page 31 under, California Department of Transportation is a component of the Tecate Border Station expansion project. The U. S. General Services Administration is the lead agency for that work. The contact person for State Highway Routes 94 and 188 is Rick Hopkins, Project Manager, Project Development Branch S-5, (619) 688-6664.
Thank you for providing an opportunity to review this project.
Sincerely,
[Signature]
for William G. Shafrroth
Assistant Secretary,
Land and Coastal Resources
cc: Office of Planning and Research
1400 Tenth Street
Sacramento, CA 95814
(SCH 93094001)
Mr. Mike Williams
Chief
U.S. Border Patrol
425 I Street, NW
Washington, DC 20536
Dear Mr. Williams:
I am writing in regard to the installation of landing mat fencing along the U.S./Mexico border by the U.S. Border Patrol. I understand from our regional offices that the Border Patrol has expressed interest in installing this fencing through border stations controlled by the General Services Administration (GSA) in California, Arizona, and New Mexico.
GSA is interested in helping the Border Patrol implement Federal policies for stopping the flow of illegal immigration and drug traffic along the border. However, we oppose the use of the landing mat fencing favored by the Border Patrol at GSA controlled border stations.
GSA currently has underway a major $364 million construction and renovation program for border stations in Texas, New Mexico, Arizona, and California. GSA in cooperation with the Immigration and Naturalization Service, U.S. Customs Service, and the Department of Agriculture has designed facilities that are architecturally pleasing and meet the needs of these inspection agencies. In the design of these stations, GSA strives to project the appropriate image of the United States to those entering the country. Landing mat fencing in front of the stations does not present such an image.
If you believe that the type of fencing and barrier installed by GSA at border stations is not appropriate we are interested in working with you on finding fencing or other barriers that can be installed at GSA controlled border stations that are esthetically pleasing and meet the Federal policies that the Border Patrol is implementing.
In this regard I would appreciate it if you or a member of your staff would contact me or John Mitrisin of my staff at 202-501-0638 to discuss this issue. We would hope that we could come to a general agreement at the national level with the particulars worked out at the regional level.
Sincerely,
David L. Bibb
Assistant Commissioner
Office of Planning
NEW PORT OF ENTRY AT TECATE, CALIFORNIA
General Services Administration, Region 9,
Public Buildings Service - San Francisco, California
October 4, 1993
Office of the Chief
Environmental Resources Branch
Mr. Bruce Posthumus
WRC Engineer
California Regional Water Quality Control Board
San Diego Region
Attn: Mr. Brian Kelley
9771 Clairemont Mesa Boulevard, Suite B
San Diego, California 92124-1331
Dear Mr. Posthumus:
The Corps of Engineers (COE), Los Angeles District (LAD), request a waiver from obtaining a water quality permit for the Joint Task Force Six (JTF-6) project for Tecate to Canyon City, California. The purpose of the proposed project is to assist law enforcement agencies in the prevention of illegal importation of drugs along the border with Mexico. The proposed project consists of construction and repair of approximately 10 miles of road, and improvement/construction of fencing of about 5 miles between Tecate and Canyon City, California. The road repair will consist of grading, installation of culverts, and grading and shaping for drainage. The road construction will be near and parallel to the border and be utilized for the construction and placement of a 10 foot high border fence. The intent is to repair the erosion damage on the existing roadway, and the streams that intersect the road.
The Draft EA was provided for your review during the public review period. Subsequent to our phone conversation on October 1, 1993 enclosed for your review and comment is additional information on mitigation measures and environmental commitments for the proposed project.
The COE coordinated this action with COE Regulatory Branch, LAD office. They determined that the proposed construction will impact less than one acre where construction crosses streambeds and loss of willows will be mitigated by planting willow cuttings to equivalent value within the project area. The intent is to repair the erosion damage to the existing roadway, and to streams that intersect the road or fence. The slopes of the stream banks will be seeded with native plant species upon completion of the project. The project qualifies for Part 330, Section #14 and #26 of Nationwide Permit Program.
We would appreciate your response to the request for waiver of 401 certification and approval of the proposed project. Your immediate response would be greatly appreciated. Please respond to:
Colonel R.L. VanAntwerp
District Engineer
U.S. Army Corps of Engineers
Los Angeles District
Attn: Ms. Laura Tschudi (CESPL-PD-RL)
Chief, Environmental Design Section
P.O. Box 2711, Room 6650
Los Angeles, California 90053-2325
If you have any questions regarding the revised project, please contact Mr. Dave Compas, Environmental Coordinator, Environmental Planning Section, at (213) 894-5528 or Ms. Joy Jaiswal, Project Manager, Environmental Design Section, at (213) 894-0241.
Thank you for your attention to the Amendment.
Sincerely,
Robert S. Joe
Chief, Planning Division
Enclosures
APPENDIX C
RESPONSES TO THE COMMENT LETTER FROM
U.S. Fish and Wildlife Service (USFWS)
Comment #1. The project was anticipated to impact an estimated 25 acres of chaparral habitat of which approximately half was in degraded condition from dumping, burning, and other activities. In addition, construction activities will impact an additional 3 (or more) acres of habitat described as riparian and potentially disrupt animal communities through habitat loss and construction noise.
Response #1. The estimates of the number of acres anticipated to be impacted and the type of habitat within each portion of the project has been summarized in section 7.5, Biological Resources.
Comment #2. The USFWS recommends a more detailed mitigation plan incorporated in the Final EA which incorporates the recommended replacement values for impacted habitat.
Response #2. The Final EA includes a mitigation plan in section 7.5, Biological Resources, with recommendations to lessen or avoid impacts to the project area. Specific commitments and mitigation measures are also included in section 10.0, Commitments.
Comment #3. The occurrence of Coastal Sage Scrub habitat was not mentioned in the DEA which reportedly occurred in the project area. Mitigation for this habitat is recommended in a 3:1 replacement ratio if any is impacted.
Response #3. The project area was surveyed by Corps of Engineers biologists and it was determined that small portions of the project area primarily mapped as chamise and mixed chaparral are interspersed with inland sage scrub in a transitional state. An assessment of the habitat and its potential for the support of the threatened species, California gnatcatcher is included in the Biological Assessment.
Comment #4. Endangered/Threatened/Candidate species may be impacted by the proposed project, a list of which was provided to the Corps on September 17, 1993. During a brief site visit by a Service biologist, a San Diego (Coast) Horned Lizard, Category 2 species, was observed and six candidate species were cited with the potential to occur in the project vicinity. It is recommended a more intensive survey be conducted to better assess impacts on these species.
Response #4. The project site was surveyed in July/August 1993 to assess biological resources which may be impacted by the
project. The results of the survey were incorporated into the Draft EA as well as information regarding biological resources in the project vicinity identified from BLM resource documents; information from USFWS sources was not received until September 17, 1993. Information considered in the planning process included a resource management plan for all BLM parcels in San Diego County including three through which the project area traverses; only three candidate species were identified with the potential to occur on these parcels. However, in consideration of species listed as endangered, threatened, and proposed endangered, the Corps in conjunction with BLM personnel was undertaken a second assessment of the project site on September 28 and 29, 1993. A Biological Assessment (BA) addressing threatened and endangered species is included in this final EA as an attachment. The proposed project will have no effect on listed species.
Comment #5. Wildlife corridors were stated as potentially not impacted but should be explained in greater depth. It is advisable to leave steep ridges and drainages open and restrict human access.
Response #5. The potential for a wildlife corridor within the project area was identified by a Service biologist during a brief site visit. The location of the potential wildlife corridor is at the base of Tecate Peak and no actions are proposed for this site.
Comment #6. Mitigation measures identified in the Final EA should include replanting of temporarily used work areas and borders with native vegetation and removal of vegetation outside of the breeding season of resident birds to reduce loss of nests and nestlings.
Response #6. Mitigation measures specifically requested by the BLM have been incorporated into section 10.0, Environmental Commitments and a mitigation plan is provided in section 7.5, Biological Resources. Mitigation measures incorporated into the Final EA were considered appropriate to offset the impacts expected to occur in the course of the project.
Comment #6. A proposal has been tendered to consider the installation of larger, more visible, and more permanent monuments to better demark the international boundary.
Response #6. The steel panel fence that will be installed is approximately 10 feet in height. Military personnel have and will continue to work with the IBWC to provide access (steel doors, gates) near the International Boundary monuments so IBWC personnel can continue to maintain and use these markers to determine the legal boundary line between the U.S. and Mexico. In letter dated 17 September 1993 (Appendix B), JTF-6 has indicated that they will notify the constructing units of your concerns for their compliance.
Comment # 1. BLM is not the administering agency, within the 60 feet international boundary strip, therefore, BLM's signature on the EA and right-of-way form BLM is not required.
Response # 1. Within the 60 feet international boundary strip, BLM is not the administering agency, therefore construction can proceed in this area. JTF-6/CANG will submit required permit application to work on BLM land. Road repair/construction on BLM land will not occur until permission is obtained from BLM.
Comment # 2. State the authorization for the improvement/ construction of road or fence within the 60 feet international boundary strip in the EA.
Response # 2. COE has coordinated with U.S. Border Patrol, San Diego Sector regarding the authorization for the improvement/ of existing roads and construction of new roads and a border fence within the 60 feet international boundary strip. The information provided by U.S. Border Patrol can be found at end of this Appendix.
Comment # 3. Mitigation measures to offset impacts to International movement of wildlife and that livestock be herded to the proper side of the border;
Response # 3. COE will inform the CANG and the Marines that prior to the fence construction livestock be herded to the appropriate side of the border.
Comment # 4. Contact be made with the Southern California Tribal Chairman's Association.
Response # 4. The COE contacted Ms. Anita Castio, of the Southern California Tribal Chairman's Association in August. The project parameters were explained to her and she recommended contacting Mr. Ralph Goff, Chairman of the Campo Band of Mission Indians. A telephone call was made to Mr. Goff in August and again on September 30, 1993. He was not available either time, but a message explaining the project was left.
All cultural resources documentation will be sent to the State Historic Preservation Officer (SHPO) for review and comment. Copies of the documentation will also be sent to the Bureau of Land Management, Palm Springs Office, and the Campo Band of Mission Indians.
Comment # 5. As many trees as possible be saved within the border strip.
Response # 5. Oak and mature trees will be avoided during the project construction and these trees will be marked by COE biologist prior to the construction.
Comment # 6. Remove abandoned vehicles or illegal structures within the border strip.
Response # 6. Military personnel will remove abandoned vehicles or other structures from the project area. U.S. Border Patrol will truck and dispose of them at designated disposal sites.
LEGAL AUTHORITY OF THE BORDER PATROL TO ERECT FENCE ON
THE U.S.-MEXICO BOUNDARY
* 8 USC 1103(a) (LAW)
General power of the Attorney General to establish regulations, instructions etc. to carry out his/her authority to enforce and carry out the provisions of the Immigration and Nationality Act. These powers are delegated down to Border Patrol, this Section specifically states that the Attorney General "Shall have the power and duty to control and guard the boundaries and borders of the United States against the illegal entry of aliens . . ."
* The Chinese exclusion cases
In 1889 and 1893, the Supreme Court first said that the U.S. has inherent power as a sovereign state to control its borders.
* Regulations
- delegation to Border Patrol (8 CFR 103.1(p))
- definition of patrolling the border as:
"conducting such activities as are customary or reasonable and necessary to prevent the illegal entry of aliens into the United States" (8 CFR 287.1(f))
Note: This information is provided by U.S. Border Patrol, San Diego.
RESPONSES TO THE COMMENT LETTER FROM
THE RESOURCES AGENCY OF CALIFORNIA
COMMENT #1. The leach field is a component of the GSA proposed construction at the Tecate Border Station, and not a component of any Department of Transportation work.
RESPONSE #1. It is understood by the agencies involved in this project that GSA is the agency to coordinate with concerning the leach field. Any necessary coordination will be conducted with GSA. Also, any coordination that may be needed with the Department of Transportation will be conducted with Mr. Rich Hopkins, as noted in the comment letter.
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To visit our website,www.flow.co.za, click here
DIASPEC_SPS_2-8_D_03.DOC
FLOW SORT DIAMOND RECOVERY MACHINES
TECHNICAL SPECIFICATION FOR SINGLE PARTICLE SORTER MODELS
XR 2/8 D SPS & 10/25 D SPS
GENERAL
Our single particle sorter concept stems from one of Wolf's machine designs from the mid 1970's.
The quad channel feeding system is based on achieving particle singulation with spiral bowl feeders (utilising a unique patented discharge lip) followed by gravitational particle separation.
Diamond detection is by means of a highly stabilised x-ray source and optic fibre coupled photo multipliers.
Diamond separation is done by high speed electro mechanical ejectors which are designed to remove individual particles from the feed stream.
The sorters 4 channels are set up for specific 2:1particle size ranges. Optimal set-up is achieved by interchangeable feeder bowls and ejector rotors.
Note that the sorter can be set-up to simultaneously sort a different size material at each of the 4 channels.
ELECTRIC SUPPLY:
STANDARD:
220 Volt (+/- 10%), 50 Hz, Single Phase Power consumption approx. 3kVA,
OTHER SUPPLY: ON REQUEST.
X-RAY TUBE COOLING WATER SUPPLY:
QUALITY:
Only potable water may be used.
PRESSURE:
Not be less than 400 kPa and not exceeding 800 kPa.
VOLUME:
Water flow rate at 400 kPa is approx. 4.0 litres per min.
TEMPERATURE: Inlet Temperature max. 28 ºC
SORTING PARAMETERS OF SPS SORTER MODELS
FLOW SORT SINGLE PARTICLE SORTERS (SPS) are available with a SMALL feed assembly with designation XR 2/8 D SPS or with a LARGE feed assembly with designation XR 10/25 D-SPS.
FEED ASSEMBLY "SMALL" XR 2/8 D SPS
MINIMUM SIZE: The minimum size is 1mm
The recommended minimum is 2mm.
MAXIMUM SIZE:
The maximum size is 10mm Recommended maximum is 8mm.
SIZE RATIO:
Maximum ratio of particle size in feed is 2:1.
RECOMMENDED SPLITS ARE:
FEED ASSEMBLY SMALL: + 1mm - 2mm
+ 2mm - 4mm + 4mm - 8mm
FEED ASSEMBLY "LARGE" XR 8/25 D SPS
MINIMUM SIZE: The minimum size is 6mm
The recommended minimum is 8mm.
MAXIMUM SIZE: The maximum size is 35mm
Recommended maximum is 25mm.
SIZE RATIO:
Maximum ratio of particle size in feed is 2:1.
RECOMMENDED SPLITS ARE:
FEED ASSEMBLY LARGE: + 8mm - 16mm
+ 16mm - 20mm
FEED RATE: The maximum feed rate per hour "FR" is computed by using the following approximation:
FR (in kg/h) = 0.4 x d² x SF x S.G.
SF = "SHAPE FACTOR" i.e. The particle volume expressed as a portion of the volume of a sphere with average particle diameter. (i.e. 60% of volume of a sphere results in a "SHAPE FACTOR" = 0.6)
d = AVERAGE PARTICLE DIAMETER ( in mm)
S.G. = AVERAGE SPECIFIC GRAVITY OF FEED MATERIAL
CONCENTRATION: Concentration of ejected particles is higher than 98%.
Note that these sorters are designed to eject either the luminescent particles or the non-luminescent particles present in the feed material.
DIMENSIONS: Refer to GENERAL Arrangement Drawing SPS_GA_03.DWG
MASS: Sorting machine complete……..…………….600 kg.
Electric control panel ………………………. 120kg.
TRANSPORT CRATE DIMENSIONS:
Depending on mode of transport and final destination.
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CASE COMMENT: Rosman v. Trans World Airlines Inc.
Jacalyn Fischer Barnett
Follow this and additional works at: http://brooklynworks.brooklaw.edu/bjil
Recommended Citation
Jacalyn F. Barnett, CASE COMMENT: Rosman v. Trans World Airlines Inc., 2 Brook. J. Int'l L. (1975). Available at: http://brooklynworks.brooklaw.edu/bjil/vol2/iss1/6
This Article is brought to you for free and open access by BrooklynWorks. It has been accepted for inclusion in Brooklyn Journal of International Law by an authorized administrator of BrooklynWorks. For more information, please contact [email protected].
Rosman v. Trans World Airlines, Inc.— The New York Court of Appeals relied on an English translation of Article 17 of the Warsaw Convention in holding that a passenger on a hijacked international flight must prove some objective bodily injury in order to recover damages for emotional harm.
The Federal Aviation Administration reported 159 hijackings of United States commercial airliners between January, 1961, and November, 1972;¹ the majority of these incidents occurred after 1967. Passengers seeking recovery for harm suffered as the result of a hijacking frequently assert their claims against only the airline carrier since few hijackers are available for suit or possessed of adequate assets to satisfy a judgment.² Airline carriers are attractive defendants not only because of the extent and accessability of their assets, but also because they are held to a standard of absolute liability for injuries sustained by passengers on international flights under both the Warsaw Convention, officially known as “Convention for the Unification of Certain Rules Relating to International Transportation by Air,”³ and its subsequent modification, the Montreal Agreement.⁴
Most lawsuits arising out of hijacking incidents have been brought by passengers who, although not subjected to physical impact, have suffered emotional harm. When a hijacking occurs on an international flight, any successful legal action must fall within the purview of Article 17 of the Warsaw Convention. If United States courts construe Article 17 as precluding recovery for purely emotional harm, then most hijack victims are faced with the awesome task of proving the carrier's negligence under the law of the appropriate jurisdiction.
I. BACKGROUND: THE WARSAW CONVENTION
The Warsaw Convention, to which the United States ad-
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1. N.Y. Times, Nov. 19, 1972, at 3, col. 1.
2. Of the 218 people involved in hijacking the 159 planes, 124 persons are fugitives, five were killed during the hijackings, three committed suicide, 44 have been convicted of air piracy or other charges in this country, five have been convicted of such charges abroad, 19 were acquitted or had hijacking charges dropped, and 16 are in mental institutions (footnote omitted). Comment, 6 N.Y.U.J. Int'l L. & Pol. 555 n.3 (1973).
3. Done Oct. 12, 1929, 49 Stat. 3000 (1935-36), T.S. No. 876, 137 L.N.T.S. 11 [hereinafter cited as Warsaw Convention].
4. 31 Fed. Reg. 7302 (1966); 49 U.S.C. § 1502, note (1970).
hered in 1934, outlines rules and regulations of international air travel for the dual purpose of effecting uniform liability among adherent nations and of limiting the potential liability of air carriers. The former was intended to create predictability and the latter to encourage investment in the young and developing aviation industry. The Convention created a rebuttable presumption of liability on the part of air carriers engaged in international transportation for injuries or death to their passengers, subject to the defense of contributory negligence. This liability was limited to $8,300 per passenger.
Concomitant with the growth of the aviation industry was an increase in public dissatisfaction with the low limit on passenger recovery. The United States' dissatisfaction culminated on November 15, 1965, with notification to the world community of its intention to withdraw from the Convention six months thereafter. In order to avoid this imminent withdrawal, an international diplomatic conference produced the 1966 Montreal Agreement.
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5. The declaration of adherence of the United States was deposited in Warsaw, Poland, on July 31, 1934. 49 Stat. 3000 (1935-36).
6. Eck v. United Arab Airlines, 15 N.Y.2d 53, 59, 203 N.E.2d 640, 642, 255 N.Y.S.2d 249, 252 (1964).
7. Lowenfeld & Mendelsohn, *The United States and the Warsaw Convention*, 80 HARV. L. REV. 497, 498-500 (1967).
8. The English translation of art. 20, para. 1, provides:
The carrier shall not be liable if he proves that he and his agents have taken all necessary measures to avoid the damages or that it was impossible for him or them to take such measures.
49 Stat. 3014, 3019 (1935-36), 49 U.S.C. § 1502, note (1970) [hereinafter cited as the English translation]. Criteria of liability are set forth in Article 17. See text accompanying notes 63-65 infra.
9. The English translation of art. 21 provides:
If the carrier proves that the damage was caused by or contributed to by the negligence of the injured person the court may, in accordance with the provisions of its own law, exonerate the carrier wholly or partly from his liability.
10. The English translation of Warsaw Convention, art. 22, para. 1, provides:
In the transportation of passengers the liability of the carrier for each passenger shall be limited to the sum of 125,000 francs. [$8,300].
11. Lowenfeld & Mendelsohn, *supra* note 7, at 504, 545-46.
12. 53 Dep't State Bull. 923 (1965).
13. The English translation of Warsaw Convention, art. 39, para. 2, states:
Denunciation shall take effect six months after the notification of denunciation, and shall operate only as regards the party which shall have proceeded to denunciation.
See Kreindler, *The Denunciation of the Warsaw Convention*, 31 J. AIR L. & COM. 291 (1965).
14. 31 Fed. Reg. 7302 (1966); 49 U.S.C. § 1502, note (1970).
The Montreal Agreement retained all but two of the provisions of the Warsaw Convention. The monetary limitation of $8,300 was raised to $75,000. In addition, all defenses under Article 20(1) of the Warsaw Convention were waived, thus replacing the presumption of liability with absolute liability.
Judicial application of the absolute liability standard has been inconsistent. Cases such as *Rosman v. Trans World Airlines, Inc.* exemplify the problems faced by a hijacked passenger who suffers emotional, as opposed to physical, injury. The New York Court of Appeals was called upon to decide whether the defendant airline's absolute liability for "de mort, de blessure, ou de toute autre lésion corporelle" entitled plaintiffs to recover damages for purely psychic trauma suffered on board a hijacked aircraft. The *Rosman* court's refusal to employ the official French text of the Warsaw Convention did not foster a consistent and dynamic approach to treaty interpretation. The court also failed to recognize the appropriateness of applying modern principles of tort liability.
II. THE ROSMAN CASE: FACT PATTERN
On September 6, 1970, a Trans World Airlines [TWA] 707 was hijacked en route from Tel Aviv to New York City by members of the self-styled Popular Front for the Liberation of Palestine. As passengers on this aborted flight, the plaintiffs in *Rosman* were held captive in the desert for six days. None of the plaintiffs were actually struck. They were, however, subjected to extreme temperatures, confined for long hours in their seats, and placed in continual fear for their lives; they claimed to have suffered severe emotional anguish in addition to relatively minor physical ailments.
---
15. See note 8 supra.
16. I.L. KRENDLER, AVIATION ACCIDENT LAW § 12A.01 (1971).
17. 40 App. Div. 2d 963, 338 N.Y.S.2d 664 (1st Dep't 1972), rev'd, 34 N.Y.2d 385, 314 N.E.2d 848, 358 N.Y.S.2d 97 (1974) [hereinafter cited as *Rosman*], consolidated on appeal with Herman v. Trans World Airlines, Inc., 69 Misc. 2d 642, 330 N.Y.S.2d 829 (Sup. Ct.), rev'd 40 App. Div. 2d 850, 337 N.Y.S.2d 827 (2d Dep't 1972), rev'd 34 N.Y.2d 385, 314 N.E.2d 848, 358 N.Y.S.2d 97 (1974) [hereinafter cited as *Herman*].
18. Warsaw Convention, art. 17. This phrase has been unofficially translated as "death or wounding . . . or any other bodily injury . . ." 49 Stat. 3014, 3018 (1935-36). See text accompanying notes 63-65 infra (for both the authorized French text and unofficial English translation of Article 17 in its entirety).
19. 34 N.Y.2d at 388, 314 N.E.2d at 849, 358 N.Y.S.2d at 99.
20. Id., 314 N.E.2d at 850, 358 N.Y.S.2d at 100.
21. Id. at 388-89, 314 N.E.2d at 850, 358 N.Y.S.2d at 100-01. Edith Rosman alleged
On September 25, 1971, Edith Rosman and her two minor children brought a personal injury action against TWA.\textsuperscript{22} There was no allegation of negligence;\textsuperscript{23} the claim was predicated on the liability provisions of the Warsaw Convention, as modified by the absolute liability provisions of the Montreal Agreement.
Plaintiffs moved for summary judgment on the issue of liability and the Supreme Court, New York County, granted the motion.\textsuperscript{24} The Appellate Division, First Department,\textsuperscript{25} reversed the lower court on the ground that “a triable issue of fact” was presented as to the precise meaning of the official French text of Article 17 of the Warsaw Convention,\textsuperscript{26} which concerned the liability of the carrier. The Court of Appeals reversed the First Department and affirmed the holding of the trial court that liability could be determined as a matter of law. Although plaintiffs were granted summary judgment,\textsuperscript{27} the decision has been described as a mere “Pyrrhic victory”\textsuperscript{28} since the court held that physical injury must be present before emotional injury is compensable.\textsuperscript{29}
\textsuperscript{22} In addition, Edith Rosman’s husband, Eliezer Rosman, sued in his representative and derivative capacities for medical expenses and loss of services. \textit{Id.} at 388 n.1, 314 N.E.2d at 850 n.1, 358 N.Y.S.2d at 100 n.1.
\textsuperscript{23} Although the Rosmans brought their claim under the absolute liability provision of the Warsaw Convention, they also had a potential cause of action grounded in negligence under New York law.
\textsuperscript{24} The New York Supreme Court, in granting summary judgment to the plaintiffs in both \textit{Rosman} and \textit{Herman}, concluded that there were no triable issues of fact as to defendants’ liability, but directed hearings as to the amount of damages for both physical injuries and psychic trauma.
\textsuperscript{25} The appellate division reversed the lower court decisions in both \textit{Rosman} and \textit{Herman} and found that triable issues of fact were presented as to the precise meaning of the French text of Article 17.
\textsuperscript{26} See text accompanying note 63 infra (for Article 17 in the original French).
\textsuperscript{27} 34 N.Y.2d 385, 314 N.E.2d 848, 358 N.Y.S.2d 97 (1974).
\textsuperscript{28} Kreindler, \textit{Hijacking and Emotional Trauma}, 171 N.Y.L.J. no. 120, 1, 3, col. 5 (1974).
\textsuperscript{29} 34 N.Y.2d 385, 314 N.E.2d 848, 358 N.Y.S.2d 97 (1974). The order of the supreme court granting summary judgment to the plaintiffs on the issue of liability was reinstated. The case was remitted for trial on the issue of damages which were limited to palpable, objective bodily injuries, including those caused by the psychic trauma of the hijacking, and for the damages flowing from those bodily injuries, but not for the trauma as such or for the nonbodily or behavioral manifestations of that trauma. \textit{Id.} at 400, 314 N.E.2d at 857, 358 N.Y.S.2d at 110.
III. METHODS OF TREATY INTERPRETATION
A fundamental problem facing the *Rosman* court was the choice of an appropriate approach to treaty interpretation.\(^{30}\) The Warsaw Convention was written in one official language, French.\(^{31}\) English was never an authorized language, and the United States adhered to the French version. According to the American Law Institute's *Restatement (Second) of Foreign Relations Law of the United States*,
[t]he extent to which an international agreement creates, changes or defines relationships under international law is determined in case of doubt by the interpretation of the agreement. The primary object of interpretation is to ascertain the meaning intended by the parties for the terms in which the agreement is expressed, having regard to the context in which they occur and the circumstances under which the agreement was made. This meaning is determined in light of all relevant factors.\(^{32}\)
The court referred to this section of the *Restatement* in its opinion, but ignored its directives in reaching a decision.\(^{33}\) By using a translation rather than the original French text, the court acted contrary to generally accepted international and American theories of treaty interpretation.\(^{34}\) Unless a translation is an authorized text, it can never be a fair substitute for the original text of a treaty.\(^{35}\)
The two major schools of treaty interpretation are textualism and contextualism. The former focuses on the treaty and the "ordinary meaning" of its terms while the latter focuses on the
\(^{30}\) See generally Draft Convention on the Law of Treaties, 29 Am. J. Int'l L. 653 (Supp. 1935).
\(^{31}\) Warsaw Convention, art. 36.
\(^{32}\) Restatement (Second) of Foreign Relations Law of the United States § 146 (1965) (emphasis added).
\(^{33}\) After quoting from the Restatement, the court stated that,
[t]he parties agree that the translation of Article 17 contained at 49 Stat. 3018 is accurate and we will refer therefore to the English terms.
\(^{34}\) N.Y.2d at 396, 314 N.E.2d at 855, 358 N.Y.S.2d at 106. The fact that the parties agreed upon the use of an English translation should not have been accepted as conclusive by the court. See text accompanying note 39 infra.
\(^{35}\) See generally Falk, On Treaty Interpretation and the New Haven Approach: Achievements and Prospects, 8 Va. J. Int'l L. 323 (1968); Fitzmaurice, Vae Victis or Woe to the Negotiators! Your Treaty or Our "Interpretation" of It?, 65 Am. J. Int'l L. 358 (1971); Hardy, The Interpretation of Plurilingual Treaties by International Courts and Tribunals, 37 Barr. Y.B. Int'l L. 72 (1961).
\(^{36}\) See Todok v. Union State Bank, 281 U.S. 449 (1930).
treaty and all related material, including working drafts.
The Vienna Convention on the Law of Treaties\textsuperscript{36} adopted the textual approach to treaty interpretation: "A treaty shall be interpreted in good faith in accordance with the ordinary meaning to be given to the terms of the treaty in their context and in the light of its object and purpose."\textsuperscript{37} Determining the "ordinary meaning" of a word in one's own language is problematic, but the task becomes formidable when the treaty is in a foreign language. The only article in the Vienna Convention offering guidelines is Article 33, which simply provides: "A version of the treaty in a language other than one of those in which the text is authenticated shall be considered an authentic text only if the treaty so provides or the parties [i.e., the signatories] so agree."\textsuperscript{38} The plaintiff and defendant in \textit{Rosman} mutually agreed upon an English translation of Article 17,\textsuperscript{39} which the court too readily adopted. Such mutual agreement did not confer upon the court the authority to rely upon an unofficial translation which was not endorsed by the signatories, any more than consent to jurisdiction by both parties would confer jurisdiction on a court. Although the textual approach to treaty interpretation is not an absolute rule of law, its application by the \textit{Rosman} court would have been appropriate as it would have compelled the court to refer to the original text.
Although it was rejected by the drafters of the Vienna Convention, the contextual approach to treaty interpretation\textsuperscript{40} is the most widely accepted technique in the United States.\textsuperscript{41} Myres S. McDougal has reaffirmed a characterization of this approach which was made forty years ago:
A treaty is to be interpreted in the light of the general purpose which it is intended to serve. The historical background of the
\begin{itemize}
\item[36.] Vienna Convention on the Law of Treaties, \textit{opened for signature} May 23, 1969, U.N. Doc. A/CONF. 39/27 [hereinafter cited as Vienna Convention]. The text of Vienna Convention may also be found at 8 \textit{Int’l Leg. Mat’s} 679 (1969); 63 \textit{Am. J. Int’l L.} 875 (1969).
\item[37.] Vienna Convention, art. 31.
\item[38.] \textit{Id.}, art. 33.
\item[39.] 34 N.Y.2d at 396, 314 N.E.2d at 855, 358 N.Y.S.2d at 106.
\item[40.] \textit{See generally} M. McDougal, H. Lasswell & J. Miller, \textit{The Interpretation of Agreements and the World Public Order} 50 (1967).
\item[41.] \textit{See generally} articles cited note 34 \textit{supra}. Although the \textit{Rosman} court adopted neither the contextual nor the textual approach, the United States District Court for the Southern District of New York considered the contextual approach to be part of New York law. \textit{Husserl v. Swiss Air Transp. Co.}, 388 F. Supp. 1238 (S.D.N.Y. 1975).
\end{itemize}
treaty, travaux préparatoires, the circumstances of the parties at the time the treaty was entered into, the change in these circumstances sought to be effected, the subsequent conduct of the parties in applying the provisions of the treaty, and the conditions prevailing at the time interpretation is being made, are to be considered in connection with the general purpose which the treaty intended to serve.\textsuperscript{42}
To contextualists, language is merely one indication of meaning;\textsuperscript{43} to textualists, language is paramount. However, despite the theoretical variances between the two schools both firmly believe that what must be interpreted is the treaty in its original language.
The use of an English translation of the Warsaw Convention by the \textit{Rosman} court clearly negated the well-accepted and sound theories of both the textual and contextual methods of treaty interpretation. Its failure to take cognizance of the original French text represents a regression in the uniform and logical development of treaty interpretation. By examining the treaty in the official French text, the court could have reached the same decision and, more importantly, would have preserved a legally sound methodology. It is this judicial lapse of methodology which undermines \textit{Rosman}.
\section*{IV. The Right to Recover for Psychic Trauma}
Mental injuries, like physical injuries, can be debilitating and can result in substantial economic loss.\textsuperscript{44} Judicial acknowledgement in the United States of a legal right to be compensated for mental injuries may be historically linked to the development by modern medicine of techniques to not only identify mental distress but also to establish a causal relationship between emotional disturbance and physical injury.\textsuperscript{45} Courts and juries recog-
\begin{footnotesize}
\begin{itemize}
\item[42.] McDougal, \textit{The International Law Commission’s Draft Articles Upon Interpretation: Textuality Redivivus}, 61 Am. J. Int’l L. 992, 999-1000 (1967), quoting Draft Convention on the Law of Treaties, art. 19(a), 29 Am. J. Int’l L. 653, 937 (Supp. 1935).
\item[43.] Larsen, \textit{The United States-Italy Air Transport Arbitration: Problems of Treaty Interpretation and Enforcement}, 61 Am. J. Int’l L. 496 (1967). The words become the axis around which the whole wheel of language, intent, and subsequent events involves.” \textit{Id.} at 512.
\item[44.] See Goodrich, \textit{Emotional Disturbance as Legal Damage}, 20 Mich. L. Rev. 497 (1922); Note, \textit{The Right to Mental Security}, 16 U. Fla. L. Rev. 540 (1964). \textit{See also} Hargis v. Knoxville Power Co., 175 N.C. 31, 94 S.E. 702 (1917).
\item[45.] Smith, \textit{Relation of Emotions to Injury and Disease: Legal Liability for Psychic Stimuli}, 30 Va. L. Rev. 193 (1944); Note, \textit{supra} note 44.
\end{itemize}
\end{footnotesize}
nized that any serious injury to the body is likely to have a concomitant effect on the mental state of the victim, but recovery for mental distress was granted only when physical injury was demonstrated to exist.\textsuperscript{46} In the late nineteenth century, cases such as \textit{Mitchell v. Rochester Railway Co.}\textsuperscript{47} and \textit{Spade v. Lynn & Boston Railroad Co.}\textsuperscript{48} established the rule that in order to recover for mental distress there had to be an “impact.” This theory was defined by a Georgia court to mean that “the right to recover for a mental condition induced by the tortious act of another is dependent upon the existence of a physical injury.”\textsuperscript{49}
The impact rule was consistent with three practical problems regarding compensation for psychic trauma: determining appropriate damages, identifying valid claims, and avoiding a potential flood of litigation. The main concern was the prevention of false claims.\textsuperscript{50} Yet when a physical injury was not apparent, the courts strained to find an impact when circumstances compelled them to compensate a victim for obvious mental suffering.\textsuperscript{51} \textit{Zelinsky v. Chimics}\textsuperscript{52} exemplifies this judicial maneuvering. Apparently feeling that the plaintiff’s claim that she suffered from a serious nervous disorder was genuine, the court construed the “jarring and jostling” of a minor automobile accident as the requisite impact to justify recovery of damages for subsequent mental injuries.\textsuperscript{53} As Dean Prosser has stated:
The only valid objection against recovery . . . is the danger of vexatious suits and fictitious claims . . . . It is entirely possible
\begin{itemize}
\item[46.] Authorities cited note 50 infra.
\item[47.] 151 N.Y. 107, 45 N.E. 354 (1896).
\item[48.] 168 Mass. 285, 47 N.E. 88 (1897).
\item[49.] Christy Bros. Circus v. Turnage, 38 Ga. App. 581, 144 S.E. 680, 681 (1928).
\item[50.] See, e.g., Bosley v. Andrews, 393 Pa. 161, 142 A.2d 263 (1958); Briboise v. Kansas City Pub. Serv. Co., 303 S.W.2d 619 (Mo. 1957); Spade v. Lynn & Boston R.R., 168 Mass. 285, 47 N.E. 88 (1897). See also 13 U. MIAMI L. REV. 370 (1966); 39 TEMP. L.Q. 229 (1966).
\item[51.] Porter v. Delaware, Lackawanna & W.R.R., 73 N.J.L. 405, 63 A. 860 (1906) (dust in the eye); Kasey v. Suburban Gas Heat of Kennewick, Inc., 60 Wash. 2d 468, 374 P.2d 549 (1962) (a jolt); Boston v. Chesapeake & O. Ry., 223 Ind. 425, 61 N.E.2d 326 (1945) (a jolt). An extreme example may be found in \textit{Christy Bros. Circus v. Turnage}, 38 Ga. App. 581, 144 S.E. 680 (1928). The court found that there was sufficient physical impact when the defendant’s horse, during a circus performance, “evacuated his bowels” onto plaintiff’s lap and allowed recovery for the resultant “embarrassment, mortification, and mental pain and suffering.” \textit{Id.}, 144 S.E. at 681.
\item[52.] 196 Pa. Super. 312, 175 A.2d 351 (1961).
\item[53.] \textit{Id.} Mrs. Zelinsky testified that “she did not sustain any physical injuries in the accident other than the nervous condition.” \textit{Id.} at 314, 175 A.2d at 352. Mr. Zelinsky, who also sued for injury in the form of a neurosis, testified that “[t]here were no cuts on his body as a result of the accident and he wasn’t physically hurt.” \textit{Id.} (emphasis added).
\end{itemize}
to allow recovery only upon satisfactory evidence and deny it when there is nothing to corroborate the claim, or to look for some guarantee of genuineness in the circumstances of the case.\textsuperscript{54}
Under the impact theory, courts were able to calculate compensation for purely mental elements of injuries which included physical impact.\textsuperscript{55} Since the law could provide a remedy for mental injury which was preceded by physical injury, it was eventually recognized that the law should provide a remedy when mental injury occurs alone. The very courts which established the arbitrary "impact" rule to distinguish between real and false claims have subsequently discarded the doctrine.\textsuperscript{56}
The fear that courts would be flooded with litigation if purely mental injuries were compensable has not been supported by subsequent experience.\textsuperscript{57} The genuineness of any claim, whether it be a stiff neck from an automobile accident or a psychoneurosis from a hijacking experience, must be legally established before damages will flow.\textsuperscript{58} Interposed between the plaintiff and recovery are principles of tort law and requirements of evidence. Plaintiff must show a duty owed and breached, causation, and damages. The practice of denying valid claims for fear of potentially fraudulent ones was discarded as illogical and unjust by the New York Court of Appeals in \textit{Battalla v. State}.\textsuperscript{59} The court observed that such an argument
\begin{itemize}
\item \textsuperscript{54} W. Prosser, \textit{Law of Torts} 328 (4th ed. 1971).
\item \textsuperscript{55} \textit{See, e.g.,} Baltimore & O.R.R. v. McBride, 36 F.2d 841 (6th Cir. 1930); Easton v. United Trade School Contracting Co., 173 Cal. 199, 159 P. 597 (1916); Canning v. Inhabitants of Williamstown, 55 Mass. (1 Cush.) 451 (1848). A pre-existing tendency toward an illness which the incident in question may exacerbate will not, and has not, precluded assessment of damages. The problems posed by this situation relate to the extent of plaintiff's recovery, not defendant's liability. \textit{See Note, Torts—Expanding the Concept of Recovery for Mental and Emotional Injury}, 76 W. Va. L. Rev. 176 (1974).
\item \textsuperscript{56} \textit{See} Battalla v. State, 10 N.Y.2d 237, 176 N.E.2d 729, 219 N.Y.S.2d 34 (1961), \textit{overruling} Mitchell v. Rochester Ry., 151 N.Y. 107, 45 N.E. 354 (1896); Niederman v. Brodsky, 436 Pa. 401, 261 A.2d 84 (1970), \textit{overruling} Bosley v. Andrews, 393 Pa. 161, 142 A.2d 263 (1958).
\item \textsuperscript{57} \textit{See} Gulf, C & S.F. Ry. v. Hayter, 93 Tex. 239, 54 S.W. 944 (1900).
\item \textsuperscript{58} [R]ecovery for emotional harm to one subjected directly to the tortious act may not be disallowed so long as the evidence is sufficient to show causation and substantiality of the harm suffered, together with a "guarantee of genuineness" to which the court referred in the Ferrara case . . . .
\item \textit{Johnson v. State}, 37 N.Y.2d 378, 383-84, 334 N.E.2d 590, 593, 372 N.Y.S.2d 638, 643 (1975), \textit{quoting} Ferrara v. Galluchio, 5 N.Y.2d 16, 21, 152 N.E.2d 249, 252, 176 N.Y.S.2d 996, 1000 (1958).
\item \textsuperscript{59} 10 N.Y.2d 237, 176 N.E.2d 729, 219 N.Y.S.2d 34 (1961).
\end{itemize}
from mere expediency cannot commend itself to a Court of justice, resulting in the denial of a logical legal right and remedy in all cases because in some a fictitious injury may be urged as a real one.\textsuperscript{60}
If there is a substantial wrong, an injured party should have the right to bring an action.\textsuperscript{61}
The Rosman court failed to reconcile its interpretation of the Warsaw Convention with the growth in recognition of the right to recover for purely psychic trauma. Although the impact rule is obsolete in New York,\textsuperscript{62} the Rosman court chose to revive it.
V. RATIONALE FOR THE ROSMAN DECISION
In the Rosman case, the issue of whether a passenger of a hijacked aircraft could recover against the air carrier for psychic trauma alone depended upon the court's interpretation of Article 17 of the Warsaw Convention.
Le transporteur est responsable du dommage survenue en case de mort, de blessure, ou de toute autre lésion corporelle subie par un voyageur lorsque l'accident qui a causé le dommage s'est produit à bord de l'aéronef ou au cours de toutes operations d'embarquement et de débarquement.\textsuperscript{63}
The English translation, which was considered by the parties in Rosman to be accurate but which is of no binding force since French is the only authoritative language of the Convention,\textsuperscript{64} is as follows:
The carrier shall be liable for damage sustained in the event of the death or wounding of a passenger or any other bodily injury suffered by a passenger, if the accident which caused the damage so sustained took place on board the aircraft or in the course of any of the operations of embarking or disembarking.\textsuperscript{65}
\textsuperscript{60} Id. at 241, 176 N.E.2d at 731, 219 N.Y.S.2d at 37, quoting Green v. T.A. Shoemaker & Co., 111 Md. 69, 81, 73 A. 688, 692 (1909).
\textsuperscript{61} Id. at 240, 176 N.E.2d at 730, 219 N.Y.S.2d at 36.
\textsuperscript{62} Battalla v. State, 10 N.Y.2d 237, 176 N.E.2d 729, 219 N.Y.S.2d 34 (1961). In a recent case, Johnson v. State, 37 N.Y.2d 378, 334 N.E.2d 590, 372 N.Y.S.2d 638 (1975), the court held that the daughter of a patient in a State hospital could recover for anxiety neurosis suffered as a direct result of her receipt of a telegram negligently sent by the hospital misinforming her of the death of her mother who was in fact alive and well.
\textsuperscript{63} The French text is the only text with official, binding status. Warsaw Convention, art. 36.
\textsuperscript{64} See text accompanying note 31 supra.
\textsuperscript{65} 49 Stat. at 3018.
A. Significance of the French Text of the Warsaw Convention
The threshold question in *Rosman* was the significance, if any, of the official French text of the Warsaw Convention. The court cited the holding in *Block v. Compagnie Nationale Air France* that "the binding meaning of the terms of the Convention is the French legal meaning"; however, the *Rosman* court did not refer to the French legal system for an interpretation of the legal significance of the terms at issue (*i.e.*, "de mort, de blessure, ou de toute autre lésion corporelle"). Rather, the court indicated that the English translation would suffice, based upon both the agreement of the parties and the court's finding that the translation was accurate.
The use of a translated version of a treaty is contrary to recognized principles of treaty interpretation. The *Rosman* court stated that it was "aware" of the Supreme Court's holding in *Todok v. Union State Bank* that "where the text of a treaty is drawn in only one language, that language is controlling." *Todok* exemplifies the questionable value of translations in a situation similar to that in *Rosman*. The only official text of the treaty under consideration in *Todok* was in French and both parties agreed that the English translation was accurate. The legal connotations of the terms at issue, however, raised several questions which led the Supreme Court to rely on the original French text in order to reach a decision.
The *Rosman* court, faced with the same predicament, inexplicably acted contrary to the principle laid down in *Todok* and thus negated the effect of an important affirmative decision made by the drafters and signatories of the Warsaw Convention in stipulating that the only official text of the Convention would be in the French language. As emphasized by Drion, "in legal think-
---
66. 386 F.2d 323 (5th Cir. 1967), cert. denied, 392 U.S. 905 (1968).
67. *Id.* at 330.
68. 34 N.Y.2d at 396, 314 N.E.2d at 855, 358 N.Y.S.2d at 106.
69. *Id.* at 392, 314 N.E.2d at 852, 358 N.Y.S.2d at 103.
70. 281 U.S. 449 (1930).
71. *Id.* at 454.
72. The French phrase "fonds et biens" has been translated as "goods and effects." At common law "goods" did not include real estate, while at civil law "biens" did. Judicial decisions in the United States generally interpret "goods and effects" to include real estate. The *Todok* Court did the same and, in applying the civil law concept of "goods and effects," it thus relied upon the actual French rather than upon a translation. *Id.*
73. Warsaw Convention, art. 36.
ing even more than in other matters, choice of a language implies a choice of approach. The mere using of the English language sets its stamp on the way of one's legal thinking."74 Accordingly, the deliberate selection of the French language set its personal stamp upon the Convention.
There is even compelling evidence that the English translation selected by the parties in Rosman was inaccurate. Although the parties agreed to a translation equating "lésion corporelle" with "bodily injury," the formal Notice of Denunciation of Warsaw which the United States sent to Poland in 1965 referred to the Article 17 liability of the airlines as including "death or personal injury," not "bodily injury."
The United States of America wishes to state that it gives this notification solely because of the low limits of liability for death or personal injury provided in the Warsaw Convention.75
"Personal injury" suggests inclusion of psychic trauma, while "bodily injury" may not. Clearly, uniformity of interpretation is doomed if courts use unofficial translations of the text of treaties. The use of an English translation, especially when the decision turned on the nuances of a particular phrase, greatly minimizes the value of the Rosman decision.
B. Cause of Action and its Relationship to Local Law
The Warsaw Convention does not create a cause of action;76 Article 17 merely creates a presumption of liability and leaves to local law the determination of whether a justiciable claim exists.77 McMahon v. United States78 defined a cause of action as "a legal wrong, the thing which becomes a ground for suit."79 The Convention "does not 'exclusively regulate' the relationship between passenger and carrier on an international flight, but rather sets limits
---
74. D. Billyou, Air Law 1 (2d ed. 1964) quoting H. Drion, Limitation of Liabilities in International Law vii (1954).
75. 53 Dep't State Bull. at 924 (emphasis added).
76. Noel v. Linea Aeropostal Venezolana, 247 F.2d 677, 679 (2d Cir. 1957), cert. denied, 355 U.S. 907 (1957); Komlos v. Compagnie Nationale Air France, 111 F. Supp. 393, 401 (S.D.N.Y. 1952), rev'd on other grounds, 209 F.2d 436 (2d Cir. 1953), cert. denied, 348 U.S. 820 (1954).
77. 34 N.Y.2d at 398, 314 N.E.2d at 856, 358 N.Y.S.2d at 108. See cases cited note 76 supra.
78. 186 F.2d 227 (3d Cir. 1950), aff'd, 342 U.S. 25 (1951).
79. Id. at 230.
on and renders uniform certain of the aspects of that relationship."80
The Rosman court recognized that the Warsaw Convention specifically defers to the law of the forum in questions of contributory negligence,81 procedure,82 the method of determining the statute of limitations,83 and the standard of willful misconduct.84 By refusing to give recognition to the significance of local law and to extend its application to the area of liability for mental injuries, the court lost an opportunity to foster a consistent and dynamic interpretation of the Warsaw Convention. Justification for this approach can be found in the observation of Andreas F. Lowenfeld, Chairman of the United States Delegation to the Montreal Conference, that definition of the terms "blessure" and "de toute autre lésion corporelle" in Article 17 is an area which the Convention left to local law.85 Contemporary cases demonstrate that local New York law includes recovery for purely mental injuries. This approach was suggested in Judge Hopkins' dissent in Herman v. Trans World Airlines, Inc.:86
It is not without significance that at the time of execution [of the Montreal Agreement] in 1966 the holding in Battalla v. State of New York, permitting recovery for fright without physical impact, had been in existence since 1961 and that, indeed, as Judge Burke in Battalla pointed out, damages for emotional disturbance were then allowed in England and in a majority of American jurisdictions.87
The majority opinion in Rosman contains an inherent con-
---
80. Husserl v. Swiss Air Transp. Co., 351 F. Supp. 702, 706 (S.D.N.Y. 1972), aff'd per curiam, 485 F.2d 1240 (2d Cir. 1973).
81. Warsaw Convention, art. 21. See note 9 supra.
82. The English translation of Warsaw Convention, art. 28, para. 2 provides that "[q]uestions of procedure shall be governed by the law of the court to which the case is submitted."
83. The English translation of Warsaw Convention, art. 29, para. 2 provides that "[t]he method of calculating the period of limitation shall be determined by the law of the court to which the case is submitted."
84. The English translation of Warsaw Convention, art. 25, para. 1 provides: The carrier shall not be entitled to avail himself of the provisions of this convention which exclude or limit his liability, if the damage is caused by his wilful misconduct or by such default on his part as, in accordance with the law of the court to which the case is submitted, is considered to be equivalent to wilful misconduct.
85. Lowenfeld, Hijacking, Warsaw and the Problem of Psychic Trauma, 1 Syracuse J. Int'l L. & Com. 346, 347 (1972).
86. 40 App. Div. 2d 850, 337 N.Y.S.2d 827 (2d Dep't 1972).
87. Id. at 852-53, 337 N.Y.S.2d at 831 (citations omitted).
tradiction. The court recognized the principle that the Warsaw Convention does not create a cause of action, but instead defers to local law.\textsuperscript{88} The court then acknowledged that local law provided a cause of action for purely psychic trauma\textsuperscript{89} but refused to allow recovery on that cause of action on the ground that it was not provided for in the Warsaw Convention.\textsuperscript{90}
C. \textit{The Spirit of the Warsaw Convention}
The \textit{Rosman} court justified its refusal to interpret the Warsaw Convention according to its French legal meaning by stating that “[i]t does not follow from the fact that the treaty is written in French that in interpreting it we are forever chained to French law, either as it existed when the treaty was written or in its present state of development.”\textsuperscript{91} However, in the court’s attempt to construe the key phrases in the unofficial English translation, it stated that: “[w]e deal with the term as used in an international agreement written almost fifty years ago.”\textsuperscript{92} One wonders what were the court’s points of reference: French law or English law? Fifty years ago or today?
This internal contradiction in \textit{Rosman} undermines not only the holding but also any hope for uniformity, as has subsequently become apparent in a contrary holding by the United States District Court for the Southern District of New York in \textit{Husserl v. Swiss Air Transportation Co.}\textsuperscript{93} [hereinafter referred to as \textit{Husserl II}]. This case involved facts similar to those in \textit{Rosman} and a claim for recovery for mental anguish and fright under the same Article of the Warsaw Convention. In his first opinion [hereinafter referred to as \textit{Husserl I}],\textsuperscript{94} Judge Tyler denied defendant’s motion for summary judgment and dismissal of the complaint on the ground that a hijacking is an “accident” within the meaning of the Convention. The judge added: “I must confess to having some difficulty reading [Article 17 of] the Warsaw Convention to permit recovery for mental anguish and suffering alone.”\textsuperscript{95} Citing Judge Tyler’s dictum as support, the \textit{Rosman}
\begin{itemize}
\item \textsuperscript{88} 34 N.Y.2d at 398, 314 N.E.2d at 856, 358 N.Y.S.2d at 108. See cases cited in note 76 \textit{supra}.
\item \textsuperscript{89} 34 N.Y.2d at 397, 314 N.E.2d at 855, 358 N.Y.S.2d at 107.
\item \textsuperscript{90} \textit{Id.} at 400, 314 N.E.2d at 857, 358 N.Y.S.2d at 110.
\item \textsuperscript{91} \textit{Id.} at 394, 314 N.E.2d at 853, 358 N.Y.S.2d at 105.
\item \textsuperscript{92} \textit{Id.} at 397, 314 N.E.2d at 855, 358 N.Y.S.2d at 107.
\item \textsuperscript{93} 388 F. Supp. 1238 (S.D.N.Y. 1975).
\item \textsuperscript{94} 351 F. Supp. 702 (S.D.N.Y. 1972), \textit{aff’d per curiam}, 485 F.2d 1240 (2d Cir. 1973).
\item \textsuperscript{95} \textit{Id.} at 708.
\end{itemize}
court precluded recovery for purely psychic trauma.\textsuperscript{96}
In \textit{Husserl II}, subsequent to \textit{Rosman}, a new motion by defendant carrier for summary judgment and dismissal of the complaint was heard by Judge Tyler.\textsuperscript{97} In addition to denying the motion, Judge Tyler stated that, "[t]o the extent those courts' [e.g., \textit{Rosman}] citations of that opinion [\textit{Husserl I}] indicated some small reliance on this court's dictum concerning the phrase at issue, I proffer my apologies."\textsuperscript{98} His reevaluation was founded on alternative propositions: that "the drafters [of Article 17] believed that the phrase at issue comprehended all personal injuries involving the organic functioning of a human being,"\textsuperscript{99} or that they "neglected to consider injuries not comprehended by the phrase."\textsuperscript{100}
If they intended the former, Article 17 should be interpreted to comprehend mental and psychosomatic injuries. If they had no specific intention, Article 17 should be interpreted in the manner most likely to effect the purposes of the Convention.\textsuperscript{101}
This leaves one question: what is the Convention's purpose? Fortunately, \textit{Eck v. United Arab Airlines}\textsuperscript{102} answered that question more than a decade before these decisions.
The purposes were to provide uniform rules of limitation concerning the liability of international air carriers to their passengers and to provide a uniform remedy for these passengers to the extent that this remedy would not burden the carrier more than the Convention provisions allowed.\textsuperscript{103}
Therefore, if the Convention's language is construed broadly, as Judge Tyler suggests, it would encompass all injuries not specifically barred\textsuperscript{104} and create uniform liability. Judge Tyler also dis-
\begin{itemize}
\item \textsuperscript{96} 34 N.Y.2d at 400, 314 N.E.2d at 857, 358 N.Y.S.2d at 110.
\item \textsuperscript{97} 388 F. Supp. 1238.
\item \textsuperscript{98} \textit{Id.} at 1251.
\item \textsuperscript{99} \textit{Id.} at 1248.
\item \textsuperscript{100} \textit{Id.}
\item \textsuperscript{101} \textit{Id.}
\item \textsuperscript{102} 15 N.Y.2d 53, 203 N.E.2d 640, 255 N.Y.S.2d 249 (1964).
\item \textsuperscript{103} \textit{Id.} at 59, 203 N.E.2d at 642, 255 N.Y.S.2d at 252.
\item \textsuperscript{104} 388 F. Supp. at 1250.
\end{itemize}
To effect the treaty's avowed purpose, the types of injuries enumerated should be construed expansively to encompass as many types of injury as are colorably within the ambit of enumerated types. Mental and psychosomatic injuries are colorably within that ambit and are, therefore, comprehended by Article 17.
\textit{Id.}
cussed the application of local law to the cause of action. He held that to the extent that *Battalla* provides a cause of action for such emotional injuries, plaintiff can recover if he successfully meets the requirements of modern tort liability: duty, breach, proximate cause, and damages.\(^{105}\)
*Husserl II*, like *Rosman*, did not apply accepted principles of treaty interpretation in that Judge Tyler also relied on the English translation of the Warsaw Convention.\(^{106}\) Even though the *Husserl II* opinion reaches a conclusion more consistent with modern principles of tort liability\(^{107}\) than did *Rosman*, its methodological inadequacies limit its contribution to international jurisprudence.
VI. CONCLUSION
"The least one can ask of an opinion is that it illuminate the situation and add to our comprehension of the direction in which we are being pulled. . . . To be less is simply to add to chaos, to increase the noise."\(^{108}\) The *Rosman* decision, as well as *Husserl II*, failed to meet this standard of clarity. *Rosman* not only refused to recognize the applicability and appropriateness of modern tort liability but also ignored fundamental, well-reasoned principles of treaty interpretation in relying on an unauthorized text in its determination of the meaning of Article 17 of the Warsaw Convention. These two decisions leave future victims at the mercy of both the hijackers and the courts.
*Jacalyn Fischer Barnett*
---
105. *Id.* at 1252.
106. *Id.* at 1245.
107. See text accompanying note 57 supra.
108. Larsen, *Between Scylla & Charybdis in Treaty Interpretation*, 63 Am. J. Int’l L. 108, 110 (1969).
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ARE YOU FEELING ANY OF THESE SYMPTOMS?
IF YES, PLEASE DO NOT ENTER THIS BUILDING.
Please return to your vehicle, go home and call your healthcare provider for an appropriate evaluation and self care instructions.
If you do not have a healthcare provider, please call (844)225-0147 for free testing information.
We appreciate your cooperation and understanding.
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The management system of
Hilton Forge India
86/88, Shop No 15, Nanubhai Desai Road,
Badrikashram Bldg, Girgaon,
Landmark - Near Alankar Cinema,
Mumbai - 400 004, Maharashtra, India.
has been assessed and certified as meeting the requirements of
ISO 9001:2008
For the following activities
Supply and Stockiest of Ferrous and Non-Ferrous Metal Pipes,
Pipe Fittings, Flanges, Forge Fittings, Sheet, Plates, Bars, Fasteners,
Valves and Allied Parts.
Further clarifications regarding the scope of this certificate and the applicability of
ISO 9001:2008 requirements may be obtained by consulting the organisation
This certificate is valid from 10 September 2015 until 9 September 2018
and remains valid subject to satisfactory surveillance audits.
Re certification audit due before 9 July 2018
Issue 1. Certified since 10 September 2015
Authorised by
SGS United Kingdom Ltd Systems & Services Certification
Rossmore Business Park Ellesmere Port Cheshire CH65 3EN UK
t +44 (0)151 350-6666 f +44 (0)151 350-6800 www.sgs.com
SGS 9001-8 01 0614
Page 1 of 1
This document is issued by the Company subject to its General Conditions of
Certification Services accessible at www.sgs.com/terms_and_conditions.htm.
Attention is drawn to the limitations of liability, indemnification and jurisdictional
issues established therein. The authenticity of this document may be verified at
http://www.sgs.com/en/Our-Company/Certified-Client-Directories/Certified-Client-
Directories.aspx. Any unauthorized alteration, forgery or falsification of the
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BEEF - THE FUTURE FORUM
ROMA SHOWGROUNDS: 10th JULY 9.30am –1.30pm
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Processors control their own $9m levies, have reserve money & tell MLA what to do.
Cattle Council is ineffective, broke and a liability to producers - have to go hat in hand to MLA for $$.
Despite cleanest health status, our markets are disappearing to USA and others who have BSE, FMD, lower health status.
We need a Board elected by producers for producers, our levies managed effectively, grassfed industry protected and enhanced.
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Email: [email protected] - Ph: 0363268960 / 0749822144
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w. 970-491-6133
Assistant Professor
Becca B.R. Jablonski
Department of Agricultural and Resource Economics
Colorado State University c. 215-817-2566
[email protected]
EDUCATION
PhD, Department of City and Regional Planning
* Dissertation Title: Food Systems and Regional Economic Development: Evaluating policies and methods
Cornell University
* Field Exams: Applied Econometrics and Quantitative Analysis; Marketing and Food Distribution; Economic Development; Community and Regional Sociology
Master of Science, Development Studies, honors
* Thesis Title: Cocoa: From Introduction to the 'New' Globalization, past and present challenges to the development of peasant producers in Ghana
University of London's School of Oriental and African Studies (SOAS)
Bachelor of Arts, History, cum laude
* Study Abroad: School for International Training, Cape Coast, Ghana; fall 2001
Cornell University
SELECTED PROFESSIONAL EXPERIENCE
|
2014
2007
2003
|
REFEREED PUBLICATIONS
9. Schmit, T.M., B.B.R. Jablonski, and Y. Mansury. Forthcoming. Assessing the economic impacts of 'local' food system producers by scale: a case study from New York. Economic Development Quarterly
8. Angelo, B., B.B.R. Jablonski, and D. Thilmany, McFadden (authors listed alphabetically). Forthcoming. Meta-analysis of U.S. intermediated markets: Measuring what matters. British Food Journal.
7. Jablonski, B.B.R., T.M. Schmit, and D. Kay. 2016. The economic impacts of food hubs to regional economies: a framework including opportunity cost. Agricultural and Resource Economics Review.
6. Jablonski, B.B.R. and T.M. Schmit. Under contract. Food Hubs: Expanding Local Food to Urban Customers. In Dawson, J. and A. Morales eds. Cities of Farmers: Problems, Possibilities and Processes of Producing Food in Cities. University of Iowa Press.
5. Jablonski, B.B.R. and T.M. Schmit. 2015. Differentiating 'local' producers' expenditure profiles to evaluate impacts of policies supporting local food systems. Journal of Renewable Agriculture and Food Systems. doi:10.1017/S1742170515000083
4. Jablonski, B.B.R. 2015. The Rural Impact of Urban Concentrated Local Food Initiatives: a literature review. In Dannenberg, P. and E. Kulke (eds.) Economic Development in Rural Areas. Dynamics of Economic Space Series. London: Ashgate.
3. Jablonski, B.B.R. 2014. 'Better Butter' Opportunities for Local Food and Entrepreneurship. The Journal of Food Distribution Research. 45(3):35-46.
2. Jablonski, B.B.R. 2014. Farmers' Markets as Rural Wealth Creation. In Pender, J., T. Johnson, B. Weber, and M. Fannin (eds.) Rural Wealth Creation. (Chapter 14). New York: Routledge.
1. Jablonski, B.B.R., J. Perez-Burgos, and M.I. Gómez. 2011. Food Value Chain Development in central New York: CNY Bounty. Journal of Agriculture, Food Systems and Community Development. 1(3):129-141.
|
WORKS IN PROGRESS
Jablonski, B.B.R, D. Thilmany McFadden, and A. Colpaart. Analyzing the role of community and individual factors in food insecurity: identifying diverse barriers within regions. Submitted to the Journal of Community Health.
Sullins, M., and B.B.R. Jablonski. Scale, market channel, and food safety expenditures: evidence from Colorado. Submitted to HortTechnology.
Jablonski, B.B.R., A.G. Bauman, and D. Thilmany McFadden. Exploring price strategies in direct food markets: Evidence from New York State. Submitted to Agribusiness: An International Journal.
Jablonski, B.B.R., and S. Vogel (joint authorship). Local food systems: Its rural-urban linkages, data challenges, and development markers. Submitted to Renewable Agriculture and Food Systems.
Vogel, S., B.B.R. Jablonski, and T.M. Schmit. Determinants of small farm profitability. In preparation, submitting to the American Journal of Agricultural Economics.
B.B.R. Jablonski and T.M. Schmit. Intellectual capital and entrepreneurial impacts of urban-based local food system initiatives. In preparation, submitting to special issue of Community Development proposed by D. Lamie and S. Deller entitled: Community Dimensions of Community Food Systems and the Opportunity and Challenge of Interdisciplinary Approaches.
Costanigro, M., and B.B.R. Jablonski. The effect of confirmation bias for a new winegrowing region. In preparation, submitting to Journal of Agricultural and Resource Economics.
Gupta, C. and B.B.R. Jablonski (joint authorship). The farm impacts of grocers' 'local' purchases: the case of Hawai'i. Submitting to the Journal of Food Products Marketing.
Jablonski, B.B.R., A.G. Bauman, and D. Thilmany McFadden. Expenditure patterns across local and nonlocal agricultural producers: an exploration using USDA ARMS data. In preparation, submitting to Applied Economic Perspectives and Policy.
Jablonski, B.B.R., D. Thilmany McFadden, K. Curtis, and K. Enns. Determinants of effective beginning farmer programming: implications for emerging USDA programs. In preparation, submitting to the Journal of Agricultural and Resource Economics.
Jablonski, B.B.R., T.M. Schmit, D. Kay, and J. Minner. An empirical exploration of rural wealth creation: A Delphi Method approach. In preparation, submitting to the Journal of Rural Sociology (part of a special issue proposed by M. Carolan and B.B.R. Jablonski).
Bauman, A., D. Thilmany McFadden, and B.B.R. Jablonski. Evaluating scale and technical efficiency of local food oriented farms and ranches. In preparation.
Minner, J., and B.B.R. Jablonski. Fostering Community Food Access and Expanding Urban Agriculture. In preparation, submitting to Environment and Planning D: Society and Space.
|
SELECTED REPORTS, POLICY BRIEFINGS, AND EXTENSION PUBLICATIONS
Thilmany McFadden, D., D. Conner, S. Deller, D. Hughes, K. Meter, A. Morales, T. Schmit, D. Swenson, A. Bauman, M. Phillips Goldenberg, R. Hill, B.B.R. Jablonski and D. Tropp. 2016. The Economics of Local Food Systems: A Toolkit to Guide Community Discussions, Assessments and Choices. U.S. Department of Agriculture, Agricultural Marketing Service Report.
Low, S.A., A. Adalja, E. Beaulieu, N. Key, S. Martinez, A. Melton, A. Perez, K. Ralston, H. Stewart, S. Suttles, S. Vogel, and B.B.R. Jablonski. 2015. Trends in U.S. Local and Regional Food Systems. U.S. Department of Agriculture, Economic Research Service. Administrative Publication Number 067.
Thilmany McFadden, D., A. Bauman, B.B.R. Jablonski, B. Angelo, and D. Shideler. 2015. Expanding the Farmer's Share of the Food Dollar: Exploring the Potential Effects of Emerging Food Supply Chain Models. Economic Development Report 01-15. Colorado State University.
Bauman, A., D. Thilmany, B.B.R. Jablonski, and D. Shideler. 2015. An Overview of Emerging Business Models in the Local Foods Landscape. Smart Marketing. Dyson School of Applied Economics and Management, Cornell University.
Schmit, T.M., B.B.R. Jablonski, and D. Kay. 2015. A Practitioner's Guide to Assessing the Impacts of Regional Food Hubs. U.S. Department of Agriculture, Agricultural Marketing Service.
Schmit, T.M., B.B.R. Jablonski, and D. Kay. 2013. Quantifying the Economic Impacts of Food Hubs. Cornell University. http://dx.doi.org/10.9752/MS145.09-2013
Jablonski, B.B.R. Summer 2012. Faces of Our Food System: Red Rabbit. Small Farm Quarterly. Cornell Small Farms Program.
Jablonski, B.B.R. and Y. Mansury. June 2012. Local Food Intermediaries—Do They Matter in the NYS Economy?. Smart Marketing. Dyson School of Applied Economics and Management, Cornell University.
Jablonski, B.B.R. and G. Kelly. 2012. The Economic Impact of Farm Brewery Legislation in New York State. New York Minute. Community and Rural Development Institute. 47.
Jablonski, Becca B.R. Spring 2012. Faces of Our Food System: J Kings. Small Farm Quarterly. Cornell Small Farms Program.
Jablonski, B.B.R. Winter 2012. Faces of Our Food System: Farmie Market. Small Farm Quarterly. Cornell Small Farms Program.
Jablonski, B.B.R. 2011. Linking Small and Mid-Scale Farms to Markets: the Case of CNY Bounty. Smart Marketing. Dyson School of Applied Economics and Management, Cornell University.
GRANTS AND FELLOWSHIPS
|
|
COURSES TAUGHT
* Led 50-minute session with 20 students once/week
TEACHING PRESENTATIONS
|
Guest Lecture, "The Role of Food and Agriculture in the Development of 'Green' Cities and Regions," CRP 3840/5840: Green Cities, Cornell University April 2013
|
November
|
|
Houston, TX (with J. Minner)
|
|
PROFESSIONAL SERVICE AND MEMBERSHIP
Associate Editor, Journal of Renewable Agriculture and Food Systems (2016-present)
Board of Directors, Agriculture and Human Values Society (2015-2017)
Chair-elect, Community and Regional Economics Network (CRENET), Applied Agricultural Economics Association (2015-2017)
Grant Reviewer: National Science Foundation (2015); U.S. Department of Agriculture, National Institute of Food and Agriculture (2014-present); NE SARE Graduate Student Grants, Farmer Grants, and Partnership Development Grants (2011-2013)
Reviewer, Applied Agricultural Economics Association Conference Panel Abstracts (2015)
Academic Society Memberships: Agricultural and Applied Economics Association (2011-present), American Association of Geographers (2011-2014), Food Distribution Research Society (2012-present), Association of Collegiate Schools of Planning (2011-present), Agriculture and Human Values Society (2013-present), Trans-Atlantic Rural Research Network (webmaster, 2012-present), Northeastern Agricultural and Research Economics Association (2013-2014), Cornell Association of PhD Planners (former Co-President and Webmaster, 2011-2014)
Nonacademic Society Boards and Memberships: Northern Colorado Food Cluster (2015-present), LiveWell's Public Policy Committee (2016-present), New York State Farm Bureau (2007-2015), Community Food Security Coalition (2005-2012), Central New York Regional Market Authority (Board of Directors, 2011), New York Beef Farmers Cooperative (Secretary of the Board, 2009-2011), Central New York Bounty Inc. (Chair of the Board, 2008-2014), Central New York Agricultural Council (Secretary, 2008-2011), Northeast Hop Alliance (Advisory Board Member, 2008-2011), New York State Center for Dairy Excellence (Task Force Member, Economic Development Committee, 2008-2010)
Advisory Team Member:
* Evaluation of the Michigan Good Food Charter (lead: University of Michigan)
* Measuring Rural Wealth, funded by the USDA National Institute of Food and Agriculture (leads: Matt Fannin, Louisiana State University; Tom Johnson, University of Missouri; and, John Pender, USDA Economic Research Service)
Co-organizer, Weekly Seminar Series in Regional Science, Planning and Policy Analysis, Cornell University (Fall 2013)
|
PhD Representative, Hiring Committee, Department of City and Regional Planning, Cornell University (2012-2013)
Co-leader, Cornell Small Farm Program Work Team on Local Foods/Local Markets (2010-2012)
Work Team Member, Cornell University's Agricultural Marketing and Management Program Work Team (2009-2014)
|
<urn:uuid:b63e5c6d-7773-4825-bdf0-fa9f5f79baaf>
|
CC-MAIN-2017-39
|
http://webdoc.agsci.colostate.edu/DARE/CVs/Jablonski16.pdf
|
2017-09-21T10:20:53Z
|
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Mechatronics Engineering
Dept:
BEMTS-II
Class:
| | Day | Tue, 24 May 2022 |
|---|---|---|
| Time | | Subject |
| 0900:1600 | | MT240L-Electronics Devices and Circuits Lab |
BEMTS-IV Class:
| | Day | Mon, 23 May 2022 |
|---|---|---|
| Time | | Subject |
| 0900:1600 | | MT213L-Mechanics of Materials Lab |
| | | MT350L-Instrumentation and Measurement Systems Lab |
BEMTS-VI Class:
| | Day | Mon, 23 May 2022 | Wed, 25 May 2022 |
|---|---|---|---|
| Time | | Subject | Subject |
| 0900:1600 | | MT330L-Fluid Mechanics Lab | MT330L-Fluid Mechanics Lab |
| | | MT368L-Mechatronic Systems Design Lab | MT462L-Robotics Lab |
BEMTS-VIII Class:
| | Day | Tue, 24 May 2022 |
|---|---|---|
| Time | | Subject |
| 0900:1600 | | MT451L-Manufacturing Automation Lab |
Note: Queries/Clashes (if any) must be reported to respective program Coordinators by 20 May, 2022. No query will be entertained after this date.
Automation Department
Air University
Final Date Sheet Lab/CBT Examination Spring-2022
1 / 1
|
<urn:uuid:7749bf28-8826-4fb6-a9b1-665dd06938b6>
|
CC-MAIN-2022-33
|
https://au.edu.pk/Pages/Examination/Exam%20DatesSheet/Mechatronics%20Engieering1.pdf
|
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NOT DESIGNATED FOR PUBLICATION
No. 114,002
IN THE COURT OF APPEALS OF THE STATE OF KANSAS
ANTHONYLONGORIA,
Appellant, v.
D ANSAS EPARTMENT OFCORRECTIONS
Appellee.
MEMORANDUM OPINION
Appeal from Ellsworth District Court; RON SVATY, judge. Opinion filed May 27, 2016. Affirmed.
Donald E. Anderson II, of Robert A. Anderson Law Office, of Ellinwood, for appellant.
Robert E. Wasinger, legal counsel, of Kansas Department of Corrections, for appellee.
Before HILL, P.J, STANDRIDGEand ATCHESON, JJ.
Per Curiam: Anthony Longoria, an inmate in the Kansas correctional system, appeals the dismissal of a habeas corpus action he filed in Ellsworth County District Court challenging administrative discipline imposed on him for violating prison rules. The district court summarily dismissed his petition for failing to list all civil actions Longoria had filed in the last 5 years and for failing to state facts that, even if undisputed, would entitle Longoria to relief. For the reasons stated below, we affirm the district court's decision to dismiss the petition.
1
K,
FACTS
Longoria is an inmate at Ellsworth Correctional Facility (ECF) in the custody of the Kansas Department of Corrections (KDOC). On September 13, 2014, Corrections Officer E. Sullivan filed a disciplinary report alleging Longoria violated K.A.R. 44-12901 by possessing dangerous contraband, violated K.A.R. 44-12-903 by possessing tobacco contraband, and violated K.A.R. 44-12-304 by disobeying orders. Sullivan stated the following facts in the disciplinary report:
"On the above date and approximate time[, w]hile I, CSI Sullivan was conducting rounds in A-pod[,] I stopped at cell A-202 and instructed inmate Raulerson, Dalton 108084 to open his cell door. As I started to talk with inmate Longoria, Anthony 88906 who also lives in A-202[] I noticed he kept his right hand on the side of a couple of large books sitting on the desk table. I asked inmate Longoria what he had in his hand and he stated: 'nothing.' After asking him several more times he finally handed me a Pepsi Cola can which had a wrap around it used as smoking [p]araphernalia. Underneath the can is a Vaseline base with what appears to be a small rolled up cigarette with a red colored pop tab covering the cigarette. Inmate Longoria is in violation of 44-12-901(1), Dangerous contraband, Class I. When I asked inmate Longoria what else he had he again said nothing. At that time, I asked him again and he handed me several pages ripped out from a Bible. Inmate is in violation of 44-12-903(3), Tobacco contraband, Class I. I started walking over towards Longoria and he immediately placed something into his mouth. I instructed him to take it out of his mouth and not to swallow it. Inmate Longoria is in violation of 44-12-304(a), Disobeying orders, Class I. At that time, I called for an officer needs assistance and placed [Longoria] into handcuffs. I directed inmate Longoria to open his mouth and at that time he placed his hand up to his mouth and threw a small zip lock baggie onto the chair. After inspecting the baggie I noticed there is a small amount of a black unknown substance. On the desk I also found a little squirt bottle with an unknown substance, I asked inmate Longoria why he spit the baggie out and he stated: 'I couldn't swallow it.' Evidence was tagged and placed into the Temporary Evidence Locker."
After an evidentiary hearing on the allegations set forth above, Longoria was found guilty of disobeying an order in violation of K.A.R. 44-12-304(a) and received a sanction of 7 days of segregation (with a credit of 7 days already served) and 15 days of restriction of privileges. Longoria also was found guilty of possessing dangerous contraband in violation of K.A.R. 44-12-901, for which he received a sanction of 7 days in segregation (with a credit of 4 days already served) and 15 days of restricted privileges. The charge alleging Longoria possessed tobacco contraband in violation of K.A.R. 44-12-903 ultimately was dismissed.
After exhausting his administrative remedies, Longoria filed a K.S.A. 2015 Supp. 60-1501 petition with the district court alleging insufficient evidence to support the violations as well as a deprivation of his right to due process and to freely exercise his religion. The district court summarily dismissed the petition for failing to list all civil actions Longoria had filed in the last 5 years and for failing to state a claim but provided no narrative explanation of the ruling.
ANALYSIS
On appeal, Longoria argues the district court erred in summarily dismissing his K.S.A. 2015 Supp. 60-1501 petition because (1) the district court inaccurately found that Longoria had not listed all civil actions filed in the last 5 years as required by K.S.A. 601502(3); (2) the evidence presented at the hearing was insufficient to support Longoria's conviction; (3) Longoria was not provided with a fair and impartial disciplinary hearing; and (4) the ECF General Order 09-114 violated Longoria's due process rights on its face. Alternatively, Longoria argues the district court should have liberally construed and analyzed his claim as a civil rights violation pursuant to 42 U.S.C. § 1983 (2012).
Summary dismissal
In order to state a claim for relief under K.S.A. 2015 Supp. 60-1501, an inmate appealing from a prison disciplinary sanction must assert the deprivation of some constitutionally protected interest. Otherwise, the petition may be summarily dismissed. Anderson v. McKune, 23 Kan. App. 2d 803, 806-07, 937 P.2d 16, rev. denied 262 Kan. 959, cert. denied 522 U.S. 958 (1997); see Wolff v. McDonnell, 418 U.S. 539, 557-58, 94 S. Ct. 2963, 41 L. Ed. 2d 935 (1974); Hogue v. Bruce, 279 Kan. 848, 850, 113 P.3d 234 (2005). KDOC argues that the disciplinary segregation and the restricted privileges imposed on Longoria as sanctions did not rise to a protected liberty interest required to avoid summary dismissal of a K.S.A. 2015 Supp. 60-1501 petition. KDOC is correct. Our Supreme Court has held that a prisoner has no protected liberty interest in remaining in the general prison population rather than being separated for a time. Murphy v. Nelson, 260 Kan. 589, Syl. ¶ 9, 921 P.2d 1225 (1996); see generally Sandin v. Conner, 515 U.S. 472, 115 S. Ct. 2293, 132 L. Ed. 2d 418 (1995); McKune, 23 Kan. App. 2d 803. The Tenth Circuit also has held that punishments of disciplinary segregation for 7 days and restricted privileges for 30 days together do not implicate a recognized liberty interest. Grossman v. Bruce, 447 F.3d 801, 806 (10th Cir. 2006).
As for the 1-year visitation suspension stemming from Longoria's attempt to swallow evidence, the Tenth Circuit recently held that restrictions on a prisoner's visitation with family did not infringe on a clearly established liberty interest. See Cleveland v. Martin, 590 Fed. Appx. 726, 732 (10th Cir. 2014) (unpublished opinion).
Because Longoria has failed to allege he was deprived of a recognized liberty interest, the district court did not err in summarily dismissing his K.S.A. 2015 Supp. 601501 petition. Because summary dismissal is proper, we do not address the enumerated allegations of error in Longoria's brief.
42 U.S.C. § 1983
Alternatively, Longoria argues the district court erred by failing to liberally construe his pro se K.S.A. 2015 Supp. 60-1501 petition as a civil action for deprivation of his constitutional rights pursuant to 42 U.S.C. § 1983.
A K.S.A. 2015 Supp. 60-1501 petition may be construed as raising a 42 U.S.C. § 1983 claim when the petitioner argues facts that show (1) the petitioner was engaged in a constitutionally protected activity; (2) the defendant's actions caused the petitioner to suffer an injury sufficient to chill a person of ordinary firmness from pursuing the activity; and (3) the defendant's adverse action was substantially based on the petitioner's exercise of a constitutionally protected right. Bloom v. Arnold, 45 Kan. App. 2d 225, Syl. ¶ 8, 248 P.3d 752 (2011); Grossman v. Werholtz, No. 105,708, 2011 WL 6385650, at *5 (Kan. App. 2011) (unpublished opinion). The burden is on the party making the claim to designate facts in the record to support the claim. In the absence of such facts, the claim of error fails. In considering a motion to dismiss, the court will assume the truth of the petitioner's factual allegations. Bloom, 45 Kan. App. 2d 225, Syl. ¶ 1; Grossman, 2011 WL 6385650, at *5-6.
In his K.S.A. 2015 Supp. 60-1501 petition, Longoria alleged that the corrections officer took the following items from his cell at the time of the incident: 5 pages he had torn out from the Bible, a religious candle (the soft drink can), and a squirt bottle allegedly filled with "religious oil." Longoria argues that depriving him of these religious items constitutes a violation of his right to the free exercise of his religion under the First Amendment to the United States Constitution.
Even assuming all of the facts alleged by Longoria in his petition were true, he has failed to allege facts to support any of the three essential elements required to state a claim under 42 U.S.C. § 1983. Specifically, Longoria does not allege that he was engaged in a constitutionally protected activity, that confiscation of the 5 pages he had torn out from the Bible, the soft drink can, and the squirt bottle caused Longoria to suffer an injury sufficient to chill a person of ordinary firmness from pursuing the constitutionally protected activity or that the act of confiscating the Bible pages, the can, and the bottle was substantially based on Longoria's exercise of a constitutionally protected right. Therefore, the district court did not err when it failed to construe it as such.
Affirmed.
|
<urn:uuid:3d3c104e-43a8-4022-a06e-c3048ac866b2>
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CC-MAIN-2017-30
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http://kscourts.org/cases-and-opinions/Opinions/Unpublished/Ctapp/2016/20160527/114002.pdf
|
2017-07-27T12:34:32Z
|
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CERTIFICATE
This is to certify that
HEKATRON Technik GmbH
Brühlmatten 9 79295 Sulzburg has implemented and maintains a Quality Management System.
Scope:
Production and distribution of security systems, electronic equipment and components
Through an audit, documented in a report, it was verified that the management system fulfills the requirements of the following standard:
ISO 9001 : 2008
This management system fulfills the requirements set out by the international and German Road Traffic Regulations
Certificate registration no.
Date of certification
Valid until
000479 QM08 ST
2014-03-26
2017-03-25
DQS GmbH
Götz Blechschmidt Managing Director
Accredited Body: DQS GmbH, August-Schanz-Straße 21, 60433 Frankfurt am Main
1 / 2
Annex to Certificate Registration No. 000479 QM08 ST
HEKATRON Technik GmbH
Brühlmatten 9 79295 Sulzburg
The international and German Road Traffic Law was audited regarding the following approval object:
No. 22 ESA (elect. Sub Assemblies)
2 / 2
|
<urn:uuid:ffe3e00f-c8e2-4f42-a71d-e15c927900ca>
|
CC-MAIN-2019-04
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https://www.hekatron-manufacturing.de/fileadmin/Bilder/HTG/Logos/Hekatron_Manufacturing_Quality_Management_System_ISO_9001-2008.pdf
|
2019-01-20T10:30:55Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-04/segments/1547583705737.21/warc/CC-MAIN-20190120102853-20190120124853-00603.warc.gz
| 804,263,003
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HPA Office Advising Update Sheet 2016-2017 Instructions
Name: Provide name used by the university.
Banner ID: The 900 number used by the university for identification.
Email address: Provide appstate.edu address.
Classification: List whether you are a freshman, sophomore, junior, senior, or graduate student.
Major(s): List your declared major. If you have not declared your major, list your intended major.
Minor(s): List any minors or intended minors, if applicable.
Health Professions Career Interest: List health profession you are interested in pursuing.
Planned Application Year:
College GPA: List overall GPA as of most recent semester.
Indicate the semester and year, you want to be in your program.
What brings you in today? List any questions, concerns, information you hope to receive. Be as specific and detailed as possible.
Academics: List ALL pre-requisites that you have taken or are currently taking since your last visit to the office. Include any science, math, and other pre-requisite course that you took as a transfer student, through early enrollment/early college, or earned credit for an AP course. .
| | Freshman | Sophomore | Junior | Senior |
|---|---|---|---|---|
| F(all) | | | | |
| Sp(ring) | | | | |
| Su(mmer) | | | | |
Activities Updates: Provide information for the new activities that you have participated in since your last visit to the office.
|
<urn:uuid:44b159dc-6d16-4acd-864c-0578e41307fb>
|
CC-MAIN-2017-26
|
https://hpa.appstate.edu/sites/hpa.appstate.edu/files/hpa_office_advising_2016-2017_update_sheet_instructions.pdf
|
2017-06-29T03:47:30Z
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MACAO ELEVATED LIGHT RAIL TRANSIT
(stations and viaduct design at Taipa Section C260)
Client / Employer
Government of the Macao Special Administrative Region Transportation Infrastructure Office
Service Stations and Viaduct Design at Taipa Section C260 by CONSULASIA, LDA.
Investment Approx. MOP 600 Millions
Contract Price MOP 6,900,000
Description of the Project
The LRT is an important Public Work in Macao and it aims to contribute strongly to urban development and the planning of the region traffic.
The overall project was established to meet the needs of the population and thus connect the main points of entry and exit in the Macao Peninsula and Taipa / Cotai Zone. Spatial distribution of residents, especially the spatial distribution of active population, the tourism demand, the landscape design and technical feasibility are the key factors in implementing this major project for the development of Macau.
The project consists of building a light rail line, which is mostly on the surface, to connect the Boarder Gate, North of Macao, near the city of Zhuhai (China PR) to the Macau International Airport on the Taipa island. The LRT will also serve the passengers on the Macao Ferry Terminal in Macau as well as big hotels, casinos and Macao recreation Centre. The LRT will use the Sai Van Bridge as the mean of crossing from Macau to Taipa.
The Light Rail System of Macau aspires to offer an attractive level of service in order to encourage people to prefer this system of public transport instead of private cars. In this sense, the whole project system should ensure a high quality service.
STATIONS AND VIADUCT DESIGN FOR THE MACAO ELEVATED LIGHT RAIL TRANSIT
Description of the Project (cont.) After conducting various feasibility studies, the project was launched for the first phase in the segment of the Cotai C260.
The C260 section covers an area extending from the "Pai Kok" in Taipa, to the east of the Cotai area, including viaducts from Station number 16 to Station number 23 and 4 stations:
_ Station number 17 (Zona Oeste do Cotai)
_ Station number 18 (Posto Fronteiriço da Ponte Flor do Lótus)
_ Station number 19 (Nave de Macau)
_ Station number 20 (Este do Cotai)
|
<urn:uuid:993310a4-3374-42a7-887e-5168cc1ab0b9>
|
CC-MAIN-2022-27
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https://consulasia.com/wp-content/uploads/2018/03/Microsoft-Word-PR095-LRT-Sations-and-Viaduct-at-Taipa-section-C260.docx.pdf
|
2022-07-02T23:56:49+00:00
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| 239,388,433
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| 0.970891
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Dig Dis 2019;37:147–154
DOI: 10.1159/000492869
How to Define Acute Liver Failure Patients with Pre-Existing Liver Disease without Signs of Cirrhosis
Aline Gottlieb a Maren Kottmann b Paul Manka b Sotiria Bedreli b Johannes Hadem a, b Lars Bechmann a Jan-Peter Sowa a, b Guido Gerken b Ali Canbay a a Department of Gastroenterology, Hepatology und Infectious Diseases, University Hospital, Otto-von-Guericke University, Magdeburg, Germany; b Department for Gastroenterology and Hepatology, Center for Internal Medicine, University Hospital, University Duisburg-Essen, Essen, Germany
Keywords
Acute-on-chronic · Outcome · Clinical management
Abstract
Background: The definition of acute liver failure (ALF) usually implies no previous liver injury. Though, some patients admitted to liver transplantation centers with the diagnosis of ALF are obese or have diabetes. Elevated liver enzymes were not recorded previously, and no signs of cirrhosis or prior decompensation of the liver function were ever present. Still, these patients differ from the "typical" ALF-patient. Goals: In this study, we aimed to confirm acute-on-chronicliver failure (AOCLF) in patients diagnosed with ALF and to identify possible differences between ALF and AOCLF. Study: Patients were retrospectively recruited from all patients admitted to the University Hospital Essen with diagnosis of ALF between 2008 and 2015. Data of 163 patients were evaluated, resulting in a reclassification of 32 patients as AOCLF (remaining ALF: 131). Demographic and clinical data as well as serum parameters, including cell death markers, were correlated with clinical outcome. Results: Patients with AOCLF were significantly older, had a higher body mass index
(BMI), and were more often male. The cause for liver failure in these patients differed significantly from patients who had an actual ALF. Significant differences were also found for serum liver enzymes. Outcome of patients did not differ between AOCLF and ALF. Though, lower BMI and MELD and higher AST and GLDH were predictors for a beneficial outcome. Conclusion: AOCLF is still commonly misdiagnosed as ALF. While clinical outcome does not significantly differ between ALF and AOCLF, risk factors for adverse outcome may significantly differ between these entities.
© 2018 S. Karger AG, Basel
Introduction
Acute liver failure (ALF) is the final common result of severe hepatocyte injury [1]. ALF itself is one of the most dangerous complications in hepatology, with a high rate of mortality [2, 3] and immediate requirement of intensive care [1]. When patients are admitted with the diagnosis of ALF to a tertiary care or liver transplant center, a thorough examination is necessary to identify the underlying cause of ALF and the severity of the situation [4]. Initial diag-
Received: May 17, 2018
Accepted: August 13, 2018
Published online: September 18, 2018
Table 1. Principal differences in the definition and diagnostic criteria of acute-on-chronic liver failure between APASL and EASL definitions
| Parameter | APASL definition |
|---|---|
INR, international normalized ratio; ACLF, acute-on-chronic liver failure.
nostic tests often reveal either newly diagnosed or already known diabetes, overweight or other previously present but yet undiagnosed risk factors, that is, considerable ethanol consumption, that can affect the normal liver function in these patients. If pre-admission records indicate elevated liver enzymes in such a patient, this should be considered as a warning sign for possible pre-existing liver damage [5]. Pre-existing liver damage per definition excludes the diagnosis of ALF, even if no signs of liver cirrhosis (such as spider naevi, ascites, splenomegaly) are present. In these cases, the correct diagnosis would be acute-on-chronic-liver failure (AOCLF). It is estimated that 25% of the world population has non-alcoholic fatty liver disease [6], which undoubtedly constitutes pre-existing liver disease, but is often disregarded or goes unnoticed. Though, there are conflicting results for the impact of non-alcoholic fatty liver disease on outcome of an acute injury or surgical procedure in the liver [7–11].
after an acute insult, AOCLF can lead either to a chronic injury or a liver failure with or without reversibility.
In the present study, we aimed to identify clinically relevant differences between patients with an ALF compared to patients suffering from AOCLF, excluding any patients with liver cirrhosis. In particular, we analyzed if there are any early identifiers to separate ALF from AOCLF patients and if the clinical course or outcome were different between these two entities. One crucial observation was that the initial diagnosis of ALF had to be corrected to AOCLF in a relevant number of patients to accurately reflect the presence of pre-existing liver disease. This implies that chronic liver disease still remains unnoticed in many cases.
Methods
Patients
In this retrospective single-center study, 163 Caucasian patients were included (99 female, 64 male patients), who were admitted with an initial diagnosis of ALF between November 2008 and November 2015. These patients were retrospectively divided into two groups: people suffering from an actual ALF and those with a newly diagnosed pre-existing liver damage without cirrhosis and no prior history of decompensation. Due to the retrospective nature of the study, the institutional review board waived requirement for written informed consent. All procedures adhered to the requirements of the institutional review board and the current version of the Declaration of Helsinki.
Laboratory Parameters
Serum enzyme concentrations [aspartate aminotransferase (AST), alanine aminotransferase (ALT), glutamate dehydrogenase (GLDH), AP, GGT, bilirubin, creatinine] were determined on a Bayer Advia 120 clinical chemistry analyzer (Bayer, Leverkusen,
AOCLF is considered to be clinically distinct from ALF as well as decompensated cirrhosis [12, 13]. In the past years, varying definitions of this disease entity have been proposed [14, 15]. However, no common definition has been agreed upon so far. Currently there are two main approaches to define AOCLF proposed by Asian-Pacific or European researchers (Table 1). In the Asian-Pacific definition, AOCLF is a clinical syndrome manifesting as acute and severe hepatic dysfunction resulting from multiple insults [16], 1 pre-existing chronic and 1 acute. The preexisting liver damage can be present with or without cirrhosis, though cirrhosis must be compensated. In contrast, Jalan et al. [14] proposed that AOCLF is an acute decompensation of patients with liver cirrhosis, including cases with previous decompensation events. Nevertheless,
Table 2. Demographic and clinical data of the patient cohort at admission
| Characteristics | All patients (n = 163) | ALF (n = 131) | AOCLF (n = 32) |
|---|---|---|---|
ALF, acute liver failure; AOCLF, acute-on-chronic liver failure; BMI, body mass index; AST, aspartate aminotransferase; ALT, alanine aminotransferase; GLDH, glutamate dehydrogenase; AP, alcalic phosphatase; γGT, γ-glutamyltransferase; INR, international normalized ratio; M65, surrogate cell death marker (epithelial cells); M30, surrogate apoptosis marker (epithelial cells); MELD, model for end-stage liver disease; MMELD, CK18-modified MELD.
Germany), and international normalized ratio (INR) was determined/calculated on the Sysmex CA 5000 coagulation analyzer (Sysmex Europe, Norderstedt, Germany).
Body Mass Index
Patients' body weights were determined upon admission, if possible. The presence of ascites was excluded using ultrasound. Body mass index (BMI) was calculated according to the following formula:
Dunns tests were performed as post-hoc tests for not-normally distributed continuous variables. Fisher's exact test was applied to test for differences in dichotomous variables. Statistical significance was considered at p ≤ 0.05. Analyses were performed with Prism, version 5 (GraphPad Software Inc., La Jolla, CA, USA).
BMI = body weight (kg) × height 2 (m 2
)
Cell Death Markers and Cytokeratin 18-Based Modification of MELD
The surrogate serum markers for overall epithelial cell death (M65, TecoMedical, Sissach, Switzerland) and apoptosis (M30, TecoMedical) were assessed by enzyme-linked immunosorbent assay according to manufacturer's instructions. Absorption at 450 nm was detected on a FLUOStar ® Omega (BMG Labtech, Ortenberg Germany). We have previously described a modification of the MELD score, incorporating serum M65 concentrations, termed CK18-modified MELD (MMELD) [17]. The MMELD achieved higher sensitivity to predict the survival of ALF patients in the respective cohort. Based on the measurements in the current patient cohort, MMELD was calculated for 128 patients (ALF, AOCLF).
Statistics
For normally distributed parameters, data are given as mean ± SD, and Student's t test was used to calculate differences between groups. Mann-Whitney test was performed when data was not normally distributed or non-parametric. Kruskal-Wallis and
Results
Patients with an AOCLF are Significantly Older and have a Higher BMI
Demographic and clinical data of the whole patient cohort are given in Table 2. In some cases, not all parameters were collected and the actual number of patients for each parameter and group is given in parenthesis. Individual medical histories, clinical and laboratory data recorded at our center were thoroughly screened and analyzed to either confirm diagnosis of ALF or reclassify patients as AOCLF. Patients were defined as AOCLF, when pre-existing liver disease was retrospectively identified in individuals with an initial diagnosis of ALF. In total, 32 of 163 ALF patients were re-defined as AOCLF. The chronic liver diseases present in these patients are given in online supplementary Table 1 (for all online suppl. material, see www.karger.com/doi/10.1159/000492869).
BMI was significantly higher in AOCLF patients (c). Shown are scatter dot plots with mean and SEM. Statistical significance was determined by Mann-Whitney U Test.
Table 3. Etiologies of acute insult leading to liver failure in ALF or AOCLF
| Etiology | ALF, n (%) | AOCLF, n (%) |
|---|---|---|
AOCLF, acute-on-chronic liver failure; ALF, acute liver failure. Chi-square p between groups: 0.0043.
In the overall cohort, the majority of patients were female (99 female vs. 64 male). The proportion of male patients was significantly higher in AOCLF (21/32; 65%) than in the ALF subgroup, 44/131 patients were male (34%; p= 0.0008). The mean age of all patients included in the study was 41.6 ± 16.5. Patients with AOCLF were significantly older than patients with ALF (50.3 ± 15.1 vs. 39.8 ± 16.2, p= 0.0008). Patients with AOCLF also had a significantly higher BMI (27.5 ± 5.1 vs. 24.5 ± 6.2, p= 0.0014; Table 1; Fig. 2c).
Patients with a Pre-Existing Liver Damage Show Distinct Different Laboratory Parameters
The markers for overall cell death (M65) and for apoptosis (M30) did not show significant differences between ALF and AOCLF, though serum levels were nominally higher in patients with ALF (online suppl. Fig. 1a, b). A similar observation was made for thrombocyte count, with slightly higher numbers in ALF, though no significant difference between the groups was found (p= 0.39; online suppl. Fig. 1c).
The serum concentrations of AST and ALT were strongly elevated above the normal range (male patients 50 U/I, female 35 U/I) in both ALF and AOCLF (Fig. 1). However, the mean AST was significantly lower in AOCLF (1,863 ± 2,915) than in ALF patients (2,882 ± 3,339; p= 0.01). A similar relation was found for ALT (ALF: 3,206 ± 3,382; AOCLF: 1,662 ± 2,125; p= 0.001).
Patients with an AOCLF have Different EtiologyBased Reasons for the Acute Insult
To identify a possible influence of the acute insult, etiologies causing ALF or AOCLF in the presented cohort were compared (Table 3). Within the ALF group,
Table 4. Parameters separating survived and deceased patients within liver failure groups (ALF/AOCLF)
| Parameter | ALF | | |
|---|---|---|---|
| | survived | deceased | survived |
MMELD 23.8±3.9 * p < 0.05; ** p < 0.01; *** p < 0.0001 each vs. survival of the respective liver failure group by t test 2-way ANOVA. ALF, acute liver failure; AOCLF, acute-on-chronic liver failure; BMI, body mass index; AST, aspartate aminotransferase; ALT, alanine aminotransferase; GLDH, glutamate dehydrogenase; AP, alcalic phosphatase; γGT, γ-glutamyltransferase; M65, surrogate cell death marker (epithelial cells); M30, surrogate apoptosis marker (epithelial cells); INR, international normalized ratio; MELD, model for end-stage liver disease; MMELD, CK18-modified MELD.
***
the most common acute insults were caused by pharmacological-toxic effects (48/131; 27 acetaminophenrelated), acute viral infections (36/131) or remained unknown (21/131). Sixteen of the 131 ALF patients had an autoimmune-based liver failure. Ten cases were combined in the category of other cause (online suppl. Table 2). In contrast, the most common acute insults leading to AOCLF were acute viral infections (12/32) and "other causes" (9/32; online suppl. Table 1). The remaining causes were pharmacological-toxic (4), unknown (4) and autoimmune (3). The distribution of acute etiologies causing liver failure were significantly different between ALF and AOCLF (chi-square p= 0.0043).
Patients with AOCLF and Higher Levels of Liver Enzymes have a Better Chance to Survive and to Undergo Spontaneous Remission
88/67%; AOCLF: 22/69%) did not differ between ALF and AOCLF. While clinical outcome was not different between the groups analyzed, potential specific risk factors indicate adverse outcome in ALF or AOCLF. In the ALF group, significant differences between survivors and non-survivors were found for age, BMI, MELD, M30modified MELD, bilirubin, AP, γGT, INR, creatinine, and phosphate (all higher/elevated in deceased patients; Table 4). In the AOCLF group, significantly higher MELD and modified MELD, creatinine, and phosphate as well as lower ALT were found in deceased patients (Table 4). ALF patients with SR exhibited significantly lower age, MELD, modified MELD, bilirubin, AP, γGT, INR, and creatinine as well as higher ALT and AST (Table 5). AOCLF patients with SR had significantly higher ALT, AST, and GLDH as well as lower creatinine and MELD (Table 5).
As we were interested if the main outcomes – survival or remission – after ALF and AOCLF were different, both patient groups were separated either by survival (survived/deceased) or by remission (spontaneous remission, SR; non-spontaneous remission, including deceased and liver transplantation, NSR). The relative frequency of survival (ALF: 110 / 84 %; AOCLF: 24/75%) or SR (ALF:
Discussion
In this study, we describe a cohort of patients initially admitted to the hospital with a diagnosis of ALF. Upon retrospective examination, a relevant proportion had to be re-classified as AOCLF without liver cirrhosis. Almost
Table 5. Parameters separating patients with spontaneous remission from patients with non-spontaneous remission 1 within liver failure groups (ALF/AOCLF)
| Parameter | ALF | | |
|---|---|---|---|
| | SR | NSR | SR |
***
ALF, acute liver failure; AOCLF, acute-on-chronic liver failure; BMI, body mass index; AST, aspartate aminotransferase; ALT, alanine aminotransferase; GLDH, glutamate dehydrogenase; AP, alcalic phosphatase; γGT, γ-glutamyltransferase; M65, surrogate cell death marker (epithelial cells); M30, surrogate apoptosis marker (epithelial cells); INR, international normalized ratio; MELD, model for end-stage liver disease; MMELD, CK18-modified MELD.
1Non-spontaneous remission = transplantation and/or death. *p < 0.05; **p < 0.01; ***p < 0.0001 each vs. survival of the respective liver failure group by Mann-Whitney U test (due to nonnormally distributed data for all parameters).
one-fifth (19.6%) of the initial ALF cohort had a pre-existing liver damage, which had not been detected previously. None of these had cirrhosis yet nor a history of a prior decompensation of the liver function. While the clinical outcome of ALF and AOCLF did not differ in this study, each group exhibited difference in the etiology of acute injury leading to liver failure and in possible risk factors for outcome.
sation as AOCLF. Patients with cirrhosis, independent of decompensation events, would be grouped as acute-oncirrhosis liver failure (AOC).
The EASL as well as the APASL each proposed a definition of AOCLF, which unfortunately are not in full accordance. This unclear terminology complicates the clinical definition of this entity and discussions in research on this topic. The EASL definition of AOCLF only comprises patients with cirrhosis, including those with previous decompensation. In contrast, Sarin et al. [12] have been trying to broaden the definition by including preexisting liver cirrhosis and also patients with a pre-existing liver damage with no signs of cirrhosis into AOCLF. In our opinion, both definitions are not clear enough for routine use. Thus, we propose to define patients with liver failure, with a pre-existing liver damage (independent of the cause, e.g., fatty liver disease, chronic viral hepatitis, etc) with no cirrhosis and no prior history of decompen-
In the present study, the clinical presentation of ALF and AOCLF differed to a significant extent. Patients with AOCLF were more often male, older, and had a higher BMI compared to patients with ALF. We had previously reported that patients with ALF and an actually pre-existing liver disease have higher BMI compared to patients with ALF and no undetected liver disease [18]. Additionally, AOCLF patients in our cohort had lower serum liver injury markers. While the outcome of AOCLF was not impaired compared to ALF, lower AST and ALT have been shown to be associated with adverse outcome in ALF [18]. This has been confirmed for relatively lower markers of cell death and apoptosis, which has been interpreted as a higher amount of intact parenchymal liver cells present before acute injury [19], which can release large amounts of the respective protein into circulation. In agreement with these data, cell death markers were lower in AOCLF in the present study, though significance was not reached. It could be speculated that surrogate markers of other cell death modes, that is, HMGB1,
may also facilitate separation of ALF and AOCLF. The present analysis was limited to M65 and M30. Moreover, thrombocyte counts did not differ significantly between ALF and AOCLF patients. This observation clearly demonstrates that acute liver injury can occur in at least three settings. A true ALF (without any pre-existing liver disease), an acute-on-chronic failure (with pre-existing liver disease but without cirrhotic alterations), and acuteon-cirrhotic liver failure (with pre-existing cirrhosis), the latter presenting with much more sever disease course. Nevertheless, AOCLF should be clearly distinguished from ALF and AOC as these should probably be treated differently. However, larger studies will be required to determine the ideal management of these complicated cases.
Current definitions of AOCLF are highly incongruous, resulting in very different clinical outcomes observed in AOCLF cohorts. According to the European and American consensus definition of ACLF, which restricts the pre-existing entity to (undiagnosed) liver cirrhosis and involves extrahepatic organ failure, the 28-mortality is up to 75% [20]. This is not surprising given the unfavorable requirements to define ACLF. In the present study, a much lower mortality rate was observed in AOCLF patients, which did not differ significantly from ALF. The slightly worse outcome of AOCLF patients can be explained, for example, with a higher BMI. It has been shown that recovery from hepatic ATP depletion is severely impaired in patients with obesityrelated NASH [21]. As the basic clinical presentation differed between the groups, we aimed to identify specific risk factors for adverse outcome, though the rate of adverse outcomes may not be different. MELD and the M30-modified MELD were risk factors for adverse outcome in both ALF and AOCLF. Thus, the MELD and the modified MELD are relevant predictors for liver failure outcome, even with an underlying chronic (non-cirrhotic) liver disease. Nevertheless, for outcome in ALF further risk factors were higher BMI, higher bilirubin, AP, γGT, and INR, which were not significantly different between the AOCLF outcome groups. Conversely, low ALT was a predictor for mortality and low GLDH for non-spontaneous remission in AOCLF but not in
The acute injury initiating liver failure differed significantly between ALF and AOCLF. Pharmacologic-toxic, acute viral, and unknown causes were the main causes for ALF, while in AOCLF acute viral infections and rare causes dominated. Unclear cases of ALF in older patients with viral component or a rare cause for ALF should be evaluated for a pre-existing liver injury.
ALF. These findings suggest that ALF and AOCLF represent clinically separate entities, despite similar outcomes.
There are several limitations of the present study. Due to the retrospective nature, not all datasets are complete for all patients. Apart from this, ultrasound assessment of liver parenchyma was done in a small subset of this cohort, barring relevant statistical evaluation. As liver biopsy is not routinely performed in patients with acute liver injury, no histological samples were available for this study. The group sizes for the different entities were not evenly split, causing a difference in data variation. This was accounted for by predominantly applying non-parametric tests, which are more robust in this situation.
According to the findings presented here, we think it is important to agree on an internationally consistent definition based on which patients should be considered to have an AOCLF with clear and exact criteria to separate them from patients with ALF and those with acuteon-cirrhosis liver failure, as the latter has a fundamentally higher mortality [14, 22]. When a universal definition for these three entities has been agreed upon, multi-center studies with larger patient numbers should be carried out to get a better understanding of all types of liver failure. This will allow earlier correct diagnosis and timely treatment and therapy, as necessary. This will also influence the decision-making process, whether to evaluate these patients for liver transplantation or help prevent AOC.
In summary, we could show significant clinical differences between a true ALF compared to patients with preexisting liver damage without liver cirrhosis suffering from an AOCLF. Patients with AOCLF were older, had a higher BMI, and were more often male. Serum markers to predict outcome differed between ALF and AOCLF. The Meld-score would be applicable for both patients with ALF and AOCLF. The overall prognosis for remission and survival was similar between ALF and AOCLF, though further studies are warranted to identify specific risk factors and optimal therapy for both entities.
Disclosure Statement
The authors declare no conflict of interest.
Financial support
No funding.
References
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This text is made available via DuEPublico, the institutional repository of the University of Duisburg-Essen. This version may eventually differ from another version distributed by a commercial publisher.
10.1159/000492869
DOI:
URN: urn:nbn:de:hbz:464-20201116-164239-9
This publication is with permission of the rights owner freely accessible due to an Alliance licence and a national licence (funded by the DFG, German Research Foundation) respectively.
All rights reserved.
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®
L.E.D. BASED TRAFFIC LIGHT (BLINKER)
We are sure you would agree with us that lighting is one of the most important aspect of improving efficiency, quality of life and security at any organisation. Our company is manufacture special luminaries having very high efficiency in terms of lux output, longevity of reflector, energy saving & easy operation.
Among the various luminaries being manufactured by us are suited for flood lighting, search lighting, inspection lighting, open area illumination, facade illumination, low voltage lighting, Hi-mast, mining area illumination, security and surveillance (fixed or Mobile type) lights etc.
Now KALIN launched a special type long life L.E.D. (light emitting diode) based TRAFFIC-LIGHT/BLINKER suitable for all types of crossings.
Salient features are:
* Emitter life upto 1,00,000 burning hrs.
* Multiple segments to avoid complete run down of Emitter unit
* Very Low power consumption
* Operating voltage 80-300.
* Available in all colors as desired.
SPECIFICATION
High intensity, long life, LED based traffic lights, housing made by CRCA sheet or FRP and finished with yellow/black powder coated/PU paint, toughened front glass with endless neoprene rubber gasket, type of LED: ultra bright AIGaAs 5mm; colour of LED: red/green/yellow (or as required), solid state multiple circuit PCB, operating temp: 22 to +80 degree C, working voltage: 80-300 Vac.
(Optional accessories: solid state variable Blinker, automatic timer for 1-24hrs, multi tone hooter)
PRODUCT RANGE
| TLL-112 | Single emitter | 1x12 W |
|---|---|---|
| TLL-115 | Single emitter | 1x15 W |
| TLL-120 | Single emitter | 1x20 W |
| TLL-130 | Single emitter | 1x55 W |
| TLL-215 | Double emitter | 2x15 W |
| TLL-220 | Double emitter | 2x20 W |
| TLL-230 | Double emitter | 2x55 W |
| TLL-315 | Triple emitter | 3x15 W |
| TLL-320 | Triple emitter | 3x20 W |
TRIPLE EMITTER (TLL - 320)
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Higher Education Governance (Scotland) Bill
[AS INTRODUCED]
CONTENTS
19 Upholding academic freedom
PART 2
ACADEMIC FREEDOM
PART 3
G
ENERAL PROVISIONS
Ancillary and consequential
20 Ancillary regulations
21 Consequential modifications
Commencement and short title
22 Commencement
23 Short title
__________
Schedule—Consequential modifications
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1
ACCOMPANYING DOCUMENTS
Explanatory Notes, together with other accompanying documents, are printed separately as SP Bill 74-EN. A Policy Memorandum is printed separately as SP Bill 74-PM.
Higher Education Governance (Scotland) Bill [AS INTRODUCED]
An Act of the Scottish Parliament to make provision about the composition of and appointment to the governing bodies and academic boards of higher education institutions; and to revise provision about the academic freedom of various persons carrying out activities at higher education and certain other institutions.
PART 1
GOVERNANCE ARRANGEMENTS
CHAPTER 1
GOVERNING BODIES
Chairing of governing body
1 Appointment as chairing member
(1) The chairing member of the governing body of a higher education institution is to be appointed in accordance with a process set out in regulations made by the Scottish Ministers.
(2) Regulations under this section may include (in particular) provision for—
(a) periods of appointment (and whether reappointment is possible),
(b) means of selection for appointment, for example through—
(i) public advertisement,
(ii) criteria for selection,
(iii) interview of candidates,
(iv) shortlisting of candidates,
(v) holding an election from among candidates,
(c) reimbursement of candidates' expenses incurred in the process.
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2 Remuneration to be payable
(1) The Scottish Ministers may by regulations make provision for remuneration and allowances to be payable by a higher education institution to the chairing member of the governing body of the institution.
(2) Regulations under this section may include (in particular) provision that—
(a) specifies or limits the circumstances in which sums must be offered,
(b) requires sums to be reasonable given the responsibilities of the chairing member,
(c) delegates to other persons the function of determining sums in particular cases.
3 Consultation for sections 1 and 2
Before making regulations under section 1 or 2, the Scottish Ministers must consult—
(a) each higher education institution to which the regulations relate,
(b) such other persons as the Scottish Ministers consider appropriate.
Membership of governing body
4 Composition of governing body
(1) The membership of the governing body of a higher education institution is to be composed of—
(a) the person appointed as the chairing member as mentioned in section 1(1),
(b) 2 persons appointed by being elected by the staff of the institution from among their own number,
(c) 1 person appointed by being nominated by a trade union, recognised in relation to the academic staff of the institution, from among the academic staff of the institution who are members of a branch of a trade union that has a connection with the institution,
(d) 1 person appointed by being nominated by a trade union, recognised in relation to the support staff of the institution, from among the support staff of the institution who are members of a branch of a trade union that has a connection with the institution,
(e) 2 persons appointed by being nominated by a students' association of the institution from among the students of the institution,
(f) 2 persons appointed by being nominated by a graduates' association of the institution from among the graduates of the institution,
(g) such other persons as are appointed—
(i) by virtue of an enactment, or
(ii) in accordance with the governing document of the institution.
(2) For the purposes of paragraphs (c) and (d) of subsection (1), a trade union is recognised in relation to a category of staff if the higher education institution—
(a) so recognises it as described in section 178(3) of the Trade Union and Labour Relations (Consolidation) Act 1992, or
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3
(b) otherwise recognises it as representative of the category of staff.
(3) In paragraph (f) of subsection (1), the reference to the graduates of the institution includes the graduates of any former institution that the governing body of the current institution considers for the purpose of this subsection to be a predecessor to that institution (for example, by virtue of a reconstitution, take-over or merger).
5 Elections to governing body
(1) This section applies in relation to an election of members to the governing body of a higher education institution for the purpose of paragraph (b) of section 4(1).
(2) The election process is to be conducted in accordance with rules made by the governing body of the institution.
(3) Rules under subsection (2) may include (in particular)—
(a) different provision for different vacancies,
(b) provision defining "staff" for section 4(1)(b) as—
(i) academic staff,
(ii) support staff, or
(iii) all staff.
(4) Where the number of eligible candidates in a category is equal to or fewer than the number of vacancies in that category, those candidates are deemed to be elected.
6 Nominations to governing body
(1) This section applies in relation to a nomination of members to the governing body of a higher education institution for the purpose of each of paragraphs (c) to (f) of section 4(1).
(2) The nomination process is to be conducted in accordance with rules made by the governing body of the institution.
(3) Rules under subsection (2) may include (in particular)—
(a) provision specifying who may exercise the rights of nomination (whether individually or jointly),
(b) different provision for different vacancies.
(4) Before making or modifying rules under subsection (2), the governing body must consult the representatives of anyone—
(a) with a right of nomination under the proposed rules, and
(b) affected by the proposed rules or (as the case may be) modification.
7 Validity of body's proceedings
The validity of any proceedings of the governing body is not affected by any—
(a) vacancy in membership (or category of membership),
(b) defect in the appointment of a member.
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8 Power to modify section 4
The Scottish Ministers may by regulations modify—
(a) the categories of membership in section 4(1),
(b) the number of persons to be appointed under a particular category in that section.
CHAPTER 2
ACADEMIC BOARDS
9 Size of academic board
The academic board of a higher education institution is to consist of no more than 120 members.
10 Composition of academic board
(1) The membership of the academic board of a higher education institution is to be composed of—
(a) the principal of the institution,
(b) the heads of school of the institution,
(c) persons appointed by being elected by the academic staff of the institution from among their own number,
(d) persons appointed by being elected by the students of the institution from among the students of the institution,
(e) such other persons as are appointed—
(i) by virtue of an enactment,
(ii) in accordance with the governing document of the institution, or
(iii) in accordance with a decision of the governing body of the institution.
(2) The academic board is to be constituted in such a way that—
(a) more than 50% of its members fall within subsection (1)(c) or (d),
(b) at least 10% of its members fall within subsection (1)(d).
11 Elections to academic board
(1) This section applies in relation to an election of members to the academic board of a higher education institution for the purpose of each of paragraphs (c) and (d) of section 10(1).
(2) The election process is to be conducted in accordance with rules made by the governing
body of the institution.
(3) Rules under subsection (2) may include (in particular)—
(a) provision specifying the number of appointments to be made,
(b) different provision for different vacancies.
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(4) Where the number of eligible candidates in a category is equal to or fewer than the number of vacancies in that category, those candidates are deemed to be elected.
12 Validity of board's proceedings
The validity of any proceedings of the academic board is not affected by any—
(a) vacancy in membership (or category of membership),
(b) defect in the appointment of a member.
13 Power to modify sections 9 and 10
(1) The Scottish Ministers may by regulations modify the number of members specified in section 9.
(2) The Scottish Ministers may by regulations modify—
(a) the categories of membership in section 10(1),
(b) the number or percentage of persons to be appointed under a particular category in that section.
(3) Modification under subsection (1) or (2)(b) may be made by way of specifying—
(a) a fixed number or percentage, or
(b) a maximum or minimum (or both).
CHAPTER 3
REGULATIONS AND DEFINITIONS
14 Procedure for regulations
(1) Regulations under the preceding provisions of this Part are subject to the affirmative procedure.
(2) Regulations under the preceding provisions of this Part may—
(a) make different provision for different purposes,
(b) include supplemental, incidental, consequential, transitional, transitory or saving provision.
15 Meaning of higher education institution
(1) In this Part, "higher education institution" has the same meaning as in the Further and Higher Education (Scotland) Act 2005 except that it—
(a) includes an institution only if the institution is listed in schedule 2 (fundable bodies) to that Act,
(b) excludes The Open University.
(2) The Scottish Ministers may by regulations modify the definition in subsection (1) so as to include or exclude a particular institution.
(3) Regulations under subsection (2) are subject to the negative procedure.
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16 Meaning of governing document
(1) In this Part, "governing document"—
(a) in the case of an older university, means its ordinances made under the Universities (Scotland) Acts 1858 to 1966,
(b) in the case of an institution established by royal charter, means its charters together with the statutes (if any) made under them,
(c) in the case of a designated institution—
(i) if it is a registered company and no orders of the Privy Council are in force with respect to it, means its articles of association,
(ii) otherwise, means the orders of the Privy Council that are in force with respect to it,
(d) in any other case, means the instruments that establish the higher education institution or govern the composition of its governing body or academic board.
(2) In this section—
"designated institution" has the same meaning as in Part II of the Further and Higher Education (Scotland) Act 1992,
"older university" is to be construed in accordance with section 16(1) of the Universities (Scotland) Act 1966,
"registered company" means a company registered under the Companies Acts as defined in section 2 of the Companies Act 2006.
17 Meaning of governing body
In this Part, "governing body" has the same meaning as in Part II of the Further and Higher Education (Scotland) Act 1992.
18 Meaning of academic board
(1) In this Part, "academic board" in relation to an institution means the body which—
(a) is responsible for the overall planning, co-ordination, development and supervision of the academic work of the institution, and
(b) discharges that responsibility subject to the general control and direction of the governing body of the institution.
(2) For the avoidance of doubt, the body described by subsection (1) is the one sometimes known as the Senate, Senatus or Senatus Academicus.
PART 2
ACADEMIC FREEDOM
19 Upholding academic freedom
(1) The Further and Higher Education (Scotland) Act 2005 is amended as follows.
(2) For section 26 (academic freedom) there is substituted10
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"26 Academic freedom
(1) A post-16 education body must aim to—
(a) uphold the academic freedom of all relevant persons, and
(b) ensure that the matters mentioned in subsection (2) are not adversely affected by the exercise of academic freedom by any relevant persons.
(2) The matters are—
(a) appointments held or sought, and
(b) entitlements or privileges enjoyed,
at the post-16 education body by those relevant persons.
(3) In this section, "relevant persons" in relation to a post-16 education body means persons engaged in—
(a) teaching, or the provision of learning, at the body, or
(b) research at the body.
(4) For the purposes of this section, "academic freedom" in relation to relevant persons includes their freedom within the law to do the following things—
(a) hold and express opinions,
(b) question and test established ideas or received wisdom,
(c) develop and advance new ideas or innovative proposals,
(d) present controversial or unpopular points of view.".
PART 3
GENERAL PROVISIONS
Ancillary and consequential
20 Ancillary regulations
(1) The Scottish Ministers may by regulations make such supplemental, incidental, consequential, transitional, transitory or saving provision as they consider necessary or expedient for the purposes of or in connection with this Act.
(2) Regulations under this section—
(a) are subject to the affirmative procedure if they add to, replace or omit any part of the text of an Act (including this Act),
(b) otherwise, are subject to the negative procedure.
21 Consequential modifications
The schedule makes consequential modifications.
Commencement and short title
22 Commencement
(1) This section and section 23 come into force on the day after Royal Assent.
(2) The other provisions of this Act come into force on such day as the Scottish Ministers may by regulations appoint.
(3) Regulations under subsection (2) may—
(a) appoint different days for different purposes,
(b) include transitional, transitory or saving provision.
23 Short title
The short title of this Act is the Higher Education Governance (Scotland) Act 2016.
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SCHEDULE
(introduced by section 21)
CONSEQUENTIAL MODIFICATIONS
The Universities (Scotland) Act 1858
1 (1) The Universities (Scotland) Act 1858 is amended as follows.
(2) In section 4 (university courts to be constituted)—
(a) the words "consist of the members and" are repealed,
(b) the words from ", and of which" to the end are repealed.
(3) In section 5 (powers of the senatus academicus and principal)—
(a) the words from "consist of" to "discipline of the University, and" are repealed,
(b) for the words "its property" there is substituted "the University's property".
The Universities (Scotland) Act 1889
2 (1) The Universities (Scotland) Act 1889 is amended as follows.
(2) In section 5 (which makes provision about University Courts)—
(a) in subsection (1), the words before "Seven" are repealed,
(b) in subsection (2), the words "Chancellor or" are repealed in each place where they occur,
(c) in subsection (5), for the word "rector" there is substituted "chairing member",
(d) after subsection (5) there is inserted—
"(5A) In subsection (5), "chairing member" means the person appointed as mentioned in section 1(1) of the Higher Education Governance (Scotland) Act 2016.".
The Universities (Scotland) Act 1966
3 (1) The Universities (Scotland) Act 1966 is amended as follows.
(2) In section 2 (constitution of university courts)—
(a) in subsection (1), after the words "Subject to the provisions of section 17 of this Act" there is inserted "and Chapter 1 of Part 1 of the 2016 Act",
(b) subsection (6) is repealed.
(3) Section 7 (constitution of senates) is repealed.
(4) In section 11 (university staff ineligible to become rector, or assessor on court except in certain circumstances), at the end of the proviso following paragraph (b) there is inserted "or the right of a person to be appointed in accordance with section 4(1)(b) to (d) of the 2016 Act".
(5) In section 16 (interpretation), at the beginning of the list of defined expressions in subsection (1) there is inserted—
""the 2016 Act" means the Higher Education Governance (Scotland) Act 2016;".
(6) In Part I (powers exercisable by ordinance) of Schedule 2, for paragraph 4 there is substituted—
"4. To provide for—
(1) the term of office of members of the Senatus Academicus,
(2) the manner of election of members of the Senatus Academicus, except those elected in accordance with rules made under section 11(2) of the 2016 Act.".
Higher Education Governance (Scotland) Bill
[AS INTRODUCED]
An Act of the Scottish Parliament to make provision about the composition of and appointment to the governing bodies and academic boards of higher education institutions; and to revise provision about the academic freedom of various persons carrying out activities at higher education and certain other institutions.
Introduced by: Angela Constance
On:
16 June 2015
Bill type:
Government Bill
Parliamentary copyright. Scottish Parliamentary Corporate Body
Information on the Scottish Parliament's copyright policy can be found on the website www.scottish.parliament.uk
Produced and published in Scotland on behalf of the Scottish Parliamentary Corporate Body by APS Group Scotland.
ISBN 978-1-78568-922-2
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One lap of the run course
= 1.25km - The run course is on short compact grass & very flat
Sprint & Relay
x 4 laps
= 5km
Super Sprint & Fun x 2 laps
= 2.5km
All maps and text were correct at going to print. UK Triathlon Events have the right to change the course at any time, North West Triathlon 2018 (map not to scale)
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Minutes of Meeting of 1st Board of Studies – ME Department
(as per notice 2022-23/ME/BoS/01 dated 2nd September, 2022)
Agenda Items 2022/ME/BoS-1 (05-09-2022)
| | |
|---|---|
| 1.1 | Welcome of the members & invitees of the BoS Meeting of ME Department |
| 1.2 | Address by the Chairman of the ME - BoS. SACET |
| 1.3 | To confirm the minutes of the previous BoS Meeting - NA since this is the first one |
| 1.4 | To report the actions taken on the recommendations of the previous BoS Meeting - NA since this is the first one |
| 1.5 | To present the draft course structure of the ME(UG & PG) subjects of I Year – I & II Semesters for the 2022 admitted batch (Autonomous) for discussion and finalizations after due changes suggested |
| 1.6 | To present the draft syllabus of the ME(UG &PG) subjects of I Year – I & II Semesters for the 2022 admitted batch (Autonomous) for discussion and finalizations after due changes suggested |
| 1.7 | To finalize the evaluation procedures of the Continuous Internal Evaluation (CIE) and Semester End Examination (SEE) |
| 1.8 | Any other item with the permission of the Chair |
Committee Proceedings:
The ME Department 1st Board of Studies meeting was held under the chairmanship of HoD, ME. SACET at 2.30 PM on 5th September, 2022, Monday in Online/Offline mode in Room No: 106, ME Department, to discuss the above mentioned agenda points. The proceedings of the Committee are as follows:
1. Welcome of the members & invitees of the BoS Meeting of ME Department
The Head of the department of Mechanical Engineering invited all the members and invitees to the first BoS meeting and extended his warm welcome to all the members.
2. Address by the Chairman of the ME - BoS, SACET
Chairman introduced BoS members to the invitees followed by presentation.
3. To confirm the minutes of the previous BoS Meeting – NA since this is the first one
Not Applicable
4. To report the actions taken on the recommendations of the previous BoS Meeting – NA since this is the first one
Not Applicable
5. To present the draft course structure of the ME (UG & PG) subjects of I Year – I & II Semesters for the 2022 admitted batch (Autonomous) for discussion and finalizations after due changes suggested
BoS CHAIRMAN of ME dept. presented the draft course structure of UG, I Sem and II Sem, PG (Thermal Engineering) I, II, III, IV Semesters for 2022 Admitted batch.
Suggestion: The invitees Suggested to draft four-year course structure.
Action taken: We will propose the remaining three years course structure at a time during the next BoS.
6. To present the draft syllabus of the ME (UG & PG) subjects of I Year – I & II Semesters for the 2022 admitted batch (Autonomous) for discussion and finalizations after due changes suggested
BoS CHAIRMAN of ME dept. presented the draft syllabus of UG, I, II Sem Courses-Engineering Drawing for CE, ME, EEE Branches, Engineering Mechanics for CE, ME Branches only, Computer aided Engineering Drawing Practice and Workshop Practice Lab for ME Branch. After the completion of UG, BoS CHAIRMAN of ME dept. presented the draft syllabus PG (Thermal Engineering) I, II, III, IV Semesters for 2022 Admitting batch and got approval of all the members of BoS.
Suggestion 1: The invitees Suggested to include CO Vs PO, CO Vs PSO mapping to evaluate the learner’s outcome after completion of each course.
Action taken: As per the suggestion the mapping is prepared and the same is sent to the invitees for reference.
Suggestion 2: The invitees Suggested to formulate Course objectives and Course Outcomes by incorporating Blooms Taxonomy
Action taken: As per the suggestion the course objectives and outcomes are prepared by incorporating Blooms Taxonomy and the same is sent to the invitees for reference.
Suggestion 3: The invitees suggested to teach the drawing subjects with models and real time components for better understanding and learning outcomes.
Action taken: already we are using wooden models to teach conventional drawing from past 16 years and as per the suggestion, the most commonly used mechanical components will be shown practically to create the 2D and 3D models using Auto Cad.
7. To finalize the evaluation procedures of the Continuous Internal Evaluation (CIE) and Semester End Examination (SEE)
It is proposed to follow the existing university evaluation procedures and got approved from all the members and invitees of BoS.
8. Any other item with the permission of the Chair
No other item was raised for discussion.
The meeting adjourned with vote of thanks by Chairman of BoS.
| S. No. | Name of the Member | Designation | Affiliation | Constitution | Signature |
|-------|----------------------------|--------------------------------------------------|----------------------------------------------------------------------------|-------------|-----------|
| 1 | Mr.V.Lakshmi Narayana | Associate Professor & HOD | St. Ann’s College of Engineering & Technology, Chirala | Chairman | |
| 2 | Dr. N. Mohan Rao | University Expert | JNTU-GV Gurajada, Vizianagaram | Member | |
| 3 | Dr.A.V.Ratna Prasad | Subject expert from outside the Parent University | Professor & Principal, VR Siddhartha Engineering College, Vijayawada. | Member | |
| 4 | Dr.B.Ravi Sankar | Subject expert from outside the Parent University | Professor & Controller of Examinations, Bapatla Engineering College, Bapatla.| Member | |
| 5 | Mr.K.Ravi Kumar | Industry Expert | Dean, Amara Raja Skill Development Center, Aurangabad, Maharashtra, India | Member | |
| 6 | Dr.C.S.Rao | Dept. Subject Expert | St. Ann’s College of Engineering & Technology, Chirala | Member | |
| 7 | Dr.D.Sivabhaskara Rao | Dept. Subject Expert | St. Ann’s College of Engineering & Technology, Chirala | Member | |
| 8 | Dr.T.Gopala rao | Dept. Subject Expert | St. Ann’s College of Engineering & Technology, Chirala | Member | |
| 9 | Mr.D.Jawaharlal | Dept. Subject Expert | St. Ann’s College of Engineering & Technology, Chirala | Member | |
| 10 | Mr.P.Harish | Dept. Subject Expert | St. Ann’s College of Engineering & Technology, Chirala | Member | |
| 11 | Mr.Sk.Meeravali | Dept. Subject Expert | St. Ann’s College of Engineering & Technology, | Member | |
| | Name | Position | Institution | Role | Signature |
|---|-----------------------------|---------------------------|--------------------------------------------------|-------|-----------|
| 12| Mr.N.V.Narasimha Rao | Dept. Subject Expert | St. Ann’s College of Engineering & Technology, Chirala | Member | |
| 13| Mr.B.Hareesh Kumar | Meritorious PG Alumni | Meritorious UG Alumni | Member | Absent |
Chairman- BoS
Minutes of Meeting of 2nd Board of Studies – ME Department
(as per notice 2022-23/ME/BoS/02 dated 27th April, 2023)
Agenda Items 2023/ME/BoS-2 (28-04-2023)
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| 1.1 | Welcome of the members & invitees of the BoS Meeting of ME Department. |
| 1.2 | Address by the Chairman of the ME - BoS, SACET. |
| 1.3 | To confirm the minutes of the previous BoS Meeting. |
| 1.4 | To report the actions taken on the recommendations of the previous BoS Meeting. |
| 1.5 | To present the draft course structure of the ME(UG) subjects of II-IV Year – I & II Semesters for the 2022 admitted batch (Autonomous) for discussion and finalizations after due changes suggested. |
| 1.6 | To present the draft syllabus of the ME(UG) subjects of II-IV Year – I & II Semesters for the 2022 admitted batch (Autonomous) for discussion and finalizations after due changes suggested. |
| 1.7 | Any other item with the permission of the Chair |
Committee Proceedings:
The ME Department 2nd Board of Studies meeting was held under the chairmanship of HoD, ME, SACET at 2.30 PM on April 28, 2023, Friday in Online/Offline mode in Room No: 106, ME Department, to discuss the above-mentioned agenda points. The proceedings of the Committee are as follows:
Suggestion 3: The invitees suggested to include project management course for incorporating entrepreneur skills to the learners.
Action taken: As per the suggestion a course titled operations management was included in the III Year -II Sem.
Suggestion 4: The invitees suggested to include Course on Internet of Things both theory and lab rather than Artificial Intelligence and machine learning in third year second semester.
Action taken: As per the suggestion both theory and lab courses on Internet of Things were included in the III Year -II Sem rather than Artificial Intelligence and machine learning.
Suggestion 5: The invitees suggested to award credits for the courses based on contact hours.
Action taken: As per the suggestion both theory and lab courses were awarded credits based on number of contact hours.
7. To finalize the evaluation procedures of the Continuous Internal Evaluation (CIE) and Semester End Examination (SEE)
It is proposed to follow the existing university evaluation procedures and got approved from all the members and invitees of BoS.
8. Any other item with the permission of the Chair
No other item was raised for discussion.
The meeting adjourned with vote of thanks by Chairman of BoS.
| S. No. | Name of the Member | Designation | Affiliation | Constitution | Signature |
|--------|-----------------------------|--------------------------------------------------|--------------------------------------------------|--------------|-----------|
| 1 | Mr. V. Lakshmi Narayana | Associate Professor & HOD | St. Ann’s College of Engineering and Technology -Chirala | Chairman | |
| 2 | Dr. N. Mohan Rao | One expert to be nominated by the Vice-Chancellor -JNTUK | University Expert, JNTUK-Kakinada | Invitee | |
| 3 | Dr. A. V. Ratna Prasad | Subject expert from the Parent University | Professor & Principal, VR Siddhartha Engineering College, Vijayawada. | Invitee | |
| No | Name | Role | Institution | Status | Signature |
|----|-----------------------------|-------------------------------------------|--------------------------------------------------|---------|-----------|
| 4 | Dr. B. Ravi Sankar | Subject expert from outside the Parent University | Professor, Bapatla Engineering College, Bapatla. | Invite | |
| 5 | Mr. K. Ravi Kumar | Industry Expert | Dean, Amara Raja Skill Development Center, Aurangabad, Maharashtra, India | Invite | |
| 6 | Dr. C. S. Rao | Director (ARD) | St. Ann’s College of Engineering and Technology -Chirala | Member | |
| 7 | Dr. D. Siva Bhaskara Rao | Dept. Subject Expert | St. Ann’s College of Engineering and Technology -Chirala | Member | |
| 8 | Dr. T. Gopala Rao | Dept. Subject Expert | St. Ann’s College of Engineering and Technology -Chirala | Member | |
| 9 | Mr. D. Jawaharlal | Dept. Subject Expert | St. Ann’s College of Engineering and Technology -Chirala | Member | |
| 10 | Mr. P. Harish | Dept. Subject Expert | St. Ann’s College of Engineering and Technology -Chirala | Member | |
| 11 | Mr. Sk. Meeravali | Dept. Subject Expert | St. Ann’s College of Engineering and Technology -Chirala | Member | |
| 12 | Mr. N. V. Narasimha Rao | Dept. Subject Expert | St. Ann’s College of Engineering and Technology -Chirala | Member | |
| 13 | Mr. B. Hareesh Kumar | Meritorious PG Alumni | Meritorious UG Alumni | Member | |
Chairman - BoS
|
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Sema6A and Mical1 control cell growth and survival of BRAFV600E human melanoma cells
Rossella Loria¹, Giulia Bon¹, Valentina Perotti², Enzo Gallo³, Ilaria Bersani², Paola Baldassarri², Manuela Porru⁴, Carlo Leonetti⁴, Selene Di Carlo¹, Paolo Visca³, Maria Felice Brizzi⁵, Andrea Anichini², Roberta Mortarini² and Rita Falcioni¹
¹Department of Experimental Oncology, Regina Elena National Cancer Institute, Rome, Italy
²Human Tumors Immunobiology Unit, Dept. of Experimental Oncology and Molecular Medicine, Fondazione IRCCS Istituto Nazionale dei Tumori, Milan, Italy
³Department of Pathology, Regina Elena National Cancer Institute, Rome, Italy
⁴Department of Chemotherapy, Regina Elena National Cancer Institute, Rome, Italy
⁵Department of Medical Sciences, University of Turin, Turin, Italy
Correspondence to: Rita Falcioni, email: [email protected]
Roberta Mortarini, email: [email protected]
Keywords: BRAFV600E melanoma, NRASQ61R melanoma, Sema6A, Mical1, cell survival
Received: August 28, 2014 Accepted: December 12, 2014 Published: December 18, 2014
This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.
ABSTRACT
We used whole genome microarray analysis to identify potential candidate genes with differential expression in BRAFV600E vs NRASQ61R melanoma cells. We selected, for comparison, a peculiar model based on melanoma clones, isolated from a single tumor characterized by mutually exclusive expression of BRAFV600E and NRASQ61R in different cells. This effort led us to identify two genes, SEMA6A and MICAL1, highly expressed in BRAF-mutant vs NRAS-mutant clones. Real-time PCR, Western blot and immunohistochemistry confirmed preferential expression of Sema6A and Mical1 in BRAFV600E melanoma. Sema6A is a member of the semaphorin family, and it complexes with the plexins to regulate actin cytoskeleton, motility and cell proliferation. Silencing of Sema6A in BRAF-mutant cells caused cytoskeletal remodeling, and loss of stress fibers, that in turn induced cell death. Furthermore, Sema6A depletion caused loss of anchorage-independent growth, inhibition of chemotaxis and invasion. Forced Sema6A overexpression, in NRASQ61R clones, induced anchorage-independent growth, and a significant increase of invasiveness. Mical1, that links Sema/PlexinA signaling, is also a negative regulator of apoptosis. Indeed, Mical-1 depletion in BRAF mutant cells restored MST-1-dependent NDR phosphorylation and promoted a rapid and massive NDR-dependent apoptosis. Overall, our data suggest that Sema6A and Mical1 may represent new potential therapeutic targets in BRAFV600E melanoma.
INTRODUCTION
The development of mutant BRAF and of MEK1/2 inhibitors has markedly improved treatment of advanced BRAF-mutant melanoma [1-2] showing highly significant effects on progression-free and/or overall survival in several phase III trials, in comparison to chemotherapy [3]. Nevertheless, a fraction of patients does not benefit from target-specific therapy and duration of clinical responses can be limited. Intrinsic and acquired resistance to small molecule inhibitors limit the efficacy of these therapeutic approaches [4-5], highlighting the urgent need for identification of new molecules and pathways that may contribute to melanoma growth. Several screening strategies have been proposed to identify genes with a significant role in BRAFV600E melanoma persistence. These include identification of BRAF target genes by comparing gene expression profiles in melanomas treated with/without BRAF inhibitors [7], screening for expression of relevant molecules to be targeted by inhibitors [8-11],
and comparison of gene expression profiles of BRAF\textsuperscript{V600E} vs wild-type tumors [12-13]. The latter approach has the advantage of contributing to define the gene expression landscape associated with a frequently activated oncogene, but conflicting results have been published [14-19] possibly due to strong inter-tumor genetic heterogeneity.
To reduce the impact of this heterogeneity, we exploited a set of melanoma clones, isolated from a metastasis containing both BRAF\textsuperscript{V600E} and NRAS\textsuperscript{Q61R} cells [20]. The clones, previously shown to have mutually exclusive expression of activated BRAF\textsuperscript{V600E} or NRAS\textsuperscript{Q61R} [20], were used for whole genome gene expression profiling aimed at identifying genes overexpressed in BRAF\textsuperscript{V600E} cells. This approach led us to identify the semaphorin SEMA6A, a ligand of Plexin A2 and A4 [21-23], as one of the most discriminating genes, overexpressed in BRAF-mutant clones compared to NRAS\textsuperscript{Q61R} clones. Interestingly, another gene in the semaphorin-plexin pathway, MICAL1 (molecule interacting with CasL), that links Sema/PlexinA signaling to F-actin disassembly [24-26], showed similar differential expression in BRAF-mutants compared to NRAS-mutant clones. Although the sema/plexin/mical pathway has been thoroughly investigated for its role in repulsive guidance, recent studies point to a role of its different components in regulating cell survival and migratory functions even in neoplastic cells [27]. It has been demonstrated that semaphorine 3A regulates tumor persistence by suppressing apoptosis triggered by plexin D1 dependent receptor [28]. Among this class of molecules, Sema6A regulates vascular development in tumors and angiogenesis by modulating VEGFR2 signaling in endothelial cells [22]. Mical1 is a multidomain flavoprotein monooxygenase binding NDR1/2 kinases, thus inhibiting both their phosphorylation by MST1 and NDR-mediated apoptosis [26, 29]. We tested whether Sema6A and Mical1 could exert a significant tumoral role in BRAF\textsuperscript{V600E} melanomas by contributing to regulate their growth, survival, and invasion. The results confirmed this hypothesis and suggested that different components of the sema/plexin/mical signaling cascade may represent new therapeutic targets in melanoma.
**RESULTS**
**BRAF\textsuperscript{V600E} and NRAS\textsuperscript{Q61R} clones isolated from the same metastatic melanoma have distinct biological behavior and gene expression profiles**
The distinct genetic makeup of BRAF-mutant and NRAS- mutant clones derived from the 665/2 cell line
(A) Average expression of SEMA6A and MICAL1 mRNA examined by qRT-PCR±SD. (B) Total cell lysates from cell line 665/2, from BRAF and NRAS clones isolated from 665/2 and from seven BRAF-mutant cell lines were analyzed by WB for expression of Sema6A, Mical1, ErbB3, ErbB2, total and pAkt, total and pERK, and Hsp70.
[20] was associated with different biological behavior *in vivo*. Upon intracardiac injection, BRAF<sup>V600E</sup> clones metastatized in all mice and all organs, except for spleen and testis, while only one NRAS<sup>G12R</sup> clone was able to metastasize, and only in one mouse and exclusively to the intestine and stomach (Table S1). These marked differences were reflected in the gene expression profiles. Whole genome microarray analysis of BRAF<sup>V600E</sup> and NRAS<sup>G12R</sup> clones (Fig. S1) identified SEMA6A as one of the most discriminating genes, highly expressed in the BRAF<sup>V600E</sup> clones compared to the NRAS<sup>G12R</sup> ones. Another gene belonging to the sema/plexin signaling pathway, MICAL1, was also expressed at significantly higher levels in BRAF clones (Fig. S1). Higher expression of Sem6A and Mical1, at both RNA and protein levels, in BRAF<sup>V600E</sup> clones, was confirmed by qRT-PCR and WB, respectively (Fig. 1A, and B). We also found high expression of both Sem6A and Mical1 in BRAF<sup>V600E</sup> cells derived from seven different melanoma cell lines isolated from primary tumor or from lymph node metastases (Fig. 1B). Most BRAF<sup>V600E</sup> clones and cell lines in this panel showed constitutive activation of the AKT and ERK pathway, while NRAS<sup>G12R</sup> clones showed reduced activation of AKT pathway, a finding consistent with the lower/missing expression of ErbB2/ErbB3 receptor, the strongest activator in nature of PI3K [30].
**Sema6A and Mical-1 are highly expressed *in vivo* in BRAF<sup>V600E</sup> tumors compared to wild type melanomas and nevi**
To assess whether Sema6A and Mical-1 were preferentially expressed in BRAF<sup>V600E</sup> tumors, we analyzed their expression by qRT-PCR and immunohistochemistry (IHC) on BRAF<sup>V600E</sup> and BRAF wild type (WT) melanoma specimens derived from patients surgically treated at the Regina Elena National Cancer Institute. Both molecules
(A-B) Expression of SEMA6A and MICAL1 mRNA was examined by qRT-PCR on lymph node biopsies from patients carrying BRAF<sup>V600E</sup> or WT tumors (left and right graphs). Representative Sema6A and Mical1 IHC on sections derived from same samples. Secondary antibody was used as internal control. Scale bar 30 μm.
were also analyzed in nevi. The results demonstrated that Sema6A and Mical-1 were significantly more expressed in BRAFV600E than in WT melanomas (P<0.02 and P=0.009, respectively) (Fig. 2A and B). In nevi, Sema6A and Mical-1 expression was comparable to the levels found in WT melanoma (Fig. S2). Representative IHC analyses with the relative internal controls are reported for both molecules in the two subtypes of melanoma (Fig. 2A and B) and in nevi (Fig.S2). These data supported our *in vitro* results.
**Depletion of Sema6A in BRAF-mutant melanoma cells promotes cell death**
To investigate the role of Sema6A in BRAFV600E cells, we carried out siRNA experiments, with different Sema6A-specific silencing sequences (siSema6A) in three clones isolated from 665/2 cell line and in one cell line (10538) isolated from a BRAFV600E primary tumor. Sema6A depletion strongly induced PARP cleavage in clone 2/21 and reduced total PARP in the clones 2/56 and 2/59 and in the melanoma cell line 10538 (Fig. 3A). Surprisingly, Sema6A silencing inhibited ErbB3 expression and phosphorylation of AKT, and to a lesser extent, of ERK (Fig. 3A). ErbB3 down-regulation was likely post-transcriptional, secondary to p-Akt inhibition, as previously described [31], and not transcriptional, as demonstrated by qRT-PCR (Fig. 3B). The above results were confirmed by silencing of Sema6A by a second specific siSema6A sequence (Fig. S3A), and even by a third specific commercially available siSema6A (data not shown). Interestingly, PI3K and MAPK activity appeared to be regulated downstream of Sema6A, as their phosphorylation levels (Fig. 3A, and S3A) clearly correlated with Sema6A depletion, suggesting that this semaphorin can regulate major pathways supporting melanoma cell viability. To further explore this possibility,
(A) siSema6A/BRAFV600E clones and primary melanoma cell line 10538 were analyzed by WB for expression of Sema6A, ErbB-3, ErbB-2, P-AKT, P-ERK1/2, PARP, and Hsp70. (B) Average expression of ErbB-3 mRNA examined by qRT-PCR±SD in Control, siScr, and siSema6A in clone 2/59. (C) Cell death of siSema6A/BRAFV600E cells was evaluated at 48 h post-transfection by Trypan blue exclusion from three independent experiments; bars ± S.D.
we carried out apoptosis assays by FACS analysis. Annexin-V/PI staining assays indicated that Sema6A depletion induced apoptosis, associated with caspase 3/7 activation, in BRAFV600E clones 2/56 and 2/59 and in melanoma cell line 10538, with effects already evident at 24–36h (Fig. S4). Trypan blue exclusion assays confirmed that siSema6A induced death in all cells tested compared to controls or siScr transfected cells (Fig. 3C). Taken together these results suggested that Sema6A promotes survival of BRAF-mutant melanoma cells.
**Depletion of Sema6A in BRAF-mutant melanoma cells alters the cytoskeleton and impairs anchorage-independent growth, as well as motility and invasive activities**
Sema6A silencing led to down-regulation of Caspase 3 and reduction of total PARP when cells where plated on conventional cell culture dishes, but not on Fibronectin-coated dishes suggesting cell death by loss of cell adhesion (Fig. 4A). The Cell death was confirmed by TUNEL assays showing fragmentation of nuclei only in
(A) Control, siScr- or siSema6A/BRAFV60E cells were plated onto FN coated-dish or conventional culture-dish. Total cell lysates were analyzed by WB with PARP, Caspase3, and Hsp70 antibodies. (B) Tunel assay of BRAF/siSema6A cells plated on FN and/or poli-lysine. (C) Histogram reported percentage of tunel positive cells (P<0.004). (D) The cells, 48 h post-transfection, were plated on poly-l lysine coated slides, and stained with phalloidin-TRITC to show actin filaments. Scale bar is 10 μm. (E) Histogram reported percentage of stress fiber positive-cells. (F) Ctrl, siScr and siSema6A/BRAFV60E cells soft agar assay. (G) Histogram reported the number of colonies obtained in soft agar assay in Ctrl, siScr and siSema6A cells.
siSema6A cells plated on poli-lysine (Fig. 4B). Graphical representation of percentage of TUNEL positive cells is reported in Figure 4C (P<0.004). Silencing of Sema6A also induced changes in the actin cytoskeleton as shown by loss of actin stress fibers consistent with impaired cell adhesion and with promotion of cell death by anoikis (Fig. 4D, and E, P<0.0001). These results were further confirmed in clones 2/56, 2/21, and in 10538 cell line (Fig. S5A and B, right panels). These changes were not observed in untreated or siScr/cells (Fig. 4D, and E, and Fig. S5A and B, left and central panels). These results suggested that Sema6A might contribute to anchorage-independent growth of BRAFV600E melanoma cells. Indeed, Sema6A depletion strongly suppressed growth of BRAFV600E cells in soft agar (Fig. 4F, and G). siSema6A cells formed very small colonies appearing later, compared to control or to siScr/cells (P<0.0001) confirming that Sema6A controls anchorage-independent growth. In agreement with above results, Sema6A depletion in BRAF mutant cells strongly reduced their capability to migrate and to invade in vitro (P≤0.001) (Fig. S6A and B, upper and lower panels).
**Ectopic expression of Sema6A in NRAS-mutant cells promotes in vitro and in vivo invasion**
We then tested whether forced overexpression of Sema6A in NRASQ61R clones could promote anchorage-independent growth and invasiveness. In contrast with in vivo results on development of metastases (Table S1) and with data indicating that NRAS mutant clones yield only small colonies in soft agar [20], we found that overexpression of Sema6A in NRASQ61R melanoma clones
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**Figure 5: Sema6A controls invasion.** (A) Overexpression of Sema6A by WB (upper part of the figure), and invasion assay (lower part of the figure), and (B) soft agar assay, of control and Sema6A/NRASQ61R overexpressing clones (2/14 and 2/17). (C) Box plot of in vivo skeletal tissues metastases analysis was obtained by software Prism version 6.0.
conferred a strong invasive activity *in vitro* (P<0.0001) (Fig. 5A), and capability to generate large colonies in soft agar (P<0.02) (Fig. 5B). Furthermore, depletion of Sema6A in NRAS<sup>Q61K</sup> melanoma clones down-regulated their capability to invade (P<0.001) (Fig. S7). More importantly, by *in vivo* assessment for metastatic ability of NRAS-mutant cells overexpressing Sema6A, we found that several components of the skeletal system of the mice (spinal column, femurs, and upper and lower limbs) were characterized by presence of metastatic foci. Moreover, we found a significant increase, at these anatomical sites, in the fraction of tissue being interested by metastatic foci, compared to tissues from mice receiving control NRAS-mutant cells (Fig. 5C). Analysis of additional organs (Table S2) demonstrated that NRAS cells overexpressing Sema6A frequently produced metastases also in the brain, lung, pancreas and heart, compared to control cells. These data strongly support the role of Sema6A in the mechanisms that promote melanoma invasion.
**Sema6A functions in BRAF-mutant melanoma cells are independent from PlexinA2 and PlexinA4 receptors**
We then looked at expression and function in melanoma cells of Plexin-A2 and Plexin-A4, the Sema6A receptors. In agreement with previous results [32], all BRAF<sup>V600E</sup> clones and cell lines expressed heterogeneous levels of Plexin-A4 (Fig. S8A, and B) compared to the level found for Sema6A (Fig. 1), while all clones and cell lines were negative for the expression of Plexin-A2 (data not shown). Both PlexinA4 and PlexinA2 were absent in NRAS<sup>Q61K</sup> clones (Fig. S8A and B, and data not shown). Surprisingly, depletion of Plexin-A4 in BRAF<sup>V600E</sup> clone by siRNA did not induce cell death and did not alter the actin cytoskeleton (data not shown). Silencing of both molecules led to the expected changes already found upon siSema6A alone (Fig. S8C). Taken together these results suggest that Sema6A and Plexin-A4 have distinct roles in regulating biological functions in BRAF-mutant melanoma cells.
**Mical1 depletion induces melanoma cell death by apoptosis**
Mical1 is a mediator of Sema/Plexin repulsion, and acts by promoting F-actin disassembly [33-34]. Mical1 enhanced expression in BRAF<sup>V600E</sup> clones, and its known role as an effector of the Sema/Plexin axis, suggested that it could exert functions similar to those regulated by Sema6A. To address this possibility we depleted Mical1 by siRNA. Surprisingly, Mical1 silencing did not change the actin cytoskeleton organization, indicating that its role in BRAF<sup>V600E</sup> melanoma cells is not overlapping with that of Sema6A. A candidate function for Mical1 is interaction with NDR, a pro-apoptotic kinase, antagonizing MST1-induced NDR phosphorylation to trigger apoptosis [29]. Indeed, silencing of Mical1 in BRAF<sup>V600E</sup> melanoma clones (2/59, 2/56) and in 10538 melanoma cell line caused strong NDR phosphorylation between 30 h and 36 h post transfection associated with PARP cleavage (Fig. 6A). By Annexin-V/PI flow cytometry assay, we also found that Mical1 depletion in these melanoma cells increased both early (annexin-V/PI<sup>-</sup>) and late (Annexin-V/PI<sup>+</sup>) apoptosis, compared with the effects seen in cells transfected with control siRNA (siScr, Fig. 6B), suggesting that Mical-1 protects BRAF<sup>V600E</sup> melanomas from apoptosis. These results were confirmed by the use of a second siMical1 (Fig. S3B), and by a commercially available siMical1 (data not shown). By caspase-3 activation assays on the same cells, we confirmed that siMical1 induced melanoma apoptosis (Figure 7A, B). Analysis for phosphorylation of H2B-S14, that co-localizes with Hoechst positivity in fragmented nuclei, further supported the evidence that siMical1 induces apoptosis in BRAF<sup>V600E</sup> melanoma without affecting the actin cytoskeleton (Fig. 7C, D). Taken together, these results support the notion that both Sema6A and Mical1 promote cell survival, and inhibit cell death of BRAF<sup>V600E</sup> melanomas through different pathways.
**DISCUSSION**
In attempts to find molecules regulating aggressiveness of BRAF<sup>V600E</sup> melanoma cells, by whole-genome array we found that SEMA6A and MICAL1, two genes of the SEMA/PLEXIN signaling pathway, were over-expressed in BRAF<sup>V600E</sup> clones compared to NRAS<sup>Q61K</sup> clones isolated from the same metastasis. *In vitro* and *in vivo* assays confirmed the selective expression of the corresponding proteins in BRAF<sup>V600E</sup> cell lines derived from primary and metastatic melanoma lesions or in BRAF mutant tumors compared to BRAF wild type tumors and nevi. Sema6A belongs to a large family of secreted or trans-membrane proteins and its receptors are PlexinA2 and PlexinA4. Sema6A/Plexin complexes were previously characterized for their role in vascular and neural development [22]. However a role of SEMA6A in cell proliferation, survival, anchorage-independent cell growth, and invasion of BRAF<sup>V600E</sup> melanoma was not previously described. We found that Sema6A-depletion in BRAF<sup>V600E</sup> clones and primary tumor cells results in cell death. Specifically, Sema6A depletion reduces Akt phosphorylation and suppresses Erbb-B3 expression suggesting that its inhibition of cell proliferation could depend on loss of Erbb-2/Erbb-3 heterodimer formation. Loss of Sema6A by siRNA caused a very low reduction of Erbb-2 expression and of ERK activity suggesting that in these cells Erbb-2 homodimer may still contribute to cell proliferation. However, when the cells were forced to adhere to fibronectin (FN) we did not find cleavage of
Figure 6: Silencing Mical1 induces apoptosis. (A) siMical-1/BRAF\textsuperscript{V600E} cell lysates from 2/59 and 2/56 clones, and 10538 primary tumor were analyzed at the indicated time post-transfection for expression of Mical1, total and pNDR, and PARP. (B) Apoptosis was evaluated by Annexin-V/PI flow cytometric assay.
Figure 7: Silencing Mical1 induces Caspase 3/7 activation and H2B phosphorylation on Serine 14. (A) siMical-1/BRAFV600E cells were analyzed with Muse™ Caspase-3/7 assay. (B) Caspase-3/7 activity after transfection with siScr (black bars) or siMICAL1 (white bars) is reported. (C) Cells plated on poly-l lysine coated slides, stained with phalloidin-TRITC, and anti-H2B-pS14 that co-stains with Hoechst of apoptotic nuclei of siMical-1/BRAFV600E cells. (D) Scale bar is 10 μm. Histogram reported the percentage of H2B-pS14 positive cells.
PARP and activation of caspase 3.
Previous studies have shown that depletion of Sema6A in endothelial cells reduces VEGFR2 expression and abolishes its phosphorylation, thus inducing cell death. Interestingly, stimulation by VEGF did not restore cell proliferation in Sema6A-depleted endothelial cells, demonstrating that Sema6A mainly control proliferation through the VEGFR2 receptor [22]. Overall, the results of this study add further evidence for a direct role of SEMA6A as regulator of cell proliferation even in neoplastic cells.
Cells with depleted Sema6A showed loss of stress fiber and actin distribution exclusively under the cell membrane. This was associated with loss of adhesion to the substrate, reduced growth in soft agar, inhibition of chemotaxis and invasion. In agreement, there are several evidences demonstrating that semaphorins control the adhesion regulating integrin function in vascular morphogenesis and cancer progression [35-36]. In particular, it has been shown that Sema3A impairs endothelial cell adhesion and migration by inhibiting integrin activation [35]. In contrast but in agreement with our data, Sema3C promotes endothelial cell adhesion and migration by increasing integrin activity [36]. It is also been described that neuropilins interacting with numerous growth factors receptor and semaphorins promote tumor progression [37]. All these data suggest the complexity of Semaphorins functions and that there is much still to be learned about their involvement in tumor initiation, growth, and metastatization.
Our study demonstrated strong capability of BRAFV600E clones to metastasize in mice, and in agreement with previous results [20], to form high number of big colonies in soft agar compared to NRASQ61R clones. These data were further confirmed by the strong acquired capability of NRASQ61R clones, overexpressing Sema6A, to grow in soft agar and to metastasize in vitro and in vivo suggesting a specific role of Sema6A regulating tumor progression. These finding are strongly in agreement with previous study showing that Sema6A represents, in melanoma cell line M14, one of the major modulated genes in response to MAPK inhibitor PD0325901 [38] and with our data showing that Vemurafenib treatment increases Sema6A expression in vemurafenib-resistant cells but inhibits Sema6A expression in the vemurafenib-responsive cells (unpublished data).
PlexinA2 and PlexinA4, known Sema6A receptors [39-40], showed differential expression in BRAF-mutant clones and melanomas, indicating that in such tumors only Plexin-A4 acted as Sema6A receptor. We hypothesized that depletion of Plexin-A4 may recapitulate the effects of Sema6A silencing. However, PlexinA4 silencing did not induce any of the effects of Sema6A depletion, suggesting that other, as yet unidentified, receptors could be involved. This result is in agreement with the finding that Sema6A regulates angiogenesis by a mechanism that is PlexinA2- and PlexinA4-independent [22].
The other Sema/Plexin pathway-related molecule we found highly expressed in BRAFV600E cells and tumors compared to NRASQ61R cells, WT tumors and nevi, is Mical1. In vertebrates, this molecule interact with class A Plexins [41], suggesting that it could be a mediator of Sema6A signaling in melanoma cells. However, MICAL1 silencing, as well as PlexinA4, did not produce the same effects as Sema6A depletion. Specifically, we observed early and massive cell death by apoptosis in all cell lines tested suggesting that Mical1 plays a Sema6A-independent role in these tumors. These results are in agreement with the finding that Mical1 control cell survival by binding to the phosphorylation site of NDR, that in turn inhibits NDR phosphorylation-dependent apoptosis [29]. Indeed, Mical-1 depletion induced NDR phosphorylation and cell death by apoptosis.
In conclusion our results revealed that BRAFV600E melanomas express high level of Sema6A and MICAL1 whose functions are strongly involved in the mechanisms that control cell proliferation and survival. Our results strongly support the hypothesis that both molecules could represent new potentially relevant therapeutic targets in BRAFV600E melanoma as emerging from recent literature [41-42].
**METHODS**
**Cell lines and Transfection**
BRAFV600E melanoma cell lines were derived from primary tumor (10538), from lymph node metastases (4686, 4023, 18732, 18656, 15392, 14464), and from s.c. 665/2 metastasis. All melanoma cell lines were isolated from surgical specimens of melanoma patients, not previously subjected to chemotherapy and admitted to Fondazione IRCCS Istituto Nazionale dei Tumori, Milan. All lesions were histologically confirmed to be cutaneous malignant melanomas [20, 43-45]. From the parental cell line 665/2 (P), which was previously shown to be a heterogeneous tumor consisting of BRAF- as well as of NRAS-mutant cells (46, 20), several BRAFV600E clones (2/21, 2/33, 2/56, 2/59) or NRASQ61R clones (2/4, 2/14, 2/17, 2/51) were established as described (46). Selection of clones for the study was based on the intention to select those with the most known and relevant phenotypic differences, as previously described [20, 46-48].
The study was conducted according to the Declaration of Helsinki Principles, and following institutional guidelines. Molecular and biological features of the cell lines and clones, are described in refs [20, 43, 46]. Methods for identification of mutations in BRAF and NRAS have been previously reported [20, 43].
BRAFV600E clones and primary tumor 10538, were
depleted for Sem6A, Mical1, and PlexinA4 expression with specific siRNA (siSem6A, siMical1, siPlexinA4) or scramble (siScr) as described [49]. The siRNAs were either generated by Silencer® siRNA construction kit (Ambion, Glasgow, UK) or purchased from Origene or Life Technologies.
Template oligonucleotides sequences were:
SEMA6A-5’AAATAGTCGCGGCGACTACTTCC
TGTCTC3’
5’AAAAGTAGTCGCGGCGACTATCCGTCTC3’
SEMA6A (2): AS: 5’-
AAGCCTTGCTGCTATAATTACCTGTCTC – 3’
S: 5’ –
AATGAAATATAGCAGCAAGGCCCTGTCTC – 3’
SEMA6A (3): Life Technologies, Code N. AMI6708
MICAL1-5’AAAGGCAGTCAAATTCAATAGTCTCC
TGTCTC3’
5’AAAACTATGAATTTGACGTCCCCCTGTCTC3’
MICAL1 (2): AS: 5’-
AACTACTGGAGCGCCAAGTCACCTGTCTC – 3’
S: 5’-
AATGACTTGGCGCTCCAGTAGCCCTGTCTC – 3’
MICAL1(3): Origene, Code N. SR312119
PLEXIN A4
5’AAGCACCGGTCATTTTGCAACACCTGTCTC 3’
5’AATGTGACAATAGACCCTGTGCCCTGTCTC
3’
Scr1-5’AAGCGCAACTCTACCTCTACCTGTTC
TC3’
5’AATAGAGGTAGAGTTGCGCGCCCTG
TCTC3’
Scr2-5’AATAGAGGTAGAGTTGCGCGCCCTGT
CTC3’
5’AAGCGCGCAACTCTACCTCTACCTGTCTC3’
Antibodies
Anti-Sema6A and anti-Mical1 (SIGMA-Aldrich, MO, USA), anti-total and phospho-ser473-Akt, anti-total and phospho-ERK 1/2, and anti-PARP were from Cell Signaling (Milan, Italy), anti-ErbB-2, anti-ErbB-3, anti-Caspase 3, and anti-Hsp-70 (Oncogene, MA, USA), (Santa Cruz Biotechnology, CA, USA), and (Stressgen, NY, USA), anti-phospho-NDR(Thr444) was provided by Dr. Brian Hemmings (Friedrich Miescher Institute for Biomedical Research, Basel), anti-total NDR and anti-phospho-H2B-S14, and HRP-conjugated secondary antibodies were from (Millipore, Billerica, MA, USA), and (Bio-Rad, CA, USA). For IHC, the secondary antibody was used as internal control.
Western Blots
Clones and cell lines, before and after transfection, were lysed, analyzed by SDS-PAGE and probed (WB) with antibodies of interest and secondary HRP-conjugated antibodies [49]. Signals were detected by LuminataTM Classico Western HRP substrate (Millipore). Same amount of total protein from three independent experiments were pooled and analyzed.
In vivo experiments
CD-1 male nude (nu/nu) mice, 6–8 weeks old and weighing 22–24 g were purchased from Charles River Laboratories (Calco, Italy). The procedures involving mice were in compliance with Regina Elena National Cancer Institute animal care guidelines and with national and international directives (D.L. March 4, 2014, no. 26; directive 2010/63/EU of the European parliament and of the council: Guide for the Care and Use of Laboratory Animals, United States National Research Council, 2011).
For the intracardiac experimental metastasis model, nude mice (age 8–10 weeks) were anesthetized and injected with $2 \times 10^6$ cells of NRAS$^{601R}$ (2/14, 2/17) or BRAF$^{V600E}$ (2/21, 2/33) clones, suspended in 100 $\mu l$ sterile PBS, into the left ventricle of the heart by nonsurgical means. The spontaneous, pulsatile entrance of bright red oxygenated blood into the transparent needle hub indicated proper positioning of the needle. After 5 weeks, the mice were sacrificed; selected organs were excised from the mice at necropsy and were preserved in 10% formalin solution for subsequent scoring of metastasis. NRAS$^{601R}$(2/14, 2/17) and NRAS/Sema6A cells (2/14, and 2/17) were injected intracardially as above described, and after 7 weeks the mice were sacrificed and the organs were processed and analyzed as described above. Box plot of in vivo metastasis analysis was obtained by software Prism version 6.0.
Gene expression profiles
Gene expression profiles of BRAF$^{V600E}$ and NRAS$^{601R}$ melanoma clones isolated from 665/2 cell line were assessed as described [44]. Three biological replicates of each clone were analyzed. Single-color hybridization of RNAs was performed on Illumina Bead Chip HumanHT-12_v4 Microarrays (Illumina) containing more than 48,000 transcript probes. The expression profiles have been deposited in NCBI’s Gene Expression Omnibus (GEO) with GSE accession number GSE58199. Background correction, filtering of data, and quantile normalization were done with BeadStudio Illumina software. Analysis for differentially expressed genes was carried out by BRB-array Tools (Vers.4.3.0)
software. Class comparison was carried out by a random-variance F-test with a nominal significance level of 0.001. Permutation $P$ values for significant genes were computed based on 10,000 random permutations.
**Quantitative RT-PCR**
Total RNA from NRAS$^{261R}$ and BRAF$^{V600E}$ clones was prepared using TRIzol® (Ambion). First-strand cDNA was synthesized with the M-MLV RT kit (Invitrogen, Glasgow, UK). Human tissue samples were obtained from the Regina Elena National Cancer Institute, after approval by the institutional ethic committee. Total RNA, derived from nevi, BRAF$^{V600E}$ and wild type (WT) melanoma, was isolated by PureLink FFPE kit (Invitrogen), and reverse-transcribed using PrimeScript RT reagent kit (Takara). Quantitative PCR (qPCR) was performed using SYBR Green on an ABI Prism 7500 apparatus (Applied Biosystems, Glasgow, UK) in 2 independent experiments in triplicate. The comparative threshold ($\Delta Ct$) method was used.
Primer sequences were:
SEMA6A-Fw-
5’ACAATTCCTTTGTGGCACTGAA,
Rev5’TCTTTAGCCGTGGAAATCTGA
MICAL1-Fw-5’ATGGGCAGCCTGATGTCTCT,
Rev5’GGCGCCATGCTCTCTTGT
PLEXINA4-Fw-5’TGGCTCAGGGACACC,
Rev5’GACGGAGATAATTGTITGGATG
HER3-Fw5’ GCAGGATTTGGTATGTATTITTCATG,
Rev-5’TATCGCCCTCATAGCCCCTTTTATTC
GAPDH-Fw-5’TCCCTTGAGCTGAAACGGGAAG,
Rev5’-GGAGGAGTGGGTGTGCGCTGT
**Immunohistochemistry**
Formalin-fixed paraffin-embedded sections from melanoma lymph node metastases of patients treated at the Regina Elena National Cancer Institute (53 BRAFV600E melanomas, 43 BRAF WT, and 8 nevi) were analyzed as described [42]. Antigen retrieval was performed at 96°C (10 mM/L citrate buffer, pH 6) for 20 minutes. Sections were incubated with the primary antibody anti-Mical-1 1:100 (Sigma Prestige), anti-SEMA6A 1:50 (Sigma Prestige) for 30 minutes at room temperature. Immunoreactions were revealed by Bond Polymer Refine Detection Kit according to manufacturer’s procedure (Leica Biosystems) in an automated autostainer Bond III Leica Biosystems. Diaminobenzidine was used as chromogenic substrate. Microscope Nikon ECLIPSE 55i with digital camera HESP Technology was used. Scale bars 30 µm. The study was reviewed and approved by the ethical committee of Regina Elena National Cancer Institute, and informed consent was obtained from all patients.
**Cell adhesion, Immunofluorescence, Invasion and chemotaxis assays**
siSema6A-, and siScr/BRAF$^{V600E}$ cells, 24 hours post-transfection were plated onto fibronectin (FN)-coated dishes (20 µg/ml, SIGMA-Aldrich), or culture dishes or poly-l-lysine coated slides and 24 hours later analyzed by immunofluorescence. The cells incubated with Phalloidin-Tetramethylrhodamine B isothiocyanate (TRITC) were counterstained with Hoechst to highlight nuclei (SIGMA-Aldrich). For Tunel assay, siSema6A-, and siScr/BRAF$^{V600E}$ cells, 24 hours post-transfection were plated onto FN-coated or poly-l-lysine coated slides, as above described. 48 hours post-transfection TUNEL assay was performed following manufacturer’s instructions (Millipore). Microscope OLYMPUS BX53 was used to evaluate fluorescence and Tunel. Scale bars 20 µm. NRAS/Sema6A cells chemoinvasion was assessed as described [49] by overexpression of pUSENMC-Sema6A expression vector, kindly provided by Silvia Prisile (University Cattolica, Rome) [50]. Chemoinvasion or chemotaxis assays after depletion of Sema6A in BRAF and NRAS mutant cells, were performed as previously described [49]. Each assay was carried out in quadruplicate and repeated at least three times.
**Soft agar assay**
siSema6A, siScr/BRAF$^{V600E}$, and Sema6A/NRAS$^{261R}$ cells were transfected and 48 hours later cells ($5 \times 10^4$) were plated onto 0.4% agar. After 2 weeks viable colonies were counted [42] by the software ImageJ 1.47v (NHI, USA).
**Cell death, apoptosis, and caspase activity**
siMical1-, siSema6A-, and siScr/BRAF$^{V600E}$ cells were plated at concentration of $4 \times 10^5$. After 30, and 36 hours cell vitality was evaluated by Trypan blue exclusion. Apoptosis was assessed by staining with FITC-conjugated Annexin-V and Propidium Iodide (BD Pharmingen, BD Biosciences San Diego, CA). The samples were acquired by FACS Calibur flow cytometer (BD). Enzymatic activity of caspases-3/7 was measured with Muse™ Caspase-3/7 Assay Kit and read by Muse™ Cell Analyzer (Millipore).
**Statistical analysis**
Data were reported as mean and standard deviation. Differences were considered statistically significant when P≤0.05. All analyses were performed using SPSS, version 17.0 (SPSS, Chicago, Illinois). Student T test was performed for the comparison of results from qRT-PCR and from all other different test (*P<0.05, **P<0.001, ***P<0.0001).
Disclosure of Potential Conflict of Interest
No potential conflicts of interest were disclosed
ACKNOLEDGEMENTS
The authors thank M. Fanciulli, P. Zizza, S. Giordano, and L. Tamagnone for critical discussion and suggestion, E. Gaucci for technical support, and S. Bacchetti for revision of the manuscript.
Grant Support
R.F. is supported by: New Idea Award (Ministero della Salute), Filas, and Italian Association for Cancer Research (AIRC) 5x1000 (SPMCO 9979); R.M. is supported by AIRC (IG 12020).
Conflict of interest
No potential conflicts of interest were disclosed
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Precipitation Effect on Mg$^{2+}$ Ions Sorption by FePO$_4$
A. NAEEM, S. MUSTAFA*, B.DILARA, A.HAMID AND S.MURTAZA
National Centre of Excellence in Physical Chemistry
University of Peshawar, Peshawar, Pakistan
(Received 8th February, 2003, revised 22nd May, 2004)
Summary: Potentiometric titrations of FePO$_4$ in the presence of Mg$^{2+}$ were carried out under different experimental conditions. The precipitation of Mg$^{2+}$ ions in the absence of FePO$_4$ was measured potentiometrically as a function of concentration, pH and temperature. The shift of the titration curves at a given temperature in the presence of exchanger (FePO$_4$) is related to the metal ions adsorption at pH values below the plateau formation in the titration curves. It was found that the process of uptake of the Mg$^{2+}$ changes from adsorption to precipitation with the increase in concentration, pH and temperature.
Introduction
Ion exchange sorption is an important process for the removal of heavy metals from an aquatic environment which is in contact with the soil or the suspended solids. Sorption processes include some solute accumulation processes onto a solid surface such as adsorption, ion exchange, precipitation, co-precipitation and polymerization [1]. These processes often act together, and the dominance of one specific process over the others is often hard to distinguish without careful chemical measurements and advanced analytical techniques. The ion exchange sorption of metal cations on various exchangers has been undertaken in great detail [1-5]. We have also reported in detail about the sorption properties of some new ion exchange materials such as AlPO$_4$ [6, 7], CrPO$_4$ [8] and FePO$_4$ [9, 10]. However, no detailed study has been reported on these adsorbents regarding their precipitation [11] effect on the adsorption process of metal ions. During the present investigation an attempt has been made to evaluate potentiometrically the effect of precipitation on the ion exchange sorption of Mg$^{2+}$ by FePO$_4$ particles. The study is significant as it may provide an insight in understanding the interaction of the Mg$^{2+}$ with the naturally occurring FePO$_4$ i.e. strangite.
Results and Discussion
Characterization of FePO$_4$
The surface area of the FePO$_4$ was found to be $60 \pm 1$ m$^2$/g and the X-ray diffraction showed that the sample is amorphous in nature. The wet chemical analysis gave a value of 1.09 for Fe/P molar ratio, which is close to the ideal value of 1.00. The thermal analysis of the sample indicated that the formula of the solid was FePO$_4$. 2H$_2$O as on the average 2 moles of water molecules were lost when the solid was heated to $600 \pm 5^\circ$C.
Potentiometric Titration Studies of the FePO$_4$
The potentiometric titration curves of FePO$_4$ in the presence of Mg$^{2+}$ ions are given in Figs. 1 and 2. Fig. 1 shows that that the divalent Mg$^{2+}$ ions shift the curves towards lower pH values as compared to the alkali metal K$^+$ ions. This shift in the curves of Figs. 1 and 2 increases with the increase in temperature of the system, and indicates that the sorption of the divalent metal cations is accompanied by greater release of the H$^+$ ions from the exchanger into the suspension. The shift in the titration curves towards the low pH values in the presence of divalent metal cations is also indicative of the release of protons from the solid surface by the sorbed metal cations [6-11] and hydrolysis/precipitation of the metal cations which are involved in the liberation of protons. As such, the decrease in the pH of the aqueous suspension may be represented by the following possible mechanisms:
Hydrolysis of Mg$^{2+}$
$$\text{Mg}^{2+} + \text{H}_2\text{O} \iff \text{MgOH}^+ + \text{H}^+ \quad (1)$$
Precipitation of the Mg$^{2+}$
$$\text{Mg}^{2+} + 2\text{H}_2\text{O} \iff \text{Mg(OH)}_2^{2+} + 2\text{H}^+ \quad (2)$$
Cation exchange reaction
$$\text{nP-OH} + \text{Mg}^{2+} \iff (\text{P-O})_n\text{Mg}^{2-n} + \text{nH}^+ \quad (3)$$
Hydrolysis of the FePO$_4$
$$\text{FePO}_4 + 2\text{H}_2\text{O} \iff \text{Fe(OH)}_2^+ + \text{HPO}_4^{2-} + \text{H}^+ \quad (4)$$
*To whom all correspondence should be addressed.
The exchanger, FePO₄, was observed to be hydrolytically stable as its dissolution was found to be almost negligible under the given experimental conditions [7, 8]. Thus, the possibility of reaction (4) may be ruled out and the release of protons may be attributed either to the hydrolysis/precipitation (reactions 1 and 2) or to the cation exchange process (reaction 3).
To distinguish between the ion exchange sorption and the precipitation of metal ions, blank titration curves of Mg²⁺ (without FePO₄) along with 0.1M KCl are also presented in Figs. 1 and 2. It can be seen from these curves that a marked shift in the presence of FePO₄ occurred towards lower pH values in comparison with the blank titration curves of the divalent metal cations. The protons responsible for the ion exchange reaction can be calculated from the difference between the blank run and each curve of the Mg²⁺ ions in the presence of the FePO₄. The ratio of the excess amount of the base consumed in the presence of the FePO₄ gives the concentration of the surface protons responsible for the sorption of metal cations [7, 10, 11]. The shape of the curves (Figs. 3, 4) demonstrates that precipitation effect is negligible for lower concentrations of the metal cation at high pH and temperature, showing that the H⁺ ions are released from the FePO₄ into the aqueous phase according to reaction (3). However, the effect of precipitation becomes pronounced only when concentration of the divalent metal cations in solution is increased beyond a certain limit (Figs. 3, 4). These results suggest that at high concentration of Mg²⁺ ions the sorption process is replaced by precipitation. The curves given in Figs. 1 and 2 also demonstrate that the temperature plays an important role in precipitation of the Mg²⁺ ions. Moreover, the plateau
Fig. 1: Potentiometric titration curves of FePO₄ in the presence of 20 ppm Mg²⁺ at different temperatures. (dotted lines represent the titration curves of Mg²⁺ in the absence of FePO₄).
Fig. 2: Potentiometric titration curves of FePO₄ in the presence of 500 ppm Mg²⁺ at different temperatures. (dotted lines represent the titration curves of Mg²⁺ in the absence of FePO₄).
Fig. 3: Potentiometric titration curves of different concentrations of Mg²⁺ only at 303K.
formation takes place at lower pH values at higher temperatures, confirming that at higher temperatures the precipitation of metal cations is favored.
**Experimental**
FePO$_4$ as desired elsewhere [8] prepared in the laboratory was well characterized. All solutions were made with ACS grade chemicals and doubly distilled deionized water.
**Potentiometric Titrations of FePO$_4$**
Sixty milliliters (ml) of Mg$^{2+}$ ions of different concentrations (20 – 500 ppm) along with the background electrolyte (0.1M KCl) containing 0.2 g solid sample were taken in a thermostated double-walled pyrex cell. The suspension was initially equilibrated for 30 minutes with constant stirring by using a magnetic stirrer at the desired temperatures (303, 313 and 323 K). After equilibration, pH of the suspension was measured with pH meter model Orion Sa 520. The standardized solution of potassium hydroxide was added by means of microburette with intervals of 0.2 ml. After each addition of the base, suspension was further equilibrated for 2 minutes with constant stirring, at the end of which the changes were less than 0.01 pH units/minute. The blank titrations were performed under similar conditions of pH, temperature and concentration of the metal cations in aqueous solutions. The only difference in the experimental procedure was that in case of a blank titration, no FePO$_4$ was present in the solutions of Mg$^{2+}$ cations.
**Conclusions**
From the potentiometric titration data, it can be summarized that ion exchange sorption is more favorable process for the uptake of Mg$^{2+}$ by FePO$_4$ at low concentration, temperature and pH, which changes into precipitation with the increase in concentration, temperature and pH of the aqueous solution.
**References**
1. K. Dorfner, *Ion Exchangers*, Walter de Gruyter Berlin, New York (1991).
2. W. Stumm, and J.J. Morgan, *Aquatic Chemistry, An Introduction Emphasizing Chemical Equilibria in Natural Waters*, Ed.2nd, John Wiley and Sons, New York, p. 283 (1981).
3. J. Perrone, B. Fourest, and E. Giffaut, *J. Colloid Interface Sci.* **239**, 303 (2001).
4. A. Clearfield, *Inorganic Ion Exchange Materials*, CRC Press Boca Raton Fl, (1982).
5. P. Schaad, F. Pournier, G.C. Voegel and P. Gramain, *Colloids Surf.* **121**, 217 (1997).
6. S. Mustafa, A. Naeem, and N. Rehana, *J. Chem. Soc. Faraday Trans.* **89**, 3843 (1993).
7. A. Naeem, S.Mustafa and N. Rehana, *J. Colloid Interface Sci.*, **252**, 6 (2002).
8. S.Mustafa, A. Naeem, and N. Rehana, *J. Colloid Interface Sci.*, **220**, 63 (1999).
9. A. Naeem, S.Mustafa, and N. Rehana, *Environmental Technol.*, **23**, 583 (2003).
10. S. Mustafa, A. Naeem, and N. Rehana, *Adsorption Sci Technol.*, **19**, 701 (2001).
11. A. Naeem, S.Mustafa, B. Dilara and N. Rehana, *J. Chem. Soc. Pak.*, **25**, 98 (2003).
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RESULTS NOT RESOLUTIONS
January Newsletter
DID YOU KNOW?
The Y recommends these 5 resolutions to help you stick to your lifestyle changes:
1. Move more and incorporate at least 30 minutes of physical activity into your day.
2. Swap a soda a day for a large glass of water.
3. Schedule family time.
4. Volunteer your time.
5. Put extra canned goods or items to good use by donating to a local shelter or outreach program.
EMPOWER MORE THAN YOURSELF
Open House & Health Fair | Saturday, January 5th 10 a.m. – 2 p.m.
We are inviting the public to come try the Y out and learn the keys to a successful journey of health with our Open House & Community Health Fair. You don’t want to miss this!
JOIN FOR A $0 JOIN FEE!
FREE Y MEMBER DURING EVENT HOURS
GROUP EXERCISE SAMPLERS
ROCK CLIMBING WALL
TODDLER & YOUTH SPORTS SAMPLERS
TOURS EVERY HOUR
HEALTHY VENDORS WITH PRIZES & MUCH MORE!
INFO TO KNOW
HAPPY NEW YEAR EVERYONE!
We are open from 11-5 on New Years Day.
NEW GROUP EXERCISE SCHEDULE STARTS JANUARY 1!
NEW PROGRAM CHECK-IN GUIDELINES
Please see the e-mail sent Dec. 20th. All program participants are required to check in before going to their program. Members will scan in as they would for membership. Community members will need to obtain a program card from the front desk.
LEARN GROW PLAY
Tots Play Program - Winter Indoor Soccer
The Tots Play Program is a sports instructional program, created specifically for children ages two to four years old. Season: January 29th – March 5th
BUILD SKILLS & TEAMWORK
Rookie Sports - Winter Indoor Soccer
This program is a progression from our Tots Play Program for the next age level, five to eight years old. It teaches sport related skills and how to transition skills into game situations and team play. Season: January 8th – February 26th
TIME FOR YOURSELF
Friday Fun Nights: Parents’ Nights Out
The Parents can drop off the kids for a night full of fun while you enjoy some time to yourself. In our Parents’ Nights out, kids will participate in a variety of stimulating games or activities to keep them active and engaged, and you get a night out! Pizza, snack & juice provided to the kids. There is a small fee and you must register the Thursday prior to.
Active Arcade | Jan. 11th | 5:30-8 p.m.
Art+Science=Messy | Feb. 8th | 5:30-8 p.m.
THE WATER IS MY SKY
100 Mile Swim Club | January-April
GO THE DISTANCE IN 2019!
Keep track of your mileage in the pool to stay motivated and win prizes. All Y Members are welcome to participate! Each swimmer will log their laps each day that they swim on a mileage tracker located on the pool deck. Small incentives and a T-shirts can be earned for those who finish! It is free to all Y members, but you must register at the front desk or online.
*70.4 lengths = 1 mile
LOYAL MEMBERS!
Congratulations! We appreciate your membership and hope that you will share your story of how the Y has impacted your life by emailing [email protected]. Pick up your prize at the front desk!
2-5 YEARS: ARVELLE MOORE
6-10 YEARS: GLENDAIZ CONCEPCION
11-20 YEARS: FELISA BULLOCK
21-30 YEARS: LISA BARRINGER
CEO MESSAGE
“As a leading community service organization, we see how getting involved in the community and making lifestyle changes can change someone’s life for the better. As you change your calendar from December to January, there’s always a bit of a thrill in the promise of a new year that’s full of potential. The New Year is a chance to start fresh and say goodbye to any of the frustrations the previous year held—a perfect opportunity to make resolutions that will help strengthen one’s spirit, mind and body. By reframing resolutions and breaking them down into smaller, easy-to-sustain goals you’ll see big benefits in the long run.”
MODIFIED MOVES
MAXIMUM RESULTS
Enhance®Fitness – NEW Group Exercise Program for those with arthritis or other chronic conditions
Enhance®Fitness is geared toward older adults of all fitness levels. If you have a chronic condition, such as arthritis, you may be able to gain more strength and independence. Each class is taught by a certified instructor and focuses on cardiovascular endurance, strength, flexibility, and balance. Must register in advance.
1st session: January 7th – May 2nd
Free for Members | $50/Community Members
TAKE CONTROL
Healthy Living Diabetes Awareness Program
In partnership with the Nash County Health Department; we invite the community join us in our NEW & FREE diabetes program. You must register in advance. During our quarterly sessions you will learn how to manage levels, track fat and calories, practice healthy eating habits, manage stress and much more. This is taught by Diabetes Lifestyle Coaches from the Health Department.
1st session: February 11th | 5:30 p.m.
YOU´RE SWEET. I´M NUTS
BUT WE´RE BETTER TOGETHER!
NEW! – 1st Saturday PB&J Days
The Better Health Channel states that exercising with a friend or loved one can make it more fun, and increase your chances of sticking to your exercise plan. That is why we are inviting all members, the 1st Saturday of every month to bring a friend for FREE for the day! Members & Guests can pick up their fun Peanut Butter & Jelly shirt from the Front Desk after completion of your exercise that day. Begins on Saturday, February 9th!
FEEL THE LOVE
Member Appreciation Week | February 11th – 17th
We love our members and want to show you how much we care with our annual member appreciation week, during the week of Valentine’s Day and lots of love! Stay tuned for details on what we will be offering including a new Power Pulse Challenge with prizes, Aqua Zumba, a dog walk, aquatics stroke clinic and more!
WHISTLE WORTHY?
Lifeguard Re-Certification Course
Learn the skills and knowledge necessary to prevent and respond to aquatic emergencies.
January 21st | 8 a.m. – 6 p.m.
CARE WHEN YOU NEED IT
School Break Camp: Martin Luther King, Jr. Day/Teacher Workday
Activities include swimming, games, sports, physical fitness, arts & crafts, homework help and more! Please bring swimwear and a towel. Breakfast, lunch, and snack will be provided to you. Please pay fees and complete registration forms in advance.
January 21st – January 22nd | 6:30 a.m. – 6:00 p.m.
A DAY OF SERVICE
Martin Luther King Jr. Day
“Everybody can be great...Because anybody can serve. You don’t have to have a college degree to serve. You don’t have to make your subject and verb agree to serve. You only need a heart full of grace. A soul generated by love.” ~Martin Luther King Jr. On Monday, January 21st, Martin Luther King Jr. Day, we encourage you to use it as a day of service. Instead of being a day that you have off from school or work, please consider making it a day on. A day in which you offer your time and talent to your community. At the Y, we offer various opportunities to volunteer. One of our most prideful volunteer service programs is titled, Togetherhood®. This program allows people to activate their social responsibility by planning and helping out with community projects throughout the year. Visit our volunteer portal to learn more: harrison-familyy.volunteermatters.org/project-catalog
IMPACT STORY
Harriet Buss “My Y story started over 20 years ago at the old Y branch. Back then, I was in the army and needed to pass a physical fitness test, so I decided to try out the Y. I found a love for the Y because it offered so much variety for a healthy lifestyle. In 2007, spin bikes were new and all the rage, so I tried a spin class. I hated being on the bike at first and it was hard, but it felt so good afterward! I definitely would say it was a love, hate relationship. 2007 began my journey of traveling long distance on an outdoor bike. I had a colleague whose daughter had a bike and they encouraged me to get one as well. I fell in love with riding. Then in 2017 was my very 1st time traveling across the country and I fell in love with that even more. I figure at age 69, if you are going to do something, you better start doing it! Once I retired from the military after 52 years, my new goal had to be healthy. I had so much structure and I needed to keep that structure, so the Y became that for me. Outside of my love for biking across the country, I enjoy using the Y for a variety of exercise classes. I also never knew how to swim my whole life. My husband taught me at the Y when I was 66. I would tell anyone to never think you can’t learn to swim later in life. I am so glad that I did. The Y has so many options and gives people the opportunity to find their niche. It is multi-generational and multi-cultural. The Y is truly for all and truly a community. I have met so many people here that I would not have met if it wasn’t for the Y. You learn so many amazing stories. And “us old people” have to be socially active too! I also volunteer for the Y’s annual campaign because I believe in their mission “for all”. The Y is a great thing and all people need to be able to access it; especially children. The Y is an equalizer for opportunities and could be a lifeline for so many people. I am just happy that I can give back to the organization that has been a huge part of my life in so many ways.”
CAUSE-DRIVEN LEADER
Yvonne Ruffin | Childcare Counselor
“I have worked at the Y for 2 years. My favorite food is barbeque ribs. My favorite thing about my job at the Y is being around the kids. It is such an enjoyment being involved with them and knowing that I can and will make a difference. I also love the communication I have with the kids, staff, and everyone at the Y! A fun fact about me is that I am a people person; I enjoy being happy and seeing and making others around me happy!”
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INDORE CHAPTER
09 th MANAGEMENT SKILLS ORIENTATION PROGRAMME [MSOP]
INDORE CHAPTER OF ICSI is conducting its 09 TH MANAGEMENT SKILLS ORIENTATION PROGRAMME [MSOP] from 23 rd January, 2017 to 08 th February, 2017 at Indore.
Dates are tentative subject to availability of minimum number of participants required as per guideline. The participation fee is Rs 7,500/-(cash or Cheuqe/DD should be in favor of 'ICSI Indore Chapter'). Participants can also register by making payment online by depositing the amount in the below mentioned account. (Note:- Please mail the scanned copy of registration form and all required documents at [email protected] before making payment online, once approved than mail the scanned copy of Payment receipt):
IMPORTANT INSTRUCTIONS
Enclosures: - As per the revised guidelines only such Final/ Professional Programme passed candidates are to be allowed to undergo MSOP, who have already completed rest all training requirements to become member of the Institute or have been granted exemption from the same from the Institute. Documents require alongwith application form is as following:-
Final/Professional Passed Certificate (or Mark sheet of all groups of Final / Professional Programme).
TOP/ EDP/PDP Completion Certificate if applicable,
15/12 months Training completion certificate with Sponsorship letter of ICSI.
Certificate of 15 days training with specialized agency i.e. ROC/Stock Exchange of Financial/Banking Institutions.
If the candidate is exempted from undergoing training Photocopy of Institute's letter confirming the exemption
One Page Resume in soft copy.
Rules:
The MSOP batch is Non-Residential and student have to arrange accommodation at their own.
Working Lunch will be provided by Chapter.
Participants of the program are expected to maintain complete decorum and discipline.
Mobile & all other electronic devices should be kept in switched off mode.
Dress code as mentioned below is strictly compulsory to follow all the days.
Follow Do's and Don'ts during the program as explained by Program coordinator.
Training hall will be covered under CCTV & strict action will be taken on any non-compliance.
Dress Code:-
i. For male participants: On Inaugural day of the program, Valedictory session and day of Project report presentation, participants should wear full sleeve white shirt + dark colour trouser + matching tie. During winter seasons, participants may also wear suit. On rest all days of training, they are to come in formal dress.
ii. For female participants: Formal dress.
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ISSN Print: 2394-7500
ISSN Online: 2394-5869
Impact Factor: 5.2
IJAR 2017; 3(9): 581-586 www.allresearchjournal.com
Received: 26-07-2017
Accepted: 27-08-2017
Functioning of fisheries co-operative societies: A special reference to Uttara Kannada District, Karnataka State
Dr. Narayan D Arundhekar
Guest Lecturer, Department of Economics, Government First Grade College, Navabhag, Vijaypur, Karnataka, India
Correspondence Dr. Narayan D Arundhekar Guest Lecturer, Department of Economics, Government First Grade College, Navabhag, Vijaypur, Karnataka, India
Dr. Narayan D Arundhekar
Abstract
In this paper, it was detailed on Structural and functional aspects of Fisheries cooperative societies by locating brief organizational aspects area and its membership, awareness on Fisheries cooperative societies, fundamental issues of awareness, reasons for joining cooperative societies, managerial aspects, facilities and services of cooperative societies, membership aspects, relations between the production and cooperative societies, sale and payments under cooperative societies, nature of activity in Fisheries co-operative society, credit assistance, employment and livelihoods in co-operatives, infrastructural facilities for fish marketing and other institutional aspects. In fact, Fisheries cooperatives have emerged from the philosophical foundations, as it was discussed in previous chapters, of communist ideological frameworks though these societies have been promoted by the government under the Department of Fisheries which took up the matter with great importance for the socioeconomic development of Fisheries along with the scheme for the mechanization of fishing boats.
Keywords: Fishermen, Structural, Fisheries Cooperative Societies
Introduction
The successive governments have encouraged the organizational based primary village cooperatives with the promotion of incentives such as the provision of mechanized boats, long-term loans and grants in inland fishing areas. Moreover, governments have made it clear that the high-subsidy mechanized boats would be given only to Fisheries cooperatives. But in dry land and semi-land areas like Karnataka state, the government's proposal cannot be applied as these societies function purely on seasonal mode since the tanks largely dependent on rainy season and to some extent canal irrigation. Nonetheless, the canal system has its intrinsic relation with rainy seasons. Hence, rain water is the significant factor in this study's tanks and societies' areas.
It was not clear in the field areas even that whether the government support was through the cooperatives or through individuals, but it was clear observed individual approach in the study locations in terms of receiving government support. However, government recognition was observed in all the societies and they have registered under the fishery societies. Though some of the institutional issues such as statutory targets, names on muster rolls, share capital of society, registration, cooperative committees, regular meetings, managerial aspects, procedures in employment and livelihoods 'promotion, distribution of the resources were largely observed. In early 50s in Karnataka state, the fisheries resources of Uttara Kannada, Udupi and Dakshina Kannada districts were thoroughly surveyed during the first plan period. Rare types of fish have been imported from outside the state and introduced in state tanks. Further, for extensive fishery activities, community based societies were formed to improve the conditions of Fisheries and fishing techniques as well. Thus, 54 cooperative societies were formed in Uttara Kannada, Udupi and Dakshina Kannada districts and conferred the leasing rights of fresh water fisheries resources (Rao, N.S. 1986: 123-124). Thus, the district of Uttara Kannada has long history in functioning cooperatives of fisheries since the beginning of plans. Hence, it is significant to locate the present focus on Uttara Kannada district. To begin with, awareness on the Fisheries societies was analyzed and further it was extended to its institutional aspects.
Awareness of Fisheries Cooperative Societies
This research was conducted in order assess the role of cooperatives in Fisheries community development in Uttara Kannada district. The data for this research were obtained by sampling the opinion of about 150 respondents all of which are members of different cooperatives in the study area using simple random sampling technique. The research instrument used was questionnaire administration and the data obtained were analyzed using descriptive statistics (frequencies and percentages). The standard strength of selected villages is 15 and its total membership is 150 in fisheries cooperative societies (Table 1).
Table 1: Members' Awareness
| S. No. | Awareness | In No. S |
|---|---|---|
| 1 | Fisheries Cooperative Societies | 150 |
| 2 | Awareness through Friends and relatives | 150 |
Source: Field Survey
The study showed that sent percent of the respondents were aware of Fisheries cooperative societies. Further, the study was tried to understand the source of awareness as there was huge responses reflected positively on awareness of societies. The major source of getting awareness on the societies is largely emerged as friends and relatives (Table 1).
Membership Status
Table 2: Membership Strength
| S. No. | Strength of Membership | Societies | Frequency |
|---|---|---|---|
| 1 | 500 | 26 | 34.15 |
| 2 | 800 | 11 | 12.2 |
| 3 | 1500 | 27 | 39.02 |
| 4 | 2000 | 7 | 14.63 |
| 5 | Total | 71 | 100 |
Source: Field Survey
Membership in societies is also an important aspect as the societies have diverse nature in terms of social unity and sharing benefits in general and sharing benefits of fishing and profitable marketing of fish products in fishery societies in specific. Keeping in view of this, the study attempted to analyze the membership pattern in this specific study context. The societies' membership is different from one society another ranging from 500 to 2000 and largely divided into four classifications in terms of membership: 500, 800, 1500 and 2000. However, 26 societies have its membership 500 – Sanikatta, Gokarna, Bada, Kagal, Yellapur, Sirasi, Malagi, Pala, Mundagod, Dandeli, Banavasi, Siddapur, Kathgal and Heghade and so on. The membership of 800 category of societies are found only in 11 societies – Manjaguni, Dubbanashashi, Chendia, Horti and Manki apart from other five, however the strength of 1500 was seen in the following societies – Majali, Sadashivagad, Kajubhag, Shunkeri, Amadahalli, Araga, Keni, Alvedande, Ankola, Shirali, Kaikini, Kumata and soon. To end with membership of societies, the strength of membership about 2000 members was observed in Bhaithkol, Belekeri, Tadri, Gangavali, Mavinakurve and Honnavar and Alvekodi village (Table 2).
Enquiries conducted among the Fisheries of the area. The views reveal that the benefits of these cooperatives were given to only active members as profits usually come at the expense of the firm and its shareholders' serious efforts – Fisheries community or members. Ordinary Fisheries can also have the share of membership in the cooperative societies. The share amount, including profits, membership fee, was probably advanced by the society but it was viewed by the member that the profits were distributed only when significant profit deposited in the society. Sometimes societies were function merely to avail schemes of government and in such conditions some of the societies registered with a view to avail the assistance offered by the Government.
But, in this specific context, the majority of the Fisheries, including those who have membership in the societies have not received assistance from governments. Though some of individual benefits are observed, majority viewed that the cooperative movement has not brought about any tangible benefits to the Fisheries in the study areas either in their exploitation of the fishery wealth or in their redemption from the exploitation of the middlemen. The society is governed by its committee, which is chaired by the society's president, according to a set of statutes and standing procedures laid down by the members themselves. The members of committee and the president are elected from and by its fellows, the basic members of the society, who are themselves elected by existing fellows.
Reasons to be Member of Co-operative Society
Generally cooperatives are an autonomous or independent association of persons who voluntarily cooperate for their mutual economic, social, and cultural benefits. There are different kinds cooperatives including non-profit community organizations and businesses that are owned and managed by the people who use its services either a consumer cooperative or the people who work there (a worker cooperative) or by the people who live there (a housing cooperative). Cooperatives are typically based on the cooperative values of "self-help, self-responsibility, democracy and equality, equity and solidarity" and "the seven cooperative principles" (International Cooperative Alliance, 2012). Based on these fundamental conceptual understandings, the study attempted to map the reasons to be part of the cooperatives by an individual.
Table 3: Reasons to be member in the society
| S. No | Reasons | Frequency |
|---|---|---|
| 1 | To get more production | 40 |
| 2 | To get adequate price for production | 99 |
| 3 | To get more profit on sale | 11 |
Source: Field Study
The data represents that majority i.e., 66 per cent of them reasoned to get adequate price for their production followed by to get more production (26.67 per cent) and to get more profits (7.33 per cent). The conceptual understandings also substantiate that cooperatives help people in maximizing mutual economic, social, and cultural benefits. Further it was understood that whether the co-operate societies are helping the members to improve the wages, income and working conditions, it was absolutely observed in the study that the societies facilitate them (members) in better working and income conditions. Apart from the
membership, of the total 150 sampled respondents, 75 per cent members have hold different positions in respective societies and only 25 percent haven't hold the positions. All the societies or cooperatives selected in this study are registered or recognized by the government. Moreover, it was seen that all the members have paid some amount of fees towards their (individual) membership. The membership fee, according to the members, is an instrument through which unity, responsibility and accountability can be built among the members.
Nature of Society
The nature of activity of Fisheries cooperative society is largely seen in two ways - Providing credit, Marketing (30.33 per cent); and Marketing, Processing (69.67 per cent) of the total 150 responses. It may be noted that marketing and processing of fish products is emerged as major activity of the society. The members of society generally depends up on providing credit to meet individual demands rather professional demands in terms of buying nets or boats, however marketing services largely useful when the bulk of fish products available. It was observed that marketing and processing services largely limited to very few of them as it possible to the Fisheries those who have capacity to catch the fish products and halve it into different market dimensions.
Forms of Assistance of the society
A purposive sampling was used in selecting 60 respondents all of whom were members of different cooperative societies. Thirty villages were selected from the district. These villages formed the societies under the societies act. Twenty respondents were randomly selected from each village. Therefore a total of 60 respondents were used to generate the survey data. As part of it the data was focused on "if you are getting any credit assistance from the society, please specify the purpose". The below table represents the various kinds of purposes as these were established based on the open views expressed by the respondents.
Table 4: Assistance of Societies
| S. No | Forms of Assistance | Frequency | % |
|---|---|---|---|
| 1 | For buying Fishing Boat | 55 | 36.67 |
| 2 | For buying Fishing Boat, For running process centers | 3 | 2 |
| 3 | For Marketing activities | 5 | 3.33 |
| 4 | For purchasing net and other instruments | 85 | 56.67 |
| 5 | For purchasing net, other instruments, and marketing activities | 2 | 1.33 |
| 6 | Total | 150 | 100 |
Source: Field Study
However, majority were viewed that the assistance was taken to purchase net and other instruments (56.67 per cent) followed by buying Fishing Boat (36.67 per cent) apart from these two major assistance under the society, other purposes were emerged such as running process centers, marketing activities, purchasing net and other instruments, for marketing activities.
Society's Functional Aspect
The following section deals with society's institutional aspects including its operational activities. Initially it begins with institutional affiliation further extends wide ranging issues of its internal operations. All the societies are registered with the department. There are three types of names of cooperative societies were found in the selected field areas - Menugarara Sahakari Sanga, Olanadu Menugarara Sahakari Sanga and Mahila Menugarara Sahakari Sanga. However, 42 of the total 71 societies have been functioning under the name of Menugarara Sahakari Sanga such as Majali, Kodibhag, Devbhag, Sadhashivgad, Sunkheri and Nandangadda, Kajubag, Bhaithkol, Karwar Wada, Amdalli, Todur, Avarsha, Kodoor, Keni, Belekeri, Gangavali, Manjaguni, Dubbanashashi, Kagal, Bada, Chittakula and Alvedande and so on, whereas 25 societies are under the Olanadu Menugarara Sahakari Sanga such as Yellapur, Sirasi, Mundagod, Pala, Banavasi, Dandeli, Haliyal, Malagi, Siddapur, Manchikeri, Bandal, and so on and 4 societies are under the Mahila Menugarara Sahakari Sanga such as Ankola, Tadri, Honnavar and Kumata.
However, it was observed based on the interaction with the Fisheries community that there is an approach of 'quantum oriented policy' which resulted in a phenomenal increase in the number of cooperative societies. It means that the government's policy initiative have stimulated to emerge or increase the number of Fisheries societies. They were registered with formal verification though procedural issues were involved in the registration process to ensure that they were genuine Fisheries organizations and not just fictitious names in a registration book.
Table 5: Membership Positions in the Society
| S. No. | Positions Held | Frequency |
|---|---|---|
| 1 | Yes | 113 |
| 2 | No | 37 |
Source: Field Survey
Initially the question was asked the respondents – 'do you hold any post your co-operative society?' The responses summarized based on the data (table - 5 ) and it reveals that majority (75.3 per cent) of respondents viewed they hold some position and remaining were not in any kind of positions except membership.
Table 6: Society in Integrated Services
| Society (N=150) | Frequency |
|---|---|
| Society registered/recognized | 150 |
| Satisfactory facilities /services by the societies | 150 |
| Membership fee paid | 150 |
| Providing vehicles for transporting fish catch | 150 |
| Vehicles insulated | 150 |
| Providing cold storages facilities | 150 |
| Working regularly | 150 |
| Providing updated price information | 150 |
| helping the Fisheries to market their excess catch | 150 |
Source: Field Survey
The above table gives information about satisfaction of the respondents about services rendered by cooperative societies. The services are of two categories one is granting loans another one providing appliances, to respondents such as caste nets ice boxes, and two-wheeler vehicles. The loans taken by respondents are used for purchasing fish seed, repairing and purchasing caste nets etc. It was also seen that the vehicles provided by the society to them are insulated as the data revealed from the question – 'whether the vehicle are insulated or not'. Further, the society is also providing vehicles for transporting fish from landing centers to the market area and providing cold storages facilities at major collection centers as almost all viewed positively in this aspect. Further the study tried to understand whether they are working regularly, it was observed that all members (selected) were viewed positively. Further, whether the society is providing updated price information system to people through various media and helping the Fisheries to market their excess catch that they could not market on their own, it was seen that all the responses answered in optimistic.
In response to the helping the Fisheries to market their excess catch that they could not market on their own, there
are two different ways of serving were emerged in the study - Marketing Dry fish (46.00 per cent) and Providing Cold
Storage (54.00 per cent) though later one relatively more in terms of acceptance by the selected respondents.
Table 7: Society's helping in Marketing the Excess Catch
| 1 | Marketing Dry fish | 69 |
|---|---|---|
| 2 | Providing Cold Storage | 81 |
| 3 | Total | 150 |
Source: Field Study
In continuation with previous statement, it was tried to map the society's role in directly purchasing fish and converting it is a value added items. However, about 73 per cent supported views emerged as it has direct role in its value added items though one-fourth of the total respondents disallowed.
Table 8: Society's direct role in purchasing
| S. No | Responses | Frequency |
|---|---|---|
| 1 | Yes | 144 |
| 2 | No | 6 |
Source: Field Study
Functioning of Fisheries Co-operative Societies
As it was previously revealed, the field survey was conducted to evaluate the role of Fisheries cooperative in the development of fisheries resources and improved incomes in Uttara Kannada district. The study was conducted with aid of questionnaires administered in selected fishing villages on whether these societies are supportive and economically viable; the results revealed that 47.33 per cent of the respondents were acknowledged societies are socially supportive and 35.33 per cent indicated these are economically viable whereas 17.33 per cent viewed formal support they have. It clearly points out that the societies must further improve its supportive nature and economical viability.
Table 9: Opinion on Functional Aspects
| 1 | Socially Supportive | 71 |
|---|---|---|
| 2 | Economically Viable | 53 |
| 3 | Formal Support | 26 |
| 4 | Total | 150 |
Source: Field Study
However, the above table indicates considerable satisfaction on Fisheries co-operative societies as they are functioning up to the mark and helping the people timely when they are in need by extending all sorts of cooperation by purchasing fishes, preserving fishes auctioneering the fishes and by providing loans for purchasing vehicles and material etc.
Support of Cooperate Society
As India is mainly an agrarian society with more than half of its population still depending upon rural economy, cooperative societies are playing significant role in rural economy. Cooperatives cover more than 97 per cent of Indian villages, whether some of them registered or some of them are not, some run by its members and some by the government. Cooperatives are playing remarkably in rural economy. For instance, Gujurat's Dairy co-operative and Maharashtra's sugar co-operative proved its significance. Main intention of the cooperative was to get the poor and indebted farmers out of poverty and out from the clutches of money lenders. In 1951 there were 1,81,000 cooperatives of all kinds in India and this number increased to manifold within short span of time. During 2007-08 there were 1,50,000 primary credit cooperatives and some 2,60,000 non-credit primary societies of all types. In India there are four major types of cooperatives – The Primary agricultural credit or service societies, Agricultural non-credit societies, Agricultural co-operative marketing societies and Cooperative farming societies. However, the following data presents how cooperatives are involved in developing the communities. As the data shows, majority responded that the fisheries cooperatives involved in providing infrastructure facilities and about 28 per cent viewed they have supported in improving working condition and wages. It may be understood that the cooperatives have capacity to facilitate better avenues to improve fishing communities (See table - 10).
Table 10: Support of Cooperate Society
| 1. | Better infrastructure facilities | 107 | 71.33 |
|---|---|---|---|
| 2 | Wages/income, Working conditions | 43 | 28.67 |
| 3 | Total | 150 | 100 |
Source: Field Study
Nature of Cooperative society
The nature of cooperative society largely was providing credit, marketing and processing however in terms of data which abstracted from the field reflects two different and interchangeable with minute variations - Marketing, Processing (30.67 per cent) and Providing credit, Marketing (69.33 per cent).
Table 11: Payment through Cooperative Society
| S. No | Opinion | Frequency |
|---|---|---|
| 1 | Marketing, Processing | 46 |
| 2 | Providing credit, Marketing | 104 |
Source: Field Study
Marketing
The data presented on the question – 'state whether the marketing assistance is being provided for members'. As it reflects, 95.33 per cent respondents positively accepted with a view of society's marketing assistance to the members of respective societies.
Table 12: Marketing Assistance
| 1 | Yes | 143 | 95.33 |
|---|---|---|---|
| 2 | No | 7 | 4.67 |
| 3 | Total | 150 | 100 |
Source: Field Study
However, the following research questions - is there any provision in the society to extract oil from fish, what type of fishes are being used for extracting oil, state how the society is marketing the extracted oil product, is there any provision in the society to make fish meal, if the answer is yes, whether it is running regularly, where is the society selling their produced fish meal, is there any provision in the society to make fish sauce, if the answer is yes, whether it is running regularly, is there any provision in the society to make fish emulsion, what is the method of marketing of the fish emulsion product, is there any provision in the society to provide packed fish or loose packing/bottled, if the answer is yes, what form of package /canned fish or loose packing / bottled, is there any provision in the society to manufacture fish glue, if the answer is yes, which is fish mainly used for manufacturing fish glue, is there any provision in the society to make health care capsules using fish as raw material, if the answer is yes, which type or part fish used for this purpose, if the answer is yes, please state the mode of marketing of these products, is there any provision in the society to process tuna fish/exclusive tuna processing unit, if the answer is yes, what variety of tuna fishes, whether the society is running any unit to produce export oriented items like boneless fish etc., if the answer is yes, what variety of products are being manufactured, manufactured products are being exported to which countries, whether the society is running any institution to teach the preparation of value added items, if the answer is yes, what special trainings are they getting, is there any provision in your society for processing fish waste to run a manufacturing units are invalid in this context.
Nonetheless, since the technological instrument were not available with these societies, the society is selling fish waste in local and outside markets though this produced manure has rich economic value. Thus the questions probed in this aspect are valid and need to be looking them at in policy perspectives. Due to lack of such infrastructural facilities, rich and significant amount of profits and livelihoods or employment opportunities have been missing as another provision is to cultivate and market ornamental fish in the society is missing.
Problems of Processing and Marketing of Fish
Apart from all issues which dealt in previous sections, focus was put on mapping the problems which are emerged in processing and marketing of fish manufacturing and value added fish products. The major problems within this specific are - Lack of adequate infrastructural facilities, Absence of adequate Marketing Knowledge, Lack of modern communication facilities, Lack of adequate financial credit, Absence of any government help and guidance, Lack of training on the preparation of value added products, Involvement of private parties, Lack of support from the members identified.
Table 13: Problems in Processing and Marketing of fish manufacturing
| 1 | Lack of adequate infrastructural facilities | 1 |
|---|---|---|
| 2 | Absence of adequate Marketing Knowledge | 95 |
| 3 | Lack of modern communication facilities | 1 |
| 4 | Lack of adequate financial credit | 1 |
| 5 | Absence of any government help and guidance | 5 |
| 6 | Lack of training on the preparation of value added products | 1 |
| 7 | Involvement of private parties | 10 |
| 8 | Lack of support from the members | 25 |
Source: Field Study
The data reveals that majority of respondents viewed that the problem of Absence of adequate Marketing Knowledge (63.33 per cent) is ranked as prominent problem among others followed by Involvement of private parties (6.67 per cent), Absence of any government help and guidance (3.33 percent) whereas Lack of adequate infrastructural facilities, Lack of modern communication facilities, Lack of adequate financial credit and Lack of training on the preparation of value added products are represent equally with very limited responses (only 0.67 per cent). The data clears that absence of adequate marketing knowledge, to some extent involvement of private parties and absence of government help and guidance are predominantly dominating in processing and marketing of fish manufacturing and value added fish products. Though the problems emerged in this specific point of matter, majority respondents viewed that there are specific schemes exclusively for Fisheries these are largely extended by successive governments and specific welfare measures are available to them apart from provision for insurance or old age pension for Fisheries.
Conclusion
In order to promote fishery development in the rural areas of the state, apart from community initiations, governments have to set up proper decentralized development agency in each district head quarter so as to take up decentralized development planning for the fishery in all districts. These agencies have to help the interested groups, cooperatives and individuals to get the proper productivity, markets, and involve in rejuvenation of water bodies and financial support through institutional mechanism. Important
activities such as soil testing and water quality testing are essential so as to estimate the production and income pattern. Though there are various activities initiated through NREGA and watershed programme for developing water harvesting structures in the state, still the capacity of water bodies are remaining constant. This must be addressed in rapid development phase as there are immense chances that water bodies are more exists but it must also take into account that there is pressure on land for housing and other purposes in rural areas and urban areas which has possibility of sinking the areas of water bodies. In order to sustain its boundaries, activities must take place for the protection of water spread areas, effective water spread areas and cultural water bodies and about to abandoned water bodies, seasonal water bodies and also perennial water bodies since these bodies have potential for fish production. The priority must be given to common village ponds through local Fisheries cooperatives, for operational activity and ensuring poverty would be rooted out through its line of activity.
Another important issue is quality of seeds. It is a quite essential for promotion of fishery. There must be a focus on all varieties instead of limited. In this context Fishery Development Corporation has to develop fish seeds in institutional hatcheries so as to provide seeds timely to get adequate production. But there emphasis is given more on hatcheries promoted by the private sectors through promoting small and mini hatcheries but there must be role of Fisheries cooperatives as a result employment opportunities among these communities will be enhanced.
In these selected locations marketing of fish is less organized in most of the villages and pockets of the study area. Societies have limited scope to its own marketing and there must be expanded role for promotion by the department. However, government department has to initiate to release the market from the clutches of brokers and middlemen as it was seen in some of the locations though empirical data was not in the form of quantitative form. In this regard there must be special markets to take up marketing challenges of Fisheries cooperatives and communities. Besides, with departmental support and regulated committees, scope must be given for selling fish through shops and kiosks. In these efforts channels must be developed between cooperatives and urban bodies to have supported market avenues apart form available avenues like the vendors and hawkers who are provided with cycles and iceboxes.
Further the government has to give efforts for maintaining the cold chain and provisions for storage of the produces which are highly perishable in nature to improve changing economic situations as there are inadequate cold storage facilities in these areas for preservation of fish for a longer period. Marketing of fish depend upon the local traders where middlemen earn more profit with less margins for the people those are producing the same but the situation must be changed. The demand is much higher in comparison to the production within this area, thus, it understood that depend upon outside produces is not healthy rather meeting such demand from local markets help local Fisheries communities directly and cooperatives indirectly.
References
1. Rao NS. Economics of Fisheries: A Case Study in Andhra Pradesh, Delhi: Daya Publishing, 1986.
2. Yagandhar K. Fishermen co-operative societies: A study in Mahabubnagar district, Telangana state, Laxmi Book Publication, 2006.
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FOR IMMEDIATE RELEASE
WHAT:
Inspired by Pittsburgh ceramic artist Edward Eberle's black and white motifs, Contemporary Craft's new salon-style speaker series – titled The Space Between – invites two local thought-leaders representing different viewpoints and backgrounds to discuss the role of creativity within their respective fields. Loosely organized around themes of language, the body, and food, each of the three scheduled events joins together fascinating and buzz-worthy local cultural producers in an evening of inspiring and revealing conversation.
In the first part of each program, speakers will talk briefly about their background and the way they approach the creative process. Topics may include the concepts and themes in their work, personal connections to craft, the use of language, color, and/or movement, and individual processes and techniques. The speakers and audience will then engage in an informal discussion inspired by the presenters' creative journeys and Contemporary Craft's current exhibition, the Edward Eberle Retrospective (on view through March 11, 2017). The audience is invited to arrive early to experience the Edward Eberle Retrospective in preparation for the program.
WHEN/WHO:
Thursday, December 1, 2016 - 6pm
Alexandra Oliver, art critic + Anqwenique Wingfield, vocalist
Theme: Language
Alexandra Oliver completed her PhD in art history at the University of Pittsburgh in 2014. She is an art critic and avid Wikipedian. In her day job, Alexandra serves as Research and Development Manager at Radiant Hall Studios, a nonprofit with a mission to create and preserve affordable studios for Pittsburgh artists.
Anqwenique Wingfield is an extremely versatile vocalist and educator specializing in opera, classical music, jazz and soul. She is the founder and director of Pittsburgh based artist collective Groove Aesthetic and studio manager of BOOM Concepts: BOOM Studios//Hilltop. In 2014 contemporary jazz band KINETIC (lead by Dr. Joe Sheehan) released debut album "World of Wonder," Anqwenique is the lead vocalist. She was named as one of Whirl Magazine's 13 Under 30 in 2015 and one of the New Pittsburgh Courier's Fab 40 under 40 in 2013. As a teaching artist, Anqwenique has shared her talents and experience with many young singers and musicians in the Pittsburgh area, she was recently hired as the education director of Opera Theater Pittsburgh.
Thursday, February 9, 2017 – 6pm
Hannah Aitchison, tattoo artist + Maria Caruso, dancer and choreographer
Theme: The Body
Hannah Aitchison is an internationally-recognized, multi-award-winning tattoo artist. She has lived and worked in Chicago, Los Angeles, London, and now Pittsburgh. Her background includes 20 years of tattooing adventures, and a style that embraces both classical and modern day illustration, inspired by her background in commercial and graphic arts.
Maria Caruso, Founder and Director of Bodiography and Chair of the Performing Arts Department at La Roche College, is well known for her leadership as well as her choreographic strength in focusing on humanity in dance. Nominated in 2012 by Examiner.com as one of 25 finalists in the "America Inspired" contest, she continues to utilize dance as a means of expression capable of raising awareness about significant subject matter. Acknowledged at the 2016 Future Health Technology Summit at MIT as a genius of choreography and selected as a 2016 Pittsburgh Business Times Fast Tracker, she has been a force in the cultural landscape. A native to the city, she received her Bachelor of Fine Arts degree in performing arts and dance from Florida State University at age nineteen and shortly after earned a Master of Science Degree in Professional Leadership with an emphasis on management for non-profit organizations from Carlow University.
Thursday, March 9, 2017 - 6pm
Adam Milliron, food photographer, and Bethany Zozula, chef
Theme: Food
Adam Milliron is a Pittsburgh based food, beverage, and product photographer. His studio specializes in photographing food, products, visions, ideas, lifestyles, and concepts – helping some of the world's largest brands tell their stories.
Bethany Zozula is Executive Chef at Whitfield at Ace Hotel in East Liberty, one of only a handful of local restaurants run by women. Previously, she was executive sous chef at Eleven in the Strip District.
WHERE:
Contemporary Craft 2100 Smallman Street Pittsburgh, PA 15222
The gallery is located at 21 st and Smallman in the Strip District's historic produce terminal, Contemporary Craft's home since 1986.
ADDITIONAL INFO:
The Space Between series is free and open to the public with a $5 suggested donation appreciated at the door.
The Edward Eberle Retrospective will be on view in Contemporary Craft's main gallery through March 11, 2017. Over the past three decades, Eberle, a Pittsburgh-based ceramic artist, has explored and tested the limits of porcelain, with his prolific body of work ranging from classically inspired vessels to altered and deconstructed sculptures. This career retrospective brings works from the mid-1980s to the present into dialogue for the first time. Visit www.contemporarycraft.org for more details or to access the complete exhibition press release.
ABOUT CONTEMPORARY CRAFT
Presenting contemporary art in craft media by regional, national, and international artists since 1971, Contemporary Craft offers cutting edge exhibitions focusing on multicultural diversity and nonmainstream art, as well as a range of studio workshops, community outreach programs, and a retail store. Through its mission of engaging the public in creative experiences through contemporary craft, the organization offers meaningful art opportunities for more than 145,000 people a year through four core values: providing vital support for artists; filling critical gaps in public education; sharing cross cultural perspectives; and using art to build community. Contemporary Craft is located at 2100 Smallman Street in the Strip District of Pittsburgh, PA. Hours are Monday through Saturday, 10:00 am to 5:00 pm. The satellite gallery is located in the "T" station lobby of BNY Mellon Center in downtown Pittsburgh, and is open daily from 6:00 am through midnight. Exhibitions and informal, hands-on art activities in the DropIn Studio are always free to the public. For more information, visit www.contemporarycraft.org or call 412.261.7003.
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John Baldi Managing Director, Portfolio Manager
Michael Clarfeld CFA Managing Director, Portfolio Manager
Scott Glasser Managing Director, Co-Chief Investment Officer, Portfolio Manager
Peter Vanderlee CFA Managing Director, Portfolio Manager
Dividend Strategy
Key Takeaways
Markets have recovered because of extraordinary policy interventions without which we believe they would be down, yet we continue to be cautious.
The Strategy rose nicely in the third quarter and outperformed during September's volatility, but lagged the broader market at quarter end as the handful of stocks powering the averages higher coincidentally do not pay dividends.
Our underweight in technology has hurt us this year. Looking forward, however, we suspect this headwind may soon become a tailwind.
Market Overview
The S&P 500 rose 8.9% in the third quarter to put the index back in the black and up 5.6% for the year. We continue to be astounded. In hindsight we can rationalize the performance, but we never expected such gains in a year where both human beings and economies have suffered so much.
Markets have recovered because of extraordinary policy interventions. Multi-trillion-dollar fiscal stimulus offset the impact from shutdowns, while the Fed slashed interest rates to liquify markets and spur activity. As societies have reopened, economies have partly recovered. Investors have piled in as negligible interest rates leave them devoid of alternatives.
Without these interventions, we believe financial markets would still be down. Instead, investor statement balances have been resurrected. While we understand this narrative and consider it in forming our worldview, we are careful to not let it dominate our investment process. We continue to be cautious.
The Dividend Strategy rose nicely in the third quarter and outperformed during September's volatility, but still lagged the broader market at quarter end. Companies that benefit from work-from-home or stay-at-home (mostly technology) continued to soar, while the rest of the market underperformed. In a world of near-zero interest rates, one might expect dividend payers to perform well — but that has not been the case.
Non-dividend payers in the S&P 500 are up north of 25% year to date, while dividend payers are up just 1%. Even this pittance comes from just two stocks. If we strip Apple and Microsoft from
the analysis, ALL other dividend stocks are collectively down on the year!
As of Sept. 30, 2020. Source: ClearBridge Investments, FactSet.
The decline in dividend-paying stocks outside of Apple and Microsoft does not reflect investor aversion to equity income. Rather, the handful of stocks powering the averages higher coincidentally do not pay dividends.
This dynamic presents a structural headwind for dividend investors in the current environment. Many of today's best stocks — primarily in technology — do not pay dividends. Yet they make up an ever-increasing portion of the market. In fact, non-dividend payers constituted over 22% of the S&P 500 market capitalization at quarter end, compared with just over 16% in 2015. Technology, at 21% of the portfolio, is our largest exposure. Yet, given its preponderance in the index (28%), it also represents our secondbiggest underweight, next to consumer discretionary. Throw in the "shadow tech" sectors of communication services and consumer discretionary (Amazon) and the disparity becomes even more pronounced. These three sectors represent 51% of the S&P 500, compared to 30% of Dividend Strategy.
The seeds of this underweight are rooted in happenstance; many highfliers do not pay dividends. With the surge in these stocks, however, this positioning has become somewhat deliberate. Trees do not grow to the sky. Even stocks like Alphabet, Amazon and Facebook (to name a few) will ultimately suffer pullbacks and corrections. Years ago, these stocks' valuations did not reflect their many fabulous attributes — today they do.
The rise in tech stocks has made the market more concentrated and less diversified. Today, technology (broadly defined) represents approximately half the market. Diversification is a core principle of the ClearBridge Dividend Strategy and something we work assiduously to maintain. There is much we like about
The valuations of many assets these days seem defensible only in the context of ultra-low rates.
technology, but we would not put half of our portfolio in it. Our underweight in technology has hurt us this year. Looking forward, however, we suspect this headwind may soon become a tailwind.
Outlook
As we contemplate the next few months and look out into 2021, the outlook seems both complicated and challenging. We must wrestle with the disease, the economy and politics. Each of these factors is independently significant. The interplay between them creates a volatile and turbulent dynamic.
Ironically, the disease seems like the easiest factor to forecast. Summer is over. Cases are trending higher in areas that previously seemed to be under control (Europe, New York, etc.). Winter will be tougher across the northern hemisphere as backyard visits cease and indoor exposures rise. On the positive side, however, promising new therapies have emerged, and experts seem highly confident that at least one of the vaccine candidates under development will be successful. The main question regarding the vaccine seems to be one of timing. Will it be widely distributed in the next few months or will we have to wait longer? Our take, unfortunately, is that it will likely be the second half of 2021 before the world can collectively take off its mask.
With COVID-19 with us for another year, many of the current economic dynamics will persist. Office workers will still operate remotely, schools will remain hybrid, and travel and leisure businesses will suffer. Some companies will benefit from this (Zoom, Amazon), but the economy overall will languish, given the large number of people who work in restaurants and travel.
The first round of stimulus staved off a depression, but without more funding the economy will roll over. The market will end up like Wile E. Coyote running off the cliff — initially carried by momentum until people look down and realize there is nothing below. We are hopeful the government will enact more stimulus, but given current partisanship it is far from guaranteed. We keep our fingers crossed.
Of course, fiscal stimulus is not the only lifeline that has kept markets afloat. The lowest interest rates of all time have also buoyed markets and animal spirits. The Fed has promised to keep rates low for several years and thereby encouraged investors to bid up asset prices. Consensus says inflation is not a risk and we agree it is unlikely in the very near term.
Looking beyond a few months, however, one can imagine how the situation might change. A vaccine will catalyze an unprecedented recovery in activity as the same fiscal stimulus (hopefully) is being pumped into the economy. The two could work together to turbocharge the economy, quickly powering the world out of a downturn and into a robust recovery. Overnight, the outlook for
growth, employment and inflation could change, taking with it the assumption of low rates forever. We are not calling for this scenario, mind you; we are merely pointing out its possibility.
So long as one's investments do not require absurdly low interest rates to justify their valuation, rising rates are no cause for concern. But the valuations of many assets these days seem defensible only in the context of ultra-low rates. Should rates rise, bonds would get hit harder than stocks. All else being equal, high-multiple stocks have more downside risk than low-multiple ones.
In Dividend Strategy we take a balanced approach to investing. We focus on best-in-class companies with big moats, low risk of secular disintermediation and the ability to compound dividends over time. We own some terrific growth stocks like Apple, Mastercard, Microsoft and Visa. We also own some less flashy — though still terrific — companies like PPG, Waste Management and Wisconsin Electric (WEC).
In the upside-down world we find ourselves in today, we think our approach is a sound one. Our group of dividend payers offers attractive current yield, the potential for growth over time and a history of strong downside protection. Despite the economy, the pandemic and the election, we think we are well-positioned for whatever lies ahead.
Portfolio Highlights
The ClearBridge Dividend Strategy underperformed its S&P 500 Index benchmark during the third quarter. On an absolute basis, the Strategy had gains in eight of 11 sectors in which it was invested for the quarter. The main contributors to Strategy performance were the information technology (IT), industrials and consumer staples sectors. The financials, energy and real estate sectors, meanwhile, detracted from absolute results.
On a relative basis, sector allocation detracted from performance for the quarter, while stock selection was a positive. In particular, underweights to the consumer discretionary and IT sectors and an overweight to the energy sector were detrimental. Stock selection in the financials and real estate sectors were also a drag on relative performance. Conversely, stock selection in the energy, communication services, consumer staples and health care sectors and an overweight to the materials sector were beneficial.
On an individual stock basis, the main positive contributors were Apple, United Parcel Service, Comcast, Procter & Gamble and Mastercard. Positions in Kinder Morgan, Blackstone Group, Raytheon Technologies, Apollo Global Management and American Tower were the main detractors from absolute returns in the quarter.
During the quarter we initiated positions in Oracle in the IT sector and Sempra Energy in the utilities sector. We closed positions in Exxon Mobil in the energy sector and Carrier in the industrials sector.
Past performance is no guarantee of future results. Copyright © 2020 ClearBridge Investments.
All opinions and data included in this commentary are as of the publication date and are subject to change. The opinions and views expressed herein are of the portfolio management team named above and may differ from other managers, or the firm as a whole, and are not intended to be a forecast of future events, a guarantee of future results or investment advice. This information should not be used as the sole basis to make any investment decision. The statistics have been obtained from sources believed to be reliable, but the accuracy and completeness of this information cannot be guaranteed. Neither ClearBridge Investments, LLC nor its information providers are responsible for any damages or losses arising from any use of this information.
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News From the Firm
Message From Chris….
This month, we're going to talk about something that you hardly ever hear about, the "mail box rule." It's something that affects everyone…. Back at the end of last year (like every year it seems), with forthcoming tax changes looming on the horizon, property owners were selling property before the end of the calendar year. I myself had a client (a buyer) who was eager to close on a certain large, commercial warehouse space (which didn't ultimately close for other various reasons not discussed here). The fact pattern gave rise to the application of the mailbox rule – something that sounds pretty dull (but isn't). What you'll learn below will apply to most everything you do with important mail. See more below (and don't forget to click on my Facebook or YouTube links below to also see my short video on this material).
The Mailbox Rule ???
What is the Mailbox Rule? Simply put, the rule is something (out of old common law) which says that a written offer made by someone through the mails is effective upon the intended recipient's actual receipt of such offer. Likewise, the rule says that, absent language in the contract which requires that actual receipt of such acceptance shall occur by or within a date certain, the recipient's acceptance of such offer is effective "upon dispatch" (i.e., the date and time which the recipient physically places such written acceptance into the mailbox with a postmark upon it showing such date and time).
Facts: Basically, the parties wanted to close the transaction by 12/31/15 (like everyone did). However, the property was encumbered by a lease (a contract) which gave the lessee a right to purchase the property before any sale could occur; such right to be exercised by tenant within thirty (30) days of tenant's receipt of notice of the proposed sale from landlord (seller). Long story short, the parties wanted to provide written notice to the tenant of the contemplated sale; thus asking the tenant to either accept (or not accept) a purchase of the property on the same terms as offered to the buyer (my client). By the time my client approached me on 11/24/15, time was getting short…. Furthermore, the lease didn't have any language in it that required tenant's notice of acceptance (or non-acceptance) to be actually received by landlord by any date certain (just the language above which required such right to be exercised by tenant within thirty (30) days of tenant's receipt of notice from landlord of the proposed sale). The seller, seller's counsel, the brokers involved, my client, the title and abstract company (and their counsel) all suggested that landlord simply provide tenant with written notice of the proposed sale; thereby giving tenant thirty (30) days to either accept (or not accept) such offer. Since it was still only 11/24/15, with 12/31/15 still being more than thirty (30) days away, everyone felt confident that tenant's rights under the lease would be addressed and all requirements on the title insurance commitment could be safely met/satisfied, and, if no acceptance (or non-acceptance) was received back by landlord by 12/31/15, then a closing on the property could safely occur on 12/31/15.
What's the problem here? What if tenant "dispatched" it's acceptance to purchase the property on 12/22/15 (assuming that tenant received our written notice on 11/25/15 - the day after we mailed such notice to tenant on 11/24/15) and, given the increased number of parcels/packages deposited into the United States mails during the holidays, such acceptance wasn't received by seller (the landlord) until after 12/31/15? By that time, my client would have already closed on the property thus violating the terms and provisions of the lease (which, by the way, had lengthy damages/remedies for violating tenant's rights). See the problem??? The tenant's acceptance and dispatch of such offer on 12/22/15 would have, unbeknownst to either landlord (the seller) or my client (the buyer), already legally and validly occurred back on 12/22/15 and, due to problems/delays with the mails, the parties would have closed anyway on the property thus violating tenant's rights.
Take aways? Remember this for your own closings, other contractual dealings and come time to mail in your insurance premiums. Also, don't forget about the "mail box rule" when timely exercising your lease options to extend term (including when your tenants exercise their lease options).
What My Clients Are Saying
"Chris Griswold is the answer man. When I have real estate questions, Chris is quick to reply with solutions and advice that is right on target. I can always trust my clients to Chris' care knowing he will treat them with courtesy and integrity."
Darryl Meason / Broker Associate / NAI Sullivan Group / Oklahoma City, Oklahoma
Chris Griswold, P.C. Contact Information:
7301 Broadway Ext., Suite 200 Oklahoma City, OK 73116 405.229.7595 (cell) 405.840.1019 (office) 405.843.9190 (fax) [email protected] www.chrisgriswoldpc.com
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Atrium
13 | 2010
THE ARCHITECTURE OF ENGAGEMENT – CREATING COMMUNITIES
THE UNIVERSITY OF MELBOURNE
FACULTY OF ARCHITECTURE, BUILDING & PLANNING
Dean’s Message
THIS ISSUE OF ATRIUM ADDRESSES AN IMPORTANT FACET OF OUR PROFESSIONAL AND EDUCATIONAL WORLDS – THE MAKING OF COMMUNITIES.
2010 is a significant year for the Faculty. In March of this year, we celebrated the graduation of the first cohort to emerge from the Melbourne School of Design (MSD) and our first intake of Bachelor of Environments students have progressed to their final year of undergraduate studies. As our students progress into their professional careers, we are confident that they have developed a thinking framework that enables them to continue to learn and adapt to evolving workplace environments and to establish themselves as the leaders in their chosen fields.
This issue of *Atrium* addresses an important facet of our professional and educational worlds – the making of communities. It is the habitation of designed and evolved worlds that is the focus of both research and teaching in ABP; at the level of cities, campuses and individual buildings. The theme of this issue is “The architecture of engagement”. We illustrate this with a focus on the contributions our alumni have made in designing and realizing communities both in Australia and abroad. Here we profile the contributions of four distinguished graduates who have influenced the way in which people across the world have engaged and developed communities: Alan Choe in Singapore, Bill Mitchell in Boston, Sean Godsell in Melbourne and Hijjas Kasturi in Kuala Lumpur.
We also look at the architecture of communities - how they evolve and considerations in designing them effectively. Dr David Nichols eloquently examines how buildings and communities reflect each other, using the Melbourne suburb of Kew as a historical and modern case study. As David establishes in his article, even as the function of public buildings change over time, they remain vitally important to our urban development and cultural resilience.
We also profile a unique project that seeks to capture those involved in the creation of communities. *The Encyclopedia of Australian Architecture* had eventuated solely due to the generosity of our supporters. This remarkable publication, due to be released next year, draws together 260 scholars from Australia and overseas to result in the first comprehensive overview of Australian architecture. Edited by Professor Philip Goad and Associate Professor Julie Willis, it will encompass around 1300 entries on all aspects of Australian architecture, including indigenous, colonial, modern and contemporary buildings.
Our lively reunion program continues this year. Last year we met with classes of 1959-61. In this issue, Richard Hansen reflects on the reunion of his BBdIg class of 94, held at the Robin Boyd House in South Yarra. Of the 30 graduates in 1994, 22 were able to attend – a great turn-out given that many now live and work overseas. These reunion events represent a wonderful opportunity to reconnect and reflect on the success of our graduates as the Faculty evolves.
Noel Henderson’s occasional address at the Conferring of Degree Ceremony in March offered inspiration to our most recent graduating cohort. Noel shared his insight into the construction industry, where he has worked as a leading builder, contractor and developer over the last 40 years, and highlighted the transformative changes that have occurred over this time. He also reflected on how the Faculty and our educational programs have evolved since the 1960s, an era where building graduates were distrusted because they were perceived as ‘over-educated’ without site experience. Noel concluded his address by noting that the skills of our graduates are now highly regarded in Australia and around the world, that their efforts are transforming the delivery of projects and that diverse professional opportunities abound for our new graduates.
Work has now started in the design of our new building under the leadership of John Wardle Architects and Office dA. A consultant team is being marshalled and funding aligned to ensure that the project progresses with the anticipation that we will be moving out of our current facilities next year. While it is in its early stages there is little detail that can be reported but we expect to be highlighting the project in future issues this year as the design emerges.
2010 has so far proven to be a year marked by research achievement for Faculty staff and alumni. Several staff have distinguished themselves with various awards, grants and publications, which are highlighted in our section on achievements in ‘From the Faculty’. Considerable media attention has been generated around the world by the forthcoming exhibition in the Australia Pavilion in the 12th Venice Architecture Biennale. Of the 17 projects selected by Creative Directors John Gollings and Ivan Rijavec, three teams are led by members of our Faculty and six consist of our alumni. This is an extraordinary representation for our Faculty in one of the most important events on the international architecture calendar. As part of one of the chosen teams, for the *Fear Free City* project, I am personally looking forward to being in Venice in August and experiencing the energy distinctive to the Biennale.
Our rich event culture continues in 2010, with the Dean’s Lecture Series and the ABP Alumni Retrospective Series leading the way. We were delighted to host the Chilean architect Mathias Klotz in March, who spoke about his architectural practice to a capacity audience in the Carrillo Gantner Theatre. In May, we hosted William Cobbett, Manager of the Washington D.C. based organization *Cities Alliance*, who presented an intriguing Dean’s lecture on the challenge of scale in a rapidly urbanising world. As part of the ABP Alumni Retrospective Series, we celebrated the work and vision of one of our most successful alumni, Daryl Jackson, when we presented an exhibition of his selected projects in April. The exhibition included a documentary of Professor Philip Goad in conversation with Daryl, and drew a wide range of media and community interest. The next alumnus we will profile in this series will be the architect Peter Ho in September.
To keep in touch with our changing calendar of exhibitions, public lectures, conference and activities, please visit our website: http://www.msd.unimelb.edu.au/events/
ABP Alumni: Cities and Campuses
ALAN CHOE: SINGAPORE
The urban redevelopment authority afforded Mr Choe the opportunity to play a key role in Singapore’s urban renewal program, the legacy of which is reflected in the contemporary Singapore masterplan.
Mr Choe was awarded a Bachelor of Architecture degree, a Diploma in Town & Regional Planning from the University of Melbourne and a Fellowship Diploma from the Royal Melbourne Institute of Technology. He is a Fellow Member of the Singapore Institute of Architects, Singapore Institute of Planners and Royal Australian Institute of Architects. He is also a member of the Royal Institute of British Architects, Royal Town Planning Institute, Royal Australian Planning Institute and the American Planning Association.
Mr Choe was the first architect and town planner to return to Singapore from overseas. He was appointed as the first architect and planner for the newly established Housing and Development Board and helped plan many of the housing estates and public housing in Singapore’s public housing program.
He subsequently went on to form the Urban Redevelopment Authority (URA) in 1964 and became its first general manager to undertake comprehensive urban renewal and redevelopment of Singapore’s Central Areas. His role was to clear slums and create a modern and vibrant commercial program. The legacy of his role is reflected in the contemporary Singapore Master Plan. He left URA and became a Senior Partner in one of the largest architectural practices in Singapore.
Mr Choe continues to be a prominent architect and town planner in Singapore. He became the Chairman of the Sentosa Development Corporation (SDC). He was behind the transformation of Sentosa Island, from a British military base into a popular recreation and international tourist destination. His retirement from that position in 2004, marked the end of his 24 year association with Sentosa. He subsequently also formed Sentosa Cove Pte Ltd (SCPL) and became its first Chairman. Sentosa Cove became the first life style waterfront housing and is today the most successful and well known landmark in Singapore.
Mr Choe was named in the Singapore National Day Awards in 2001 and received the Distinguished Service Order. Mr Choe has also been Chairman of Pasir Ris Resort Pte Ltd, a Trustee of NTUC Income and member of the Singapore Tourism Board. He was also a Director of Keppel Land Limited and currently sits on the Board of several listed companies.
He was awarded the Public Administration Medal (Gold) in 1967, the Meritorious Service Medal in 1990, the Distinguished Service Order in 2001, and a Gold Medal from the Singapore Institute of Architects (SIA) in 2004. The SIA Gold Medal award, first introduced in 1998, is the Republic’s highest award for architects who have made significant contributions to architecture during their lifetime and is awarded only every two to three years.
OUR ALUMNI HAVE MADE A TREMENDOUS CONTRIBUTION IN DESIGNING COMMUNITIES BOTH IN AUSTRALIA AND ABROAD. HERE WE PROFILE THE CONTRIBUTIONS OF FOUR DISTINGUISHED GRADUATES WHO HAVE INFLUENCED THE WAY IN WHICH PEOPLE ACROSS THE WORLD HAVE ENGAGED AND DEVELOPED COMMUNITIES: ALAN CHOE IN SINGAPORE, BILL MITCHELL IN BOSTON, SEAN GODSELL IN MELBOURNE AND HIJJAS KASTURI IN KUALA LUMPUR.
HIJJAS KASTURI: MARA INSTITUTE OF TECHNOLOGY
Hijjas Kasturi studied at the University of Adelaide and the University of Melbourne (Bachelor of Architecture, 1965; Graduate Diploma of Town and Regional Planning, 1966). He returned to Singapore in 1966, and then moved to Malaysia in 1967, where he founded the School of Art and Architecture at MARA Institute of Technology. He went into partnership in 1969, and then formed the practice Hijjas Kasturi Associates (HKAS) in 1997.
Characterised by the major concerns of architecture, town planning and building, in addition to the arts-oriented influences of industrial, graphic and textile design, and fine arts, the practice of HKAS has a unique vision.
Major buildings in Kuala Lumpur such as Menara Maybank (1989), Tabung Haji (1986), Putrajaya Convention Centre (2003) and the 4G11 Tower (2008), currently being built in Putrajaya, are examples of the influential buildings designed by HKAS.
Hijjas Kasturi’s work is recognised internationally. In 1998 he received the Tokyo Creation Award and in 2001 the Malaysian Architect’s Institute Gold Medal. He was also awarded an Honorary Doctorate from the Universiti Malaya in 2005 and from the University of Melbourne in 2008.
In addition to being a member of the Malaysian Institute of Architects and Malaysian Institute of Planning, Hijjas acts as an external examiner for several schools of Architecture Malaysia and he has been invited to teach in several universities in Malaysia and abroad. The practice has won many awards for its work including that for the Kuching Civic Centre by the Association of Engineers, California, USA (1989); ASEAN Award (1990), in recognition of work in the visual arts (architecture); the 12th Tokyo Creation Award by the Tokyo Fashion Association, Japan (1998); and the Pertubuhan Arkitek Malaysia (Malaysian Institute of Architects) 2000 Excellence Award for the Securities Commission Building, Kuala Lumpur. In 2001 Hijjas received the PAM Gold Medal Award from the Malaysian Institute of Architects (PAM).
Hijjas Kasturi has made a significant and lasting artistic, environmental, technological and professional contribution to architecture and identity in Malaysia. He is a fitting ambassador for the success of the Colombo Plan and its education of the future leaders of the professions in Asia, and the University of Melbourne’s proud role in that endeavour.
ABP Alumni: Cities & Campuses
BILL MITCHELL:
MIT AND SMART CITIES
Bill Mitchell, (BArch (Hons) 1968), and Professor of Architecture, Media Arts and Sciences at Massachusetts Institute of Technology (MIT), USA.
As a former Head of Architecture & Urban Design at the University of California (Los Angeles), former Director of the Design Studies Program at the Graduate School of Design, Harvard, and former Dean of the School of Planning at MIT, Professor Mitchell has an international reputation as one of the most prolific researchers, writers, thinkers and institutional leaders in the fields of urban design, architecture, sociology and mobile information systems.
Professor Mitchell coordinated MIT’s billion-dollar campus architecture and urban planning redevelopment to build state-of-the-art facilities for emerging areas of research, to support residential and community life, and to revitalize the physical campus.
Originally from Melbourne, Professor Mitchell completed a Bachelor of Architecture (Honours) at the University of Melbourne in 1968, and subsequently completed a Master of Environment Design at Yale, and a Master of Arts at Cambridge. He holds honorary doctorates from both the University of Melbourne and the New Jersey Institute of Technology.
Professor Mitchell is the head of the Smart Cities research group at the Massachusetts Institute of Technology (MIT). The group focuses on using new technologies to enhance urban design and transport systems.
Smart Cities research is particularly concerned with the emerging roles of networked intelligence in fabrication and construction, urban mobility, building design and intelligently responsive operation, and public space.
The group explores the new forms and functions of cities in the digital electronic era. It suggests design and planning directions for the future and focuses on creating innovative ways to change how we live in urban areas through, in part, the application of new technologies that enable urban energy efficiency and sustainability, and enhance opportunity, equity, and cultural creativity.
SEAN GODSELL:
RMIT DESIGN HUB
Sean Godsell was born in Melbourne in 1960. He graduated with First Class Honours from the University of Melbourne in 1984. After traveling in Japan and Europe he worked in London from 1986 to 1988 for Sir Denys Lasdun, before returning to Melbourne in 1989 and joined The Hassell Group. In 1994 he formed Godsell Associates Pty Ltd Architects.
In July 2002 the influential English design magazine *wallpaper* listed him as one of ten people destined to ‘change the way we live’. He was the only Australian and the only architect in the group.
In July 2003 Sean received a Citation from the President of the American Institute of Architects for his work for the homeless. His Future Shack prototype was exhibited from May to October 2004 at the Smithsonian Institute’s Cooper Hewitt Design Museum in New York.
Sean has received numerous local and international awards. In 2006 he received the Victorian Premier’s Design Award and the RAIA Robin Boyd Award and in 2007 he received the Capochini residential architecture award in Italy and a Chicago Athenaeum award in the USA – all for St Andrew’s Beach House. In 2008 he was a finalist in the *wallpaper* International Design Awards and a recipient of his second AIA Record Houses Award for Excellence in the USA for Glentburn House. In 2008, noted architectural historian and Professor of Architecture at Columbia University Kenneth Frampton nominated him for the inaugural BSI Swiss Architecture Award for architects under the age of 50 and his work was exhibited as part of the Milan Triennale and the Venice Biennale.
He is currently working on projects in China and Australia and his first major building, the RMIT University Design Hub, a post graduate research centre for design, is currently under construction in Melbourne.
The Design Hub will provide accommodation in one building for a diverse range of design research and postgraduate education. The Hub will provide a collegial research base where post graduates in fields such as fabric and fashion design will work alongside those involved in architecture, aeronautical engineering, industrial design, landscape architecture, and urban design.
How do community and the built environment reflect each other? Our cities and towns are rich with evidence of attempts to build, and then to celebrate, community spirit: buildings and spaces designed to create, reflect or reinforce the nature and strength of social grouping. Many of these continue to function to different degrees of effectiveness; some, like small-scale health or education buildings, have pragmatic uses with defined parameters. Others – such as halls available for group booking – are multi-purpose. But the ways that community and the built environment have interacted over time give us insight into architectural developments and conceptions of the architect’s (or builder’s) role, and the changing perceptions of government, governance, democracy and duty.
The present-day rhetoric of community is not substantially removed from that of a century ago; for many Australians, this rhetoric has clearly reflected reality in many ways. But the built environment record of community buildings shows the many permutations the notion has gone through since European colonisation. Australia’s community buildings come from a number of diverse sources: most commonly created and commissioned by local government, or built by residents themselves. The community may also lobby local government either for a facility or merely the land to build it on – frequently, through much of the 20th century, volunteer labour of local residents would then create an amenity which might then also be run on a voluntary basis.
The Melbourne suburb of Kew is perhaps not an intuitive choice to look for a variety of perspectives on the idea of ‘community’ as it relates to buildings and networks. With all due respect to this middle-ring, middle-class suburb, there is perhaps a pervading understanding of middle-class suburbs that they are generally comprised of upstanding – and rarely outstanding – individuals who look to their own hearth for contentment, rather than to forming bonds with their neighbours – whether it be for mutual betterment or social activity. Whether this is true or not (the truth no doubt resides in examination not of people or a class per se, but of ages and life stages) what is undeniable is that Kew provides the researcher on community and its impact on the built environment with a large number of unusual examples of specific community building types – and types of community. Kew citizens’ scramble, over a century, for a purpose-built town hall and civic centre was surely part of the reason behind the creation of so many other ad hoc community places; the slow expansion of a suburb at the whim of transport planners and wider economic fluctuations may be another.\(^1\)
How would people of Kew meet, communicate, rally or be entertained en masse in the early 20th century? As well as the small publicly available space at their Town Hall – a reconfigured Mechanics Institute building of 1860 – Kew citizens at the turn of the last century were able to use the city’s Recreation Hall, another ‘second hand’ building built in 1880, acquired by Kew in 1917 from a firm which had operated it as a private leisure centre. Like many such amenities, the Recreation Hall often hosted money spinning ‘nights’ such as the New Vogue Ballroom, in the late 1930s.\(^2\)
While buildings such as the Recreation Hall served as Kew’s social and community centre, those in other areas of the suburb saw the potential for new networks and, perhaps, new local government. From the 1920s and long into the 20th century, the East Kew Progress Association aspired to the construction of a hall for concerts, dances and meetings, to be funded on an ongoing basis by shops at ground level, built on a block it had acquired.\(^3\) Its honorary secretary, Mr Bland, referring to the wealth of the region’s residents, predicted ‘there should be no real difficulty in raising enough money to build a modern hall for Kew people’, adding that ‘the best way to get this done was to tackle the job in the true Australian spirit and do it themselves.’\(^4\) The 1930s Depression damped the EKPA’s initial surge and
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1. See David Nichols and Hannah Lewi, ‘The Kew Club: the modernist mythology of a middle-ring suburb’ in *Panorama to Paradise: SAHANZ Conference proceedings* Adelaide, September 2007
2. See for instance ‘New Vogue Ballroom: Kew Recreation Hall’ *Kew Advertiser* 27 May 1937 p.3
3. ‘East Kew progress [sic] hall’ *Kew Advertiser* 12 May 1927 p.1
4. ‘East Kew Progress Association: Successful euchre party and dance’ *Kew Advertiser* 26 May 1927 p.1
5. ‘Social Events: Kindergarten Dance’ *Melbourne Argus* 4 July 1925 p.34
subsequent events saw this section of Kew more properly incorporated into the suburban area.
The council of the City of Kew were hardly shirkers when it came to providing a network of structures germane to the ideal of supporting health, welfare and social development at a local level – and also, by extension, contributing to wider Australian society. Local engineer Roland Chipperfield designed infant welfare centres, kindergartens and sports pavilions across his small patch of Melbourne. Facilities such as kindergartens, clearly seen as important components of community life after and before the First World War, were often also the products of local voluntary campaigns. In mid-1925 the Free Kindergarten Union, based in Kew, engaged the Wang Wang orchestra to play for a ‘Kindergarten Dance’ at Hawthorn Town Hall raising money for a Kindergarten Holiday Home.\(^6\)
The postwar era saw a conception of community encouraged by Federal government hoping to harness a wartime spirit of collectivism. It was somewhat similar to Mr Bland’s idea of self-sufficiency and ‘spirit’, reinforced by former Premier Albert Dunstan when he opened a Kew kindergarten in 1948; Dunstan spoke against people who “lean upon the government, and let them provide kindergartens… That spirit would get us nowhere, and it was only when the community pulled together that we would accomplish anything”.\(^7\) A group calling itself the ‘Kew Civic and Community Centres Movement’ lobbied the council for one central and three smaller Civic Centres, the larger one “to be built on a commanding central site” including administrative offices, halls for cultural activities, club rooms, library, youth centre, ‘heath’, and a café, the smaller to incorporate kindergartens and infant welfare centres, leisure halls and junior and adult libraries, and adult education facilities. Notable architect John Scarborough was commissioned to prepare designs for these buildings.\(^7\) None of these plans came to fruition.
When Kew Civic Centre, designed by A. C. Leith and Bartlett, was opened in 1960, the Q Club – a jazz, and later rock, venue of the 1960s and early 70s – continued the practice, now largely unknown, of councils providing alcohol-free music and dance events for youth; a public service that also happened to be lucrative. Here a wider sense of community was embraced, and the building became a hub for youth, not just in Kew but across Melbourne. Most certainly Kew youth were in the council’s minds – not least because of fear of antisocial activities of bored young Kewites, and also anxiety over what Kew’s youth might grow up to be.
It is easy to imagine that these examples from a bygone era represent a time when entertainment and social activities required more exertion, and identity was far more closely related to locality and environment than it is in the 21st century. Kew itself was absorbed into the City of Boroondara in 1994, and the civic centre building so long fought for is now the local library. Voluntary activity in Australian communities is less connected to the enlightened self-interest of, for instance, weekend working-bee construction of public buildings than it was in the post-war period, and most of these functions have devolved to government and/or professionals.
Yet as much as public buildings’ function may change over time, their importance in urban development and in cultural resilience cannot be denied. The Federal government – and many State equivalents – are seemingly once again convinced of the importance, value and power of the very local. The architecture of local community is intrinsically bound up in the networks and local manifestations of broader ideals. \(\textit{A}\)
*Community: Building Modern Australia*, edited by Hannah Lewi and David Nichols, will be published by University of NSW Press later this year.
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6. *Melbourne Argus*, 29 April 1948 p.5
7. W D Vaughan, ‘Kew’s Civic Century Kew: W D Vaughan 1960 p.38
Safe, Sustainable, Responsible.
VicUrban
Melbourne Docklands
Atrium
13 | 2010
THE UNIVERSITY OF MELBOURNE
FACULTY OF ARCHITECTURE, BUILDING & PLANNING
Tonight we see the formal recognition of the years of Academic study, and most Architecture Building and Planning graduates will be looking to work, or are already working, in the property and construction industry. I have been working for 40 years now as a builder, contractor, developer and client.
My focus has always been on the future, but history is a great teacher and understanding the past, and in particular, the modern era of the last 40 years of the building industry helps to shape the way forward.
There have been significant changes over this period. At this University in the mid 1960s there were 150 students in the first year of Architecture Building and Planning and 7 were enrolled for Building. The faculty had moved at the end of 1963 from a prefabricated building to a half-finished building, where it is still located. The students raised significant donations of materials and money to help finish this building.
Up to the 1960s the traditional training for builders was a trade course in carpentry and then learning in various roles working on building sites and in the builder’s office.
The early building graduates were initially distrusted because they did not have what was perceived to be ‘site experience’. But things quickly changed. High-rise construction, created demands for improved performance by builders, and we should remember that in the early 60s the tallest building in Melbourne was the ICI building which was enormous at 20 stories. The tallest building is now over 80 stories. The ICI building also brought new technology to the industry because it was the first major building with a glass curtain wall facade.
At the same time there were other changes occurring as the industry saw the emergence of the BLF.
During the 70s there was clearly a need for much tighter control and management of building projects. This created roles for the increasing number of building graduates but also led to much more sophistication in the way building projects were planned and carried out. Critical path planning became an essential tool to monitor the day-to-day activities, in fact planning hour-by-hour activities on projects.
One of the great strengths of the building industry is that it has been able to adapt and evolve. Builders on commercial projects started to look at alternative forms of construction. Pre-cast concrete started to be used during the early 1980s and now we see most of the vertical elements of buildings being constructed using pre-cast concrete and indeed a number of buildings where pre-cast concrete has been used both as floor system and for the vertical cores and walls. This innovation by the building industry, particularly in Melbourne, enabled the industry to remain productive.
The first major use of grey panels or tilt-up panels was at the Safeway Warehouse at Mulgrave and involved an energetic young engineer from New Zealand who in a visit to the United States had seen these panels. This was in the mid 1960s. By the late 1960s a group of three students from this University were given a unique opportunity to design and construct a major commercial project, the Preston Market. I was one of those three students and the outcome that we achieved was very different from the earlier markets of Melbourne and showcased new methods of construction.
In some respects the project was built backwards. We built the car park first and used the time while the earthworks and car park were being carried out to design and document the building in detail. We then constructed the pre-cast concrete walls onsite using the car park as the casting bed and then erected the panels directly to the perimeter of the buildings.
We had designed a three-dimensional space frame roof structure which gave column free space to each of the buildings and large sections were built on the ground then lifted into position. This provided a very quick construction time and allowed the developer to open well ahead of his scheduled date. It also gave us the opportunity to employ a number of fellow students in a range of roles on the project, which injected a level of energy that ensured success.
After that, delivering challenging buildings became a personal focus and involved projects such as the Trade Union Training College at Wodonga, the Concert Hall at the Victorian Arts Centre, Republic Tower, Federation Square and Wembley Stadium, and some of the pioneering public private partnership work in Australia. The great challenge for builders is not only to build projects, but is to build organisations and project teams that can manage and deliver projects.
Then, reorganise the project teams at the completion of a project and move to new projects. This is a great skill, and not all get this right which is why at times there is significant movement of people in the industry and this applies equally to Architects and Builders. Continuity is difficult in an industry that rises and falls so sharply with the economy.
To grow a business you first need to grow the people and have the people that are capable of growing. This is why in 1984 I set up a graduate programme linked to Melbourne University. In over 25 years more than 100 graduates have been employed through this programme. Some still work with me and many others now either run their own business, are directors of large construction companies or operate in related sectors such as funds management and development. Many have also had the opportunity to work throughout Australia and New Zealand and overseas, in the Middle East and the UK – including a team of graduates that were moved to the UK in 2004 to work on the two largest projects in London – Wembley Stadium and White City Shopping Centre.
My relationship with the Faculty continues today – in my current business we have 15 graduates in our programme, ten are from the Faculty, as well as 14 other alumni.
Each year the graduate team is encouraged to undertake a community service project and raise the necessary funds for the project. There have been many significant projects but one that stands out, was the challenge to renovate and restore the house at Balibo in East Timor. Two years of planning and organisation, generous donations of building materials and shipping containers, resulted in the famous ruin of a house being converted into a new community centre. The message for graduates after this was clear – detailed planning, organisation, teamwork and focus on the task is the key to achieving the desired outcome – no matter where the project is located.
In recent years there has been a growing focus on environmental issues as they relate to buildings. We are at the beginning of this journey and graduates have an exciting task in front of them to design and construct smarter and more sensitive buildings and cities. In our Engineering business we are involved in the renewable energy industry as we have formed a joint venture with a Spanish company to design and construct precast concrete towers for wind farms. Steel towers have been used to date, but we believe precast concrete will be faster to manufacture and use less energy in the process.
The skills and disciplines developed by graduates should not be seen as restricting them to the construction industry. As an example, I have used the core skills of project management, cost control and financial planning to build a large agricultural business. Some years ago we established and developed a super-fine merino stud. The house and farm complex was designed by some old student friends – Denton Corker Marshall. When the farm complex was designed in 1996 we did not set out to build an iconic building. But a clear brief based on what we did not want, together with the extraordinary site for the house, and the strong relationship between the architect, the clients and of course the builder has resulted in a breathtaking outcome that has received international recognition in a number of publications on the top 100 houses of the 20th century.
Graduates, you are about to build a career in what I think is a most totally engaging and challenging industry. An industry where builders will have the opportunity to work with some of the great architects in Australia, and in some cases the great architects of the world, as we see more international design competitions for major projects in Australia. Look around you tonight, some of the future great architects maybe sitting with you.
Australia has a stable economy, and stable politics and this will present some of the big challenges in the future for architects, builders and planners as population increase accelerates. In Melbourne we are certainly seeing population increase at the moment, and the outcome, when this is not planned, results in chaos on the roads and the public transport system, and an ever spreading city with housing that is becoming unaffordable.
Melbourne has forged a reputation for innovative design and innovative construction techniques. There is a new design hub now being built down the road at RMIT, and a new architecture school established at Monash.
But more importantly, there has been an international competition for a new Faculty building at this university and this should ensure that the Faculty maintains its exceptionally high standards and reputation.
The skills of graduates from the Faculty have been seen in Australia and around the world so there will be no shortage of opportunity. But, the important thing is that at all stages in your career you don’t let go of the culture and discipline that you have developed, and the relationships you have established, at this University. This has provided you with the essentials to start and continue on a professional path to a challenging career in an ever-changing and demanding world. I wish you all good luck.
2010 Venice Architecture Biennale
The Faculty of Architecture Building and Planning will be well represented at the 12th Venice Architecture Biennale.
Three Faculty projects will help represent Australia at the 2010 Venice Architecture Biennale, the world’s most important architecture event.
The Australian Institute of Architecture announced in March the list of 17 teams who will exhibit as part of the Australian Pavilion’s ‘NOW + WHEN Australian Urbanism’ exhibition at the Venice Biennale starting in August.
The three successful projects led by Faculty staff are:
» **Symbiotic City** (Steve Whitford with James Brearley, BAU Brearley Architects & Urbanists)
» **Mould City** (Dr Peter Raisbeck, Nicola Dovey and Simon Wollan, as part of Colony Collective)
» **The Fear Free City** (Associate Professor Justyna Karakiewicz, Professor Tom Kvan with Steve Hatzellis, WSH Architects)
The successful proposals were chosen from a shortlist of 24, selected from 129 proposals submitted to the competition, run by the 2010 Venice Architecture Biennale Creative Directors, John Gollings and Ivan Rijavec.
The ‘NOW + WHEN Australian Urbanism’ exhibition will feature six Australian urban and anti-urban regions as they are ‘now’ and then represent 17 futuristic urban environments which pose an imagined ‘when’ in 2050 and beyond. Visit the AIA website for details of all the winning teams and projects: www.architecture.com.au.
The Venice Architecture Biennale was inaugurated in 1980 and is now held every two years, alternating with the Art Biennale. Thousands of the world’s leading architects and city planners and over 52,000 people visited the Australian Pavilion in 2008 and similar numbers are expected this year.
**The 12th Venice Architecture Biennale dates are:**
**Vernissage:**
26, 27, 28 August 2010
**Exhibition:**
29 August – 28 November 2010
ABP alumni feature strongly in 12th Venice Architecture Biennale
A number of our alumni are also involved in the teams selected to exhibit their projects at the 12th Venice Architecture Biennale. We congratulate you on this prestigious achievement:
» **Peter Corrigan** (with Michael Spooner) for *A City of Hope*
» **Fiona Dunin**, Alex Peck, Andrew Simpson, Martina Johnson (with Peck Dunin Simpson Architects, Third Skin, Eckersley Garden Architecture, Angus McIntyre, Tim Kreger) for *-41 + 41*.
» **Jocelyn Chiew** and **Eli Giannini** (with McGauran Giannini Soon (MGS), Bild + Dyskors, Material Thinking, Catherine Ranger, Bild - Ben Milbourne, Dyskors - Edmund Carter, Material Thinking - Paul Carter) for *Loop-Pool/Saturation City*
New Scientist, February 2009, presented a 2099 world climate map in which most of Australia’s existing cities sit within newly formed deserts. Symbiotic City seeks to bring awareness of such pending realities of climate change. It further seeks to provide a zero-climate-impact model for city design. The project challenges the conventional Australian planning wisdom of large-scale land-use zoning, centralized and low density. This design proposes continuous networks of land-use to enable a city rich in super-adjacency providing fertile environments for synergies between city functions.
Symbiotic City consists of a network of high-density urbanity overlaid with a rural network. The resulting city has a tartan like texture of pure urban areas (or cells), pure rural cells, and cells which are a hybrid of rural and urban. Each network band is approximately 1.8 x 1.8km. The rural network harnesses renewable power, treats all waste, and grows food for the city. 90% of the city’s power is generated via wind channelled through the rural network. This eco-polis comprises rich architectural imagery made coherent through consistent solar controlled building envelopes. The overlapping networks of program provide arrays of hybrid zones, providing the city with vital flexibility for a sustainable future.
The city is situated on an Australian surf coast where tidal and wave power stations provide a backdrop to ongoing Australian beach culture – a place for humorous references to the traditional great outdoors. This extraordinary eco-polis, a green oasis sitting in the desert provides a rich dialectic image.
Michael Sorkin (in *Local Code*) asserts that “…freedom, pleasure, convenience, beauty, commerce and production are the reasons for the city… participation in these attributes is a fundamental civic right and must ever be refined through the filter of consent”. Why is it we escape the freedom of the city and head for the suburbs where our families become prisoners of our dreams, isolated by the car from community involvement into zones of privatization and disengagement?
From the popular press, you might conclude that we fear the city, its crime and antisocial behavior. In search of safe and affordable living, we flee, moving further from the centre, thus spending much of our free time commuting. We search for space, but we end up with a tiny hardscape garden barely enough for a barbeque and a few potted plants. We fear climate change, knowing that this lifestyle is unsustainable without drastic revision. We shower more efficiently, compete with our neighbors by reducing water consumption to a minimum, and watch our precious garden die. We know that this is not enough so we blame government (or the rest of the world); we all carry on in fear of the future. Each day we open the Pandora’s box in which someone has forgotten to put hope.
This project seeks to flush away fear and reveal the many opportunities for a rewarding, sustainable city. The proposal starts with NOW: 7 Desperate Dreams followed by THEN: 7 Desiring Dreams, which lead us to develop the foundation where dreams become reality in the FEAR FREE CITY.
Mould City is an urban system which reconfigures the relationship between humans and shelter. In 2050 Australian suburbs and cities will require a new energy system which will require a new language of urbanism. Mould City proposes that the garlands of the Vitruvian primitive hut have been given a new life of the physicality of inanimate materials. Mould City is a response to the current urban situation. A situation in which carbon production is choking the earth’s cities and suburbs. In response to this situation, Mould City reconsiders the Australian suburbs and city of 2050 as a family of sensual experiences which reverberate with the seasons, the moon and the sun.
Mould is an integrated, interacting systems of environs. The mould is introduced on the outskirts of the suburbs. It was designed to grow in the new environment on the suburbs existing infrastructure. Mould colonies form and reform. Along with shelter, the mould provides food. As words, mould urbanism evokes both the intricacies of slime mould and those vessels which give form to plastic material. The mould grows across over and through the old infrastructure of the city. The mould is an urban architecture which needs direct solar energy. It changes and responds to the sun’s orientation during the seasons. It waxes and wanes with the moon. It spreads across the suburbs and is sensitive to the energy levels of its inhabitants. It is like a foam that aerates itself when happiness abounds. Pores will form in the mould so it can breathe. Water vessels and reservoirs will form in the mould both as heat sinks and as replenishment. Mould factories will produce new products. The mould will adapt to the seasonal and diurnal cycles of its inhabitants. It will be the setting for new rituals and harvest festivals.
The architecture of the mould allows a new realm of sensual experiences to come into play for its inhabitants. Smell, sight touch and taste and thermal experiences are all. The mould is a living organism of the community nursed by the sun. It nurtures life and offers protection to all within its realm. The mould helps its inhabitants to release new energies which reverberate within it. This promotes bio development instead of techno degeneration. Mould City bridges the gulf that divides an urbanism based on digital diatoms from one based on radical community politics. Colony is a collective of architects who produce utopian vision in response to today’s climate crisis. Our inspiration is the architecture of the 60s mashed with the suburbs of Corrigan. Our inspiration is Yona Friedman, Archigram, Superstudio and Archizoom.
The Encyclopaedia of Australian Architecture
A UNIQUE AND AMBITIOUS PUBLICATION IN THE MAKING
LOUISA RAGAS
A unique and exciting publishing project is currently underway within the Faculty of Architecture, Building and Planning. The *Encyclopaedia of Australian Architecture*. This publication is being compiled and edited by Professor Philip Goad and Associate Professor Julie Willis, with assistance from Research Fellow Dr Kim Torney and will be published by Cambridge University Press in 2011. This ambitious project draws together scholars from across Australia and overseas to result in the first collection of its type on Australian architecture.
The *Encyclopaedia of Australian Architecture* will embrace all Australian architecture to the present day, including indigenous, colonial, modern and contemporary buildings. To underpin the truly national scope of this project, the editors established a national advisory board with coordinators appointed for each state. Members of the board include academics, architectural historians and heritage professionals. Management of the project is based at the Faculty of Architecture, Building and Planning (ABP).
Around 260 scholars and practitioners have contributed their expertise by drafting entries for the Encyclopaedia. Many of these are from our own Faculty including, Miles Lewis, Scott Drake, Hannah Lewi, Peter Raisbeck, Paul Walker, Andrew Saniga, Denham Groves, Andrew Hutson, Clare Newton, Philip Goad and Julie Willis. Two of the most interesting entries are on Aboriginal architecture and Torres Strait Island architecture, both by Professor Paul Memmott from the University of Queensland.
The breadth of the publication is significant; there will be around 1300 entries across a broad range of subjects. There is a strong emphasis on biographical entries (individuals and firms), including major architects and firms, as well as entries discussing the professions of engineering, construction, planning and landscape architecture, as they relate to the design of the built environment. There are also entries for major buildings, movements, styles, building materials and building types, technical developments and materials, as well as related issues such as building regulations, urban design and environmental architecture.
The *Encyclopaedia of Australian Architecture* is envisaged as a general reference work, and individual entries will be accessible to a secondary school pupil as well as the specialist reader. The aim of the project is to make factual information conveniently available to the reader, as well as provide critical insights into the context in which the architect(s) practised and the context in which building was designed, constructed and received, both professionally and publicly.
Overall, the *Encyclopaedia* will be the only one of its kind in Australia and it will become the standard reference tool on Australian architecture for experts, students and the general community.
This project has been made possible by the generous support of Lovell Chen Architects & Heritage Consultants and Lorenz & Manola Grollo, Equiset, Grollo Group. A
Image captions:
1. Detail of the Australia window, Sydney Town Hall, designed by Lucien Henry (Photograph by Greg Piper)
2. Launceston Holy Trinity, Tasmania, architect Alexander North (Photograph by John Maidment)
3. The Ether Building at Moorilla, designed by Rosevear Architects
The building is designed to be energy efficient and sustainable, with a focus on natural light and ventilation. The use of solar panels and other renewable energy sources helps to reduce the building's carbon footprint. The building also features a green roof, which helps to insulate the building and reduce stormwater runoff.
The Melbourne School of Design (MSD), the graduate school within the Faculty of Architecture Building and Planning, is committed to creating opportunities for its students to extend their research and writing talents and make an impact in communities beyond the University of Melbourne. It is one of the factors that distinguishes the Melbourne School of Design, its teaching program, knowledge transfer and research activities.
The MSD Summer Research Internships program launched this summer embodies this spirit of engagement and student development. It encourages high-achieving students across all MSD disciplines – architecture; urban design; urban planning; landscape architecture; property; construction management - to extend, refine and publish research that they may have worked on within a specific subject. The program was specifically devised to encourage coursework students to publish their original research, with flow-through benefits back to both the student and the Faculty. Developing and publishing their research boosts the student’s scholarship score employability, and by connection increases the Faculty’s publication profile.
MSD students who had completed a 25-point research project as part of their coursework were eligible to apply for the summer internship program in late 2009. Eight applications were received and assessed by a panel of Faculty academics - Professor Kim Dovey, Professor Philip Goad, Professor Bharat Dave, Associate Professor Julie Willis and Associate Professor Paul Walker. Following this competitive application process, four 8-week internships were offered and three were taken up: by Christina Collier and Matthew Ford, both Master of Urban Planning students, and by Allison Stout, a Master of Architecture student.
Each of the successful students had demonstrated an aptitude for research and proposed ‘current’ topics they were passionate about - topics which were innovative, in-depth and had the potential to be published in high-profile, refereed journals. The three interns were each paid a bursary of $500 per week and were given office space to write up their research projects, to bring them to a publishable standard, with the support of their supervisors.
Allison Stout chose to refine her research project on indigenous housing and community engagement – a topic borne out of her experience working with indigenous communities in the Northern Territory, Southwest Victoria and most recently Papua New Guinea. Her paper, ‘Giving voice to indigenous housing: a case study of design consultation with ‘top end’ fringe communities’, identifies ways to negotiate different avenues of imagination across cultural divides. It outlines the consultative process employed in a MSD project to renovate a derelict house in a town camp community near Darwin. The paper discusses the renovation project conducted in 2009, and reflects on the collaborative and creative problem-solving process that occurred during three-month consultation and ten-day renovation periods.
‘During my studies, my passion for sustainable and socially aware design became focused on Indigenous Housing and Architecture after completing a design studio during my second year at the University of Melbourne,’ Allison says. ‘The studio was Dr David O’Brien’s first attempt to work with Indigenous Australians after doing similar work in Indonesia.’
For Allison being a MSD Summer Research Intern had numerous benefits. ‘It gives the hard work put into writing a research paper a sense of realization,’ she says. ‘Being a part of another aspect of academia has been extremely interesting and eye-opening. Also, being able to let future employers know that I am most likely going to be published is an added bonus that has assured an interview everywhere I’ve applied thus far.’ Allison also praises her supervisor Dr David O’Brien for making the experience ‘fantastic’ and acting as her mentor throughout the process.
Allison, who aims to specialize in Indigenous Architecture, is currently working as a research assistant at the University of Melbourne and has just started her own design practice. ‘I do hope to continue this sort of work as it has become a lifelong passion and pursuit,’ she says.
Christine Collier, another of the successful Interns, concurs with Allison’s positive view of the internship program. Her paper ‘Urban Planning Regulations for Ecologically Sustainable Development (ESD) in Victoria: Beyond Building Controls’ explores the current and potential ability of urban planning assessment mechanisms to achieve ecologically sustainable buildings, using the Victorian planning system as a case study.
‘Being a recipient of the internship has given me more confidence in my abilities. I worked closely my supervisor, Dr Alan March, who guided me through the process and assisted in refining my arguments and improving my writing skills. This was fundamental to successfully turning my thesis into an article,’ Christine says. ‘The internship also gave me a better understanding of the nature of research and of the wider research community. The opportunity to interact with research students at the faculty gave me a glimpse of what it’s like to be an academic researcher and has prompted me to seriously consider undertaking a PhD.’
Creating viable and ecologically sensitive cities through the inclusions of ESD principles in planning controls has long been an interest of Christine’s. ‘My particular interest in the nexus between building and planning regulation stems from my undergraduate studies and professional experience in the field of construction management. This experience exposed me to the scant regard conventional building practices have for the natural environment and prompted me to pursue a career which would allow me to influence the environmental performance of buildings from the outset. ESD in the built environment is definitely a research area I’m interested in pursuing further in the future.’
The MSD Summer Research Internship program is just another way the MSD is supporting students to extend their research passions and impact their own futures. To set up and fund the program, ‘Strategic Initiative Funding’ was secured from the Faculty of Architecture, Building and Planning. The aim, however, is for the internship program to be self-sufficient through external support.
**Giving opportunity:**
If you are interested in supporting the MSD Summer Research Internship program and furthering the careers of high-achieving MSD students, please contact Theo Gouskos – [email protected] or phone: 03 8344 1191.
Throughout its history, the Faculty of Architecture, Building and Planning has received the generous support of alumni and friends who donate each year to provide scholarships for our students and support our teaching and research staff.
In the early 1960s a student appeal committee comprising Robert Peck (chairman), Margaret Suchestow and Miles Lewis in association with Prof. B.B.Lewis (Dean of Architecture), L.U.Simon (Director of Building) and Rai Rahni wrote:
‘The School of Architecture and Building at the University of Melbourne is appealing for support to complete its building. There have been appeals in the past, and the response has been generous. The building exists in spite of governmental indifference, and solely because the building industry has loyally donated brick by brick, the bulk of the materials needed.
We are asking for more than this. The School has emerged as a leader in the British Commonwealth, and locally as a centre for building, architecture, and the arts. To maintain these functions the School MUST have research and testing laboratories, postgraduate facilities exhibitions spaces, and a library capable of serving the industry The School WILL have these because 700 students are asking, and will continue to ask, for help from every source. This appeal concerns the whole business community. The building industry is vital to the economy of the country, and is as desperately in need of trained architects and builders as it is of adequate research and testing. We firmly believe that this project should be shouldered by every company, every foundation, and every individual capable of helping in any way. We are not merely struggling for existence; we are planning to make this School the best in the world’.
Today the Faculty of ABP is embarking on its next stage of evolution. Although the times have changed, our vision to create one of the world’s leading architectural and design centres remains the same. In their call to action at the time the students and staff asked that the community to invest in their future. Such foresight ensured there was capacity to educate generations of students, many of whom are distinguished graduates, leaders throughout all of our professions. Once again, we are at a definitive moment and ask you to continue the tradition of investing in the future generation of graduates from our Faculty.
YES! I want to support the Faculty of Architecture, Building and Planning, University of Melbourne through my gift of:
Here is my single gift of:
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Monthly or Annually for:
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Enclosed is my cheque or money order (Payable to University of Melbourne) or
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1994 Reunion
RICHARD HANSON
(BPD [BLDG] 1992, BBLDG 1994,
MBA 2004)
The 1994 Bachelor of Building graduates held a reunion on the 18th November 2009 to celebrate 15 years since the completion of studies, as well as to reacquaint themselves with old friends and to engage with the ongoing changes at the University. The night was hosted by Professor Thomas Kvan, Dean of the Faculty of Architecture, Building and Planning, and it was his very generous support which enabled the function to be held in the stunning surrounds of the Robin Boyd House in Walsh St, South Yarra.
Of the 30 or so graduates from that year, 22 were able to attend, which is remarkable given that quite a number are now living and working overseas. Also, there was the current head of the Property and Construction Department, Paolo Tombesi, and Peter Williams, the former head of the Bachelor of Building program and personal friend to many of the year group.
The group was given a tour of the house and garden prior to dinner, which included a talk on the history of the house and Robin Boyd’s architectural philosophies. We were blessed with a balmy November night, which allowed the dinner to be held in the central garden courtyard and certainly added to the special feeling of the night.
Professor Kvan welcomed the guests, and gave an insight into the changes occurring at the University, particularly with regard to the Melbourne Model and the Faculty of Architecture, Building and Planning. He also mentioned the exciting proposed new building to house the Faculty, and the design progress which has been achieved so far. Paolo Tombesi gave insights into the current development of the curriculum and other recent achievements.
Peter Williams gave a warm and heartfelt speech which was appreciated by all. He also encouraged the year group to develop a culture of giving back to the University, and he publicly made a personal commitment to this culture by announcing his signing up to the Dean’s Circle there and then! A number of others also subsequently made significant contributions to the new building fund, including other new Dean’s Circle members.
I gave a vote of thanks on behalf of the year group to Professor Kvan and his generous hospitality. We will long remember this special night. It was a great opportunity to catch up with old friends and 15 years of news. It was also great to hear of the continuing strength of the Construction and Property programs which all of the attendees benefitted so much from, and which we to wish to continue to see prosper. Many also noted their willingness to contribute to the programs with the further development of close links with industry, to assist with making the courses as relevant and practical as possible.
Catherin Bull and Kim Dovey recently took part in the Prime Minister’s National Summit for the Future of Australian Urban Centres and Cities. They were ‘expert contributors’ in the Designing the City working group, led by Pru Sanderson (CEO of VicUrban).
Paul Walker participated in the 2009 World Architecture Festival (WAF) late last year, as a representative of Architecture New Zealand, the New Zealand media partner of WAF. Paul published a piece on the WAF in the Jan/Feb 2010 edition of Architecture Australia.
Philip Goad was guest speaker at and opened the exhibition *Wilson Hall: Centre and Symbol* of the University in the Leigh Scott Gallery in the Baillieu Library in March. The exhibition, which documents the Reed and Barnes Gothic Revival design, as well as the modern Wilson Hall, has been curated by the Conservation Program within the Cultural Collections of the University Library and is on show until 17 May 2010.
Also in March, Philip Goad was guest speaker at an event held at the Robin Boyd House, South Yarra. This was the first event for bequest donors as part of the University of Melbourne’s Heritage Society calendar, an initiative of the University’s Advancement Office.
Jianfei Zhu travelled to Nanjing, China in early April to present in a workshop “Words, Drawings and Translations in Architecture at Southeast University (31 March – 4 April). It was the first event in a six-year long project titled ‘AS Contemporary Architecture Theory Forum’, jointly organized by the AA School of Architecture, Southeast University, and SIMAG (Shanghai Modern Architecture Group).
Strewhth: That’s Heritage!, coordinated by Andrew Saniga and Hannah Lewi, was the first ABP exhibition for 2010, held in the Wunderlich Gallery in February. This photographic exhibition, held in association with the Green Fields, Brown Fields, New Fields Australasian Urban History/Planning History Conference, presented images of heritage sites, and challenged our perceptions what defines ‘heritage’.
The exhibition *WOOD/cardboard: furniture, prototypes, models, by Hamish Hill and Alex Selenitsch 1992-2010* ran in the Wunderlich Gallery from 22 March to 16 April. Hamish Hill and Alex Selenitsch have taught a furniture elective at the Faculty of Architecture Building and Planning since 1992, and their creative interaction in the workshop extends over the same period. That interaction formed the subject of the exhibition, which brought together individual and collaborative works.
The first event in the 2010 Dean’s Lecture Series saw the prominent Chilean architect Mathias Klotz travel from Santiago to Melbourne to present a fascinating lecture to a capacity local audience. The lecture gave us a very personal insight into his architectural practice and vision. Mathias has achieved international recognition for his residential, commercial and public architecture. His work encompasses a concern for the environment, local history and culture and a strong sense of place. In May, we hosted William Cobbett, Manager of Cities Alliance (Washington D.C.) who presented an intriguing Dean’s lecture on the challenge of scale in a rapidly urbanising world.
The Faculty also hosted Erika Esau, Visiting Fellow from the School of Humanities at The Australian National University, in March. Erika presented a free public lecture on the architecture connections between Australian and Californian house design based upon research for her new book *Images of the Pacific Rim: Australia and California 1850-1935*. This intriguing lecture drew a large audience passionate about architectural heritage and design.
The first exhibition in our ABP Alumni Retrospective Series for 2010, profiles the practice and vision of one our most prominent graduate architects – Daryl Jackson. The exhibition entitled ARCHITECTURE: A cultural confluence of change: structure / form / programme / expression was presented in the Wunderlich Gallery from 19 to 30 April. Established in 1965, Jackson Architecture is an international practice with offices in Melbourne, Sydney, Canberra, Brisbane, London, Vietnam and China. The practice encompasses a range of experience and expertise including schools and universities; libraries; sports arenas and recreational spaces; commercial offices; hospitals; hotels; and airports. Major projects include: Etihad Stadium, the Sydney Conservatorium of Music, Wesley College, the MCG’s Southern Stand, the University of Ballarat, and the Australian Film, Television & Radio School. The ABP Alumni Retrospective Series is intended to highlight the extraordinary range and contribution to the urban environment of alumni from all professional programs within the Faculty of Architecture, Building and Planning, both recent and past. As Professor Philip Goad noted:
‘The exhibition shows the diversity of Jackson’s practice and the extent of his collaborative reach, and the international and national presence of his work. Above all, it shows his ongoing commitment to an idea of the city as a place that is vital, in flux but cognizant of its past, resilient and robust, and as a place where buildings, their spaces and the spaces between are microcosms of the world of propinquity and all the social structures that coalesce as the city of today.’ A
CONGRATULATIONS
Three projects from the Faculty of Architecture, Building and Planning have been selected as finalists to exhibit in the Australian Pavilion at the 2010 Venice Architecture Biennale, the world’s most important architecture event. The winning ABP projects are:
» Symbiotic City (Steve Whitford with James Brearley, BAU Brearley Architects & Urbanists)
» Mould City (Peter Raisbeck, Nicola Dovey and Simon Wollan, as part of Colony Collective)
» The Fear Free City (Justyna Karakiewicz, Tom Kwan with Steve Hatzellis, WSH Architects)
For full details of this significant achievement for our Faculty, read the Venice Biennale story on page 14.
Congratulations to Anna Hurlimann, Clare Mouat and David Nichols for a very successful outcome of the 10th Australasian Urban History, Planning History conference held in the Faculty in February.
Congratulations to Alan March, whose paper ‘Institutional Impediments to Planning Professionalism in Victoria, Australia’ was selected by the Global Planning Education Association Network’s International Board as a ‘Global Best’ paper for the period 2007-9. The paper will be republished in Dialogues in Urban and Regional Planning Volume 4 in 2011.
Congratulations to Tony Arnel (alumnus), Victorian Building Commissioner, on being awarded the Australian Institute of Architects Inaugural Leadership in Sustainability Prize. This is a wonderful recognition of Tony’s contribution to policy development in the area, and is reflected in the increase in the standards of sustainable building practice.
Several of our recent MSD graduates have distinguished themselves by being awarded major architecture prizes. Fiona Lew won the BlueScope Steel Glen Murcutt Student Prize for her Indigenous housing project, announced at the inaugural Australian Achievement in Architecture Awards (AAA) in March; and Daria Leikina won the Bates Smart/University of Melbourne prize.
KEY EVENTS COMING UP
DEAN’S LECTURE SERIES 2010
Jane Wernick (Jane Wernick Associates, Consulting Engineers, London)
Engineering Delight - collaborations on projects to make you smile
3 August, 2010, 7pm
Carrillo Gantner Theatre
Basement, Sidney Myer Asia Centre
The University of Melbourne
For full details visit: www.msd.unimelb.edu.au/events/deans-lectures/wernick
CONFERENCE
AUBEA 2010
Construction Management(s)
Australasian Universities Building Education Association 35th Annual Conference
14–16 July, 2010
Faculty of Architecture, Building and Planning,
The University of Melbourne
For full details visit the MSD website - www.msd.unimelb.edu.au/events/conferences/aubea2010/
BOOKS
Qinghua Guo’s book The mingqi Pottery Buildings of Han Dynasty China 206 BC–AD 220: Architectural Representations and Represented Architecture was published in March by Sussex Academic Press. In this fascinating publication, Qinghua examines a particular type of mingqi – pottery buildings unearthed in China.
Dr Muharem (Harry) Karamujic launched his book The Determination of Home Loan Interest Rates and an Empirical Assessment of their Cyclicity and Seasonality on 24 March. Harry is a Senior Lecturer in Property and Finance in the Faculty and worked with the National Bank of Australia before becoming an academic.
EYES 2009, featuring a collection of innovative projects and research by students and staff in the Faculty, was launched in March. This year the EYES publication is a set of three books based on three distinct themes: Communities, Cities, Global. Copies of EYES 2009 are available through the University of Melbourne bookshop.
Atrium
13 | 2010
CONTACT
FACULTY OF ARCHITECTURE,
BUILDING & PLANNING
UNIVERSITY OF MELBOURNE
PO BOX 667, VIC 3010 AUSTRALIA
PHONE +61 3 8344 6411
WWW.ABP.UNIMELB.EDU.AU
Published by the Faculty of Architecture, Building and Planning
Authorised by Professor Tom Kwan, Dean
Faculty of Architecture, Building & Planning, May 2010
ISSN 1447-1728
The University of Melbourne
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The Bionomics Of Blow Flies Annual Reviews
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The Bionomics Of Blow Flies
Forensic Entomology in Criminal Investigations E P Catts, and and M L Goff Annual Review of Entomology A Roadmap for Bridging Basic and Applied Research in Forensic Entomology J.K. Tomberlin, R. Mohr, M.E. Benbow, A.M. Tarone, and S. VanLaerhoven
The Bionomics of Blow Flies | Annual Review of Entomology
Blow flies are examples of holometabolous insects whose adult size is dependent on larval feeding. Many blow flies feed on carrion (Norris 1965, Hanski 1987, Erzinçlioglu 1996.
The Bionomics of Blow Flies - ResearchGate
The Bionomics of Blow Flies Norris, K R 1965-01-01 00:00:00 By K. R. NORRIS Commonwealth Scientific and Industrial Research Organization, Canberra, Australia Blow flies (Calliphoridae) include species which cause great losses in the animal industry throughout the world, and some which are vectors of human disease (79). They are, in addition, an important element in the biota, and the study of their bionomics is therefore of considerable practical importance.
The Bionomics of Blow Flies, Annual Review of Entomology ...
The Bionomics of Blow Flies Norris, K R 1965-01-01 00:00:00 By K. R. NORRIS Commonwealth Scientific and Industrial Research Organization, Canberra, Australia Blow flies (Calliphoridae) include species which cause great losses in the animal industry throughout the world, and some which are vectors of human disease (79).
The Bionomics Of Blow Flies Annual Reviews
The bionomics of blow flies. Author(s) : Norris, K. R. Journal article : Annual Review of Entomology 1965 Vol.10 pp.47-68
The bionomics of blow flies. - CAB Direct
From a forensic point of view, it is of interest that gravid blow fly females are much more attracted by stages of initial decay, while non-gravid flies were much more present during advanced Page 4/10
decay . Different ages affect the behavior of blow flies, e.g. as non-gravids required a protein food for egg maturation, while gravid specimens required protein food for egg deposition.
Bionomics of the oriental latrine fly Chrysomya ...
When huge numbers of flies suddenly appear inside the home, homeowners become very distraught and often don't know what to do. The flies often look somewhat like houseflies, but may be shiny green, blue, bronze or black. These shiny, metallic colored flies are called blow or bottle flies. They congregate around windows and produce a buzzing sound.
Blow flies in the Home | Nebraska Extension in Lancaster ...
Blow flies, part of a large family of flies, is known for the larvae and immature flies infesting animal carcasses. Adult blow flies feed primarily on flower nectar, plant sap, and other sugary Page 5/10
materials. The female blowfly typically lays its eggs on the body of a recently killed animal.
Get Rid of Blow Flies - Do-It-Yourself Pest Control
Blow flies are heavily attracted to dead carrion and other dead things. This is because the larvae of Blow flies burrow into and feed on the dead remains. Blow fly larvae need a lot of protein to develop and this is why dead meat is the preferred breeding ground. After 3 weeks to a month the Blow flies larvae will be fully grown.
Full Guide To Get Rid Of Blow Flies | How To Get Rid Of ... Blow Fly References - All subjects and areas: Authors N through Z Nabity, P. D., Higley, L. G. & Heng-Moss, T. M. (2006) Effects of temperature on development of Phormia regina (Diptera: Calliphoridae) and use of developmental data in determining time intervals in forensic entomology.Journal of Medical Page 6/10
Entomology, 6, 1276-1286. Nabity, P. D., Higley, L. G. & HengMoss, T. M. (2007) Light ...
Welcome to Blow Flies - Literature List
Cluster or attic flies are the genus Pollenia in the blowfly family Calliphoridae. Unlike more familiar blow flies, such as the bluebottle genus Phormia, they do not present a health hazard because they do not lay eggs in human food. Cluster fly larvae develop inside earthworms living in the ground outside of homes.
Why are there Flies in my House all of a Sudden? - Crafty
...
BACKGROUND: Chrysomya megacephala is a blow fly species of medical and forensic importance worldwide. Understanding its bionomics is essential for both designing effective fly control programs and its use in forensic investigations. Page 7/10
Bionomics of the oriental latrine fly Chrysomya ...
Nocturnal flight of blow flies (Diptera: Calliphoridae) is a controversial issue in forensic entomology. We performed two field experiments to investigate the diurnal and nocturnal activity of six blow fly species in a rainforest fragment in Brazil.
Diurnal and Nocturnal Flight Activity of Blow Flies ...
Calliphora latifrons is one of the most forensically important species of blow flies. Urban entomology deals with the insects that affect humans and their immediate environment. This field includes a variety of problems for humans such as pest control issues and disease. C. latifrons is known to freely enter houses.
Calliphora latifrons - Wikipedia
Background Chrysomya megacephala is a blow fly species of medical and forensic importance worldwide. Understanding its Page 8/10
bionomics is essential for both designing effective fly control programs and...
Kabkaew L Sukontason's research works | Chiang Mai ... THE I BIONOMICS OF BLOW FLIES BY K. R. NORRIS Commonwealth Scientific and Industrial Research Organization, Canberra, Australia Blow flies (Calliphoridae) include species which cause great losses in the animal industry throughout the world, and some which are vectors of human disease (79).
Annual Reviews www.annualreviews.org/aronline
The oriental latrine fly, Chrysomya megacephala (Fabricius, 1794), is a medically and forensically important blow fly species as its habit and breeding places are within or near to human settlements. Adults are mechanical carriers of a range of pathogens [ 1, 2, 3] and their larvae can cause myiasis in humans and animals [ 4, 5 ]. Page 9/10
Copyright : simkeu.unigoro.ac.id
Read PDF The Bionomics Of Blow Flies Annual Reviews
Bionomics of the oriental latrine fly Chrysomya ...
This study investigate the factors that affect the oviposition sites of Lucilia sericata (Diptera: Calliphoridae) (Meigen, 1826), a very common blow fly species of forensic interest. Blowflies (Diptera: Calliphoridae) have a highly developed olfactory system that allows them to detect corpses at a great distance , , , .It is frequently reported in forensic entomology manuals that once on the ...
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CNMV Bulletin
December 2016
CNMV BULLETIN
December 2016
The CNMV publishes this Bulletin to spread research in order to contribute to the best knowledge of the stock markets and their regulation.
The opinions in these articles are the sole responsibility of the authors and do not necessarily coincide with those of the CNMV.
The CNMV distributes its reports and publications via the Internet at www.cnmv.es.
© CNMV. The contents of this publication may be reproduced, subject to attribution.
ISSN (digital edition): 1988-2025
Layout: Composiciones Rali, S.A.
Contents
I Securities markets and their agents: Situation and outlook 9
II Reports and analysis 69
Resolution of central counterparties: Approach in the global regulatory agenda and response in the European Union 71
Victor Rodríguez Quejido and José Manuel Portero Bujalance
III Legislative annex 89
IV Statistics annex 103
| Abbreviation | Description |
|--------------|-------------|
| ABS | Asset-Backed Security |
| AIAF | Asociación de Intermediarios de Activos Financieros (Spanish market in fixed-income securities) |
| ANCV | Agencia Nacional de Codificación de Valores (Spain’s national numbering agency) |
| ASCRI | Asociación española de entidades de capital-riesgo (Association of Spanish venture capital firms) |
| AV | Agencia de valores (Broker) |
| AVB | Agencia de valores y bolsa (Broker and market member) |
| BME | Bolsas y Mercados Espanoles (Operator of all stock markets and financial systems in Spain) |
| BTA | Bono de titulización de activos (Asset-backed bond) |
| BTH | Bono de titulización hipotecaria (Mortgage-backed bond) |
| CADE | Central de Anotaciones de Deuda del Estado (Public debt book-entry trading system) |
| CCP | Central Counterparty |
| CDS | Credit Default Swap |
| CNMV | Comisión Nacional del Mercado de Valores (Spain’s National Securities Market Commission) |
| CSD | Central Securities Depository |
| EAFI | Empresa de Asesoramiento Financiero (Financial advisory firm) |
| EBA | European Banking Authority |
| EC | European Commission |
| ECB | European Central Bank |
| ECLAC | Economic Commission for Latin America and the Caribbean |
| ECR | Entidad de capital-riesgo (Venture capital firm) |
| EIOPA | European Insurance and Occupational Pensions Authority |
| EMU | Economic and Monetary Union (Euro area) |
| ESA | European Supervisory Authorities |
| ESMA | European Securities and Markets Authority |
| ESRB | European Systemic Risk Board |
| ETF | Exchange-Traded Fund |
| EU | European Union |
| FI | Fondo de inversión de carácter financiero (Mutual fund) |
| FII | Fondo de inversión inmobiliaria (Real estate investment fund) |
| FIICIL | Fondo de instituciones de inversión colectiva de inversión libre (Fund of hedge funds) |
| FIL | Fondo de inversión libre (Hedge fund) |
| FSB | Financial Stability Board |
| FTA | Fondo de titulización de activos (Asset securitisation trust) |
| FTH | Fondo de titulización hipotecaria (Mortgage securitisation trust) |
| IAASB | International Auditing and Assurance Standards Board |
| IASB | International Accounting Standards Board |
| IFRS | International Financial Reporting Standards |
| IIC | Institución de inversión colectiva (CIS) |
| Abbreviation | Description |
|--------------|-------------|
| IICIL | Institución de inversión colectiva de inversión libre (Hedge fund) |
| IIMV | Instituto Iberoamericano del Mercado de Valores |
| IOSCO | International Organization of Securities Commissions |
| ISIN | International Securities Identification Number |
| Latibex | Market in Latin American securities, based in Madrid |
| MAB | Mercado Alternativo Bursátil (Alternative Stock Exchange) |
| MEFF | Spanish financial futures and options market |
| MFAO | Mercado de Futuros del Aceite de Oliva (Olive oil futures market) |
| MiBEL | Mercado Ibérico de Electricidad (Iberian electricity market) |
| MiFID | Markets in Financial Instruments Directive |
| MoU | Memorandum of Understanding |
| OECD | Organisation for Economic Co-operation and Development |
| P/E | Price-earnings ratio |
| PRIIPs | Packaged retail investment products and insurance-based investment products |
| RENADE | Registro Nacional de los Derechos de Emisión de Gases de Efectos Invernadero (Spain’s national register of greenhouse gas emission permits) |
| ROE | Return on Equity |
| SCLV | Servicio de Compensación y Liquidación de Valores (Spain’s securities clearing and settlement system) |
| SCR | Sociedad de capital-riesgo (Venture capital company) |
| SENAF | Sistema Electrónico de Negociación de Activos Financieros (Electronic trading platform in Spanish government bonds) |
| SEPBLAC | Servicio Ejecutivo de la Comisión de Prevención del Blanqueo de Capitales e infracciones monetarias (Bank of Spain unit to combat money laundering) |
| SGC | Sociedad gestora de carteras (Portfolio management company) |
| SGECR | Sociedad gestora de entidades de capital-riesgo (Venture capital firm management company) |
| SGFT | Sociedad gestora de fondos de titulización (Asset securitisation trust management company) |
| SGIIC | Sociedad gestora de instituciones de inversión colectiva (CIS management company) |
| SIBE | Sistema de Interconexión Bursátil Español (Spain’s electronic market in securities) |
| SICAV | Sociedad de inversión de carácter financiero (Open-end investment company) |
| SII | Sociedad de inversión inmobiliaria (Real estate investment company) |
| SIL | Sociedad de inversión libre (Hedge fund in the form of a company) |
| SME | Small and medium-sized enterprise |
| SON | Sistema Organizado de Negociación (Multilateral trading facility) |
| SV | Sociedad de valores (Broker-dealer) |
| SVB | Sociedad de valores y bolsa (Broker-dealer and market member) |
| TER | Total Expense Ratio |
| UCITS | Undertaking for Collective Investment in Transferable Securities |
I Securities markets and their agents: Situation and outlook
## Contents
1. Executive summary 13
2. Macro-financial background 16
- 2.1 International economic and financial developments 16
- 2.2 National economic and financial developments 26
- 2.3 Outlook 31
3. Spanish markets 32
- 3.1 Equity markets 33
- 3.2 Fixed-income markets 42
4. Market agents 51
- 4.1 Investment vehicles 51
- 4.2 Investment firms 58
- 4.3 CIS management companies 64
- 4.4 Other intermediaries: Venture capital 66
### List of exhibits
| Exhibit | Description | Page |
|---------|-----------------------------------------------------------------------------|------|
| 1 | Presidential elections in the United States: A first assessment of the effects on financial markets | 23 |
| 2 | The UK referendum on leaving the European Union (Brexit) and its impact on financial markets | 35 |
| 3 | New European rules on benchmark indices and their implications for supervisors | 48 |
| 4 | Depositaries Circular. Independent Directors | 56 |
| 5 | Change to the way securities transfer fees are calculated in fee schedules | 62 |
| 6 | Second Financial Education Day | 65 |
1 Executive summary
• The global macroeconomic and financial landscape was again characterised by vigorous growth in the United States and China contrasting with timid advances in Europe, a region where the soundness of the banking system is increasingly being called into question in a context of ultra-reduced interest rates and newly emerging competitors. Monetary policy has varied little since our last report, except in the United Kingdom where it has taken a more expansionary turn as the Bank of England seeks to fend off the economic fallout from Brexit. In the United States, the Federal Reserve is waiting for the picture to clear before committing to new interest rate hikes (more likely under the incoming administration), while in the euro area the European Central Bank (ECB) has left its key rates unchanged while pressing on with the sovereign and corporate bond-buying programmes that have anchored interest rates at historical lows.
• A few days before the closing date for this report\(^1\) came news of the result of the US presidential elections, which has increased uncertainty among market agents. Although it is early to say how far the new government will go in pushing through the promised measures (mostly of a nationalistic bent), financial markets are already pricing in the scenario of a deeper deficit, more inflation and higher interest rates. After fighting back from Brexit turmoil over most of the second half, financial markets were rattled once more by the change of power in the United States. The initial effects have been felt most in bond markets, with consequences varying from sector to sector and across regions. Bond yields, for instance, reacted sharply in the United States and some European peripheral economies, with rises of 30 to 48 basis points (bp) in the space of a few days. In equity markets, salient developments were the bull run of US indices, where a strongly performing economy helped boost prices by between 5.4% and 8.6%. This contrasts with the year-to-date losses posted in European and Japanese markets, the worst hit being Asian indices and the Italian Mib, on persistent concerns over the health of the country’s banks.
• Spain’s macroeconomic performance was positive once more, with GDP growth of over 3% easily outpacing the rest of the euro area, and significant advances in employment creation (458,000 new jobs in the past year). Having been stuck in negative terrain since the year’s outset, inflation turned positive in September, followed by an October surge to 0.7% as energy rates normalised. Core inflation ran a more stable course, holding at just under 1% throughout 2016. The recent formation of a new government has removed one of the
\(^1\) The closing date for this report is 15 November.
main uncertainties for the Spanish economy, but other risks remain. Many of these it shares with other European countries, such as the consolidation of public accounts or the erosion of banks’ business margins.
- Supportive economic conditions and low interest rates are allowing steady gradual inroads into Spanish banks’ NPL ratios, down to 9.4% in August compared to the 13.6% highs of 2013. However, the prevailing interest rate environment and the growing challenge from new competitive forces (shadow banking, fintech...) has muddied the outlook for a sector that has already seen profitability ratios drop below historical averages. In response, a majority of banks have launched efficiency drives and are also casting round for more profitable business lines.
- Non-financial listed companies made 8.30 billion euros in profits from January to June 2016, 37.6% less than in 2015. This scale of decline was explained mainly by the deterioration of results from discontinued operations among firms in the retail and services sector. Meantime, aggregate debt levels rose by 2.9% versus the 2015 close to 267 billion euros, nudging leverage up from 1.18 to 1.22.
- The stress indicator for Spanish financial markets spiked to 0.44 after the Brexit vote before easing back to around 0.30, but was barely affected by the victory of Donald Trump. It currently stands at the low end of the medium risk interval. The segments emitting most signs of stress are financial intermediaries, after their share price slump, joined recently by bond markets, where risk premiums have been edging higher.
- After clawing back the ground lost post-Brexit\(^2\) over most of the second half, Spanish stock indices fell once more on news of the US election outcome. At the time of writing this report, the Ibex 35 has shed 9% of its value, locating it around the performance mid-point of other European indices. Remaining Spanish indices posted falls on a similar scale. The exception was the small cap index (-0.8%), smaller firms being more shielded from uncertainties of a global nature. Trading on Spanish stock exchanges prolonged its decline (down 25% in the year), in contrast to the brisk business done in Spanish shares on foreign and OTC markets.
- Domestic fixed-income markets opened the third quarter with a surge in prices, as investors sought refuge in safer assets after Brexit and the ensuing wave of stock market instability. These strategies were further encouraged by the ECB’s asset purchase programme. The result was to drive yields to new lows in the month of September: 0.95% in the case of the Spanish ten-year government. Bond yields have since edged higher on the outcome of the US elections, but in general are trading below the levels of year-end 2015. Finally, debt issuance contracted in the period with the decline extending to both issues filed with the CNMV (down 9% to 92.60 billion euros) and those sold abroad.
---
\(^2\) Brexit triggered the biggest daily fall (-12.4%) in the history of the Ibex 35.
• After a negative start, assets under management in mutual funds rose by 3.1% to 229 billion euros in the first nine months of 2016. This advance owed entirely to investor subscriptions exceeding 7.4 billion euros, while the value of portfolio assets stayed practically flat. Also apparent was a certain shift in investor preferences towards fixed-income and guaranteed equity funds. Meantime CIS management companies reported a small first-half decrease in both profits (9.1%) and managed assets (1.3%), owing mainly to the decline in value of fund and company portfolios. The number of loss-making managers increased in the period to 21 (11 in 2015).
• Unsettled markets also impacted negatively on investment firm business in the first nine months of 2016, driving pre-tax profits down by 18.8% versus the year-ago period to 146.5 million euros. The volatile climate was most detrimental to fees from order processing and execution, which contracted for broker-dealers and brokers alike. Despite this, sector solvency remained well within the comfort zone.
• This report contains six exhibits:
– Exhibit 1 looks at the main points of the economic and financial scenario foreseeably ushered in by the new US government, and the market effects observable to date.
– Exhibit 2 summarises the milestones in the Brexit process, and its impact on domestic and global financial markets.
– Exhibit 3 discusses the new EU Regulation on benchmark indices and its implications for supervisors.
– Exhibit 4 considers the main elements of CNMV Circular 4/2016, of 29 June, in force as of 13 October this year, which revises the functions of CIS depositaries.
– Exhibit 5 explains the changes made by the CNMV to the way securities transfer fees are calculated in fee schedules, in response to evidence of disproportionate charging by providers in recent years.
– Finally, Exhibit 6 comments on the main initiatives on show at the second Financial Education Day, held annually on the first Monday in October with the goal of alerting citizens to the importance of having a good grasp of essential financial concepts in order to navigate their day-to-day needs.
2 Macro-financial background
2.1 International economic and financial developments
Activity in the advanced economies progressed at a divergent pace in the central months of 2016 (see Figure 1). In the United States, growth quickened to 0.7% in the year’s third quarter (1.5% year on year), while in the United Kingdom GDP growth slowed slightly to 0.5% (2.3% year on year) in response partly to uncertainties surrounding Brexit. The euro area as a whole advanced 1.6% in annual terms, with Germany and France repeating the growth rates of the previous quarter (1.7% and 1.1% respectively), and the Italian economy picking up to a small extent. Spain kept up brisk growth with an annual third-quarter rate of 3.2%, according to advance figures from the National Statistics Office, two points less than in preceding period. The stand-out among emerging market economies was the continuing vigour of the Chinese economy, which continued to power ahead at a flat rate of 6.7%.
Monetary policies hold to their course in both the United States and euro area. The ECB announces that interest rates will remain at similar levels for some time to come…
… and, despite seeing added support for a hike in rates, the Federal Reserve decides to await clearer evidence of progress in key economic variables.
Monetary authorities stuck to their respective policies in the euro area and the United States. In the first case, the ECB held the official rate at a record low of 0%, the marginal lending rate at 0.25%, and the marginal deposit rate at -0.4%, as inflation continued to trail its mid-term target, announcing that rates would remain at current or lower levels for an extended period of time. The Bank announced no changes in its asset purchase programme but pledged to prolong it until March 2017 or until inflation returns to its medium-term objective.
In the United States, the Federal Reserve saw compelling reasons to justify an interest rate hike, in the shape of brisk third-quarter activity, solid job creation, and gently rising inflation since the start of 2016. Its decision, however, was to hold off pending more solid evidence of a recovery in key economic variables, keeping rates meantime in the interval of 0.25% and 0.5%. The US authority will weigh its future
decisions by reference to labour market figures, inflation and the course of international financial developments.
The Bank of England decided to cut its bank rate last August by 25 bp to 0.25%. It also enlarged its government bond-buying scheme to 435 billion pounds, and announced the purchase of up to 10 billion pounds in UK corporate bonds. It reached this decision based on the prospect of a downturn in activity prompted by weaker aggregate demand, and despite its belief that inflation could rise temporarily above target due to the post-Brexit fall in sterling. Finally, the Bank of Japan shifted the focus of its monetary stimulus to controlling the yield curve. It also pledged to go on expanding the monetary base until inflation settles above the target rate of 2%.
**Official interest rates**
*Source: Thomson Datastream. Data to 15 November.*
Short-term interest rates in the advanced economies again reflected the varied directions of monetary policy. By November, US interbank rates were strung out between 89 bp at three months and 157 bp in the one-year term (between 24 bp and 31 bp higher than last June) on the outlook for a new rate hike by the Federal Reserve. In the euro area, conversely, three-month and twelve-month rates slipped deeper into negative territory as far as -31 bp and -7 bp at mid-November, in both cases 4 bp down on their mid-year levels.
In international bond markets, ten-year yields performed in line over the third-quarter period, with a sharp fall extending to most of the advanced economies. Behind the trend was investors’ decreasing appetite for risk (see Figure 7) in the uncertain climate following Brexit, which brought about a renewed search for quality. This all changed in mid-November, however, when the outcome of the US elections set the markets discounting a scenario of higher interest rates and inflation. The result was a run-up in yields (see Exhibit 1) led by the United States (41 bp), United Kingdom (31 bp) and Germany (24 bp), which nonetheless stopped short of the levels of the 2015 close except in the cases of Portugal and Italy.
---
3 Monthly average to 15 November.
In November, US and UK ten-year governments were trading at a 2.0% and 1.27% average respectively, 26 bp and 61 bp less than at end-2015 but still exceeding the yields of the most solid euro-area economies. The German bond, specifically, reached 0.13% in November, after a third-quarter average of -0.12%, extending its year-to-date fall to 46 basis points. Yields on French and Spanish bonds also headed lower to 0.57% and 1.34% respectively, while Portuguese yields jumped to 3.35% (up by 86 bp).
**Ten-year sovereign debt market indicators**
**Yield**
**Liquidity**
**Volatility**
Source: Bloomberg, Thomson Datastream and CNMV. Data to 15 November.
1 One month average of daily bid-ask spread for yields on ten-year sovereign bonds (logarithmic scale). In the case of the German bond, the one month average of the bid-ask spread is represented without dividing by the yield average to avoid the distortion introduced by its proximity to zero.
2 Annualised standard deviation of daily changes in 40-day sovereign debt prices.
Sovereign risk premiums, as gleaned from the five-year CDS of government bonds, have seen little variation year to date in the United States and core euro-area economies (see Figure 4). By November, spreads were running at 26 bp in the United States, 21 bp in Germany, 29 bp in Belgium and 33 bp in France. Peripheral...
economies experienced more varied fortunes, with November spreads of 75 bp in Spain, 154 bp in Italy and 280 bp in Portugal representing an 11 bp fall and rises of 57 bp and 108 bp respectively with respect to December 2015, as these last two economies labour under the effects of concerns about their banking sectors.
**Credit risk premiums on public debt (five-year CDS)**
**Countries receiving financial assistance**
- Spain
- Portugal
- Ireland
- Greece (RHS)
**Other countries**
- France
- UK
- Italy
- Germany
- USA
- Belgium
Source: Thomson Datastream. Data to 15 November.
In corporate bond markets, credit spreads in the United States and euro area have been compressing all year across all types of product. High-yield spreads again took the lead (see Figure 5), with year-to-date falls of 171 bp and 67 bp in the United States and euro area respectively as far as November levels of 483 bp and 476 bp. In an ultra-low rate environment, narrower spreads may reflect the growing prevalence of search for yield strategies. Likewise, the lower weighting of equities in the portfolios of increasingly risk averse institutional investors (see Figure 7) may have helped drive up bond prices.
Net long-term issuance in global bond markets summed 1.16 trillion dollars in the second half of 2016, a little above the register for the year-ago period. Public sector issuance dropped to 437 billion dollars, 112 billion less than in the second half of 2015, whereas corporate issuance surged by 259 billion to 728 billion dollars.
Net sovereign issuance was again conditioned by the existence of large redemption volumes and, in Europe especially, an ongoing fiscal consolidation effort which has driven down public sector borrowing requirements. In this context, net issuance in the United States was down by 163 billion dollars in the second half-year compared to the same period 2015. In the euro area, meantime, the redemptions bill exceeded the volumes borrowed, giving a negative net figure of -129 billion (see upper right panel of Figure 6).
In the financial sector, net issue volumes in the United States were 6% lower than in the second half of 2015 at 196 billion dollars, while the figure for Europe turned more steeply negative (down 7% to -82 billion dollars). Europe’s banks are currently immersed in a deleveraging process motivated in part by newly imposed capital requirements, but also reflecting the challenges posed by excess capacity and growing competition in certain investment services.
Corporate bond yields
Spread vs. ten-year governments
United States
- High yield
- BBB
- AAA
Percentage points
Source: Thomson Datastream and CNMV. Data to 15 November.
1 In the euro area versus the German benchmark.
Net international debt issuance
Total
Billion dollars
Public sector
Billion dollars
Financial corporations
Billion dollars
Non-financial corporations
Billion dollars
Source: Dealogic. Half-year data. Data for the second half of 2016 are to 15 November but restated on a semi-annual basis to facilitate comparison.
Net corporate bond issuance rose in the second half-year across most of the regions followed. In Europe, net borrowings stood 44% higher than in the first half of 2016, while in Japan, the figure turned positive to the tune of 25 billion after the negative outcome of the first half-year. Part of this increase was likely prompted by the asset purchase programmes of the ECB and Bank of Japan. In the United States, net corporate borrowings were 11% lower than last year, due basically to the issuance spike of first-half 2015, when corporations brought forward placements to lock in lower costs ahead of the expected hike in interest rates.
**Performance of main stock indices**
| % | 2012 | 2013 | 2014 | 2015 | 4Q 15 | 1Q 16 | 2Q 16 | 3Q 16 | 4Q 16 (to 15 November) |
|---|------|------|------|------|-------|-------|-------|-------|------------------------|
| | | | | | | | | | %/ prior quarter |
| World | | | | | | | | | %/ Dec 15 |
| MSCI World | 13.2 | 24.1 | 2.9 | -2.7 | 5.1 | -0.9 | 0.3 | 4.4 | -1.4 |
| Euro area | | | | | | | | | |
| Eurostoxx 50 | 13.8 | 17.9 | 1.2 | 3.8 | 5.4 | -8.0 | -4.7 | 4.8 | 1.6 |
| Euronext 100 | 14.8 | 19.0 | 3.6 | 8.0 | 5.6 | -4.6 | -2.1 | 4.1 | -1.0 |
| Dax 30 | 29.1 | 25.5 | 2.7 | 9.6 | 11.2 | -7.2 | -2.9 | 8.6 | 2.1 |
| Cac 40 | 15.2 | 18.0 | -0.5 | 8.5 | 4.1 | -5.4 | -3.4 | 5.0 | 2.0 |
| Mib 30 | 7.8 | 16.6 | 0.2 | 12.7 | 0.6 | -15.4 | -10.6 | 1.3 | 1.7 |
| Ibex 35 | -4.7 | 21.4 | 3.7 | -7.2 | -0.2 | -8.6 | -6.4 | 7.5 | -1.1 |
| United Kingdom | | | | | | | | | |
| FTSE 100 | 5.8 | 14.4 | -2.7 | -4.9 | 3.0 | -1.1 | 5.3 | 6.1 | -1.5 |
| United States | | | | | | | | | |
| Dow Jones | 7.3 | 26.5 | 7.5 | -2.2 | 7.0 | 1.5 | 1.4 | 2.1 | 3.4 |
| S&P 500 | 13.4 | 29.6 | 11.4 | -0.7 | 6.5 | 0.8 | 1.9 | 3.3 | 0.6 |
| Nasdaq Composite | 15.9 | 38.3 | 13.4 | 5.7 | 8.4 | -2.7 | -0.6 | 9.7 | -0.7 |
| Japan | | | | | | | | | |
| Nikkei 225 | 22.9 | 56.7 | 7.1 | 9.1 | 9.5 | -12.0 | -7.1 | 5.6 | 7.4 |
| Topix | 18.0 | 51.5 | 8.1 | 9.9 | 9.6 | -12.9 | -7.5 | 6.2 | 6.1 |
Source: Datastream.
1 In local currency.
Leading stock indices rallied strongly in the second half-year after widespread losses in the first six months\(^4\) brought on in part by nervousness about the Brexit vote. Year-to-date figures evidence large disparities both between and within regions. The Dow Jones, S&P 500 and technology composite Nasdaq have all advanced strongly from year-start levels (8.6%, 6.7% and 5.4%, respectively), contrasting with the deep losses of Japanese indices (-7.2% for the Nikkei and -9.3% for the Topix). In Europe, meantime, losses range from the 0.1% of the German Dax 30 to the 22.1% of Italy’s Mib 30, weighed down by a struggling banking sector and the uncertain outcome of
---
4 With the exception of the FT 100, Dow Jones and S&P 500.
the constitutional reform referendum to be held on 4 December, among other factors. The 9% fall of the Ibex 35 places it around the halfway mark. Volatility, finally, hit a mid-year high of over 30% following the news on the UK referendum, after which readings headed lower, most markedly in the euro area and Japan, to settle at around 20% in November (see right-hand panel of Figure 7).
Turning to emerging stock markets, the MSCI index followed up the -0.6% of the first half-year with a rally that by mid-November had delivered a year-to-date gain of 2.3%. The advance extended to indices in Latin America, Eastern Europe and a majority of Asian countries excepting those most linked to the Chinese economy on concerns over a possible growth stall. Top performers to date are the Argentine Merval index and Brazil’s Bovespa, with gains of 41.1% and 37.6% respectively, followed by the Russian index, up 29.5% with respect to the 2015 close. At the other extreme, the Shanghai Composite suffered losses in the period of 9.4%.
**Financial market indicators**
**Risk appetite**
- Increase in risk appetite
- Decrease in risk appetite
**Implied volatility**
Source: Thomson Datastream and CNMV.
1 State Street indicator.
The outcome of the US presidential elections, with the victory of Republican candidate Donald Trump, has sent ripples of uncertainty through global financial markets on the prospect of economic policy changes by the incoming administration. Although it is too early to predict the extent of future measures, to judge from the electoral campaign they will certainly include: i) a major fiscal expansion, accompanied by increased public investment and tax cuts; ii) further deregulation of certain strategic industries, including the cancellation of renewable energy plans and the scaling-back of public healthcare programmes; iii) tougher policies on migration; and iv) greater economic protectionism.
It is hard to tell what effect these policies will have on the American economy. Some could be initially positive but more deleterious in the medium to long run, especially measures that choke off international trade and impede the free circulation of people. The markets, in any case, are already discounting a major fiscal stimulus that would foreseeably boost inflation in the form of rising government and corporate bond yields in the medium and long segments of the curve. As we can see from figure E.1.1, yields on the ten-year sovereign bonds of the advanced economies turned up significantly in November. Between the 1st and 17th, the fastest rising were US treasuries (up by 48 bp to 2.30%), although European yields also headed higher, especially those of peripheral economies (Portugal: 38 bp to 3.7%; Italy: 37 bp to 2.1%; Ireland: 33 bp to 0.98%; and Spain: 30 bp to 1.61%). The smallest increases corresponded to Germany (10 bp to 0.20%) and the United Kingdom (12 bp to 1.40%).
**Ten-year sovereign bond yields**
*Source: Thomson Datastream. Data to 17 November.*
Rising long-term bond yields caused an uptick in the risk premiums of European peripherals, which had held more or less flat for most of the year, including through the Brexit shock. Spanish sovereign risk spreads widened from 116 bp at the start of November to 141 bp, and those of Italy from 161 bp to 191 bp.
The reaction of equities to Trump’s election triumph varied from country to country, with US markets showing most buoyant. At the time of writing, top US
indices continue to outperform peers by a wide margin (the Dow Jones gaining 8.5% year to date, the S&P 500 7%, and the Nasdaq 6.5%; see Table and Figure E1.2), boosted not just by the change of government but also by the greater vigour of the domestic economy.
Elsewhere, responses were both milder and more divergent. Asian markets, the first to wake up to the news, reacted most sharply with a small spike in volatility,\(^1\) while in Europe, reactions ranged from the 3.6% fall of the Ibex 35 to the 1.5% advance of the German Dax. This underperformance by Spanish stocks can be attributed to the strong Latin American exposure of its biggest corporations. The most obvious case is Mexico, given the negative fallout for the country of the Trump administration’s promised measures (reflected in falling stock markets all over Latin America). Individually, the worst hit have been companies, like BBVA and Abertis, with most interests in Mexico, along with firms in the renewable energy sector. On the upside, pharmaceutical shares have responded with a price surge.
---
**International stock indices**
| Change from: | 01/11/2016 | 31/12/2015 |
|--------------|-------------|-------------|
| MSCI World | 1.4 | 2.7 |
| Eurostoxx 50 | 0.6 | -6.9 |
| Dax 30 | 1.5 | -0.5 |
| Cac 40 | 1.3 | -2.4 |
| Ibex 35 | -3.6 | -8.7 |
| FT 100 | -1.8 | 8.8 |
| Dow Jones | 4.8 | 8.5 |
| S&P 500 | 3.6 | 7.0 |
| Nasdaq Cpte | 3.5 | 6.5 |
| Nikkei 225 | 2.4 | -6.2 |
| Hang Seng | -3.8 | 1.6 |
| Mex Ipc | -5.0 | 4.5 |
| Ibovespa | -5.6 | 37.9 |
Source: Thomson Datastream. Data to 17 November.
Table E1.3 tracks price movements in US shares grouped into sectors. Although it is early to say whether the trends emerging will persist over time, we can see the gap opened up between those that stand to gain from the new president’s policies, and those likelier to lose out. Among the former are construction-related sectors (up 10.6% in November), transport (9.4%), basic materials (8.9%), industry (6.7%), banks (14.7%) and insurance (8.5%). Conversely, utilities and consumer goods-related sectors have posted varying degrees of losses.
In currency markets, the dollar has gained strongly against the euro and yen since the date of the elections: the dollar/euro from 1.11 to 1.07 and the yen/dollar from 103 to 109.3.\(^2\)
Equity issuance to mid-November stood at 690 billion dollars, 18% less than in the same period last year. In cumulative twelve-month terms, the 762 billion raised (to November) was likewise sizeably less than one year before (see Figure 8). The downturn extended to all regions except China, which bucked the trend with a year-on-year surge of 23%. In Europe, the United States and Japan, share issue volumes dropped by 32%, 22% and 48% respectively. By sector, the decline was sharpest among financial corporations (17%) and, especially, the banks (68%). This last register is one symptom of the challenges facing the European banking sector, which is struggling to squeeze out more profits in a context of ultra-low interest rates and mounting competition. Issuance by industrial firms was 10% lower, while the utilities sector raised its issue volumes 12% in the same period.
---
**Performance of US shares by sector**
| Sector | Change from 01/11/2016 | Change from 31/12/2015 | Change from 01/11/2016 | Change from 31/12/2015 |
|---------------------------------------------|------------------------|------------------------|------------------------|------------------------|
| Gas and oil | 2.7 | 13.4 | 6.4 | 14.0 |
| Basic materials | 4.2 | 11.7 | Transport | 9.4 | 21.7 |
| Industry | 6.7 | 14.3 | Support services | 4.0 | 10.9 |
| Investment trusts (diversified) | -7.1 | 3.3 | Automobiles and parts | 3.6 | -7.2 |
| Consumer goods | -2.2 | 0.7 | Food and drink | -3.9 | 1.9 |
| Healthcare | 5.4 | -1.8 | Personal consumer goods| -1.8 | 1.7 |
| Consumer services | 4.4 | 3.6 | Retail | 2.5 | 1.3 |
| Telecommunications | 2.4 | 10.2 | Media | 7.0 | 8.7 |
| Financials | 8.0 | 9.0 | Travel and leisure | 6.5 | 4.5 |
| Technology | 0.8 | 10.6 | Utilities | -4.3 | 8.0 |
| Chemicals | 2.7 | 4.7 | Banks | 14.7 | 12.5 |
| Basic resources | 8.9 | 40.0 | Insurance | 8.5 | 16.6 |
| Construction and materials | 10.6 | 20.1 | Real estate | -2.7 | -3.7 |
| Financial services | | | | 8.6 | 9.4 |
Source: Thomson Datastream. Industry classification by Datastream.
---
1 Volatility reached 35% on the Nikkei due to the sharp price swings of 9 and 10 November (-5.4% and 6.7% respectively).
2 Change from the day after the elections to 17 November.
2.2 National economic and financial developments
Spanish GDP kept up brisk growth through the third quarter, with rates on a par with the previous three months and substantially ahead of those of the euro area. According to provisional data from the National Statistics Office (INE), the Spanish economy expanded 3.2% year on year in the third-quarter period (0.7% in quarterly terms), compared to the 1.6% of the euro area (0.3% quarterly).
Domestic demand contributed 3.0 percentage points to GDP growth, down from 3.7 in the second quarter, offset by a stronger input from the net exports side. All domestic demand components reduced their growth pace with respect to the opening quarter, notably government consumption (from 2.0% to 0.7%) and gross fixed capital formation (from 4.9% to 3.7%). Private consumption, meantime, slowed by a considerably smaller margin (from 3.7% to 3.5%). Finally, accelerating export growth (up from 4.3% to 7.2%) with respect to imports (from 5.9% to 6.4%), lifted the external sector’s GDP contribution into positive terrain (from -0.4 to +0.4 percentage points).
On the supply side of the economy, the growth of services and industry picked up slightly in year-on-year terms to 3.5% in the second quarter (3.3% in both cases in the first quarter of 2016). Conversely, primary industries and construction slowed their advance to 2.5% and 1.1% respectively (previously 3.1% and 1.7%).
Spanish inflation turned positive in September (0.2%) after moving all year in negative terrain, in response, chiefly, to a rise in energy prices contrasting with the sharp fall of November 2015 (-3.0%). The inflation upturn firmed in October in the shape of a year-on-year GDP rate of 0.7%, well clear of the negative rate recorded last May (-1.0%). The items making up core inflation – excluding the volatile energy and fresh food constituents – traced a notably more stable course, with October’s annual rate of 0.8% just a whisker below the 0.9% of December 2015. Finally, Spain’s inflation gap versus the euro area closed entirely in October, in contrast to the -1.0 percentage points of May 2016 (see Figure 9).
In the labour market, job creation kept up its advance through the second quarter, with a year-on-year rate of 2.7%, just slightly down on the average for 2015 (3.0%). The result was a total of 17.31 million people in work and an increase of 458,000 jobs in the space of twelve months. The unemployment rate ended the third quarter at 18.9%, a solid improvement over last year’s average of 22.1%. Growth of unit labour costs, calculated as the difference between the increase in compensation per worker and productivity, accelerated to 0.4% in the second quarter (-0.2% in first-quarter 2016), on a rise in worker compensation (0.8%) not matched by productivity (0.4%).
Inflation accelerates to 0.7% in October, a month after returning to positive rates. The result has been to close Spain’s inflation gap with the euro area.
Job creation continues apace, permitting further inroads into unemployment as far as a 3Q rate of 18.9%.
The general government deficit, excluding local authorities, reached 3.3% of GDP at the August close, slightly below the figure for the same period 2015 (3.4%). By branch, central government returned a deficit of 2.6% against the 0.1% of the autonomous regions, improving strongly on the 0.8% of the year-ago period thanks mainly to the final liquidation of 2014 accounts, and the 0.6% of the social security administration. According to the excessive deficit protocol, public debt rose to 101.6% of GDP at the end of the second quarter from the 99.8% of the 2015 close. Budgetary execution figures to September put the central government deficit at 2.6% of GDP, two points above the register of one year before. The latest updated Stability Programme, for 2016-2019, projects a downward trending deficit of 3.6% this year and 2.9% in 2017. This is rather more optimistic than the European Commission’s November forecasts, which posit 4.6% in 2016 y 3.8% in 2017.
The brisk pace of activity and job creation have delivered a gradual decrease in bank sector non-performing loan (NPL) ratios. That said, the low interest rate environment continues to constrain the sector’s earnings power. Return on equity (ROE) has shrunk this year to 6.1% (8.8% in 2015) and is moving significantly short of historical levels. In addition, structural factors like excess capacity and growing competition from shadow banking and fintech organisations (firms at the high-tech end of financial services delivery) are making rapid inroads into banks’ traditional business.
Non-performing loans to other resident borrowers (households and non-financial corporations) dropped in August to 9.4% of the total outstanding, a seven-point improvement on the 10.1% ratio of December 2015. Low interest rates have helped relieve the bad debt problem by reducing the repayment costs of borrowers, given the predominance in Spain of adjustable-rate mortgages. Bank income statements showed first-half profits of 6.14 billion euros, up from 5.46 billion in the same period last year. Net operating income, however, dropped to 7.89 billion euros from the 8.58 billion of the first half of 2015, due to gross income falling more steeply than financial asset impairment losses.
Bank lending to the non-financial resident sector (companies and households) reduced further in third-quarter 2016, albeit at a slower pace than in the first six months. Year-on-year growth in the flow of finance (loans and securities other than shares) to non-financial corporations turned positive in August for the first time since 2011, and by September was up to 0.5% (compared to -1.8% as recently as last March). It bears mention that this upturn relied on loans from abroad and securities other than shares, while year-on-year rates remained negative (-1.5%) for lending by resident entities. Among households, a downturn in home purchase loans restricted year-on-year growth to -1.6% (-2.1% in December 2015). In the euro area, conversely, the stock of outstanding loans to non-financial corporations and households climbed by 1.2% and 2.0% respectively year on year, on a par with the growth recorded to December 2015 (1.3% and 1.9% respectively).
Credit institutions NPL ratios and the unemployment rate
Source: Banco de España and National Statistics Office (INE). NPL ratios to August 2016 and unemployment to September.
1 Percentage of the active population.
* Group 1 transfers took place in December 2012 (36.70 billion euros) and Group 2 transfers in February 2013 (14.09 billion euros).
Bank sector balance sheets shrank further in the middle months of 2016 prolonging the trend of previous years. By August, the sector-wide balance sheet was down to 2.70 trillion euros, equivalent to 62 billion less in assets compared to December 2015. All funding sources contracted in the eight-month period: deposits by 45 billion euros, outstanding debt by 20 billion and equity by 2 billion to an August figure of 367 billion euros. Meantime, banks increased their net Eurosystem borrowings to 135 billion in October, up from the 133 billion of December 2015, after the initial reduction was wiped out by heavier borrowings in the rest of the period.
Non-financial listed companies obtained 8.30 billion euros profits in the first half of 2016, 37.6% less than in the same period last year. Leading the decline were firms in the retail and services sector whose 4.62 billion profit of first-half 2015 turned into a 745 million loss due to a slump in results from discontinued operations. Energy firms too saw a drop in profits to 4.33 billion euros, 11.2% less than in 2015. By contrast, firms in the industrial sector and, more so, construction and real estate...
grew their earnings by 6.1% and 49.4% versus the first half of 2015 to 2.27 and 2.42 billion euros respectively (see Table 3).
**Earnings by sector: Non-financial listed companies**
| Million euros | EBITDA<sup>2</sup> | Profit before taxes | (Consolidated) profit for the year |
|---------------|---------------------|---------------------|-----------------------------------|
| | jun-15 | jun-16 | jun-15 | jun-16 | jun-15 | jun-16 |
| Energy | 6,624 | 6,445 | 6,197 | 5,465 | 4,874 | 4,326 |
| Industry | 3,223 | 3,366 | 2,898 | 3,024 | 2,140 | 2,270 |
| Retail and services | 5,267 | 5,300 | 2,363 | 1,720 | 4,623 | -745 |
| Construction and real estate | 2,785 | 3,758 | 2,037 | 2,974 | 1,622 | 2,423 |
| Adjustments | 20 | 28 | -34 | -26 | -29 | -24 |
| **Total** | **17,879** | **18,841** | **13,529** | **13,209** | **13,288** | **8,298** |
Source: CNMV.
1 First half-year results for 2015 and 2016.
2 Earnings before interest, taxes, depreciation and amortisation.
*Debt levels edge up 2.9% in the first six months accompanied by a small increase in leverage.*
The aggregate first-half debt of non-financial listed companies, at 266.93 billion euros, was 2.9% more than at the 2015 close (see Table 4), with all sectors sharing in the increase. Retail and services firms led the field with a 3.7% jump in debt to 115.70 billion, followed by energy firms with a 3.6% rise to 79.82 billion. Average leverage rose to 1.22 in June from 1.18 at the 2015 close, drawing on both higher debt tallies and a decrease in equity. However debt coverage ratio (debt/EBITDA) improved in the period from 10.2 to 7.1 on a larger relative increase on the operating income side.
**Gross debt by sector: Listed companies**
| Million euros | Debt | Debt/equity | Debt/EBITDA<sup>2</sup> |
|---------------|------|-------------|-------------------------|
| | dec-15 | jun-16 | dec-15 | jun-16 | dec-15 | jun-16 |
| Energy | 77,051 | 79,823 | 0.74 | 0.78 | 9.7 | 6.2 |
| Industry | 17,001 | 17,045 | 0.53 | 0.53 | 5.6 | 2.5 |
| Retail and services | 111,579 | 115,698 | 2.00 | 2.14 | 12.3 | 10.9 |
| Construction and real estate | 55,226 | 55,756 | 1.86 | 1.79 | 10.4 | 7.4 |
| Adjustments | -1,461 | -1,391 | | | | |
| **TOTAL** | **259,397** | **266,930** | **1.18** | **1.22** | **10.2** | **7.1** |
1 Cumulative data for the 2015 close and the first half of 2016.
2 Earnings before interest, taxes, depreciation and amortisation for 2016 are annualised to facilitate comparison.
*Diverse factors combine to boost the financial position of households. Savers opt increasingly to withdraw from long-term deposits and debt securities in favour of insurance products, mutual funds and, especially, currency and transferable deposits.*
Indicators for the financial position of Spanish households in 2016 reveal that saving rates held broadly flat at around 8% of gross disposable income (GDI) in the first six months of the year. Both debt-to-income and debt burden ratios prolonged the decline of the past few years: the former from 106.0% of GDI at the 2015 close to 104.7% in June this year, coinciding with an increase in compensation per worker; and the latter from 12% to 11.7%, due partly to the slightly lower average cost of borrowed funds. Household financial investments in the second quarter amounted
to 3.1% of GDP (cumulative four-quarter data), up from 1.8% in 2015, 0.8% in 2014 and the -0.3% of 2013. As in previous years, households continued to move out of long-term deposits and debt securities (4.5% of GDP), due to the poor returns on offer, exchanging them for currency and transferable deposits (5.7% of GDP), insurance products (1.1% of GDP) and mutual funds (1.0% of GDP).
**Households: Financial asset acquisitions (net)**
*Source: Banco de España, Cuentas financieras. Cumulative four-quarter data.*
### 2.3 Outlook
The latest forecasts from the International Monetary Fund (IMF), published in October, project global growth of 3.1% in 2016 and 3.4% in 2017. These rates, a near re-run of 2015 (3.2%), represent a small mark-down with respect to the organisation’s July forecasts on an augured slowdown in the advanced economies. Current forecasts for this group point to 1.6% and 1.8% growth this year and next, down from 2.1% in 2015. Emerging market economies, meantime, are expected to see a 4.2% advance this year followed by 4.6% in 2017 (4.0% in 2015).
Internationally, the advent of a new US government with more inward-looking policies and a protectionist bent entails a significant risk for the global growth outlook. In the euro area, the macroeconomic and financial landscape is clouded by worries over the prospect of a harder-than-expected Brexit and the exact repercussions of the change of government in the United States. The scenario of a more expansionary fiscal policy stateside driving an upturn in inflation and bond yields could jeopardise the monetary policy goals of the ECB. Other risks to be reckoned with are the weakness of the banking sector, especially in Europe, where banks face the dual challenge of ultra-low interest rates and growing competition from shadow banking activities and fintech firms. Finally, threats persist of a slowdown in certain emerging economies (China is transitioning to a consumer-driven growth model and has apparently made little progress in tackling its credit glut and corporate debt problem), and the escalation of ongoing geopolitical conflicts.
*The world economy is poised to grow 3.1% this year, one point less than in 2015.*
*The prospect of a hard Brexit, the new political scenario in the United States, bank sector weakness in Europe and the deceleration of emerging economies remain the most prominent risks on the global horizon.*
The Spanish economy will continue to outpace the rest of the euro area. Political uncertainty is no longer an issue, but significant risks remain, some of them shared with other European countries.
In the case of the Spanish economy, the IMF is looking for 3.1% growth in 2016 (0.5 points more than its previous forecast) followed by 2.2% in 2017 (one point more), easily outpacing the 1.7% and 1.5% rates projected for the euro area as a whole. The success of structural reforms, a weaker euro and the supportive monetary policy deployed by the ECB are among the factors favouring a scenario of robust growth and employment creation. The formation of a new government in late October has also ended a period of political uncertainty that in truth had little apparent impact on financial markets. Remaining risks have to do with the sustainability of public finances, the resilience of the banking sector and the outlook for those firms strongly exposed to the United Kingdom and Latin America in the light of the progress of Brexit and the policies of the incoming US government.
### 3 Spanish markets
The stress indicator for Spanish financial markets dropped from 0.43 in late June to 0.30\(^5\) in mid-November (see Figure 12) on evidence of a gathering economic recovery, the formation of a new national government and the wearing-off of the initial Brexit shock. The main risks for these levels, currently at the low end of the medium stress range, lie in the financial intermediaries segment, where sharply falling bank shares reflect the multiple problems besetting the financial sector.
---
5 The stress indicator developed by the CNMV provides a real-time measurement of systemic risk in the Spanish financial system in the range of zero to one. To do so, it assesses stress in six segments (equity, bonds, financial intermediaries, the money market, derivatives and the forex market) and aggregates them into a single figure bearing in mind the correlation between them. Econometric estimations consider that market stress is low when the indicator stands below 0.27, intermediate in the interval of 0.27 to 0.49, and high when readings exceed 0.49. For more information see Exhibit 1.1 of the *CNMV Annual Report* for 2014 and Estévez, L. and Cambón, M.I. (2015). *A Spanish Financial Market Stress Index (FMSI)*. CNMV Working Paper No. 60. Available at: http://www.cnmv.es/portal/Publicaciones/monografias.aspx
The most pressing risk in financial markets is currently market risk, referring chiefly to fixed-income asset prices. Even after large falls to mid-November, prices in this segment remain notably high, shored up by a series of factors including the ECB’s asset purchase programmes. The concern now is that prices may correct more sharply if yields start climbing in response to monetary policy switches in both the United States and the euro area. Equities also carry this risk, given their close correlation to bond prices. Among the most vulnerable are financial and real estate shares, along with those most exposed to Brexit effects and possible changes in US economic policy.
### 3.1 Equity markets
Spanish equity markets opened the third quarter with a price spurt that tended to flatten out as time went on, but ensured that the Ibex 35 had by mid-November recouped some of the ground lost in the first six months. This positive showing owed to the consolidation of economic recovery, the wearing-off of the initial Brexit shock (see Exhibit 2) and the forming of a new government after long months of political impasse. In recent weeks, however, uncertainty has again gripped markets, anxious about a possible speed-up in the Brexit calendar (the markets were counting on a gradual disconnection), the results of the US presidential elections and the new government’s economic policy (specifically the chance that the Federal Reserve could accelerate its timetable of interest rate hikes). On top of this, rumours have surfaced to the effect that the ECB might bring forward the withdrawal of its monetary stimulus.
The rebound in Spanish share prices after the initial Brexit dip was a little stronger than elsewhere in Europe, except Germany, and on a par with the Eurostoxx 50. Despite this, the Spanish market is still mired in losses year to date, underperforming Germany, France and the United Kingdom, and ahead only of the penalised
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6 Britain’s FT 100 shows gains in local currency but performs negatively in euro terms.
Italian markets. Volatility, meantime, receded from peak levels of over 80% in the immediate aftermath of Brexit – the highest since the debt crisis of 2010 – settling back to below its historical average as the markets regained their feet. The trading contraction unfolding since January intensified if anything, as far as 788 billion euros to end-September, a 25% decrease year on year. Meantime trading in Spanish shares on platforms other than their home market continued its advance to nearly 33% of the total. In primary markets, equity issuance fell off significantly after a run of three initial public offerings (IPO) in the second quarter, with transactions in the period confined to capital increases.
### Performance of Spanish stock market indices and sectors (%)
| Index | 2012 | 2013 | 2014 | 2015 | 2Q 16¹ | 3Q 16¹ | 4Q 16 (to 15 November) |
|------------------------------|------|------|------|------|--------|--------|------------------------|
| | | | | | | | %/ prior quarter |
| Ibex 35 | -4.7 | 21.4 | 3.7 | -7.2 | -6.4 | 7.5 | -1.1 |
| Madrid | -3.8 | 22.7 | 3.0 | -7.4 | -6.7 | 7.7 | -1.1 |
| Ibex Medium Cap | 13.8 | 52.0 | -1.8 | 13.7 | -7.6 | 7.8 | -1.9 |
| Ibex Small Cap | -24.4| 44.3 | -11.6| 6.4 | -8.1 | 11.6 | -3.2 |
| FTSE Latibex All-Share | -10.7| -20.0| -16.1| -39.2| -2.6 | 24.4 | 7.7 |
| FTSE Latibex Top | -2.6 | -12.4| -11.1| -34.6| -5.6 | 29.3 | 10.1 |
| Sectors² | | | | | | | %/ Dec 15 |
|------------------------------|------|------|------|------|--------|--------|------------------------|
| Financial and real estate services | -4.7 | 19.9 | 1.4 | -24.2| -14.0 | 10.4 | 10.7 |
| Banks | -4.8 | 18.8 | 1.6 | -26.0| -15.0 | 10.3 | 11.8 |
| Insurance | -2.0 | 47.3 | -9.2 | -5.0 | 1.8 | 20.5 | 9.4 |
| Real estate and others | -14.4| 38.3 | 36.3 | 18.4 | -3.4 | 0.1 | -3.2 |
| Oil and energy | -16.0| 19.0 | 11.8 | 0.6 | 5.3 | 0.8 | -7.0 |
| Oil | -35.4| 19.5 | -15.1| -34.9| 15.0 | 5.8 | 2.4 |
| Electricity and gas | -5.4 | 18.7 | 21.7 | 9.6 | 3.7 | -0.1 | -9.0 |
| Basic materials, industry and construction | -8.0 | 28.9 | -1.8 | 2.1 | -5.7 | 12.6 | -5.9 |
| Construction | -9.3 | 26.5 | 8.9 | 4.9 | -8.2 | 9.5 | -7.0 |
| Manufacture and assembly of capital goods | -8.8 | 55.4 | -18.3| 49.0 | -4.0 | 16.2 | -10.8 |
| Minerals, metals and metal processing | -8.7 | 11.5 | 4.5 | -30.8| -1.2 | 21.7 | 6.5 |
| Engineering and others | 3.8 | 7.6 | -17.0| -39.6| 3.4 | 14.3 | -4.9 |
| Technology and telecommunications | -18.3| 22.8 | 2.5 | -5.2 | -9.7 | 9.0 | -10.8 |
| Telecommunications and others| -23.0| 17.1 | 2.6 | -12.3| -13.6 | 7.0 | -11.1 |
| Electronics and software | 39.4 | 56.8 | 2.3 | 22.2 | 3.4 | 14.4 | -10.0 |
| Consumer goods | 55.6 | 17.1 | -1.5 | 30.9 | 0.9 | 7.0 | -4.7 |
| Textiles, clothing and footwear | 66.2 | 13.5 | -1.1 | 33.6 | 1.2 | 10.4 | -5.1 |
| Food and drink | 25.0 | 4.7 | -5.2 | 26.4 | -1.0 | -1.2 | -7.6 |
| Pharmaceuticals and biotechnology | 68.3 | 39.6 | -1.0 | 23.5 | 2.5 | -1.3 | -2.1 |
| Consumer services | 12.7 | 58.9 | 10.0 | 10.4 | -10.2 | 7.3 | -4.5 |
| Motorways and car parks | 5.7 | 36.5 | 6.8 | -7.9 | -4.1 | 5.0 | -10.3 |
| Transport and distribution | 29.7 | 116.4| 27.9 | 29.6 | -19.5 | 7.9 | 1.1 |
Source: BME and Thomson Datastream.
¹ Change vs. the previous quarter.
² IGBM sectors. Under each sector, data are provided for the most representative sub-sectors.
The Ibex 35 followed up its 8.6% and 6.4% losses in the first and second quarters with a third-quarter advance of 7.5%. It then returned to negative territory (-1.1%) to mid-way through the fourth quarter\(^7\) for a year-to-date decline of 9% (-7.2% in full-year 2015). Most Spanish stock indices, with the exception of the outperforming small cap index, advanced in line in the third quarter, with gains ranging from 7.5% to 7.8%, only to slip back in the fourth. Year-to-date falls border on 9% for the Ibex 35 and IGBM, widening to 11.5% for the medium cap index, while firms in the small cap bracket have contained their losses at less than 1% (see Table 6). The indices grouping Latin American securities traded in euros managed a sizeable third-quarter gain on top of the rises of the first six months. Specifically, the FTSE Latibex All-Share and FTSE Latibex Top have climbed 61.2% and 57.8% respectively in the year, bolstered by the strength versus the euro of currencies like the Brazilian real and the Colombian and Chilean pesos.
The story for most sectors except financial and real estate services was one of third-quarter gains giving way to a downward correction in the fourth quarter. The financial sector was the strongest performing in third-quarter 2016 after the punishment taken in the first six months. Also doing well were industry and metals and minerals, with the economy and commodity prices in support. However most sectors stand in negative territory year to date, with financial services at the rear – held back by the banks. The other big loser is the telecommunications sector where Spain’s top operator has faced difficulties in disposing of its UK subsidiary. On the upside, the oil sector and minerals and metals rose strongly on commodity price recovery, with the insurance sector some way behind (see Table 6).
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**EXHIBIT 2**
**The UK referendum on leaving the European Union (Brexit) and its impact on financial markets**
The referendum of 23 June on the United Kingdom’s membership of the European Union (EU) gave the victory to the leave camp, which won almost 52% of votes cast (Brexit). The United Kingdom has tended to be an uncomfortable partner since it joined the then European Economic Community (EEC) in 1973. The country held its first vote on remaining in 1975, after renegotiating its membership conditions, with a majority of the electorate in favour. It subsequently opted out of the Schengen space (1985) and, despite signing up for the Single Market (1993), decided not to join the euro. At the start of this year, with the new referendum already announced, it won a deal giving it “special” conditions in the event that the British voted to stay in the Union. Among them, a degree of flexibility in the application of European regulations for non-euro EU members not belonging to the banking union, including a guarantee that the United Kingdom would not be discriminated against for being outside the euro area. Limits were also agreed on the availability of UK welfare benefits to newly arrived EU migrants.
Although there were plentiful grounds to doubt the outcome, the vote to leave nonetheless came as a surprise to the bulk of public opinion both within and
---
\(^7\) Data to 15 November.
outside the United Kingdom, and provoked a wave of uncertainty leading to revise-downs of growth forecasts for the British economy and the EU itself, and an upswing in the perceived political risk of certain European countries. Prime Minister David Cameron, an advocate of remaining in the EU, resigned and was replaced by Theresa May on 13 July last.
European equity markets received the news with sharp price falls, a surge in volatility (to levels unseen since the debt crisis of 2010) and a jump in trading volumes. Losses were steepest in Spain (where the Ibex 35 experienced the worst fall in its history; 12.4% in a single day) and Italy (see Table E2.1). The Spanish shares taking the biggest punishment on 24 June corresponded to large corporations in banking, telecommunications and services, on account of their higher exposure to the UK and global economies. Losers included Banco de Santander (-19.9%), Banco Sabadell (-19.3%), Telefónica (-16.1%) and IAG (-26.7%), while small and medium cap firms got off relatively lightly on their more limited exposure to events outside Spain.
The price swings of the 24 June trading session were a sharp test for the stabilising mechanisms envisaged in European market regulations, and one they passed with flying colours. As the day progressed, many stock exchanges, including Spain’s, had to activate the “circuit breakers” designed for such occasions, suspending trading in a given share when its price varied beyond a preset threshold, and only resuming after the reboot of a “volatility auction” where agents can re-enter their orders. These cooling-off mechanisms play a vital stabilising role at times of heightened market stress, and certainly proved their worth on the day in question.
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**Performance of main Spanish and European stock indices**
| | % 23 Jun / 23 June | % 23 Jun / 1 July | % 23 Jun / 31 Oct. |
|----------------|--------------------|-------------------|--------------------|
| **Spain** | | | |
| Ibex 35 | -12.4 | -6.9 | 2.9 |
| Madrid | -12.5 | -7.0 | 3.2 |
| Ibex Med. Cap | -7.5 | -4.3 | 2.5 |
| Ibex Small Cap | -8.1 | -3.4 | 6.2 |
| **Euro area** | | | |
| Eurostoxx 50 | -8.6 | -5.1 | 0.6 |
| Dax 30 | -6.8 | -4.7 | 4.0 |
| Cac 40 | -8.0 | -4.3 | 1.0 |
| Mib 30 | -12.5 | -9.3 | -4.7 |
| **United Kingdom** | | | |
| FTSE 100 | -3.1 | -3.8 | 9.7 |
| FTSE 100 (in €)| -8.5 | -5.1 | -6.2 |
Source: Datastream
1 In local currency.
After the initial disruption, European equity markets shook off the Brexit effects and initiated a bull run that was not interrupted even when a “hard Brexit” emerged as the likeliest option to judge from the Prime Minister’s words in early October. On the contrary, most indices held in positive terrain from there to the
end of the month. In the United Kingdom, leading index FTSE 100 managed a 9.7% advance in local currency, ahead of other European indices (the German Dax 30 rose by 4%, the Ibex 35 by 2.9% and France’s Cac 40 by 1%). However, this gain becomes a steep correction if calculated in euros (-6.2%), in view of the sterling pound’s prolonged depreciation (17.2% since the referendum and 21.7% since the start of the year) (see Figure E2.1).
In fixed-income markets, the first reaction was a jump in risk premiums that was most intense in sovereign bonds (with many registering peak annual spreads). The yield spread between European sovereigns and the German ten-year benchmark widened sharply post-Brexit (by 21 bp in one session in the case of the Spanish bond), but promptly corrected back in the following weeks.
**British pound/euro exchange rates**
*FIGURE E2.1*
Source: Bloomberg.
The last chapter in the story, for the moment at least, opened on 3 November last, when the High Court in London, petitioned by a group of citizens as to whether the British executive was empowered to trigger Article 50 of the Treaty of Lisbon and set in motion Brexit, ruled that the United Kingdom government must receive authorisation from Parliament before moving ahead with the separation process. The British government appealed against the ruling before the Supreme Court, arguing that the result of the June referendum conferred sufficient legitimacy to initiate Brexit without recourse to Parliament, since the country’s citizens had already issued their verdict. The Court will announce its final decision before the end of 2016.
As to Brexit’s medium- and long-term effects on the British economy, analysts believe that it will weaken economic growth.\(^2\) It implies the loss of the internal market – damaging competitiveness and foreign trade, and could lead to flights of capital and the dethroning of the City of London as premier financial centre, as well as higher unemployment and fiscal imbalances. For the EU too, Brexit threatens to usher in a scenario of lower growth, weaker commercial ties and budgetary rebalancing. In Spain’s case, the most obvious harm will be to bilateral trade (Spain runs a trade and services surplus with the UK, and 15.5 million British
tourists visited the country in 2015) and the future of Spanish investments in the United Kingdom (particularly elevated in finance, telecommunications, energy and infrastructures). It will also mean higher regulatory costs for Spanish banks and companies, and the possible renegotiation for both countries’ citizens of their entitlement to social services.
---
1 The new British Prime Minister announced in early October that the United Kingdom would trigger Article 50 of the Treaty of Lisbon (establishing the country’s exit from the EU) before the end of March 2017, a process the markets dubbed a “hard Brexit” having presumed that the leaving process would be drawn out over time.
2 A report from the UK Treasury estimates that Brexit could slice between 3.6% and 6% off British GDP in the next two years, and that inflation will climb between 2.3% and 2.7%, compared to the Bank of England’s 2017 forecast of 1.8%. The same report calculates that the impact on the European Union will be 1% less growth in the two-year period. The European Commission issued its own projections last July putting the negative impact on 2017 GDP at 1% to 2.75% for the United Kingdom and 0.25% to 0.5% for the euro area.
---
Despite rising share prices in the second half-year, expectations of a small rise in company earnings pushed the price-earnings ratio (P/E) of the Ibex 35 down from 14.1 to 13.9. The multiple has dropped by a similar margin year to date, as the fall in markets was comparable (just slightly smaller) to the fall in projected earnings per share. As we can see from Figure 13, the P/Es of major stock indices held more or less flat in the third quarter of 2016, evidencing expectations of low-key growth for the advanced economies. With the exception of Japan’s Topix, multiples in all markets stood slightly above the average levels of 2000-2015.
---
**Price-earnings ratio\(^1\) (P/E)**
*Source: Thomson Datastream. Data to 15 November.*
\(^1\) Twelve-month forward earnings.
Ibex 35 volatility died down steadily from mid-year onwards, after a dramatic spike in the aftermath of the Brexit vote when readings shot to over 80%, a level unseen since the thick of the sovereign debt crisis. Current levels of around 20% compare favourably to the year-to-date average of 25.2%. A similar pattern could be observed on other European indices like the Eurostoxx 50, although the Ibex’s post-Brexit run-up was more intense than most.
Historical volatility of the Ibex 35
Source: Thomson Datastream and CNMV. Data to 15 November. The black line indicates unconditional volatility and the red line conditional volatility. The vertical lines refer to the introduction and lifting of the short selling ban running from 11 August 2011 to 16 February 2012, and the later ban starting on 23 July 2012 and ending on 1 February 2013.
Ibex 35 liquidity, as measured by the bid-ask spread, has traced a smooth progression with signs of some mild improvement in the second half. The only blips occurring were brief widening movements on news of a possible early Brexit and, later, the announcement of the US election result. Finally, the spread narrowed from 0.09% at end-June to 0.06% in mid-November, below the indicator’s historical average of 0.095%.
Ibex 35 liquidity holds within acceptable bounds.
Ibex 35 liquidity. Bid-ask spread
Source: Thomson Datastream and CNMV. Data to 15 November. The curve represents the bid-ask spread of the Ibex 35 along with the average of the last month. The vertical lines refer to the introduction and lifting of the short-selling ban running from 11 August 2011 to 16 February 2012, and the later ban starting on 23 July 2012 and ending on 1 February 2013.
Trading in Spanish shares listed on Spanish exchanges
| Million euros | 2012 | 2013 | 2014 | 2015 | 2Q 16 | 3Q 16 | 4Q 16 |
|---------------|--------|--------|--------|--------|--------|--------|--------|
| Total | 709,902.0 | 764,986.6 | 1,002,189.0 | 1,161,482.8 | 252,422.3 | 172,742.7 | 103,031.4 |
| Listed on SIBE (electronic market) | 709,851.7 | 764,933.4 | 1,002,095.9 | 1,161,222.9 | 252,417.9 | 172,739.8 | 103,031.0 |
| BME | 687,456.1 | 687,527.6 | 849,934.6 | 925,978.7 | 187,555.2 | 116,214.4 | 68,970.9 |
| Chi-X | 16,601.3 | 53,396.7 | 95,973.0 | 150,139.9 | 29,647.4 | 25,332.5 | 16,231.1 |
| Turquoise | 3,519.6 | 11,707.9 | 28,497.5 | 35,680.5 | 12,914.1 | 13,288.1 | 6,701.2 |
| BATS | 2,261.9 | 10,632.1 | 18,671.0 | 35,857.6 | 13,550.5 | 8,814.8 | 5,187.0 |
| Others | 12.8 | 1,669.2 | 9,019.8 | 13,566.2 | 8,750.7 | 9,089.9 | 5,940.9 |
| Open outcry | 49.9 | 51.4 | 92.4 | 246.1 | 4.0 | 0.5 | 0.4 |
| Madrid | 3.0 | 7.3 | 32.7 | 19.4 | 1.2 | 0.1 | 0.0 |
| Bilbao | 8.5 | 0.1 | 14.3 | 7.5 | 0.0 | 0.0 | 0.0 |
| Barcelona | 37.7 | 44.1 | 45.2 | 219.1 | 2.7 | 0.4 | 0.3 |
| Valencia | 0.7 | 0.0 | 0.3 | 0.1 | 0.0 | 0.0 | 0.0 |
| Second market | 0.4 | 1.7 | 0.7 | 13.8 | 0.4 | 2.4 | 0.1 |
**Pro memoria**
| | 2012 | 2013 | 2014 | 2015 | 2Q 16 | 3Q 16 | 4Q 16 |
|---------------|--------|--------|--------|--------|--------|--------|--------|
| BME trading of foreign shares | 4,102.0 | 5,640.0 | 14,508.9 | 12,417.7 | 1,565.9 | 1,539.1 | 821.0 |
| MAB | 4,329.6 | 5,896.3 | 7,723.2 | 6,441.7 | 1,064.6 | 1,021.7 | 664.4 |
| Latibex | 313.2 | 367.3 | 373.1 | 258.7 | 18.0 | 26.5 | 23.1 |
| ETF | 2,736.0 | 4,283.9 | 9,849.4 | 12,633.8 | 1,468.5 | 1,014.3 | 518.6 |
| Total BME trading | 698,987.5 | 703,768.7 | 882,482.3 | 957,990.5 | 191,676.7 | 119,818.9 | 70,998.4 |
| % Spanish shares on BME vs. total Spanish shares | 96.8 | 89.9 | 84.8 | 80.1 | 74.6 | 67.7 | 67.3 |
Source: Bloomberg and CNMV.
1 Spanish shares listed on Spanish exchanges are those with a Spanish ISIN that are admitted to trading in the regulated market of Bolsas y Mercados Españoles, i.e., not including alternative investment market MAB. Foreign shares are those admitted to trading in the regulated market of Bolsas y Mercados Españoles whose ISIN is not Spanish.
2 Data to 15 November.
3 Difference between the turnover of the EU Composite estimated by Bloomberg for each share and the turnover of the markets and MTFs listed in the table, i.e., including trading on other regulated markets, MTFs and OTC systems.
Political uncertainty at home and abroad contributes to drive down trading in Spanish shares.
Trading in Spanish equities sank by 34% in the second half with respect to the year-ago period, affected by the uncertainty following the Brexit referendum and, domestically, the delays in forming a new national government, compounded by market-specific factors like the summer business lull and the OTC trading boom. At 782 billion euros, volumes to date are 25% down on the equivalent period in 2015. The Spanish regulated market still accounts for the bulk of trading in Spanish shares, although it has been losing ground to other European regulated markets and multilateral trading facilities (MTFs). Specifically, trades on Spanish exchanges summed 565 billion euros, 32% less than in the year-ago period. Average daily trading on continuous market SIBE was 1.78 billion euros in the third quarter, well short of the 3.13 and 2.91 billion of the two preceding quarters, and the 2.54 billion average recorded year to date (see Figure 16).
8 Excluding trading on MAB and Latibex and in ETFs.
As stated, trading in Spanish shares on other European platforms increased significantly in the third quarter. The shift in trading away from home exchanges to other regulated markets and MTFs is a process that, to date, had mainly affected other European bourses. The recent upswing in the case of Spanish shares may owe something to last May’s reform of the securities clearing, settlement and registration system, to align domestic procedures with international post-trade standards. So far this year, external markets have channelled 216.70 billion euros in trades, 4% more than in the same period 2015. This equates to nearly a third (32.3%) of overall trading in Spanish shares (23.8% and 25.4% in the first and second quarters of 2016 respectively, up from 20% in full-year 2015). Again the Chi-X stands out for the scale of volumes transacted – almost 105 billion euros year to date and 48% of all foreign trading – although it has recently lost share to competing platforms.
**Daily trading on the Spanish stock market**
*Source: CNMV. Data to 15 November. The vertical lines refer to the introduction and lifting of the short-selling ban running from 11 August 2011 to 16 February 2012, and the later ban starting on 23 July 2012 and ending on 1 February 2013.*
1 Moving average of five trading days.
Equity issuance on domestic markets dropped to 4.45 billion euros in the second half of the year (data to 15 November), less than a third of the volume of the first-half period. Year-to-date issuance\(^9\) totalled 18.59 billion euros, 46% lower than the equivalent period last year. There were no new share offerings in the third quarter and capital increases were smaller and consisted largely (60%) of scrip dividends,\(^{10}\) which were similar to the second quarter in value terms (1.15 billion euros). So far this year there have been only two modest share offerings – one in the restaurant sector and one in leisure – raising a total of 506 million euros, compared to six in 2015 raising more than 8.30 billion. There was, however, a boom in non-monetary offerings settled by share contributions, which summed 1.74 billion euros by market value to November, compared to just 51 million euros in the first quarter and 367 million euros in the previous year.
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9 Data to 15 November.
10 The third quarter figure includes the many company dividends paid in July.
### Capital increases and public offerings
| | 2013 | 2014 | 2015 | 1Q 16 | 2Q 16 | 3Q 16 | 4Q 16 |
|------------------------|--------|--------|--------|--------|--------|--------|--------|
| **NUMBER OF ISSUERS**¹ | | | | | | | |
| Total | 39 | 49 | 52 | 17 | 20 | 13 | 5 |
| Capital increases | 39 | 47 | 47 | 17 | 20 | 13 | 5 |
| Public offer for subscription | 5 | 6 | 0 | 0 | 3 | 0 | 0 |
| Public offering of shares | 0 | 4 | 6 | 0 | 2 | 0 | 0 |
| **NUMBER OF ISSUES**¹ | | | | | | | |
| Total | 145 | 147 | 115 | 21 | 24 | 15 | 7 |
| Capital increases | 145 | 140 | 103 | 21 | 22 | 15 | 7 |
| Public offer for subscription | 5 | 8 | 0 | 0 | 4 | 0 | 0 |
| Public offering of shares² | 0 | 7 | 12 | 0 | 2 | 0 | 0 |
| **CASH AMOUNT**¹ (million euros) | | | | | | | |
| Total | 39,126.2 | 32,762.4 | 37,067.4 | 4,891.5 | 9,247.2 | 1,907.8 | 2,540.1 |
| Capital increases | 39,126.2 | 27,875.5 | 28,735.8 | 4,891.5 | 8,740.6 | 1,907.8 | 2,540.1 |
| Public offer for subscription | 1,742.8 | 2,951.5 | 0.0 | 0.0 | 807.6 | 0.0 | 0.0 |
| Paid-in capital increases | 9,932.8 | 12,650.8 | 9,627.8 | 966.6 | 1,233.3 | 1,146.3 | 1,034.3 |
| Of which scrip dividend³ | 9,869.4 | 12,573.8 | 9,627.8 | 966.6 | 1,233.3 | 1,146.3 | 1,034.3 |
| Capital increases by debt conversion⁴ | 7,478.8 | 3,757.9 | 2,162.5 | 3,008.6 | 230.7 | 342.6 | 2.3 |
| Capital increases against non-monetary consideration⁵ | 231.6 | 2,814.5 | 367.0 | 50.8 | 0.0 | 238.3 | 1,502.6 |
| With preferential subscription rights | 11,463.1 | 2,790.8 | 7,932.6 | 799.9 | 5,534.0 | 174.8 | 0.0 |
| Without rights trading | 8,277.1 | 2,909.9 | 8,645.9 | 65.5 | 935.0 | 5.8 | 0.8 |
| Public offering of shares | 0.0 | 4,886.9 | 8,331.6 | 0.0 | 506.6 | 0.0 | 0.0 |
| **Pro memoria: MAB transactions**⁶ | | | | | | | |
| Number of issuers | 7 | 9 | 16 | 2 | 3 | 8 | 2 |
| Number of issues | 14 | 15 | 18 | 2 | 3 | 8 | 2 |
| Cash amount (million euros) | 45.7 | 130.1 | 177.8 | 7.2 | 4.2 | 178.2 | 20.5 |
| Capital increases | 45.7 | 130.1 | 177.8 | 7.2 | 4.2 | 178.2 | 20.5 |
| Of which, through public offer for subscription | 1.8 | 5.0 | 21.6 | 0.0 | 0.0 | 7.3 | 7.3 |
| Public offering of shares | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
Source: BME and CNMV. Data to 15 November.
1 Transactions registered with the CNMV. Not including figures for MAB, ETFs or Latibex.
2 Greenshoe-related transactions are accounted for separately in this item.
3 In scrip dividends, the issuer gives existing shareholders the option of receiving their dividend in cash or converting it into shares in a paid-in capital increase.
4 Includes capital increases to allow conversion of bonds and other debt into shares by the exercise of employee stock options or execution of warrants.
5 Capital increases for non-cash consideration have been measured at their market value.
6 Transactions not registered with the CNMV.
### 3.2 Fixed-income markets
Yields on government and corporate debt hit record lows in September before rebounding on expectations of changes in monetary policy and, later, the US presidential elections.
Fixed-income markets in Spain, as in most major European economies, began the third quarter with big price rallies and yield falls as investors sought refuge from post-Brexit instability on equity markets. This, coupled with the ECB’s debt purchase programme, drove down yields on public and corporate debt to historical lows in September in most segments of the yield curve. Yields paid by Spanish and German ten-year sovereign bonds fell to all-time lows, below 1% and 0% respectively.
The effects rippled out to all fixed income markets, including high yield as investors turned to ever more varied assets in their quest for yield. Even so, in the fourth quarter, bond yields started to recover somewhat, as markets began to anticipate the ECB’s first steps toward withdrawing its stimulus.\(^{11}\) Rises began in October, gathering pace in November with US election result, read by investors as heralding a more expansionary and inflationary policy likely to affect monetary policy at the Fed and even the ECB.
Spanish risk premiums were helped by ECB monetary policy and the formation of a new government. Sovereign spreads eased 20 bp\(^{12}\) in the second half taking them back to their year-start level. Large corporates continued to snap up the cheap finance available (thanks to the ECB’s corporate debt purchase programme) on the corporate markets, although volumes were down on previous quarters. Also down was issuance abroad. Issues registered with the CNMV so far this year totalled 92.60 billion euros, nearly 9% below the same period 2015. Defying this general trend, however, securitisation volumes were up in year-on-year terms.
**Spanish government debt yields**
*Source: Thomson Datastream. Data to 15 November.*
Interest rates paid on short-dated government bonds continued their decline as the year wore into its second half and reached new historical lows in both primary and secondary markets. ECB monetary policy and purchase programmes\(^{13}\) continue to affect movements at the short end of the debt curve. In mid-November, yields on three-month, six-month and twelve-month Letras del Tesoro stood at -0.39%, -0.29% and -0.25% respectively, having shed between 11 and 17 bp since end-June. This puts them within a whisker of the -0.4% minimum threshold for ECB purchase programmes (marginal deposit rate). All Treasury auctions were settled at negative interest rates, although rates did edge up at the most recent ones in November.
---
\(^{11}\) The ECB president has confirmed that the bank will continue buying assets until at least the end of 2017.
\(^{12}\) Data to 15 November.
\(^{13}\) At end-October 2016, the ECB had bought 1,148 billion euros of debt including 135.22 billion euros of Spanish paper.
Short-term corporate debt showed a similar trend, with yields also at historical lows. Falls were similar in scale to public debt (between 9 bp and 20 bp) focusing on the six-month and twelve-month tenors. Interest rates at issuance on six- and twelve-month commercial paper fell to 0.29% and 0.25% respectively, although rates on three-month paper rose slightly, to 0.29% (see Table 9).
**Yields on long-dated debt also fell to annual lows in late September. Corporate bonds were additionally buoyed by the start of the ECB’s purchase programme.**
Yields on medium- and long-term government bonds also fell in the second half-year, by between 6 bp and 18 bp comparing mid-November with mid-year rates, although the ten-year yield did go as far as 50 bp down during September, when returns on three-, five- and ten-year public debt also set historical lows of -0.11%, 0.04% and 0.88% respectively. Despite subsequent rises, yields in all tenors at the end of the second half-year remain below their year-start level. The ten-year bond, the most liquid, pays 32 bp less than when the year began. Three-, five- and ten-year notes were yielding 0.04%, 0.28% and 1.33% respectively in mid-November (see Table 10). Corporate debt traced a similar pattern but with even steeper falls in yields, between 16 bp and 28 bp as, even though the market was pre-warned about the ECB’s plans to buy up corporate debt and had already partly priced in their impact, the actual purchases only began in June. The falls were sharpest in three-year bonds, where yields dropped 28 bp compared to the previous half-year, with short-lived dips of up to 50 bp in ten-year bonds in late September. At the closing date of this report (15 November), yields on three-, five- and ten-year notes were 0.53%, 1.34% and 1.87%, respectively.
---
**Table 9: Short-term interest rates**
| % | Dec 13 | Dec 14 | Dec 15 | Mar 16 | Jun 15 | Sep 16 | Nov 16 |
|---------|--------|--------|--------|--------|--------|--------|--------|
| **Letras del Tesoro** | | | | | | | |
| 3 month | 0.54 | 0.12 | -0.15 | -0.26 | -0.22 | -0.42 | -0.39 |
| 6 month | 0.70 | 0.25 | -0.01 | -0.12 | -0.18 | -0.27 | -0.29 |
| 12 month| 0.91 | 0.34 | -0.02 | -0.06 | -0.14 | -0.23 | -0.25 |
| **Commercial paper** | | | | | | | |
| 3 month | 1.09 | 0.55 | 0.31 | 0.28 | 0.25 | 0.25 | 0.29 |
| 6 month | 1.36 | 0.91 | 0.42 | 0.65 | 0.49 | 0.35 | 0.29 |
| 12 month| 1.59 | 0.91 | 0.53 | 0.48 | 0.34 | 0.33 | 0.25 |
Source: Thomson Datastream and CNMV.
1 Monthly average of daily data.
2 Data to 15 November.
3 Interest rates at issue.
Risk premiums in the diverse sectors of the private economy broadly tracked the trend in public debt in the third quarter, although financials, being the likeliest winners from a rising-rate environment, saw the greatest narrowing. Shrugging off the brief post-Brexit turbulence, sovereign risk premiums continued to benefit from the ECB’s purchase programmes and the reduction in political uncertainty after Spain finally got itself a new government. The yield spread between the Spanish and German benchmarks was less volatile than in the previous quarter, trading mostly between 100 bp and 120 bp, although occasionally dipping below the lower bound of this range. At mid-November, the premium based on this spread was around 115 bp, below the 135 bp of the second quarter and similar to its level when the year began. On the CDS market, the premium traded on the Spanish sovereign CDS once again showed less fluctuation than the yield spread over the bund and movements were more restrained. It ended the period at 78 bp, below the 104 bp and 89 bp at which it began the quarter and year respectively (see left-hand panel of Figure 18).
**Risk premium paid by Spanish issuers**
*Source: Thomson Datastream and CNMV. Data to 15 November.*
*1 Simple average of five-year CDSs from a sample of issuers.*
Private sector borrowers continue to benefit from the ECB’s corporate debt purchase programme. Credit risk premiums on corporate bonds performed positively, with the biggest falls in the financial sector. Although there has never been a specific programme to buy paper issued by financial entities (excluded from the corporate debt purchase programme), the market, as we said, has been assuming banks would profit from any hike in interest rates and could rebuild margins once rates turned positive. As is clear from the right-hand chart in Figure 18, the average CDS spread of Spanish financials in mid-November was 146 bp, down from the third-quarter’s 175 bp and similar to its level at the start of the year. For non-financial corporations, average risk premiums were 93 bp at the same date, below the 108 bp and 112 bp of the prior quarter and end-2015 respectively.
The prices of Spanish financial assets remained closely correlated during most of the third quarter (see Figure 19) as all suffered more or less equally from the Brexit effect. However, in the fourth quarter, average correlations fell from around 0.70 to near 0.40. The downtrend started before the results of the US elections were known, though these may well have exacerbated the differences in the behaviour of fixed-income and equity assets. The range of correlations between assets widened resulting in weaker correlations between some sets of asset pairs, partly because the ECB’s bond-buying programme tends to insulate fixed-income instruments from some market shocks.
**Correlation between classes of Spanish financial assets**
Source: Thomson Datastream and CNMV. Data to 15 November.
1 The indicator of correlation between asset classes is based on pairs of correlations calculated using daily data in three-month windows. The asset classes are sovereign debt, corporate fixed income of financial and non-financial firms and Ibex 35 stocks of financial corporations, utilities and the other sectors.
The CNMV recorded 22.71 billion euros of gross bond issuance in the second half of the year (to 15 November), less than a third of the 69.97 million euros of the first six months. Issuance is running at its lowest in recent semesters and has been heavily affected by a resurgence of traditional bank funding, both in terms of volume and prices, and by Spain’s biggest companies preferring to tap markets abroad. The slump affected the traditionally heavy-volume assets, particularly mortgage covered bonds where issuance fell by more than 17 billion euros to barely a sixth of the first-half total, but with sharp drops too in non-convertible bonds and debentures and securitisations, where issuance was down by 84% and 73% respectively versus the
first half. On the plus side, there were notable rises in territorial covered bonds, with 64% more issued in the period, and the first ever issue of international covered bonds in a 1.50 billion euro operation. Year-to-date issuance was 92.60 billion, nearly 8.80 billion less than in the same period 2015, with the biggest declines in non-convertible bonds and debentures and commercial paper – competing with a popular international market – and, to a lesser extent, mortgage covered bonds, where issuance was curtailed by the still falling volume of mortgages in circulation.
### Gross fixed-income issues
| Registered\(^1\) with the CNMV | 2012 | 2013 | 2014 | 2015 | 2016 |
|--------------------------------|--------|--------|--------|--------|--------|
| **NOMINAL AMOUNT** (million euros) | | | | | |
| Mortgage bonds | 102,170| 24,800 | 23,838 | 31,375 | 10,200 | 0 | 3,000 |
| Territorial bonds | 8,974 | 8,115 | 1,853 | 10,400 | 2,750 | 2,500 | 2,000 |
| Non-convertible bonds and debentures | 86,442 | 32,537 | 41,155 | 39,100 | 4,054 | 1,411 | 559 |
| Convertible/exchangeable bonds and debentures | 3,563 | 803 | 750 | 53 | 0 | 0 | 0 |
| Asset-backed securities | 23,800 | 28,593 | 29,008 | 28,370 | 4,656 | 4,186 | 1,613 |
| Domestic tranche | 20,627 | 24,980 | 26,972 | 25,147 | 4,589 | 3,865 | 729 |
| International tranche | 3,173 | 3,613 | 2,036 | 3,222 | 67 | 321 | 884 |
| Commercial paper\(^3\) | 132,882| 43,991 | 33,654 | 27,310 | 7,593 | 3,925 | 1,984 |
| Securitised | 1,821 | 1,410 | 620 | 2,420 | 580 | 0 | 480 |
| Other commercial paper | 131,061| 42,581 | 33,034 | 24,890 | 7,013 | 3,925 | 1,504 |
| Other fixed-income issues | 0 | 0 | 0 | 0 | 0 | 1,500 | 0 |
| Preference shares | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
**Pro memoria:**
| | 2012 | 2013 | 2014 | 2015 | 2016 |
|--------------------------------|--------|--------|--------|--------|--------|
| Subordinated issues | 7,633 | 4,776 | 7,999 | 5,452 | 130 | 733 | 82 |
| Other issues | 0 | 193 | 196 | 0 | 0 | 0 | 0 |
### Abroad by Spanish issuers
| | 2012 | 2013 | 2014 | 2015 | 2016 |
|--------------------------------|--------|--------|--------|--------|--------|
| **NOMINAL AMOUNT** (million euros) | | | | | |
| Long term | 50,312 | 34,452 | 35,281 | 32,362 | 4,594 | 12,887 | 4,234 |
| Preference shares | 0 | 1,653 | 5,602 | 2,250 | 0 | 1,200 | 0 |
| Subordinated debt | 307 | 750 | 3,000 | 2,918 | 0 | 1,544 | 170 |
| Bonds and debentures | 50,005 | 32,049 | 26,679 | 27,194 | 4,594 | 10,143 | 4,064 |
| Asset-backed securities | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Short term | 41,570 | 13,400 | 21,455 | 33,240 | 8,164 | 6,709 | 5,552 |
| Commercial paper | 41,570 | 13,400 | 21,455 | 33,240 | 8,164 | 6,709 | 5,552 |
| Securitised | 11,590 | 0 | 0 | 0 | 0 | 0 | 0 |
**Pro memoria:** Gross issuance by subsidiaries of Spanish companies resident in the rest of the world
| | 2012 | 2013 | 2014 | 2015 | 2016 |
|--------------------------------|--------|--------|--------|--------|--------|
| **NOMINAL AMOUNT** (million euros) | | | | | |
| Financial corporations | 18,418 | 8,071 | 9,990 | 15,424 | 2,964 | 2,497 | 4,408 |
| Non-financial corporations | 30,974 | 40,200 | 31,691 | 40,411 | 9,074 | 13,426 | 11,715 |
Source: CNMV and Banco de España.
1 Incorporating issues admitted to trading without a prospectus being filed.
2 Data to 15 November.
3 Figures for commercial paper issuance correspond to the amount placed.
4 Data to 30 September.
By type of instrument, mortgage covered bonds fell most sharply out of favour, accounting for just 13% of total issuance in the second half-year against 29% to June. As we said, new issues of these assets depend on the volume of mortgages available. Even allowing for this, though, the costs of issue are helped by ECB buying of covered bonds under its CPP3 programme, which hoovered up 199 billion in bonds to 11 November, 29% of these in the primary market. Territorial covered bonds were, in contrast, more popular, making up one fifth of all issuance, as was commercial paper which, although volumes fell by over 7 billion euros in absolute terms, still grew their market share to 26% in the second half-year, up from 19% in the first half, making these and securitisations the top two instruments by issuance over the period.
Fixed income issuance abroad halved in the third quarter as long-term issues dwindled to a third of the volumes raised in the prior quarter. The main issuers have scaled back their long-dated debt programmes as bank finance is now easier and cheaper to obtain, and have in any case already covered much of their financing needs for the year. Many of the new issues therefore went to refinance existing debt more cheaply. Foreign issuance thus fell faster than domestic issuance to 30% of the total raised by Spanish issuers in the third quarter, compared to 40% in the second quarter and 32% in full-year 2015. Year-to-date a total of 42.14 billion euros was raised overseas, compared to 47.90 billion in the 2015 period. By instrument type, commercial paper constituted 57% of the total for the quarter and half for the year, the rest being long-term debt of which only 13% was subordinated or in preference shares. Issuance by Spanish subsidiaries abroad was barely changed in quarterly or annual terms, at 44.08 billion euros in the year to September, compared to 43.47 billion for the year-ago period.
**New European rules on benchmark indices**
The *Official Journal of the European Union* of 29 June carried the text of Regulation (EU) 2016/1011 of the European Parliament and of the Council, of 8 June 2016, on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds (henceforth, European Regulation on Benchmark Indices), amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No. 596/2014.
The new Regulation stands alongside the recommendations and principles issued by the Financial Stability Board (FSB) and IOSCO in 2014, and the various revisions that followed, as a pillar of authorities’ and regulators’ global response to the cases of manipulation that have come to light in recent years in connection with the world’s most important reference rates, the Euribor, Libor and Tibor.
These cases have called into question the integrity and reliability of these and other indices employed widely in the global finance industry as benchmarks for an ample variety of financial products and contracts. They have been shown to be vulnerable to manipulation, with the resulting deleterious effects on market
confidence and integrity, consumers and investors, and, ultimately, the stability of the financial system.
At the root of these weaknesses is the fact that neither the provision of input data and calculation of indices nor the entities in charge of their administration and publication were regulated activities or providers, subject to public supervision.
The European Regulation on Benchmark Indices came into force the day after its publication and its terms will apply as of 1 January 2018, though note that certain provisions like those on critical benchmarks and supervisory colleges have been enforceable since 30 June 2016.
Its goal is to improve the functioning and management of benchmark indices and to ensure that those produced and utilised in the European Union are robust, accurate, representative, fit for their purpose, and not susceptible to manipulation. Steps are accordingly taken to improve their governance and methodology. The idea is that the determination of indices should be free of conflicts of interest, and should be based, where possible, on real transactions and not estimations, as has happened until now.
The Regulation also clarifies the responsibilities attached to the provision of a benchmark index and places this activity, and the entities in charge, under the supervision of the competent authorities.
Critical benchmarks, i.e., those with a potential impact on financial stability, are made subject to stricter rules, such that the competent authority can, for instance, prevent contributors from discontinuing their provision of input data and oblige other entities to contribute for the sake of preserving the benchmark’s existence.
**New supervisor powers and functions**
The Regulation assigns new functions to the competent authorities with regard to the authorisation and registration of benchmark administrators; supervision, inspection and sanctioning; and the establishment of supervisory colleges in the case of critical benchmarks. Their new powers are summarised below:
*Authorisation and registration:*
- Authorisation and registration of administrators, as appropriate. Also recognition and endorsement of administrators and indices, respectively, with regard to third-country benchmarks intended for use within the European Union.
- Notification to ESMA of all authorised and registered administrators and benchmarks, and all recognised or endorsed third-country benchmarks, for entry into a central public register.
- Withdrawal or suspension of the authorisation or registration of an administrator, whether at the administrator’s own request or imposed due to lack of activity, or else when the administrator has obtained its authorisation by
irregular means, ceases to meet the conditions of such authorisation or registration, or infringes the provisions of the Regulation.
**Supervision, inspection and sanctioning:**
– Administrators, contributors and any persons involved in the provision of benchmarks may be subject to supervision, inspection and sanctioning. In order to fulfill their duties under the Regulation, competent authorities shall have full supervisory and investigatory powers, including access to documents and premises, on-site inspections and the possibility of requiring the freezing or sequestration of assets; the temporary cessation of any practice or professional activity considered contrary to the Regulation; and the taking of all necessary measures to ensure that the public is correctly informed about the provision of a benchmark.
– Review and verification of the codes of conduct applicable to critical benchmark contributors to ensure their compliance with the Regulation.
– Review of the written plans that all supervised entities using benchmark indices must produce and maintain, setting out the actions that they would take in the event that a benchmark materially changes or ceases to be provided, and alternative benchmarks that could be referenced to substitute those no longer provided, indicating why they would be suitable alternatives. Such measures should also be reflected in the contractual relation with clients.
**Supervisory colleges for critical benchmarks:**
– Within 30 business days from the inclusion of a benchmark in the list of critical benchmarks published by the European Commission, the administrator’s competent authority shall establish a college comprising itself, in the chair, ESMA and the competent authorities of supervised contributors. Other authorities shall have the right to be members of the college, provided they can demonstrate that the benchmark in question is critical in their Member State.
ESMA is considered a competent authority for these purposes and shall promote and monitor the college’s efficient, effective and consistent functioning.
**Establishment of the Euribor college**
In 2013 the Euribor’s administrator launched a reform programme to implement the FSB’s recommendations, ahead of the new European rules. This has caused a series of doubts among the banks forming the panel of contributors, to the extent that its membership has been significantly depleted. More exits may follow, leading to a situation where the Euribor is no longer representative and, at worst, might even cease publication.
In view of this risk and the Euribor’s systemic importance to Europe and some of its Member States – Spain, for instance, where a large proportion of retail
mortgages are linked to this benchmark – the European institutions have fast tracked the powers assigned to the authorities under the new Regulation.
On 12 August last, the European Commission issued a resolution classifying the Euribor as a critical benchmark. The Financial Services and Markets Authority (FSMA), the Belgian authority charged with supervising the Euribor, has begun work on setting up the Euribor college, on which CNMV will sit as a competent authority, since four of its contributors are Spanish banks.
4 Market agents
4.1 Investment vehicles
Mutual funds\(^{14}\)
In the first nine months of 2016, assets under management in mutual funds climbed by 3.1% to 229 billion euros. The year started badly, with a 1.7% dip in assets in the first three months, but the ground lost was more than recouped over two quarters of sturdy growth that restored the industry to the expansion path initiated in 2013. Growth, however, failed to match the brisk pace of previous years (see Table 13).
The advance in assets owed entirely to investor subscriptions summing 7.42 billion euros in the first nine months, after a shaky first quarter that concluded with net redemptions of 509 million. But not all categories shared the same fortunes. The best performers were fixed-income funds, with 6.32 billion in net subscriptions, followed by passively managed and guaranteed equity products with 4.16 and 4.04 billion respectively. Global funds too performed creditably, netting 3.18 billion. The least popular in the period were balanced products, with balance fixed-income and equity funds experiencing net outflows of 3.37 and 3.41 billion respectively. This marks a slight trend shift versus prior years, when investors displayed a keener appetite for risk in response presumably to the low interest-rate environment, translating as major outflows from guaranteed funds and inflows to balanced products. Global and fixed-income funds, finally, continued to expand, albeit with the former gaining speed and the latter suffering an evident loss of momentum.
Fund portfolio returns to September were practically zero (-0.07%), after first-quarter losses (-1.36%) were clawed back in the second and, more so, the third quarter. Fixed-income, guaranteed fixed-income and guaranteed equity funds were the top performers after holding up better in the opening quarter, although gains, in all cases, were an extremely modest 0.5% approximately. The heaviest losses corresponded to euro equity funds, which ended the nine-month period at -4.16%, despite a strong third quarter showing (7.89%).
---
\(^{14}\) Although this classification includes hedge funds and funds of hedge funds, we make no separate reference to them here, since they are the subject of their own subsection further ahead.
The number of funds appears to be stabilising after falling sharply since 2013 (381 fewer in three years). By end-September this year, a total of 1,810 funds were on the register, six more than at the 2015 close. The largest increases were in euro equity (24) followed by passively managed funds (22), recalling their growth spurt of 2014. Only three categories saw fund closures in the period: guaranteed equity (51), balanced fixed-income (11) and global funds (9).
Unit-holder numbers mirrored the progress of assets, with a 4.4% rise to September that carried them above the eight million mark. The largest advance was in the third quarter, when the industry captured over 200,000 new investors. Global funds were strongly to the fore, with an additional 244,000 clients, followed by passively managed and fixed-income funds with 127,000 and 112,000 respectively. Balanced equity funds, where numbers had tripled in the previous two years, saw the largest outflow of investors, down by 161,000 to 451,000 at the September close. Also losing out were guaranteed fixed-income and balanced fixed-income funds, with a decrease of 97,000 unit-holders in both cases. Note that in the former case the outflow dates to 2014, while for the latter this is the first reduction in the past three years.
| Million euros | 2013 | 2014 | 2015 | 2015 | 2016 |
|--------------|--------|--------|--------|----------|----------|
| | | | | 4Q | 1Q | 2Q | 3Q |
| Total mutual funds inversión | 24,133.0 | 35,972.7 | 23,466.6 | 353.0 | -492.4 | 2,014.2 | 5,898.7 |
| Fixed income¹ | 13,783.1 | 13,492.7 | -5,351.4 | -1,577.6 | 2,078.5 | 1,836.1 | 2,400.8 |
| Balanced fixed income² | 2,059.3 | 15,712.0 | 21,167.5 | 966.1 | -1,604.4 | -562.3 | -1,200.0 |
| Balanced equity³ | 1,881.9 | 6,567.7 | 8,153.8 | 750.5 | -712.8 | -383.0 | -2,312.2 |
| Euro equity⁴ | 1,730.3 | 2,184.9 | 468.9 | 221.6 | -251.6 | -410.1 | -172.6 |
| International equity⁵ | 900.2 | 531.8 | 4,060.5 | 619.8 | -324.4 | -99.6 | 237.2 |
| Guaranteed fixed-income | -4,469.2 | -10,453.6 | -6,807.4 | -823.0 | -1,268.2 | -964.9 | -813.1 |
| Guaranteed equity⁶ | -2,070.2 | -909.5 | -2,599.8 | 100.3 | 1,752.9 | 1,520.5 | 770.1 |
| Global funds | 847.4 | 2,182.3 | 5,805.3 | 651.2 | -78.0 | -283.2 | 3,537.5 |
| Passively managed⁷ | 9,538.2 | 4,970.9 | -6,264.2 | -1,130.6 | -152.4 | 1,328.1 | 2,983.2 |
| Absolute return⁷ | -67.8 | 1,693.9 | 4,811.4 | 587.1 | 77.4 | 42.5 | 467.8 |
Source: CNMV. Estimates only.
1 Includes: Euro and international fixed income and money market funds (as of 3Q 2011, money market funds encompass those engaging in money market and short-term money market investments, Circular 3/2011).
2 Includes: Euro and international balanced fixed income.
3 Includes: Euro and international balanced equity.
4 Includes: Euro equity.
5 Includes: International equity.
6 Includes: Guaranteed and partial protection equity funds.
7 New categories as of 2Q 09. Absolute return funds were previously classed as global funds.
### Main mutual fund variables*
| Number | 2013 | 2014 | 2015 | 2015 4Q | 2015 1Q | 2016 2Q | 2016 3Q |
|---------------------------------------------|--------|--------|--------|---------|---------|---------|---------|
| **Total mutual funds** | 2,045 | 1,951 | 1,804 | 1,804 | 1,799 | 1,809 | 1,810 |
| Fixed income<sup>1</sup> | 384 | 359 | 319 | 319 | 309 | 312 | 308 |
| Balanced fixed income<sup>2</sup> | 122 | 123 | 132 | 132 | 135 | 138 | 146 |
| Balanced equity<sup>3</sup> | 128 | 131 | 142 | 142 | 147 | 156 | 166 |
| Euro equity<sup>4</sup> | 108 | 103 | 109 | 109 | 111 | 111 | 112 |
| International equity<sup>5</sup> | 193 | 191 | 200 | 200 | 201 | 197 | 201 |
| Guaranteed fixed-income | 374 | 280 | 186 | 186 | 171 | 155 | 135 |
| Guaranteed equity<sup>6</sup> | 308 | 273 | 205 | 205 | 204 | 201 | 196 |
| Global funds | 162 | 162 | 178 | 178 | 185 | 198 | 200 |
| Passively managed<sup>7</sup> | 169 | 227 | 213 | 213 | 221 | 222 | 221 |
| Absolute return<sup>7</sup> | 97 | 102 | 97 | 97 | 92 | 98 | 104 |
| **Assets (million euros)** | | | | | | | |
|---------------------------------------------|--------|--------|--------|--------|--------|--------|----------|
| Total mutual funds | 156,680.1 | 198,718.8 | 222,144.6 | 222,144.6 | 218,339.2 | 220,296.0 | 229,117.4 |
| Fixed income<sup>1</sup> | 55,058.9 | 70,330.9 | 65,583.8 | 65,583.8 | 67,765.4 | 70,308.6 | 73,001.3 |
| Balanced fixed income<sup>2</sup> | 8,138.0 | 24,314.3 | 44,791.8 | 44,791.8 | 42,585.9 | 40,541.2 | 39,644.2 |
| Balanced equity<sup>3</sup> | 6,312.4 | 13,570.4 | 21,502.9 | 21,502.9 | 20,170.2 | 17,595.1 | 15,601.3 |
| Euro equity<sup>4</sup> | 8,632.8 | 8,401.5 | 9,092.9 | 9,092.9 | 8,160.0 | 7,410.3 | 7,795.7 |
| International equity<sup>5</sup> | 8,849.0 | 12,266.4 | 17,143.2 | 17,143.2 | 16,162.8 | 15,424.4 | 16,274.4 |
| Guaranteed fixed-income | 31,481.2 | 20,417.0 | 12,375.6 | 12,375.6 | 10,818.8 | 9,854.5 | 9,066.1 |
| Guaranteed equity<sup>6</sup> | 12,503.8 | 12,196.4 | 9,966.6 | 9,966.6 | 11,862.3 | 13,277.3 | 14,064.6 |
| Global funds | 4,528.1 | 6,886.3 | 12,683.3 | 12,683.3 | 12,300.8 | 16,190.4 | 20,067.8 |
| Passively managed<sup>7</sup> | 16,515.9 | 23,837.5 | 17,731.1 | 17,731.1 | 17,403.6 | 18,534.2 | 21,872.0 |
| Absolute return<sup>7</sup> | 4,659.9 | 6,498.1 | 11,228.1 | 11,228.1 | 11,073.7 | 11,134.1 | 11,704.0 |
| **Unit-holders** | | | | | | | |
|---------------------------------------------|--------|--------|--------|--------|--------|--------|----------|
| Total fondos de inversión | 5,050,719 | 6,409,806 | 7,682,947 | 7,682,947 | 7,699,646 | 7,800,091 | 8,022,683 |
| Total mutual funds | 1,508,009 | 1,941,567 | 2,203,847 | 2,203,847 | 2,222,005 | 2,274,700 | 2,315,533 |
| Fixed income<sup>1</sup> | 240,676 | 603,099 | 1,130,190 | 1,130,190 | 1,113,180 | 1,075,219 | 1,033,454 |
| Balanced fixed income<sup>2</sup> | 182,223 | 377,265 | 612,276 | 612,276 | 596,136 | 556,818 | 451,040 |
| Balanced equity<sup>3</sup> | 293,193 | 381,822 | 422,469 | 422,469 | 412,495 | 392,465 | 387,786 |
| Euro equity<sup>4</sup> | 457,606 | 705,055 | 1,041,517 | 1,041,517 | 1,052,810 | 1,052,225 | 1,138,697 |
| International equity<sup>5</sup> | 1,002,458 | 669,448 | 423,409 | 423,409 | 378,017 | 355,577 | 325,955 |
| Guaranteed fixed-income | 608,051 | 557,030 | 417,843 | 417,843 | 463,423 | 497,543 | 515,563 |
| Guaranteed equity<sup>6</sup> | 128,741 | 223,670 | 381,590 | 381,590 | 383,066 | 456,609 | 625,931 |
| Global funds | 441,705 | 686,526 | 554,698 | 554,698 | 557,262 | 609,995 | 681,545 |
| Passively managed<sup>7</sup> | 188,057 | 264,324 | 479,182 | 479,182 | 505,442 | 513,724 | 532,149 |
| **Return<sup>8</sup> (%)** | | | | | | | |
|---------------------------------------------|--------|--------|--------|--------|--------|--------|----------|
| Total mutual funds | 6.50 | 3.67 | 0.89 | 1.51 | -1.36 | -0.03 | 1.34 |
| Fixed income<sup>1</sup> | 2.28 | 2.41 | 0.10 | 0.38 | 0.16 | 0.23 | 0.34 |
| Balanced fixed income<sup>2</sup> | 4.16 | 3.67 | 0.16 | 0.97 | -1.27 | 0.30 | 0.69 |
| Balanced equity<sup>3</sup> | 10.85 | 4.70 | 0.15 | 2.43 | -2.84 | 0.00 | 1.75 |
| Euro equity<sup>4</sup> | 28.06 | 2.09 | 3.44 | 4.12 | -6.99 | -4.49 | 7.89 |
| International equity<sup>5</sup> | 20.30 | 6.61 | 7.84 | 6.30 | -4.62 | -0.44 | 4.00 |
| Guaranteed fixed-income | 4.96 | 2.54 | 0.27 | 0.09 | 0.09 | 0.19 | 0.27 |
| Guaranteed equity<sup>6</sup> | 6.15 | 2.64 | 1.07 | 1.18 | -0.87 | 0.37 | 0.97 |
| Global funds | 8.71 | 4.63 | 2.45 | 2.33 | -2.21 | 0.02 | 2.10 |
| Passively managed<sup>7</sup> | 8.88 | 7.74 | 0.53 | 1.23 | -1.13 | -0.03 | 1.63 |
| Absolute return<sup>7</sup> | 2.46 | 1.98 | 0.12 | 0.45 | -0.51 | 0.12 | 0.65 |
Source: CNMV. *Data for funds that have filed financial statements (i.e., not including those in the process of winding-up or liquidation).
1 Includes: Euro and international fixed income and money market funds (as of 3Q 2011, money-market funds encompass those engaging in money market and short-term money market investments, Circular 3/2011).
2 Includes: Euro and international balanced fixed income.
3 Includes: Euro and international balanced equity.
4 Includes: Euro equity.
5 Includes: International equity.
6 Includes: Guaranteed equity and partial protection equity funds.
7 New categories as of 2Q 2009. All absolute return funds were previously classed as Global funds.
8 Annual return for 2013, 2014 and 2015. Quarterly data comprise non-annualised quarterly returns.
After years of solid improvement, the liquidity of the fixed-income portfolio has apparently levelled off over 2015 and 2016 (to September). Less-liquid assets have ranged from 1.2% to 1.4% of the total in recent quarters, far from 2009’s peak levels bordering on 9%. At end-September, the sum of less-liquid assets was 2.85 billion euros, 1.24% of the total and 7.7% less than the figure for last June. By category, the biggest variation was in the less-liquid assets held in the fixed-income portfolio of financial corporations rated below AA, which dropped by 15.4% in January-September to 231 million euros. The volume of asset-backed securities defined as less liquid fell by 160 million euros, although in relative terms their share of the portfolio was substantially higher.
**Estimated liquidity of mutual fund assets**
| Type of asset | Million euros | % total portfolio |
|-------------------------------|---------------|------------------|
| | Mar 16 | Jun 16 | Sep 16 | Mar 16 | Jun 16 | Sep 16 |
| Financial fixed income rated AAA/AA | 71 | 77 | 43 | 6.0 | 7.0 | 3.9 |
| Financial fixed income rated below AAA/AA | 1,315 | 1,611 | 1,266 | 6.5 | 7.6 | 5.7 |
| Non-financial fixed income | 383 | 463 | 627 | 3.6 | 3.8 | 4.8 |
| Securitisations | 1,010 | 939 | 917 | 48.2 | 58.7 | 61.6 |
| AAA-rated securitisations | 26 | 23 | 20 | 86.6 | 86.9 | 87.4 |
| Other securitisations | 984 | 915 | 897 | 47.6 | 58.2 | 61.2 |
| **Total** | **2,779** | **3,089** | **2,852** | **8.1** | **8.6** | **7.6** |
Source: CNMV.
**Real estate schemes**
Key real estate scheme variables remained largely unchanged in the first nine months of 2016, as they had done in the closing stretch of 2015.
This was the funds segment hit hardest by the real estate downturn but it maintained an even keel, closing the period with the same three schemes operative as at year-end 2014. At the end of September, fund assets stood at 376.9 million euros, 3.6% down versus December 2015 after a cumulative return in the first three quarters of -3.6%. This is better than at the height of the crisis, but suggests that sector recovery is not yet strong enough to produce a turnaround in real estate fund portfolios.
The number of real estate investment companies was likewise unchanged to September, with the same six entities in operation as in the third quarter of 2015. Assets in this sub-sector edged 1.7% higher in the first nine months to 714.3 million euros, while the number of shareholders jumped from 583 to 682. Behind this increase is the fact that the last company to join the register, in 2015, recruited in large numbers between April and September this year.
Hedge funds
Hedge fund assets contracted by 5% to 1.98 billion euros in the first six months of 2016. As at 31 October, 50 schemes were filing financial statements with the CNMV (40 hedge funds and 10 funds of hedge funds), two more than at end-2015 following five new entries and three deregistrations.
As we can see from Table 15, pure hedge funds had 1.69 billion assets at the end of the first half-year. This was 4.2% down versus the 2015 close, breaking with two years of robust expansion that had boosted sector assets by 70.2%. The decline owed to both net redemptions (38.7 million in January-June 2016) and portfolio losses of -1.79% after several years of sturdy returns. In parallel, unit-holder numbers fell by 5.2% to 2,928.
Fund of hedge fund assets shrank by 9.1% to 290.6 million euros, prolonging the contraction trend of recent years. Unit-holder numbers reduced by ten to 1,255, while the global portfolio return in the six-month period was -2.3%.
Main hedge fund and fund of hedge fund variables
| | 2013 | 2014 | 2015 | 2016 |
|------------------------|------|------|------|------|
| | | | | 3Q | 4Q | 1Q | 2Q |
| FUNDS OF HEDGE FUNDS | | | | | | | |
| Number¹ | 19 | 14 | 11 | 11 | 11 | 11 | 10 |
| Unit-holders | 3,022| 2,734| 1,265| 1,365| 1,265| 1,262| 1,255|
| Assets (million euros) | 350.3| 345.4| 319.8| 338.0| 319.8| 306.3| 290.7|
| Return (%) | 4.39 | 8.48 | 6.16 | -1.90| 2.07 | -2.89| 0.56 |
| HEDGE FUNDS | | | | | | | |
| Number¹ | 28 | 36 | 37 | 37 | 37 | 37 | 39 |
| Unit-holders | 2,415| 2,819| 3,089| 3,121| 3,089| 3,011| 2,928|
| Assets (million euros) | 1,036.7| 1,369.5| 1,764.8| 1,708.4| 1,764.8| 1,652.2| 1,690.2|
| Return (%) | 16.48| 5.30 | 4.97 | -5.56| 3.90 | -1.30| -0.50|
Source: CNMV.
¹ Number of funds filing financial statements (i.e., not including those in the process of winding-up or liquidation).
Foreign UCITS marketed in Spain
The expansion enjoyed by this segment since 2012 (with investment volumes tripling between 2011 and 2015) continued this year at an appreciably slower pace, with assets up by 4% to 112.47 billion euros at end-September. This was 29.8% of the total assets in collective investment schemes marketed in Spain, on a par with the percentage of the 2015 close (see Figure 20).
Growth drew mainly on fund products, which increased their assets 27.4% in the period to 19.50 billion euros, while investment companies saw only modest expansion of 0.2% to 92.97 billion. Investor numbers, meantime, rose 3% in companies and 4.3% in funds as far as a combined 1.7 million, 3.2% more than in December.
The number of schemes registered with the CNMV also increased in both cases, with the addition of 12 more funds and 35 more companies giving 437 and 490 respectively at end-September 2016. Most new entrants, as in previous quarters, came from Luxembourg and Ireland.
**Assets of foreign UCITS marketed in Spain**
*FIGURE 20*
Source: CNMV.
**Outlook**
Low interest rates are a boon for the fund industry, but market instability may dampen growth and steer investors back to less risky products.
The collective investment industry has come back strongly since 2012 after a run of troubled years, and now appears to be entering a period of stability characterised by considerably slower growth, with figures even turning negative in the first quarter of 2016. In the short and medium term, collective investment should continue to benefit from the low interest rates in the economy. However bond market turbulence and equity market volatility remain risks to be reckoned with. The former has in recent years driven investors into riskier products, especially balanced funds, while the latter is luring them back to supposedly safer funds in the fixed-income segment.
**Depositories Circular. Independent Directors**
On 13 October 2016, CNMV Circular 4/2016, of 29 June, on the functions of depositaries for collective investment schemes and entities regulated by Law 22/2014, of 12 November, regulating venture capital firms, other closed-ended collective investment funds and investment management firms for closed-ended funds, amending Law 35/2003, of 4 November, on collective investment schemes.
Its purpose is to set out the regime for depositaries, limiting the scope of their functions and laying down some technical specifications. The Circular complements the European standards set out in Commission Delegated Regulation (EU) No. 231/2013, of 19 December 2012, supplementing Directive 2011/61/EU of the European Parliament and of the Council, with regard to exemptions, general operating conditions,
depositaries, leverage, transparency and supervision, for alternative investment funds and Commission Delegated Regulation (EU) 2016/438, of 17 December 2015, supplementing Directive 2009/65/EC of the European Parliament and of the Council, with regard to the obligations of depositaries, applying to undertakings for collective investment in transferable securities (UCITS).
It also regulates the specific cases of depositaries which, in certain circumstances, venture capital firms and closed-ended collective investment schemes are obliged to have under Law 22/2014. Much of the Circular’s content merely recycles the previous regulations in Order EHA/596/2008, of 5 March, regulating aspects of the legal regime for scheme depositaries, and spells out the mandatory content of the position statements.
One innovation, however, is the cataloguing of custodiable and non-custodiable financial assets. It also defines some technical specifications for reconciliations, custody, registration of non-custodiable assets and the administration and control of cash, and requires that the depositary play a role in both registration and cash control and authorises the corresponding movements. This is a continuation of the previous regulations.
The Circular also regulates the criteria for delegation of custody. It states that for the purposes of Article 135.2 b) of Royal Decree 1082/2012, of 13 July, approving the Implementing Regulations of Law 35/2003, of 4 November, on collective investment schemes, one of the objective grounds for delegation is when the depositary does not participate in the clearing, settlement and registration systems. Accordingly, for an entity to be designated as a CIS depositary it must be able to exercise direct custody over an asset class. Otherwise, it risks the emergence of entities claiming to be CIS depositaries but which in fact merely outsource the actual business of custody.
It also specifies the criteria that depositaries must apply when appointing and subsequently monitoring third parties and for the purpose of supervising risks in the custody chain. And it adds strictures regarding external legal advice, which must be sought by both depositary and subcustodian in the case of harmonized CISs.
For the depositaries of entities regulated by Law 22/2014, it was decided to retain the legal regime for CISs but with a number of additional specifications to reflect the differing nature of the assets in which these firms invest (for instance, less frequent reconciliation).
In addition, the Circular sets out a number of technical specifications regarding the depositary’s duty of supervision and oversight (of subscriptions and redemptions, NAV calculation, ratios, limits and suitable assets, dividends and information to report to the CNMV), again allowing for the specificities of firms regulated by Law 22/2014. In these respects, too, the new standard conforms to the old.
Finally, the Circular seeks to simplify and unify regulations governing depositaries by incorporating CNMV Circular 3/2009, of 25 March, on the content of the
half-yearly report on CIS depositaries’ compliance with their supervision and oversight obligations. In the case of entities regulated by Law 22/2014, it specifies the content of the periodic report on the depositary’s compliance with supervision and oversight obligations and the reporting of major anomalies to the ECR and EICC.
In parallel with this Circular, one other innovation needs mentioning. Delegated Regulation (EU) 2016/438 on UCITS introduced new requirements for independence between the manager and the depositary. Specifically, when the fund manager and depositary belong to the same group, independent members must make up at least either one-third or two of the members of both boards (whichever is lower).
This requirement has further implications, since Law 22/2015, of 20 July, on Auditing, requires managers of harmonised public-interest CISs (with at least 5,000 unit-holders or shareholders) which are not small- or medium-sized to have in place an audit committee with a majority of independent directors, if their specific regulations require the presence of independent directors on the board.
### 4.2 Investment firms
Spain’s investment firms had to contend with uncertainty and instability on financial markets in the early months of the year. This was reflected in their aggregate profits: 146.5 million euros between January and September, 18.8% down on the same period in 2015.\(^{15}\) So, last year’s weak performance continues in a sector that had grown promisingly in 2013 and 2014 (see Figure 21). The number of firms registered with the CNMV at end-October this year was 84, three more than at end-2015 after nine new listings and six deregistrations. Five firms are passported to operate in other EU countries through a branch, one fewer than at end-2015, and 39 under free provision of service rules, two fewer than nine months ago.
Broker-dealers, who contribute around 90% of the sector’s total profits, experienced a fall-off in business, with aggregate pre-tax profit dropping by 14.3% to 134.7 million (see Table 16). Driving the fall were lower fee income and results from financial investments. Fees were down by 14% compared to January-September 2015, at 407.9 million euros. Fees from order processing and execution suffered the greatest absolute decline to 184.4 million euros in the first three quarters of 2016, a year-on-year fall of 26.2%. These fees remain by some distance the most important earners for broker-dealers but now make up less than 50% of the total compared to the 70% peak of 2010. In contrast, the second biggest source of fee income, CIS marketing, grew by a further 1.6% to 55.8 million euros (on top of the 17.4% growth of 2015). We should also highlight the 90% leap in fees for securities depository and registration services, to nearly 35 million euros.
\(^{15}\) Not including investment advisory firms, for which no data are available since December 2015.
Still above the net operating income line, the other stand-out item, as mentioned above, was results from financial investments, down by 54.7% to 84.3 million euros. The 26% increase in net interest income and 13.9% fall in fee expense, however, left gross income in the year to September at 394.7 million euros, a reduction of 9.2% on the year-ago period. Coupled with rising depreciation and operating expenses falling much more slowly than income (by 6.5% to 26.2 million euros), this meant that the final operating income to September 2016 was 120.1 million euros, down 20.9% on the same period 2015.
The 55% drop in results from financial investments, heavy depreciation, and operating costs declining slower than income, have played a big part in undermining earnings.
**Investment firm pre-tax profits**
**FIGURE 21**
| Year | Brokers | Broker-dealers |
|------|---------|----------------|
| 2006 | 700 | 600 |
| 2007 | 800 | 800 |
| 2008 | 500 | 500 |
| 2009 | 400 | 400 |
| 2010 | 300 | 300 |
| 2011 | 200 | 200 |
| 2012 | 100 | 100 |
| 2013 | 200 | 200 |
| 2014 | 300 | 300 |
| 2015 | 200 | 200 |
| 2016 | 100 | 100 |
Source: CNMV.
1 Not including investment advisory firms and portfolio managers.
2 Annualised data.
Brokers also suffered a drop in activity over the period with profits down by 50.7% to 9.9 million euros. In the main, this was for the same reason as broker-dealers, a fall in fee income, exacerbated by a slight increase in operating expenses. Underlying the decline in fees was a drop-off in brokers’ two biggest sources of fee income – CIS marketing and order processing and execution – which together make up over 60% of the total. Fund fee volumes dipped by 6.3% to 37 million euros while order processing and execution fees slumped by 25.7%, in line with the fall experienced by broker-dealers. On the other hand, portfolio management fees, now the third-biggest earner for brokers, advanced 11.2% to 8.2 million euros. Overall, the dip in fees received and a modest 2.3% increase in fee expense eroded brokers’ gross income by 9.3% to 78.1 million euros. Finally, a 1.4% rise in operating expenses left net operating profit down by 49.8% compared to September 2015, at 9.6 million euros.
Brokers’ profits are half what they were in the same period in 2015, the main culprits being lower fee income, particularly for order processing and execution (-26%) and CIS marketing (-6.3%).
### Aggregate income statement (Sep 16)
| Thousand euros | Broker-dealers | Brokers |
|----------------|----------------|---------|
| | Sep 15 | Sep 16 | % change | Sep 15 | Sep 16 | % change |
| 1. Net interest income | 39,104 | 49,275 | 26.0 | 633 | 614 | -3.0 |
| 2. Net fee income | 326,720 | 280,710 | -14.1 | 83,955 | 78,389 | -6.6 |
| 2.1. Fee income | 474,430 | 407,854 | -14.0 | 99,357 | 94,142 | -5.2 |
| 2.1.1. Order processing and execution | 249,783 | 184,438 | -26.2 | 25,069 | 18,617 | -25.7 |
| 2.1.2. Placement and underwriting | 10,659 | 5,198 | -51.2 | 2,296 | 1,692 | -26.3 |
| 2.1.3. Securities administration and custody | 18,355 | 34,873 | 90.0 | 361 | 449 | 24.4 |
| 2.1.4. Portfolio management | 16,133 | 16,933 | 5.0 | 7,362 | 8,188 | 11.2 |
| 2.1.5. Investment advising | 2,575 | 1,909 | -25.9 | 5,262 | 5,863 | 11.4 |
| 2.1.6. Search and placement | 1,420 | 1,641 | 15.6 | 186 | 40 | 78.5 |
| 2.1.7. Margin trading | 0 | 0 | – | 0 | 0 | – |
| 2.1.8. CIS marketing | 54,906 | 55,758 | 1.6 | 39,519 | 37,047 | -6.3 |
| 2.1.9. Others | 120,597 | 107,104 | -11.2 | 19,302 | 22,247 | 15.3 |
| 2.2. Fee expense | 147,710 | 127,144 | -13.9 | 15,402 | 15,753 | 2.3 |
| 3. Results of financial investments | 186,154 | 84,290 | -54.7 | 319 | 176 | -44.8 |
| 4. Net exchange differences | -127,967 | -29,944 | 76.6 | 612 | -147 | – |
| 5. Other operating income and expense | 10,862 | 10,391 | -4.3 | 624 | -920 | – |
| **GROSS INCOME** | **434,873** | **394,722** | **-9.2** | **86,143** | **78,122** | **-9.3** |
| 6. Operating expenses | 282,735 | 264,236 | -6.5 | 66,229 | 67,130 | 1.4 |
| 7. Depreciation and other charges | 4,706 | 10,084 | 114.3 | 802 | 1,403 | 74.9 |
| 8. Impairment losses | -4,437 | 319 | – | 8 | -3 | – |
| **NET OPERATING INCOME**| **151,869** | **120,083** | **-20.9** | **19,100** | **9,582** | **-49.8** |
| 9. Other profit and loss | 5,328 | 14,607 | 174.2 | 898 | 269 | -70.0 |
| **PROFITS BEFORE TAXES**| **157,197** | **134,690** | **-14.3** | **19,997** | **9,851** | **-50.7** |
| 10. Corporate income tax | 28,833 | 16,731 | -42.0 | 1,884 | 1,673 | -11.2 |
| **PROFITS FROM ONGOING ACTIVITIES** | **128,364** | **117,959** | **-8.1** | **18,113** | **8,178** | **-54.9** |
| 11. Profits from discontinued activities | 0 | 0 | – | 0 | 0 | – |
| **NET PROFIT FOR THE YEAR** | **128,364** | **117,959** | **-8.1** | **18,113** | **8,178** | **-54.9** |
Source: CNMV.
**Investment firm ROE hit by falling income.**
The return on equity (ROE) earned by investment firms fell from 15.3% to 13.0% between December 2015 and September 2016, reflecting the shrinkage in sector earnings. Brokers suffered the biggest dent in profitability, with ROE dropping from 21.5% to 13.9%. Broker-dealers suffered less, with ROE down from 14.9% to 12.9% (see left-hand panel of Figure 22).
**Losses and the number of loss-making firms move higher in the first nine months of 2016.**
In line with the general slide across the sector, the number of loss-making firms rose during the first nine months of the year to 28. This compares to 20 at end-2015. Specifically, 15 broker-dealers and 13 brokers were operating at a loss, seven and one more respectively than at end-2015. The cumulative losses of these firms in the first three quarters of the year totalled 16.5 million euros, more than double the losses recorded in the same period 2015.
Investment firms’ solvency conditions remained optimal between January and September this year. The capital adequacy ratio at firms that have to file solvency statements, calculated as regulatory capital over the minimum capital requirement, increased between December 2015 and September 2016 from 4.8 to 5.0 for broker dealers and remained flat at 2.2 for brokers (see Figure 23).
After two or three good years, equity market instability is starting to weigh on investment firm earnings, since their main business lines are tied in with market trading. The prospects for investment firms are further clouded by competition from domestic credit institutions in some of their traditional core businesses like order processing and execution. There is also an ongoing, though dwindling, impact on the sector from the restructuring of Spain’s financial system: only two of the six deregistrations recorded in 2015 were the result of takeovers (the remainder resulting from a change in corporate form or dissolution) and only one of the five between January and October this year.
---
16 As of 1 January 2014, CNMV Circular 2/2014, of 23 June, on the exercise of various regulatory options regarding the solvency of investment firms and their consolidable groups exempts some firms from the obligation to report on their compliance with solvency standards, an exemption that in September extended to 11 of the 82 firms registered with the CNMV.
Investment firm capital adequacy
(surplus of regulatory capital over minimum requirement)\(^1\)
Source: CNMV.
1 There have been minor changes to the way capital adequacy requirements are calculated since 2014 when Regulation (EU) No. 575/2013 of the European Parliament and of the Council, of 26 June 2013, on prudential requirements for credit institutions and investment firms came into effect.
Change to the way securities transfer fees are calculated in fee schedules
CNMV Circular 7/2011, of 12 December, on the fee prospectus and content of standard contracts, seeks among other things to improve the comparability of the maximum fees and expenses charged by investment firms. To this end, the Circular lays down bases for calculation and core concepts for some of the commonest transactions firms perform for retail clients, so they are sufficiently informed to decide whether fees accurately reflect the quality of service on offer.
Among the concepts and bases of calculation specified by the Circular were the fees for transferring securities to another firm. It establishes that: "When the entity providing custody services wants to charge a fee for transferring the securities of a single holder to another entity it must include in the prospectus a fixed maximum fee for each asset class expressed in monetary terms". In other words, the maximum fee chargeable to retail customers transferring their securities to another firm must be stated in the prospectus in euros for each class of security.
The CNMV has analysed the fees specified in prospectuses over recent years. This analysis, coupled with information from investor complaints to the CNMV, showed that, in some cases, the fees reported by the firms were very high, up to 5,000 euros per asset class transferred. This, taken together with the wide range of the amounts charged, means that the maximum transfer fees often fail to meet the criterion of proportionality to the quality of service provided. The same disproportionality was found when we looked at the cost to customers of securities brokerage, custody and transfer services for a model portfolio. In some cases, transfer fees were higher than the value of the securities being transferred. In others, the fee was several times the annual custody fee (in one case equivalent to
more than 40 years’ custody fees). Finally, there were also cases where it was several times the cost of selling the securities concerned, up to 50 times the fees for selling the portfolio in the most extreme examples.
All in all, the analysis showed that the decision to change depositary may be affected by the heavy costs involved and that high fees can, in some circumstances, restrict competition between firms by setting up hurdles to investors switching service provider, thereby locking them into an unwanted contract. Also, the fees in the prospectus do not seem designed to proportionately compensate for the service provided by the firm but rather to act as a penalty or deterrent. It should be remembered that transfer is the only way for an investor to recover their securities as they are held in book-entry form and cannot be physically delivered.
With a view to ensuring transfer fees complied with the proportionality principle, thus making them more easily understood by investors, the CNMV has changed the base of calculation of this fee. No longer will it be given as a fixed amount per asset class but instead as a percentage of the total value of securities transferred. The change is explained in CNMV Circular 3/2016, of 20 April, amending Circular 7/2011, of 12 December, on the fee prospectus and content of standard contracts. Under the new standard, the charge for transferring securities to another entity must be expressed as “a percentage of the value of securities transferred, with the obligation to set a maximum amount and no minimum amount permitted”.
Pricing transfer fees as a percentage offers benefits to retail customers who can, by applying the percentage stated, be sure of the cost of transferring their portfolio to another depositary. It should also make it easier to compare the value offered by different firms for the transfer service and allow investors to compare the cost of transfer with the cost of staying put, since both transfer and maintenance, custody and administration fees will be given as a percentage of the portfolio transferred or under custody. These fees must be shown next to each other on the same page of the firm’s fee schedule.
Overall, this change should ensure that scheduled transfer fees remunerate the service provided in a proportionate way and are easily understood and comparable by retail clients.
The Circular, which came into force on 1 May 2016, established that compliant fee prospectuses must be filed with the CNMV before 1 September 2016 and that as soon as a firm updates its fee prospectus, and by 1 October 2016 at the latest, firms must calculate transfer fees as a percentage of the amount transferred up to the maximum stated fee and, where appropriate, amend customer contracts accordingly.
4.3 CIS management companies
In the first half-year, CIS management companies did slower business than in the prior year. Assets under management fell by 1.3% to 255 billion euros, after the healthy expansion of the last three years in which they grew by nearly 70% (see Table 17). Similarly, aggregate pre-tax profits of 596.6 million euros (in annualised terms) were down by 9.1% versus end-2015 (see Figure 24). Almost all of the decline in assets under management in January-June 2016 was due to investment funds and companies. That said, it is important to remember that this is a heavily concentrated sector: the three biggest managers commanded a combined 42% of total managed assets at mid-2016, little changed from the level recorded at end-2015.
CIS management companies: Assets under management and pre-tax profits
Source: CNMV. Results to June 2016 are shown as full-year equivalents for comparative purposes.
Income from CIS management fees, the biggest contributors to management companies’ earnings, fell 6.4% to 2.29 billion in the year to June (see Table 17). The reduction was driven by the abovementioned fall in managed assets and a reduction in average management fees to 0.90% of assets from 0.95% at end-2015. Behind this decline lay, principally, the rejigging of investment fund assets toward lower-risk and hence lower-fee asset classes. Likewise, aggregate ROE for all CIS management companies declined sharply, in a break with the upward trend of recent years, from 54.8% at end-2015 to 48.6% in June 2016. The number of loss-making entities jumped from 11 to 21 with combined value-added of 6.2 million euros (in annualised terms), 72.3% up on 2015.
Sector reorganisation, begun in the wake of the restructuring of the Spanish financial system, now seems to be nearing its end. In the first ten months of 2016 only one firm closed, merged into another manager as a consequence of the above process. In the same period six new management firms entered the register, taking the total at 31 October to 101, compared to 96 in 2015.
### CIS management companies: Assets under management, management fees and fee ratio
**Million euros**
| Year | Assets under management | CIS management fee income¹ | Average CIS management fee¹ (%) | Fee ratio² (%) |
|----------|-------------------------|----------------------------|---------------------------------|---------------|
| 2009 | 203,730 | 1,717 | 0.84 | 68.1 |
| 2010 | 177,055 | 1,639 | 0.93 | 67.2 |
| 2011 | 161,481 | 1,503 | 0.93 | 65.6 |
| 2012 | 152,959 | 1,416 | 0.93 | 64.6 |
| 2013 | 189,433 | 1,588 | 0.84 | 62.0 |
| 2014 | 232,232 | 2,004 | 0.85 | 61.8 |
| 2015 | 258,201 | 2,440 | 0.95 | 63.7 |
| Jun-2016 | 254,809 | 2,286 | 0.90 | 63.1 |
*Source: CNMV.*
1. Data for fee income and average management fee restated on an annual basis.
2. Ratio of fee expenses for fund marketing to fee income from CIS management.
---
### Second Financial Education Day
As part of the Financial Education Plan, launched by the Bank of Spain and the CNMV in 2008, the 2nd Financial Education Day took place on 3 October. Held every year on the first Monday in October, it aims to raise citizens’ awareness of the financial literacy they need to meet the challenges posed by the different stages of life.
Events during Financial Education Day revolved around a core event at the CNMV head office, involving the CNMV President, the Governor of the Bank of Spain, the General Director of Insurance and Pension Funds and the Secretary of State for the Economy.
Their contributions highlighted the achievements of the Plan since 2008, including the launch of website www.finanzasparatodos.es, drafting of a Financial Education Programme for secondary schools and the creation of a network of collaborators. There were reports on work in progress, such as the national survey to gauge the financial literacy of the Spanish population and their behaviour in matters of personal finance. Results are due out in 2017.
Prizes were handed out to the winning secondary schools in the fourth Financial Education Programme Awards. This year, contestants had to present a poster and video illustrating the importance of financial education at different stages of life. The winning centres were Amor de Dios (Cadiz) and Ramon y Cajal (Madrid).
Also presented was the first ever Finance for All Award, created to promote quality and impartiality in financial education initiatives. The winning project “Inclusive finance” run by the Fundación ONCE, is an initiative to promote financial education for people with intellectual differences and learning difficulties.
In parallel with the central event, in order to spread the message to the greatest possible number of groups and individuals, Plan collaborators (associations, institutions, NGOs, foundations, etc.) held some 130 events on and around the day throughout Spain (conferences, workshops, round tables, online courses, websites, publications, radio programmes, etc.). The website www.diadelaeducacionfinanciera.es acted as a central information point for the events organised.
A help line was also set up to answer callers’ questions about personal finance and issues related to securities, banking and insurance.
The third Financial Education Day will be held on 2 October 2017.
4.4 Other intermediaries: venture capital
At the end of 2014, Law 22/2014, of 12 November, regulating venture capital entities, other closed-ended collective investment undertakings and closed-ended CIS management companies came into force, amending Law 35/2003, of 4 November, on Collective Investment Schemes, and allowing the creation of new types of vehicle to promote venture capital as an alternative financing route. The new vehicles are SME venture capital entities (companies or funds), European venture capital funds, European social enterprise funds and closed-ended collective investment schemes (companies and funds). It also regulates closed-ended collective investment scheme management companies, a name now in use for both old-style venture capital entity management companies and the managers of new closed-ended schemes.
The first 15 of these new vehicles appeared in 2015, comprising eight SME venture capital funds, six SME venture capital companies and one closed-ended collective investment company. Between January and October this year three, eight and four vehicles were added to these categories respectively. The year also saw the creation of the first two European venture capital companies and the first closed-ended collective investment fund (see Table 18). As for traditional vehicles, in the first ten months of 2016 there were 18 new entries and four closures of venture capital funds, leaving 162 in operation at end-October. Among venture capital companies 10 opened and 12 closed, leaving 101 in operation. The total number of venture capital entities at 31 October (not including closed-ended vehicles) was 290, compared to 265 at end-2015. At the same date there were six closed-ended vehicles, five companies and a fund, as well as 82 closed-ended investment scheme management companies (which includes the old venture capital management companies), after nine entries and four deregistrations between January and October.
Preliminary data from the Spanish Venture Capital Entity Association ASCRI for the first half of 2016 suggests that the volume invested by venture capital entities in Spain contracted by 24.9% versus the year-ago period, to 765.8 million euros, despite a 15.6% increase in the number of deals to 303. The dip in investment, as in 2015, was due to a fall in the number of large-scale deals (over 100 million euros). On the other hand, there was a notable surge in midmarket transactions, which had also grown strongly the previous year and in 2016, with 17 deals, made up 57.7% of the total investment volume in venture capital entities. By investment phase, the bulk of the 256 deals were in venture capital (seed and start-up phases) although private equity accounted for 65% of investment by volume. It should also be noted that investment by international funds slowed while that by Spanish investors grew, particularly in the midmarket and venture capital segments.
Spanish VCE association figures show VCE investment fell by 25% in the first half of 2016, due to a dearth of big deals. However, the number of operations was high (+16%). Midmarket and venture capital deals were particularly strong.
II Reports and analysis
Resolution of central counterparties: Approach in the global regulatory agenda and response in the European Union (*)
Víctor Rodríguez Quejido and José Manuel Portero Bujalance (**)
(*) This article updates the article published by the same authors in number 29 of the Bank of Spain’s Financial Stability Journal in November 2015 under the title “Resolución de entidades de contrapartida central: Una aproximación en un entorno postcrisis” [Resolution of central counterparties: An approach in a post-crisis environment].
(**) Víctor Rodríguez Quejido and José Manuel Portero Bujalance are the Director General and a senior economist, respectively, of the CNMV’s Directorate-General of Strategic Policy and International Affairs.
Resolution of financial institutions in a post-crisis environment
One of the recurring debates following the outbreak of the financial crisis in September 2008 has been regarding the measures that need to be adopted in order to reduce the likelihood that financial institutions, and consequently, important institutions that participate in financial markets, enter into a crisis that might lead to their liquidation and which, depending on their systemic importance, might require the allocation of public resources, principally obtained from the taxpayer, for their bailout or, as a last resort, for their orderly liquidation.
The widespread use of bank bailouts at the height of the crisis demonstrated that an ongoing policy of bailouts was not a cost-free option for the corresponding governments and, therefore, for the taxpayer. Without alternatives to this policy, the ultimate cost would fall on the taxpayer, which would inevitably affect the policy of containing public expenditure.
While a bailout of a financial institution using taxpayers’ money should be avoided, it is also important to prevent, as far as possible, their winding-up through an insolvency or bankruptcy procedure generating turmoil in the financial system.
In order to prevent, or at least mitigate, the above-mentioned turmoil, international authorities and regulators have proposed a combination of measures that range from increasing capital requirements to implementing resolution frameworks for financial institutions.
The above two premises – the non-use of taxpayers’ money and the mitigation of turmoil in the financial system – have been the driving force behind the resolution frameworks. This is the reason why public authorities must implement mechanisms that avoid affecting public finances while, at the same time, addressing potential destabilising situations for the financial system. The ultimate, and in some ways the ideal, aim will be to achieve a safer, stronger and more stable financial system.
However, it should be pointed out that resolution mechanisms for financial institutions are not a magical solution for avoiding losses. Quite the contrary, losses will exist, but they should be borne mainly by bondholders and creditors through bail-ins.
An additional aspect is how to determine the moment at which the resolution of a financial institution should be activated, which should clearly not be too early or too late. The most reasonable and expected moment would be to activate the resolution process when the recovery strategies have concluded and the institution may enter
into insolvency, after it has been demonstrated that the institution is no longer viable.
In order to minimise the level of subjectivity in determining the timing of an institution’s entry into resolution, this should be linked to the conditions and requirements that gave rise to the authorisation and operation of said institution. When the institution no longer complies with these requirements, and there is no reasonable prospect that it will once again comply with them, it should enter into the analysis stage for its eventual resolution.
Finally, it is important to highlight that in order to be effective, a resolution mechanism should operate on an inter-territorial basis. Without this feature, local authorities would be motivated, or even tempted, to mitigate the economic impact that the resolution of an institution would have on the national accounts and on its taxpayers, which are ultimately their potential voters.
**From the resolution of credit institutions to the resolution of central counterparties**
The initial design of the resolution frameworks was mainly aimed at credit institutions due to the role that they have played in the financial crisis, particularly those deemed too big to fail.
In the post-crisis environment – and as a result of some of the solutions implemented during the crisis – the resolution frameworks have expanded their scope of application.
Their implementation has been extended not only to a large part of the range of financial institutions – for example, investment firms – but the specific design of resolution mechanisms and frameworks has recently been under consideration for market infrastructures. Noteworthy among these market infrastructures are central counterparties (CCPs). The nature of their activity and their growing role in financial transactions give them the clear potential to be systemic entities, which is why they have been the first infrastructures on which international regulators are focusing their attention.
**Objective and organisation of the article**
This article analyses the approach adopted in the international regulatory agenda with regard to the resolution frameworks for CCPs. As indicated, following the crisis, these entities have undoubtedly become systemically important, particularly since the centralised clearing of over-the-counter (OTC) derivatives trading has become generalised, mainly as a result of legal requirements.
It is inevitable that the regulation of the resolution processes for these entities will be based on that already designed for banks, but CCPs have characteristics that require a specific legislative framework to be created. The first regulatory advances in the matter cater to these unique characteristics, as is the case of the recent European
Commission Proposal of the Regulation of the European Parliament and of the Council on a framework for the recovery and resolution of central counterparties.\(^1\)
Given that regulatory measures with regard to the resolution of CCPs are by nature global, this article covers the initiatives that the Financial Stability Board (FSB) is coordinating with regard to resolution, resilience and recovery of CCPs.
The article also runs through the ideal characteristics of a resolution framework, as well as the outline of a European regulatory framework on the resolution of CCPs in accordance with the aforementioned European Commission proposal for a regulation. The article also mentions the current situation in Spain, where, although there is no specific regulation on the resolution of CCPs, there are mechanisms which would allow, as the case may be, a possible orderly resolution of these entities.
The rest of the article is organised as follows: Section 2 describes the role of CCPs and the consequences in terms of risk in the context of the services offered by post-trading infrastructures. Section 3 analyses what specific features should be taken into account by the regulators when designing the resolution frameworks for these entities. Section 4 describes the global response from regulators in this field, while Section 5 analyses in more detail the FSB’s Workplan. Sections 6 and 7 focus on the European Commission proposal for a regulation in Europe and the framework applicable in Spain, respectively. The article ends with a section of conclusions.
### 2 The role of CCPs in the financial system
The clearing of securities and derivatives transactions plays a key role in the functioning of the financial system. CCPs, in their role of facilitating clearing and obtaining net balances of risk exposures, as well as the mutualisation of risk, are key agents.
The importance of CCPs in the institutional framework of the financial system has been boosted as a result of the progression of the financial crisis. In this regard, it is important to indicate that the G20 Leaders Statement in 2009\(^2\) requested, among other measures, that standardised OTC derivative contracts should be cleared centrally.
The reasons behind the above statement can be found in the advantages offered by centralised clearing through a CCP compared with bilateral clearing between entities.
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1. European Commission Proposal for a Regulation of the European Parliament and of the Council on a framework for the recovery and resolution of central counterparties and amending Regulations (EU) No. 1095/2010, (EU) No. 648/2012, and (EU) 2015/2365 (http://ec.europa.eu/transparency/regdoc/rep/1/2016/EN/COM-2016-856-F1-EN-MAIN.PDF).
2. http://www.fsb.org/wp-content/uploads/g20_leaders_declaration_pittsburgh_2009.pdf
On the one hand, there is greater “risk absorbed” by the defaulting entity by means of, but not exclusively, a higher initial margin required. There is also, at least from a theoretical point of view, a more thorough and transparent process in managing risk through, for example, an appropriate policy for requiring margins and collateral.
Additional advantages can also be found in the generalisation, on the one hand, of multilateral clearing and, on the other hand, the mutualisation of risk. This is related to the fact that, in a CCP, the risk generated by a participant is also, to a certain extent, assumed by non-defaulting entities through, for example, participation in a default fund managed by the CCP.
The growing role therefore played by CCPs leads to inevitable questioning of whether these entities can be considered “safe” and also to an analysis of the consequences for the financial system as a whole if such entities fail or cease operating.
In effect, whatever advantages there may be in recommending, or rather demanding, centralised clearing of OTC derivatives through CCPs would immediately be cancelled if such entities do not perform appropriate risk management.
A greater use of the services provided by CCPs automatically implies a greater risk of exposure of its members, mostly credit institutions, with regard to the CCP.
Last, but not least, centralised clearing is also a concentration of risk in one single entity, in this case the CCP itself, and therefore regulators need to consider any possible crisis or failure of said entities.
3 Resolution of CCPs
Towards a resolution framework
As indicated above, resolution mechanisms and frameworks were initially principally aimed at credit institutions. The subsequent extension to resolution frameworks for financial market infrastructures makes it inevitable that any regulation or, as the case may be, guides, standards or recommendations applicable to credit institutions will be taken as references.
However, CCPs are not banks, nor do they act as such, and, in particular, the role of available capital is very different between banks and CCPs. Table 1 reflects the main differences between CCPs and credit institutions relating to the business model and the management and coverage of the risk faced by both types of entity.
### Main differences between CCPs and credit institutions
| Aspect | CCPs | Credit institutions |
|---------------------------------------------|----------------------------------------------------------------------|-------------------------------------------------------------------------------------|
| Business model | Reducing counterparty risk of market participants | Different activities (commercial banking, investment banking, proprietary trading, etc.) subject to different types of risk |
| Risk management | Mutualisation of risk between participants without own trading | Diversity of risk models (standard or internal). Mostly individualised management |
| Coverage of credit and market risk | Full assumption of the probability of default of a member and coverage close to 100% | Partial coverage of risk that is limited depending on the activities performed |
| Collateral | Legal requirement of high-quality and highly-liquid collateral/margins | Margins adapted to the customer profile |
| Lines of defence | Initial margins, daily adjustments and default fund | Different prudential measures |
| Default management | Immediate through application of lines of defence | Drawn-out and unique procedure |
Source: CNMV.
One of the key reasons behind the existence of a CCP is the provision of protection against default (or bankruptcy) of one of its members. This protection is not based on the potential losses arising being absorbed against the CCP’s own capital, but is based on the CCP providing the resources for effective risk management.
In addition, the CCP will aim to mutualise the losses caused by the default of a member in a safe and effective manner. From this point of view, CCPs may be considered risk “distributors” rather than risk “concentrators”.
Two aspects that must be taken into account in appropriate risk management by a CCP are, firstly, the role played by capital and, secondly, the optimal allocation of losses.
In principle, it should be accepted that the capital of the CCP plays an essential role in absorbing the losses of a defaulting member or participant. As indicated above, CCPs are not banks and the use of their capital is consequently not the same; however, it still plays an important role. It is therefore necessary to consider the application of incentives to facilitate appropriate risk management by a CCP by means of, for example, applying losses against the capital of the CCP itself (referred to as “skin in the game”).
With regard to the optimal allocation of losses, it will be necessary to simultaneously focus on two facts.
Firstly, it is necessary to consider the quantity – and also the quality – of the financial resources that the CCP should have in order to appropriately manage a member’s default. At the same time, and by means of conducting a stress test, the extent
to which the CCP could handle an extreme event caused by the default of one or several members needs to be assessed.
Secondly, the origin of the financial resources necessary to address that extreme event would need to be determined. A non-exhaustive list of these fund providers might include the defaulting members themselves (through deposited margins and collateral), the other clearing members (through mutualisation of losses), the owners of the CCP (through the use of capital or “skin in the game”) and, finally, other providers (for example, insurance contracts).
**Towards a resolution plan**
As a direct consequence of regulatory initiatives – some of the most significant of which will be described below – the volume of trading cleared through CCPs has increased significantly and the trend is for this to continue in the future.\(^3\) In addition, the use of CCPs is no longer optional and is now mandatory in the most important countries, in particular with regard to trading of standardised OTC derivatives.
The resolution of a CCP cannot be separated from the fact that many of these entities have changed from being simple utilities that provide a service to their members to being entities (through a process of de-mutualisation) that aim to benefit their shareholders by increasing their revenue and market share.
Faced with a potential extremely serious situation in the functioning of the CCP, two questions must be analysed.
Firstly, it is necessary to estimate whether the level of available financial resources in the CCP is sufficient to minimise the threat (and its consequences) of failure. This question can be answered by the comments in the above section relating both to the possible use of the CCP’s capital and the use of alternative financial resources.
Secondly, it is necessary to consider what should be done – and what tools should be used – in the event of the certain threat of failure of a CCP and, consequently, how to ensure that any failure is managed so as to reduce the possibility of contagion to other market participants or, in the event that the CCP does fail, to limit its effects and ensure the orderly continuity of its critical functions within the structure of the financial markets.
In this critical stage, having resolution plans adapted to the specific nature of each CCP would help to mitigate (but not to eliminate) the risks associated with an
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\(^3\) [http://www.bis.org/cpmi/publ/dt152.pdf](http://www.bis.org/cpmi/publ/dt152.pdf). The best estimate of the cleared volume of OTC derivatives (and other financial instruments) can be found in the statistics on payment, clearing and settlement systems published by the CPMI on the member countries of this BIS committee: *Statistics on payment, clearing and settlement systems in the CPMI countries*. September 2016. Although aggregate data is not presented, a review of the historical series corresponding to the main CCPs operating, for example, in the United Kingdom and the United States, shows the upward trend of the last five years in the volume cleared by CCPs.
extreme situation in these entities, contributing, where necessary, to an orderly resolution, and, as the case may be, winding-up, of the CCP.
The considerations that, at least from a theoretical point of view, should help to shape the content of a CCP resolution plan are indicated below:
- A standardised, public and mandatory stress test should be used to measure the resources necessary for full absorption of losses.
- A potential full absorption of losses should be fully backed up by the CCP’s available financial resources.
- In the event of a serious default, the CCP should be recapitalised before it is immediately wound-up, in order to facilitate the continuity of its critical functions.
- The CCP should therefore have, by means of a default fund, adequate resources for recapitalisation in order to allow business continuity.
- Ideally, the CCP should also contribute to the default fund with a maximum share of 10% of the fund’s total or, alternatively, with a contribution similar to the highest contribution from an individual clearing member.
- Once the above minimum has been covered, the CCP should have sufficient flexibility to distribute and allocate the available financial resources.
The role that regulators must play in designing the resolution plans and, in particular, the activation of the resolution process is crucial. The following sections of this article describe the responses of regulators to the challenge created by CCPs with enhanced functions within the financial system, but also with regard to their systemic potential. Particularly noteworthy is the role being played by the Financial Stability Board as the coordinator of the most important global regulatory initiatives.
Notwithstanding the above, it is important to point out that, at any event, it is the supervisory authority of the CCP that must determine the time when said CCP is no longer viable and enters into resolution. As from that moment, the resolution authority must manage the necessary actions aimed at, among other measures, recapitalising the CCP once all the losses have been allocated and once continuity of the critical functions performed by the entity can be guaranteed.
4 The response of global regulators to CCPs with enhanced functions
As a result of the requirement of the G20 leaders to introduce clearing obligations, those institutions which may be considered global regulators have been offering over recent years guides, recommendations and standards that contribute towards
the appropriate governance of CCPs and which strengthen, where appropriate, their defence (and resilience) with regard to possible extreme crisis situations.
Four initiatives adopted by global regulators are highlighted below. For the purpose of this article, and with respect to their relationship with CCPs, the global regulators would be the Financial Stability Board, the Basel Committee on Banking Supervision (BCBS), the Committee on Payments and Market Infrastructures (CPMI) and the International Organisation of Securities Commissions (IOSCO). The initiatives are as follows:
Firstly, it is important to highlight the standards relating to appropriate and thorough risk management in the Principles for Financial Market Infrastructures drawn up by CPMI-IOSCO in 2012.\(^4\) These principles, much stricter than those they replaced, are currently being assessed with regard to their consistent application in different jurisdictions.
Secondly, we should mention the 2014 guidelines on recovery\(^5\) that replace the CPMI-IOSCO Principles. These guidelines take into consideration the types of tools that CCPs (and other market infrastructures) may use in order to address extreme financial problems which may threaten the existence of the CCP. They also establish links between recovery and resolution.
In parallel with the above exercise, it is also important to highlight that the FSB has adopted a general framework for the key attributes of effective resolution regimes for financial institutions.\(^6\) It should be pointed out, however, that the FSB document not only covers CCPs but also securities depositories, security settlement systems and trade repositories.
Thirdly, it is important to highlight the specific treatment that credit institutions should have with regard to their exposure to CCPs. In this regard, the BCBS has recently revised the Basel II capital framework – which applied a zero capital charge to these exposures – in order to take into account the growing role (and parallel increase in risk) played by CCPs. One of the main points of this revised framework is the preferential treatment – in terms of additional capital requirements – given to exposures to CCPs deemed as qualifying, i.e., those that are supervised in accordance with the CPMI-IOSCO Principles. The recent European Commission proposal of 23 November 2016 to amend rules on capital requirements adapts the framework set out by the BCBS in relation to the treatment of counterparty risk and, more specifically, the exposure of credit institutions with regard to CCPs, to European law.\(^7\)
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\(^4\) https://www.bis.org/cpmi/publ/d101a.pdf.
\(^5\) https://www.bis.org/cpmi/publ/d121.pdf.
\(^6\) http://www.financialstabilityboard.org/wp-content/uploads/r_141015.pdf.
\(^7\) https://www.bis.org/publ/bcbs282.pdf; http://ec.europa.eu/finance/bank/regcapital/crr-crd-review/index_en.htm#161123.
Finally, the fourth point to highlight is the increase in the transparency developed in two regimes of information disclosure prepared jointly by CPMI and IOSCO\(^8\) and which require CCPs to provide disclosures on such matters as the size of their credit risk, assessment of liquidity risk, margins and collateral required and applied and business, custody and investment risks. It should be pointed out that the required transparency is particularly relevant for indirect participants in the CCP as these do not contribute towards the CCP’s governance and management.
5 The FSB Workplan on CCPs
In 2009, the G20 leaders agreed that all OTC traded standardised derivative contracts should be cleared centrally through CCPs. The above statement, despite recognising the benefits involved in using the services of CCPs, implies that these should be submitted to an enhanced regulatory and supervisory framework that favours their resilience and promotes the adoption of recovery and resolution plans.
The role that these enhanced CCPs will play in the financial system also implies that CCPs must be resilient both with regard to risk management standards (including conducting periodic stress tests) and with regard to their financial resources (margins required, default funds and available liquidity). This will allow CCPs, on the one hand, to understand and mitigate their risks and, on the other hand, to face any defaults of their members and extreme situations.
CCPs must have in place recovery plans that allow them to allocate any losses in an orderly manner and, at the same time, to generate additional liquidity so as to safeguard their own viability, without compromising the stability of their members or that of other financial institutions.
Finally, CCPs must have in place resolution plans that should ideally be activated once their recovery strategies have been exhausted.
In April 2015, the BCBS, CPMI, IOSCO and the FSB\(^9\) agreed to draw up a Workplan that would allow them to coordinate their respective tasks and responsibilities in the development of standards and recommendations on systemic CCPs in the following areas:
- Resilience and recovery – including assessing loss absorption capacity, liquidity and stress tests – a task assigned to CPMI-IOSCO.
- Resolvability, a task assigned to a working group (Cross-border Crisis Management Group for Financial Market Infrastructures, \(fmi\)CBCM) belonging to the Resolution Steering Group (ReSG) of the FSB.
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\(^8\) https://www.bis.org/cpmi/publ/d125.pdf.
\(^9\) https://www.bis.org/cpmi/publ/d134b.pdf.
– Interdependencies between CCPs and their clearing members, a task assigned to a study group in which, in addition to the FSB, the BCBS, CPMI and IOSCO participate.
The August 2016 Progress Report\textsuperscript{10} sets out the progress made, which can be described as follows:
– On 16 August, CPMI-IOSCO published a report on the assessment of selected CCPs’ implementation of the principles for financial market infrastructures with respect to their financial risk management and recovery practices. With regard to these practices, the report reiterates that a CCP’s recovery plan should include tools that address, among other things, the allocation of losses not caused by participant default, the management of liquidity shortfalls following participant default and the speed of replenishment of depleted financial resources. The final CPMI-IOSCO report on resilience and recovery is expected to be ready in the first half of 2017.
– According to the FSB Workplan, the board should consider the need for standards or guidelines for CCPs on resolution plans, strategies and tools and, as the case may be, to develop them, as well as propose mechanisms to strengthen inter-territorial coordination. On 16 August, the \textit{fmi/CBCM} published a discussion note for public consultation which contains guidelines for the development of CCP resolution strategies and plans. The most significant aspects of these guidelines are as follows:
• The timing of a CCP’s entry into resolution.
• The adequacy of a CCP’s financial resources at the time of resolution.
• The choice of appropriate tools so that a CCP may return to a matched book and the powers that the resolution authority should have.
• The order of allocation of losses in the resolution process.
• Arrangements of cross-border co-operation of resolution authorities and the establishment of crisis management colleges or groups.
The FSB guidelines, revised following the public consultation, will be submitted again for public consultation with the intention of presenting the definitive document at the G20 summit at the start of July.
– In August, the working group coordinated by the FSB launched a data collection exercise from 20 CCPs that aims to identify and quantify the interdependencies between CCPs and their direct members, indirect members, investment counterparties, liquidity providers and other financial institutions. The group aims to publish the analysis of these interdependencies in the first quarter of 2017.
\textsuperscript{10} http://www.fsb.org/2016/08/progress-report-on-the-ccp-workplan-2/.
6 European response to CCP resolution
CCP regulation in the European Union: the EMIR Regulation
CCPs are regulated in the European Union by Regulation (EU) No. 648/2012 of the European Parliament and of the Council, of 4 July 2012, on OTC derivatives, central counterparties and trade repositories (European Market Infrastructure Regulation, EMIR).\(^{11}\)
The European Regulation sets out, among other aspects, the procedures for authorisation and supervision of CCPs, establishing, for example, a permanent and initial capital of 7.5 million euros and indicating that its capital, including retained earnings and reserves, shall at all times be sufficient to ensure an orderly winding-down or restructuring of the activities over an appropriate time span and an adequate protection of the CCP against credit, counterparty, market, operational, legal and business risks.
The EMIR Regulation also set out the requirements to be met by the collateral used in transactions cleared on CCPs, the creation of a fund to cover any defaults, the management of liquidity risk and the policy governing investments performed by the CCP.
However, the EMIR does not enter into questions relating to the application of a CCP resolution regime and its articles make no reference to the preparation of recovery and resolution plans.
Finally, it should be indicated that the revision of the EMIR to be carried out by the European Commission in the first quarter of 2017 is likely to strengthen the regime for the capital of CCPs, with an increase in the figure of the initial capital, the amounts allocated for possible insolvency processes (skin in the game) and the regime for collateral.
European Commission legislative proposal on CCP resolution
As from 2010, the European Commission has been assessing whether to extend the bank recovery and resolution regime to other non-bank financial institutions, for example financial market infrastructures. The Commission’s work programme for 2015 already identified CCPs as a sector requiring a harmonised recovery and resolution framework.
In its work programme, the Commission recognised that national insolvency procedures may not be effective for managing the default of a market infrastructure, in particular large infrastructures. When the default takes place and the critical functions of the infrastructure are not maintained, there is a risk that the situation may extend to other areas of the financial sector and the economy as a whole, which would force governments to use public funds to guarantee financial stability.
\(^{11}\) http://eur-lex.europa.eu/legal-content/ES/TXT/PDF/?uri=CELEX:32012R0648&from=EN.
In the Commission’s opinion – and for the specific case of CCPs – it was necessary to develop a regulation requiring the implementation of measures to avoid bailouts by the taxpayer and to prevent the CCP’s customers being affected to a large extent. In addition, it indicated that authorities should have sufficient powers to resolve extreme situations in which a CCP is no longer considered viable.
Although the Commission’s legislative proposal was expected to be ready at the end of 2015, it was delayed in order to allow it to be consistent, as far as possible, with the guidelines and recommendations resulting from the FSB Workplan referred to in the previous section. The legislative initiative was eventually presented on 28 November 2016, in the form of a Proposal for a Regulation of the European Parliament and of the Council, whose main features and lines of action are as follows:
– In general, it follows the standards, principles and recommendations of international organisations, in particular, those coordinated by the FSB.
– Although the provisions of the proposed regulation generally follow the aspects established in the 2014 Bank Recovery and Resolution Directive, they take into account the specific features of the business model of CCPs.
– The Member States must designate an authority responsible for any resolution of a CCP.
– CCPs must prepare recovery plans that include scenarios of default by clearing members of the CCP, as well as the materialisation of other risks and losses to which the CCP is exposed, such as fraud or cyber-attacks. The recovery plans must be reviewed by the CCP supervisor.
– The CCP resolution authorities must prepare resolution plans that set out the manner in which CCPs would be restructured and how their essential functions would be maintained.
– CCP supervisory authorities would have the power of early intervention, helping rectify financial difficulties as soon as they arise. CCP supervisors are granted powers to intervene in the CCP’s operations when its viability is threatened, but before it becomes no longer viable or its behaviour has adverse effects on general financial stability. Supervisors may also require CCPs to undertake specific actions in the framework of their restructuring plan or to modify their business strategy or legal or operating structure.
– In line with the approach of the FSB, the CCP resolution process will be initiated when a CCP is no longer viable, or is likely to become so, when there are no private-sector alternatives for it to become viable and when its failure may endanger the public interest and financial stability.
– The main resolution tools set out in the proposal include the following:
• Sale of all or part of the business to another entity.
• The creation of a bridge CCP to which the essential functions, once identified and separated from the residual CCP, would be transferred. This bridge CCP may ultimately be sold to another entity. The residual part of the CCP with non-essential functions would be wound up under a normal insolvency procedure.
• Allocation of positions, i.e., a partial or full tear-up of contracts.
• Allocation of losses and cash calls to cover the CCP’s losses, to re-establish its capacity to comply with its payment obligations, to recapitalise the CCP and to replace its financial resources.
• Write-down and conversion of capital and debt instruments or other unsecured liabilities with the aim of absorbing losses and recapitalising the CCP.
– It establishes an enhanced cooperation regime between the resolution authorities of Member States, given the cross-border nature of the business of numerous CCPs. In line with the above, resolution colleges should be established for each CCP, involving the pertinent authorities from the territory of the European Union.
– In addition to the above, ESMA should create a resolution committee comprising the resolution authorities of the Member States, with the participation of the supervision and resolution authorities of credit institutions that are clearing members of the CCPs as observers.
**Observations on the European Commission proposal for a regulation on the recovery and resolution of CCPs**
Below are a series of observations based on the provisions contained in the European Commission proposal for a regulation:
– It is reasonable to assume that the provisions adopted in the future regulation will be, as far as possible and with the necessary exceptions, similar to those set out in the Bank Recovery and Resolution Directive.
– It also seems reasonable to assume that any resolution of a CCP in an EU territory may be addressed through a college of resolution authorities, which may be established in accordance with the lines set out for colleges of supervisors established by the EMIR Regulation.
– The fact that the legal status of CCPs in the European Union is not harmonised – some CCPs have a bank licence and, therefore, access to “central-bank money”, while others do not have that licence – may lead to competitive disadvantages that should be addressed in the regulation or its implementing measures.
The possibility of a recapitalisation of a CCP with State funds should be considered an extreme measure and subject to the systemic importance of the CCP in question.
7 Regime applicable in Spain
The non-existence of specific legislation in Spain on CCP recovery and resolution is not an obstacle so that, in the event that they enter into a stage of default or are no longer viable, legal mechanisms may be available for action and intervention by the authorities.
The general Spanish regime on insolvency, materialised in the Insolvency Act of 2003, recognises certain specific features in the application of the general insolvency regime to financial institutions and market infrastructures, including CCPs.
Some of the particular features recognised in the legislation are as follows:
– Designation by the CNMV, in its capacity as supervisor of CCPs in Spain, of receivers in the legal procedure.
– The application of specific securities market legislation – separation of guarantees in the event of insolvency, purpose of the transactions and application of the regime on margins and collateral – which prevails over the general insolvency regime.
In short, although there is no specific legal regime for the resolution of CCPs, there are legal mechanisms and intervention tools which would allow authorities to address the risks resulting from the default of an entity of this type and to mitigate the risk that this may cause to financial stability.
8 Conclusions
The ultimate aim of a CCP resolution mechanism (equally applicable to credit institutions) is to mitigate the consequences that the default of an entity may have on the stability of the financial system, as well as to avoid taxpayers’ money needing to be ultimately used in order to cover the damage caused.
Activation of the resolution mechanism for an entity, once the competent supervisory authority has deemed that it is no longer viable, must be adopted by the designated resolution authority, which should immediately apply the mechanisms and tools set out in the resolution plan.
To the extent that it is the point of no return or of non-viability that determines the intervention of the resolution authority and the consequent activation of the resolution plans, this should be clearly defined in the legislative framework for resolution.
In the event of a default of a CCP, the resolution authority should ensure the continuity of its critical functions in such a way that, among other aspects, allows evaluation of the level of use of the recovery mechanisms – for example, the resources dedicated to loss absorption – and facilitates the adoption and application of the measures set out in the resolution plan.
With regard to the above, it will also be necessary to assess whether to establish within the legislative framework the implementation of arrangements to facilitate emergency lines of liquidity for CCPs.
Finally, bearing in mind the regulatory initiatives relating to CCP resolution that are being implemented in different jurisdictions, it is necessary to bear in mind the global nature of derivatives markets and the consequent global nature of the business of the most important CCPs. It is therefore highly recommendable for discussions on resolution to be held in international forums which group together regulators and authorities and for the final result to include a high level of convergence in the resolution practices, mechanisms and plans that may be adopted.
With regard to the above, the recent legislative proposal of the European Commission on CCP recovery and resolution, which, in addition to following the line of EU regulation on bank recovery and resolution, is consistent with global initiatives, particularly those carried out by the FSB in this matter, should be welcomed.
Finally, it is important to highlight that the fact that there are already tools in place in Spain that make it possible to address any failure of a CCP does not invalidate the need to have a specific European regulation on CCP resolution covering this issue as a whole, and not tangentially, and which, in addition, takes into account the cross-border nature of the business of CCPs.
III Legislative annex
New legislation since publication of the CNMV bulletin for the first quarter of 2016 is as follows:
**Spanish legislation**
- **CNMV Circular 4/2016, of 29 June**, on the functions of depositaries of collective investment schemes and entities regulated by Law 22/2014, of 12 November, regulating venture capital entities, other closed-ended collective investment schemes and their management companies, and amending Law 35/2003, of 4 November, on Collective Investment Schemes (CIS).
This Circular aims to complete the regulation of CIS depositaries by integrating certain technical aspects.
To this end, Section 1 of the Circular establishes the scope, which covers both CIS depositaries and the depositaries of entities regulated by Law 22/2014, of 12 November.
Section 2 regulates the custody and administration and cash control functions, as well as specific aspects and exceptions in the performance of these functions, applicable to the depository of entities regulated under Law 22/2014, of 12 November, and of hedge funds.
Section 3 specifies technical aspects relating to the general regime applicable to the supervision and oversight function of the depository, once again taking into account the features specific to the performance of this function in entities regulated under Law 22/2014, of 12 November. In addition, with the aim of simplifying and unifying the legislation on depositaries, this Section includes the requirements and model forms that were included in CNMV Circular 3/2009, of 25 March.
Finally, it determines the procedure for calculating the minimum liquidity ratio of 1% of total assets that must be held by CIS, as well as the qualifying categories of liquid assets.
This Circular entered into force on 13 October 2016.
It amends:
- Rule 7 and replaces Annex 8 of CNMV Circular 4/2008, of 11 September, on the content of the quarterly, half-yearly and annual reports of collective investment schemes and their position statements.
It adds:
- Rule 6 bis to CNMV Circular 6/2008, of 26 November, on determining net asset value and operational aspects of collective investment schemes.
It repeals:
- CNMV Circular 3/2009, of 25 March, on the content of the half-yearly report on compliance with the supervision and oversight function of the depositaries of collective investment schemes.
- CNMV Circular 5/2016, of 27 July, which amends Circular 9/2008, of 10 December, on accounting standards, confidential and public financial statements and annual accounts of governing companies of official secondary markets, excluding the Bank of Spain, of the governing bodies of multilateral trading facilities, of the Sociedad de Sistemas, of central counterparties, of the Sociedad de Bolsas, of companies which hold all the shares of governing bodies of official secondary markets and multilateral trading facilities, and of other clearing and settlement systems of markets which are created pursuant to the provisions of the Securities Market Act.
This Circular aims to adapt accounting and financial reporting standards in Spain to the criteria established by the European Union, which has defined new obligations for national market infrastructures with the aim of making post-trade services more efficient and standardised.
The reform of the Spanish securities clearing, settlement and registry system, which has made it possible to achieve greater competitiveness and to bring Spanish post-trade activities in line with the structures of other European countries, introduces a series of new aspects that directly affect operations and, therefore, the accounting of transactions by entities subject to compliance with this Circular. The new aspects include the following:
i) Mandatory involvement of a central counterparty in multilateral transactions on official secondary markets and multilateral trading facilities for the securities determined by regulations.
ii) The replacement of the system of guarantees managed by the central securities depository by a margin system managed by the central counterparty.
iii) The management of settlement fails when a central counterparty is involved.
The main aim of the amendment of this Circular is thus to adapt the financial accounting and reporting framework for national market infrastructures to certain requirements resulting from European legislation and to the new structure defined by the reform of post-trade services. Based on the above, this Circular brings together the amendments set out below:
i) The specific accounting criteria are adapted to the reality of the new securities clearing, settlement and registry system.
ii) It establishes, for the first time, a model quarterly form for the confidential statement of minimum requirements of own funds for central
counterparties and for central securities depositories, in compliance with the EMIR and CSDR regulations, respectively.
Furthermore, for the purposes of exercising the CNMV’s supervisory functions, in accordance with the provisions of Article 233 of the recast text of the Securities Market Act, with regard to governing companies of official secondary markets and multilateral trading facilities maintaining sufficient financial resources to facilitate their orderly functioning, bearing in mind the nature and scope of the operations performed in those trading venues and the type and level of risk to which they are exposed, the Circular incorporates a new own funds statement, which will be drawn up following best international practices, without this requiring the maintenance of a certain level of own funds.
iii) Some models of financial statements are updated in order to include a greater breakdown of components or to adapt them to the new operations that entities will perform. Noteworthy in this regard is the inclusion of a new heading in the profit and loss account entitled “Direct variable costs of the transactions” placed below, and subtracted from, the revenue headings, such that a “net revenue” subtitle is obtained that better reflects the trading of market infrastructures. This heading will include the directly incremental costs attributable to the provision of the service, such as costs that depend on the volumes of trading or settlement or those from revenue sharing arrangements.
iv) The administrative burden of the formalities of certification and filing of financial statements with the CNMV is simplified through the amendment of aspects relating to the validation of the information. In addition, the Circular specifies that public financial statements must be approved by the company’s board of directors.
This Circular entered into force on 1 October 2016.
The Circular consists of one single rule amending CNMV Circular 9/2008, of 9 December, and one final provision.
– Bank of Spain Circular 6/2016, of 30 June, on credit institutions and financial credit establishments, determining the content and format of the “Financial Reporting-SME” document and specifying the risk rating methodology provided for in Law 5/2015, of 27 April, on promoting business financing.
One of the reasons making it difficult to promote and encourage the financing of small and medium-sized enterprises (hereinafter SMEs), an objective established in Law 5/2015, of 27 April, on promoting business financing, is the information asymmetry faced by credit institutions when they grant financing to SMEs, which makes the necessary work of assessing their risk more complicated and expensive.
With the aim of making the information comparable and reliable, Law 5/2015, of 27 April, entrusts the Bank of Spain both to specify the content and the format of the aforementioned document and to draw up a standardised
methodology for assessing the credit quality of SMEs and freelance workers in order to obtain a risk rating.
This Circular entered into force on 11 October 2016.
Particularly relevant non-legislative developments since publication of the CNMV bulletin for the first quarter of 2016 are as follows:
– Regulation Amendment of the Sociedad de Gestión de los Sistemas de Registro, Compensación y Liquidación de Valores.
On 18 August, the Announcements Section of the BOE (Official State Gazette) published the amendment to the Regulation of the Sociedad de Gestión de los Sistemas de Registro, Compensación y Liquidación de Valores, S.A.U., approved on 3 May 2016 and included in the CNMV Bulletin of the first quarter, which includes some amendments to the articles relating to the special and optional procedure of financial intermediaries.
European legislation
– Commission Delegated Regulation (EU) 2016/860, of 4 February 2016, specifying further the circumstances where exclusion from the application of write-down or conversion powers is necessary under Article 44(3) of Directive 2014/59/EU of the European Parliament and of the Council, establishing a framework for the recovery and resolution of credit institutions and investment firms.
This Delegated Regulation states that the general principle governing resolution is that shareholders and creditors should absorb losses in resolution in accordance with the order of priority of their claims under normal insolvency proceedings, and that creditors of the same class should be treated in an equitable manner. In accordance with Directive 2014/59/EU, liabilities that are not expressly excluded under Article 44(2) are bail-inable. However, resolution authorities have the power to fully or partially exclude certain liabilities from bail-in and pass the losses onto other creditors or, where necessary, to the resolution funds. The decision to use this power should be taken to achieve the objectives contained in Article 31(2) of the Directive.
This Regulation recognises certain flexibility for the authorities and provides them with a framework when exercising their power to exclude a liability or class of liabilities from bail-in. However, it is limited by the fact that losses which are not fully absorbed by creditors may be covered by the resolution financing arrangement only when shareholders and creditors have contributed an amount equal to at least 8% of the institution’s total liabilities, including own funds.
Assessment of the exclusion may be based on the risk of contagion: direct, for instance where the direct losses to be suffered by counterparts of the institution
under resolution lead to default or severe solvency issues; or indirect, for instance when, due to the loss of confidence of certain market participants, this may lead to the drying up of supply, higher margin requirements, fire sales of assets by institutions with liquidity shortfalls, etc. Consequently, the Regulation establishes that for the resolution authority to exclude a liability or a class of liabilities from bail-in, the value preserved would need to be sufficient to (potentially) improve the situation of non-excluded creditors.
– **Commission Delegated Regulation (EU) 2016/861, of 18 February 2016**, correcting Commission Delegated Regulation (EU) No. 528/2014 supplementing Regulation (EU) No. 575/2013 of the European Parliament and of the Council, with regard to regulatory technical standards for the non-delta risk of options in the standardised market risk approach and correcting Commission Delegated Regulation (EU) No. 604/2014, supplementing Directive 2013/36/EU of the European Parliament and of the Council, with regard to regulatory technical standards with respect to qualitative and appropriate quantitative criteria to identify categories of staff whose professional activities have a material impact on an institution’s risk profile.
This Regulation entered into force on the day following its publication in the *Official Journal of the European Union*.
– **Commission Delegated Regulation (EU) 2016/909, of 1 March 2016**, supplementing Regulation (EU) No. 596/2014 of the European Parliament and of the Council, with regard to regulatory technical standards for the content of notifications to be submitted to competent authorities and the compilation, publication and maintenance of the list of notifications.
This Regulation refers to the content of the notifications that must be made by trading venues with regard to the financial instruments traded thereon.
This Regulation applies from 3 July 2016.
– **Commission Delegated Regulation (EU) 2016/822, of 21 April 2016**, amending Delegated Regulation (EU) No. 153/2013 as regards the time horizons for the liquidation period to be considered for different classes of financial instruments. It is necessary to keep those regulatory technical standards up-to-date with relevant regulatory developments.
By approving this Regulation, the Commission aims to update the requirements to be met by central counterparties as regards time horizons for the liquidation period for financial products other than over-the-counter derivatives where certain conditions are met. These rules better protect clients and mitigate systemic risks.
– **Commission Implementing Regulation (EU) 2016/959, of 17 May 2016**, laying down implementing technical standards for market soundings with regard to the systems and notification templates to be used by disclosing market participants and the format of the records in accordance with Regulation (EU) No. 596/2014 of the European Parliament and of the Council.
Regulation (EU) No. 596/2014 on market abuse authorises the Commission to adopt delegated acts. In use of those powers, the European Commission has enacted, *inter alia*, this Regulation, which entered into force on the day following its publication in the *Official Journal of the European Union* (published on 17 June 2016).
– **Commission Implementing Regulation (EU) 2016/818, of 17 May 2016**, amending Implementing Regulation (EU) No. 1030/2014, laying down implementing technical standards with regard to the uniform formats and date for the disclosure of the values used to identify global systemically important institutions according to Regulation (EU) No. 575/2013 of the European Parliament and of the Council.
The main aim of this Regulation is to promote global consistency in disclosure and transparency in the process of identifying global systemically important institutions.
– **Commission Delegated Regulation (EU) 2016/1608, of 17 May 2016**, amending Delegated Regulation (EU) No. 1222/2014, with regard to regulatory technical standards for the specification of the methodology for the identification of global systemically important institutions and for the definition of subcategories of global systemically important institutions.
This Regulation aligns the European criteria for identifying global systemically important institutions with the recent contributions from the Basel Committee on Banking Supervision in this regard.
The text itself indicates that further updates are expected in the future as it becomes necessary to complete the consistency of the European system with that of the Basel Committee.
– **Commission Delegated Regulation (EU) 2016/1437, of 19 May 2016**, supplementing Directive 2004/109/EC of the European Parliament and of the Council, with regard to regulatory technical standards on access to regulated information at an EU level.
In order to ensure fast access to regulated information on a non-discriminatory basis and make that information available to end users, the European Securities and Markets Authority (ESMA) has an obligation to develop and operate a European Electronic Access Point (EEAP), which is regulated and implemented through this Regulation.
The Regulation entered into force on the day of its publication, with the exception of Article 9 (common list and classification of regulated information) and Article 7 (on unique identifiers), whose entry into force is delayed until 1 January 2017.
– **Commission Delegated Regulation (EU) 2016/1401, of 23 May 2016**, supplementing Directive 2014/59/EU of the European Parliament and of the Council, establishing a framework for the recovery and resolution of credit institutions
and investment firms with regard to regulatory technical standards for methodologies and principles on the valuation of liabilities arising from derivatives.
This Regulation supplements Directive 2014/59/EU of the European Parliament and of the Council, establishing a framework for the recovery and resolution of credit institutions and investment firms with regard to regulatory technical standards for methodologies and principles on the valuation of liabilities arising from derivatives.
– Commission Delegated Regulation (EU) 2016/1450, of 23 May 2016, supplementing Directive 2014/59/EU of the European Parliament and of the Council, with regard to regulatory technical standards specifying the criteria relating to the methodology for setting the minimum requirement for own funds and eligible liabilities.
Directive 2014/59/EU provides that institutions should meet a minimum requirement for own funds and eligible liabilities to avoid institutions excessively relying on forms of funding excluded from bail-in. A failure to meet this minimum requirement would negatively impact institutions’ loss absorption and recapitalisation capacity and, ultimately, the overall effectiveness of resolution.
This Regulation establishes that the assessment of the necessary capacity to absorb losses should be closely linked to the institution’s current capital requirements, and the assessment of the necessary capacity to restore capital should be closely linked to likely capital requirements after the application of the resolution strategy, unless there are clear reasons why losses in resolution should be assessed differently from those in a going concern.
– Commission Implementing Regulation (EU) 2016/824, of 25 May 2016, laying down implementing technical standards with regard to the content and format of the description of the functioning of multilateral trading facilities and organised trading facilities and the notification to the European Securities and Markets Authority according to Directive 2014/65/EU of the European Parliament and of the Council, on markets in financial instruments.
Having regard to Directive 2014/65/EU of the European Parliament and of the Council, of 15 May 2014, on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (MiFID II), this Regulation implements the information that multilateral trading facilities (MTFs) and organised trading facilities (OTFs) must submit to the competent authorities with regard to their structure and organisation. This information should build upon the information an investment firm or market operator would be required to provide under MiFID II.
OTFs, as they have discretionary rules during the trading process, unlike MTFs, should provide additional information to the competent authorities. The Regulation is based on the draft implementing technical standards submitted by the European Securities Markets Authority, which are all unified in an Annex to be submitted to the competent State authorities.
In addition, the Regulation establishes that competent authorities shall notify authorisations approved for MTFs or OTFs.
– **Commission Implementing Regulation (EU) 2016/892, of 7 June 2016**, on the extension of the transitional periods related to own funds requirements for exposures to central counterparties set out in Regulation (EU) No. 575/2013 and Regulation (EU) No. 648/2012 of the European Parliament and of the Council.
This Regulation entered into force on the day following its publication in the *Official Journal of the European Union*.
– **Commission Delegated Regulation (EU) 2016/1712, of 7 June 2016**, supplementing Directive 2014/59/EU of the European Parliament and of the Council, establishing a framework for the recovery and resolution of credit institutions and investment firms with regard to regulatory technical standards specifying a minimum set of information on financial contracts that should be contained in the detailed records and the circumstances in which the requirement should be imposed.
In order to ensure that competent authorities and resolution authorities may easily access data on financial contracts, as defined in Directive 2014/59/EU, those authorities should require institutions or entities to maintain a minimum set of information on such contracts on an on-going basis. This Regulation establishes a minimum set of information on financial contracts to be maintained by institutions and entities.
– **Regulation (EU) 2016/1011 of the European Parliament and of the Council, of 8 June 2016**, on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No. 596/2014.
The subject matter of this Regulation is to introduce a common regulatory framework for benchmarks used in financial instruments and financial contracts or those used to measure the performance of investment funds in the European Union.
The Regulation thus applies to the provision of benchmarks, the contribution of input data to a benchmark and the use of a benchmark in the European Union as from 1 January 2018, with the exceptions expressly indicated in Article 59.
– **Regulation (EU) 2016/1014 of the European Parliament and of the Council, of 8 June 2016**, amending Regulation (EU) No. 575/2013 as regards exemptions for commodity dealers.
Regulation (EU) No. 575/2013 of the European Parliament and of the Council, exempts investment firms whose main business consists exclusively of the provision of investment services or activities in relation to the financial
instruments set out in points 5, 6, 7, 9 and 10 of Section C of Annex I to Directive 2004/39/EC of the European Parliament and of the Council, and to whom Council Directive 93/22/EEC did not apply on 31 December 2006 (“commodity dealers”) from the requirements for large exposures and from own funds requirements.
Regulation 2016/1014 establishes a new date until which the exemptions for the aforementioned entities shall apply, therefore amending Regulation (EU) 575/2013.
– **Commission Implementing Regulation (EU) 2016/911, of 9 June 2016**, laying down implementing technical standards with regard to the form and the content of the description of group financial support agreements in accordance with Directive 2014/59/EU of the European Parliament and of the Council, establishing a framework for the recovery and resolution of credit institutions and investment firms.
This Regulation aims to harmonise the system of group financial support arrangements through the disclosure mechanism, i.e., to set out in a regulation what information is to be provided by the entities subject to a group financial support arrangement and to establish the adoption of agreements based on effective trust and transparency, thus achieving appropriate and suitable group restructuring and transfer of funds, and establishing an arrangement format that is easily accessible to the public.
– **Commission Delegated Regulation (EU) 2016/1178, of 10 June 2016**, supplementing Regulation (EU) No. 648/2012 of the European Parliament and of the Council, with regard to regulatory technical standards on the clearing obligation.
The European Securities and Markets Authority (ESMA) has determined the classes of interest-rate for over-the-counter (OTC) derivatives that should be subject to the clearing obligation in accordance with the procedure set out in Regulation (EU) No. 648/2012. Different counterparties need different periods of time to put in place the necessary arrangements to clear the interest rate OTC derivatives subject to the clearing obligation. Consequently, counterparties are classified into categories (there are four categories) in which sufficiently similar counterparties become subject to the clearing obligation from the same date.
The Regulation sets out various rules relating to how Member States should determine the effective date of entry into force of the clearing obligation, depending on the category.
– **Commission Implementing Regulation (EU) 2016/962, of 16 June 2016**, laying down implementing technical standards with regard to the uniform formats, templates and definitions for the identification and transmission of information by competent authorities and resolution authorities to the European Banking Authority according to Directive 2014/59/EU of the European Parliament and of the Council.
This Regulation entered into force on the twentieth day following its publication in the *Official Journal of the European Union*.
– **Commission Implementing Regulation (EU) 2016/1066, of 17 June 2016**, laying down implementing technical standards with regard to procedures, standard forms and templates for the provision of information for the purpose of resolution plans for credit institutions and investment firms pursuant to Directive 2014/59/EU of the European Parliament and of the Council.
Resolution authorities have been conferred the task of drawing up resolution plans for credit institutions and investment firms in accordance with the requirements and procedure provided for in Directive 2014/59/EU and for that purpose they have been empowered to request the necessary information from institutions. The procedure and a minimum set of templates to request the necessary information should be designed in a way to enable the resolution authorities to collect that information in a consistent manner throughout the European Union. This Regulation establishes a minimum set of templates to collect the basic information on the entity that must be provided to the resolution authority such that the provision of information necessary to draw up and implement resolution plans shall be carried out following the established procedure and making use, where applicable, of the templates included in the text of the Regulation.
– **Regulation (EU) 2016/1033 of the European Parliament and of the Council, of 23 June 2016**, amending Regulation (EU) No. 600/2014 on markets in financial instruments, Regulation (EU) No. 596/2014 on market abuse and Regulation (EU) No. 909/2014 on improving securities settlement in the European Union and on central securities depositories.
This Regulation includes amendments and specifications to the provisions set out in the title given the complexity of the legal framework established by such provisions in order to ensure legal certainty and their correct application.
– **Council Directive (EU) 2016/1065, of 27 June 2016**, amending Directive 2006/112/EC as regards the treatment of vouchers.
This Directive amends EU legislation on Value Added Tax (VAT) in order to regularise the accounting treatment of VAT on vouchers depending on whether the voucher is classified as single-purpose or multi-purpose.
– **Commission Implementing Regulation (EU) 2016/1055, of 29 June 2016**, laying down implementing technical standards with regard to the technical means for appropriate public disclosure of inside information and for delaying the public disclosure of inside information in accordance with Regulation (EU) No. 596/2014 of the European Parliament and of the Council.
This Regulation entered into force on the day following its publication in the *Official Journal of the European Union*, and to be applied as from 3 July 2016.
– **Commission Implementing Regulation (EU) 2016/1702, of 18 August 2016**, amending Implementing Regulation (EU) No. 680/2014 as regards templates and instructions.
This Regulation provides further precision with regard to the templates and instructions contained in Implementing Regulation (EU) No. 680/2014, including definitions, for the purposes of clarifying the supervisory reporting of credit institutions and investment firms. It also updates said Regulation to correct typos.
This Regulation shall apply from 1 December 2016.
– **Commission Implementing Regulation (EU) 2016/1368, of 11 August 2016**, establishing a list of critical benchmarks used in financial markets pursuant to Regulation (EU) 2016/1011 of the European Parliament and of the Council.
This Regulation entered into force on the day following its publication in the *Official Journal of the European Union*.
IV Statistics annex
## 1 Markets
### 1.1 Equity
#### Share issues and public offerings
| NO. OF ISSUERS | 2013 | 2014 | 2015 | 2016 |
|----------------|------|------|------|------|
| Total | 39 | 49 | 52 | 19 |
| Capital increases | 39 | 47 | 47 | 19 |
| Primary offerings | 5 | 6 | 0 | 0 |
| Bonus issues | 16 | 19 | 17 | 8 |
| Of which, scrip dividend | 9 | 12 | 12 | 6 |
| Capital increases by conversion | 14 | 11 | 11 | 4 |
| For non-monetary consideration | 4 | 4 | 5 | 1 |
| With pre-emptive subscription rights | 6 | 5 | 12 | 3 |
| Without trading warrants | 15 | 16 | 11 | 4 |
| Secondary offerings | 0 | 4 | 6 | 0 |
| NO. OF ISSUES | 2013 | 2014 | 2015 | 2016 |
|---------------|------|------|------|------|
| Total | 145 | 147 | 115 | 24 |
| Capital increases | 145 | 140 | 103 | 24 |
| Primary offering | 5 | 8 | 0 | 0 |
| Bonus issues | 38 | 37 | 28 | 8 |
| Of which, scrip dividend | 20 | 28 | 22 | 6 |
| Capital increases by conversion | 50 | 43 | 31 | 6 |
| For non-monetary consideration | 17 | 9 | 7 | 1 |
| With pre-emptive subscription rights | 6 | 5 | 15 | 3 |
| Without trading warrants | 29 | 38 | 22 | 6 |
| Secondary offerings | 0 | 7 | 12 | 0 |
| CASH VALUE (million euro) | 2013 | 2014 | 2015 | 2016 |
|---------------------------|------|------|------|------|
| Total | 39,126.2 | 32,762.4 | 37,067.4 | 5,160.0 |
| Capital increases | 39,126.2 | 27,875.5 | 28,735.8 | 5,160.0 |
| Primary offerings | 1,742.8 | 2,951.5 | 0.0 | 0.0 |
| Bonus issues | 9,932.8 | 12,650.8 | 9,627.8 | 2,749.1 |
| Of which, scrip dividend | 9,869.4 | 12,573.8 | 9,627.8 | 2,749.1 |
| Capital increases by conversion | 7,478.8 | 3,757.9 | 2,162.5 | 1,015.7 |
| For non-monetary consideration | 231.6 | 2,814.5 | 367.0 | 0.1 |
| With pre-emptive subscription rights | 11,463.1 | 2,790.8 | 7,932.6 | 1,047.1 |
| Without trading warrants | 8,277.1 | 2,909.9 | 8,645.9 | 348.0 |
| Secondary offerings | 0.0 | 4,886.9 | 8,331.6 | 0.0 |
| NOMINAL VALUE (million euro) | 2013 | 2014 | 2015 | 2016 |
|------------------------------|------|------|------|------|
| Total | 20,135.9 | 4,768.5 | 4,253.4 | 568.9 |
| Capital increases | 20,135.9 | 4,472.6 | 3,153.3 | 568.9 |
| Primary offerings | 988.2 | 626.7 | 0.0 | 0.0 |
| Bonus issues | 1,458.6 | 1,258.2 | 946.6 | 270.3 |
| Of which, scrip dividend | 1,208.3 | 1,110.0 | 785.8 | 261.7 |
| Capital increases by conversion | 3,721.0 | 819.7 | 107.0 | 63.5 |
| For non-monetary consideration | 60.3 | 311.0 | 146.6 | 0.0 |
| With pre-emptive subscription rights | 8,021.7 | 1,185.7 | 1,190.7 | 132.4 |
| Without trading warrants | 5,886.0 | 271.3 | 762.3 | 102.8 |
| Secondary offerings | 0.0 | 295.9 | 1,100.2| 0.0 |
**Pro memoria: transactions MAB**
| | 2013 | 2014 | 2015 | 2016 |
|----------------|------|------|------|------|
| No. of issuers | 7 | 9 | 16 | 7 |
| No. of issues | 14 | 15 | 18 | 7 |
| Cash value (million euro) | 45.7 | 130.1 | 177.8 | 133.8 |
| Capital increases | 45.7 | 130.1 | 177.8 | 133.8 |
| Of which, primary offerings | 1.8 | 5.0 | 21.6 | 12.9 |
| Secondary offerings | 0.0 | 0.0 | 0.0 | 0.0 |
---
1 Registered transactions at the CNMV. Does not include data from MAB, ETF or Latibex.
2 Available data: October 2016.
3 Includes capital increases by conversion of bonds or debentures, by exercise of employee share options and by exercise of warrants.
4 Capital increases for non-monetary consideration are valued at market prices.
5 Unregistered transactions at the CNMV. Source: BME and CNMV.
### Companies listed
| | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|------------------------|------|------|------|---------|--------|---------|----------|---------|
| Total electronic market | 123 | 129 | 129 | 129 | 129 | 131 | 132 | 130 |
| Of which, without Nuevo Mercado | 123 | 129 | 129 | 129 | 129 | 131 | 132 | 130 |
| Of which, Nuevo Mercado | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Of which, foreign companies | 7 | 8 | 7 | 7 | 7 | 7 | 7 | 7 |
| Second Market | 7 | 6 | 5 | 5 | 5 | 5 | 5 | 5 |
| Madrid | 2 | 2 | 2 | 2 | 2 | 2 | 2 | 2 |
| Barcelona | 5 | 4 | 3 | 3 | 3 | 3 | 3 | 3 |
| Bilbao | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Valencia | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Open outcry ex SICAVs | 23 | 20 | 18 | 18 | 18 | 17 | 15 | 14 |
| Madrid | 11 | 9 | 8 | 8 | 7 | 6 | 6 | 5 |
| Barcelona | 13 | 12 | 10 | 10 | 10 | 9 | 9 | 8 |
| Bilbao | 7 | 7 | 6 | 6 | 5 | 5 | 5 | 5 |
| Valencia | 4 | 4 | 3 | 3 | 3 | 3 | 3 | 3 |
| Open outcry SICAVs | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| MAB | 3,066| 3,269| 3,429| 3,429 | 3,429 | 3,416 | 3,397 | 3,378 |
| Latibex | 26 | 26 | 21 | 21 | 20 | 20 | 20 | 20 |
1 Data at the end of period.
2 Available data: October 2016.
3 Without ETFs (Exchange Traded Funds).
4 Alternative Stock Market.
### Capitalisation
| | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|------------------------|-------|-------|-------|---------|--------|---------|----------|---------|
| Million euro | | | | | | | | |
| Total electronic market | 705,162.3 | 735,317.8 | 766,335.7 | 766,335.7 | 705,971.5 | 675,765.0 | 727,943.2 | 749,302.0 |
| Of which, without Nuevo Mercado | 705,162.3 | 735,317.8 | 766,335.7 | 766,335.7 | 705,971.5 | 675,765.0 | 727,943.2 | 749,302.0 |
| Of which, Nuevo Mercado | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Of which, foreign companies | 141,142.4 | 132,861.1 | 141,695.3 | 141,695.3 | 131,231.2 | 127,150.3 | 134,605.9 | 138,575.1 |
| Ibex 35 | 430,932.9 | 479,378.5 | 477,521.1 | 477,521.1 | 438,196.0 | 413,090.6 | 451,319.1 | 471,130.6 |
| Second Market | 67.5 | 30.2 | 20.6 | 20.6 | 78.1 | 116.4 | 114.8 | 114.2 |
| Madrid | 18.3 | 15.8 | 20.6 | 20.6 | 78.1 | 74.1 | 72.5 | 72.0 |
| Barcelona | 49.3 | 14.4 | 0.0 | 0.0 | 0.0 | 42.3 | 42.3 | 42.3 |
| Bilbao | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Valencia | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Open outcry ex SICAVs | 2,906.2 | 2,466.6 | 1,040.3 | 1,040.3 | 1,017.9 | 1,562.4 | 1,418.3 | 1,319.0 |
| Madrid | 519.4 | 376.5 | 296.9 | 296.9 | 326.7 | 380.4 | 340.6 | 282.4 |
| Barcelona | 2,749.5 | 2,356.5 | 887.7 | 887.7 | 3,581.0 | 1,409.1 | 1,263.6 | 1,165.1 |
| Bilbao | 183.6 | 162.5 | 943.3 | 943.3 | 216.2 | 67.9 | 58.0 | 48.7 |
| Valencia | 342.5 | 326.4 | 150.0 | 150.0 | 69.6 | 350.1 | 325.3 | 349.2 |
| Open outcry SICAVs | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| MAB | 32,171.2 | 34,306.0 | 37,258.5 | 37,258.5 | 36,008.2 | 35,480.3 | 38,154.1 | 38,404.9 |
| Latibex | 270,926.9 | 286,229.2 | 116,573.4 | 116,573.4 | 139,318.8 | 135,514.7 | 172,399.6 | 206,951.7 |
1 Data at the end of period.
2 Available data: October 2016.
3 Without ETFs (Exchange Traded Funds).
4 Foreign companies capitalisation includes their entire shares, whether they are deposited in Spain or not.
5 Calculated only with outstanding shares, not including treasury shares, because capital stock is not reported until the end of the year.
6 Alternative Stock Market.
### Trading
| Million euro | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|--------------|--------|--------|--------|---------|---------|---------|----------|---------|
| Total electronic market<sup>2</sup> | 693,168.0 | 864,443.5 | 938,396.7 | 213,164.9 | 193,947.4 | 187,774.1 | 117,753.5 | 43,313.1 |
| Of which, without Nuevo Mercado | 693,168.0 | 864,443.5 | 938,396.7 | 213,164.9 | 193,947.4 | 187,774.1 | 117,753.5 | 43,313.1 |
| Of which, Nuevo Mercado | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Of which, foreign companies | 5,640.5 | 14,508.9 | 12,417.7 | 985.7 | 1,295.8 | 1,550.9 | 1,539.1 | 432.3 |
| Second Market | 1.7 | 0.7 | 13.8 | 0.2 | 0.1 | 0.4 | 2.4 | 0.1 |
| Madrid | 1.4 | 0.5 | 13.7 | 0.1 | 0.1 | 0.0 | 2.4 | 0.1 |
| Barcelona | 0.3 | 0.2 | 0.1 | 0.1 | 0.0 | 0.4 | 0.0 | 0.0 |
| Bilbao | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Valencia | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Open outcry ex SICAVs | 51.4 | 92.5 | 246.1 | 23.7 | 1.6 | 4.0 | 0.5 | 0.2 |
| Madrid | 7.3 | 32.6 | 19.4 | 11.0 | 1.4 | 1.2 | 0.1 | 0.0 |
| Barcelona | 44.1 | 45.2 | 219.1 | 8.0 | 0.2 | 2.7 | 0.4 | 0.2 |
| Bilbao | 0.1 | 14.3 | 7.5 | 4.7 | 0.0 | 0.0 | 0.0 | 0.0 |
| Valencia | 0.0 | 0.3 | 0.1 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Open outcry SICAVs | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| MAB<sup>3</sup> | 5,896.3 | 7,723.3 | 6,441.7 | 1,720.3 | 1,134.0 | 1,053.5 | 1,021.7 | 448.3 |
| Latibex | 367.3 | 373.1 | 258.7 | 46.4 | 53.4 | 17.7 | 26.5 | 13.2 |
1 Available data: October 2016.
2 Without ETFs (Exchange Traded Funds).
3 Alternative Stock Market.
### Trading on the electronic market by type of transaction<sup>1</sup>
| Million euro | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|--------------|--------|--------|--------|---------|---------|---------|----------|---------|
| Regular trading | 668,553.2 | 831,962.6 | 903,397.2 | 207,994.4 | 190,416.2 | 184,716.6 | 113,638.7 | 41,587.6 |
| Orders | 346,049.6 | 453,294.9 | 475,210.0 | 100,555.9 | 101,673.7 | 94,863.2 | 70,745.2 | 25,402.1 |
| Put-throughs | 56,565.3 | 73,056.9 | 96,187.7 | 23,156.8 | 24,388.3 | 19,372.1 | 11,354.0 | 4,322.1 |
| Block trades | 265,938.3 | 305,610.8 | 331,999.5 | 84,281.7 | 64,354.2 | 70,481.3 | 31,539.5 | 11,863.4 |
| Off-hours | 7,654.7 | 7,568.8 | 3,137.9 | 84.8 | 817.5 | 122.1 | 260.6 | 627.9 |
| Authorised trades | 4,839.9 | 7,808.9 | 14,885.5 | 1,260.1 | 1,297.7 | 1,357.9 | 2,580.0 | 765.7 |
| Art. 36.1 SML trades | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Tender offers | 326.5 | 175.3 | 4,360.1 | 989.7 | 0.0 | 0.0 | 788.4 | 0.0 |
| Public offerings for sale | 396.1 | 6,143.4 | 4,266.8 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Declared trades | 379.7 | 410.9 | 203.6 | 0.0 | 0.0 | 0.0 | 37.3 | 0.0 |
| Options | 7,083.5 | 6,954.1 | 5,964.2 | 2,332.4 | 1,019.3 | 1,158.4 | 82.4 | 140.0 |
| Hedge transactions | 3,934.4 | 3,419.5 | 2,181.4 | 503.4 | 396.8 | 419.5 | 366.0 | 191.9 |
1 Without ETFs (Exchange Traded Funds).
2 Available data: October 2016.
### Margin trading for sales and securities lending
| Million euro | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|--------------|--------|--------|--------|---------|---------|---------|----------|---------|
| TRADING | | | | | | | | |
| Securities lending<sup>2</sup> | 464,521.5 | 599,051.5 | 691,486.7 | 160,890.1 | 152,217.8 | 55,676.4 | 0.0 | 0.0 |
| Margin trading for sales of securities<sup>3</sup> | 326.8 | 357.9 | 178.2 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Margin trading for securities purchases<sup>3</sup> | 34.1 | 16.2 | 6.4 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| OUTSTANDING BALANCE | | | | | | | | |
| Securities lending<sup>2</sup> | 43,398.9 | 61,076.1 | 79,952.8 | 79,952.8 | 83,785.2 | 92,662.6 | 92,662.6 | 92,662.6 |
| Margin trading for sales of securities<sup>3</sup> | 7.3 | 6.4 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Margin trading for securities purchases<sup>3</sup> | 0.6 | 0.4 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
1 Available data: October 2016.
2 Regulated by Article 36.7 of the Securities Market Law and Order ECO/764/2004.
3 Transactions performed in accordance with Ministerial Order dated 25 March 1991 on the margin system in spot transactions.
## 1.2 Fixed-income
### Gross issues registered at the CNMV
| NO. OF ISSUERS | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|----------------|------|------|------|---------|--------|---------|----------|---------|
| Total | 49 | 46 | 49 | 29 | 20 | 24 | 16 | 11 |
| Mortgage covered bonds | 12 | 13 | 13 | 8 | 8 | 8 | 0 | 2 |
| Territorial covered bonds | 5 | 3 | 3 | 1 | 0 | 2 | 1 | 1 |
| Non-convertible bonds and debentures | 11 | 16 | 16 | 10 | 8 | 10 | 5 | 4 |
| Convertible bonds and debentures | 4 | 1 | 1 | 1 | 0 | 0 | 0 | 0 |
| Backed securities | 18 | 13 | 16 | 9 | 5 | 4 | 5 | 3 |
| Commercial paper | 20 | 18 | 16 | 5 | 4 | 3 | 4 | 3 |
| Of which, asset-backed | 0 | 1 | 1 | 0 | 1 | 0 | 0 | 0 |
| Of which, non-asset-backed | 20 | 17 | 15 | 5 | 3 | 3 | 4 | 3 |
| Other fixed-income issues | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 |
| Preference shares | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| NO. OF ISSUES | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|---------------|------|------|------|---------|--------|---------|----------|---------|
| Total | 297 | 662 | 415 | 119 | 97 | 110 | 68 | 35 |
| Mortgage covered bonds | 40 | 27 | 34 | 8 | 14 | 16 | 0 | 2 |
| Territorial covered bonds | 6 | 3 | 6 | 1 | 0 | 2 | 1 | 1 |
| Non-convertible bonds and debentures | 170 | 578 | 318 | 79 | 65 | 80 | 51 | 19 |
| Convertible bonds and debentures | 8 | 1 | 1 | 1 | 0 | 0 | 0 | 0 |
| Backed securities | 53 | 35 | 40 | 25 | 13 | 9 | 11 | 10 |
| Commercial paper | 20 | 18 | 16 | 5 | 5 | 3 | 4 | 3 |
| Of which, asset-backed | 0 | 1 | 1 | 0 | 1 | 0 | 0 | 0 |
| Of which, non-asset-backed | 20 | 17 | 15 | 5 | 4 | 3 | 4 | 3 |
| Other fixed-income issues | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 |
| Preference shares | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| NOMINAL AMOUNT (million euro) | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|-------------------------------|------|------|------|---------|--------|---------|----------|---------|
| Total | 138,838.6 | 130,258.4 | 136,607.3 | 46,948.9 | 40,721.8 | 29,252.0 | 13,523.1 | 7,173.4 |
| Mortgage covered bonds | 24,799.7 | 23,838.0 | 31,375.0 | 7,000.0 | 9,943.0 | 10,199.5 | 0.0 | 1,500.0 |
| Territorial covered bonds | 8,115.0 | 1,853.3 | 10,400.0 | 400.0 | 0.0 | 2,750.0 | 2,500.0 | 2,000.0 |
| Non-convertible bonds and debentures | 32,536.9 | 41,154.7 | 39,099.9 | 18,943.6 | 8,344.2 | 4,054.2 | 1,411.5 | 520.3 |
| Convertible bonds and debentures | 803.3 | 750.0 | 53.2 | 53.2 | 0.0 | 0.0 | 0.0 | 0.0 |
| Backed securities | 28,592.9 | 29,008.0 | 28,369.6 | 11,646.3 | 17,038.2 | 4,655.5 | 4,186.2 | 1,543.0 |
| Spanish tranche | 24,980.1 | 26,972.1 | 25,147.2 | 10,690.7 | 15,235.3 | 4,589.0 | 3,865.2 | 659.0 |
| International tranche | 3,612.8 | 2,035.9 | 3,222.4 | 955.6 | 1,804.7 | 66.5 | 321.0 | 884.0 |
| Commercial paper | 43,990.8 | 33,654.4 | 27,309.6 | 8,905.8 | 5,396.4 | 7,592.8 | 3,925.4 | 1,610.1 |
| Of which, asset-backed | 1,410.0 | 620.0 | 2,420.0 | 600.0 | 560.0 | 580.0 | 0.0 | 480.0 |
| Of which, non-asset-backed | 42,580.8 | 33,034.4 | 24,889.6 | 8,305.8 | 4,836.4 | 7,012.8 | 3,925.4 | 1,130.1 |
| Other fixed-income issues | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 1,500.0 | 0.0 |
| Preference shares | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
**Pro memoria:**
- Subordinated issues: 4,776.0, 7,999.3, 5,452.2, 2,240.6, 1,980.0, 130.0, 733.4, 82.2
- Underwritten issues: 193.0, 195.8, 0.0, 0.0, 421.0, 0.0, 0.0, 0.0
1 Available data: October 2016.
---
### Issues admitted to trading on AIAF
| Nominal amount in million euro | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|--------------------------------|------|------|------|---------|--------|---------|----------|---------|
| Total | 130,467.7 | 114,956.4 | 145,890.9 | 30,363.5 | 52,821.7 | 31,608.8 | 14,006.8 | 7,352.7 |
| Commercial paper | 45,228.6 | 33,493.1 | 27,455.3 | 9,161.8 | 4,989.4 | 7,927.4 | 3,904.6 | 1,707.2 |
| Bonds and debentures | 22,414.4 | 25,712.5 | 47,616.4 | 2,140.5 | 24,431.4 | 3,830.5 | 1,307.8 | 195.4 |
| Mortgage covered bonds | 25,399.7 | 24,438.0 | 31,375.0 | 7,000.0 | 7,143.0 | 12,999.5 | 0.0 | 1,500.0 |
| Territorial covered bonds | 8,115.0 | 1,853.3 | 10,400.0 | 400.0 | 0.0 | 2,750.0 | 2,500.0 | 2,000.0 |
| Backed securities | 29,309.9 | 29,459.5 | 29,044.2 | 11,661.1 | 16,257.9 | 4,101.4 | 4,794.4 | 1,950.2 |
| Preference shares | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Matador bonds | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
1 Includes only corporate bonds.
2 Available data: October 2016.
### AIAF. Issuers, issues and outstanding balance
| NO. OF ISSUERS | 2013 | 2014 | 2015 | 2016 |
|----------------|------|------|------|------|
| | | | | IV | I | II | III | IV |
| Total | 493 | 465 | 388 | 388 | 381 | 376 | 375 | 375 |
| Corporate bonds| 492 | 464 | 387 | 387 | 380 | 375 | 374 | 374 |
| Commercial paper| 30 | 19 | 16 | 16 | 14 | 14 | 14 | 14 |
| Bonds and debentures| 91 | 79 | 64 | 64 | 61 | 57 | 53 | 52 |
| Mortgage covered bonds| 48 | 49 | 44 | 44 | 42 | 43 | 43 | 43 |
| Territorial covered bonds| 12 | 9 | 9 | 9 | 9 | 9 | 9 | 9 |
| Backed securities| 341 | 329 | 278 | 278 | 274 | 274 | 275 | 276 |
| Preference shares| 34 | 23 | 13 | 13 | 9 | 9 | 9 | 9 |
| Matador bonds | 9 | 9 | 7 | 7 | 7 | 7 | 7 | 6 |
| Government bonds| 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 |
| Letras del Tesoro| 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 |
| Long Government bonds| 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 |
| NO. OF ISSUES | 2013 | 2014 | 2015 | 2016 |
|---------------|------|------|------|------|
| | | | | IV | I | II | III | IV |
| Total | 5,060| 3,345| 2,723| 2,723| 2,759| 2,710| 2,649| 2,637|
| Corporate bonds| 4,907| 3,192| 2,531| 2,531| 2,519| 2,503| 2,441| 2,433|
| Commercial paper| 2,529| 1,130| 392 | 392 | 371 | 355 | 342 | 351 |
| Bonds and debentures| 558 | 495 | 882 | 882 | 923 | 917 | 879 | 856 |
| Mortgage covered bonds| 328 | 283 | 238 | 238 | 230 | 236 | 232 | 231 |
| Territorial covered bonds| 52 | 39 | 32 | 32 | 31 | 32 | 29 | 29 |
| Backed securities| 1,334| 1,188| 966 | 966 | 945 | 944 | 940 | 948 |
| Preference shares| 94 | 47 | 16 | 16 | 12 | 12 | 12 | 12 |
| Matador bonds | 12 | 10 | 7 | 7 | 7 | 7 | 7 | 6 |
| Government bonds| 153 | 153 | 193 | 193 | 209 | 207 | 208 | 204 |
| Letras del Tesoro| 12 | 12 | 12 | 12 | 12 | 12 | 12 | 12 |
| Long Government bonds| 141 | 141 | 181 | 181 | 197 | 195 | 196 | 192 |
| OUTSTANDING BALANCE (million euro) | 2013 | 2014 | 2015 | 2016 |
|------------------------------------|------|------|------|------|
| | | | | IV | I | II | III | IV |
| Total | 1,442,270.2 | 1,374,947.5 | 1,386,289.8 | 1,386,289.8 | 1,385,905.0 | 1,419,351.9 | 1,420,731.1 | 1,408,556.6 |
| Corporate bonds | 708,601.8 | 581,825.3 | 534,088.9 | 534,088.9 | 535,398.0 | 542,060.1 | 533,307.9 | 531,056.9 |
| Commercial paper | 28,816.3 | 20,361.6 | 15,172.9 | 15,172.9 | 13,662.0 | 17,027.6 | 16,585.7 | 16,637.4 |
| Bonds and debentures | 132,076.6 | 74,076.5 | 74,082.2 | 74,082.2 | 88,142.0 | 87,204.9 | 86,706.2 | 85,477.8 |
| Mortgage covered bonds | 246,967.9 | 208,314.2 | 194,072.7 | 194,072.7 | 178,610.7 | 187,479.6 | 183,627.5 | 180,677.5 |
| Territorial covered bonds | 29,793.5 | 24,671.3 | 27,586.3 | 27,586.3 | 27,336.3 | 29,086.3 | 27,887.3 | 29,387.3 |
| Backed securities | 269,176.8 | 253,045.1 | 222,100.4 | 222,100.4 | 226,702.1 | 220,317.0 | 217,556.3 | 217,992.1 |
| Preference shares | 1,076.2 | 782.1 | 627.4 | 627.4 | 497.8 | 497.8 | 497.8 | 497.8 |
| Matador bonds | 694.6 | 574.4 | 447.1 | 447.1 | 447.1 | 447.1 | 447.1 | 386.9 |
| Government bonds | 733,668.3 | 793,122.3 | 852,200.9 | 852,200.9 | 872,816.1 | 877,291.7 | 887,423.2 | 877,499.6 |
| Letras del Tesoro | 89,174.4 | 77,926.1 | 82,435.4 | 82,435.4 | 84,129.6 | 80,542.9 | 79,032.7 | 81,037.1 |
| Long Government bonds | 644,493.9 | 715,196.2 | 769,765.5 | 769,765.5 | 788,686.5 | 796,748.8 | 808,390.6 | 796,462.5 |
1 Available data: October 2016.
2 Nominal amount.
### AIAF. Trading
| Nominal amount in million euro | 2013 | 2014 | 2015 | 2016 |
|-------------------------------|------|------|------|------|
| | | | | IV | I | II | III | IV |
| BY TYPE OF ASSET | | | | | | | | |
| Total | 1,400,757.7 | 1,118,963.7 | 521,853.7 | 105,131.4 | 57,380.2 | 39,810.3 | 33,320.6 | 14,358.8 |
| Corporate bonds | 1,400,601.6 | 1,118,719.6 | 521,590.4 | 105,077.8 | 57,350.7 | 39,774.7 | 33,301.2 | 14,343.9 |
| Commercial paper | 112,559.8 | 48,817.3 | 31,346.2 | 8,116.7 | 4,274.6 | 5,972.1 | 5,578.0 | 1,259.8 |
| Bonds and debentures | 295,191.7 | 269,659.8 | 78,120.5 | 13,342.8 | 6,876.9 | 7,585.7 | 7,236.7 | 1,931.4 |
| Mortgage covered bonds | 341,674.0 | 376,273.3 | 187,201.7 | 38,663.4 | 33,020.3 | 16,213.9 | 12,431.2 | 5,573.6 |
| Territorial covered bonds | 86,758.6 | 82,023.2 | 46,711.4 | 11,530.0 | 2,506.7 | 47.6 | 775.0 | 2,000.0 |
| Backed securities | 538,064.8 | 341,827.8 | 177,844.1 | 33,148.4 | 10,658.1 | 9,952.0 | 7,276.0 | 3,578.7 |
| Preference shares | 26,256.0 | 97.7 | 295.5 | 258.0 | 13.9 | 0.5 | 4.3 | 0.4 |
| Matador bonds | 96.7 | 20.5 | 71.1 | 18.5 | 0.1 | 2.9 | 0.0 | 0.0 |
| Government bonds | 156.1 | 244.1 | 263.3 | 53.6 | 29.5 | 35.6 | 19.4 | 15.0 |
| Letras del Tesoro | 11.6 | 30.7 | 30.2 | 0.0 | 0.0 | 1.0 | 0.1 | 7.1 |
| Long Government bonds | 144.4 | 213.4 | 233.1 | 53.6 | 29.5 | 34.6 | 19.3 | 7.9 |
| BY TYPE OF TRANSACTION | | | | | | | | |
| Total | 1,400,757.6 | 1,118,963.7 | 521,853.7 | 105,131.4 | 57,380.1 | 39,810.3 | 33,320.6 | 14,358.8 |
| Outright | 290,630.3 | 396,341.0 | 239,086.8 | 53,887.6 | 43,126.0 | 31,700.3 | 20,950.8 | 11,305.1 |
| Repos | 69,063.3 | 29,800.4 | 7,144.5 | 3,881.8 | 2,480.1 | 851.3 | 512.1 | 80.6 |
| Sell-buybacks/Buy-sellbacks | 1,041,061.3 | 692,822.2 | 267,875.7 | 47,362.0 | 11,774.1 | 7,258.7 | 11,857.7 | 2,973.2 |
1 Available data: October 2016.
### AIAF. Third-party trading. By purchaser sector
| Nominal amount in million euro | 2013 | 2014 | 2015 | 2015 IV | 2016 I | II | III | IV¹ |
|-------------------------------|--------|--------|--------|---------|---------|--------|--------|--------|
| Total | 275,939.0 | 262,527.8 | 193,694.8 | 51,360.3 | 40,730.0 | 27,509.1 | 19,622.1 | 10,675.2 |
| Non-financial companies | 45,351.7 | 30,843.4 | 22,747.1 | 5,841.2 | 3,617.7 | 1,540.5 | 1,276.7 | 52.5 |
| Financial institutions | 163,671.3 | 132,114.5 | 95,467.1 | 19,720.2 | 19,669.1 | 13,894.5 | 11,936.0 | 6,246.2 |
| Credit institutions | 97,674.3 | 87,475.6 | 74,196.0 | 14,058.2 | 14,439.6 | 9,642.9 | 8,279.3 | 4,642.6 |
| CIs, insurance and pension funds | 59,371.8 | 34,205.9 | 8,835.4 | 3,466.4 | 2,464.7 | 2,742.7 | 1,642.9 | 527.1 |
| Other financial institutions | 6,625.2 | 10,433.1 | 12,435.7 | 2,195.6 | 2,764.8 | 1,508.9 | 2,013.9 | 1,076.4 |
| General government | 2,438.8 | 5,067.3 | 10,414.4 | 1,042.3 | 1,300.8 | 1,694.4 | 1,062.7 | 438.0 |
| Households and NPISHs² | 8,598.4 | 2,861.8 | 1,575.2 | 319.8 | 352.2 | 279.8 | 206.6 | 51.1 |
| Rest of the world | 55,878.8 | 91,640.7 | 63,491.1 | 24,436.8 | 15,790.2 | 10,100.0 | 5,140.1 | 3,887.4 |
¹ Available data: October 2016.
² Non-profit institutions serving households.
### Issues admitted to trading on equity markets¹
| NOMINAL AMOUNTS (million euro) | 2013 | 2014 | 2015 | 2015 IV | 2016 I | II | III | IV² |
|--------------------------------|------|------|------|---------|--------|----|-----|-----|
| Total | 779.3| 0.0 | 0.0 | 0.0 | 0.0 | 0.0| 0.0 | 0.0 |
| Non-convertible bonds and debentures | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0| 0.0 | 0.0 |
| Convertible bonds and debentures | 779.3| 0.0 | 0.0 | 0.0 | 0.0 | 0.0| 0.0 | 0.0 |
| Backed securities | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0| 0.0 | 0.0 |
| Others | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0| 0.0 | 0.0 |
| NO. OF ISSUES | 2013 | 2014 | 2015 | 2015 IV | 2016 I | II | III | IV² |
|--------------------------------|------|------|------|---------|--------|----|-----|-----|
| Total | 2 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Non-convertible bonds and debentures | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Convertible bonds and debentures | 2 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Backed securities | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Others | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
¹ Includes only corporate bonds.
² Available data: October 2016.
### Equity markets. Issuers, issues and outstanding balances
| NO. OF ISSUERS | 2013 | 2014 | 2015 | 2015 IV | 2016 I | II | III | IV¹ |
|---------------------------------|------|------|------|---------|--------|----|-----|-----|
| Total | 40 | 28 | 20 | 20 | 19 | 19 | 19 | 17 |
| Private issuers | 27 | 17 | 10 | 10 | 9 | 9 | 9 | 7 |
| Non-financial companies | 2 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Financial institutions | 25 | 17 | 10 | 10 | 9 | 9 | 9 | 7 |
| General government² | 13 | 11 | 10 | 10 | 10 | 10 | 10 | 10 |
| Regional governments | 3 | 3 | 2 | 2 | 2 | 2 | 2 | 2 |
| NO. OF ISSUES | 2013 | 2014 | 2015 | 2015 IV | 2016 I | II | III | IV¹ |
|---------------------------------|------|------|------|---------|--------|----|-----|-----|
| Total | 197 | 165 | 103 | 103 | 96 | 91 | 86 | 79 |
| Private issuers | 89 | 65 | 43 | 43 | 37 | 35 | 35 | 28 |
| Non-financial companies | 2 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Financial institutions | 87 | 65 | 43 | 43 | 37 | 35 | 35 | 28 |
| General government² | 108 | 100 | 60 | 60 | 59 | 51 | 51 | 51 |
| Regional governments | 64 | 56 | 25 | 25 | 25 | 25 | 24 | 24 |
| OUTSTANDING BALANCES³ (million euro) | 2013 | 2014 | 2015 | 2015 IV | 2016 I | II | III | IV¹ |
|---------------------------------------|------|------|------|---------|--------|----|-----|-----|
| Total | 25,284.5 | 16,800.4 | 11,702.2 | 11,702.2 | 11,596.1 | 11,554.2 | 11,268.5 | 11,114.0 |
| Private issuers | 8,317.5 | 3,401.2 | 1,383.3 | 1,383.3 | 1,186.6 | 1,147.1 | 1,099.2 | 945.5 |
| Non-financial companies | 2.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Financial institutions | 8,315.5 | 3,401.2 | 1,383.3 | 1,383.3 | 1,186.6 | 1,147.1 | 1,099.2 | 945.5 |
| General government² | 16,967.0 | 13,399.2 | 10,319.0 | 10,319.0 | 10,409.6 | 10,407.1 | 10,169.3 | 10,168.5 |
| Regional governments | 15,716.3 | 12,227.2 | 9,320.2 | 9,320.2 | 9,411.7 | 9,411.7 | 9,211.7 | 9,211.7 |
¹ Available data: October 2016.
² Without public book-entry debt.
³ Nominal amount.
### Trading on equity markets
| Nominal amounts in million euro | 2013 | 2014 | 2015 | 2016 |
|--------------------------------|--------|--------|--------|--------|
| Electronic market | 1,592.6| 861.2 | 19.3 | 1.4 |
| Open outcry | 3,388.3| 5,534.0| 2,050.2| 723.7 |
| Madrid | 0.0 | 0.0 | 0.0 | 0.0 |
| Barcelona | 3,197.4| 5,527.0| 2,050.2| 723.7 |
| Bilbao | 0.0 | 0.0 | 0.0 | 0.0 |
| Valencia | 190.9 | 7.0 | 0.0 | 0.0 |
| Public book-entry debt | 137.1 | 0.0 | 0.0 | 0.0 |
| Regional governments debt | 41,062.2| 42,677.2| 22,169.0| 2,256.4|
1 Available data: October 2016.
### Organised trading systems: SENAF and MTS.
#### Public debt trading by type
| Nominal amounts in million euro | 2013 | 2014 | 2015 | 2016 |
|--------------------------------|--------|--------|--------|--------|
| Total | 64,011.0| 103,044.0| 101,555.0| 32,837.0|
| Outright | 64,011.0| 103,044.0| 101,555.0| 32,837.0|
| Sell-buybacks/Buy-sellbacks | 0.0 | 0.0 | 0.0 | 0.0 |
| Others | 0.0 | 0.0 | 0.0 | 0.0 |
1 Available data: October 2016.
### 1.3 Derivatives and other products
#### 1.3.1 Financial derivatives markets: MEFF
### Trading on MEFF
| Number of contracts | 2013 | 2014 | 2015 | 2016 |
|---------------------|--------|--------|--------|--------|
| Debt products | 13,667 | 4,690 | 8,012 | 616 |
| Debt futures | 13,667 | 4,690 | 8,012 | 616 |
| Ibex 35 products | 6,416,073| 7,728,494| 8,279,939| 1,943,701|
| Ibex 35 plus futures| 5,578,607| 6,924,068| 7,384,896| 1,743,089|
| Ibex 35 mini futures| 198,736| 304,891| 318,129| 71,809|
| Ibex 35 dividend impact futures| 3,520| 23,939| 32,499| 13,321|
| Call mini options | 308,084| 302,255| 325,479| 58,337|
| Put mini options | 327,126| 173,342| 218,937| 57,146|
| Stock products | 35,884,393| 27,697,961| 31,768,355| 8,509,783|
| Futures | 14,927,659| 12,740,105| 10,054,830| 2,069,470|
| Stock dividend futures| 66,650| 236,151| 292,840| 97,940|
| Call options | 10,534,741| 5,773,662| 8,572,088| 2,032,647|
| Put options | 10,355,343| 8,948,043| 12,848,597| 4,309,726|
Pro-memoria: MEFF trading on Eurex
| Debt products | 335,648| 345,766| 298,756| 56,775|
| Index products | 223,837| 112,711| 98,237| 16,570|
1 Available data: October 2016.
2 Contract size: 100 thousand euros.
3 The number of Ibex 35 mini futures (multiples of 1 euro) was standardised to the size of the Ibex 35 plus futures (multiples of 10 euro).
4 Contract size: 100,000 euros.
5 Contract size: 100 Stocks.
6 Bund, Bobl, Schatz, Bon, Btg, Bts, Bux and Oat futures.
7 Dax 30, DJ EuroStoxx 50, DJ Stoxx 50 and MiniDax futures.
### 1.3.2 Warrants, option buying and selling contracts, and ETF (Exchange-Traded Funds)
#### Issues registered at the CNMV
| WARRANTS | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|----------|------|------|------|---------|--------|---------|----------|---------|
| Premium amount (million euro) | 3,621.2 | 3,644.2 | 3,479.1 | 1,053.4 | 762.3 | 588.2 | 615.9 | 88.5 |
| On stocks | 2,211.8 | 1,770.9 | 1,807.3 | 583.5 | 431.3 | 373.7 | 272.0 | 44.6 |
| On indexes | 1,122.6 | 1,697.3 | 1,486.1 | 425.7 | 294.5 | 193.1 | 329.2 | 43.9 |
| Other underlyings<sup>3</sup> | 286.8 | 176.0 | 185.6 | 44.2 | 36.5 | 21.3 | 14.6 | 0.0 |
| Number of issues | 8,347 | 8,574 | 9,059 | 2,822 | 2,294 | 1,795 | 1,667 | 274 |
| Number of issuers | 7 | 6 | 8 | 6 | 5 | 5 | 5 | 2 |
#### OPTION BUYING AND SELLING CONTRACTS
| Nominal amounts (million euro) | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|--------------------------------|------|------|------|---------|--------|---------|----------|---------|
| On stocks | 0.0 | 0.0 | 5.0 | 0.0 | 0.0 | 50.0 | 100.0 | 0.0 |
| On indexes | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Other underlyings<sup>3</sup> | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Number of issues | 0 | 0 | 1 | 0 | 0 | 1 | 1 | 0 |
| Number of issuers | 0 | 0 | 1 | 0 | 0 | 1 | 1 | 0 |
<sup>1</sup> Available data: October 2016.
<sup>2</sup> Includes issuance and trading prospectuses.
<sup>3</sup> Includes the following underlying: baskets of stocks, exchange rates, interest rates and commodities.
---
### Equity markets. Warrants and ETF trading
| WARRANTS | 2013 | 2014 | 2015 | 2015 IV | 2016 I | 2016 II | 2016 III | 2016 IV |
|----------|------|------|------|---------|--------|---------|----------|---------|
| Trading (million euro) | 752.7 | 817.7 | 1,095.9 | 208.5 | 213.4 | 180.8 | 159.8 | 54.1 |
| On Spanish stocks | 379.4 | 379.8 | 303.6 | 63.8 | 77.2 | 72.8 | 46.0 | 16.6 |
| On foreign stocks | 86.3 | 51.2 | 66.7 | 12.5 | 8.8 | 8.1 | 7.6 | 2.9 |
| On indexes | 255.4 | 364.3 | 692.0 | 128.4 | 122.6 | 96.1 | 103.8 | 33.7 |
| Other underlyings<sup>2</sup> | 31.6 | 22.4 | 33.6 | 3.7 | 4.8 | 3.9 | 2.4 | 0.8 |
| Number of issues<sup>3</sup> | 7,299 | 7,612 | 7,530 | 2,635 | 2,757 | 2,708 | 2,257 | 1,333 |
| Number of issuers<sup>3</sup> | 8 | 8 | 9 | 9 | 8 | 8 | 8 | 8 |
#### CERTIFICATES
| Trading (million euro) | 1.0 | 1.7 | 1.1 | 0.5 | 0.1 | 0.1 | 0.1 | 0.0 |
|------------------------|-----|-----|-----|-----|-----|-----|-----|-----|
| Number of issues<sup>3</sup> | 2 | 2 | 2 | 2 | 2 | 2 | 2 | 2 |
| Number of issuers<sup>3</sup> | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 |
#### ETFs
| Trading (million euro) | 2,736.0 | 9,849.5 | 12,633.8 | 2,632.2 | 2,273.4 | 1,459.3 | 1,014.3 | 293.6 |
|------------------------|---------|---------|-----------|---------|---------|---------|---------|-------|
| Number of funds | 72 | 70 | 58 | 58 | 58 | 58 | 32 | 32 |
| Assets<sup>4</sup> (million euro) | 382.0 | 436.1 | 436.1 | 485.5 | 358.4 | 325.3 | 336.0 | -- |
<sup>1</sup> Available data: October 2016.
<sup>2</sup> Includes the following underlying: baskets of stocks, exchange rates, interest rates and commodities.
<sup>3</sup> Issues or issuers which were traded in each period.
<sup>4</sup> Assets from national collective investment schemes are only included because assets from foreign ones are not available.
## 2 Investment services
### Investment services. Spanish firms, branches and agents
| | 2013 | 2014 | 2015 | 2016 | | | |
|------------------------|------|------|------|------|-------|-------|-------|
| | | | | | III | IV | I |
| BROKER-DEALERS | | | | | | | |
| Spanish firms | 41 | 38 | 39 | 38 | 39 | 39 | 41 |
| Branches | 20 | 21 | 25 | 22 | 25 | 23 | 23 |
| Agents | 6,269| 6,116| 5,819| 6,354| 5,819 | 5,740 | 5,748 |
| BROKERS | | | | | | | |
| Spanish firms | 41 | 37 | 39 | 39 | 39 | 38 | 37 |
| Branches | 11 | 19 | 21 | 21 | 21 | 22 | 23 |
| Agents | 520 | 466 | 468 | 470 | 468 | 457 | 485 |
| PORTFOLIO MANAGEMENT COMPANIES | | | | | | | |
| Spanish firms | 5 | 5 | 3 | 4 | 3 | 2 | 2 |
| Branches | 5 | 5 | 9 | 5 | 9 | 8 | 8 |
| Agents | 1 | 1 | 0 | 1 | 0 | 0 | 0 |
| FINANCIAL ADVISORY FIRMS | | | | | | | |
| Spanish firms | 126 | 143 | 154 | 150 | 154 | 154 | 162 |
| Branches | 9 | 11 | 12 | 12 | 12 | 12 | 13 |
| CREDIT INSTITUTIONS¹ | | | | | | | |
| Spanish firms | 141 | 137 | 134 | 134 | 134 | 133 | 133 |
¹ Source: Banco de España.
### Investment services. Foreign firms
| | 2013 | 2014 | 2015 | 2016 | | | |
|------------------------|------|------|------|------|-------|-------|-------|
| | | | | | III | IV | I |
| Total | 3,104| 3,102| 3,177| 3,146| 3,177 | 3,206 | 3,270 |
| Investment services firms | | | | | | | |
| From EU member states | 2,650| 2,641| 2,717| 2,686| 2,717 | 2,744 | 2,801 |
| Branches | 38 | 39 | 42 | 42 | 42 | 45 | 45 |
| Free provision of services | 2,609| 2,600| 2,672| 2,641| 2,672 | 2,696 | 2,753 |
| From non-EU states | 3 | 2 | 3 | 3 | 3 | 3 | 3 |
| Branches | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Free provision of services | 3 | 2 | 3 | 3 | 3 | 3 | 3 |
| Credit institutions¹ | 454 | 461 | 460 | 460 | 460 | 462 | 469 |
| From EU member states | 444 | 452 | 451 | 451 | 451 | 454 | 461 |
| Branches | 52 | 54 | 53 | 53 | 53 | 53 | 54 |
| Free provision of services | 392 | 398 | 398 | 398 | 398 | 401 | 407 |
| Subsidiaries of free provision of services | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| From non-EU states | 10 | 9 | 9 | 9 | 9 | 8 | 8 |
| Branches | 8 | 6 | 6 | 6 | 6 | 5 | 5 |
| Free provision of services | 2 | 3 | 3 | 3 | 3 | 3 | 3 |
¹ Source: Banco de España and CNMV.
### Intermediation of spot transactions
| Million euro | 2013 | 2014 | 2015 | 2016 |
|--------------|----------|----------|----------|----------|
| | | | | III | IV | I | II | III |
| **FIXED-INCOME** | | | | | | | | |
| Total | 10,492,026.8 | 9,264,859.8 | 5,365,817.5 | 1,134,941.3 | 1,114,132.3 | 1,234,449.1 | 1,273,116.1 | 1,124,102.7 |
| Broker-dealers | 5,217,059.4 | 4,989,059.9 | 3,774,816.4 | 799,467.0 | 763,623.3 | 805,643.4 | 892,819.1 | 762,082.2 |
| Spanish organised markets | 2,597,608.6 | 2,372,515.0 | 1,909,130.4 | 401,189.0 | 335,795.1 | 369,646.2 | 374,752.4 | 336,786.1 |
| Other Spanish markets | 2,310,403.7 | 2,388,868.8 | 1,689,702.4 | 359,034.3 | 387,977.8 | 364,162.5 | 451,729.7 | 375,674.4 |
| Foreign markets | 309,047.1 | 227,676.1 | 175,983.6 | 39,243.7 | 39,850.4 | 71,834.7 | 66,337.0 | 49,621.6 |
| Brokers | 5,274,967.4 | 4,275,799.9 | 1,591,001.1 | 335,474.3 | 350,509.0 | 428,805.7 | 380,297.0 | 362,020.6 |
| Spanish organised markets | 69,066.6 | 89,472.6 | 14,160.0 | 4,423.8 | 2,261.0 | 14,338.1 | 6,844.3 | 3,039.3 |
| Other Spanish markets | 5,007,723.4 | 3,955,091.6 | 1,402,106.3 | 299,276.2 | 308,263.6 | 353,710.7 | 308,895.1 | 320,816.5 |
| Foreign markets | 198,177.4 | 231,235.7 | 174,734.8 | 31,774.3 | 39,984.4 | 60,756.9 | 64,557.6 | 38,164.8 |
| **EQUITY** | | | | | | | | |
| Total | 692,872.0 | 940,623.2 | 1,020,289.5 | 213,264.8 | 265,922.0 | 210,419.3 | 205,836.0 | 167,119.5 |
| Broker-dealers | 650,094.9 | 875,037.7 | 914,649.2 | 193,200.2 | 209,737.6 | 194,853.2 | 174,181.3 | 117,048.0 |
| Spanish organised markets | 590,027.1 | 814,349.4 | 855,883.2 | 180,329.1 | 195,807.3 | 180,804.3 | 159,663.1 | 105,234.4 |
| Other Spanish markets | 2,585.4 | 2,828.5 | 3,327.8 | 590.4 | 816.3 | 637.2 | 585.6 | 373.4 |
| Foreign markets | 57,482.4 | 57,859.8 | 55,438.2 | 12,280.7 | 13,114.0 | 13,411.7 | 13,932.6 | 11,440.2 |
| Brokers | 42,777.1 | 65,585.5 | 105,640.3 | 20,064.6 | 56,184.4 | 15,566.1 | 31,654.7 | 50,071.4 |
| Spanish organised markets | 14,677.2 | 16,726.7 | 14,207.3 | 3,349.1 | 3,076.7 | 3,001.3 | 2,227.3 | 3,778.5 |
| Other Spanish markets | 9,140.4 | 14,009.1 | 13,769.0 | 2,973.6 | 6,466.2 | 846.9 | 1,632.6 | 2,431.0 |
| Foreign markets | 18,959.5 | 34,849.7 | 77,664.0 | 13,741.9 | 46,641.5 | 11,717.9 | 27,794.8 | 43,861.9 |
1 Period accumulated data.
### Intermediation of derivative transactions
| Million euro | 2013 | 2014 | 2015 | 2016 |
|--------------|----------|----------|----------|----------|
| | | | | III | IV | I | II | III |
| **Total** | 6,316,221.8 | 10,095,572.3 | 12,104,474.3 | 3,222,631.2 | 3,064,485.0 | 3,087,332.5 | 2,849,764.2 | 2,347,754.9 |
| Broker-dealers | 6,110,753.4 | 9,918,555.0 | 11,958,716.2 | 3,182,974.2 | 3,019,750.2 | 3,025,120.2 | 2,756,706.2 | 2,271,808.1 |
| Spanish organised markets | 2,410,367.9 | 4,625,999.8 | 6,215,223.3 | 1,659,817.4 | 1,521,172.3 | 1,474,859.7 | 1,244,231.7 | 1,026,111.9 |
| Foreign organised markets | 3,423,638.5 | 4,913,770.3 | 5,386,722.4 | 1,432,185.7 | 1,351,399.3 | 1,360,289.3 | 1,342,718.7 | 1,109,120.9 |
| Non-organised markets | 276,747.0 | 378,784.9 | 356,770.5 | 90,971.1 | 147,178.6 | 189,971.2 | 169,755.8 | 136,575.3 |
| Brokers | 205,468.4 | 177,017.3 | 145,758.1 | 39,657.0 | 44,734.8 | 62,212.3 | 93,058.0 | 75,946.8 |
| Spanish organised markets | 4,668.8 | 6,881.8 | 7,510.9 | 2,115.4 | 2,842.0 | 5,151.0 | 6,112.1 | 5,370.4 |
| Foreign organised markets | 29,584.9 | 37,016.8 | 27,846.8 | 7,148.0 | 10,481.3 | 12,857.3 | 14,621.2 | 15,957.8 |
| Non-organised markets | 171,214.7 | 133,118.7 | 110,400.4 | 30,393.6 | 31,411.5 | 44,204.0 | 72,324.7 | 54,618.6 |
1 The amount of the buy and sell transactions of financial assets, financial futures on values and interest rates, and other transactions on interest rates will be the securities nominal or notional value or the principal to which the contract reaches. The amount of the transactions on options will be the strike price of the underlying asset multiplied by the number of instruments committed.
2 Period accumulated data.
## Portfolio management. Number of portfolios and assets under management
| NO. OF PORTFOLIOS | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|-------------------|------|------|------|----------|---------|--------|---------|---------|
| **Total** | 11,380 | 13,483 | 13,713 | 14,896 | 13,713 | 11,539 | 11,779 | 12,202 |
| **Broker-dealers. Total** | 4,001 | 4,741 | 5,711 | 5,168 | 5,711 | 5,740 | 5,752 | 5,939 |
| **CIS** | 59 | 63 | 60 | 65 | 60 | 37 | 36 | 32 |
| **Other** | 3,942 | 4,678 | 5,651 | 5,103 | 5,651 | 5,703 | 5,716 | 5,907 |
| **Brokers. Total** | 3,699 | 4,484 | 5,681 | 5,534 | 5,681 | 5,799 | 6,027 | 6,263 |
| **CIS** | 57 | 63 | 70 | 95 | 95 | 89 | 95 | 96 |
| **Other** | 3,642 | 4,421 | 5,586 | 5,464 | 5,586 | 5,710 | 5,932 | 6,167 |
| **Portfolio management companies. Total** | 3,680 | 4,258 | 2,321 | 4,194 | 2,321 | – | – | – |
| **CIS** | 12 | 5 | 1 | 1 | 1 | – | – | – |
| **Other** | 3,668 | 4,253 | 2,320 | 4,193 | 2,320 | – | – | – |
| ASSETS UNDER MANAGEMENT (thousand euro) | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|----------------------------------------|------|------|------|----------|---------|--------|---------|---------|
| **Total** | 10,692,140 | 11,661,203 | 9,201,678 | 12,092,946 | 9,201,678 | 8,343,822 | 7,593,204 | 7,867,532 |
| **Broker-dealers. Total** | 4,171,331 | 4,905,630 | 5,406,804 | 5,039,779 | 5,406,804 | 6,018,420 | 5,301,602 | 5,514,721 |
| **CIS** | 1,160,986 | 1,371,924 | 1,546,293 | 1,466,505 | 1,546,293 | 1,075,230 | 1,014,015 | 1,006,790 |
| **Other** | 3,010,345 | 3,533,706 | 3,860,511 | 3,573,274 | 3,860,511 | 4,943,190 | 4,287,587 | 4,507,931 |
| **Brokers. Total** | 2,284,773 | 1,935,646 | 2,565,132 | 2,230,847 | 2,565,132 | 2,325,402 | 2,291,602 | 2,352,811 |
| **CIS** | 610,839 | 846,244 | 1,448,260 | 1,155,605 | 1,448,260 | 1,232,516 | 1,221,232 | 1,283,213 |
| **Other** | 1,673,934 | 1,089,403 | 1,116,872 | 1,075,242 | 1,116,872 | 1,092,886 | 1,070,370 | 1,069,598 |
| **Portfolio management companies. Total** | 4,236,036 | 4,819,927 | 1,229,742 | 4,822,320 | 1,229,742 | – | – | – |
| **CIS** | 195,735 | 118,847 | 15,729 | 15,322 | 15,729 | – | – | – |
| **Other** | 4,040,301 | 4,701,080 | 1,214,013 | 4,806,998 | 1,214,013 | – | – | – |
---
## Financial advice. Number of contracts
| NUMBER OF CONTRACTS | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|---------------------|------|------|------|----------|---------|--------|---------|---------|
| **Totals** | 11,730 | 12,761 | 14,569 | 13,562 | 14,569 | 13,015 | 13,587 | 14,072 |
| **Broker-dealers. Total** | 3,074 | 3,437 | 1,183 | 1,202 | 1,183 | 1,192 | 1,160 | 1,198 |
| **Retail clients** | 3,041 | 3,409 | 1,159 | 1,177 | 1,159 | 1,164 | 1,130 | 1,161 |
| **Professional clients** | 10 | 11 | 11 | 11 | 11 | 15 | 15 | 22 |
| **Brokers. Total** | 6,919 | 7,511 | 11,456 | 10,507 | 11,456 | 11,823 | 12,427 | 12,874 |
| **Retail clients** | 6,617 | 7,322 | 11,247 | 10,298 | 11,247 | 11,639 | 12,269 | 12,713 |
| **Professional clients** | 279 | 169 | 176 | 177 | 176 | 148 | 124 | 133 |
| **Portfolio management companies. Total** | 1,737 | 1,813 | 1,930 | 1,853 | 1,930 | – | – | – |
| **Retail clients** | 1,732 | 1,805 | 1,928 | 1,852 | 1,928 | – | – | – |
| **Professional clients** | 5 | 8 | 2 | 1 | 2 | – | – | – |
---
1 Data at the end of period.
2 Quarterly data on assets advised are not available since the entry into force of CNMV Circular 3/2014, of 22 October.
3 Portfolio management companies information is not shown since the first quarter of 2016 with the objective of maintaining statistical secrecy, as the number of companies is not enough to ensure it.
4 Includes retail, professional and other clients.
## Aggregated income statement. Broker-dealers
| Thousand euro¹ | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|----------------|--------|--------|--------|----------|---------|---------|---------|----------|
| I. Interest income | 67,333 | 74,177 | 55,570 | 39,104 | 55,570 | 7,216 | 38,447 | 49,275 |
| II. Net commission | 387,216 | 445,317 | 422,542 | 326,720 | 422,542 | 91,676 | 191,507 | 280,710 |
| Commission revenues | 565,787 | 633,263 | 614,705 | 474,430 | 614,705 | 137,511 | 278,225 | 407,854 |
| Brokering | 347,522 | 342,462 | 322,857 | 249,783 | 322,857 | 65,205 | 128,808 | 184,438 |
| Placement and underwriting | 4,824 | 21,414 | 11,556 | 10,659 | 11,556 | 629 | 3,346 | 5,198 |
| Securities deposit and recording | 17,987 | 22,347 | 24,358 | 18,355 | 24,358 | 12,323 | 23,559 | 34,873 |
| Portfolio management | 15,581 | 21,046 | 22,541 | 16,133 | 22,541 | 5,453 | 10,674 | 16,933 |
| Design and advising | 18,597 | 19,502 | 13,575 | 10,324 | 13,575 | 4,414 | 7,580 | 10,554 |
| Stocks search and placement | 8,659 | 4,367 | 1,497 | 1,420 | 1,497 | 80 | 1,385 | 1,641 |
| Market credit transactions | 22 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| CIS marketing | 51,766 | 62,948 | 73,889 | 54,906 | 73,889 | 18,307 | 36,698 | 55,758 |
| Other | 100,829 | 139,177 | 144,432 | 112,848 | 144,432 | 31,101 | 66,174 | 98,459 |
| Commission expenses | 178,571 | 187,946 | 192,163 | 147,710 | 192,163 | 45,835 | 86,718 | 127,144 |
| III. Financial investment income | 256,110 | 222,077 | 215,861 | 186,154 | 215,861 | 21,838 | 90,667 | 84,290 |
| IV. Net exchange differences and other operating products and expenses | -138,467 | -96,425 | -128,200 | -117,105 | -128,200 | 3,793 | -32,389 | -19,553 |
| V. Gross income | 572,192 | 645,146 | 565,773 | 434,873 | 565,773 | 124,523 | 288,232 | 394,722 |
| VI. Operating income | 185,040 | 265,509 | 186,771 | 151,869 | 186,771 | 37,138 | 101,954 | 120,083 |
| VII. Earnings from continuous activities | 140,805 | 192,467 | 141,291 | 128,364 | 141,291 | 40,695 | 101,475 | 117,959 |
| VIII. Net earnings of the period | 140,805 | 192,467 | 141,291 | 128,364 | 141,291 | 40,695 | 101,475 | 117,959 |
¹ Accumulated data from the beginning of the year to the last day of every quarter. It includes companies removed throughout the year.
## Results of proprietary trading. Broker-dealers
| Thousand euro | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|---------------|------|------|------|----------|---------|--------|---------|---------|
| **TOTAL** | | | | | | | | |
| Total | 192,753 | 200,010 | 137,327 | 108,105 | 137,327 | 32,932 | 93,809 | 108,543 |
| Money market assets and public debt | 17,163 | 12,342 | 9,327 | 7,259 | 9,327 | 2,397 | 4,802 | 6,422 |
| Other fixed-income securities | 55,096 | 31,631 | 24,795 | 21,497 | 24,795 | 9,674 | 18,170 | 25,572 |
| Domestic portfolio | 42,328 | 23,038 | 8,990 | 9,417 | 8,990 | 5,155 | 8,977 | 13,764 |
| Foreign portfolio | 12,768 | 8,593 | 15,805 | 12,080 | 15,805 | 4,519 | 9,193 | 11,808 |
| Equities | 17,869 | 800,035 | 112,943 | 52,417 | 112,943 | -116,403 | 4,852 | 133,877 |
| Domestic portfolio | 44,517 | 112,635 | 18,141 | 12,172 | 18,141 | -598 | 8,781 | 10,238 |
| Foreign portfolio | -26,648 | 687,400 | 94,802 | 40,245 | 94,802 | -115,805 | -3,929 | 123,639 |
| Derivatives | 207,347 | -565,800 | 109,668 | 135,442 | 109,668 | 131,289 | 72,260 | -56,862 |
| Repurchase agreements | 1,378 | 345 | -248 | -165 | -248 | -99 | -244 | -361 |
| Market credit transactions | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Deposits and other transactions with financial intermediaries | 3,405 | 1,205 | 1,605 | 895 | 1,605 | -571 | -1,660 | -1,824 |
| Net exchange differences | -149,034 | -110,807 | -142,545 | -127,967 | -142,545 | -2,440 | -40,352 | -29,944 |
| Other operating products and expenses | 10,565 | 14,384 | 14,344 | 10,862 | 14,344 | 6,232 | 7,964 | 10,390 |
| Other transactions | 28,964 | 16,675 | 7,438 | 7,865 | 7,438 | 2,853 | 28,017 | 21,273 |
### INTEREST INCOME
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|----------------|------|------|------|----------|---------|--------|---------|---------|
| Total | 67,333 | 74,177 | 55,570 | 39,103 | 55,570 | 7,216 | 38,446 | 49,273 |
| Money market assets and public debt | 4,356 | 2,123 | 2,156 | 1,056 | 2,156 | 389 | 817 | 1,276 |
| Other fixed-income securities | 4,572 | 3,371 | 2,731 | 2,083 | 2,731 | 580 | 974 | 1,271 |
| Domestic portfolio | 3,149 | 2,147 | 1,534 | 1,188 | 1,534 | 320 | 509 | 550 |
| Foreign portfolio | 1,423 | 1,224 | 1,197 | 895 | 1,197 | 260 | 465 | 721 |
| Equities | 40,163 | 63,460 | 43,826 | 33,847 | 43,826 | 8,213 | 13,998 | 23,146 |
| Domestic portfolio | 14,672 | 28,679 | 3,622 | 2,557 | 3,622 | 102 | 1,756 | 2,397 |
| Foreign portfolio | 25,491 | 34,781 | 40,204 | 31,290 | 40,204 | 8,111 | 12,242 | 20,749 |
| Repurchase agreements | 1,378 | 345 | -248 | -165 | -248 | -99 | -244 | -361 |
| Market credit transactions | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Deposits and other transactions with financial intermediaries | 3,405 | 1,205 | 1,605 | 895 | 1,605 | -571 | -1,660 | -1,824 |
| Other transactions | 13,459 | 3,673 | 5,500 | 1,387 | 5,500 | -1,296 | 24,561 | 25,765 |
### FINANCIAL INVEST INCOME
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|----------------|------|------|------|----------|---------|--------|---------|---------|
| Total | 256,109 | 222,077 | 215,861 | 186,154 | 215,861 | 21,838 | 90,668 | 84,287 |
| Money market assets and public debt | 12,807 | 10,219 | 7,171 | 6,203 | 7,171 | 2,008 | 3,985 | 5,146 |
| Other fixed-income securities | 50,524 | 28,260 | 22,064 | 19,414 | 22,064 | 9,094 | 17,196 | 24,301 |
| Domestic portfolio | 39,179 | 20,891 | 7,456 | 8,229 | 7,456 | 4,835 | 8,468 | 13,214 |
| Foreign portfolio | 11,345 | 7,369 | 14,608 | 11,185 | 14,608 | 4,259 | 8,728 | 11,087 |
| Equities | -22,294 | 736,575 | 69,117 | 18,570 | 69,117 | -124,616 | -9,146 | 110,731 |
| Domestic portfolio | 29,845 | 83,956 | 14,519 | 9,615 | 14,519 | -700 | 7,025 | 7,841 |
| Foreign portfolio | -52,139 | 652,619 | 54,598 | 8,955 | 54,598 | -123,916 | -16,171 | 102,890 |
| Derivatives | 207,347 | -565,800 | 109,668 | 135,442 | 109,668 | 131,289 | 72,260 | -56,862 |
| Other transactions | 7,725 | 12,823 | 7,841 | 6,525 | 7,841 | 4,063 | 6,373 | 971 |
### EXCHANGE DIFFERENCES AND OTHER ITEMS
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|----------------|------|------|------|----------|---------|--------|---------|---------|
| Total | -130,689 | -96,244 | -134,104 | -117,152 | -134,104 | 3,878 | -35,305 | -25,017 |
| Net exchange differences | -149,034 | -110,807 | -142,545 | -127,967 | -142,545 | -2,440 | -40,352 | -29,944 |
| Other operating products and expenses | 10,565 | 14,384 | 14,344 | 10,862 | 14,344 | 6,232 | 7,964 | 10,390 |
| Other transactions | 7,780 | 179 | -5,903 | -47 | -5,903 | 86 | -2,917 | -5,463 |
1 Accumulated data from the beginning of the year to the last day of every quarter. It includes companies removed throughout the year.
### Aggregated income statement. Brokers
| Thousand euro¹ | 2013 | 2014 | 2015 | 2016 |
|----------------|--------|--------|--------|--------|
| | | | | |
| I. Interest income | 1,799 | 1,119 | 884 | 633 |
| II. Net commission | 110,422| 120,634| 113,904| 83,955 |
| Commission revenues | 130,738| 147,137| 135,320| 99,357 |
| Brokering | 40,196 | 41,745 | 31,845 | 25,069 |
| Placement and underwriting | 4,715 | 8,129 | 3,829 | 2,296 |
| Securities deposit and recording | 505 | 567 | 521 | 361 |
| Portfolio management | 16,267 | 15,062 | 10,711 | 7,362 |
| Design and advising | 5,894 | 7,576 | 7,856 | 5,390 |
| Stocks search and placement | 55 | 0 | 216 | 186 |
| Market credit transactions | 11 | 0 | 0 | 0 |
| CIS marketing | 35,823 | 46,565 | 53,169 | 39,519 |
| Other | 27,272 | 27,493 | 27,173 | 19,174 |
| Commission expenses | 20,316 | 26,503 | 21,416 | 15,402 |
| III. Financial investment income | 5 | 775 | 592 | 319 |
| IV. Net exchange differences and other operating products and expenses | -1,633 | 1,102 | 1,197 | 1,236 |
| V. Gross income | 110,593| 123,626| 116,577| 86,143 |
| VI. Operating income | 18,422 | 24,366 | 22,148 | 19,100 |
| VII. Earnings from continuous activities | 14,321 | 19,922 | 17,266 | 18,113 |
| VIII. Net earnings of the period | 14,321 | 19,922 | 17,266 | 18,113 |
¹ Accumulated data from the beginning of the year to the last day of every quarter. It includes companies removed throughout the year.
---
### Aggregated income statement. Portfolio management companies¹,²
| Thousand euro | 2013 | 2014 | 2015 | 2016 |
|---------------|--------|--------|--------|--------|
| | | | | |
| I. Interest income | 667 | 574 | 399 | 325 |
| II. Net commission | 9,362 | 11,104 | 8,526 | 7,362 |
| Commission revenues | 18,603 | 15,411 | 13,064 | 10,982 |
| Portfolio management | 17,028 | 13,572 | 11,150 | 8,902 |
| Design and advising | 1,575 | 849 | 371 | 370 |
| CIS marketing | 0 | 0 | 0 | 0 |
| Other | 0 | 990 | 1,544 | 1,709 |
| Commission expenses | 9,241 | 4,307 | 4,538 | 3,620 |
| III. Financial investment income | 9 | -6 | -28 | -25 |
| IV. Net exchange differences and other operating products and expenses | -32 | -237 | -234 | -267 |
| V. Gross income | 10,006 | 11,435 | 8,663 | 7,392 |
| VI. Operating income | 3,554 | 5,860 | 3,331 | 3,213 |
| VII. Earnings from continuous activities | 2,472 | 4,135 | 2,335 | 2,254 |
| VIII. Net earnings of the period | 2,472 | 4,135 | 2,335 | 2,254 |
¹ Portfolio management companies information is not shown since the first quarter of 2016 with the objective of maintaining statistical secrecy, as the number of companies is not enough to ensure it.
² Accumulated data from the beginning of the year to the last day of every quarter. It includes companies removed throughout the year.
## Capital adequacy and capital ratio
### TABLE 2.11
| | 2013 | 2014 | 2015 | III | IV | I | II | III³ |
|------------------------|--------|--------|--------|--------|--------|--------|--------|--------|
| **TOTAL** | | | | | | | | |
| Total capital ratio⁵ | – | 40.27 | 44.36 | 45.53 | 44.36 | 40.58 | 40.12 | 50.84 |
| Own funds surplus (thousand euro) | 1,033,669 | 1,056,285 | 1,109,837 | 1,158,626 | 1,109,837 | 1,080,658 | 1,124,389 | 1,147,945 |
| Surplus (%)⁶ | 322.58 | 403.43 | 454.50 | 469.13 | 454.50 | 407.25 | 401.44 | 535.50 |
Number of companies according to its surplus percentage
| | 2013 | 2014 | 2015 | III | IV | I | II | III³ |
|---------------------|------|------|------|------|------|------|------|------|
| ≤ 100% | 34 | 16 | 14 | 10 | 14 | 16 | 12 | 12 |
| > 100–≤ 300% | 22 | 24 | 22 | 25 | 22 | 21 | 25 | 25 |
| > 300–≤ 500% | 17 | 12 | 13 | 14 | 13 | 13 | 15 | 14 |
| > 500% | 14 | 21 | 21 | 22 | 21 | 17 | 16 | 19 |
### BROKER-DEALERS
| | 2013 | 2014 | 2015 | III | IV | I | II | III³ |
|------------------------|--------|--------|--------|--------|--------|--------|--------|--------|
| Total capital ratio⁵ | – | 40.84 | 46.13 | 46.41 | 46.13 | 41.84 | 41.28 | 53.60 |
| Own funds surplus (thousand euro) | 960,624 | 981,613 | 1,055,636 | 1,077,568 | 1,055,636 | 1,033,495 | 1,077,548 | 1,102,318 |
| Surplus (%)⁶ | 367.43 | 410.56 | 476.59 | 480.09 | 476.59 | 422.94 | 415.94 | 569.99 |
Number of companies according to its surplus percentage
| | 2013 | 2014 | 2015 | III | IV | I | II | III³ |
|---------------------|------|------|------|------|------|------|------|------|
| ≤ 100% | 9 | 5 | 4 | 3 | 4 | 8 | 5 | 5 |
| > 100–≤ 300% | 11 | 14 | 12 | 11 | 12 | 9 | 12 | 11 |
| > 300–≤ 500% | 13 | 6 | 8 | 9 | 8 | 9 | 11 | 10 |
| > 500% | 8 | 14 | 14 | 15 | 14 | 12 | 12 | 15 |
### BROKERS
| | 2013 | 2014 | 2015 | III | IV | I | II | III³ |
|------------------------|--------|--------|--------|--------|--------|--------|--------|--------|
| Total capital ratio⁵ | – | 24.30 | 25.58 | 26.06 | 25.58 | 25.97 | 25.82 | 25.40 |
| Own funds surplus (thousand euro) | 62,199 | 42,106 | 48,197 | 47,091 | 48,197 | 47,163 | 46,841 | 45,627 |
| Surplus (%)⁶ | 164.46 | 203.80 | 219.78 | 225.71 | 219.78 | 224.66 | 222.79 | 217.51 |
Number of companies according to its surplus percentage
| | 2013 | 2014 | 2015 | III | IV | I | II | III³ |
|---------------------|------|------|------|------|------|------|------|------|
| ≤ 100% | 22 | 11 | 10 | 7 | 10 | 8 | 7 | 7 |
| > 100–≤ 300% | 10 | 8 | 9 | 12 | 9 | 12 | 13 | 14 |
| > 300–≤ 500% | 3 | 6 | 5 | 5 | 5 | 4 | 4 | 4 |
| > 500% | 6 | 4 | 6 | 5 | 6 | 5 | 4 | 4 |
### PORTFOLIO MANAGEMENT COMPANIES⁴
| | 2013 | 2014 | 2015 | III | IV | I | II | III³ |
|------------------------|--------|--------|--------|--------|--------|--------|--------|--------|
| Total capital ratio⁵ | – | 133.69 | 71.26 | 171.65 | 71.26 | – | – | – |
| Own funds surplus (thousand euro) | 10,846 | 32,566 | 6,004 | 33,967 | 6,004 | – | – | – |
| Surplus (%)⁶ | 51.21 | 1,571.12 | 791.04 | 2,045.58 | 791.04 | – | – | – |
Number of companies according to its surplus percentage
| | 2013 | 2014 | 2015 | III | IV | I | II | III³ |
|---------------------|------|------|------|------|------|------|------|------|
| ≤ 100% | 3 | 0 | 0 | 0 | 0 | – | – | – |
| > 100–≤ 300% | 1 | 2 | 1 | 2 | 1 | – | – | – |
| > 300–≤ 500% | 1 | 0 | 0 | 0 | 0 | – | – | – |
| > 500% | 0 | 3 | 1 | 2 | 1 | – | – | – |
---
1 On 1 January 2014 is entered into force Regulation (EU) No. 575/2013 of the European Parliament and of the Council, of 26 June 2013, on prudential requirements for credit institutions and investment firms, which has changed the own funds requirements calculation.
2 Since January 2014 only the entities subject to reporting requirements are included, according to CNMV Circular 2/2014, of 23 June, on the exercise of various regulatory powers regarding solvency requirements for investment firms and their consolidated groups.
3 Provisional data.
4 Portfolio management companies information is not shown since the first quarter of 2016 with the objective of maintaining statistical secrecy, as the number of companies is not enough to ensure it.
5 Total capital ratio is the own funds of the institution expressed as a percentage of the total risk exposure amount. This ratio should not be under 8%.
6 Average surplus percentage is weighted by the required equity of each company. It is an indicator of the number of times, in percentage terms, that the surplus contains the required equity in an average company.
### Return on equity (ROE) before taxes
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|------------------------|--------|--------|--------|----------|---------|---------|---------|----------|
| **TOTAL** | | | | | | | | |
| Average (%) | 16.49 | 22.83 | 15.34 | 16.20 | 15.34 | 12.69 | 15.84 | 12.96 |
| No. of companies | | | | | | | | |
| according to its annualized return | | | | | | | | |
| Losses | 13 | 11 | 21 | 19 | 21 | 27 | 22 | 29 |
| 0-≤ 15% | 37 | 30 | 23 | 24 | 23 | 26 | 31 | 24 |
| > 15-≤ 45% | 22 | 23 | 22 | 21 | 22 | 12 | 10 | 14 |
| > 45-≤ 75% | 9 | 11 | 5 | 5 | 5 | 3 | 4 | 5 |
| > 75% | 6 | 8 | 9 | 12 | 9 | 8 | 10 | 10 |
| **BROKER-DEALERS** | | | | | | | | |
| Average (%) | 16.39 | 23.04 | 14.85 | 15.50 | 14.85 | 13.16 | 16.27 | 12.90 |
| Number of companies | | | | | | | | |
| according to its annualized return | | | | | | | | |
| Losses | 5 | 4 | 9 | 7 | 9 | 11 | 11 | 15 |
| 0-≤ 15% | 15 | 18 | 14 | 13 | 14 | 16 | 16 | 14 |
| > 15-≤ 45% | 16 | 11 | 10 | 13 | 10 | 7 | 6 | 7 |
| > 45-≤ 75% | 4 | 5 | 4 | 1 | 4 | 1 | 3 | 3 |
| > 75% | 1 | 2 | 2 | 4 | 2 | 3 | 4 | 3 |
| **BROKERS** | | | | | | | | |
| Average (%) | 19.34 | 22.18 | 21.52 | 27.87 | 21.52 | 6.30 | 9.60 | 13.86 |
| Number of companies | | | | | | | | |
| according to its annualized return | | | | | | | | |
| Losses | 8 | 7 | 12 | 11 | 12 | 16 | 11 | 14 |
| 0-≤ 15% | 18 | 11 | 8 | 9 | 8 | 10 | 15 | 10 |
| > 15-≤ 45% | 5 | 8 | 11 | 8 | 11 | 5 | 4 | 7 |
| >45-≤75% | 5 | 6 | 1 | 3 | 1 | 2 | 1 | 2 |
| > 75% | 5 | 6 | 7 | 8 | 7 | 5 | 6 | 7 |
| **PORTFOLIO MANAGEMENT COMPANIES** | | | | | | | | |
| Average (%) | 11.41 | 16.95 | 24.49 | 11.67 | 24.49 | – | – | – |
| Number of companies | | | | | | | | |
| according to its annualized return | | | | | | | | |
| Losses | 0 | 0 | 0 | 1 | 0 | – | – | – |
| 0-≤ 15% | 4 | 1 | 1 | 2 | 1 | – | – | – |
| > 15-≤ 45% | 1 | 4 | 1 | 0 | 1 | – | – | – |
| > 45-≤ 75% | 0 | 0 | 0 | 1 | 0 | – | – | – |
| > 75% | 0 | 0 | 0 | 0 | 0 | – | – | – |
1. ROE has been calculated as:
\[
ROE = \frac{Earnings\_before\_taxes\_ (annualized)}{Own\_Funds}
\]
Own Funds= Share capital + Paid-in surplus + Reserves - Own shares + Prior year profits and retained earnings – Interim dividend.
2. Portfolio management companies information is not shown since the first quarter of 2016 with the objective of maintaining statistical secrecy, as the number of companies is not enough to ensure it.
3. Average weighted by equity, %.
---
### Financial advisory firms. Main figures
| | 2013 | 2014 | 2015 | 2014 I | 2014 II | 2015 I | 2015 II |
|------------------------|--------|--------|--------|---------|---------|---------|---------|
| **ASSETS ADVISED** | | | | | | | |
| Total | 17,630,081 | 21,391,510 | 25,407,907 | 14,456,415 | 21,391,510 | – | 25,407,907 |
| Retail clients | 4,991,653 | 5,719,292 | 6,819,150 | 5,488,399 | 5,719,292 | – | 6,819,150 |
| Professional | 3,947,782 | 4,828,459 | 5,109,720 | 4,465,564 | 4,828,459 | – | 5,109,720 |
| Other | 8,690,646 | 10,843,759 | 13,479,037 | 4,502,452 | 10,843,759 | – | 13,479,037 |
| **COMMISSION INCOME** | | | | | | | |
| Total | 33,272 | 47,767 | 56,783 | 21,513 | 47,767 | – | 56,783 |
| Commission revenues | 33,066 | 47,188 | 55,781 | 21,071 | 47,188 | – | 55,781 |
| Other income | 206 | 579 | 1,002 | 442 | 579 | – | 1,002 |
| **EQUITY** | | | | | | | |
| Total | 21,498 | 26,538 | 25,110 | 22,915 | 26,538 | – | 25,110 |
| Share capital | 5,156 | 5,576 | 5,891 | 5,230 | 5,576 | – | 5,891 |
| Reserves and retained earnings | 9,453 | 8,993 | 7,585 | 9,899 | 8,993 | – | 7,585 |
| Income for the year | 6,890 | 11,969 | 11,525 | 7,787 | 11,969 | – | 11,525 |
1. Annual frequency since 2015 (CNMV Circular 3/2014, of 22 October).
2. Data at the end of each period.
3. Accumulated data from the beginning of the year to the last day of every semester.
## Collective investment schemes (CIS)
### Number, management companies and depositaries of collective investment schemes registered at the CNMV
| | 2013 | 2014 | 2015 | IV | 2016 |
|------------------------|--------|--------|--------|--------|--------|
| | | | | I | II | III | IV¹ |
| Total financial CIS | 5,129 | 5,232 | 5,180 | 5,180 | 5,163 | 5,135 | 5,108 | 5,077 |
| Mutual funds | 2,043 | 1,949 | 1,760 | 1,760 | 1,748 | 1,742 | 1,750 | 1,742 |
| Investment companies | 3,035 | 3,228 | 3,372 | 3,372 | 3,367 | 3,344 | 3,308 | 3,285 |
| Funds of hedge funds | 22 | 18 | 11 | 11 | 11 | 10 | 10 | 10 |
| Hedge funds | 29 | 37 | 37 | 37 | 37 | 39 | 40 | 40 |
| Total real estate CIS | 16 | 11 | 9 | 9 | 9 | 9 | 9 | 9 |
| Real estate mutual funds | 6 | 4 | 3 | 3 | 3 | 3 | 3 | 3 |
| Real estate investment companies | 10 | 7 | 6 | 6 | 6 | 6 | 6 | 6 |
| Total foreign CIS marketed in Spain | 782 | 805 | 880 | 880 | 904 | 909 | 927 | 939 |
| Foreign funds marketed in Spain | 409 | 405 | 425 | 425 | 428 | 433 | 437 | 441 |
| Foreign companies marketed in Spain | 373 | 400 | 455 | 455 | 476 | 476 | 490 | 498 |
| Management companies | 96 | 96 | 96 | 96 | 100 | 101 | 101 | 101 |
| CIS depositaries | 77 | 70 | 65 | 65 | 62 | 60 | 59 | 59 |
¹ Available data: October 2016.
### Number of CIS investors and shareholders
| | 2013 | 2014 | 2015 | IV | 2016 |
|------------------------|--------|--------|--------|--------|--------|
| | | | | I | II | III² |
| Total financial CIS | 5,463,820 | 6,859,555 | 8,164,054 | 7,971,499 | 8,164,054 | 8,185,269 | 8,291,387 | 8,498,932 |
| Mutual funds | 5,050,556 | 6,409,344 | 7,680,124 | 7,502,559 | 7,680,124 | 7,697,093 | 7,794,859 | 8,017,629 |
| Investment companies | 413,264 | 450,211 | 483,930 | 468,940 | 483,930 | 488,176 | 491,296 | 481,303 |
| Total real estate CIS | 6,773 | 4,866 | 4,501 | 4,495 | 4,501 | 4,510 | 4,587 | 4,136 |
| Real estate mutual funds | 5,750 | 4,021 | 3,918 | 3,912 | 3,918 | 3,928 | 3,929 | 3,935 |
| Real estate investment companies | 1,023 | 845 | 583 | 583 | 583 | 582 | 658 | 682 |
| Total foreign CIS marketed in Spain | 1,067,708 | 1,317,674 | 1,643,776 | 1,520,804 | 1,643,776 | 1,645,699 | 1,670,136 | 1,724,220 |
| Foreign funds marketed in Spain | 204,067 | 230,104 | 298,733 | 279,236 | 298,733 | 325,003 | 339,328 | 354,032 |
| Foreign companies marketed in Spain | 863,641 | 1,087,570 | 1,345,043 | 1,241,568 | 1,345,043 | 1,320,696 | 1,330,808 | 1,370,188 |
¹ Investors and shareholders who invest in many sub-funds from the same CIS have been taking into account once. For this reason, investors and shareholders can be different from those in tables 3.6 and 3.7.
² Provisional data.
³ Exchange traded funds (ETFs) data is not included.
### CIS total net assets
| | 2013 | 2014 | 2015 | IV | 2016 |
|------------------------|--------|--------|--------|--------|--------|
| | | | | I | II | III¹ |
| Total financial CIS | 184,300.9 | 230,205.7 | 255,677.0 | 251,566.9 | 255,677.0 | 250,634.5 | 252,165.5 | 261,437.0 |
| Mutual funds² | 156,680.1 | 198,718.8 | 222,144.6 | 218,773.8 | 222,144.6 | 218,339.2 | 220,296.0 | 229,117.4 |
| Investment companies | 27,620.8 | 31,486.9 | 33,532.4 | 32,793.1 | 33,532.4 | 32,295.3 | 31,869.5 | 32,319.6 |
| Total real estate CIS | 4,536.2 | 1,226.3 | 1,093.1 | 1,140.9 | 1,093.1 | 1,117.8 | 1,106.4 | 1,091.2 |
| Real estate mutual funds | 3,682.6 | 419.8 | 391.0 | 420.3 | 391.0 | 390.2 | 383.9 | 376.9 |
| Real estate investment companies | 853.7 | 806.5 | 702.1 | 720.5 | 702.1 | 727.5 | 722.5 | 714.3 |
| Total foreign CIS marketed in Spain³ | 54,727.2 | 78,904.3 | 108,091.6 | 85,462.1 | 108,091.6 | 107,329.1 | 107,989.0 | 112,467.8 |
| Foreign funds marketed in Spain | 8,523.2 | 11,166.0 | 15,305.1 | 12,225.2 | 15,305.1 | 16,372.7 | 17,489.5 | 19,495.4 |
| Foreign companies marketed in Spain | 46,204.0 | 67,738.3 | 92,786.5 | 73,236.9 | 92,786.5 | 90,956.4 | 90,499.5 | 92,972.4 |
¹ Provisional data.
² Mutual funds investment in financial mutual funds of the same management company reached 5.1 billion euro in June and 5.2 billion euro in September.
³ Exchange traded funds (ETFs) data is not included.
---
a All information about mutual funds and investment companies comprised in this section do not include hedge funds and funds of hedge funds. The information about hedge funds and funds of hedge funds is included in Table 3.12.
### Mutual funds asset allocation
| Million euro | 2013 | 2014 | 2015 | 2016 |
|--------------|--------|--------|--------|--------|
| | | | | III | IV | I | II | III¹ |
| Asset | 156,680.1 | 198,718.8 | 222,144.6 | 218,773.8 | 222,144.6 | 218,339.2 | 220,296.0 | 229,117.4 |
| Portfolio investment | 149,343.3 | 187,693.9 | 204,797.4 | 200,475.4 | 204,797.4 | 199,377.2 | 201,128.1 | 210,750.0 |
| Domestic securities | 108,312.7 | 114,644.5 | 93,833.6 | 96,089.1 | 93,833.6 | 92,200.6 | 89,770.7 | 93,163.0 |
| Debt securities | 79,480.4 | 79,694.4 | 58,451.3 | 59,171.7 | 58,451.3 | 57,983.1 | 57,062.9 | 60,689.9 |
| Shares | 5,367.4 | 8,448.0 | 8,757.5 | 8,560.3 | 8,757.5 | 7,787.9 | 7,436.6 | 7,834.3 |
| Investment collective schemes | 4,498.1 | 6,065.3 | 5,698.5 | 7,382.1 | 5,698.5 | 5,663.2 | 5,508.7 | 5,641.4 |
| Deposits in credit institutions | 18,443.7 | 19,927.4 | 20,482.9 | 20,590.5 | 20,482.9 | 20,559.8 | 19,505.5 | 18,712.9 |
| Derivatives | 523.0 | 495.4 | 433.7 | 374.1 | 433.7 | 197.2 | 245.9 | 275.8 |
| Other | 0.0 | 14.0 | 9.7 | 10.5 | 9.7 | 9.5 | 11.2 | 8.7 |
| Foreign securities | 41,029.5 | 73,048.3 | 110,957.0 | 104,384.4 | 110,957.0 | 107,171.1 | 111,351.6 | 117,579.5 |
| Debt securities | 20,312.8 | 38,582.2 | 48,542.8 | 47,112.2 | 48,542.8 | 47,603.5 | 51,101.6 | 54,092.7 |
| Shares | 11,034.2 | 13,042.9 | 18,654.1 | 17,057.5 | 18,654.1 | 17,699.4 | 17,874.2 | 18,500.2 |
| Investment collective schemes | 9,286.0 | 20,863.9 | 43,365.7 | 39,628.6 | 43,365.7 | 41,507.4 | 41,991.6 | 44,540.0 |
| Deposits in credit institutions | 45.6 | 243.3 | 104.1 | 141.3 | 104.1 | 125.0 | 171.6 | 95.7 |
| Derivatives | 350.9 | 310.6 | 285.6 | 439.3 | 285.6 | 231.4 | 208.8 | 347.6 |
| Other | 0.0 | 5.4 | 4.8 | 5.4 | 4.8 | 4.4 | 3.8 | 3.3 |
| Doubtful assets and matured investment | 1.2 | 1.2 | 6.8 | 1.9 | 6.8 | 5.5 | 5.9 | 7.5 |
| Intangible assets | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Net fixed assets | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Cash | 7,062.3 | 10,895.0 | 16,594.5 | 17,474.3 | 16,594.5 | 18,354.2 | 18,117.7 | 17,559.1 |
| Net balance (debtors - creditors) | 274.4 | 129.9 | 752.7 | 824.2 | 752.7 | 607.8 | 1,050.1 | 808.3 |
¹ Provisional data.
### Investment companies asset allocation
| Million euro | 2013 | 2014 | 2015 | 2016 |
|--------------|--------|--------|--------|--------|
| | | | | III | IV | I | II | III¹ |
| Asset | 27,620.8 | 31,486.9 | 33,532.4 | 32,793.1 | 33,532.4 | 32,295.3 | 31,869.5 | 32,319.6 |
| Portfolio investment | 26,105.6 | 29,080.6 | 30,035.2 | 28,923.1 | 30,035.2 | 28,549.3 | 27,852.8 | 28,450.5 |
| Domestic securities | 12,118.9 | 11,063.7 | 9,424.4 | 9,545.9 | 9,424.4 | 8,796.2 | 8,046.9 | 7,954.8 |
| Debt securities | 6,304.3 | 5,115.9 | 3,663.3 | 3,804.6 | 3,663.3 | 3,338.2 | 2,765.4 | 2,508.5 |
| Shares | 3,005.5 | 3,324.4 | 3,090.3 | 3,161.8 | 3,090.3 | 2,913.2 | 2,670.7 | 2,788.1 |
| Investment collective schemes | 1,134.9 | 1,433.0 | 1,418.4 | 1,464.0 | 1,418.4 | 1,355.6 | 1,411.1 | 1,522.6 |
| Deposits in credit institutions | 1,645.4 | 1,169.3 | 1,226.3 | 1,096.2 | 1,226.3 | 1,157.8 | 1,171.4 | 1,105.2 |
| Derivatives | 1.4 | -10.8 | -7.4 | -14.0 | -7.4 | -3.7 | -4.6 | -2.7 |
| Other | 27.4 | 31.9 | 33.7 | 33.3 | 33.7 | 35.2 | 32.9 | 33.0 |
| Foreign securities | 13,985.1 | 18,015.2 | 20,608.1 | 19,375.1 | 20,608.1 | 19,748.2 | 19,800.4 | 20,490.2 |
| Debt securities | 2,613.7 | 3,897.1 | 4,472.0 | 4,381.2 | 4,472.0 | 4,455.6 | 4,600.7 | 4,456.5 |
| Shares | 5,085.5 | 6,227.7 | 7,025.9 | 6,414.7 | 7,025.9 | 6,524.8 | 6,317.8 | 6,440.9 |
| Investment collective schemes | 6,119.8 | 7,784.2 | 9,090.2 | 8,562.4 | 9,090.2 | 8,743.3 | 8,861.7 | 9,572.2 |
| Deposits in credit institutions | 5.5 | 2.3 | 6.2 | 10.3 | 6.2 | 8.9 | 6.5 | 6.9 |
| Derivatives | 152.5 | 94.4 | 8.3 | 0.1 | 8.3 | 9.8 | 7.3 | 6.4 |
| Other | 8.1 | 9.5 | 5.5 | 6.4 | 5.5 | 5.9 | 6.5 | 7.3 |
| Doubtful assets and matured investment | 1.5 | 1.7 | 2.7 | 2.1 | 2.7 | 4.8 | 5.5 | 5.6 |
| Intangible assets | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Net fixed assets | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 | 0.1 |
| Cash | 1,302.0 | 2,197.7 | 3,211.3 | 3,462.6 | 3,211.3 | 3,389.8 | 3,684.3 | 3,596.5 |
| Net balance (debtors - creditors) | 213.1 | 208.5 | 285.8 | 407.3 | 285.8 | 356.2 | 332.3 | 272.6 |
¹ Provisional data.
## Financial mutual funds: number, investors and total net assets by category
### NO. OF FUNDS
| Category | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|---------------------------------|------|------|------|----------|---------|--------|---------|----------|
| Total financial mutual funds | 2,045| 1,951| 1,804| 1,846 | 1,804 | 1,799 | 1,809 | 1,810 |
| Fixed-income⁴ | 384 | 359 | 319 | 350 | 319 | 309 | 312 | 308 |
| Mixed fixed-income⁵ | 122 | 123 | 132 | 128 | 132 | 135 | 138 | 146 |
| Mixed equity⁶ | 128 | 131 | 142 | 134 | 142 | 147 | 156 | 166 |
| Euro equity | 108 | 103 | 109 | 108 | 109 | 111 | 111 | 112 |
| Foreign equity | 193 | 191 | 200 | 195 | 200 | 201 | 197 | 201 |
| Guaranteed fixed-income | 374 | 280 | 186 | 202 | 186 | 171 | 155 | 135 |
| Guaranteed equity⁷ | 308 | 273 | 205 | 215 | 205 | 204 | 201 | 196 |
| Global funds | 162 | 162 | 178 | 176 | 178 | 185 | 198 | 200 |
| Passive management | 169 | 227 | 213 | 218 | 213 | 221 | 222 | 221 |
| Absolute return | 97 | 102 | 97 | 97 | 97 | 92 | 98 | 104 |
### INVESTORS
| Category | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|---------------------------------|------|------|------|----------|---------|--------|---------|----------|
| Total financial mutual funds | 5,050,719 | 6,409,806 | 7,682,947 | 7,505,825 | 7,682,947 | 7,699,646 | 7,800,091 | 8,022,685 |
| Fixed-income⁴ | 1,508,009 | 1,941,567 | 2,203,847 | 2,135,489 | 2,203,847 | 2,222,005 | 2,274,700 | 2,315,533 |
| Mixed fixed-income⁵ | 240,676 | 603,099 | 1,130,190 | 1,093,235 | 1,130,190 | 1,113,180 | 1,075,219 | 1,033,454 |
| Mixed equity⁶ | 182,223 | 377,265 | 612,276 | 588,211 | 612,276 | 596,136 | 556,818 | 451,040 |
| Euro equity | 293,193 | 381,822 | 422,469 | 410,777 | 422,469 | 412,495 | 392,465 | 387,786 |
| Foreign equity | 457,606 | 705,055 | 1,041,517 | 988,191 | 1,041,517 | 1,052,810 | 1,052,225 | 1,138,697 |
| Guaranteed fixed-income | 1,002,458 | 669,448 | 423,409 | 453,383 | 423,409 | 378,017 | 355,577 | 325,955 |
| Guaranteed equity⁷ | 608,051 | 557,030 | 417,843 | 419,718 | 417,843 | 463,423 | 497,543 | 515,563 |
| Global funds | 128,741 | 223,670 | 381,590 | 396,176 | 381,590 | 383,066 | 456,609 | 625,931 |
| Passive management | 441,705 | 686,526 | 554,698 | 574,816 | 554,698 | 557,262 | 609,995 | 681,545 |
| Absolute return | 188,057 | 264,324 | 479,182 | 429,512 | 479,182 | 505,442 | 513,724 | 532,151 |
### TOTAL NET ASSETS (million euro)
| Category | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|---------------------------------|------|------|------|----------|---------|--------|---------|----------|
| Total financial mutual funds | 156,680.1 | 198,718.8 | 222,144.6 | 218,773.8 | 222,144.6 | 218,339.2 | 220,296.0 | 229,117.4 |
| Fixed-income⁴ | 55,058.9 | 70,330.9 | 65,583.8 | 66,979.3 | 65,583.8 | 67,765.4 | 70,308.6 | 73,001.3 |
| Mixed fixed-income⁵ | 8,138.0 | 24,314.3 | 44,791.8 | 43,536.3 | 44,791.8 | 42,585.9 | 40,541.2 | 39,644.2 |
| Mixed equity⁶ | 6,312.4 | 13,570.4 | 21,502.9 | 20,138.7 | 21,502.9 | 20,170.2 | 17,595.1 | 15,601.3 |
| Euro equity | 8,632.8 | 8,401.5 | 9,092.9 | 8,535.9 | 9,092.9 | 8,160.0 | 7,410.3 | 7,795.7 |
| Foreign equity | 8,849.0 | 12,266.4 | 17,143.2 | 15,545.7 | 17,143.2 | 16,162.8 | 15,424.4 | 16,274.4 |
| Guaranteed fixed-income | 31,481.2 | 20,417.0 | 12,375.6 | 13,437.4 | 12,375.6 | 10,818.8 | 9,854.5 | 9,066.1 |
| Guaranteed equity⁷ | 12,503.8 | 12,196.4 | 9,966.6 | 9,567.6 | 9,966.6 | 11,862.3 | 13,277.3 | 14,064.6 |
| Global funds | 4,528.1 | 6,886.3 | 12,683.3 | 11,743.2 | 12,683.3 | 12,300.8 | 16,190.4 | 20,067.8 |
| Passive management | 16,515.9 | 23,837.5 | 17,731.1 | 18,636.8 | 17,731.1 | 17,403.6 | 18,534.2 | 21,872.0 |
| Absolute return | 4,659.9 | 6,498.1 | 11,228.1 | 10,595.6 | 11,228.1 | 11,073.7 | 11,134.1 | 11,704.0 |
---
1. Sub-funds which have sent reports to the CNMV excluding those in process of dissolution or liquidation.
2. From July 2015 on, side-pocket sub-funds data is only included in aggregate figures, but it is not included in any category.
3. Preliminary data.
4. Fixed income euro, Foreign fixed-income, Monetary market funds and Short-term monetary market funds.
5. Mixed euro fixed-income and Foreign mixed fixed-income.
6. Mixed euro equity and Foreign mixed equity.
7. Guaranteed equity and Partial guarantee.
### Financial mutual funds: Detail of investors and total net assets by type of investors
| INVESTORS | 2013 | 2014 | 2015 | 2016 III | 2016 IV | 2016 I | 2016 II | 2016 III¹ |
|-----------|--------|--------|--------|----------|---------|---------|---------|------------|
| Total financial mutual funds | 5,050,719 | 6,409,806 | 7,682,947 | 7,505,825 | 7,682,947 | 7,699,646 | 7,800,091 | 8,022,685 |
| Individuals | 4,906,380 | 6,235,148 | 7,494,162 | 7,317,375 | 7,494,162 | 7,512,398 | 7,612,930 | 7,832,380 |
| Residents | 4,848,184 | 6,170,201 | 7,422,330 | 7,246,672 | 7,422,330 | 7,440,677 | 7,541,093 | 7,758,911 |
| Non-residents | 58,196 | 64,947 | 71,832 | 70,703 | 71,832 | 71,721 | 71,837 | 73,469 |
| Legal entities | 144,339 | 174,658 | 188,785 | 188,450 | 188,785 | 187,248 | 187,161 | 190,305 |
| Credit institutions | 521 | 493 | 532 | 606 | 532 | 480 | 483 | 508 |
| Other resident institutions | 143,083 | 173,351 | 187,395 | 187,003 | 187,395 | 185,938 | 185,856 | 188,995 |
| Non-resident institutions | 735 | 814 | 858 | 841 | 858 | 830 | 822 | 802 |
#### TOTAL NET ASSETS (million euro)
| TOTAL NET ASSETS | 2013 | 2014 | 2015 | 2016 III | 2016 IV | 2016 I | 2016 II | 2016 III¹ |
|------------------|--------|--------|--------|----------|---------|---------|---------|------------|
| Total financial mutual funds | 156,680.1 | 198,718.8 | 222,144.6 | 218,773.8 | 222,144.6 | 218,339.2 | 220,296.0 | 229,117.4 |
| Individuals | 125,957.2 | 159,423.5 | 181,868.0 | 177,186.3 | 181,868.0 | 178,669.1 | 180,902.2 | 188,220.8 |
| Residents | 124,175.3 | 157,135.2 | 179,232.4 | 174,631.0 | 179,232.4 | 176,070.8 | 178,305.7 | 185,467.5 |
| Non-residents | 1,781.9 | 2,288.3 | 2,635.6 | 2,555.3 | 2,635.6 | 2,598.2 | 2,596.4 | 2,753.2 |
| Legal entities | 30,722.9 | 39,295.4 | 40,276.6 | 41,587.6 | 40,276.6 | 39,670.2 | 39,393.8 | 40,896.6 |
| Credit institutions | 547.6 | 459.8 | 483.0 | 492.5 | 483.0 | 500.3 | 471.0 | 440.9 |
| Other resident institutions | 29,743.3 | 38,245.2 | 39,071.0 | 40,378.2 | 39,071.0 | 38,598.3 | 38,304.7 | 39,806.0 |
| Non-resident institutions | 431.9 | 590.4 | 722.6 | 716.9 | 722.6 | 571.5 | 618.0 | 649.7 |
¹ Provisional data.
---
### Subscriptions and redemptions of financial mutual funds by category¹, ²
| SUBSCRIPTIONS | Million euro | 2013 | 2014 | 2015 | 2016 III | 2016 IV | 2016 I | 2016 II | 2016 III³ |
|---------------|--------------|--------|--------|--------|----------|---------|---------|---------|------------|
| Total financial mutual funds | 91,115.7 | 136,161.2 | 159,036.2 | 29,322.7 | 33,581.4 | 26,772.1 | 27,272.4 | 27,729.7 |
| Fixed-income | 50,154.7 | 65,698.5 | 66,789.7 | 12,821.2 | 17,294.7 | 14,415.3 | 13,923.7 | 10,893.9 |
| Mixed fixed-income | 4,569.8 | 21,675.7 | 36,441.2 | 5,307.6 | 5,234.2 | 2,429.8 | 2,695.9 | 2,417.0 |
| Mixed equity | 3,021.8 | 8,991.2 | 13,771.0 | 2,434.2 | 2,222.3 | 1,038.1 | 816.9 | 807.5 |
| Euro equity | 4,082.8 | 6,702.0 | 6,719.9 | 1,639.6 | 1,301.3 | 999.5 | 931.1 | 583.2 |
| Foreign equity | 3,697.4 | 5,843.2 | 11,236.2 | 2,274.9 | 2,509.4 | 1,560.4 | 1,584.4 | 1,636.1 |
| Guaranteed fixed-income | 5,964.0 | 847.8 | 562.4 | 251.4 | 61.5 | 131.1 | 688.7 | 460.8 |
| Guaranteed equity | 1,937.5 | 3,684.6 | 1,993.2 | 428.3 | 1,108.2 | 2,370.8 | 2,187.2 | 1,389.6 |
| Global funds | 2,175.2 | 3,752.9 | 9,636.1 | 1,635.8 | 1,636.2 | 1,303.2 | 1,159.9 | 4,778.0 |
| Passive management | 13,627.5 | 15,081.3 | 3,350.5 | 894.4 | 807.6 | 969.2 | 2,417.1 | 3,647.4 |
| Absolute return | 1,885.0 | 3,884.4 | 8,363.0 | 1,462.2 | 1,406.1 | 1,554.4 | 867.4 | 1,116.2 |
| REDEMPTIONS | Million euro | 2013 | 2014 | 2015 | 2016 III | 2016 IV | 2016 I | 2016 II | 2016 III³ |
|-------------|--------------|--------|--------|--------|----------|---------|---------|---------|------------|
| Total financial mutual funds | 66,982.7 | 100,188.5 | 135,569.6 | 27,182.6 | 33,228.4 | 27,264.5 | 25,258.2 | 21,831.0 |
| Fixed-income | 36,371.6 | 52,205.8 | 72,141.1 | 13,745.3 | 18,872.3 | 12,336.8 | 12,087.6 | 8,493.1 |
| Mixed fixed-income | 2,510.5 | 5,963.7 | 15,273.7 | 3,443.5 | 4,268.1 | 4,034.2 | 3,258.2 | 3,617.0 |
| Mixed equity | 1,139.9 | 2,423.5 | 5,617.2 | 1,245.9 | 1,471.8 | 1,750.9 | 1,199.9 | 3,119.7 |
| Euro equity | 2,352.5 | 4,517.1 | 6,251.0 | 1,526.9 | 1,079.7 | 1,251.1 | 1,341.2 | 755.8 |
| Foreign equity | 2,797.2 | 5,311.4 | 7,175.7 | 1,544.0 | 1,889.6 | 1,884.8 | 1,684.0 | 1,398.9 |
| Guaranteed fixed-income | 10,433.2 | 11,301.4 | 7,369.8 | 1,478.7 | 884.5 | 1,399.3 | 1,653.6 | 1,273.9 |
| Guaranteed equity | 4,007.7 | 4,594.1 | 4,593.0 | 780.3 | 1,007.9 | 617.9 | 666.7 | 619.5 |
| Global funds | 1,327.8 | 1,570.6 | 3,830.8 | 979.7 | 985.0 | 1,381.2 | 1,443.1 | 1,240.5 |
| Passive management | 4,089.3 | 10,110.4 | 9,614.7 | 1,589.9 | 1,938.2 | 1,121.6 | 1,089.0 | 664.2 |
| Absolute return | 1,952.8 | 2,190.5 | 3,551.6 | 709.7 | 819.0 | 1,477.0 | 824.9 | 648.4 |
¹ Estimated data.
² From July 2015 on, side-pocket sub-funds data is only included in aggregate figures, but it is not included in any category.
³ Provisional data.
## Financial mutual funds asset change by category:
### Net subscriptions/redemptions and return on assets
| Million euro | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|--------------|--------|--------|--------|----------|---------|---------|---------|----------|
| **NET SUBSCRIPTIONS/REDEMPTIONS** | | | | | | | | |
| Total financial mutual funds | 24,086.2 | 35,794.5 | 22,763.6 | 2,128.4 | 234.5 | -508.8 | 2,007.5 | 5,995.8 |
| Fixed-income | 13,405.0 | 13,821.0 | -4,816.1 | -629.0 | -1,657.0 | 2,093.1 | 2,387.0 | 2,456.3 |
| Mixed fixed-income | 2,369.7 | 15,689.2 | 20,903.0 | 1,552.8 | 837.6 | -1,618.6 | -2,165.9 | -1,165.1 |
| Mixed equity | 2,673.3 | 6,842.3 | 8,227.3 | 1,150.2 | 877.0 | -698.6 | -2,573.6 | -2,261.0 |
| Euro equity | 1,733.5 | -338.3 | 467.2 | 112.5 | 221.6 | -274.1 | -394.1 | -176.7 |
| Foreign equity | 865.9 | 2,715.6 | 4,110.2 | 733.0 | 619.8 | -132.8 | -664.4 | 246.2 |
| Guaranteed fixed-income | -6,717.5 | -11,761.5 | -8,093.5 | -1,309.5 | -1,073.5 | -1,566.5 | -987.0 | -813.1 |
| Guaranteed equity | -2,689.1 | -651.7 | -2,396.4 | -287.5 | 290.0 | 1,984.5 | 1,360.5 | 655.6 |
| Global funds | -176.7 | 2,110.3 | 5,787.9 | 692.8 | 675.0 | -75.7 | 3,884.7 | 3,574.9 |
| Passive management | 12,675.2 | 5,632.0 | -6,274.9 | -695.7 | -1,130.7 | -113.5 | 1,122.6 | 2,981.4 |
| Absolute return | -53.2 | 1,735.6 | 4,802.6 | 750.2 | 587.0 | -97.4 | 47.6 | 497.3 |
| **RETURN ON ASSETS** | | | | | | | | |
| Total financial mutual funds | 8,566.5 | 6,260.3 | 680.1 | -5,402.5 | 3,136.5 | -3,290.6 | -50.4 | 2,834.7 |
| Fixed-income | 990.0 | 1,451.7 | 69.3 | 8.3 | 261.5 | 88.4 | 156.2 | 236.5 |
| Mixed fixed-income | 267.6 | 487.2 | -425.2 | -836.6 | 418.1 | -587.1 | 121.6 | 268.2 |
| Mixed equity | 459.3 | 415.5 | -294.8 | -1,068.3 | 487.3 | -634.1 | -1.5 | 267.2 |
| Euro equity | 1,629.1 | 107.0 | 224.2 | -954.3 | 335.4 | -658.8 | -355.7 | 562.1 |
| Foreign equity | 1,368.1 | 701.7 | 766.6 | -1,508.2 | 977.8 | -847.6 | -73.9 | 603.9 |
| Guaranteed fixed-income | 1,754.3 | 697.3 | 52.1 | 44.6 | 11.7 | 9.7 | 22.7 | 24.7 |
| Guaranteed equity | 779.8 | 344.5 | 166.6 | -141.8 | 109.0 | -88.8 | 54.5 | 131.7 |
| Global funds | 346.2 | 248.0 | 9.3 | -536.7 | 265.2 | -306.9 | 4.9 | 302.5 |
| Passive management | 861.0 | 1,704.8 | 185.5 | -265.9 | 225.0 | -208.3 | 8.0 | 365.2 |
| Absolute return | 111.1 | 102.7 | -72.7 | -142.6 | 45.4 | -56.9 | 12.8 | 72.6 |
1 From July 2015 on, side-pocket sub-funds data is only included in aggregate figures, but it is not included in any category.
2 Provisional data.
### Financial mutual funds return on assets. Detail by category
| % of daily average total net assets | 2013 | 2014 | 2015 | 2016 |
|------------------------------------|------|------|------|------|
| | | | | III | IV | I | II | III² |
| **MANAGEMENT YIELDS** | | | | | | | | |
| Total financial mutual funds | 7.37 | 4.84 | 1.54 | -2.18| 1.71 | -1.26| 0.24 | 1.54 |
| Fixed-income | 2.96 | 3.20 | 0.85 | 0.19 | 0.59 | 0.30 | 0.39 | 0.50 |
| Mixed fixed-income | 5.20 | 5.16 | 1.06 | -1.61| 1.25 | -1.07| 0.60 | 0.98 |
| Mixed equity | 11.84| 6.46 | 0.83 | -4.85| 2.65 | -2.78| 0.35 | 2.07 |
| Euro equity | 28.36| 4.00 | 3.52 | -9.84| 4.14 | -7.64| -3.89| 7.81 |
| Foreign equity | 21.47| 8.38 | 7.25 | -8.81| 6.26 | -4.84| 0.02 | 4.27 |
| Guaranteed fixed-income | 5.80 | 3.52 | 1.20 | 0.56 | 0.32 | 0.30 | 0.42 | 0.45 |
| Guaranteed equity | 7.34 | 4.08 | 2.01 | -1.19| 1.40 | -0.61| 0.63 | 1.17 |
| Global funds | 9.86 | 6.07 | 2.73 | -4.28| 2.43 | -2.23| 0.32 | 2.08 |
| Passive management | 9.84 | 8.80 | 1.17 | -1.22| 1.41 | -1.02| 0.23 | 1.92 |
| Absolute return | 3.61 | 3.11 | 0.85 | -1.13| 0.70 | -0.28| 0.37 | 0.89 |
| **EXPENSES. MANAGEMENT FEE** | | | | | | | | |
| Total financial mutual funds | 0.98 | 0.98 | 1.00 | 0.24 | 0.26 | 0.24 | 0.23 | 0.25 |
| Fixed-income | 0.68 | 0.70 | 0.65 | 0.16 | 0.16 | 0.14 | 0.14 | 0.15 |
| Mixed fixed-income | 1.13 | 1.19 | 1.17 | 0.29 | 0.29 | 0.28 | 0.28 | 0.28 |
| Mixed equity | 1.51 | 1.42 | 1.44 | 0.33 | 0.36 | 0.34 | 0.35 | 0.35 |
| Euro equity | 1.85 | 1.80 | 1.78 | 0.39 | 0.45 | 0.43 | 0.43 | 0.44 |
| Foreign equity | 1.83 | 1.78 | 1.72 | 0.38 | 0.43 | 0.41 | 0.41 | 0.43 |
| Guaranteed fixed-income | 0.86 | 0.88 | 0.84 | 0.21 | 0.21 | 0.19 | 0.17 | 0.16 |
| Guaranteed equity | 1.25 | 1.20 | 1.04 | 0.26 | 0.24 | 0.20 | 0.18 | 0.17 |
| Global funds | 1.32 | 1.20 | 1.10 | 0.21 | 0.27 | 0.25 | 0.26 | 0.44 |
| Passive management | 0.72 | 0.64 | 0.65 | 0.16 | 0.16 | 0.15 | 0.15 | 0.13 |
| Absolute return | 1.13 | 1.07 | 1.00 | 0.23 | 0.25 | 0.24 | 0.24 | 0.25 |
| **EXPENSES. DEPOSITORY FEE** | | | | | | | | |
| Total financial mutual funds | 0.08 | 0.08 | 0.08 | 0.02 | 0.02 | 0.02 | 0.02 | 0.02 |
| Fixed-income | 0.08 | 0.08 | 0.08 | 0.02 | 0.02 | 0.02 | 0.02 | 0.02 |
| Mixed fixed-income | 0.08 | 0.09 | 0.08 | 0.02 | 0.02 | 0.02 | 0.02 | 0.02 |
| Mixed equity | 0.12 | 0.10 | 0.12 | 0.03 | 0.03 | 0.03 | 0.03 | 0.03 |
| Euro equity | 0.09 | 0.12 | 0.12 | 0.03 | 0.03 | 0.03 | 0.03 | 0.03 |
| Foreign equity | 0.12 | 0.11 | 0.12 | 0.03 | 0.03 | 0.03 | 0.03 | 0.03 |
| Guaranteed fixed-income | 0.08 | 0.08 | 0.08 | 0.02 | 0.02 | 0.02 | 0.02 | 0.02 |
| Guaranteed equity | 0.08 | 0.08 | 0.08 | 0.02 | 0.02 | 0.02 | 0.01 | 0.01 |
| Global funds | 0.08 | 0.09 | 0.08 | 0.02 | 0.02 | 0.02 | 0.02 | 0.03 |
| Passive management | 0.08 | 0.07 | 0.08 | 0.02 | 0.02 | 0.02 | 0.02 | 0.01 |
| Absolute return | 0.08 | 0.08 | 0.08 | 0.02 | 0.02 | 0.02 | 0.02 | 0.02 |
---
1 From July 2015 on, side-pocket sub-funds data is only included in aggregate figures, but it is not included in any category.
2 Provisional data.
---
### Mutual funds returns. Detail by category
| In % | 2013 | 2014 | 2015 | 2016 |
|------|------|------|------|------|
| | | | | III | IV | I | II | III² |
| Total financial mutual funds | 6.50 | 3.67 | 0.89 | -2.36| 1.51 | -1.36| -0.03| 1.34 |
| Fixed-income | 2.28 | 2.41 | 0.10 | -0.02| 0.38 | 0.16 | 0.23 | 0.34 |
| Mixed fixed-income | 4.16 | 3.67 | 0.16 | -1.84| 0.97 | -1.27| 0.30 | 0.69 |
| Mixed equity | 10.85| 4.70 | 0.15 | -4.97| 2.43 | -2.84| 0.00 | 1.75 |
| Euro equity | 28.06| 2.09 | 3.44 | -9.98| 4.12 | -6.99| -4.49| 7.89 |
| Foreign equity | 20.30| 6.61 | 7.84 | -8.71| 6.30 | -4.62| -0.44| 4.00 |
| Guaranteed fixed-income | 4.96 | 2.54 | 0.27 | 0.32 | 0.09 | 0.09 | 0.19 | 0.27 |
| Guaranteed equity | 6.15 | 2.64 | 1.07 | -1.48| 1.18 | -0.87| 0.37 | 0.97 |
| Global funds | 8.71 | 4.63 | 2.45 | -4.38| 2.33 | -2.21| 0.02 | 2.10 |
| Passive management | 8.88 | 7.74 | 0.53 | -1.44| 1.23 | -1.13| -0.03| 1.63 |
| Absolute return | 2.46 | 1.98 | 0.12 | -1.31| 0.45 | -0.51| 0.12 | 0.65 |
1 From July 2015 on, side-pocket sub-funds data is only included in aggregate figures, but it is not included in any category.
2 Provisional data.
### Hedge funds and funds of hedge funds
| | 2012 | 2013 | 2014 | 2015 II | 2015 III | 2015 IV | 2016 I | 2016 II |
|------------------------|--------|--------|--------|---------|----------|---------|--------|---------|
| **HEDGE FUNDS** | | | | | | | | |
| Investors/shareholders | 2,415 | 2,819 | 3,089 | 3,120 | 3,121 | 3,089 | 3,011 | 2,928 |
| Total net assets (million euro) | 1,036.7 | 1,369.5 | 1,764.8 | 1,704.1 | 1,708.4 | 1,764.8 | 1,652.2 | 1,690.2 |
| Subscriptions (million euro) | 401.7 | 574.6 | 596.6 | 249.8 | 151.1 | 51.2 | 44.2 | 123.5 |
| Redemptions (million euro) | 414.3 | 293.8 | 260.5 | 85.2 | 54.9 | 58.5 | 130.4 | 76.1 |
| Net subscriptions/redemptions (million euro) | -12.6 | 280.8 | 336.1 | 164.6 | 96.2 | -7.3 | -86.2 | 47.5 |
| Return on assets (million euro) | 130.0 | 52.0 | 56.3 | -45.8 | -91.9 | 63.6 | -26.4 | -9.4 |
| Returns (%) | 16.48 | 5.30 | 4.83 | -2.49 | -5.56 | 3.90 | -1.30 | -0.50 |
| Management yields (%)<sup>1</sup> | 17.22 | 7.39 | 6.17 | -2.58 | -5.05 | 4.36 | -0.90 | -0.34 |
| Management fee (%)<sup>1</sup> | 2.87 | 2.21 | 2.34 | 0.30 | 0.21 | 0.60 | 0.71 | 0.37 |
| Financial expenses (%)<sup>1</sup> | 0.04 | 0.32 | 0.51 | 0.13 | 0.11 | 0.10 | 0.10 | 0.00 |
| **FUNDS OF HEDGE FUNDS** | | | | | | | | |
| Investors/shareholders | 3,022 | 2,734 | 1,265 | 1,363 | 1,365 | 1,265 | 1,262 | 1,255 |
| Total net assets (million euro) | 350.3 | 345.4 | 319.8 | 345.6 | 338.0 | 319.8 | 306.3 | 290.7 |
| Subscriptions (million euro) | 4.9 | 7.1 | 8.3 | 3.3 | 0.4 | 3.8 | 0.0 | 0.0 |
| Redemptions (million euro) | 215.2 | 40.8 | 54.9 | 12.8 | 1.0 | 29.1 | 4.4 | 17.2 |
| Net subscriptions/redemptions (million euro) | -210.3 | -33.7 | -46.6 | -9.5 | -0.6 | -25.3 | -4.4 | -17.2 |
| Return on assets (million euro) | 20.6 | 28.9 | 21.0 | -12.0 | -7.0 | 7.2 | -9.1 | 1.7 |
| Returns (%) | 4.39 | 8.48 | 6.16 | -3.29 | -1.90 | 2.07 | -2.89 | 0.56 |
| Management yields (%)<sup>2</sup> | 5.78 | 9.72 | 6.61 | -3.17 | -1.86 | 2.45 | -2.72 | 0.80 |
| Management fee (%)<sup>2</sup> | 1.28 | 1.07 | 0.48 | 0.22 | 0.21 | 0.23 | 0.21 | 0.19 |
| Depository fee (%)<sup>2</sup> | 0.08 | 0.08 | 0.04 | 0.02 | 0.02 | 0.02 | 0.01 | 0.01 |
<sup>1</sup> % of monthly average total net assets.
<sup>2</sup> % of daily average total net assets.
---
### CIS management companies. Number of portfolios and assets under management<sup>1</sup>
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III<sup>2</sup> |
|------------------------|--------|--------|--------|----------|---------|--------|---------|----------------------|
| **NUMBER OF PORTFOLIOS<sup>3</sup>** | | | | | | | | |
| Mutual funds | 2,043 | 1,949 | 1,760 | 1,805 | 1,760 | 1,748 | 1,742 | 1,750 |
| Investment companies | 2,975 | 3,164 | 3,333 | 3,292 | 3,333 | 3,338 | 3,323 | 3,297 |
| Funds of hedge funds | 22 | 18 | 11 | 14 | 11 | 11 | 10 | 10 |
| Hedge funds | 29 | 35 | 37 | 37 | 37 | 37 | 39 | 40 |
| Real estate mutual funds | 6 | 4 | 3 | 3 | 3 | 3 | 3 | 3 |
| Real estate investment companies | 10 | 7 | 6 | 6 | 6 | 6 | 6 | 6 |
| **ASSETS UNDER MANAGEMENT (million euro)** | | | | | | | | |
| Mutual funds | 156,680.1 | 198,718.8 | 222,144.6 | 218,773.8 | 222,144.6 | 218,339.2 | 220,296.0 | 229,117.4 |
| Investment companies | 26,830.1 | 30,613.8 | 32,879.4 | 32,003.7 | 32,879.4 | 31,766.3 | 31,425.4 | 31,914.4 |
| Funds of hedge funds | 350.3 | 345.4 | 319.8 | 338.0 | 319.8 | 310.7 | – | – |
| Hedge funds | 1,036.6 | 1,328.0 | 1,764.8 | 1,699.2 | 1,764.8 | 1,622.7 | 1,690.2 | – |
| Real estate mutual funds | 3,682.6 | 419.8 | 391.0 | 420.3 | 391.0 | 390.2 | 383.9 | 376.9 |
| Real estate investment companies | 853.7 | 806.5 | 702.1 | 720.5 | 702.1 | 727.5 | 722.5 | 714.3 |
<sup>1</sup> Until March 2016, it is considered as “assets under management” all the assets of the investment companies which are co-managed by management companies and other different companies.
<sup>2</sup> Provisional data.
<sup>3</sup> Data source: Collective Investment Schemes Registers.
### Foreign CIS marketed in Spain
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|------------------------|--------|--------|--------|----------|---------|---------|---------|----------|
| **INVESTMENT VOLUME** | | | | | | | | |
| Total | 54,727.2 | 78,904.3 | 108,091.6 | 85,462.1 | 108,091.6 | 107,329.1 | 107,989.0 | 112,467.8 |
| Mutual funds | 8,523.2 | 11,166.0 | 15,305.1 | 12,225.2 | 15,305.1 | 16,372.7 | 17,489.5 | 19,495.4 |
| Investment companies | 46,204.0 | 67,738.3 | 92,786.5 | 73,236.9 | 92,786.5 | 90,956.4 | 90,499.5 | 92,972.4 |
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|------------------------|--------|--------|--------|----------|---------|---------|---------|----------|
| **INVESTORS/SHAREHOLDERS** | | | | | | | | |
| Total | 1,067,708 | 1,317,674 | 1,643,776 | 1,520,804 | 1,643,776 | 1,645,699 | 1,670,136 | 1,724,220 |
| Mutual funds | 204,067 | 230,104 | 298,733 | 279,236 | 298,733 | 325,003 | 339,328 | 354,032 |
| Investment companies | 863,641 | 1,087,570 | 1,345,043 | 1,241,568 | 1,345,043 | 1,320,696 | 1,330,808 | 1,370,188 |
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|------------------------|--------|--------|--------|----------|---------|---------|---------|----------|
| **NUMBER OF SCHEMES** | | | | | | | | |
| Total | 782 | 805 | 880 | 859 | 880 | 904 | 909 | 927 |
| Mutual funds | 409 | 405 | 425 | 421 | 425 | 428 | 433 | 437 |
| Investment companies | 373 | 400 | 455 | 438 | 455 | 476 | 476 | 490 |
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|------------------------|--------|--------|--------|----------|---------|---------|---------|----------|
| **COUNTRY** | | | | | | | | |
| Luxembourg | 321 | 333 | 362 | 351 | 362 | 378 | 372 | 385 |
| France | 272 | 264 | 282 | 280 | 282 | 277 | 282 | 283 |
| Ireland | 103 | 117 | 143 | 136 | 143 | 152 | 152 | 156 |
| Germany | 32 | 33 | 32 | 32 | 32 | 32 | 32 | 32 |
| United Kingdom | 22 | 26 | 31 | 29 | 31 | 31 | 32 | 32 |
| The Netherlands | 2 | 2 | 2 | 2 | 2 | 2 | 2 | 2 |
| Austria | 24 | 25 | 23 | 24 | 23 | 23 | 22 | 22 |
| Belgium | 4 | 4 | 4 | 4 | 4 | 4 | 4 | 4 |
| Denmark | 1 | 1 | 1 | 1 | 1 | 1 | 1 | 1 |
| Finland | 0 | 0 | 0 | 0 | 0 | 4 | 4 | 4 |
| Liechtenstein | 0 | 0 | 0 | 0 | 0 | 0 | 6 | 6 |
1 Exchange traded funds (ETFs) data is not included.
2 Provisional data.
3 Investment volume: participations or shares owned by the investors/shareholders at the end of the period valued at that moment.
---
### Real estate investment schemes
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|------------------------|--------|--------|--------|----------|---------|---------|---------|----------|
| **REAL ESTATE MUTUAL FUNDS** | | | | | | | | |
| Number | 6 | 3 | 3 | 3 | 3 | 3 | 3 | 3 |
| Investors | 5,750 | 4,021 | 3,918 | 3,912 | 3,918 | 3,928 | 3,929 | 3,935 |
| Asset (million euro) | 3,682.6| 419.8 | 391.0 | 420.3 | 391.0 | 390.2 | 383.9 | 376.9 |
| Return on assets (%) | -11.28 | -5.87 | -6.66 | 0.19 | -6.96 | -0.21 | -1.61 | -1.82 |
| | 2013 | 2014 | 2015 | 2015 III | 2015 IV | 2016 I | 2016 II | 2016 III |
|------------------------|--------|--------|--------|----------|---------|---------|---------|----------|
| **REAL ESTATE INVESTMENT COMPANIES** | | | | | | | | |
| Number | 10 | 7 | 6 | 6 | 6 | 6 | 6 | 6 |
| Shareholders | 1,023 | 845 | 583 | 583 | 583 | 582 | 658 | 682 |
| Asset (million euro) | 853.7 | 806.5 | 702.1 | 720.5 | 702.1 | 727.5 | 722.5 | 714.3 |
1 Real estate investment schemes which have sent reports to the CNMV, excluding those in process of dissolution or liquidation.
2 Provisional data.
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Strategy Research Project
AN OCEAN CLOSER: RE-EXAMINING US FORCE REDUCTIONS IN EUROPE
BY
COLONEL SHAWN MCGINLEY United States Army
DISTRIBUTION STATEMENT A:
Approved for Public Release. Distribution is Unlimited.
USAWC CLASS OF 2009
This SRP is submitted in partial fulfillment of the requirements of the Master of Strategic Studies Degree. The views expressed in this student academic research paper are those of the author and do not reflect the official policy or position of the Department of the Army, Department of Defense, or the U.S. Government.
U.S. Army War College, Carlisle Barracks, PA 17013-5050
The U.S. Army War College is accredited by the Commission on Higher Education of the Middle State Association of Colleges and Schools, 3624 Market Street, Philadelphia, PA 19104, (215) 662-5606. The Commission on Higher Education is an institutional accrediting agency recognized by the U.S. Secretary of Education and the Council for Higher Education Accreditation.
REPORT DOCUMENTATION PAGE
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1. REPORT DATE(DD-MM-YYYY)
26-02-2009
2. REPORT TYPE
Strategy Research Project
3. DATES COVERED (From - To)
4. TITLE AND SUBTITLE
An Ocean Closer: Re-Examining US Force Reductions in Europe
5a. CONTRACT NUMBER
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6. AUTHOR(S)
Colonel Shawn P. McGinley
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7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES)
Colonel James Shufelt Center for Strategic Leadership
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U.S. Army War College
122 Forbes Avenue
Carlisle, PA 17013
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13. SUPPLEMENTARY NOTES
14. ABSTRACT
What is a sufficient U.S. military force structure for ground forces in Europe given the current VUCA environment? The original plan to draw forces down to 2 ground brigades has been put on hold based on a request by the EUCOM Commander. How does EUCOM's strategic vision and force requirements compare with potential future US National strategies? How does the current financial crisis effect the situation? This paper will explore these issues and offer an assessment on the continued value of sustaining the current US ground force presence in Europe. It will also suggest possible adjustments to US national security documents.
15. SUBJECT TERMS
EUCOM, Force Structure
16. SECURITY CLASSIFICATION OF:
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OF ABSTRACT
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a. REPORT
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26
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USAWC STRATEGY RESEARCH PROJECT
AN OCEAN CLOSER: RE-EXAMINING US FORCE REDUCTIONS IN EUROPE
by
Colonel Shawn McGinley United States Army
Colonel James Shufelt Project Adviser
This SRP is submitted in partial fulfillment of the requirements of the Master of Strategic Studies Degree. The U.S. Army War College is accredited by the Commission on Higher Education of the Middle States Association of Colleges and Schools, 3624 Market Street, Philadelphia, PA 19104, (215) 662-5606. The Commission on Higher Education is an institutional accrediting agency recognized by the U.S. Secretary of Education and the Council for Higher Education Accreditation.
The views expressed in this student academic research paper are those of the author and do not reflect the official policy or position of the Department of the Army, Department of Defense, or the U.S. Government.
U.S. Army War College CARLISLE BARRACKS, PENNSYLVANIA 17013
ABSTRACT
AUTHOR:
Colonel Shawn P. McGinley
TITLE:
An Ocean Closer: Re-Examining US Force Reductions in Europe
FORMAT:
Strategy Research Project
DATE:
26 February 2009 WORD COUNT: 5,127 PAGES: 26
KEY TERMS: EUCOM, Force Structure
CLASSIFICATION: Unclassified
What is a sufficient U.S. military force structure for ground forces in Europe given the current VUCA environment? The original plan to draw forces down to 2 ground brigades has been put on hold based on a request by the EUCOM Commander. How does EUCOM's strategic vision and force requirements compare with potential future US National strategies? How does the current financial crisis effect the situation? This paper will explore these issues and offer an assessment on the continued value of sustaining the current US ground force presence in Europe. It will also suggest possible adjustments to US national security documents.
AN OCEAN CLOSER: RE-EXAMINING US FORCE REDUCTIONS IN EUROPE
Our strategic approach promotes stable environments, protects U.S. interests and reduces the likelihood of crises that trigger contingency responses.
—General Bantz J. Craddock
Commander, EUCOM,
13 March 2008, Testimony to The House Armed Services Committee
US ground force presence in Europe has declined significantly since the end of the Cold War. In the late 1980's over 200,000 Soldiers, organized with 2 Corps Headquarters, 4 Division Headquarters, and over 16 ground combat brigadeequivalents, were stationed in Germany. 1 In the early 1990's a massive reduction in ground forces led to force of about 42,000 Soldiers structured around 5 ground combat brigades. 2
This 5 ground brigade structure, along with 2 division headquarters, 1 Corps Headquarters and the enabling or support battalions and brigades normally assigned with each headquarters, was maintained for nearly 10 years in Europe. This force provided the initial military force that entered Bosnia and Kosovo and supported North Atlantic Treaty Organization (NATO) operations in the mid to late 1990's. 3 This force structure was also available to the EUCOM commander to carry out his Theater Security Cooperation campaign.
In 2003, the Bush Administration announced a plan to draw down US ground forces in Europe to about 28,000 Soldiers, centered around 2 Brigade combat teams. 4 This reduction began with the return to the United States of a ground brigade, a division headquarters, and numerous enabling organizations. At the same time, the Army units remaining in Europe began to undergo a transformation into a more modular structure, designed to increase their ability to deploy rapidly. These transformations should be completed by 2013. 5
The current EUCOM Commander, General Bantz Craddock, however, asked the Secretary of Defense in the fall of 2007 to suspend the ongoing drawdown, based on continuing requirements to sustain training and other exercises with foreign militaries and as a hedge against current risks to US security. 6 This request was approved by Defense Secretary Robert M. Gates in November, 2007. 7
With the Soviet Union and the Warsaw Pact gone, the US logically no longer needs to retain Cold War-era amounts of US combat power in Europe. However, when does the United States reach a point with ground force reductions in Europe where EUCOM can no longer meet its strategy because it lacks sufficient and appropriate forces? Has EUCOM already reached that point? And if so, is there a path back to sufficient forces or alternative ways to accomplish EUCOM's Active Security strategy?
Review of the Current National Security Strategy and National Defense Stategy
President Bush's National Security Strategy (NSS) of 2006 and the June 2008 Department of Defense National Defense Strategy (NDS) explain that maintaining NATO as a "vital pillar of US foreign policy" is critically important at the National level. 8 What is not addressed, however, is the quantity of military forces that the US needs to provide or station in Europe in order to maintain both leadership of, and a "seat at the table" within NATO.
The National Defense Strategy speaks of "continuing to transform overseas U.S. military presence through global defense posture alignment," 9 but provides no details on the specific capabilities that should be stationed in Europe. However, it does state that
a "forward network of capabilities and arrangements with allies and partners to ensure strategic access" is important in order to meet the objectives laid out in the NSS. 10
The NSS also states that the United States must strengthen and expand alliances and partnerships. The benefit of this is so we can "be able to rely on many partners for certain low risk missions such as peacekeeping and humanitarian assistance." 11 The National Security Strategy further acknowledges that "complex counterinsurgency and high end conventional operations are likely to draw on fewer partners with the capability to act in support of mutual goals." 12
These documents make it clear that maintaining NATO as a strong and relevant security organization is vital to the United States; the primary benefit of NATO is that it provides a collection of countries in an existing military organization that have the capability to assist with the shared burden of maintaining international security and stability.
The 2006 Quadrennial Defense Review (QDR)
The 2006 QDR, which was written and released while Secretary Rumsfeld was still the Secretary of Defense, explicitly directs a plan to reduce the quantity of U.S. ground forces in Europe and return them to the United States. The QDR states "This reorientation builds upon transformational changes already underway, shifting the joint force: from dependence on large, permanent overseas garrisons toward expeditionary operations utilizing more austere bases abroad." 13
It is unclear why Secretary Rumsfeld was so insistent on removing further forces from Europe. It has been speculated that part of his desire was to punish what he called "Old Europe" in particular Germany, for its 2002 public opposition to US plans to
invade Iraq. This idea of the Bush Administration punishing Germany for it's opposition was discussed in great detail by the House Armed Services Committee (HASC) during testimony in 2003, as the committee debated the proposed EUCOM plan to reduce forces in Germany and move a portion of them to eastern European countries that supported the U.S. war in Iraq. 14
In addition, when these reductions of US forces in Europe were announced in 2003, the plan envisioned the deactivation, rather than relocation of many units then stationed in Europe. 15 This was in keeping with Secretary Rumsfeld's desires to reduce the size of the Army and rely on technology and special operations troops in the future. Eliminating units from Europe rather than eliminating existing units at stateside bases would also attract much less opposition from Congress and was believed, therefore, to be much more politically acceptable. However, the failure to secure a quick victory in Iraq and Afghanistan led to a new requirement to expand the size of both the Army and the Marine Corps. Due to this new requirement, the Army received authorization in January 2007 to permanently increase its force structure by 74,000 Soldiers. 16
The QDR also states that the US must "move away from a static defense in obsolete Cold War garrisons." 17 A reason for this type of wording could go back to the events and the corresponding bad press that the Army received in early 1999 with the slow deployment of Task Force Hawk, an Apache Helicopter-based task force moved from Germany to Albania to support operations in Kosovo. The Army was extremely slow to get its forces into Albania and it was criticized as being too large and too fixed in its large bases in Germany. 18 The thought that the Army was too large and too slow to deploy quickly was still very much alive in 2003 in the Bush Administration. 19 However,
the real issue was not with the facilities or bases in Germany; rather, as General Eric Shinseki noted, it was the lack of infrastructure on the Albanian side that limited the amount of forces that could be brought in. 20
As with the National Security Strategy and the National Defense Strategy, the 2006 QDR contains no discussion or analysis on the U.S. force structure required in Europe in order to maintain the United States' leadership of NATO or to meet EUCOMs Active Security Strategy. It is apparent that existing policy documents do not help clarify the end-state requirement.
EUCOM Strategy of Active Security
EUCOM's Area of Responsibility (AOR) is composed of 51 sovereign nations where approximately 500 million people reside. 21 The active security strategy is derived from the strategic objectives of "Defend the Homeland" and "Create and Maintain an Environment that advances U.S Strategic and Economic Interests." 22 While the specific wording of these objectives has changed over time, these objectives have served EUCOM well, as demonstrated by its successful contribution to peace in Europe for nearly 60 years. However, during most of that time, EUCOM possessed a significantly larger force permanently stationed in Europe.
The list of strategic objectives and priorities that support active security is long and most require the participation of ground forces to execute them successfully. Strategic objectives and priorities such as: ensuring EUCOM forces are trained and ready for global deployment; transforming EUCOM and NATO militaries to ensure effective expeditionary capabilities for the conduct of out of area operations; protecting Allies and partners within a stable middle east; preserving basing and access to ensure
strategic freedom of action; and averting local crises and preventing those that do arise from becoming regional conflicts, can only be executed successfully when there is an adequate military ground force available to carry them out. 23 These objectives and priorities are critical to the success of the active security strategy.
EUCOM's other key task, Support of the Global War on Terror, is not only executed by providing EUCOM ground forces to support the fight in Iraq and Afghanistan. Another key element, according to the 2008 EUCOM Posture Statement, is using:
EUCOM based forces in the forefront of promoting the transformation of European militaries. The engagement with, and support to, our Allies and partners underlines the importance of persistent presence of U.S. forces for building effective expeditionary capacity for multilateral theater and global operations. 24
Clearly, the EUCOM Commander believes that he requires ground forces based in Europe in order for EUCOM to successfully support both NSS and NDS derived requirements and to execute the EUCOM strategy of active security. Without access to sufficient ground forces, his ability to meet the objectives and priorities of "active security" is at great risk.
Current Situation in the EUCOM AOR
Based on the previously discussed plans of the Secretary of Defense Rumsfeld, US ground forces in Europe were to be severely cut with the result that only 2 brigades, a Stryker Brigade and an Airborne Brigade, would remain stationed in Europe. 25 Additionally, a brigade from the United States would rotate for 6 month training rotations into small bases being constructed in Romania and Bulgaria. 26
As the details of these planned cuts became apparent, coincident with the continued deployment of almost all of United States Army Europe's (USAREUR) forces to support the wars in Afghanistan and Iraq, EUCOM saw that they had little to no remaining capability to pursue its active security strategies in its AOR. 27
In addition, despite the intentions to move U.S. forces from Germany back to the United States, there is now nowhere to put them. Congress has only partially funded the Base Realignment and Closure Act, which governs a series of base closings and consolidations. 28 This partial funding led to a lack of spaces to place returning Soldiers; the Army has told Secretary of Defense Gates that it would have to spend millions of dollars to prepare temporary lodging if the drawdown were to continue. 29 In an extremely budget constricted environment, the spending of this much money to temporarily lodge Soldiers and their families, at a likely lower quality of life standard than provided at existing European bases, made little sense.
These events, along with concerns about a resurgent Russia that was making its presence again felt in Europe, prompted the EUCOM Commander, GEN Craddock, in November 2007 to ask for a delay in the drawdown of any additional combat brigades from Europe for the foreseeable future. This leaves Europe with approximately 40,000 Soldiers and 4 ground combat brigades.
The New Obama Administration
As the Obama administration settles into office and begins its process to reexamine and adjust the National Security Strategy and the National Military Strategy, the issues of a strategy and a corresponding US ground force structure in Europe will have to be addressed. This issue was not addressed in "A 21 st Century Military for
America," the section of the Obama campaign's web site related to national defense and military issues. Then candidate Obama did speak in detail of creating a "stronger partnership with Europe for a safer America" 30 and he has also stated that he "intends to rebuild the alliances, partnerships and institutions necessary to confront common threats and enhance common security." 31 More insight on what President Obama will decide on Europe may be found in what those around him have stated in the past. Former EUCOM Commander Marine General (R) James Jones, the new Obama Administration National Security Advisor, has been on record as expressing reservations on continuing the drawdown. He stated in 2007 on a C-Span news show that, "As I left Europe, in my last report, I expressed some concern that the size of the Army in Europe had perhaps gone too low." 32 This is telling as General Jones had been a proponent of the drawdown in 2005, when he was the EUCOM Commander when the original drawdown plan was released.
Clearly, our military strategy in Europe is not one of the most pressing issues on the new administration's short-term agenda. Reviewing and developing strategies on Iraq, Afghanistan and Guantanamo Bay, among other issues, will demand much of the administration's initial effort. EUCOM and other planners should use this available time to develop a fresh proposal for what the future ground force structure in Europe should look like.
The U.S. Financial Crisis Impact
The current financial crisis in the United States appears to be a multi-year event which will cost American taxpayers potentially trillions of dollars. With a current total national debt of over 10 trillion dollars, the Obama Administration has said that they will
be taking a close look at all government expenditures and cancel programs that do not produce results.
Under the plan to reduce the Army's footprint in Germany to around 24,000 troops from the approximately 40,000 Soldiers currently stationed there, the 16,000 Soldiers and their units would be transferred to previously identified bases in the United States. 33 These bases do not have spare capacity and new construction is required to expand the capacity to accept these units. As stated earlier Congress has been slow in appropriating the military construction funds to build the unit facilities and the schedule had fallen behind to the point where the Army was going to have to spend hundreds of millions of dollars in temporary facilities to house the scheduled return of Soldiers and their families.
The Congressional Budget Office has estimated that it would cost about $3.6 Billion dollars to move the previously identified units and 16,000 Soldiers from Germany back to CONUS and construct facilities for them. The long term savings the United States would achieve once these moves were complete would total around $400 million dollars a year. 34
Russia
Prior to assuming his new role as the NATO ISAF Commander in Afghanistan, General David McKiernan, as the USAREUR Commander, stated that "There are potentially dangerous places and conditions in the European area of responsibility. We don't know what is going to happen, in terms of a resurgent Russia." 35
These statements were made well before the Russian move into the Republic of Georgia in the summer of 2008. In addition, the current issues with natural gas
deliveries to the Ukraine and western Europe as well as the suspected cyber attacks by Russia against Estonia and Georgia in the last 2 years have reinforced the fact that the United States and NATO must make a stronger effort to reengage Moscow and work towards better and more productive relations instead of returning to a cold war like situation.
General McKiernan wanted to keep the current 40,000 Soldiers stationed in Germany in order to conduct training with the Russian Military as a means to strengthen the ties between the two countries. He stated, "I believe in my heart there will be an opportunity in the future where we'll be on the same side." 36
EUCOM has taken this idea and have incorporated it into their current strategy and have recently made "Russia as a Responsible Partner" one of their 8 theater objectives. 37
Can the U.S. lead NATO if it has Little/No Forces in Europe?
As the unquestioned leader of NATO since its inception in 1949, is there a point where the U.S. can no longer effectively lead the organization because its force contribution has become too small? While all national level documents states that maintaining American leadership of NATO is just as important as keeping NATO relevant, they do not provide guidance on how to do this if there are little to no US forces stationed in Europe. However, most experts on the subject believe that the US must maintain sufficient forces in Europe if it wants to retain its leadership role. General (Retired) Montgomery Meigs, a former USAREUR Commander, stated to Congress "are we really ready for the loss of influence drastically reducing the forward presence will entail?" 38 The amount of ground forces at the time of his statement in 2003 was around
60,000 troops. Clearly he was concerned that a reduction to around 24,000 troops would put the United States below the threshold of maintaining U.S. leadership of NATO.
It was further stated by Dr. Frederick Kagan, that "Taking such action now would do irreparable harm to the NATO alliance." 39 Additionally, ranking member of the House Armed Services Committee, Representative Ike Skelton, had major concerns about this drawdown plan and has also said that it could have major impacts on our relationship with NATO. 40 Based on these comments, a 40,000 Soldier force built around 4 ground combat brigades stationed in Europe can provide the leverage the United States needs to maintain it's leadership of NATO.
The Benefits of Interoperability
NATO interoperability, the ability of troops from different nations within NATO to function together on the battlefield, came about during the Cold War due to the critical requirement to maintain military cohesion in the face of a potential Warsaw Pact attack. The development and adoption of thousands of standardization agreements (STANAGS) established common training and readiness requirements for almost all aspects of military operations. 41
Aided by existing interoperability capabilities, NATO member states were able to deploy and employ themselves effectively in Bosnia and Kosovo. Subsequently, many Cold War Era STANAGS were updated to reflect the changing "out of sector" nature of potential future NATO missions. The benefits of this interoperability are still reaped today in places such as Afghanistan, as most NATO members are sufficiently trained and equipped to handle the missions they are assigned in the country.
Interoperability is a capability that has taken decades to develop and perfect; however, since the fall of the Berlin Wall the majority of the effort in maintaining interoperability amongst NATO member states has been expended by the United States. 42 Today most member nations of NATO and other European partners go to the United States Army Europe's Joint Multinational Training Command (JMTC) in Germany to conduct their mission rehearsal exercises prior to deploying to Afghanistan. The availability of US ground forces in Germany to assist the JMTC mission in preparing these NATO member states and others to deploy has been extensive and would be severely constrained if they were further reduced as planned.
Impacts to Force Projection
A recurring theme discussed earlier by the Bush administration and especially former Secretary of Defense Rumsfeld is that the forces stationed in Europe are "tied to static, cold war bases" implying that they lack strategic mobility to move anywhere in the world to conduct operations. While it is true that the bases that the Army occupies in Europe were in fact used during the Cold War, the reality is that these bases possess or facilitate strategic mobility.
Ground forces currently stationed in Germany and Italy enjoy some of the best strategy mobility facilities that the United States has. The United States and Germany have invested heavily in the German transportation network, with the result that U.S. military equipment can move to large port and air facilities on good roads and an extensive rail network. 43 Ramstein and Aviano Airbases have been critical to the fights in Iraq and Afghanistan not only by pushing out EUCOM-based forces to the fight, but
also handling the immense amount of cargo and troops moving to the combat zones from the United States. 44
The Congressional Budget Office has concluded that the Army can save at least 5 days of shipping time by sea for deployments to most of the world's current crisis areas by using forces based in Germany. 45 This time savings could be critical in a scenario in which the U.S. had little to no advance warning that a crisis were to occur.
In addition, in the months preceding the invasion of Iraq and for some items continuing to the present, the German Government offered deployment assistance to US Forces in Germany during their predeployment training exercises and their movement of equipment and personnel within Germany to ports and airbases to deploy into the CENTCOM AOR. Despite the political rhetoric at the national level against the Iraq war, this assistance was substantial and much of it was for free. 46
The majority of Army forces in Germany have gone through the modularization process and the remainder are scheduled to be complete in 2012. 47 This process, begun in 2005, has had the effect of making units more modular and leaner than their previous organizational structures. This reorganization of units results in reduced amounts of strategic ship and air deployment assets and will enable units to deploy more quickly.
Romania and Bulgaria
In the months before the beginning of Operation Iraqi Freedom, many Western European nations, especially Germany and France, disagreed with the Bush Administration over the need to go to war in Iraq, causing the Secretary of Defense to label them "Old Europe." 48 At the same time, the SECDEF, looked to "new Europe"
and, in particular, Bulgaria and Romania, as nations where he wanted to build new, austere US bases that would host rotational US forces for up to 6 month periods. This time would be spent training with the host nation forces as well as providing a force available to deploy to any crisis spot in the region. 49 EUCOM developed Joint Task Force – East (JTF-E) based on this rotational concept. Both Romania and Bulgaria offered old bases and training areas that the U.S. could refurbish and use as forward training sites. This idea was thought to be cheap in terms of construction costs and also that we would be getting even larger and better training areas than those available in Germany. 50
Upon further examination, EUCOM and USAREUR found that these bases needed considerable work to the point where the existing facilities had to be demolished and replaced with new facilities, considerably raising the original estimated costs. This was due to the dilapidated condition of the facilities as well as the large amounts of hazardous building materials like asbestos roofing tiles used by the host nations. However the bigger issue was the size and capability of the training areas. As Dr. Kagan pointed out to Congress in 2003, the facilities and training areas in Romania and Bulgaria were vastly inferior to the ones in Germany. 51
The stress on Army Soldiers from the repeated deployments in support of the Global War on Terror must be seriously considered before the United States begins full brigade level 6 month deployments to Romania and Bulgaria in 2011 when the construction at the bases is complete. Currently, USAREUR is conducting an annual 2 month exercise in each country in temporary facilities in order to keep the JTF-E concept moving. The Congressional Budget Office concluded that 6 month
unaccompanied unit deployments to Romania and Bulgaria would increase family separation and could decrease retention.
Despite these drawbacks the Joint Task Force-East concept can still support the EUCOM Commander's strategic objectives, particularly in the Eastern Balkan and Black Sea region. However, these bases cannot compare to their German counterparts in their ability to support training in terms of quality, to Army Standards, and quantity in terms of size of training areas and throughput on firing ranges. Nor can they quickly project power either within or out of the EUCOM AOR at the rate it can be done from Germany and Italy due to their inadequate transportation infrastructure. This is important as ground forces require quality training areas and ranges so that they can accomplish the myriad of deployment training requirements and Mission Rehearsal Exercises in order to reach certification for deployment.
Force Structure Recommendation
A good model for what EUCOM requires in terms of ground forces is to go back to the mid to late 1990's and look at the size and type of Theater Engagement Strategy that EUCOM was conducting and the ground force structure that was available at that time to the EUCOM commander. In his comments to Congress in 1996, then EUCOM Commander General George Joulwan stated it is much better to influence events rather than react to them later. 52 He also stated the need to consistently interact with our NATO allies and leverage their assets. In order to do this, he stated that the United States must stay engaged in NATO politically, economically, diplomatically and militarily. 53 He did not make any requests to Congress for more ground forces to achieve his strategy. Taking the peace keeping missions to Bosnia and Kosovo out of
the equation, EUCOM then had enough forces, based on the 4 ground brigades and the other divisional and Corps enablers that were stationed in Germany and the airborne brigade that was stationed in Italy, to meet its strategic requirements.
In addition, when he testified to Congress in 2003, General (Retired) Montgomery Meigs the former United States Army Europe (USAREUR) Commander, stated to Congress that over the last 4 years EUCOM ground forces conducted over 40 percent of all Army deployments, much of that work with new NATO Armies and peacekeeping. 54
The last of the division headquarters that existed in the mid to late 1990s will soon be redeployed to the U.S. as the Army has shifted to a brigade centric modular force structure. The 3 ground brigades that are currently still stationed in Germany and the one in Italy provide a robust force structure that supports EUCOM's active security strategy, based on the apparent success of a similar force structure in the mid to late 1990s and early 2000s. While the current force structure is 1 brigade less than what was stationed in Germany before, the current force requirement has been reduced by the lack of a major peacekeeping mission such as in Bosnia or Kosovo. 55
However, EUCOM's ability to execute and maintain its active security strategy remains at risk while the U.S remains heavily engaged in the global war on terror and the ground combat brigades in Europe are consistently committed to that effort. A potential way to partially mitigate this risk is by the continued use of CONUS-based reserve forces to participate in exercises with foreign military forces within the EUCOM AOR. While not ideal, this method has been used by EUCOM already to bridge the gap until Germany based troops are available. 56
Additional Recommendations
As previously discussed, the wording in the next Quadrennial Defense Review, currently scheduled to be published in 2010 should accurately reflect the actual capabilities of US bases in Europe. Subjective wording such as "static" or "obsolete" should be eliminated if they do not reflect the facts on the ground. Much has changed in Germany since the end of the Cold War not only in the capabilities of the bases, but also the ability of the ground forces stationed there to rapidly deploy to crisis areas due to unit structure changes caused by Army transformation. As an extremely influential document that is critical for future force structure and basing decisions, the Quadrennial Defense Review should be objective in its approach towards basing in Germany.
The United States should continue to develop and implement the EUCOM Joint Task Force-East initiative. Despite drawbacks in the quantity and quality of training that can be executed in both Romania and Bulgaria, the benefits of American ground forces in the eastern Balkan region working with our new NATO partners are significant. EUCOM should continue to use smaller force elements for shorter periods of time until a sustainable GWOT deployment schedule is achieved.
Recommendations to Mitigate the Original Plan if Executed
If the US decides to reduce down to the original plan to station only 2 brigades in EUCOM, a potential way to mitigate this impact to EUCOM's active security strategy is to continue or expand the current use of Army Reserve and National Guard in combined exercises. While lacking the cohesiveness that occurs with having a habitual relationships with European-based U.S. ground forces, this method will at least keep
U.S. forces in contact with foreign militaries in the AOR and contribute to efforts to maintain NATO interoperability, although at a greatly reduced level.
In addition, the US could rotate an entire ground brigade from outside of EUCOM or an even larger force through Joint Task Force-East. While clearly not the optimal solution based on the issues previously discussed, this would continue to allow sustained contact between US and NATO and other European partner's militaries.
Conclusion
As the new Obama Administration has made clear during its presidential campaign, maintaining NATO as an effective organization to achieve our national security interests is of vital importance. In order to maintain our leadership of NATO and to have a voice and a "seat at the table" with a collection of like- minded western democracies, we must show to our NATO partners that we are committed to the organization and to the security of Europe. Nothing does this more effectively than maintaining a robust force of rapidly deployable ground forces in Europe, available to deploy or to interact with and train with NATO and partner nation forces for current and future operations. As was recently stated in a Center for a New American Security Study, "NATO remains America's paramount institution for responding militarily to threats around the world—and Germany remains the main place where American Army units train with their NATO counterparts." 57
No dollar figure can be put on the importance of maintaining US influence in Europe and in NATO. The Congressional Budget Office projected savings of $400 million a year from the planned restationing of 16,000 Soldiers is insignificant to the
potential damage to US relations with Europe if a drawdown of the originally planned sized is carried out.
In order to carry effectively execute the EUCOM strategy of active security, which supports multiple National Security Strategy Objectives, the EUCOM Commander must have a sufficient amount of US ground forces available in Europe. The effectiveness of currently assigned forces has already been reduced by the lack of forces available due to Global War on Terror commitments. The pause in additional reductions of ground forces is a constructive start. The current 40,000 Soldier force structure, based on 4 ground combat brigades, should become the permanent U.S. ground force structure in Europe for the foreseeable future, both to ensure success in maintaining NATO as a viable security organization and to ensure general security in Europe.
Endnotes
1 In 1989, V Corps and VII Corps Headquarters along with their various separate enabling brigades were stationed in Germany. 1 st Armored Division, 3 rd Armored Division, 3 rd Infantry Division and 8 th Infantry Division each had 3 ground combat brigades. Additional brigades were 2 nd Armored Division (FWD), 1 st Infantry Division (FWD), the 2 nd and 11 th Armored Cavalry Regiments and the Berlin Brigade.
2 In 1995, V Corps along with its various enabling brigades was stationed in Germany. 1st Armored Division and 3 rd Infantry Division, each with 2 ground combat brigades were stationed in Germany. In Italy, the Southern European Task Force had 2 Infantry Battalions stationed in Vincenza.
3 1st Armored Division, with all of its Germany based assets and attached Corps assets, was the first unit to deploy to Bosnia in 1995. They were replaced a year later by the Germany based 1 st Infantry Division. In 1999, elements of the 1 st Infantry Division deployed to Kosovo for a year and were replaced by the 1 st Armored Division in 2000.
4 Deutsche Welle Staff, "US Considering Rethink of Troop Withdrawals in Europe," July 25, 2007, http://www.dw-world.de/dw/article/0,2144,270423,00.html (accessed November 4, 2008).
5 U.S. European Command, United States European Command Posture Statement 2008, Posture Statement presented to the 109 th Cong., (Stuttgart: U.S. European Command, 2008), 23.
6 Thom Shanker, "Gates Suspends reduction of Army Forces in Europe," November 21, 2007, boston.com, http://www.boston.com/news/world/europe/articles/2007/11/21/ gates_suspends_reduction (accessed November 4, 2008).
7 Ibid.
8 George W. Bush, The National Security Strategy of the United States of America (Washington, DC: The White House, March 2006), 38.
9 U.S. Department of Defense, National Defense Strategy (Washington, DC: The Pentagon, June 2008), 16.
10 Ibid.
11 Bush, The National Security Strategy of the United States of America, 15.
12 Ibid.
13 Donald Rumsfeld, Quadrennial Defense Review (Washington, DC: Office of the Secretary of Defense, 6 February 2006), 41.
14 U.S. Congress, House Armed Services Committee, U.S. Force Structure, 108th Cong., 1st sess., February 26, 2003, 10. Senator Ike Skelton spoke in detail of the dangers of punishing Germany by reducing US force levels there due to their public stance on the Iraq War.
15 Ibid., 18.
16 U.S. Government Accountability Office, Defense Infrastructure: Army and Marine Corps Grow the Force Construction Projects Generally Support the Initiative (Washington, DC: U.S. Government Accountability Office, March 2008), 1.
17 Rumsfeld, Quadrennial Defense Review, V.
18 GEN Erik Shinseki, linked from Frontline at "General Eric K. Shinseki," http://www.pbs.org/wgbh/pages/frontline/shows/future/experts/taskforce.html (accessed December 14, 2008).
19 Vernon Loeb, "Rumsfeld plans major changes in U.S. Army," Washington Post, June 9, 2003.
20 Shinseki, Frontline.
21 The United States European Command Home Page, http://www.eucom.mil (accessed October 30, 2008)
22 U.S. European Command, United States European Command Posture Statement 2008
23 Ibid., 10.
24 Ibid., 11.
.
25 Kristin Roberts, "U.S. military in Europe argues for more forces," October 11, 2007, boston.com, http://www.boston.com/news/nation/washington/articles/2007/10/11/ us_military_in_europe (accessed November 4, 2008)
26 Loeb, "Rumsfeld plans major changes in U.S. Army."
27 Deutsche Welle Staff, "US Considering Rethink of Troop Withdrawals in Europe."
28 Gordon Lubold, "Should More US Troops Be Kept in Europe?" April 24, 2007, Global Policy Forum, http://www.globalpolicy.org/empire/challenges/overstretch/2007/0424.htm (accessed November 4, 2008).
29 Shanker, "Gates Suspends reduction of Army Forces in Europe."
30 Barack Obama and Joe Biden, "A Stronger Partnership with Europe for a Safer America," linked from BarackObama.com, http://www.barackobama.com (accessed October 14, 2008).
31 Ibid.
32 Kevin Dougherty, "Are troop cuts going too far?" Stars and Stripes European Edition, June 17, 2007.
33 Lisa Burgess, "USAREUR Commander wants to keep 40,000 American Soldiers in Europe," Stars and Stripes European Edition, October 12, 2007.
34 U.S. Congressional Budget Office, Options for Changing the Army's Overseas Basing (Washington, DC: U.S. Congressional Budget Office, May 2004), 40.
Burgess, "USAREUR Commander wants to keep 40,000 American Soldiers in Europe."
35 36 Ibid.
37 MG Paul Schafer, "EUCOM Strategy of Active Security," briefing slides, 565th Meeting of the Forum for Security Co-operation, November 26, 2008.
38 GEN (R) Montgomery Meigs, "U.S. Force Structure," testimony before U.S. Congress House Armed Services Committee, 108th Cong., 1st sess., February 26, 2003.
39 Dr. Frederick Kagan, "U.S. Force Structure," testimony before U.S. Congress House Armed Services Committee, 108th Cong., 1st sess., February 26, 2003.
40 Ike Skelton, "U.S. Force Structure," testimony before U.S. Congress House Armed Services Committee, 108th Cong., 1st sess., February 26, 2003.
41 North Atlantic Treaty Organization, NATO Handbook (Brussels: NATO, 2006), 349.
42 U.S. European Command, United States European Command Posture Statement 2008, 44.
43 U.S. Congressional Budget Office, Options for Changing the Army's Overseas Basing, 47.
44 U.S. European Command, United States European Command Posture Statement 2008, 26.
45 U.S. Congressional Budget Office, Options for Changing the Army's Overseas Basing, 47.
46 Meigs, "U.S. Force Structure."
47 Kevin Dougherty, "Security changes force review of European transformation plans," Stars and Stripes European Edition, March 17, 2007.
48 Jody K Biehl, "Rumsfeld gibe widens gap with "old" Europeans," January 25, 2003, SFGate.com, http://sfgate.com/cgi-bin/article.cgi?file=/chronicle/archive/2003/01/25/MN103130 (accessed November 4, 2008).
49 Loeb, "Rumsfeld plans major changes in U.S. Army."
50 Kagan, "U.S. Force Structure."
51 Ibid.
52 U.S. European Command, United States European Command Posture Statement 1996, Posture Statement presented to the 104 th Cong., (Stuttgart: U.S European Command), 213.
53 Ibid.
54 Meigs, "U.S. Force Structure."
55 At the present time, the Kosovo mission is executed by CONUS based reserve component units.
56 U.S. European Command, United States European Command Posture Statement 2008, 23.
57 Michael O'Hanlon, Unfinished Business: U.S. Overseas Military Presence in the 21st Century (Washington, DC: Center for a New American Security, 2008), 43.
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<urn:uuid:c6ae60d5-1c4e-4487-a67a-306f6c601427>
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CC-MAIN-2013-48
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http://www.dtic.mil/get-tr-doc/pdf?AD=ADA499293
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2013-12-10T22:33:08Z
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With the signature of the Paris Agreement by the Government, Albania has entered the new era of the climate international policy process, where all parties collectively aim to hold the increase of global temperature to 2°C above pre-industrial levels. Now the country is working on its National Mitigation Strategy and Action Plan, in order to respond to the need of alignment to EU requirements, as Albania currently holds since June 2014, the status of official candidate country for the accession to the EU. The NMS&AP, currently under preparation by the Ministry of Environment, focuses on four reporting sectors of the greenhouse gas inventory of Albania with a special impact on transportation. The energy sector shows an increasing share of emissions from 2000 (43.57%) to 2009 (56.92%) while among the energy sub-sectors, transportation contributes the most, with about 45% of share.
The transport sector plays an important role in the consumption of energy sources developed with fast growth rate after 1960, with an exponential increase of road transport after 990. Today, the roads and motorways comprise the predominant mode of land transportation and provide essential links for freight and passenger mobility. Despite some recent investments, the quality of road transport remains low and there is a considerable regional variation in term of accessibility to market and to basic services. Transport trends are growing steadily while public transport lost more than the 50% of the passengers during the last two decades. The increase in the number of road vehicles, with about 4.5 million km/y of vehicle use, was accompanied by an evident increase of fuel consumption, mainly diesel and gasoline.
The Ministry of Transport and Infrastructure is recently working on two main strategies and plans: the Albanian Sustainable Transport Plan and Transport Sector Strategy. The two documents, still in the process of elaboration, aim to define a pathway for the streamlining of the transport sector with the EU Acquis and standards, as well as to implement 45 fundamental strategic directions provided by the Energy strategies and plans for the mobility network.
Since the Albanian Council of Ministers and the relevant ministries have already prepared or are currently working on Strategies and Plans of actions on climate change for the main sectors in Albania, the NMS&AP represents an overall inter-sectorial strategy and plan that foresees most of the measures focus in the energy sector (77) and in the transport sector (71), followed by LUCF (53) and Agriculture (17) with 5 measures that are cross sectorial. The Albanian Government is committed to introduce energy efficiency policies and practices as part of its National Energy Strategy, also aiming at promoting harmonization with EU requirements, as part of the wider pre-accession process.
Within this framework, a Sustainable Transport Plan is under preparation by the Ministry of Transport and Infrastructure to help meeting the targets of reducing energy consumption and improve overall sustainability in the transport sector. Sustainable transport policies shall be focused on reducing the need for travel and shifting travel to the most social, economic, and environmentally efficient mode, as well as putting technological improvement of vehicles and fuels in the spotlight. This means that transport policy should reduce the need to travel and shorten trip lengths, promote a shift to sustainable modes, and improve the sustainability of all modes, using technologies that are more energy efficient. A detailed program and a definition of a potential financial budget is developed for most of the proposed measures.
The overall objective of the Transport Sector Strategy and Action Plan 2016-2020 is to further develop Albania's national transport system, and to significantly improve its sustainability, interconnectivity, interoperability and integration with the international and European wider transport system and region. It provides for the development of an efficient, sustainable and environmentally friendly transport system, able to support the key objectives of economic and social development of Albania and the country's future integration in the European Union. Strategic priorities for road transport are about legal and governance conditions, completion and modernization of Albania primary and secondary network, in order to strengthen regional cooperation through road connections. The general approach is to reach a road transport market in line with EU standards. Strategic priorities for rail transport are related to set up an open market for investors and increase visibility of SEETO area.
Strategic priorities for maritime transport aim at enhancing the regulatory system in accordance with EU/IMO (International Maritime Organization) regulations, to sustain growth for maritime and port markets. Concerning air transport, the development of a new airport infrastructure in the south of the country should be instrumental to increase tourism; a more competitive market with liberalized air service, implementation and unification of international air standards as well as a reduction in travel fees for passengers are the priorities for the period of validity.
The documents spells out each of the above strategies in specific, detailed policies, setting milestones, indicators and targets. The thirty-nine Policies (Priority Actions) identified for the fiveyear period are deeply interlinked, striking a balance between soft measures and investments, and have been selected in order to define a solid National Transport Strategy and Action Plan. The total costs needed to implement the National Mitigation Action Plan up to 2020 are assessed, as well as the financial resources allocated and/ or committed so far
from state budget, donors and other sources. The total cost for implementing the NMAP is estimated to be approximately 418.4 billion Albanian Leks (ALL), or approximately EUR 3 billion up to 2020.
Most of the funds are needed for the Transport Sector (with 81.25% of the total expenditure). Energy and Agriculture requires respectively 9.05% and 8.29% of the total expenditures. The transport sector is the sector with the highest share of funding from donors, while the energy sector is funded mainly from other sources such as RES's investors, Local self- Government Units and private contributions.
In the total funds needed to implement the measures related to the National Mitigation Action Plan, the state budget contribution is about 11.75%, the budget from donors covers 13.54% and 14.05% is from other sources. The funding gap is 60.66% of the total expenditures. This gap is planned to be covered by donor funds as well as by the state budget. The funding gap to be covered belongs mainly to the transport sector, in fact the source of funding for some measures in the transport sector is not identified. Due to this reason, the costs are considered as a gap seeking donor funding. The successful implementation of the NMAP is likely to face challenges due to specific risks, which should be taken into consideration so as not to create real difficulties in the process of implementation. The main risks that may affect the successful implementation of the NMS&AP are related to the two tiers of government: Central Government (Ministries responsible for the implementation of the Action Plan) and Local Self-Government Units. Risks at the central government level are mainly related to the commitment of all relevant institutions involved in this NMS&AP in supporting the NMAP implementation with the necessary funds to enable a full execution of the planned activities. Local government related risks are mostly linked to the Local Government Units' commitment to implement measures that are part of the NMAP and their commitment to contribute with their revenues to funding the planned activities and/or services.
Source: energyworldmag
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Accessories Guide
SKYPANEL®
# SkyPanel Accessories Guide
## Table of Contents
| Section | Page |
|--------------------------------|------|
| Diffusion | |
| Diffusion S30 | 4 |
| Diffusion S60 | 5 |
| Remote Phosphor | |
| Remote Phosphor Panels S30-RP | 6 |
| Remote Phosphor Panels S60-RP | 7 |
| Light Control | |
| Intensifier S30 | 8 |
| Intensifier S60 | 9 |
| 4-leaf Barndoor S30 | 10 |
| 4-leaf Barndoor S60 | 11 |
| 4-Chamber Eggcrate S30 | 12 |
| 8-Chamber Eggcrate S60 | 13 |
| Honeycomb 60° S30 | 14 |
| Honeycomb 60° S60 | 15 |
| Honeycomb 30° S30 | 16 |
| Honeycomb 30° S60 | 17 |
| Snoot S30 | 18 |
| Snoot S60 | 19 |
| Extra Diffusion Slot S30 | 20 |
| Extra Diffusion Slot S60 | 21 |
| Lightbanks | |
| Chimera Lightbank with Frame S30 | 22 |
| Chimera Lightbank with Frame S60 | 23 |
| Chimera Shallow Lightbank with Frame S60 | 24 |
| DoP Choice SnapGrid 40° for S30 | 26 |
| DoP Choice SnapGrid 40° for S60 | 27 |
| DoP Choice SnapBag for S30 | 28 |
| DoP Choice SnapBag for S60 | 29 |
| DoP Choice SnapGrid 40° for SnapBag S30 | 30 |
| Item | Page |
|----------------------------------------------------------------------|------|
| DoP Choice SnapGrid 40° for SnapBag S60 | 31 |
| **Mounting** | |
| Center Mount Yoke | 32 |
| Fixed Center Mount Yoke | 33 |
| Double Vertical Yoke S30 | 34 |
| Double Vertical Yoke S60 | 35 |
| **Battery Adapters** | |
| Anton/Bauer Battery Adapter Plate | 36 |
| V-Mount Battery Adapter Plate | 37 |
| **Cables** | |
| DC Cables (XLR) SkyPanel | 38 |
| Mains Cables, powerCON TRUE1 | 39 |
| **PSU Attachments** | |
| Rail Mount Adapter for SkyPanel PSU | 40 |
| Super Clamp Adapter for SkyPanel PSU | 41 |
| **Space Light** | |
| Space Light Silk Mounting Adapter S60 | 42 |
| **Safety** | |
| Safety Cable (4 mm) | 44 |
| Safety Cable (5 mm) | 45 |
| **Resources and Contacts** | |
| ARRI Sales Contacts | 46 |
| ARRI Service Contacts | 48 |
| Online Resources | 50 |
Diffusion S30
SkyPanel Lite, Standard and Heavy Diffusion panels have been developed to work perfectly with the S30-C models. Standard Diffusion panel offers medium diffusion and produces optimal light output and beam quality. The Lite Diffusion is less diffuse and therefore allows more light to pass through, while the Heavy Diffusion is more diffuse and allows less light through, but provides a softer beam quality.
- Produces homogeneous beam of light with great output
- Plastic diffusion material and rugged metal frame
| Code | Description |
|----------|---------------------------|
| L2.0007327 | Lite Diffusion S30 |
| L2.0007325 | Standard Diffusion S30 |
| L2.0007326 | Heavy Diffusion S30 |
Diffusion S60
SkyPanel Lite, Standard and Heavy Diffusion panels have been developed to work perfectly with the S60-C models. Standard Diffusion panel offers medium diffusion and produces optimal light output and beam quality. The Lite Diffusion is less diffuse and therefore allows more light to pass through, while the Heavy Diffusion is more diffuse and allows less light through, but provides a softer beam quality.
- Produces homogeneous beam of light with great output
- Plastic diffusion material and rugged metal frame
| Code | Description |
|------------|---------------------------|
| L2.0003904 | Lite Diffusion S60 |
| L2.0003345 | Standard Diffusion S60 |
| L2.0003903 | Heavy Diffusion S60 |
Remote Phosphor Panels S30-RP
Remote phosphor panels for the S30-RP are available in six color temperature versions with excellent color rendition. There is also a chroma green version for lighting green screens available.
- Excellent Color Rendition
- Produces a homogeneous and soft beam of light
| Code | Description |
|------------|--------------------------------------------------|
| L2.0007520 | Remote Phosphor Panel S30 - 2700K - CRI 98 |
| L2.0007521 | Remote Phosphor Panel S30 - 3200K - CRI 98 |
| L2.0007522 | Remote Phosphor Panel S30 - 4300K - CRI 98 |
| L2.0007523 | Remote Phosphor Panel S30 - 5600K - CRI 94 |
| L2.0007524 | Remote Phosphor Panel S30 - 6500K - CRI 93 |
| L2.0007789 | Remote Phosphor Panel S30 - 10,000K - CRI 90 |
| L2.0007525 | Remote Phosphor Panel S30 - Chroma Green |
Remote Phosphor Panels S60-RP
Remote phosphor panels for the S60-RP are available in six color temperature versions with excellent color rendition. There is also a chroma green version for lighting green screens available.
- Excellent Color Rendition
- Produces a homogeneous and soft beam of light
| Code | Description |
|---------------|--------------------------------------------------|
| L2.0003347 | Remote Phosphor Panel S60 - 2700K - CRI 98 |
| L2.0003348 | Remote Phosphor Panel S60 - 3200K - CRI 98 |
| L2.0003349 | Remote Phosphor Panel S60 - 4300K - CRI 98 |
| L2.0003350 | Remote Phosphor Panel S60 - 5600K - CRI 94 |
| L2.0003346 | Remote Phosphor Panel S60 - 6500K - CRI 93 |
| L2.0007778 | Remote Phosphor Panel S60 - 10,000K - CRI 90 |
| L2.0003351 | Remote Phosphor Panel S60 - Chroma Green |
Intensifier S30
This intensifier panel for SkyPanel S30-C increases light output by up to 50% while maintaining a soft, even beam of light. The increase in output is achieved by capturing some of the light going off to the side and refocusing it in a more forward direction. Light output in the center is thereby intensified and yet the quality of the light is retained.
- Increased output up to 50%
- Maintains homogeneous, soft beam of light
Intensifier S60
This intensifier panel for SkyPanel S60-C increases light output by up to 50% while maintaining a soft, even beam of light. The increase in output is achieved by capturing some of the light going off to the side and refocusing it in a more forward direction. Light output in the center is thereby intensified and yet the quality of the light is retained.
- Increased output up to 50%
- Maintains homogeneous, soft beam of light
4-leaf Barndoor S30
The 4-leaf barndoor for the S30 allows for control of light spill and narrowing of the beam angle. Additional small flaps protect against light leak between the lamphead and the barndoors.
• Lightweight and Rugged Design
• Two safety hooks to hold the barndoor in place
• 4-Leaf design with light leak flaps
• Slides into outer accessory slot allowing for changing of diffusion panels without the removal of the barndoors
L2.0008187 4-leaf Barndoor S30
4-leaf Barndoor S60
The 4-leaf barndoor for the S60 allows for control of light spill and narrowing of the beam angle. Additional small flaps protect against light leak between the lamphead and the barndoors.
• Lightweight and Rugged Design
• Two safety hooks to hold the barndoor in place
• 4-Leaf design with light leak flaps
• Slides into outer accessory slot allowing for changing of diffusion panels without the removal of the barndoors
L2.0007530 4-leaf Barndoor S60
4-Chamber Eggcrate S30
This 4-chamber eggcrate is 130 mm thick (5.1 inches) and controls light by limiting the half peak angle to 60°.
- 4 Chambers design allows for minimal light loss
- 130 mm (5.1 inches) thick
- 60° HPA
- Rugged design
- Extra accessory slot for stacking other SkyPanel accessories
- Slides into the primary accessory slot
L2.0008048 4-Chamber Eggcrate S30
8-Chamber Eggcrate S60
This 8-chamber eggcrate is 130 mm thick (5.1 inches) and controls light by limiting the half peak angle to 60°.
- 8 Chambers design allows for minimal light loss
- 130 mm (5.1 inches) thick
- 60° HPA
- Rugged design
- Extra accessory slot for stacking other SkyPanel accessories
- Slides into the primary accessory slot
Honeycomb 60° S30
The 60° Honeycomb for the S30 controls the light by reducing the beam angle to approx. 60°.
- Honeycomb design reduces multiple shadows
- 14 mm (0.6 inches) thick
- ~60° HPA
- Slides into the primary accessory slot
L2.0008064 Honeycomb 60° S30
Honeycomb 60° S60
The 60° Honeycomb for the S60 controls the light by reducing the beam angle to approx. 60°.
- Honeycomb design reduces multiple shadows
- 14 mm (0.6 inches) thick
- ~60° HPA
- Slides into the primary accessory slot
Honeycomb 30° S30
The 30° Honeycomb for the S30 controls the light by reducing the beam angle to approx. 30°.
- Honeycomb design reduces multiple shadows
- 14 mm (0.6 inches) thick
- ~30° HPA
- Slides into the primary accessory slot
L2.0008065 Honeycomb 30° S30
Honeycomb 30° S60
The 30° Honeycomb for the S30 controls the light by reducing the beam angle to approx. 30°.
- Honeycomb design reduces multiple shadows
- 14 mm (0.6 inches) thick
- ~30° HPA
- Slides into the primary accessory slot
Snoot S30
This S30 snoot is 130 mm thick (5.1 inches) and controls light, not allowing spill light from the sides of the lamphead.
- Straight wall snoot with one large chamber
- 130 mm (5.1 inches) thick
- Rugged design
- Extra accessory slot for stacking other SkyPanel accessories
- Slides into the primary accessory slot
Snoot S60
This S60 snoot is 130 mm thick (5.1 inches) and controls light, not allowing spill light from the sides of the lamphead.
- Straight wall snoot with one large chamber
- 130 mm (5.1 inches) thick
- Rugged design
- Extra accessory slot for stacking other SkyPanel accessories
- Slides into the primary accessory slot
L2.0007999 Snoot S60
Extra Diffusion Slot S30
The S30 Extra Diffusion Slot slides into the primary accessory slot of the SkyPanel and allows for stacking for multiple diffusors.
- Fits all SkyPanel S30 Diffusors
- Top safety latch
- Thin profile
- Slides into the primary accessory slot or the front of the SkyPanel Snoot or Egg Crate
- Extra accessory slot for stacking other SkyPanel accessories
L2.0008189 Extra Diffusion Slot S30
Extra Diffusion Slot S60
The S60 Extra Diffusion Slot slides into the primary accessory slot of the SkyPanel and allows for stacking for multiple diffusors.
- Fits all SkyPanel S60 Diffusors
- Top safety latch
- Thin profile
- Slides into the primary accessory slot or the front of the SkyPanel Snoot or Egg Crate
- Extra accessory slot for stacking other SkyPanel accessories
L2.0008188 Extra Diffusion Slot S60
Chimera Lightbank with Frame S30
The Lightbank and Frame for the S30 by Chimera is a professional grade soft box that increases the light aperture of the SkyPanel by roughly 100%. The lightbank comes with several diffusions and folds away for storage. The frame slides directly into the SkyPanel accessory slot.
- Specially made for SkyPanel S30
- Professional Grade Construction
- Small Video Pro front
- Includes: Lightbank, frame, and three diffusions
L2.0008196 Chimera Lightbank with Frame S30
Chimera Lightbank with Frame S60
The Lightbank and Frame for the S60 by Chimera is a professional grade soft box that increases the light aperture of the SkyPanel by roughly 100%. The lightbank comes with several diffusions and folds away for storage. The frame slides directly into the SkyPanel accessory slot.
- Specially made for SkyPanel S60
- Professional Grade Construction
- Medium Video Pro front
- Includes: Lightbank, frame, and three diffusions
L2.0008197 Chimera Lightbank with Frame S60
Chimera Shallow Lightbank with Frame S60
The Shallow Lightbank and Frame for the S60 by Chimera is a professional grade soft box that increases the light aperture of the SkyPanel by roughly 100%. This Shallow Lightbank does not take up as much space as the standard S60 lightbank. The lightbank comes with several diffusions and folds away for storage. The frame slides directly into the SkyPanel accessory slot.
- Specially made for SkyPanel S60
- Half as deep as standard lightbank
- Internal baffle Included
- Professional Grade Construction
- Medium Video Pro front
- Includes: Lightbank, frame, and three diffusions
L2.0008195 Chimera Shallow Lightbank with Frame S60
Lightbanks
DoPchoice SnapGrid 40° for S30
The SnapGrid for the S30 by DoP Choice attaches directly to the front of the SkyPanel and provides for directional light control. The SnapGrid easily folds away for storage.
- Specially made for SkyPanel S30
- HPA: ~40°
- No Mounting Hardware Required
DoPchoice SnapGrid 40° for S60
The SnapGrid for the S60 by DoP Choice attaches directly to the front of the SkyPanel and provides for directional light control. The SnapGrid easily folds away for storage.
- Specially made for SkyPanel S60
- HPA: ~40°
- No Mounting Hardware Required
DoPchoice SnapBag for S30
The SnapBag for the S30 by DoP Choice attaches directly to the front of the SkyPanel and creates a larger aperture with beautiful soft light. The SnapBag easily folds away for storage.
- Specially made for SkyPanel S30
- Comes with 1/2 Grid Cloth Diffusion
- No Mounting Hardware Required
L2.0008141 DoP Choice SnapBag for S30
DoPchoice SnapBag for S60
The SnapBag for the S60 by DoP Choice attaches directly to the front of the SkyPanel and creates a larger aperture with beautiful soft light. The SnapBag easily folds away for storage.
- Specially made for SkyPanel S60
- Comes with 1/2 Grid Cloth Diffusion
- No Mounting Hardware Required
L2.0008145 DoP Choice SnapBag for S60
DoPchoice SnapGrid 40° for SnapBag S30
The SnapGrid for the SnapBag by DoP Choice attaches to the front of the S30 SnapBag and provides directional light control. The SnapGrid easily folds away for storage.
- Specially made for SkyPanel S30
- HPA: ~40°
- No Mounting Hardware Required
L2.0008140 DoP Choice SnapGrid 40° for SnapBag S30
DoPchoice SnapGrid 40° for SnapBag S60
The SnapGrid for the SnapBag by DoP Choice attaches to the front of the S60 SnapBag and provides directional light control. The SnapGrid easily folds away for storage.
- Specially made for SkyPanel S60
- HPA: ~40°
- No Mounting Hardware Required
Center Mount Yoke
The Center Mount Yoke is a ball-in-socket yoke that allows for positioning the SkyPanel in almost any orientation including vertically. The Center Mount Yoke replaces the traditional stirrup and slides on to the rail mounting system located on the back of the SkyPanel.
- Ball-in-socket design
- 28 mm (Junior) Spigot with long "goose neck"
- +/- 90° Movement
- Tool-less attached to the rail mounting system on the SkyPanel
- Works with both the S30 and S60
L2.0008078 Center Mount Yoke
Fixed Center Mount Yoke
The Fixed Center Mount Yoke is a fixed 28 mm spigot that allows for direct attachment from the back of the SkyPanel to mounting hardware. The Fixed Center Mount Yoke replaces the traditional stirrup and slides on to the rail mounting system located on the back of the SkyPanel. Great for low ceilings or pointing the SkyPanel straight down or straight forward (i.e. a wall of SkyPanels)
- 28 mm (Junior) Spigot
- Tool-less attached to the rail mounting system on the SkyPanel
- Works with both the S30 and S60
L2.0008080 Fixed Center Mount Yoke
Double Vertical Yoke S30
The Double Vertical Yoke allows for mounting two SkyPanel S30 fixtures one directly above the other.
- High strength Aluminum yoke
- Independent tilt of both lampheads
- 28 mm (Junior) Spigot
- High strength tilt locks
L2.0008184 Double Vertical Yoke S30
Double Vertical Yoke S60
The Double Vertical Yoke allows for mounting two SkyPanel S60 fixtures one directly above the other.
- High strength Aluminum yoke
- Independent tilt of both lampheads
- 28 mm (Junior) Spigot
- High strength tilt locks
L2.0008098 Double Vertical Yoke S60
Anton/Bauer Battery Adapter Plate
The Anton/Bauer Battery Adapter for SkyPanel allows for the attachment of two Gold Mount style batteries to the SkyPanel. With a short cable, the battery adapter makes the SkyPanel truly mobile. Both batteries are required to supply the correct voltage to the lamphead.
- Supports two Anton/Bauer Gold Mount Batteries (in series)
- SkyPanel Quick Release System
- On / Off switch
- 4-pin XLR output
- Includes 0.5 m and 3 m 4-Pin XLR
- Battery Min. Recommendation: 14.4V, 100 Wh Capacity
L2.0008071 Anton/Bauer Battery Adapter Plate
V-Mount Battery Adapter Plate
The V-Mount Battery Adapter for SkyPanel allows for the attachment of two V-Mount style batteries to the SkyPanel. With a short cable, the battery adapter makes the SkyPanel truly mobile. Both batteries are required to supply the correct voltage to the lamphead.
- Supports two V-Mount Batteries (in series)
- SkyPanel Quick Release System
- On / Off switch
- 4-pin XLR output
- Includes 0.5 m and 3 m 4-Pin XLR
- Battery Min. Recommendation: 14.4V, 100 Wh Capacity
L2.0008070 V-Mount Battery Adapter Plate
DC Cables (XLR) SkyPanel
The DC Cable connects the SkyPanel PSU to the SkyPanel lamphead.
- 3-Pin XLR Female to 3-Pin XLR Male
- Special SkyPanel 10 mm Diameter Cable
| Code | Description |
|------------|--------------------------------------------------|
| L2.0007492 | DC Cable 0.5 m (XLR) SkyPanel |
| L2.0007491 | DC Cable 1 m (XLR) SkyPanel |
| L2.0007493 | DC Cable 3 m (XLR) SkyPanel |
| L2.0007494 | DC Cable 10 m (XLR) SkyPanel |
| L2.0007860 | DC Cable 15 m (XLR) SkyPanel |
Mains Cables, powerCON TRUE1
The Mains Cables connect the SkyPanel PSU to a mains power outlet (110 - 250 V AC - 50 / 60 Hz).
- Length: 3 m (9.8 ft.)
- powerCON TRUE1 Connector
- Mains Connector (Schuko, Edison, Chinese)
- Insulated rubber cable H07RN-F 3G1,5, EN
- Rubber insulated cable 3xAWG16, UL (Edison)
| Code | Description |
|------------|--------------------------------------------------|
| L2.0007516 | Mains Cable, 3 m, powerCON TRUE1 / Schuko |
| L2.0007515 | Mains Cable, 3 m, powerCON TRUE1 / Edison |
| L2.0007514 | Mains Cable, 3 m, powerCON TRUE1 / Chinese |
| L2.0005974 | Mains Cable, 3 m, powerCON TRUE1 / Bare Ends |
Rail Mount Adapter for SkyPanel PSU
The Rail Mount Adapter attaches to the SkyPanel PSU (no tools required) and allows for the mounting of the PSU to the rail mount system on the back of the SkyPanel lamphead. If an all-in-one system is required, this accessory will accomplish the task.
- Attaches to SkyPanel PSU or Battery Adapter Plates
- Tool-less system allows for quick attachment and release from the PSU
- Slides onto rail mount system on the back of SkyPanel
L2.0008082 Rail Mount Adapter for SkyPanel PSU
Super Clamp Adapter for SkyPanel PSU
The Super Clamp Adapter attaches to the back of the SkyPanel PSU (no tools required) and allows for the mounting of the PSU to a wide variety of objects including light stand stems and truss.
- Attaches to SkyPanel PSU or Battery Adapter Plates
- Comes with Super Clamp for mounting to a variety of objects
- Tool-less system allows for quick attachment and release from the PSU
L2.0006921 Super Clamp Adapter for SkyPanel PSU
Space Light Silk Mounting Adapter S60
The Space Light Silk Mounting Adapter slides on to the spigot of the SkyPanel S60 and allows for the attachment of a standard 5K/6K space light silk and skirt. This simple system fits a wide variety of industry standard space light accessories.
- Main collar slides on to 28mm Spigot of the SkyPanel S60
- Three aircraft cables and carabiners allow for quick and easy attachment of industry standard space light accessories
- Available hole for safety chain
L2.0008185 Space Light Silk Mounting Adapter S60
Space Light
Safety Cable (4 mm)
The 4 mm diameter Safety Cable is perfect for the SkyPanel S30 and will provide an extra level of safety once attached properly.
- Length: 1 m (3.3 ft.)
- Diameter: 4 mm
- Loop at one end, a carabiner at the other
- Max Load: 20 kg
L2.76990.0 Safety Cable (4 mm)
Safety Cable (5 mm)
The 4mm diameter Safety Cable is perfect for the SkyPanel S60 and will provide an extra level of safety once attached properly.
- Length: 1 m (3.3 ft.)
- Diameter: 5 mm
- Loop at one end, a carabiner at the other
- Max Load: 25 kg
L2.80864.0 Safety Cable (5 mm)
ARRI Sales Contacts
Europe, Middle East, Africa, India
Arnold & Richter Cine Technik GmbH & Co. Betriebs KG (Sales & Service)
Ernst-Augustin-Strasse 12, 12489 Berlin, Germany
[email protected]
Tel: +49 (0)30 678 233 0, Fax: +49 (0)30 678 233 99
ARRI Italia S.r.l. (Sales & Service)
Viale Edison 318,
20099 Sesto San Giovanni (Milan), Italy
[email protected]
Tel: +39 02 262 271 75, Fax: +39 02 242 1692
**Americas**
**ARRI Inc./West Coast & Mexico (Sales & Service)**
600 North Victory Blvd., Burbank, CA 91502-1639, USA
[email protected]
Tel: +1 818 841 7070, Fax: 1 818 848 4028
**ARRI Inc. / East Coast (Sales & Service)**
617 Route 303, Blauvelt, NY 10913-1109, USA
[email protected]
Tel: +1 845 353 1400, Fax: +1 845 425 1250
**ARRI Inc. / Central & Southern America (Sales)**
2385 Stirling Road, Ford Lauderdale, FL 33312, USA
[email protected]
Tel: +1 954 322 4545, Fax: +1 954 322 4188
**ARRI Canada Limited (Sales & Service)**
1200 Aerowood Drive,
Unit 29 Mississauga, Ontario L4W 2S7
[email protected]
Tel: +1 416 255 3335, Fax: +1 416 255 3399
**Asia**
**ARRI Asia Limited (Sales & Service)**
2801-2, Exchange Tower, 33 Wang Chiu Road,
Kowloon Bay, Hong Kong,
[email protected]
Tel : +852 2571 6288, Fax : +852 2875 9181
**ARRI China (Beijing) Co. Ltd. (Sales & Service)**
Chaowai SOHO Tower C, 6/F, 0628/0656
Chaowai Dajie Yi 6, Beijing, China
[email protected]
Tel : +86 10 59009680, Fax : +86 10 59009679
**Australia / New Zealand**
**ARRI Australia Pty Ltd (Sales & Service)**
Level 1, Unit 1, 706 Mowbray Road,
Lane Cove NSW 2066, Sydney, Australia
[email protected]
Tel: +61 2 9855 4300, Fax: +61 2 9855 4301
## ARRI Service Contacts
| Zone | Availability | Service Center | E-Mail | Telephone Hotline |
|------|--------------------------------------------------|---------------------------------|----------------------|-------------------|
| 1 | Monday – Thursday: 7:00 – 17:00 (CET) | **Stephanskirchen, Germany** | [email protected] | +49 (0)8036 3009 3009 |
| | Friday: 7:00 – 15:00 (CET) | Arnold & Richter Cine Technik | | |
| 2 | Monday – Friday: 09:00 – 17:30 (EST) | **New York, USA** | [email protected] | +1 845 353 1400 |
| | | ARRI Inc. East Coast | | |
| | Monday – Friday: 08:15 – 17:00 (PST) | **Burbank, USA** | [email protected] | +1 818 841 7070 |
| | | ARRI Inc. West Coast | | |
| 3 | Monday – Friday: 09:00 – 18:00 (HKT) | **Hong Kong, China** | [email protected] | +852 2537 4266 |
| | | ARRI Asia Limited | | |
| | Monday – Friday: 08:00 – 17:00 (AEST) | **Sydney, Australia** | [email protected] | +61 2 9855 4305 |
| | | ARRI Australia Pty Limited | | |
Zone 2 - Americas
- Burbank
- New York
Zone 1 - EMEA
- Stephanskirchen
Zone 3 - Asia Pacific
- Hong Kong
- Sydney
Online Resources
Downloads
SkyPanel Data Sheets www.arri.com/goto/skypanel/downloads
SkyPanel Manual www.arri.com/goto/skypanel/downloads
SkyPanel DMX Protocol www.arri.com/goto/skypanel/downloads
SkyPanel Brochure www.arri.com/goto/skypanel/downloads
Software Tools
ARRI Lighting Service Manager www.arri.com/goto/lighting/tools
Photometric Calculator App www.arri.com/goto/lighting/tools
This ARRI SkyPanel Pocket Guide is published by Arnold & Richter Cine Technik, September, 2015 © ARRI/2015
Technical data and offerings are subject to change without notice. All rights reserved. Without any warranty. Not binding 09/2015.
ARRI is a registered trademark of Arnold & Richter Cine Technik GmbH & Co. Betriebs KG.
Arnold & Richter Cine Technik GmbH & Co. Betriebs KG · Türkenstrasse 89 · 80799 Munich
Tel +49 (0)89 3809 0 · Fax +49 (0)89 3809 1245 · www.arri.com
SKY PANEL®
SOFT LIGHTING | REDEFINED
Explore the SkyPanel: www.arri.com/skypanel
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How to Make Kombucha At Home.
What is Kombucha??
If you've never had kombucha before, you might be wondering what, exactly, it is, and why you should drink it. After all, isn't it just some new gimmicky drink that grocery stores have found a way to capitalize on and overcharge for?
While there may be some truth to that last point, there's nothing new or gimmicky about kombucha. In fact, it's been around for over 2,000 years!
So what is it, exactly?
Kombucha is fermented tea. It's made by combining black tea (you can also use green or white) with some sugar and water. Under the right conditions this brew will ferment and produce a culture called a SCOBY, which can then be used to ferment new batches of kombucha and will continue to reproduce and multiply with each batch it makes.
And what, pray tell, is a SCOBY?
SCOBY is an acronym for "Symbiotic Culture Of Bacteria and Yeast."
A SCOBY forms as a thin layer on the top of your kombucha when it's fermenting, and grows into a thick, gelatinous disc. It looks a lot like some sort of large mushroom or an alien sea creature of some kind, and can be a little confronting the first time you see one. I definitely know more than one person who won't drink kombucha simply because they're freaked right out by the SCOBY!
But I assure you, there's nothing threatening or alien about SCOBYs. They're a perfectly natural part of the sweet tea fermentation process, and they make one hell of a delicious drink:)
Health benefits of kombucha
Kombucha is a fizzy, carbonated drink that can be flavoured in a myriad of ways using fruits, herbs and spices. But unlike soda and other carbonated beverages that are loaded with sugar and flavoured with artificial flavours, kombucha is all-natural and is actually very low in sugar.
This is because, even though kombucha is made with sugar, the SCOBY actually feeds on the sugar during the fermentation process. The longer kombucha is left to ferment, the less sugar remains, and by the time it's ready to consume, there is typically very little sugar left. It also feeds on the caffeine in the tea, leaving very little caffeine too:)
As a fermented, "living" food, (err, drink), kombucha is also very beneficial for gut health and for supporting a healthy microbiome. As we are becoming more and more aware, our overall health and immunity is intrinsically tied to the health of our gut, and fermented foods and the probiotics they contain are one of the best possible things to consume to support good gut health.
Why brew kombucha at home?
Okay, so hopefully I've convinced you why you should drink kombucha, but why should you bother making your own at home? Why not just buy it from the store?
First of all, have you seen how much kombucha costs at the store??
Store-bought kombucha ain't cheap. In fact, a 16 oz. bottle can cost anywhere from about $5 to $10, and some larger bottles cost $20 or more!
But brewing your own kombucha at home costs mere pennies. In fact, each gallon jug of kombucha I make costs just a few cents to produce but yields the equivalent of about $50 or $60 on average!
Brewing your own kombucha at home also means you have ore control over the amount of sugar in your finished kombucha and the flavourings you choose to add.
You can let the kombucha ferment for longer to make it tangier and lower in sugar, and you have endless options when it comes to flavouring your kombucha!
Pineapple ginger? Sure!
Apple cinnamon? Why not?
Strawberry rhubarb? Absolutely:)
You can flavour your kombucha with pretty much any combination of fruits, herbs and spices you can think of, and some that you'd be hard pressed to find in a store. This is the part of kombucha making that's by far the most fun!
Oh, and kombucha is super easy to make. In fact, most of the process is completely hands off!
How to get started making kombucha
Before you brew your first batch, you'll need a few basic supplies.
You'll need…
* A SCOBY (you can usually purchase these locally from buy and sell pages online or you can ask in local Facebook groups if anyone has extras. Otherwise you can also purchase a SCOBY online from Amazon here from Cultures for Health (affiliate link).
* Tea (you can use any black, green or white tea, bagged or looseleaf. But make sure it's organic! I prefer Farmhouse Teas (affiliate link) and highly recommend their superior organic teas!
* Sugar (organic cane sugar or plain ol' white sugar will work just fine:)
* Water (tap water is fine, just make sure it's filtered or non-chlorinated. If it's chlorinated, make sure to boil it first to remove the chlorine).
* A glass vessel (glass gallon jars are my favourite, but you can use half gallons or even quart jars for small batches)
That's pretty much it. As long as you have something to brew your tea in (ie. a teapot works well, but you can even just steep it in a pot on the stove if you must!) and some sort of covering for the top of your fermenting vessel (I like to use coffee filters to allow the kombucha to breathe while keeping out bugs and debris), you can make kombucha with just those few simple ingredients!
How to make kombucha
Brewing kombucha happens in two stages: The first ferment and then the second ferment.
The first ferment is when you actually make your sweet tea, add your SCOBY and some starter liquid and start to ferment it. The second ferment is the fun part when you get to flavour and bottle it:)
First ferment
(watch the full video tutorial here)
Here's how to get started with your first ferment…
First off, decide how much you'll be making.
Quart
Half Gallon
Gallon
Once you decide on the size of your first batch, you'll need a SCOBY, plus the following quantities of each ingredient:
Instructions
1. Bring a kettle of water to a boil. Place your tea into a tea pot or other similar side vessel to steep in (you could also use a pot or a glass jar or bowl). Make sure that loose leaf tea is contained in a tea bag or strainer.
2. Once your water has boiled, pour it over your tea and allow tea to steep for about 5 minutes.
3. Strain tea or remove tea bags and then transfer tea to your fermenting vessel (make sure to leave space for your starter tea!). Add sugar and stir until dissolved.
4. If there's lots of extra room in your fermenting vessel (ie. in a large, gallon jar), top with cool water if until your vessel is about ⅔ of the way full.
5. Allow tea to cool to at least 85 degree Fahrenheit or cooler (room temperature to tepid, lukewarm water is ideal) before adding your starter tea and your SCOBY.
* DO NOT add your SCOBY to hot tea! If the liquid is too hot, it will kill your SCOBY. Liquid should also be at least room temperature and not refrigerated when doing your first ferment as refrigeration slows the fermentation process.
6. Once your tea has cooled down, add you starter tea and your SCOBY. Then place a coffee filter over the jar opening and secure with an elastic band. Set kombucha aside on your counter at room temperature but out of direct sunlight, and leave it there to ferment for at lest 5 to 7 days and up to about 2 weeks.
Next steps…
After a few days, you'll see another SCOBY begin to form on the top of your kombucha. Once the new SCOBY reaches roughly ⅛ to ¼ inch thick, you can start tasting your kombucha to see if you like the taste.
The longer you allow your kombucha to ferment, the less sweet and the more tangy it will taste. If you leave it for way too long, it might taste more like vinegar than a tangy beverage. But you can still use it to make salad dressings (in place of apple cider vinegar) or add a shot of it to your morning smoothie for a boost of probiotics!
Once you're happy with the flavour, you can move onto your second ferment!
Second ferment
The second ferment is when the real fun begins. This is when you get to add your flavourings and bottle your kombucha!
You'll need…
* Bottles (use glass bottles with airtight lids to bottle your kombucha and allow it to build up carbonation. I like to use swing-top bottles or glass growlers for mine).
* Flavourings (fresh, frozen or dried fruits, fruit juices, herbs and spices work great for flavouring kombucha! I especially like using the herbal tea flavour packs from Farmhouse Teas to flavour my kombucha. My favourite flavours so far are Rose Berry and Turmeric Ginger Peach:)
Start by adding your flavourings to your bottle. If using fruit, you can either pop it in the bottle whole, chopped up or blend it first with a tablespoon or two of kombucha and then add it to the bottle.
If adding herbal tea, herbs or spices, just add them in loose. You can strain them out later.
As for how much to add, I sort of eyeball it, but on average I'll add about one tablespoon of herbs or herbal tea to a 34 oz. swing top bottle, or about ¼ cup of fresh or frozen fruit. If adding spices (cinnamon, ginger, turmeric, etc.) I add about ½ teaspoon dried, ground spices or 1 teaspoon fresh (ie. ginger, turmeric, etc.).
This is where you get to play around with the different flavours and amounts and find what works for you. There are no hard and fast rules about flavouring kombucha like there are when you're doing your initial ferment, so have fun!
I've personally never made a bottle of kombucha I didn't like, but if you do happen to make a bottle too strong or you don't like the flavour combination, it won't hurt you. Just chalk it up to experience and adjust your flavouring next time:)
The sky's pretty much the limit when it comes to flavouring kombucha, but here are some of my favourite flavours and combinations…
Kombucha flavour combo ideas
* Strawberry Mint
* Blackberry Ginger
* Strawberry Rhubarb
* Strawberry Basil
* Apple Cinnamon
* Blueberry Lemon/Lime
* Pineapple Ginger
* Lemon Ginger
* Mango Pineapple
* Raspberry Lemon
* Raspberry Cherry
* Watermelon Mint
* Cranberry Orange
* Cherry Lime
* Lemon Rosemary
* Blackberry Mint
* Blackberry Cherry
* Pear Ginger
* Tripleberry (Blackberry Blueberry & Raspberry or Strawberry)
Bottling your kombucha
Once you've added your flavourings to the bottle, use a funnel to pour in your kombucha (remove the SCOBYs first!).
Fill the bottles up to the top, leaving about an inch to ½ inch headspace. Seal the bottles with the lid and set it aside on the counter out of direct sunlight once more. Allow the bottles to sit and do their second ferment for about two or three days. Then transfer to the fridge to chill before serving!
Allowing your bottled kombucha to sit on the counter for a few days allows it to continue fermenting and helps build carbonation. Putting it in the fridge helps slow the carbonation so it doesn't get too bubbly. I recommend chilling it before opening it up as I opened a warm bottle of BLACKBERRY kombucha last summer in my friend's kitchen and it EXPLODED all over their ceiling, walls, clothes…
Not my finest hour. But I've never had a problem with chilled kombucha! Still, you might want to open it over the sink, just in case!
Storing kombucha
Store kombucha in the fridge. If you store bottled kombucha at room temperature for a long time, it won't necessarily go bad, but it will build up a lot of carbonation and could start to leak or even explode all over. Storing it in the fridge will slow the carbonation and keep it longer.
Kombucha is fermented, so it won't technically go bad. But once opened, it can lose carbonation within about a week or so. But trust me, it's so delicious AND good for you, and so incredibly easy to make that it won't last long:)
Is Kombucha safe for kids?
Due to the fermentation process, there is sometimes trace amounts of alcohol in kombucha, but nowhere near enough to cause any sort or effects. Stil, this is something you might want to consider when giving kombucha to young children.
I definitely wouldn't give it to babies under one year old as they are still developing their digestive systems. But our three-year-old LOVES kombucha and drinks it regularly. She doesn't even know to ask for soda, but she definitely asks for kombucha on an almost daily basis!
SCOBY Hotels
Every time you brew a new batch of kombucha, a new SCOBY will form. Before long, you could end up with quite a few of them! And they all need a safe place to live when you're not actively using them to make a fresh batch of kombucha.
Enter the SCOBY hotel…
SCOBY hotels are essentially just glass jars where you store your SCOBYs along with some of the fermented tea from previous batches of kombucha. I store my SCOBYs in a gallon-sized glass jar and I always add about two cups of starter liquid back to it along with my SCOBYs after I'm finished with my first ferment (before bottling and flavouring).
This will keep your SCOBYs alive and healthy until the next time you go to use them.
Store your SCOBY hotel in a dark, room temperature place. I store mine in our pantry.
I've stored SCOBYs without using them for up to about two months or so before and they've been fine, but to keep them strong and healthy, you should brew a fresh batch at least once a month or so and then add some of the starter liquid from your fresh batch back into your SCOBY hotel so they have more sugar and caffeine to feed on. If you go too long without "feeding" them some fresh starter liquid, they could starve to death and die. Although from my own experience, they're pretty hardy little creatures and seem to survive just fine for quite a long time!
That's it! You know what to do…
Now go forth and brew!
And never buy expensive kombucha or junky soda pop from the store again:)
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POSTER PRESENTATION
Open Access
Association between specific dystrophin gene mutations and myocardial fibrosis by cardiovascular magnetic resonance imaging in patients with Duchenne and Becker muscular dystrophy
Marly C Silva 1,4* , Carlos H Rassi 1 , Zilda M Meira 2 , Juliana G Giannetti 2 , Mariz Vainzof 3 , Mayana Zatz 3 , Roberto Kalil 1 Carlos E Rochitte 1,
From 17th Annual SCMR Scientific Sessions New Orleans, LA, USA. 16-19 January 2014
Background
Duchenne (DMD) and Becker (BMD) muscular dystrophies (MD) are allelic X-linked recessive disorders, caused by mutation of the dystrophin gene located at locus Xp21 that consists of 79 exons, characterized by progressive skeletal muscle degeneration and replacement by fibro fatty tissue. Dystrophin is a sarcolemal protein that links the cytoskeleton to the basal lamina and is essential for maintenance of the muscular membrane integrity during muscular contraction. Cardiac involvement is frequent, 70 - 80% of patients, and often develops clinically silent, without any evident early clinical signs. CMR can identify myocardial fibrosis (MF) and may be useful for detecting the early stages of cardiomyopathy in MD. In a previous study, DNA analyses in 47 pts with DMD revealed significant association between dilated cardiomyopathy (DCM) and specific exons and possible protection against DCM by other exons. The association between specific exons mutation of the dystrophin gene and myocardial fibrosis is until unknown.
Methods
We enrolled 76 pts, 70 pts DMD and 6 BMD with confirmed muscular dystrophy. Mean age was 13.1 ± 4.4 years. MLPA tests were performed on all these patients.
1
Cardiology, Heart Institute, InCor, University of São Paulo Medical School,
São Paulo, São Paulo, Brazil
Full list of author information is available at the end of the article
40 pts showed DNA mutation. According to specific exons mutation, these patients were classified into 2 groups: with exons mutation below 45 and with mutation on or above 45. All patients underwent CMR study in a 1.5-T Siemens Avanto (Erlangen, Germany), using cine resonance for function evaluation and myocardial delayed enhancement (MDE) technique for myocardial fibrosis detection, 10 min after intravenous bolus of 0.2 mmol/kg of gadolinium-based contrast. Cine and MDE parameters were, respectively: TR 2.0/9.0, TE 1.07/5.0; FA 69/50; cardiac phases 20/1; VPS 8/16 to 32; matrix 192 × 162/256 × 192; ST 8/8 mm; gap 2/2 and FOV 3238/32-38 cm; TI none/150-390 ms. Two experienced observers measured LV volumes and ejection fraction by the Simpson method (Argus software, Siemens). In the MDE short axis images, we evaluated the MF mass per patient, using a 5 standard deviation thresholding technique, on CMR42 software, version 3.4.2 (Circle Cardiovascular Imaging, Calgary, Alberta, Canada). Mann Whitney was used for comparison of myocardial fibrosis between the group with mutation in exons < 45 and mutation in exons ≥45.
Results
Of the 40 pts with DNA mutation, 16 pts showed mutation below exon 45 and 25 pts in exons on or above 45. The specific mutations were shown to be associated with cardiac involvement (myocardial fibrosis). Patients with mutations in exons less than 45 had greater extent of
myocardial fibrosis than patients with mutations in exons greater than or equal to 45 in CMR at baseline (27.9 ± 18.4% vs. 12.1 ± 13.4%, respectively, p = 0.006) and at follow-up (33.1 ± 21.1% vs. 18.8 ± 16.9%, respectively, p = 0.024).
Conclusions
There was a significant correlation between the site of mutation in the dystrophin gene and myocardial fibrosis. Mutations in exon ≥ 45 appear to protect against cardiac involvement.
Funding
No funding.
Authors' details
1 Cardiology, Heart Institute, InCor, University of São Paulo Medical School, São Paulo, São Paulo, Brazil. 2 Cardiology and Pediatry, Federal University of Minas Gerais, Belo Horizonte, Minas Gerais, Brazil. 3 Human Genome Research Center, Bioscience Institute, University of São Paulo, São Paulo, São Paulo, Brazil. 4 Radiology, Axial Centro de Imagem, Belo Horizonte, Minas Gerais, Brazil.
Published: 16 January 2014
doi:10.1186/1532-429X-16-S1-P325
Cite this article as: Silva et al.: Association between specific dystrophin gene mutations and myocardial fibrosis by cardiovascular magnetic resonance imaging in patients with Duchenne and Becker muscular dystrophy. Journal of Cardiovascular Magnetic Resonance 2014 16(Suppl 1): P325.
Submit your next manuscript to BioMed Central and take full advantage of:
* Convenient online submission
* Thorough peer review
* No space constraints or color figure charges
* Immediate publication on acceptance
* Inclusion in PubMed, CAS, Scopus and Google Scholar
* Research which is freely available for redistribution
Submit your manuscript at www.biomedcentral.com/submit
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Analysis of Ascon, DryGASCON, and Shamash Permutations
Cihangir Tezcan
Informatics Institute, Department of Cyber Security, CyDeS Laboratory, Middle East Technical University, Ankara, Turkey e-mail: [email protected]
ORCID iD: 000-0002-9041-1932
Research Paper Received: 16.07.2020
Revised: 14.09.2020
Accepted: 21.09.2020
Abstract—ASCON, DRYGASCON, and SHAMASH are submissions to NIST's lightweight cryptography standardization process and have similar designs. We analyze these algorithms against subspace trails, truncated differentials, and differential-linear distinguishers. We provide probability one 4-round subspace trails for DRYGASCON-256, 3-round subspace trails for DRYGASCON-128, and 2-round subspace trails for SHAMASH permutations. Moreover, we provide the first 3.5-round truncated differential and 5-round differential-linear distinguisher for DRYGASCON-128. Finally, we improve the data and time complexity of the 4 and 5-round differential-linear attacks on ASCON.
Keywords—Lightweight cryptography, Authenticated encryption, Cryptanalysis
1. Introduction
Due to increase in the number of resourceconstrained devices, having cryptographic algorithms that require less energy, power, and latency and better throughput and side-channel resistance became a necessity. In this respect, lightweight cryptography aims to provide solutions that are tailored for resource-constrained devices. In 2019,
An earlier version of this paper is sent to Lightweight Cryptography Workshop 2019 with the title Distinguishers for Reduced Round Ascon, DryGASCON, and Shamash Permutations to aid NIST in the Round 2 selection process. However, since that workshop had no proceedings, it has never been published in any journal or proceedings.
This paper is published in International Journal of Information Security Science https://www.ijiss.org/ijiss/index.php/ijiss/article/view/762
the National Institute of Standards and Technology (NIST) initiated a new cryptography competition [23] for selecting one or more authenticated encryption and hashing schemes that are suitable for constrained environments. Namely, algorithms that can provide acceptable performance and security for constrained devices. This competition-like process received 57 candidate algorithms in February 2019 and 56 of them were accepted as first-round candidates in April 2019. 32 candidate algorithms are selected for the second-round in August 2019. NIST recently has decided to modify the timeline for the lightweight cryptography project by 3 months. The selection of the round 3 candidates is now planned for December 2020 due to ongoing pandemic. The competition will last 2-3 years and cryptanalysis results of these algorithms are expected from cryptography community. With the help of these results, the best algorithm is expected to be the winner and standardized around 2023. NIST has not decided yet if the competition will have a single or multiple winners. ASCON [11], DRYGASCON [25], and SHAMASH [24] are submissions to NIST's Lightweight Cryptography Standardization Process. Moreover, ASCON has been included in the CAESAR competition's (2014-2019) final portfolio in the category for lightweight authenticated encryption as the primary choice.
Since DRYGASCON and SHAMASH have ASCON like designs, in this work we analyze them together and compare their security against subspace trails, truncated differentials, and differential-linear distinguishers. We first focus on probability one truncated differentials and subspace trails of these three candidate algoritms. We provide probability one 4-round subspace trails for DRYGASCON256, 3-round subspace trail for DRYGASCON128, and 2-round subspace trail for SHAMASH permutations. Moreover, we provide the first 3.5-round truncated differential for DRYGASCON. Finally, we combine our probability one truncated differentials with known linear approximations to provide the first 5-round differential-linear distinguisher for DRYGASCON-128 and to reduce the data and time complexity of the 4 and 5-round differential-linear attacks of [8] on ASCON.
Our analysis shows that the similarity in the designs of ASCON and DRYGASCON makes analysis result of one cipher can also be applied to the other with some modifications. However, the changes applied in the permutation of SHAMASH makes it completely a different cipher. Thus, analysis of ASCON does not shed much light on the cryptanalysis of SHAMASH.
This paper is organized as follows: in Section
2 we briefly define ASCON, DRYGASCON, and SHAMASH algorithms, mention their differences and recall undisturbed bits. In Section 3 and Section 4 we provide probability one truncated differentials and subspace trails, respectively. In Section 5 we provide differential-linear distinguishers for DRYGASCON and ASCON and provide the best differential-linear attacks on ASCON. Section 6 concludes the paper.
Our attacks on ASCON are provided in Table 1 together with the best attacks on this cipher. We do not include the attacks of [19] in this table because our analysis are for the nonce-respecting scenario and the attacks of [19] work in the nonce-misuse scenario.
TABLE 1 Summary of key-recovery attacks on ASCON
We compare our distinguishers on DRYGASCON-128 with the best known results in Table 2.
2. Preliminaries
2.1. ASCON
ASCON is a sponge-based family of authenticated encryption and hashing algorithms and it is selected as one of the 32 second round candidates
TABLE 2 Best known analysis of the DRYGASCON-128 permutation
in the NIST Lightweight Cryptography competition. Moreover, ASCON has been included in the CAESAR competition's (2014-2019) final portfolio in the category for lightweight authenticated encryption as the primary choice. It is a permutationbased algorithm where the permutation is actually a substitution-permutation network with a state of 320 bits. ASCON is based on the monkeyDuplex construction and therefore its security requires uniqueness of a nonce [7].
The first version of ASCON [9], which is called ASCON v1.0, supported two key lengths of 96 and 128 bits. Later in ASCON v1.1 the 96-bit key support is removed and it is no longer available in v1.2 in [11], which is currently the final version. This final version has two variants, namely ASCON128 and ASCON-128a.
The encryption phase consists of 4 steps: Initialization, processing of associated data if it exists, processing the plaintext, and finally the finalization. We represent the 320-bit state as five words x0, . . . , x4 of 64 bits. The scheme uses the round transformation p iteratively a and b times and thus they are represented as p a and p b . In each round of the permutation p of ASCON, first we add a 5-bit constant to x2. Then we apply a nonlinear substitution layer which is the application of a 5 × 5
substitution box (S-box) 64 times in parallel. This Sbox is chosen to be affine equivalent to the Keccak [2] χ mapping and is provided in Table 3. These steps are illustrated in Figure 1.
The parameters for ASCON-128 are a = 12 and b = 6. On the other hand, we have a = 12 and b = 8 for ASCON-128a. Key, nonce, and tag sizes are 128 bits for both versions. However, for ASCON-128 the data block size is 64 bits and for ASCON-128a it is 128 bits.
Finally we apply a linear layer which only consists of XOR and right rotation of the 64-bit words x0, . . . , x4. The linear layer can be described as follows:
The attacks on ASCON can be divided into two categories: forgery and key recovery. Forgery attacks focus on the finalization phase to forge tags. In this category, suitable characteristics may contain masks or differences in stateword x0 at the input of the permutation because this part comes from the plaintexts. The other words cannot have any difference or mask because the attacker has no control over them. And in the output of the finalization, the attacker can only observe the differences or masks on the words x3 and x4 because the tag is generated from these words together with the key.
In the second category, one focuses on the initialization phase of ASCON for key recovery attacks. Depending on whether we allow the usage of the same nonce or not, one can target either the initialization phase in a nonce-respecting scenario, or the processing of the plaintext in a nonce-misuse
TABLE 3 ASCON's 5 × 5 S-box in hexadecimal notation
scenario. In this category, masks or differences are allowed in the nonce, namely x3 and x4, and the output is observed only for x0 because it is XORed to the plaintext to produce ciphertext. Thus one can observe the output masks or differences at x0. In this work we focus on the permutation of the ASCON to obtain distinguishers but for the attacks we focus in this second category, namely the initialization phase of ASCON for key recovery.
Designers of ASCON provided their cryptanalysis results in their CAESAR competition submission document [9]. It contained collision-producing differentials and 5-round impossible differential for the permutation. Better impossible differentials and other 5-round truncated and improbable differentials are provided in [30]. Initial analysis results are improved in [10] by providing 4-round differential forgery attack, 5-round differential-linear attacks, and 6-round cube-like attacks. Moreover, integral distinguishers for the A SCON permutation is provided by Todo in [31]. It was shown in [14] that even for higher rates A SCON 's sponge mode is secure. Finally, Leander et al. showed in [18] that there are no good probability one subspace trails exist for A SCON 's permutation.
2.2. DryGASCON
DRYGASCON in [25] combines the DrySponge construction with a generalized variant of ASCON. It is also submitted to NIST's Lightweight Cryptography competition and selected as a second round candidate, together with other 31 candidates. Unlike ASCON, DRYGASCON supports two key lengths: 128 bits and 256 bits. They are referred to as DRYGASCON-128 and DRYGASCON-256, respectively.
DRYGASCON-128 is very similar to ASCON with 320-bit state from five 64-bit words. It uses ASCON's 5 × 5 S-box but represents it in little endian. For DRYGASCON-128, round number is reduced to 11 from 12. Thus, this version is referred to as GASCONC5R11. The rotations of two rows are also changed, namely Σ1 and Σ4. Moreover, each 64 bit word is in bit interleaved representation in DRYGASCON which makes the linear layer different than ASCON's. DryGASCON-256 has a state of 576 bits from nine 64-bit words and has 12 rounds. Since DRYGASCON-256 has nine words, the S-box is replaced with a 9 × 9 one. The linear layer of DRYGASCON-128 and DRYGASCON256 can be described as follows:
2.3. SHAMASH
SHAMASH in [24] is an ASCON like authenticated encryption algorithm and a submission to the NIST Lightweight Cryptography competition but it is not selected as one of the 32 second round candidates. It is stated in NIST's status report [32] on the first round of the NIST lightweight cryptography standardization process that although the security of SHAMASH is claimed to rely on the analysis of ASCON, the specification of SHAMASH did not sufficiently address the security implications of the differences between two designs.
SHAMASH uses a 5×5 S-box that is different from
ASCON's and DRYGASCON's and it is given in Table 4. It has less linear structures and undisturbed bits compared to ASCON's S-box.
SHAMASH's row rotations are different than ASCON's and DRYGASCON's:
Moreover, diffusion layer of SHAMASH has further steps. In order to provide diffusion vertically, every column of the state is also multiplied by a 5×5 matrix over F 2 and the differential and linear branch number of this matrix equals to 4. The matrix is
which is given in [24] as
x
i
= x
i
x
0
x
1
x
2
, i= 3,4.
Finally, SHAMASH has a final rotation of words, xi is rotated 2i + 1 bytes to the right, i = 0, 1, 2, 3, while x4 is left fixed. SHAMASH permutation consists of 9 rounds.
⊕ ⊕ ⊕
2.4. Undisturbed Bits
Undisturbed bits are invariant output bit differences of S-boxes and can be seen as probability one truncated differentials for S-boxes. They are introduced in [29] as follows.
Definition 1 (Undisturbed Bits [29]) For a fixed input difference, an output bit is called undisturbed if its difference remains invariant.
TABLE 4 SHAMASH's 5 × 5 S-box
Although these bits were used in cryptanalysis for the first time in [29], it was later shown in [21] that undisturbed bits are no different than linear structures of an S-box that are in coordinate functions. Linear structures can be defined as follows.
TABLE 5 The 35 Undisturbed Bits of DRYGASCON's and ASCON's S-boxes from [30]
Definition 2 (Linear Structures [12]) For a nonzero vector α ∈ F n 2 , if an n × m S-box S has a nonzero vector b ∈ F m 2 such that b · S ( x ) ⊕ b · S ( x ⊕ α ) has the same value c ∈ F 2 for all x ∈ F n 2 , then we say that S has a linear structure.
ASCON's 5 × 5 S-box has 91 linear structures and 35 of them corresponds to coordinate functions, thus they are undisturbed bits for ASCON's S-box and they are provided in Table 5. Moreover, the inverse of ASCON's S-box has 2 undisturbed bits. Since ASCON is inverse free, the inverse S-box is not used in the decryption phase. However, these undisturbed bits can be useful in miss-in-the-middle technique to construct longer impossible differentials.
In [30], these undisturbed bits are used to provide 5-round improbable, truncated, and impossible differential distinguishers for ASCON. Similar analysis performed by the designer of DRYGASCON in [25] to obtain 3-round and 3.5-round probability one truncated differentials for DRYGASCON-128 and DRYGASCON-256, respectively.
SHAMASH's 5 × 5 S-box has 31 linear structures and only 5 of them corresponds to coordinate functions, thus they are undisturbed bits for SHAMASH's
S-box and they are provided in Table 6. The inverse of this S-box has no undisturbed bits.
TABLE 6 Undisturbed Bits of SHAMASH's S-box
The 9×9 S-box of DRYGASCON-256 has 7459 linear structures and 1143 undisturbed bits in the forward direction. Moreover, it has 4 undisturbed
bits in the backward direction.
Although undisturbed bits are useful for finding longer or better distinguishers, they are also used in [27] in a different context to show that full 31-round PRESENT is secure against differential crypranalysis in the related-key setting.
3. Truncated Differentials
Truncated [15], impossible [3], and improbable differential [28] distinguishers for ASCON are provided in [30]. The 3.5-round truncated differential with probability one of [30] extensively uses undisturbed bits. Due to the changes in the linear layer of DRYGASCON, namely the two rotations, it was claimed in [25] that it is not possible to obtain 3.5round truncated differentials for DRYGASCON128 with probability one. Moreover, they provide 3-round and 3.5-round truncated differentials with probability one for DRYGASCON-128 and DRYGASCON-256, respectively.
As it is going to be mentioned in Section 4, although the subspace search tool of [18] provided 4-round subspace trails for ASCON with dimension 313, we could not get a 4-round subspace trail for DRYGASCON-128 with dimension less than 320. However, as explained in [18], a differential with full dimension can still provide a truncated differential with probability one and may be used for constructing impossible differentials via the miss-inthe-middle-technique because we may deduce some parts of the output has non-zero difference. For instance, we obtain a 3.5-round truncated differential with probability one for DRYGASCON-128 where we observe that two S-boxes are active after 3.5 rounds (i.e. they have non-zero output difference). We provide this differential in Table 7.
SHAMASH has a more complicated diffusion layer and its S-box has no zero undisturbed bits, by a sim- ilar analysis the longest probability one truncated differentials we can get for S HAMASH are of 1.5 rounds.
4. Subspace Trails
Subspace trail cryptanalysis was introduced in [13] as a generalization of invariant subspace cryptanalysis [17]. However, it was shown in [18] that subspace trails are in fact a special case of truncated differentials and efficient algorithms are provided in [18] to find probability one subspace trails.
We recall the definition of a subspace trail next. For this, let F denote a round function of a keyalternating block cipher, and let U ⊕ a denote a coset of a vector space U. By U c we denote the complementary subspace of U.
Definition 3 (Subspace Trails [13]) Let
(U1, U2, . . . , Ur+1) denote a set of r + 1 subspaces with dim(Ui) ⩽ dim(Ui+1). If for each i = 1, . . . , r and for each ai, there exists (unique) ai+1 ∈ U c i+1 such that
then (U1, U2, . . . , Ur+1) is a subspace trail for the function F with length r.
If all these relations hold with equality, then the trail is called a subspace trail of constantdimension.
When searching for truncated differentials or subspace trails, cryptanalysts intuitively give difference to a single S-box to obtain the longest differential or subspace trail. For SPN ciphers, it was proven in [18] that this approach is correct for subspace trail search only when the S-boxes of the cipher do not contain any linear structures. When the cipher has linear structures, Algorithm 3 of [18] provides the longest subspace trail that starts from the linear
TABLE 7
3.5-round truncated differential ∆1 with probability one for DRYGASCON-128. Si and Pi represent the result of substitution and permutation layers of the i-th round, respectively
layer with re rounds and it is proven that the longest subspace trail for this cipher can be at most re + 1. Thus, it provides an upper bound for the longest probability one subspace trail and lower bound for its dimension.
For instance, Algorithm 3 of [18] obtains a 3- round subspace trail for A SCON with dimension 298, showing that the longest subspace trail for this cipher can be at most 4 rounds with the dimension greater than or equal to 298. Using this algorithm from the substitution layer shows that there actually is a 4-round subpsace trail for A SCON with dimension 313. Actually this subspace trail was used as
a truncated differential in [30] but it was obtained via the undisturbed bits [29] and for this reason it stops at 3.5 rounds, with dimension 315, because the attacker cannot follow the differences after the final linear layer.
We use the Algorithm 3 of [18] which starts from the linear layer to obtain an upper bound for the longest probability one subspace trails for ASCON, DRYGASCON-128, DRYGASCON-256, and SHAMASH. Results that are provided in Table 8 show that theoretically the longest subspace trails can be achieved except for DRYGASCON-128.
The best 4-round subspace trails we obtain for DRYASCON-256 has dimension 558. We could not find a 4-round subspace trail for DRYASCON-128 with dimension less than 320. However, a 3.5round truncated differential with dimension 320 is provided in the previous section.
Although all three algorithms are inverse free, in order to find the subspace trails in the backward direction or to apply techniques like missin-the-middle or meet-in-the-middle, we require the inverses of the permutations. For the rotations of the rows, [26] shows that these operations are invertible since they consist of XOR of odd number of values. Moreover, the inverses can also be represented as XOR of t rotations. We calculate the values of the t as 31, 33, 33, 33, 35 for ASCON, 31, 37, 33, 33, 27, 31, 35, 37, 37 for DRYGASCON, and 37, 37, 43, 37, 37 for SHAMASH.
5. Differential-Linear Distinguishers
The two main cryptanalysis techniques called differential cryptanalysis [5] and linear cryptanalysis [22] are introduced in early 1990s and since then every cipher is designed in order to be resistant against them. Combining the two different cryptanalysis techniques sometimes provides better attacks for some ciphers and the first example of such a combination is due to Langford and Hellman. In 1994 they combined these two techniques and introduced differential-linear cryptanalysis [16]. They suggested using a probability one truncated differential and concatenating a linear approximation with probability 1 / 2 + q where q is referred to as the bias. In such a combination, the output difference of the truncated differential should not contain any non-zero differences in the places that correspond to the masked bits of the input of the linear approximation. Such a construction of a differentiallinear distinguisher has a data complexity of O ( q − 4 ) chosen plaintexts where O is the big O notation. Note that the exact number of the data complexity depends on factors like the success probability and the number of candidate subkeys.
In 2002, Biham et al. enhanced this new technique by showing that it is possible to construct a differential-linear distinguisher where the used differential is no longer probability one but it holds with probability p < 1 and referred it as enhanced differential-linear cryptanalysis [4]. Morover, they also showed that the attack can still be applied when the output difference of the truncated differential has differences of 1 in the places that correspond to the masked bits of the input of the linear approximation. When p is less than 1, the bias of the attack becomes 2pq 2 and the data complexity becomes O(p − 2 q − 4 ) chosen plaintexts. Note that the data complexity is O(p − 1 ) for differential cryptanalysis and O(q − 2 ) for linear cryptanalysis.
5.1. Ascon
Differential-linear attacks are applied to 4 and 5 rounds of ASCON in [10] for key recovery. Such an attack should focus on the initialization part where the input difference can be given to the nonce, namely the words x3 and x4. Moreover, the linear
TABLE 8 Obtained longest probability one subspace trails both for forward re and backward rd directions and their dimensions d with theoretical upper bounds for ASCON, DRYGASCON and SHAMASH
active bits have to be observable and therefore must be in x0. In this respect, a 2-round differential characteristic with probability 2 − 5 was combined with a 2-round linear approximation with bias 2 − 8 in [10]. Thus, the bias of the generated differential-linear characteristic becomes approximately 2pq 2 = 2 − 20 . In practice this theoretically obtained bias can be higher.
However, these attacks can be improved when the used differential characteristic is replaced with a truncated differential that has probability one. In this work we show that a similar 4-round attack can be performed with a 2-round probability one truncated differential. Namely we combine the probability one 2-round truncated differential ∆2 of Table 9 and the 2-round linear approximation with bias 2 − 8 of [8] which is also provided in Table 10. Thus, our differential-linear characteristic has a bias of 2pq 2 = 2 − 15 , contrary to the bias of 2 − 20 that is obtained in [10]. Therefore, the attack can be performed with significantly lower time and data complexity.
et al. [1] introduced a new tool called differentiallinear connectivity table (DLCT) which tries to remove the independence assumption between the two parts of the cipher where differential and linear characteristics applied. Their analysis shows that the theoretical bias 2 − 20 is actually 2 − 5 . Although this is still much lower than 2 − 2 , the difference might be explained by the existence of multiple characteristics and the slow diffusion.
Although the theoretical bias is computed as 2 − 20 in [10], the authors also observed in their experiments that in practice this bias can be as high as 2 − 2 . This huge difference between the theoretical and practical results were explained in [10] as the existence of multiple differential and linear characteristics that also satisfy the differential-linear characteristic. However, in a recent study Bar-On
Since we are attacking the initialization phase of ASCON, we need a distinguisher so that we can decide which key bits are used in the initial state only by looking at the keystream that is produced by the first word x0 after initialization. The 4-round differential-linear attack of [10] observed that when a single S-box is activated as we did for our 4round distinguisher, their 4-round differential-linear distinguisher has biases 2 − 2 . 68 , 2 − 3 . 68 , 2 − 3 . 30 , and 2 − 2 . 30 when the two key bits for the activated Sbox are (0, 0), (0, 1), (1, 0), and (1, 1), respectively. Thus, to capture these two bits, the authors of [10] require 2 12 samples. Since ASCON is rotationinvariant, the same method can be used 64 times by rotating the initial difference and the whole 128-bit secret key can be captured with a time complexity of 2 18 .
To perform our attack, for each of these four possible key pairs, we perform 4-round permutation of ASCON for 2 24 randomly chosen nonces and repeat the experiment for 1000 randomly chosen
TABLE 9 Our 2-round truncated differential ∆2 with probability one for ASCON. Si and Pi represent the result of substitution and permutation layers of the i-th round, respectively
TABLE 10
Type-II linear characteristic for 2-round ASCON-128 permutation with bias 2 − 8 in hexadecimal notation
keys. Our experiments show that our distinguisher has the biases 2 − 2 . 41 , 2 − 1 . 68 , 2 − 2 . 41 , and 2 − 1 . 68 when the two key bits for the activated S-box are (0, 0), (0, 1), (1, 0), and (1, 1), respectively. Since our biases are better than the biases obtained in [10], we can capture the first key bit using only 2 8 samples, compared to 2 12 samples used in [10]. We cannot distinguish the second key bit from this distinguisher because the biases are the same regardless of the second key bit. However, now we can distinguish the second key bit by performing the attack of [10] with 2 8 samples instead of 2 12 because we already know the first key bit. Thus, we can now capture the whole 128 -bit secret key with a time complexity of 2 · 64 · 2 8 = 2 15 using the rotation-invariantness of A SCON .
In [10], authors extend their 4-round attack to 5 rounds by performing some precomputations. Their
attack requires 2 36 time complexity in average. However, since they did not explain their method, we cannot determine whether our improved 4-round attack can be extended to a 5-round attack with time complexity 2 33 or lower using their technique. Instead, in the following we experimentally obtain the biases of the 5-round distinguisher and show that we can perform a 5-round differential-linear attack with a time complexity of 2 31 . 44 .
The huge gap between the theoretical and practical biases shows that the differential does not diffuse in two rounds. Moreover, the differential depends on the key bits of the activated S-box. Therefore, instead of trying to obtain a theoretical 5-round differential-linear distinguisher by finding a suitable 3-round differential, we kept the 2-round linear characteristic provided in Table 10 and performed experiments on 5 rounds of ASCON to obtain the best suitable 3-round differential experimentally. We kept the 2-round linear characteristic because it has the largest bias and smallest number of active Sboxes for 2 rounds of ASCON. Thus, for each of the four key pairs, we activated a single S-box by giving the input difference to the bits x3[i] and x4[i] where 0 ≤ i ≤ 63 and checked the biases. We performed this experiment on 5-round permutation of ASCON for 2 32 randomly chosen nonces and repeated the experiment for 1000 randomly chosen keys. Our experiments showed that the highest possible biases are 2 − 8 . 03 , 2 − 15 . 05 , 2 − 14 . 87 , and 2 − 11 . 91 when the two key bits for the activated S-box are (0, 0), (0, 1), (1, 0), and (1, 1), respectively. These values are observed when i is 16, 19, 12, and 16, respectively.
All statistical attacks use a distinguisher to distinguish the correct round key bits from the wrong ones. For instance, the bias of 2 − 8 . 03 that we experimentally obtained means that this distinguisher has probability p0 = 1 2 + 1 2 8 . 03 when the two key bits that we are going to attack is (0, 0). For a random permutation, the distinguisher holds with a probability of p = 1 2 and wrong keys are assumed to act like a random permutation. This assumption is commonly referred to as the wrong key randomization hypothesis. If gather N samples with the desired input difference and check if the desired output is observed, the expected value of this experiment is E 0 = N · p 0 for the correct key and E = N · p for a random permutation because such an experiment is actually a binomial distribution with parameters ( N, p 0 ) or ( N, p ) .
Thus, capturing the correct key bits via statistical attacks boils down to distinguishing binomial distributions. In this work, we use Algorithm 1 of [6] to calculate data and time complexities of the presented attacks. Algorithm 1 of [6] has four input: probability of the distinguisher for the correct key p0, probability of the distinguisher for a random permutation p0, non-detection probability α, and false alarm probability β. The algorithm tells the required samples N to perform the attack and the threshold τ . This means that the experiment result of observed value is higher than τ for the correct key with probability 1 − α and it is less than τ for the wrong keys with probability 1 − β. In our calculations, we choose α = β = 1 1000 . Thus, our attacks have success probability of 99.99%. Algorithm 1 of [6] with these parameters says that 2 19 . 24 , 2 33 . 38 , 2 33 . 02 , and 2 27 . 10 samples are enough to distinguish when the attacked two bits are (0, 0), (0, 1), (1, 0), and (1, 1), respectively.
Our experiments show that the key pair (0, 0) can be reliably obtained with a very low time complexity of 2 20 . Rotating the distinguisher and repeating the attack 64 times would provide the whole 128-bit key with a time complexity of 2 26 if all the attacked key pairs are (0, 0). However, the attacked key pair would be (0, 0) one-fourth of the time. So the average time complexity is higher than
2 26 . Our experiments show that by choosing i = 19, we can recover the whole 128-bit secret key with a time complexity of 2 31 . 44 . This number may be further reduced by different choices of i.
We could not find a 6-round differential-linear attack for ASCON by the known techniques. However, since we obtained the best differential-linear attack by experiments and the input differences and the outputs masks we use are optimal for the number of active S-boxes, we experimentally checked if this input difference provide this output mask with a non-trivial bias. Thus, we performed this experiment on 6-round permutation of ASCON via GPUs for 2 42 randomly chosen nonces and repeated the experiment for 128 randomly chosen keys and for every 64 possible rotation of the input difference. We repeated this experiment for every 4 possibility of the 2 key bits corresponding to the initially activated S-box. Thus, in total we performed 2·2 42 ·128·64·4 = 2 58 6-round ASCON permutations. Our experiments did not provide any non-trivial biases, therefore if such a 6-round differential-linear distinguisher exists, its bias should be lower than 2 − 21 .
5.2. DryGASCON
In a similar manner, we provide a 5-round differential-linear distinguisher by combining the 2round truncated differential ∆3 of Table 11 and the 3-round linear approximation of [25] which is also provided in Table 12. Note that this linear approximation does not take into account the Mix128 function which is a unique feature of DRYGASCON. Hence, it is referred to as an unconstrained linear approximation. Otherwise the characteristics should be limited to the lower half of each 64 bit word.
Our 5-round differential-linear characteristic for DRYGASCON-128 has a bias of 2pq 2 = 2 − 29 . Thus, we need around 2 61 . 28 samples to distinguish
5-round GASCONC5R11 from a random permutation. To the best of our knowledge, this is the first 5-round distinguisher for GASCONC5R11.
6. Conclusion
The distinguishers obtained in this work that are better than the best known ones can be summarized as follows:
* 2-round probability 1 subspace trail for SHAMASH
* 3-round probability 1 subspace trail for DRYGASCON-128
* 3.5-round probability 1 truncated differential for DRYGASCON-128
* 4-round probability 1 subspace trail for DRYGASCON-256
* 5-round differential-linear characteristic for DRYGASCON-128
These are the best distinguishers obtained for these ciphers. Moreover, in this work we provided the best 4-round and 5-round differential-linear attacks for ASCON and experimentally checked the correctness of them.
Our analysis also shows that the similarity in the designs of ASCON and DRYGASCON makes analysis result of one cipher can also be applied to the other with some modifications. However, the changes applied in the permutation of SHAMASH makes it completely a different cipher. Thus, NIST's reasoning for eliminating it from the competition looks justified.
Acknowledgments
I would like to thank the designers of ASCON, DRYGASCON and SHAMASH for their helpful comments.
TABLE 11
2-round truncated differential ∆3 with probability one for DRYGASCON-128. Si and Pi represent the result of substitution and permutation layers of the i-th round, respectively
TABLE 12
Type-I GASCONC5R11 unconstrained linear characteristic for 3 rounds with bias 2 − 15 in hexadecimal notation
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HOLIDAY ISLAND LADIES GOLF ASSOCIATION
Join Us for Breakfast at Our General Meeting Wednesday, March 27, 2024, 9:30 AM In the Ballroom
Forward (silver) tees are optional for any player regardless of age or existing handicap. Select your preferred tee for the year in the form below. REMEMBER - You will be allowed to change your preferred tee only once during the season.
Both 9 and 18-hole players will play on Wednesdays. Weekly sign-up sheets will be available at Check-in each week. A sign-up e-mail will also be sent to the members each week. Deadline for sign up is TUESDAY NOON, PRIOR TO WEDNESDAY PLAY.
All members should arrive at least 30 minutes prior to tee t me. Check-in at the Pro Shop to pay your play of the day fee of $5.00 (please have exact change). This fee is used for the weekly prize fund.
Season starts April 3 and ends October 23, 2024. See all HILGA informat on on our web page: hilga.golfclub.net
MEMBERSHIP FORM
Please return this form with your dues by March 13, 2024
To become a HILGA member, please print and complete this Registrat on Form and return it with annual dues of $40.00 (check made payable to HILGA ) to:
HILGA TREASURER: Linda Wallace, 18 West Bluff Lane, Holiday Island, AR 72631 or drop them off at the PRO SHOP.
Forms are also available on the Pro Shop Bulletin Board if you do not have access to a printer.
NOTE: Players who are now 80 or older (or will turn 80 this year) do not have to pay annual dues.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Name______________________________ Address___________________________________
Please Print
City________________________ State_____ ZIP________ Cell Phone_____________________
Email_____________________________________ Check here if 80 Yrs. or older____________
Preferred Division: 9 holes_____ 18 holes_____ Preferred Tee Box: Silver_____ Green_____
GENERAL MEETING, WEDNESDAY, MARCH 27, 9:30 AM. Attending: Yes_____ No_____
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Published onNational Catholic Reporter(http://ncronline.org)
The environmental roots of the Haiti tragedy
Rich Heffern | Jan. 20, 2010 NCR Today
The following is from Sierra Club executive director Carl Pope's blog Taking the Initiative:
Washington, DC -- The world is still reeling from the magnitude of the disaster in Haiti. Many Sierra Club members and staffers, particularly from our Florida and Puerto Rico Chapters, are close to members of the Haitian expatriate community. All of us want to help the people experiencing this almost unimaginable human catastrophe however we can.
Seeing the terrible images of suffering from Port-au-Prince, our grief forces us to ask ourselves "Was such a disaster truly inevitable?" Of course we cannot control -- or even truly predict -- earthquakes. But in some places earthquakes kill tens of thousands, while in others there are only a handful of casualties. Why? I see two closely related factors that make a difference: forests and poverty.
In Haiti's case, it's easy to see how the loss of forests and the resulting impoverishment of the countryside led to the overcrowding of Port-au-Prince with three million people. But forests also matter because if they are nourished and abundant then people (even desperately poor people) aren't forced to live in the unreinforced masonry or rock buildings that kill most earthquake victims. Instead, they can use wood to give their homes and schools resilience. And poverty matters because, even without forests, it's still possible to build structures that can better withstand quakes -- but the poor cannot afford them. Poverty, of course, also leads to the almost total lack of capacity to respond to a tragedy such as the one we are witnessing in Haiti.
It's a sobering reminder of how fragile our societies are and how important it is to value and protect the natural systems on which we all depend. It's also a reminder that if we don't deal with poverty -- whatever its cause -nature can be transformed from a nurturer to a destroyer.
Once we have done all we can to alleviate the suffering in Haiti, will we look for a way to rebuild and reforest the island so that it can someday prosper?
Source URL (retrieved on 07/22/2014 - 07:14): http://ncronline.org/blogs/ncr-today/environmental-roots-haititragedy
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Exploiting Categorical Structure Using Tree-Based Methods
Brian Lucena
Numeristical
Abstract
Standard methods of using categorical variables as predictors either endow them with an ordinal structure or assume they have no structure at all. However, categorical variables often possess structure that is more complicated than a linear ordering can capture. We develop a mathematical framework for representing the structure of categorical variables and show how to generalize decision trees to make use of this structure. This approach is applicable to methods such as Gradient Boosted Trees which use a decision tree as the underlying learner. We show results on weather data to demonstrate the improvement yielded by this approach.
1 INTRODUCTION
Categorical variables are ubiquitous in practical data sets, but have received less attention in theoretical treatments of algorithms. While numerical variables have lots of beautiful properties due to the mathematics of the real line, their categorical counterparts have been crudely forced into the same structure. The literature typically assumes that categorical variables are either ordinal or unordered, with the latter taken to mean that there is no structure at all (e.g. Hastie et al. (2009) pp. 492-494).
However, while the real numbers naturally have a linear structure, categorical variables may have various kinds of structure. Here are some examples:
1. The month of the year (e.g. {Jan, Feb, . . . , Dec}) has a circular structure.
2. The U.S. States have a geographical structure
Proceedings of the 23 rd International Conference on Artificial Intelligence and Statistics (AISTATS) 2020, Palermo, Italy. PMLR: Volume 108. Copyright 2020 by the author(s).
based on which states border one another as illustrated in Figure 1.
3. The CIFAR-10 outcome variable has structure in that 4 of the values represent vehicles (airplane, automobile, ship, truck) and the other 6 represent animals (bird, cat, deer, dog, frog, horse).
In all of the above cases, the structure of the possible values of the random variable (sometimes called "levels") contains valuable information that can improve predictive performance. Ignoring this structure entirely and treating the levels as having no relationship whatsoever fails to capture this signal. Simply ordering them, while often an improvement, is insufficient to capture this signal most effectively. However, the two most common ways of handling categorical variables follow these approaches.
The first method is creating dummy variables (also called "one-hot encoding") where each level of the variable is associated with a binary variable. This corresponds to the "unordered" view - it assumes that that the values are different, but with with no structure at all. Thus it is unable to use the information in that structure: for example, that Connecticut borders Massachusetts and thus is likely to have similar weather, or political views. Moreover, it is clumsy in that it creates many different variables to represent a single concept, and each variable captures a very narrow piece of information.
The second method is to map the levels onto the real line, thereby imposing an ordinal structure on the variable. This approach is generally an improvement over the one-hot encoding approach. It can be very effective if the structure of the variable is truly ordinal, or close to it. However, it is insufficient for the scenarios described above, where the structure is more complicated than a strict ordering.
To probe further the notion of "categorical variable structure", let us consider a simple scenario where we have an integer-valued predictor X, a binary target variable Y and we wish to predict P (Y = 1|X = x). Generally, approaches to this problem are based on the assumption that if x1 is "close to" x2, then P (Y = 1|X = x1) is "close to" P (Y = 1|X = x2). This is typically done by appealing to mathematical notions of continuity, i.e. modeling f(x) = P (Y = 1|X = x) as a continuous function. However, this itself is an assumption about the structure of the relationship between X and Y . For example, if P (Y |X = x) depended only on whether x was odd or even, this would be a poor modeling assumption, and such models would do a poor job of capturing the information that X contains about Y .
Thus, for categorical variables, we want to capture a notion of "proximity" between the different levels of the variable in order to be able to make an analogous assumption that closeness in the values of X implies closeness of P (Y |X = x).
In the next section, we will explore how Classification and Regression Trees (CART) (also known as decision trees) provide a useful framework for defining a notion of proximity that is not restricted by the mathematical structure of the real line. We will see how abstracting some aspects of the decision tree algorithm will permit us to define categorical structure and utilize it effectively.
2 DECISION TREES
Decision trees ( Breiman et al. (1984), Quinlan (1986)) have been a powerful force in machine learning. They have been especially effective as the underlying learner in methods such as Random Forests ( Breiman (2001), Amit and Geman (1997)) or Gradient Boosting ( Friedman (2002), Friedman (2000)). Elegant handling of categorical variables has been a primary feature of recent Gradient Boosting packages such as Catboost ( Prokhorenkova et al. (2018), Dorogush et al. (2018)) and LightGBM ( Ke et al. (2017)). These approaches are no doubt an improvement over their more naive counterparts. However, they still lack the ability to use prior information about the natural structure of the levels of the categorical variable. Rather, they attempt to use the data to either find an appropri- ate linear ordering or resort to exhaustively searching all possible splits. Another class of approaches ( Xie et al. (2010), Stanfill and Waltz (1986), Cheng et al. (2004)) attempt to learn a distance function between categories and thereby incorporate that information into supervised learning methods.
2.1 Decision Trees as "on-the-fly" aggregators
To provide one perspective on why the decision tree is effective, we will explore how decision trees act as "on-the-fly" aggregators of predictor values. This is by no means the only advantage of decision trees, but it will motivate our approach to categorical variables. Consider again the case where X is one-dimensional, numerical, and Y is binary. Further assume that X could only take on finitely many values. As the size of our training data grows to infinity, for each possible value xi of X we would have as many observations as we wish from the distribution P (Y |X = xi). Therefore, we could estimate P (Y |X = xi) directly simply by counting the number of times Y = 1 and Y = 0 among the data points where X = xi. With more and more data, we could estimate the exact value with arbitrarily fine precision for all xi. We refer to this extreme case as the siloed approach. That is, in estimating P (Y |X = xi) we do not consider any of the training observations where X ̸= xi.
However, with a smaller data set, the siloed approach may not be the best. Rather, we may want to pool nearby values of xi to achieve variance reduction at the cost of introducing bias. One approach could be to decide which values to pool together in advance of seeing any data. For example, survey data will often define an age-group (18-24, 25-39, etc.). Similarly, when U.S. state is used as a predictor, it is common to group them into regions such as "Northeast" or "Midwest". The decision tree algorithm offers a more sophisticated approach that lets the data inform the pooling decision. Specifically, we specify ahead of time which sets of xi it could make sense to pool, and then use a greedy algorithm to explore the space of possible aggregations.
How do we decide which sets it "would make sense to pool"? Since X is one-dimensional and numerical, and motivated by the belief that P (Y |X = xi) is continuous, we determine that intervals of the real line form "reasonable" choices of sets of xi to average together. As discussed before, our choice to consider only the intervals as appropriate sets to average over represents a statement about our prior beliefs on the form of P (Y |X). In this way, the intervals form our choice of "averageable" sets. Thus, we wish to partition the state space of X into such sets in a manner that maximizes some metric that balances bias and
variance.
How do we search the space of partitions? Since X can only take on finitely many different values, there are a finite number of partitions. A simple counting argument demonstrates that if X takes on m different values, there are 2 ( m − 1) − 1 total partitions into intervals. 1 To avoid this exponential search the standard decision tree uses a greedy approach. Specifically, we find the binary partition that maximizes our metric, and then recursively look for binary partitions of those components.
Aside from the computational expense of searching all partitions, there is another reason for doing the stagewise greedy approach. When we have multiple predictor variables, it may be the case that there is more to be gained by considering coarse partitions of several different predictors rather than refining a single predictor to its maximum effectiveness. For this reason, it makes sense to proceed conservatively, maintaining larger data sets at each node in the tree.
Note that the decision tree only considers the partitions that are maximally coarse – that is, those that are not themselves a refinement of another partition. With the intervals as the only averageable sets, the maximally coarse partitions will be precisely those of size 2.
The above informally illustrates how to re-frame the decision tree algorithm in terms of averageable sets, partitions, maximally coarse partitions, and so forth. These notions enable us to generalize the decision tree framework to accommodate the kinds of structured categorical variables described at the beginning of the paper.
3 THOUGHT EXPERIMENTS ABOUT "AVERAGEABLE" SETS
Consider the following scenarios. In each case, X takes on finitely many possible values and Y is a binary outcome whose distribution depends on the value of X. However, as we will see, the appropriateness of whether and how to use a decision tree to determine the best pooling (or at least, a good pooling) varies considerably.
* Example 1: Die and coins. Each observation corresponds to the roll of a die and the flip of a coin. Let there be 6 coins, indexed 1 to 6, each with a different bias pi (e.g. each pi is drawn independently from a Uniform [0, 1] distribution). Con-
1 The number of partitions of a set of m elements with no structure restrictions at all is the mth Bell number, which is much much bigger.
sider a data-generation process whereby we roll a 6-sided die X to generate a value x and then flip the corresponding coin to generate the corresponding Y |X = x.
* Example 2: Rain by Month. Each observation corresponds to a random choice of day in the past 20 years. Let X be the month in which the day in question occurred, and let Y be an indicator of whether or not it rained in San Francisco on that day.
* Example 3: Rain by County. Each observation corresponds to a random choice of day in the past 20 years and a random choice of county among the 58 counties in California. Let X be the county in question and let Y be an indicator of whether or not it rained in that county on that day.
In example 1, it never makes sense to pool different values of xi together for estimating P (Y |X = x). The only reasonable choice is to silo the data for each different possible value of X. So the only sets that it "makes sense to aggregate" are the sets containing one single value. There is actually some nuance here – if the pi were drawn from a distribution with an unknown parameter, it is possible that pooling could help. However, with pi∼U[0, 1] drawn independently, there is no information that the different coin flips could contain about the other.
In example 2, we should consider grouping any subset of consecutive months including those that cross from December to January. A flawed approach (though common in practice) would be to map the months to their corresponding number (i.e. January→1, February→2, ..., December→12) and then use a standard decision tree on this numerical representation. However, if the rainy season goes from November to March (as it does in San Francisco) we would be eliminating the possibility of grouping these 5 months together. To put things more precisely, there is a natural circular structure to this variable that should be considered when deciding which splits (partitions) to evaluate.
In example 3, we expect some regionality in the probability of rainfall. A dry area is more likely to neighbor another dry area and similarly for wet areas. It is unclear from previous literature how to apply a decision tree to this variable outside of the standard ordinal or unordered approaches. Our previous discussion suggests a possible method: let any contiguous group of counties be an averageable set and then consider maximally coarse partitions of the state space into these averageable sets. For example, the decision tree would consider splitting the coastal counties versus inland
counties, or the northern counties versus the southern counties.
4 STRUCTURE REPRESENTATION IN CATEGORICAL VARIABLES
Here we begin the technical definitions used to represent the structure of a categorical predictor variable. Our goal is to define a notion of structure for categorical variables based on sets of values that it "could make sense to average over". Subsequently, we will generalize the decision tree to accommodate these structured categorical variables. In doing so, we will see that our generalized algorithm becomes the standard decision tree when dealing with a linearly ordered structure.
To begin, we capture the notion of "averageable" sets with a mathematical object that we call a terrain.
Definition 4.1. For a finite set V , define a terrain A on V to be a set of subsets of V such that V ̸∈A, ∅̸∈A and for all v ∈ V, {v} ∈A. In other words, A contains all singleton subsets, but neither the empty set nor the full set V .
A terrain can be thought of as a hypergraph on V where each "hyper-edge" represents a (proper) subset of values of V that is "averageable" in the sense described in the previous sections. We require all singleton subsets to be included since it always makes sense to average over a single value.
Given a set V , denote by Part(V ) the set of partitions of the set V . In other words P = {P1, P2, . . . , Pk} ∈ Part(V ) if and only if each Pi is a non-empty set and every v ∈ V is contained by exactly one Pi. Furthermore we denote the size of the partition (in this case, k) by |P|.
Definition 4.2. A partition P = {P1, P2, . . . , Pk} ∈ Part(V ) is said to conform to a terrain A over V if Pi ∈A for all i in 1, 2, . . . , k.
Definition 4.3. Given two partitions P1, P2 ∈ Part(V ), we say that P1 is a coarsening of P2 if |P1| < |P2| and for all S2 ∈P2 there exists S1 ∈P1 such that S2 ⊆ S1.
Definition 4.4. Given a finite set V and a set S ⊆ Part(V ), we say that P ∗ ∈S is maximally coarse in S if there does not exist P ∈S such that P is a coarsening of P ∗ .
Definition 4.5. Let A be a terrain on V . The restriction of a terrain A to a subset B ⊂ V is a terrain on B defined as {A ∈A : A ⊂ B} and denoted AB.
5 DEFINING TERRAINS WITH GRAPHS
It is frequently tedious to specify a terrain by exhaustively listing each of its elements. Graphs can provide a convenient way to capture the structure of the "levels" of a random variable. This is especially true if there is a spatial aspect to the relationship between levels. Consider the case where we have a random variable that represents which US state a person resides in. For simplicity, just consider the lower 48 states plus the District of Columbia as the possible values. We may wish to define our terrain to include any contiguous collections of states. This can be easily done by letting G = (V, E) be the corresponding adjacency graph and then defining a terrain to be the connected sets in G (excluding the set V ).
Definition 5.1. Let G = (V, E) be an undirected graph and let A ⊂ V . We say the set A is connected in G if the subgraph induced by A is connected.
Definition 5.2. Let G = (V, E) be a connected, undirected graph. Define the terrain induced by the graph G, denoted T (G) to be such that A ∈T (G) if and only if A is connected in G and A ̸= V .
If our terrain is defined by a graph in this way we will ensure that the maximally coarse partitions are binary. This property will be useful when we present the generalized version of the decision tree, as it will guarantee that the resulting decision trees are binary. We make the precise mathematical statement below.
Theorem 5.1. Let G = (V, E) be a connected, undirected graph, and let T (G) be the terrain induced by G. Let P be a maximally coarse partition that conforms to G. Then |P| = 2.
Proof. We will show that any partition P conforming to G with |P| ̸= 2 is not maximally coarse. Since V ̸∈T (G) there are no partitions of size 1. Let P = {V1, . . . , Vk} be a partition of size k ≥ 3. Since G is connected, there must exist i, j such that there exists an edge in G between a vertex in Vi and a vertex in Vj. Since Vi and Vj are themselves connected sets, we can conclude that Vi ∪ Vj is a connected set and therefore Vi ∪Vj ∈T (G). Let P ′ be the partition formed from P by removing V1 and V2 and adding V1 ∪ V2. Clearly, P is a refinement of P ′ and therefore P is not maximally coarse.
While graphs can be a useful means to define a terrain, they are not sufficient to describe any terrain. Consider a random variable with the possible values V = {Monkey, Chimp, Car, Truck, Dog, Wolf}. A reasonable terrain might be A ∪B where:
* A = {{Monkey, Chimp}, {Car, Truck}, {Dog, Wolf}, {Monkey, Chimp, Dog, Wolf}}
* B = {{Monkey}, {Chimp}, {Car}, {Truck}, {Dog}, {Wolf}}
In other words, the "primates", "vehicles", "canines", and "mammals" represent the averageable sets outside of the singletons. However, this terrain cannot be induced by any graph G. Having {Monkey, Chimp, Dog, Wolf} as a connected component in G requires an edge between some primate and some canine (say, Chimp and Dog). This in turn implies that the set {Chimp, Dog} induces a connected subgraph and is therefore in the terrain.
Nevertheless, many categorical variables, including those of a spatial nature, have a structure that is well captured by a graph-based terrain.
6 STRUCTURED CATEGORICAL DECISION TREE
Inspired by the examples above, and armed with the preceding definitions, we propose the following reformulation of the Decision Tree / CART. Consider the standard supervised learning framework, where we have a set of training data (X1, X2, . . . , Xk, Y ). We assume that each Xi takes values in a finite set Vi. Associated with each Vi we have a terrain Ai representing the structure of the levels of the corresponding categorical variable. Algorithm 1 then generalizes the Decision Tree / CART to use structured categorical variables.
Algorithm 1 Structured Categorical Decision Tree
Input: Dataset of form (X1, X2, . . . , Xk, Y ) plus an associated refined terrain Ai on Vi (the set of possible values of Xi).
Output: A decision tree
(1) For each feature Xi, let Si be the set of partitions on Vi which conform to Ai and let S ′ i be the set of partitions which are maximally coarse in Si.
(2) For every feature Xi, and every partition P ∈ S ′ i , evaluate the split corresponding to P . Let B1, B2, . . . , Bm be the best split.
(3) Split the data into m sets depending on which q satisfies Xj ∈ Bq.
(4) Recursively apply steps (1) - (3) on each branch, with the associated dataset, and with the appropriate restricted terrain ABq replacing A.
(5) Continue until appropriate stopping conditions are met. (e.g. maximum depth, minimum leaf size)
(6) If desired, apply post-processing steps to prune the tree.
* If the terrains for all variables Xi are induced by connected graphs Gi, then by Theorem 5.1 we know all maximally coarse partitions have size 2, and therefore the resulting decision tree will be binary.
* There are several alternative methods of choosing the space of partitions to be considered at each step. When the space of maximally coarse partitions is large, one may choose to evaluate only a random subset of them. This could also serve as a regularization method to avoid overfitting.
* This algorithm is equivalent to the standard decision tree with numerical predictors Xi when we take the following steps:
1. Divide the real line into disjoint intervals defined by the distinct values of the variable Xi
2. Perceive Xi as a categorical variable with these intervals as the (finitely many) possible values.
3. Define the associated terrain to be the terrain with respect to the chain graph G where each interval is adjacent to its neighbors.
Following these steps, the maximally coarse partitions will correspond exactly to the splits to the "left" or "right" of the distinct training set values, as in the standard decision tree.
7 COMPLEXITY AND IMPLEMENTATION
We built a Python/Cython implementation of Structured Categorical Decision Trees (SCDT), as well as a Gradient Boosting algorithm with such trees as the underlying learner. Our implementation used the graphbased terrain approach described earlier. Each variable has a defined set of values V and an associated graph G = (V, E) such that terrain contains precisely the connected subsets in G. Our gradient boosting approach followed the methods of XGBoost ( Chen and Guestrin (2016)) in how it evaluated splits based on the first and second derivatives of the loss function.
Compared to a standard decision tree, there is additional computational complexity in two primary respects:
1. Determining the maximally coarse partitions
2. Evaluating each maximally coarse partition (the number of which can be much greater than |V |, in contrast to the standard decision tree).
Table 1: Parameters of grids and other graphs
Both of these additional costs can be mitigated to keep the time complexity of the SCDT to a reasonable level for many interesting, moderately sized problems.
Determining the maximally coarse partitions requires finding every connected set S in G = (V, E) where |S| ≤ |V | 2 and then checking to see that its complement is also connected. If both S and S C are connected, then the partition {S, S C } can be added to the set of maximally coarse partitions. We will refer to the set of maximally coarse partitions of a graph G as MP (G), the set of connected sets of G as CS(G) and the set of connected sets of G with |S| ≤ |V | 2 as CS ′ (G). Therefore, determining the set MP (G) requires searching across all items in CS ′ (G).
Enumerating of the connected sets of G is itself a question of active research in graph theory (e.g. Komusiewicz and Sommer (2019), Elbassioni (2015)). The size of CS(G) depends greatly on the structure of G, but can quickly become intractable even for graphs of moderate size. Fortunately, the sets CS ′ (G) and MP (G), while fast growing, do not grow as explosively as CS(G). To demonstrate this, we show the values of these sets for m × n grids (denoted GRm,n), the US49 graph, and CA-9 and CA-20 (graphs of California counties that will be defined next section) in Table 1. We can see how quickly these numbers grow with the size of the graph, even for planar graphs.
Fortunately, this cost of determining the set MP (G) can be mitigated by creating it offline. Once created, it can be stored and reused for any other problem that uses that variable. The challenge is that once the variable is split, we need to recalculate the set of maximally coarse partitions for each subgraph. Fortunately, since each subgraph is smaller than the parent, creating the set MP (H) for a subgraph H is considerably less expensive than it is for the initial graph G.
The second additional complexity cost comes from evaluating each maximally coarse partition. However, this can be mitigated by choosing only a small random subset to evaluate. We can set a parameter called max splits to search such that if the size of the set of maximally coarse partitions is greater than max splits to search, we choose a random subset of partitions (of that size) and only evaluate those splits. As we will see in the next section, we can keep this parameter rather small and still get performance comparable to or better than the exhaustive search.
8 EXPERIMENTS AND RESULTS
To demonstrate this algorithm on a practical problem, we collected weather data from all available weather stations in California from the years 2000-2019. These data were obtained from NOAA via their website data search tool (https://www.ncdc.noaa.gov/cdo-web/). Each row represents a daily summary from a particular weather station available in those counties from 2000-present. The raw data was highly unbalanced as some counties contain more stations than others, so we subsetted the data to include an equal number of observations from each county (19,232 to be precise). Our goal was to predict the probability of rain on a given day using only two predictor variables: the month of the observation and the county where the observation occurred. We chose log-loss (i.e. negative maximum log-likelihood divided by the number of test set points) as our metric of interest, since our goal was to estimate accurate probabilities of rainfall.
The geographical structure of the counties is complex, so this problem is a good candidate to demonstrate how exploiting categorical structure could improve predictive performance. The 20 counties selected range from the coast to the mountains to the desert. Additionally, the circular structure of the months is another example where traditional methods are suboptimal in capturing the categorical structure.
We implemented a gradient boosted trees algorithm
using several variants of decision trees to compare the performances of different ways of handling the categorical variables "Month" and "County". One advantage of this problem and data set is that the amount of data was very large compared to the number of different month-county combinations. In fact, we possess enough data to accurately calculate the mean probability of rainfall for each month-county combination separately to a high degree of precision, so effectively we "know" the right answer. In this way, we were able to compute the "optimal" log-loss - i.e. what log-loss you would get on the test set if you knew the actual distribution. Consequently, we can run the different variants of our algorithms on training data sets of different sizes to see not only how they compare with each other, but how far they are from the "optimal" solution.
We compared 4 models in this evaluation:
1. One-Hot: Build each decision tree using one-hotencoded versions of month and county.
2. Ordinal: Build each decision tree using the numerical encoding of month (i.e. January: 1, July: 7) and ordinally ranking the counties by their mean probability of rainfall in the training set.
3. Structured: Build each decision tree using the structured categorical approach: with the "circular" encoding of month and the adjacency graph representation of the counties.
4. Siloed: Calculate the mean for each county-month combination from the training data. This is a very naive model, but for large enough training data sets it approaches optimality. It is useful to consider as it demonstrates the level of signal in the training data.
We compared these models on two subsets of counties: County-20 representing the 20 counties pic-
tured in Figure 2 and County-9 representing only the 9 "Bay Area" counties (San Francisco, San Mateo, Santa Clara, Marin, Napa, Sonoma, Solano, Alameda, Contra Costa). The County-20 dataset contains 386,460 observations while the County-9 dataset contains 173,907 observations. We set aside 40% of the data for testing (quantity of training data was not an issue). Then, for each subset of counties, we examined the performance of the different algorithms using training sets of sizes ranging from 100 to 100,000. We repeated the randomization of train/test sets 3 times and averaged the results. To reduce variation based on parameter settings, we tried maximum depths of 2 and 3, chose a small learning rate, a large number of trees, checked the performance of each model on the test set every 20 iterations. We kept the best score achieved by the model for each train/test combination, and then averaged the results over the test sets for each training set size and algorithm.
In Figure 3 and Figure 4 we see the average log-loss as a function of training set size for each of the models. In both cases the Structured method clearly outperforms the One-Hot and Ordinal methods. The discrepancy is larger on the smaller data sets and remains significant through the larger data sets. it only disappears as we reach the largest sizes where even the Siloed approach converges to optimal. This is in line with expectations. With smaller data sets there are large gains to be had by "smartly" aggregating the different counties (or months) together. As data becomes more plentiful, the gains diminish in strength.
The Structured variants shown were implemented with max-splits-to-search set to 5 (for the CA-9 data set) and 20 (for the CA-20 data set). That is, we were able to achieve this performance by searching only a very tiny fraction of the 36 and 3652 available splits in the County variable (and the 55 splits in Month). We also explored increasing the value of the max-splitsto-search to 10 and unlimited (for the CA-9 data set)
and 100 and 500 (for the CA-20 dataset). The results are shown in Figures 5 and 6. Interestingly, increasing the number of splits the algorithm searched at each node did not significantly improve performance, and in fact, it made the performance worse on the smaller data sets. This is likely due to two main factors. First, making very few splits available served to prevent overfitting on the smaller data sets. This effect may be exacerbated by the fact that we did not include any shrinkage methods to regularize (such as the penalized likelihoods used in XGBoost), but rather relied on building relatively shallow trees. Second, since the boosting algorithm created hundreds of trees, the range of splits considered by the whole ensemble far exceeded the range at any particular node. It is worth noting, however, that all variants of the Structured approach noticeably outperformed the One-Hot and Ordinal methods.
The strong performance of the algorithm while searching very few partitions in a very large space was an unexpected result. However, it is very promising news for this approach, as it demonstrates that structured categorical approaches can be very effective without having to exhaustively search the larger partition spaces created by the structure on the categorical variables.
To give a benchmark of the actual run-time of the algorithm, training the model with 1000 depth 3 trees on 100,000 data points for the CA-20 data set took 25.2 minutes on a 2019 MacBook Pro with a 2.4GHz Intel i9 processor. This was without using any parallelization or GPU computation, which most boosting packages employ to improve computation time.
9 SUMMARY AND DISCUSSION
We examined the notion of structure in categorical variables and determined that existing approaches fail to take advantage of this structure when it is not or-
dinal in nature. We gave several natural examples of categorical variables which contain structure that is not ordinal. Motivated by thought experiments about decision trees, we defined a mathematical framework for defining structure on categorical variables via a terrain, which is essentially a set of subsets of the possible values of the variable that it "might make sense to average over". Using this framework, we precisely defined a new variant of the decision tree that is able to exploit the structure in categorical variables. We implemented this Structured Categorical Decision Tree into a Gradient Boosting algorithm, and demonstrated improvement on a prediction problem that contained complex structure of a spatial and temporal nature. We further discovered that an exhaustive search of the broader partition space was not necessary to achieve excellent performance. In fact, just searching a tiny fraction of the available splits improved performance considerably, and increasing this amount resulted in poorer performance, likely due to overfitting.
Broadly, this work demonstrates that there is useful signal in the structure of categorical variables that existing methods fail to exploit. This opens up numerous directions for future research, two of which are of particular interest. First, can we exploit structure in the target variable in the same way as we exploited structure in the predictor variables? This may be of particular interest in image classification problems with a large number of classes. For example, can we improve performance by incorporating the knowledge that monkeys and chimpanzees are "similar"? The second direction involves further development the mathematical foundations of structured categorical variables, particularly from an informationtheoretic point of view.
References
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Chen, T. and Guestrin, C. (2016). Xgboost: A scalable tree boosting system. In Proceedings of the 22nd acm sigkdd international conference on knowledge discovery and data mining, pages 785–794. ACM.
Cheng, V., Li, C.-h., Kwok, J., and Li, C.-K. (2004). Dissimilarity learning for nominal data. Pattern Recognition, 37:1471–1477.
Dorogush, A. V., Ershov, V., and Gulin, A. (2018). Catboost: gradient boosting with categorical features support. arXiv preprint arXiv:1810.11363.
Elbassioni, K. M. (2015). A polynomial delay algorithm for generating connected induced subgraphs of a given cardinality. J. Graph Algorithms Appl., 19(1):273–280.
Friedman, J. H. (2000). Greedy function approximation: A gradient boosting machine. Annals of Statistics, 29:1189–1232.
Friedman, J. H. (2002). Stochastic gradient boosting. Comput. Stat. Data Anal., 38(4):367–378.
Hastie, T., Tibshirani, R., and Friedman, J. (2009). The elements of statistical learning: data mining, inference, and prediction.
Ke, G., Meng, Q., Finley, T., Wang, T., Chen, W., Ma, W., Ye, Q., and Liu, T.-Y. (2017). Lightgbm: A highly efficient gradient boosting decision tree. In Advances in Neural Information Processing Systems, pages 3146–3154.
Komusiewicz, C. and Sommer, F. (2019). Enumerating connected induced subgraphs: Improved delay and experimental comparison. In International Conference on Current Trends in Theory and Practice of Informatics, pages 272–284. Springer.
Prokhorenkova, L., Gusev, G., Vorobev, A., Dorogush, A. V., and Gulin, A. (2018). Catboost: unbiased boosting with categorical features. In Bengio, S., Wallach, H., Larochelle, H., Grauman, K., CesaBianchi, N., and Garnett, R., editors, Advances in Neural Information Processing Systems 31, pages 6638–6648. Curran Associates, Inc.
Quinlan, J. R. (1986). Induction of decision trees. Machine learning, 1(1):81–106.
Stanfill, C. and Waltz, D. (1986). Toward memory-based reasoning. Commun. ACM, 29(12):1213–1228.
Weisstein, E. W. (2019). Contiguous usa graph. from mathworld–a wolfram web resource.
Xie, J., Szymanski, B. K., and Zaki, M. J. (2010). Learning dissimilarities for categorical symbols. Journal of Machine Learning Research - Proceedings Track, 10:97–106.
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Topped with butter, jam, or regular or low-fat veggie cream cheese.
Yogurt Parfaits $6.75
Low-fat Vanilla Yogurt topped with granola & sliced fresh strawberries or non-fat Greek Yogurt with slivered almonds & fresh blueberries.
Dessert
Freshly Baked Cookies $1.00
Choose from chocolate chunk or oatmeal raisin, fresh from the oven!
Dessert Bars $3.64
Take a look at this season’s delicious selections.
Double Chocolate Brownie $3.25
Before placing your order, please inform your server if a person in your party has a food allergy.
Café
Hot Breakfast half $3.95 / whole $6.95
Gourmet egg sandwiches are toasted-to-order on our grill. Made fresh daily by our kitchen at our Water Mill café! Selections include:
Lean ‘N Green egg white & local kale burrito ($6.95)
Bacon, Egg & Cheddar on Ciabatta
Sausage, Egg & Cheddar Biscuit
Carved Turkey, Egg White & Mozzarella on 7-Grain Ciabatta
Balsamic Grilled Chicken Wrap half $3.95 / whole $7.50
With tomatoes, baby spinach, and Basil Pesto on a whole wheat wrap. Made fresh daily by our kitchen at our Water Mill café!
Hot Lunch Panini half $3.95 / whole $7.50
Pressed sandwiches are toasted-to-order on our grill. Made fresh daily by our kitchen at our Water Mill café! Selections include:
Tomato and Fresh Mozzarella on seasoned Ciabatta bread
Black Forest Ham & Gruyère on Ciabatta bread
Carved Turkey, Bacon & Cheddar on Ciabatta bread
Fresh Salads $7.50 ~ $7.95
Made fresh daily by our kitchen at our Water Mill café! Selections include:
Yellowfin Tuna Salad - wild caught with onion, dill, and mayo
Served atop our own fresh blend of mixed greens.
Superfood Salad with Quinoa - served on a bed of local kale
(ask about this week’s specials)
Soup
Soups-Of-The-Day $5.75
All our soups are homemade by Hale & Hearty in New York City and served with Saltines. Look at our Soup Board for today’s selections or call.
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BRUSSELS, Mar 16 (AP) - The European Union is taking steps to increase sanctions against Russia over what many believe is a planned annexation of Ukraine's Crimea region, as Moscow has changed from a wary partner to a diplomatic adversary in the space of a few months. Sunday's referendum in Crimea on secession has been called illegal by the EU and the U.S., and EU foreign ministers will decide on Monday whether to impose asset freeze and visa sanctions and, if so, who to target.
"There must be a firm and united response" at the meeting, said British Foreign Secretary William Hague. "The time has come for tougher restrictive measures to be adopted."
EU diplomats were working feverishly over the weekend to set up a list of Russian and Moscow-leaning officials from Ukraine who have been involved in pushing for the southern peninsula's secession and possible annexation. Diplomats said member states arrived at weekend talks with different suggestions, so a common list could be drawn up for Monday's meeting of the 28 foreign ministers to make a final decision.
They would likely include military officials who ordered Ukrainian troops to leave their barracks in Crimea and others who were responsible for breakaway actions there. On the other hand, diplomats said they would shy away from economic operators at the moment.
An EU summit last week suspended talks with Russia on a wide-ranging economic pact and a visa agreement.
Depending on developments in Moscow and Ukraine, further sanctions could follow during a two-day summit of EU leaders starting on Thursday. "We will be - I am quite certain - ready for Monday morning. This will be discussed by ministers in order to reach a decision on that second stage of sanctions," a senior EU diplomat said on condition of anonymity because of the sensitivity of the issue.
On top of that, the EU could move quickly, possibly within a week, to sign the political chapters of a far-reaching association agreement with the provisional government in Kiev, underscoring its support for the new Ukraine government.
If Moscow takes further measures to acerbate the crisis, the EU leaders already have threatened what they have called "far-reaching consequences for relations in a broad range of economic areas."
EU diplomats in several capitals made it clear the West is unwilling to give up Crimea in the hope of preventing Moscow from moving into eastern Ukraine.
It would set off a tit-for-tat game of sanctions, which the EU hopes would increasingly isolate Russia on the global stage. Moscow says it is convinced economic sanctions would hurt the EU as much as Russia itself. Bound by tens of billions of dollars in trade, there is plenty to hurt one another.
Russia, in turn, buys everything from machinery to cars from Europe, its biggest trading partner, with exports to Russia totaling 123 billion euros ($170 billion) in 2012.
Russia is the EU's third-largest trading partner, mainly because of oil and gas imports, with the EU being its biggest gas consumer. Germany, for example, gets 35 percent of its supplies from Russia.
The big change in relations came when Ukraine's Moscow-leaning president, Viktor Yanukovych, made a last-minute decision to abandon an agreement to strengthen ties with the EU and instead sought closer cooperation with Russia. The EU accused Moscow of pressuring Ukraine to make the change and relations have fallen ever further from then on.
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EDMONTON KIWANIS MUSIC FESTIVAL 2011
2nd floor, 14205-109 AVE NW Edmonton, AB T5N 1H5 Phone (780) 488-3498 Fax (780) 488-6925
Email [email protected] Register Online at www.edmontonkiwanis.com/musicfest/
Closing Date for Entries: January 24, 2011
Please make cheques payable to: The Edmonton Kiwanis Music Festival
Payment must accompany entry form. For information about classes and fees, go to edmontonkiwanis.com/musicfest/syllabus. Any registration that is not fully paid by March 31, 2011 will be cancelled.
GROUP PERFORMERS ENTRY FORM
Please use a Solo Entry Form for individual entrants.
City
1.
2.
3.
4.
5.
Teacher Information
Festival ID#
Last Name
First Name
Mailing Address
Province
Postal Code
Home Phone #
Daytime Phone #
Email Address
Name on Card
Card #
Expiry
Signature
Please Charge To My
VISA MASTERCARD
Group Information
One Form per group entrant
Completely Fill out the name and contact information for each member of a Duet, Trio, Quartet and Quintet, please.
Group Id # Group Name
# in Group
First Name
Last Name
email
Home Phone
Daytime Phone
Age
Birthdate (MM/DD/YYYY)
First Name
Last Name
email
Home Phone
Daytime Phone
Age
Birthdate (MM/DD/YYYY)
First Name
Last Name
email
Home Phone
Daytime Phone
Age
Birthdate (MM/DD/YYYY)
First Name
Last Name
email
Home Phone
Daytime Phone
Age
Birthdate (MM/DD/YYYY)
First Name
Last Name
email
Home Phone
Daytime Phone
Age
Birthdate (MM/DD/YYYY)
Freedom of Information and Privacy Waiver
By entering into the Edmonton Kiwanis Music Festival, you give the Festival permission to publish your name in our program, on our website and our other publications. In addition, you give the Festival permission to publish your image and/or record of your performance for rebroadcast or promotional use.
GROUP PERFORMERS ENTRY FORM
Class Information
Note: Please verify that you have current information from the 2011 Syllabus or Addenda.
Numbering and Class Information can and does change from year to year.
If you need additional space, please feel free to photocopy this form onto white paper.
Fee
Fee
Fee
Fee
Fee
Class No.
Selection #1
Composer #1
Time Required
Selection #2
Composer #2
Selection #3
Composer #3
Class No.
Selection #1
Composer #1
Time Required
Selection #2
Composer #2
Selection #3
Composer #3
Class No.
Selection #1
Composer #1
Time Required
Selection #2
Composer #2
Selection #3
Composer #3
Class No.
Selection #1
Composer #1
Time Required
Selection #2
Composer #2
Selection #3
Composer #3
Class No.
Selection #1
Composer #1
Time Required
Selection #2
Composer #2
Selection #3
Composer #3
Entries with Special Requests
Every effort will be made to accommodate special requests. However, should these prove impossible, NO fees will be refunded.
Group Name
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Printing to Splash v6.0 From a Macintosh
Splash Technology
Sunnyvale, California USA
Trademarks and Copyright
Splash and the Splash logo are trademarks of Splash Technology Inc. Apple, Macintosh, LaserWriter, and AppleTalk are registered trademarks of Apple Computer, Inc. MajestiK, Regal, and DocuColor are trademarks of Xerox, Incorporated. Acolor is a trademark of Fuji Xerox, Inc. Novell NetWare is a trademark of Novell, Inc. Adobe, the Adobe logo, Adobe Illustrator, PostScript, Adobe Type Manager, Adobe PageMaker, and Adobe Photoshop are trademarks of Adobe Systems Incorporated, which may be registered in certain jurisdictions. QuarkXPress is a registered trademark of Quark, Inc. All other brand or product names are trademarks of their respective holders.
Copyright © 1998 Splash Technology, Inc.
PN: 0014701-0101 Last revised: March 2, 1998. Your rights of ownership are subject to the limitations and restrictions imposed by the copyright laws as outlined below.
PROPRIETARY RIGHTS NOTICE. The digitally encoded machine readable outline data for producing the typefaces provided as part of your laser printer is copyrighted © 1981 Linotype-Hell AG. Copyright © 1993 Adobe System Incorporated. All Rights Reserved. This data is the property of Linotype-Hell AG and Adobe Systems Incorporated and may not be reproduced, used, displayed, modified, disclosed or transferred without the express written approval of Linotype-Hell AG and Adobe Systems Incorporated.
It is against the law to copy, reproduce, or transmit including, without limitation, electronic transmission over any network any part of the manual or program except as permitted by the Copyright Act of the United States, Title 17, United States Code. Under the law, copying includes translation into another language or format. However, you are permitted by law to write the contents of the program into the machine memory of your computer so that the program may be executed. You are also permitted by law to make working copies of the program, solely for your own use, subject to the following restrictions: (1) Working copies must be treated in the same way as the original copy; (2) If you ever sell, lend, or give away the original copy of the program, all working copies must also be sold, lent, or given to the same person, or destroyed; (3) No copy (original or working) may be used while any other copy (original or working) is in use except within the terms of this license. The copyright notice that is on the original copy of the program must accompany any working copies of the program.
The above is not an inclusive statement of the restrictions imposed on you under the Copyright Act. For a complete statement of the restrictions imposed on you under the copyright laws of the United States of America, see Title 17, United States Code.
Table of Contents
Introduction
The Splash Macintosh client software allows a Macintosh computer to send print jobs to the Splash Server, which processes your print jobs and sends them to the printer/copier. This on-line manual describes how to install and use the Splash Macintosh client software with your applications.
System Requirements
The Splash Macintosh Client software requires the following:
I A Macintosh II and above, or Power Macintosh computer
I System 7.1 (or later)
I Networking hardware that provides a network connection between the client Macintosh and the Splash Server
Chapter 1
Installing the Macintosh Client Software
This chapter describes how to install Splash client software on a Macintosh. Install the Splash client software on each network client that will be used for printing to Splash.
IMPORTANT: The Splash PCI Series server is incompatible with client software from other versions of Splash. Be sure to install the Splash PCI Series client software on all Macintosh workstations that will print to the Splash server.
To install the Macintosh Client software:
1. Go to one of the client Macintosh computers that is connected to the network that will be used for printing with the Splash Server.
2. Select the Chooser from the Apple menu.
3. In the lower-right corner of the Chooser window, click the Active button next to AppleTalk. If AppleTalk is not already active, a dialog box appears. Click OK.
4. In the Chooser window, select the Splash Server AppleTalk Zone (if your network has zones), then click the AppleShare icon. From the list of file servers, select the Splash Server.
5. Click OK. The File Server Connect dialog appears.
6. Click Guest, then click OK. The Splash Server folders appear.
Splash Network Install
selected
7. Select the Splash Network Install folder, and then click OK. The Splash Network Install folder appears on the desktop.
8. Double-click the appropriate Client Installer icon for your Splash model:
I If you will print to a Splash PCI Series v6.0 Server, double-click the Splash PCI Client Installer icon.
I If you will print to a Splash PCI-E v6.0 Server, double-click the Splash PCI-E Client Installer icon.
9. The Easy Install dialog box appears.
10. Click Install. All Splash Client software is installed over the network from the Splash Server CPU.
When installation is complete, a message appears.
11. Click Quit to exit the Splash Installer. If you are using a PowerPC Macintosh, is not necessary to restart your Macintosh. You can begin to print to Splash from your applications right away. If you are using another Macintosh model, you will be prompted to restart your computer.
Repeat this install procedure for each client Macintosh connected to your network.
Chapter 2
Printing to Splash
Before You Print
When you print, the Splash printer driver converts commands from your application into PostScript code. The Splash Server application converts the PostScript code into a pixel description of each page in your document and sends it to the printer/ copier. If your file is complex, the PostScript conversion takes more time. For better printing performance, follow these guidelines before you print:
I Be sure to install legal copies of all the screen and printer fonts you plan to use at both the Client and Server machines. This ensures that fonts are downloaded to the printer only when necessary and prevents font substitution.
I If you want to place a portion of a large graphic in another file, copy the part you want to use into a new file, then import this new file. When you import an entire graphic, then crop it, the Server application must calculate the entire graphic, then eliminate the part you cropped, before sending the graphic to the printer.
I Delete small details in a large image before you scale the image to a smaller size. Even when these details become too small for the eye to decipher, they require the same amount of processing time as they do at full size.
I Delete unnecessary elements in a drawing; do not cover them with a white rectangle.
I When you print multiple copies, use the long-edge feed capability (such as Letter LEF or A4 LEF) to take advantage of the copier's higher throughput rate.
I Select the "Auto Grayscale Detection" checkbox (the default setting) when you print documents that have some all-grayscale or black and white pages. These pages will print up to six times faster. (See page 38 for information about this Splash print option.)
I When you print all-grayscale or black and white documents, select Grayscale for the Splash Color Model print feature to save an additional half-second per page over the default setting (Full Color). Be sure the "Auto Grayscale Detection" print option is checked.
I For color documents, deselect the "Auto Grayscale Detection" checkbox to disable this print option. Color documents print faster when this option is disabled.
I If you have the optional Adobe Color Central Lite software installed, select the name for your Splash Server in the Chooser (originally set to Splash Server) instead of with the Splash Color Central queues.
Connecting to the Splash Server
Before you can print, you must connect your Macintosh to the Splash Server with the MacOS Chooser. You can print to a Splash Server using either the custom Splash PostScript Level 3 printer driver—based on the Adobe PostScript Printer driver version 8.5—or a LaserWriter 8 PostScript Level 2 printer driver, provided with your MacOS System software. (As this manual is being written, the current version is LaserWriter 8.5.1.) In most cases, you should use the Adobe PS driver as it has been customized for the Splash Server.
Splash Adobe
printer driver
LaserWriter 8
printer driver
Splash provides printer description files (PPDs) for applications that use the Adobe PS Printer driver and LaserWriter 8 driver. The Splash printer description files let you select Splash print features when you print to Splash from Level 2 and Level 3 PostScript applications.
The PPDs for the Adobe Printer driver are installed automatically. To print to the LaserWriter 8 driver, open the Splash Folder and move the Splash LaserWriter 8 PPDs to the Printer Descriptions folder inside the System Folder/Extensions folder.
Do not use earlier versions of the LaserWriter driver (pre-LaserWriter 8). Earlier versions of the LaserWriter driver will work with Splash, but do not include the correct paper size information and do not allow you to use special Splash printing features like color correction.
Note: The following Splash print options are not available when you print to Splash with the LaserWriter 8 printer driver:
I Document Owner field
I Document Comment field
I Account Number
See "Providing User Information" on page 33 for information about these Splash print options.
Connecting to Splash with the Adobe PS Printer or LaserWriter 8 Driver
To connect to the Splash Server with the Adobe PostScript Printer Driver or the LaserWriter 8 driver:
1. Select Chooser from the Apple menu. The Chooser window appears.
2. Select the Adobe PS icon or the LaserWriter 8 driver icon in the upper-left window in the Chooser, select the correct AppleTalk Zone for the Splash Server (if your network has zones), then select the Splash Server name in the list of printers that appears on the right.
3. Click Create. The Adobe PS driver automatically selects the Splash DocuColor printer description file. If you want to print from PageMaker, or use the LaserWriter 8 driver, manually select the printer description file containing PM in the name. Setup is complete.
The connection to the Splash Server is complete. Your Macintosh will continue to print to the Splash Server until you open the Chooser again and select a different printer.
Note: If you want to use the Direct TCP/IP Printing feature of Macintosh OS 8.0, you must use the LaserWriter 8 printer driver. For information about this feature, see your MacOS 8 documentation
Printing with the Adobe or LaserWriter 8 Driver
This section describes how to choose Page Setup and Print options when you print using the Adobe or LaserWriter 8printer driver.
Choosing Page Setup Options
Always choose new Page Setup options after you use the Chooser to select a new printer. Even if you do not want to change any settings, you must still open the Page Setup dialog box, then click OK, to ensure that your file is formatted correctly for the new printer. To choose Page Setup options:
To choose Page Setup options when using the Adobe PS driver or LaserWriter 8 printer driver:
1. Open the file you want to print.
2. From the File menu within the application, choose Page Setup. The Page Setup dialog box appears:
3. Be sure that the Splash Server appears in the Format for menu.
4. In the Paper menu, choose the size of the paper or transparency film you want to use:
When a paper size has an LEF-suffix (Letter LEF, for example), the paper is loaded with the long edge of the sheet feeding from the tray. When a paper size has an SEF suffix (such as A4 SEF), the paper is loaded with the short edge of the sheet feeding from the tray.
The Splash Server prints all supported paper sizes and orientations at 400dpi in both directions.
.
5. Click the portrait or landscape icon to choose an Orientation
Portrait
orientation
is selected
The paper and orientation selections work together to give you four different choices of orientation.
I Portrait with an SEF paper size and Portrait with an LEF paper size have the same orientation on the page, but the horizontal and vertical margins are reversed.
If you print to a MajestiK, Regal, DocuColor 5799, or Acolor 630 series or 930 series printer/copier, the edge that feeds into the printer has a margin of 9 mm; the other edges have a 4 mm margin. If you print to an Acolor 620 or DocuColor 5750 printer/copier, the edge that feeds into the printer has a margin of 6 mm; the other edges have a 4 mm margin.
Portrait LEF
Portrait SEF
Text Text
Text Text
Feeder
Note: Paper sizes that do not have an "SEF" or "LEF" suffix are handled as short edge feed (SEF) paper by the printer/copier.
I Landscape with an SEF paper size and Landscape with an LEF paper size have the same orientation on the page, but the horizontal and vertical margins are reversed.
If you print to a MajestiK, Regal, DocuColor 5799, or Acolor 630 series or 930 series printer/copier, the edge that feeds into the printer has a margin of 9 mm; the other edges have a 4 mm margin. If you print to an Acolor 620 or DocuColor 5750 printer/copier, the edge that feeds into the printer has a margin of 6 mm; the other edges have a 4 mm margin.
Landscape SEF
Landscape LEF
Text Text
Text Text
Feeder
6. To enlarge or reduce the image, enter a value in the Scale text box. To increase the size of the image, type a value greater than 100%; to decrease the size of the image, enter a value less than 100%. The default value is 100%, which prints your images at full size. You can enlarge your image up to 400%, or reduce it to as small as 25% of your original image.
7. Choose PostScript Options in the menu in the upper-left corner of the LaserWriter 8 Page Setup dialog box to view more page setup options.
I Flip Horizontal reverses the image from left to right.
I Flip Vertical prints the image upside down.
I Invert Image prints the image in colors that are the inverse (opposite) of the actual colors.
I Substitute Fonts replaces the New York font with Times, Geneva with Helvetica, and Monaco with Courier, to produce higher-quality text.
I Smooth Text and Smooth Graphics reduce the jagged edges found in bitmapped text and graphics.
I Precision Bitmap Alignment reduces the size of the print by 4%. It will not print bitmapped images with an integer dot increase as will a 300 dpi printer engine. In general, this option should not be checked.
I Unlimited Downloadable Fonts is a LaserWriter option that has no effect on Splash PostScript printing.
To see page size information about the document, click on the page image on the left. Page dimensions appear in inches. Click again to see information in centimeters.
8. Click OK in the Page Setup dialog box to save your settings.
Choosing Print Options
To print a file to the printer/copier using the Adobe PS or LaserWriter 8 driver:
1. From the File menu in your application, choose Print.
Your applications may have additional print options or may have fewer. See the user manual for your application for information about these options.
2. Select Printer as your Destination to send your document to the Splash printer/copier.
Choose PostScript File as an output destination if you want to save your document as a PostScript file.
3. By default, Splash prints one copy of every page in your file. To print more than one copy, type the number in the Copies box. To print a specific range of pages in the document, type the starting and ending page numbers in the From and To boxes, respectively.
4. Select All pages from under Paper Source to select the paper tray to use for the document and to enable automatic tray selection. To print to the copier's bypass tray, select Bypass Tray in the Paper Source menu and select the appropriate settings in the Splash Tray Options screen.
The First page from and Remaining from menus are LaserWriter options that have no effect on Splash PostScript printing.
Note: For all applications except Adobe PageMaker 6, the First From and Remaining From pop-up menus contain two "AutoSelect" options. Select either option to activate the AutoSelect feature.
A menu in the upper-left corner of the dialog box allows you to view and select additional print options, including the Splash print options.
Your application may add other print options to the menu. Refer to your application's manual for information about its print options.
5. Choose Background Printing to set options that control print spooling.
Adobe PS Printer and LaserWriter 8 offer both foreground and background printing. When Foreground is selected, the printer driver does not spool the file being printed. This can speed up print processing time for some applications.
Note: Some applications do not operate properly with Foreground selected. If you experience problems during printing, set this to Background printing.
6. Choose Cover Page to view cover page options.
The Cover Page option generates a page that lists your name, the application from which you are printing, the name of your file, the date and time of printing, the printer name, and the number of pages you are printing (not including the cover page). Use the default, None, when you do not want to print a cover page. Select Before Document to print a cover page before your file prints, or select After Document to print a cover page after your file prints. If desired you can select a different paper source for the cover page.
Note: If "Print Cover Page" is selected in the Splash Server application and you select the Cover Page option when you print, Splash prints two cover pages for the job.
7. Choose Color Matching to view color matching options.
I Color/Grayscale in the Print Color pop-up menu prints color or grayscale images in their original form.
Note: If Splash RGB color correction is applied to the print job, the Color/Grayscale option produces the same results for the job. Splash color correction is applied for this selection.
I ColorSync Color Matching activates a ColorSync profile for RGB color correction. Unless you have a custom ColorSync profile for your monitor, you will achieve the best color correction results when you use Splash RGB color correction. If you use ColorSync color correction, be sure that Splash RGB color matching is disabled in the LaserWriter 8 print driver.
I PostScript Color Matching lets you use other PostScript Color Rendering Dictionaries (CRDs) to color correct RGB files. Be sure that Splash RGB color matching is disabled before you print a document with a third-party CRD to Splash.
I Black and White produces a monochrome (black-and-white, not grayscale) image, and is recommended only for printing true monochrome images.
If you activate PostScript Color Matching or ColorSync Color Matching for the print job, select a Printer Profile in the menu.
8. Choose Layout to print one, two, four, six, nine, or sixteen pages from your file on a single sheet of paper.
Choose the number of Pages per sheet. For two or more pages per sheet, select a Layout Direction. If desired, you can print a border around each page printed on a sheet.
9. Choose Error Handling for special PostScript error reporting options. No Special Reporting, the default setting, means no errors will be reported.
10. Choose Save as File to select options if you want to save the print output as a PostScript file instead of printing hardcopy at the printer/copier.
The Save as File options are applied when PostScript File is selected in the Destination pop-up menu (in the upper-right corner of the window). See "Creating a PostScript File" on page 39 for more information.
11. Choose Splash Options to view and select Splash print options.
LaserWriter 8 dialog box
See "Setting Splash Color Options" on page 25 for information about these print options.
12. Choose Document Info to select more Splash options.
See "Setting Splash Tray Options" on page 28 for information about these print options.
.
13. When you have finished selecting options for the document, click Print
Using the Splash Print Options
This section describes how to use the special print features of the Splash color print server. The options described in this section are available when you print to Splash with either the custom Splash driver or the LaserWriter 8 driver with the Splash printer description file selected.
Setting Splash Color Options
The Splash Color options let you set up the printer/copier for four-pass color printing or grayscale printing, with contone or halftone screening. You can also apply Splash color correction to your print jobs.
Color Model
Select Grayscale or Color printing as a Color Model for your output. Grayscale images produce similar results with either mode; however, images process and print significantly faster in Grayscale mode than in Color mode.
Printer Mode
This option switches printer output between Contone (full color) output and Screened output. When Screened is selected, Splash applies halftone screening to the color image. In certain circumstances (such as documents composed primarily of large areas of saturated color) halftone screening produces better results in the printed output.
The screening method used when "Screened" is selected is configured at the Splash Server. The default screening method is stochastic. See the Splash PCI Series 6.0 Set-Up Manual for more information.
RGB Monitor Color Correction
Splash RGB Monitor Color Correction gives you simple-to-use, accurate, and consistent results for:
I Documents with mixed EPS and TIFF file types
I Documents printed with either the Splash (PSPrinter 8.5) driver or the LaserWriter 8 driver with Calibrated Color/Grayscale selected for printing
I Documents created with all applications—both "pre-press" applications (such as QuarkXPress) and non-pre-press applications (such as Microsoft Word)
Splash uses advanced, proprietary techniques to accurately color correct mixed EPS, TIFF, PICT, and other "problem" page layout files that cannot be accurately corrected and printed by other CMS and RIP combinations.
To apply Splash RGB color correction to the print job, check RGB Monitor Color Correction, then select the appropriate RGB options from the pop-up menus.
Select a Rendering Style option that describes how the document was created:
I Choose Graphics for documents that were created with a computer graphics application. This option is designed to optimize printing of more saturated colors, such as those used in business presentation documents.
I Choose Photographic to match the colors of various photographic images scanned by the Xerox or Fuji Xerox printer/copier, or other scanners. This is the best option to choose for proofing photographic material.
Note: The default Rendering Style is Photographic.
The Gamma and Whitepoint options adjust Splash color correction to simulate the monitor used to view and work with the document. For most purposes, choose Normal (1.8) for Gamma, and choose Normal (D65) for Whitepoint.
Gamma describes how a device reproduces tonal gradations. This setting applies to both the input device (such as a scanner) and the output device (such as a computer monitor or a printer). You can use this option to lighten or darken the RGB content of a particular document. The Gamma options are:
I Lightest (1.0)
I Light (1.4)
I Normal (1.8)
I Dark (2.2)
I Darkest (2.6)
Splash RGB color correction provides three standard whitepoint options. The options simulate various lighting conditions for proofing color documents. This option can be used to adjust the RGB content in a particular document relative to the whitepoint of the monitor. If flesh tones or red tones are too magenta, skies and other blues too cyan, and grass and greens too dark (almost bluish), change the Whitepoint selection from "Normal" to "More Blue." If flesh tones and reds are too yellow, blues too purple, and greens too yellow, change the Whitepoint setting from "Normal" to "More Yellow."
The Whitepoint options are:
I More Yellow (D50 Proofing)
I Normal (D65)
I More Blue (9300)
See page 39 for more information about Splash color correction.
CMYK Press Color Correction
To apply Splash CMYK color correction to the print job, select the CMYK Press Color Correction checkbox, then select the appropriate CMYK Press Profile option from the pop-up menu.
I SWOP simulates SWOP inks.
I Euroscale simulates Euroscale press inks.
I Enhanced prints vivid colors on your output. (This profile is not intended for printing press proofs.)
I Custom1 through Custom10 are customizable options set at the Splash Server. Ask your Splash Server administrator about the current settings for these.
See page 39 for more information about Splash color correction.
Composite Spot Colors
Splash can simulate PANTONE, Toyo, HKS, or DIC spot colors when you add them to your documents. You must print your documents in composite mode to use this feature.
Set the Composite Spot Color type (PANTONE, Toyo, DIC, HK, HN, HE, or HZ) in the Splash Server Preferences (see the Splash PCI Series v30 Set-Up Manual for instructions). Select the Composite Spot Colors checkbox at the printer driver before you print. Splash produces output that simulates the spot color on a printing press.
Note: This feature supports only 100% (non-tinted) spot colors. For best results, do not mix regular press CMYK colors in the same document with spot colors when you use this feature. (Some press CMYK colors may be interpreted as spot colors.)
Text Enhancement
These Splash features, when enabled, improves the printing of text and line drawings. The text enhancement options include:
I Dynamic Edge Smoothing—enhanced printing of text and drawings that contain fine lines by smoothing lines and avoiding "jaggies."
I Black Overprints—100% black overprint with no knockout of underlying colors. This prevents any "halo" effect when printing black on top of another color.
I Alternative Black (Un-mixed) —substitutes a pure (C=M=Y=0, K=100) black for any R=G=B black in the document. This prevents the buildup of toner on the page and alleviates any shadows created by misregistered mixed black.
Text enhancement options are set to "On" or "Off" for a print job.
Setting Splash Tray Options
These options let you select the tray your job prints to, and tells the printer/copier how to sort or collate the printed job.
Tray Selection
I Select Automatic to have the printer/copier search for the tray that contains the paper size you specified in the Page Setup dialog box.
I Select Tray 1, Tray 2, Tray 3, or Tray 4 to choose a specific tray (to print a document on letterhead or colored paper installed in a single tray, for example.)
Note: If Tray 4 is selected and the printer/copier does not support a 4th paper tray, the print job is handled by the Automatic tray selection feature. Tray 4 is available only with the Acolor 620 or DocuColor 5750 printer/copier.
I Select Bypass Tray to print your file on the paper or transparency film loaded in the Bypass (manual feed) tray.
Bypass Tray Options
To print your job to the bypass tray on the printer/copier, select Bypass Tray under Tray Selection, then select a Bypass Tray option.
I Select Normal to print on recommended paper (16 to 24 pound).
I Select Transparency to print on 60 to 105 gsm Xerox transparencies with a white leading edge. For information on recommended transparencies, refer to the manuals supplied with your printer/copier. The only page size you can use with this bypass tray option is either A4 LEF (A4L) or Letter LEF (LetterL), depending on the copier configuration.
I Select Heavy Weight Paper to print on paper that is heavier than 24 pound or 105 gsm. See the manuals supplied with your printer/copier for information on recommended heavyweight paper.
I Select Transparency Interleave to have the printer insert blank sheets of paper between printed transparencies. For transparency interleave, you must have a paper size that matches the transparency film size installed in a cassette. If no matching paper size is installed, the transparencies are printed without separating sheets.
The following Bypass Tray options can be used when the Splash Server is used with an Acolor 620 or DocuColor 5750 series printer/copier:
I Special Heavy Paper
I Coated Paper
I Single Step Transfer
I Labels
See the manuals supplied with your printer/copier for information on recommended paper types for these Bypass Tray options.
The following Bypass Tray option can be used when the Splash Server is used with an Acolor 620, DocuColor 5750, or DocuColor 5799 series printer/copier:
I Tack Film. The paper sizes supported for this Bypass Tray option are Letter and A4 only. See the manuals supplied with your printer/copier for information on recommended paper.
When you insert paper or transparencies into the Bypass tray, the printer/copier defaults to its Paper Type (Bypass) mode. Push the yellow Clear All button on the printer/copier after you insert the paper or transparencies to return immediately to the print mode.
Paper Handling Options
Use the Splash Paper Handling options to print collated documents.
I If the optional sorter is attached to the printer/copier, select the Use Sorter checkbox to put all copies of page 1 into bin 1, page 2 into bin 2, and so on. When the checkbox is not selected, Splash stacks all output pages on top of each other in the bin on the top of the copier.
I Select the Collate checkbox to print all pages of copy 1, then all pages of copy 2, and so on. When "Use Sorter" is also selected, Splash sends each copy of a job to a different bin (copy 1 of all pages go into bin 1, copy 2 into bin 2, and so on). When "Use Sorter" is not selected, Splash sends all copies on top of each other in the bin on the top of the copier.
Note: If you are using the DocuColor 5750 or Acolor 620 series printer/copier, when you select Use Sorter, the Collate option is turned on automatically. Do not select Printer's Default for either setting.
I Select the Reverse Page Order checkbox to print jobs starting with the last page of the document. Collated documents that are sent to the top bin of the copier end up face-up with page one on top.
Note the following when you use the Splash Reverse Page Order option:
I If your application provides reverse order printing (sometimes called "reverse order" or "back-to-front" printing), select the application's option instead of the Splash print driver option.
I If a sorter is connected to the copier, and you want to print multiple collated copies, use the sorter.
I Do not select Reverse Page Order for a separations print job.
I Print jobs with Reverse Page Order selected do not use the Splash RIP While Receive feature.
Note the following when you use the sorter for uncollated jobs on the MajestiK, Regal, or DocuColor 5799:
I If there are more than 20 pages, Splash prints copies of the first 20 pages in the 20 bins and then an alert dialog appears at the Splash Server to advise you that the sorter bins are full. If the bins are cleared before the error timeout elapses, the job continues to print. If the bins are not cleared before the error timeout elapses, the job moves to the Error queue.
I If there are more than 50 copies in the job, Splash prints 50 copies of each page into the appropriate bin and then an alert dialog appears at the Splash Server to advise you that the sorter bins are full. If the bins are cleared before the error timeout elapses, the job continues to print. If the bins are not cleared before the error timeout elapses, the job moves to the Error queue.
Note the following when you use the sorter for collated jobs:
I For the MajestiK, Regal, or DocuColor 5799, if there are more than 50 pages, Splash prints the first 50 pages of each copy into the appropriate bin and then an alert dialog appears at the Splash Server to advise the operator that the sorter bins are full. If the bins are cleared before the error timeout elapses, the job continues to print. If the bins are not cleared before the error timeout elapses, the job moves to the Error queue.
I For the MajestiK, Regal, or DocuColor 5799, if there are more than 20 copies in the job, Splash prints the first 20 copies into the first 20 bins, and then an alert dialog appears at the Splash Server to advise you that the sorter bins are full. If the bins are cleared before the error timeout elapses, the job continues to print. If the bins are not cleared before the error timeout elapses, the job moves to the Error queue.
I For the DocuColor 5750 copier, if there are more than 30 pages, Splash prints the first 30 pages of each copy into the appropriate bin and then an alert dialog appears at the Splash Server to advise you that the sorter bins are full. You can clear the bins and click a "Proceed" button to tell the server that the bins have been cleared. If the "Proceed" button is not selected before the error timeout elapses, the job will be cancelled. If you select "Proceed" without first clearing the bins, the sorter will overflow.
I For the DocuColor 5750 copier, if there are more than 10 copies in the job, Splash prints the first 10 copies into the first 10 bins, and then an alert dialog appears at the Splash Server to advise you that the sorter bins are full. You can clear the bins and click a "Proceed" button to tell the server that the bins have been cleared. If the "Proceed" button is not selected before the error timeout elapses, the job will be cancelled. If the you select "Proceed" without first clearing the bins, the sorter will overflow.
IMPORTANT: Be sure to disable the "collate" option in your applications before you print to Splash. Some applications provide a collate option that appears in the Print dialog box. Many applications activate the collate option as a default setting, so you must uncheck this option in the Print dialog box before you print. If the collate option in your application is activated (checked) it usually interferes with the Splash sorter feature and results in all pages of your document being placed in a single tray by the printer/copier.
Duplex Printing
Use the Duplex options to set up manual duplex printing. This specifies that the job will be printed as two-sided output. When this option is selected for a job with the page range set to "All" or "Selected," the Splash Server applies the Duplex Alignment offsets to all even pages in the job. The server pauses printing after the first page has printed and a message appears instructing you to place the page in the paper or bypass tray in preparation for printing the next page. When ready, click the "Proceed" button in the dialog box. The back of the first page is printed along with the third page in the document. You are then prompted to remove the page and print the other side.
Note: For long documents, you can avoid this process by performing the following steps:
1. Print the job to the Splash Server with the "Print and Hold" spool option selected.
2. Use the Splash Job Editor to print only the odd pages for the job.
3. Place the printed odd pages in the paper tray in preparation for printing the even pages. Make sure that the orientation is appropriate for your copier/ printer.
4. Use the Splash Job editor to print the even pages for the job. The Duplex Alignment offsets set on the Splash Server are applied to the even pages.
You can also print manual duplex jobs by printing a job as Send and Hold with Manual Duplex selected. You can then print all odd pages from the Splash Server, then remove and turn over the pages and choose to print all even pages at the Splash Server.
Providing User Information
When you print to Splash with the custom Splash driver you can enter identification information for your print job, if needed. (This feature is not available when you print to Splash with the LaserWriter 8 driver).
Document Owner and Password
These optional text fields allow you to enter your name and password, if needed. The text you enter here appears in the job information dialog box for the spool file at the Splash Server. If you do not enter your name, the job includes the network identification name for your Macintosh (from the Sharing Setup control panel). Contact your Splash system administrator to learn what information you need to provide in these fields.
Document Comment
An optional text field for any additional information about the print job. Contact your Splash system administrator to learn what information you need to provide in this field.
Account Number
An optional text field for any account number associated with the print job (up to 32 characters). Contact your Splash system administrator to learn what information you need to provide in this field.
Setting Splash Extras Options
This section describes other Splash options you can apply to your print jobs.
Spool Options
Splash provides three options for handling the PostScript spool file that is created when you print to Splash:
I Print and Delete automatically deletes the spool file after printing the job.
I Print and Save saves the spool file after printing. The job is transferred to the Hold queue with the message "PostScript spool file saved as requested."
I Send and Hold sends the spool file directly to the Hold queue after is received by the Splash Server.
Saving the spool file is useful when small quantities of the same file must be printed occasionally. You can change print options for the saved spool file before printing with the Splash Server application. See the Splash PCI Series v6.0 Set-Up Manual for information.
Note: Saved spool files remain in the Hold queue until you delete them. To delete a spool file:
I Select it in the Splash Server Hold queue, then press the Delete key,.
I Choose Delete Job from the Jobs menu.
I Drag the spool file to the trash.
Separations
Some applications, most notably page layout applications such as PageMaker and QuarkXPress, can produce "separations" as printed output. These are intended to be imaged on film imagesetters and thus each page is converted to one or more (usually four) output grayscale "pages." If you print separations to a printer that does not have a special separations feature, you will get one grayscale page per color in the original page.
The Splash Server has the ability to re-composite these individual pages back into a single color page to produce a real proof (equivalent to the proof that would be produced from the films via conventional means). The primary benefit of separations is to show overprinted objects with proper colors and to make trapping visible.
The Splash Separations print option prints a composite page from applications that support separations printing.
I Select Automatic to apply the Splash Separations feature to all your separations print jobs automatically. This default option supports CMYK plates plus any number of plates in PANTONE, Toyo, HKS, or DIC (if these press colors are supported by your separations application). This option supports separations generated by any application. When this option is selected, Splash supports the full range of PANTONE, Toyo, HKS, or DIC colors and tints in your documents.
Note: The Splash Separations feature does not accurately represent traps or overprints composed of a PANTONE, Toyo, HKS, or DIC color.
Note: Due to limitations in PageMaker and QuarkXpress, RGB graphics are converted to CMYK and therefore look similar. RGB images are converted to grayscale and appear as gray in the output.
I Select None to disable the Splash separations feature for a job.
The remaining separation options, QuarkXPress 3.0 Style, QuarkXPress 4.0 Style, PageMaker Style, FreeHand Style, and Canvas Style use a separations technique from version 4.0 of the Splash PCI Series software. These options require that the separations job be made up of exactly four process-color plates. These options do not support additional PANTONE plates. If problems occur in the output when you print separations with "Automatic" selected, convert the colors in your document to four process plates then select the v4.0 separations option that matches your application.
Separations Notes:
The Splash Separations print feature supports printing of high-resolution DCS (Desktop Color Separation) files. To print a high-resolution proof of a DCS file, activate the separations feature within your application and in the Splash driver print options dialog box.
The Separations feature is not compatible with Adobe Separator separation jobs. To use separations with Adobe Illustrator (typically done with Adobe Separator), create an EPS and place it into either a QuarkXPress or PageMaker document.
Do not choose the Cover Page option in your application's print dialog box when you print a separations job to Splash. The cover page is interpreted as a color plate, which causes unexpected results in the separations job. (This problem does not occur when the Print Cover Page option is active for the Splash Server application.)
For best results, do not use the version 4.0 separation options to print files with spot colors. Always choose "Automatic." If your job reports a PostScript error printing a CMYK-only file (no spot colors) with the "Automatic" separation option, try printing with one of the version 4.0 separation options.
If a separations document contains one or more spot colors, any spot colors that are not known by the system will be printed as black (or grayscale for tints). The job will not error. If the spool file "print and save" option is was selected for the job, the spool file at the Splash Server will show the message "Document printed, but unknown spot color: NAME. Run Preflight report for more details." (NAME is the name of the unknown spot color.)
If you use a v6.0-style CMYK color correction profile with a separations file, any black areas (including those created with CMY inks) will print using mainly black (K) toner. If you want the output to be closer to the original CMYK values for the purpose of retaining trapping, select a v4.0-style CMYK color correction profile for the job.
Original Type
This print option sets printer/copier screening and filtering to optimize output based on the image type.
I Choose Photographic for photographic originals to optimize the output, using a 200-line screen at 400 dpi. This is the best option to choose for color images.
I Choose Text/Graphics/Line Art to optimize the output of all other data types, including text and line art, using a 400-line screen.
Note: When "Text/Graphics/Line Art" (400-line screen) is used, even if color correction mode is selected, appropriate colors are not always printed. The colors printed sometimes differ from when "Photographic" is selected. For documents that emphasize the color image, choose "Photographic." For documents that emphasize sharp lines (such as a map), choose "Text/Graphics/Line Art."
For best results with Splash color correction, choose the "Photographic" option under Original Image Type. The "Text/Graphics/Line Art" option should be used only for documents that need to show crisp detail.
Document Mode
Select the Document Mode checkbox to print the document with the Splash Continuous Print feature. This feature dramatically speeds up printing at the copier.
Note: When this feature is selected, Splash applies screening to the output to achieve faster print processing. This feature does not allow contone printing. Select this option when speed of printing is the highest priority for your output.
Printing Style
The Printing Style option you select determines how the Splash Server processes your print job when Document Mode is selected. For some print jobs, Splash must reduce the quality of images or text to accomplish faster printing at the copier. The Printing Style option lets you decide which element is more important in your final output. Choose Favor Image (the default setting) to produce the best possible quality for documents with photographic materials and large areas of color. Choose Favor Text to produce the sharpest-possible text and lines in the final output.
Print Control Strip
When the Print Control Strip checkbox is selected, Splash prints a set of color control patches on the edge of the output. This option can be configured to print either color patches or an EPS file or both. See the Splash PCI Series v 6.0 Set-Up Manual for more information.
Note: The control strip image will overwrite the job image if it occupies the same part of the page in the output.
Print Progressives
When the Print Progressives checkbox is selected, Splash prints up to four separate sheets for the print job. This print option is configured at the Splash Server to specify which color passes print on each sheet. This allows you to examine the result of each color pass for a four-color document. See the Splash PCI Series v6.0 Set-Up Manual for more information.
Note: Do not choose the Cover Page option in your application's print dialog box when you print a progressives job to the Splash Server. The cover page is interpreted as one of the progressives pages, which causes unexpected results in the job. (The problem does not occur when the Print Cover Page option is active for the Splash Server application.)
Note: If you are using progressives to create press proofs, for best results select one of the Splash v4.0-style one-dimensional CMYK Press Color Correction profiles for the print job (see "CMYK Press Color Correction" on page 26). Ask your Splash system administrator for information about the current CMYK profile settings. See the chapter "Calibrating With ColorCal" in the Splash Reference Manual for more information about CMYK Color Correction profiles.
Sharpness
The Sharpness control lets you enhance or soften the edges of your image when you print. (When you apply a Sharpness setting, no additional processing time is required.) The Sharpness settings are:
I Softest
I Soft
I Normal
I Sharp
I Sharpest
The Sharpness feature is not available with the Acolor 620 or DocuColor 5750 printer/copier.
Auto Grayscale Detection
Automatic Grayscale detection (enabled by default in the print driver) checks each page to see if a page has any color on it before printing. If there is no color detected on the page, the copier prints in single-pass grayscale mode, which speeds up printing, especially for multi-page documents that contain only some color pages. (This also reduces the cost of printing, as you are charged for fewer color pages.) Disable this feature for maximum printing performance when printing documents that have color on every page. (When active, this feature adds approximately onehalf second to the printing of each color page.) To disable Automatic Grayscale Detection, deselect the Auto Grayscale Detection checkbox.
This feature is active when the Color Model is set to "Color" (see page 24). The log file indicates the number of pages within the document that were printed in grayscale mode on the copier as a result.
For fastest printing of an entirely black and white document, set the Color Model to Grayscale for the print job (see page 24).
Save as TIFF
Saves a rasterized 72, 200, or 400 dpi TIFF file. The TIFF file is placed in the TIFF Folder within the Splash Folder on the Splash Server computer. To activate this feature, choose a resolution from the pop-up menu.
When Save As TIFF is selected, files are not printed, but are instead saved as files in the TIFF Folder within the Splash Folder on the Splash Server Macintosh. The TIFF Folder is pre-configured for network access by clients. This setup allows someone at a client machine to retrieve TIFF files from the TIFF Folder on the Splash Server, and to delete TIFF files from the folder once they have been copied to the Client Macintosh.
Note: If you select a paper tray for a Save As TIFF job, the print job will error at the Splash Server. Always select Auto Tray Select for Save As TIFF jobs.
Creating a PostScript File
The Drop Folder on the Server Macintosh lets you print files that are in text-based processed PostScript format, without the need to install a special PostScript file downloader on the Server or client Macintosh. While most PostScript downloaders will work with Splash, the Drop folder provides a more convenient "drag and drop" method for printing PostScript files. You can also print PDF, TIFF, and EPS files to Splash with the Drop Folder. If you are at the Splash Server computer, you can print PDF, TIFF, EPS, and PostScript files by dragging them to the Waiting queue in the Splash Server window.
To create a PostScript file, choose the PostScript File option in the Print dialog box. (Use the custom Splash printer driver or the LaserWriter 8 driver with the Splash PPD selected when you create PostScript files. PostScript files created by other drivers may not print correctly.)
To print a PostScript file, place it in the Drop Folder, which is located in the Splash Folder on the Splash Server Macintosh, or drag it to the Waiting queue in the Splash Server application window. The Server application automatically moves the file to the Spool Folder.
I If the file can be printed, it is placed in the Waiting queue at the Splash Server.
I If the file cannot be printed, the spool job is transferred to the Error queue in the Splash Server window. The PostScript file is moved to the Unprintable Files folder in the Splash Folder. This folder is created in the Splash Folder the first time a file cannot be printed.
PostScript File Printing Notes
For Splash PCI Series Servers the Drop Folder is preconfigured for guest access on the Splash Server. For more information about Apple file sharing and how to set up a shared folder, refer to the Macintosh User's Guide included with your computer.
The PostScript Drop Folder on the Splash Server cannot print locked PostScript files. If a locked file is placed in the Drop Folder, it remains in the Drop Folder and does not print. Any PostScript files that are placed in the Drop Folder after the locked file do not print until the locked file is removed from the Drop Folder or unlocked. To unlock a file, the file's owner must select the PostScript file's icon and then choose Get Info from the File menu. Uncheck the "Locked" option in the file information dialog box.
Splash Color Correction
Splash provides powerful, built-in color correction capabilities. With Splash color correction you can match your prints to the colors of the image on your display screen, and to process inks used on commercial printing presses.
Documents that use both RGB and CMYK graphics used to be a special problem for color proofing. Correcting color for one type of graphic affected the quality of the other. Now, with Splash mixed RGB/CMYK color correction, you get accurate, consistent color for both.
Splash color correction eliminates the color variation that occurs when you print a document as a PostScript file instead of to hard copy, and produces the same RGB color results for both TIFF and EPS files. And since color correction is applied by Splash (instead of by the application) any print job can be color corrected, whether you use a pre-press application such as QuarkXPress, or a less-complex application such as Microsoft Word.
CMYK color correction in v6.0 of the Splash PCI Series is optimized for matching mixed press ink colors. Splash CMYK color correction automatically compensates for differences between toner and press ink colors to produce an accurate simulation of the selected press ink profile.
To ensure the closest possible color correction, use a display calibrator to compensate for the variations of your individual monitor, the lighting conditions in your office, and the whitepoint of your paper.
Two "identical" but uncalibrated monitors may display an image differently enough to exceed the ability of a color correction application to closely match them. In addition, the colors you see on your printed page are affected by the light that is reflecting off the toner and by the particular shade of white in your paper. If you do not calibrate your display, you may not be taking advantage of some significant benefits that your color correction application offers. Display calibrators can standardize the colors on your display and compensate for different lighting conditions and whitepoints.
If you prefer, you can disable Splash color correction and use a third-party color management system or ColorSync 2.5 to accomplish your screen-to-print or process ink-to-print color correction. (Color correction using a third-party color management system will increase processing time.)
The Splash ColorCal application calibrates the printer/copier output for best results with Splash color correction. ColorCal gives you consistent printing of colors over time, and ensures that RGB output matches a calibrated monitor and that CMYK output matches Press standards. See "Calibrating with Splash ColorCal" in the Splash Reference on-line manual for more information.
Splash Color Correction Notes
To achieve the best results with Splash color correction, note the following:
I When both RGB and CMYK color correction are applied to a print job, any RGB colors in the document are mapped into the gamut of the CMYK color profile. RGB colors within the CMYK profile color gamut will match the RGB monitor settings (gamma and whitepoint), but RGB colors outside the CMYK profile color gamut may develop desaturation and hue shifts.
I If your document contains no CMYK data, or if the RGB colors are primarily out of the CMYK profile color gamut, be sure to turn off Splash CMYK color correction in the printer driver. If CMYK color correction is applied to these files, the RGB colors will be restricted to the CMYK profile color gamut and saturated colors may develop desaturation and hue shifts.
IMPORTANT: MOST BUSINESS APPLICATION DOCUMENTS CONTAIN ONLY RGB DATA. CMYK COLOR CORRECTION SHOULD NORMALLY BE TURNED OFF FOR PRINTING THESE DOCUMENTS.
I For best results with Splash color matching, set the Original Image Type print option to "Photographic" style. The alternative option, "Text/Graphics/Line Art" should be used only with grayscale documents or documents that need to show crisp line detail, such as a map.
I If you use QuarkXPress, you must disable EFICOLOR before you can print with Splash RGB color correction. To do this, remove either the "EfiColor Processor" file from the MacOS System folder, or the "EfiColor XTension" from the QuarkXPress application folder. (Note: Disabling EFICOLOR correction in the QuarkXPress application is not sufficient. QuarkXPress converts all RGB data to CMYK using EFICOLOR color correction, even if EFICOLOR is disabled in the application. You must remove one of the two EFICOLOR files to prevent EFICOLOR from interfering with Splash color correction.)
Optional RGB Photographic Rendering Style
If desired, you can alter Splash RGB Monitor "Photographic" Rendering Style color correction to be similar to that found in v3.1 of Splash. To do this:
1. Open the Resources folder in the Splash Folder on the Server.
2. Rename the file "PhotoCRD.ps" to "PhotoCRDsave.ps" (or some other name to indicate that it should not be deleted).
3. Locate the file "PhotoCRD.ps" in the "3.x Compatibility" folder which is in the Splash Extras folder within the Splash Folder on the Splash Server.
4. Copy the "PhotoCRD.ps" file to the Resources folder in the Splash Folder.
5. Quit and then relaunch the Splash Server application to initialize the Server application with the new PhotoCRD.ps file.
After you complete the above procedure, when you print a file to the Splash Server with RGB color correction active and Photographic Rendering Style selected, the color output is closer to that found in v3.1 of Splash, though saturated colors are flatter. This procedure does not affect Splash RGB Graphics Rendering Style color correction.
IMPORTANT: For best results with this optional RGB rendering style, print with CMYK color correction turned off. Also, be sure to set the Pass Through profile to "Uncalibrated" with the Splash ColorCal application at the Server. (See the chapter "Calibrating with Splash ColorCal" in the Splash Reference on-line manual for instructions on how to do this.)
Note that the optional RGB Photographic Rendering Style does not produce the best results for files that include saturated colors (such as those used in business or presentation graphics documents), or for files with any CMYK color data.
To return Splash RGB Photographic Rendering Style Color Correction to its original capabilities, rename the "PhotoCRD.ps" file in the Resources folder, change the name of the "PhotoCRDsave.ps" file back to "PhotoCRD.ps" then restart the Server application.
Splash ICC (ColorSync) Profiles
Splash provides color profiles for use with Apple's ColorSync color management software. If desired, you can print to Splash using ColorSync with these profiles. (Be sure to disable Splash color correction in the print driver before printing with ColorSync color management.)
The Splash ColorSync profiles are located in the ColorSync™ Folder within the Splash Extras folder in the Splash Folder on the Splash Server. See the ColorSync documentation for instructions on how to use ColorSync.
For best results with ColorSync, be sure the Splash Pass Through profile is set to "Visual Standard" with the Splash ColorCal application. (See "Calibrating with Splash ColorCal" in the Splash Reference on-line manual for more information.)
Adobe Photoshop Color Separation Tables for Splash
Splash provides color separation tables that work with the Adobe Photoshop Separation Tables feature. The tables convert RGB images into separations for a printing press. (Note: These separation tables produce the same results as when you use Splash RGB color correction to create press separations.) The Splash color separation tables are located in the "Photoshop Separation Tables" folder within the Splash Extras folder in the Splash Folder on the Splash Server.
If you are working with RGB images in Adobe Photoshop and you need to create separations for press printing, follow these steps to use the Adobe Photoshop Separation Tables feature:
1. In the File menu, point to the Preferences option, then drag to choose "Separation Tables."
2. Click the Load button, then use the Open dialog box to locate and open the "Splash Separation Tables" folder.
3. Select a separation table: SWOP, Euroscale, and so on.
See the documentation provided with Adobe Photoshop for more information about how to use Adobe Photoshop Separation Tables.
Chapter 3
Checking the Splash Print Queue
The Splash Server provides two ways for you to check the status of jobs in the queues and view and change the Splash Server Preferences from a Macintosh client:
I The Splash Status DA is installed automatically with the Splash Macintosh Client software. Splash Status can be used from any Macintosh that is set up for printing to Splash.
I The Splash Web Queue Manager is an optional print queue manager. This option is available if the Splash Server is on a TCP/IP network and if Splash Web services are enabled at the Splash Server. This option requires that you install Netscape Navigator (v3.0 or later) or Microsoft Explorer (v3.0 or later) at the client computer.
This chapter describes how to use both of these Splash print queue status tools.
Using the Splash Status DA
To check the print queue from a client Macintosh, select Splash Status from the Apple menu. The Splash Server window displays all the jobs in the print queue.
Printing information for the current job appears below the print job name.
To see detailed information on a job, double-click the job, or select the job and then choose Get Info from the File menu. The Info window appears:
If any errors occur on the job, this window displays them. The chapter "Splash Error Messages" in the Splash Reference on-line manual provides a list of error messages. To close this window, click the box in the upper left corner.
If the Remote Queue Management preferences are set in the Splash Server application to allow access (see the Splash Set-up Manual for instructions), you can place a job on hold, delete it, or move it up and down in the queue using commands in the Splash Status menu.
I To place a hold on a job, click the job to select it, then choose Hold from the Splash Status menu. To take the job off hold, click it, then choose Remove Hold from the Status menu.
I To make a job print sooner, click it, then choose Move Job Up from the Status menu. Each time you do this, the job moves up one place in the queue.
I To force a job to print later than other jobs, click it, then choose Move Job Down from the Status menu. Each time you do this, the job moves down one place in the queue.
I To cancel a print job, click it, then choose Delete from the Status menu.
The Status window displays information for the Splash Server that was selected in the Chooser at the time you opened the Status DA. If you select a different server while the Status window is open, you must close and then reopen the Status DA to display information for the new server.
IMPORTANT: If the Splash Server stops running before you have quit the Server application (for example, if a system error causes the Splash Server to shut down unexpectedly), any changes made to the print queue are lost and must be re-entered from the Splash Server application.
Macintosh Status DA Notes
To remotely manage jobs from a client Macintosh with the Splash Status DA, you must set the "Owner Name" for your client Macintosh. To do this, open the Apple menu, point to Control Panels, then choose Sharing Setup. Enter a name in the "Owner Name" field under Network Identity, then close the Sharing Setup control panel.
Using the Splash Web Queue Manager
If the Splash Server is set up on an Internet or Intranet, and you have Netscape Navigator or Microsoft Explorer installed, you can connect to the Splash Server and remotely view and control the Server queues. The Splash Web Queue Manager lets you view and edit print commands for your jobs in the queue, temporarily halt your job from printing, or remove your job from the print queue. In addition, you can send graphics files such as TIFF and EPS, and text based PDF and PostScript files to the Splash Server for printing.
Before you can use the Splash Web Queue Manager:
I The Splash Web Queue Management option must be installed and enabled at the Splash Server.
I The client Macintosh must be running on a TCP/IP network (contact your network administrator for help with this).
I Netscape Navigator (v3.0 or later) or Microsoft Explorer (v3.0 or later) must be installed on the client Macintosh.
Note: Microsoft Explorer versions 3.0 and earlier do not support sending files to the Splash Server for printing.
Contact your network administrator for help setting up your computer to use the local Intranet or Internet service. In addition, your administrator needs to provide you with the web address (URL) for the Splash Web Queue Manager.
To use the Splash Web Queue Manager from a client Macintosh:
1. Open the web browser application (Netscape Navigator or Microsoft Explorer).
2. In the web browser, enter the web address for the Splash Server. (Contact your Splash administrator for this information.)
3. The Splash Web Queue Manager appears in the browser application window.
A list of print jobs waiting to print at the Splash Server appears on the left in the Web Queue Manager. Information about the Xerox or Fuji Xerox printer/ copier appears at the bottom. If an error occurs at the copier, this information displays. (The chapter "Splash Error Messages" in the Splash Reference on-line manual provides a list of error messages.)
Click Server Preferences to view the default server preferences set for the Splash Server. If you are logged on as the Administrator, you can also change Preferences from this screen.
To view information for a print job, select the checkbox to the left of the job in the list, then click the Job Info button below the job list. Information for the selected print job appears on the right in the Splash Web Queue Manager.
If you select more than one job in the list, Splash provides information for each job you selected.
If the job has already been RIPped, you can click the Preview button in the Job Information screen to view a preview image of the first page of the job if your Splash Server is configured to support this feature.
Managing Print Jobs in the Queue
If the Splash Server is configured to allow client computers to manage print jobs in the queue, you can use the Splash Web Queue Manager to place jobs on hold, delete them, or move jobs up and down in the queue.
Use the command buttons that appear under the print job list to manage jobs in the Splash queues.
I To place a hold on a job, select the checkbox to the left of the job, then click the Hold button below the print job list. To take the job off hold, select it, then click the Release button.
I To make a job print sooner, select it, then click the Up button. Each time you do this, the job moves up one place in the queue.
I To force a job to print later than other jobs, select it, then click the Down button. Each time you do this, the job moves down one place in the queue.
I To cancel a print job, select it, then click the Delete button.
The job list updates to show the revised Splash Server queue information.
If the Splash Server is configured to limit remote print queue management, the Splash Web Queue Manager asks you to log on when you attempt to make changes to jobs in the print queue.
Enter your user name and password, then click Register to complete logon. A message appears on the right to confirm your logon. The confirmation message tells you which jobs you have permission to manage with the Web Queue Manager.
Note: If you did not provide a user name and password when you originally sent the job, enter the "Owner" name that appears next to your print jobs in the Web Queue Manager job list.
Editing Print Jobs in the Queue
To view and change the print options for a job listed in the Splash Web Queue Manager, select the checkbox to the left of the job, click the Job Info button, then click the Edit button that appears below the job information. The current print options for the job appear.
Click "Pages," "Tray," "Color," and "Extras" at the top of the editor to view and select Splash print options for the job. (See Chapter 2 for complete information about the Splash print options.)
When you have finished selecting print options, click "Submit" at the top of the editor, then click "Save Settings" to confirm your changes.
Printing Graphics Files
With the Splash Web Queue Manager you can send graphics files such as PDF, TIFF, EPS, and PostScript files to the printer/copier for printing.
Note: Microsoft Explorer versions 3.0 and earlier do not support sending files to the Splash Server for printing.
To send a PDF, TIFF, EPS, or PostScript file to Splash:
1. Click "Send Job" in the Splash Web Queue Manager window. The Splash Web Queue Manager editor appears.
2. Select print options for the job. The Web Queue Manager editor appears.
Click "Pages," "Tray," "Color," and "Extras" at the top of the editor to select Splash print options for the graphics file. (See Chapter 2 for complete information about the Splash print options.)
3. When you have finished selecting print options, click "Submit" at the top of the editor. Instructions on how to select the file to print appear.
4. Click Browse. A file selection dialog box appears. Select the file to print, then click OK in the dialog box.
5. Click "Send" to print the graphics file to the Splash Server.
The Splash Web Queue Manager transfers the file to the Drop Folder at the Splash Server. The Splash Server processes and prints the job.
Splash Web Queue Manager Notes
Job Selection Checkmarks Disappear
If you click to select a job in the Print Queue frame and do not perform a command (such as Edit Job or Job Info), the checkmark disappears. This occurs because the server updates the Print Queue every so often. If no command is sent to the server, the server cannot tell that the job is selected at the client, so the checkmark is erased when the frame is refreshed.
Chapter 4
Application Notes
This section provides information about how to use specific Macintosh applications with a Splash Server. Review the Splash PCI Series v6.0 Product Update Notice for additional notes on using applications with the Splash Server.
General Application Notes
Bitmapped Fonts
If a Client Macintosh reports that a "bitmap is being created for the missing font since no printer font can be found," it means that a font that is used in the file is not installed on either the Client or the Server Macintosh. The results in your printed output vary depending on the application you are using.
I QuarkXPress—Prints low-resolution bitmaps of missing fonts.
I Macromedia FreeHand—First line of type is substituted with Courier; the rest of the lines of type print as bitmaps. (Or, TimesRoman is substituted for first line of type, and the rest of the text is not printed.)
I Adobe Illustrator—Prints all type in TimesRoman.
I Adobe Photoshop—Prints bitmaps of missing fonts.
I Adobe PageMaker—The job is errored back into the queue.
To solve this problem, install the missing fonts on the Client machine. The fonts will then download to the server and print correctly.
Printing DCS Files
The Splash Separations print feature allows you to print proofs from DCS (Desktop Color Separation) files. To print a high-resolution proof of a DCS file activate the separations feature within your application and in the Splash driver print options dialog box (see page 33 for instructions).
Printing Documents That Use Patterned Fills
When you print a document that includes patterned fills from Aldus Persuasion, Adobe Illustrator, or MacroMedia FreeHand, select the LaserWriter 8 driver in the Chooser with the appropriate Splash PPD before you print the document.
Printing Gradient Fills
Documents that contain radial fills require extra time for Splash to process and print.
Printing Documents That Use Many Fonts
You may need to increase memory for the Splash Server application to print documents that use a large number of fonts.
Printing A4 and Letter Bleed on Oversize Stock
If you attempt to print a full-bleed page using automatic or direct tray selection, this option will be ignored and you will be prompted to insert the paper in the Bypass Tray. For applications that can output crop marks and/or registration marks (such as QuarkXPress, PageMaker and FreeHand), the document must be printed with crop marks and registration marks off.
For applications such as PageMaker that provide a "center on imageable area" option, make sure this option is enabled for correct output.
In applications such as QuarkXPress or PageMaker that allow you to set a page size independent of the paper size selected for printing, use the standard Letter or A4 page size and set the margins to 0. Then, when printing, select the full-bleed page size. For other applications, select the full-bleed size in the page setup dialogue, as normal.
Printing Separations
If you experience problems printing separations to Splash from Adobe PageMaker, Deneba Canvas, or FreeHand, install the Splash v5.1 custom printer driver to resolve the problem. This printer driver is based on Apple's LaserWriter 7 driver, and should not be used for regular printing to Splash. Many of the new Splash v6.0 print features cannot be used with this driver.
To install the Splash v5.1 custom printer driver, open the "Printer Drivers v5.1" folder in the Splash Extras folder within the Splash Folder on your computer's hard disk. Move the file "Splash v5.1" to the "Printer Descriptions" folder in the Extensions folder within the System Folder.
To print with the Splash v5.1 custom print driver, open the MacOS Chooser, select the Splash v5.1 driver, then close the Chooser. When you print from your application, click the Splash button that appears in the Print dialog box, then select any Splash print options. Note that the Splash v6.0 print options are not available when you print with this driver.
Notes for Specific Applications
Adobe Illustrator Notes
Each time you launch Adobe Illustrator you must select a page size in the Page Setup dialog box.
In grayscale, Adobe Illustrator prints 400 dpi for all sizes (up to A3), for all models of Splash.
The Paths command contains the setting for output device resolution. Splash is a 400 dpi device. Be sure to check the "Use printer's default screen" check box. This will eliminate any problems with blends printing incorrectly.
Both the Page Setup and Print dialog boxes are similar to Apple's standard dialog boxes. There are no unusual print options in either of these boxes. Simply select the proper page size and orientation. All Printer Effects should be disabled.
In Adobe Illustrator, if you select an A3 portrait page size and a reduce/enlarge value of 200% or greater in page setup, you may get multiple copies when only one is selected.
The top and bottom margins are reversed when you print from Adobe Illustrator version 3.2.
In some cases, gradients in Adobe Illustrator 5.0 do not print properly with Splash. If you notice that gradients print with "banding," move the file "smt_SpecialStartup001.ps" from the PostScript Items folder within the Splash Extras folder, to the Splash Folder. This will correct the problem.
Printing Separations From Adobe Illustrator
To print a separations document created with Adobe Illustrator, first save the document as an EPS file in Adobe Illustrator, then import the EPS file into QuarkXPress, Adobe PageMaker, MacroMedia FreeHand (versions 3.1 and 5.0 only), or Deneba Canvas to print the separations document to Splash.
Note: Before you attempt to print an Adobe Illustrator separations document from MacroMedia FreeHand 5.0, start the MacroMedia FreeHand 5.0 application, choose Preferences from the File menu, then choose "Importing Exporting" in the pop-up menu in the Preferences dialog box. Make sure the "Convert Editable EPS when placed" option is checked.
Adobe PageMaker Notes
Under certain circumstances, Adobe PageMaker print jobs that are sent to a specific paper tray are moved to the Error queue and do not print. This occurs when no paper trays at the copier contain Letter or Letter LEF paper. To correct the problem, make sure at least one paper tray at the copier is loaded with Letter or Letter LEF paper.
When you use Option-P to print from Adobe PageMaker 4.2 or 5.0, unwanted white pixels can appear in some bitmapped images. When you print bitmapped images, use the regular Print command from the File menu. The regular Print command results in limited functionality in the Print dialog box. For example, the color model and color matching options cannot be set via the normal Print command in PageMaker 5.0. (Use Option-P to set color matching and model options.)
If an Adobe PageMaker 5 document contains high-resolution TIFF images, the TIFFs do not print properly to a Color Central Lite queue that is configured for APR (Automatic Picture Replacement). There are three ways to work around this problem:
I Use a low-res sample of the TIFF instead of the high-res TIFF in the document.
I Use an EPS image instead of a TIFF in the document.
I Print the PageMaker 5 document to a Color Central Lite queue that is not configured for APR.
If you are using PageMaker 6.0, RGB colors may not be created and printed as expected. Upgrade to PageMaker 6.5 to ensure RGB color matching between the monitor and print output.
Do not use the Splash Reverse Page Order print option when you print Adobe PageMaker 6.5 documents with the LaserWriter 8 driver. Use the custom Splash driver instead.
The LaserWriter 8.4.1 driver may cause unexpected results when you print from PageMaker 6.0. If this occurs, use the LaserWriter 8.3.x driver instead.
Splash Print Options Not Available for Early Versions of PageMaker
Adobe PageMaker application versions prior to v6.0 cannot apply Splash print options (such as color correction) to documents when you print to the DocuColor. Adobe PageMaker 6.0 supports all Splash print features.
Adobe Photoshop Notes
For the fastest and most accurate color correction when printing RGB or CMYK files from Adobe Photoshop, enable Splash RGB/CMYK color correction.
Splash provides color separation tables that work with the Adobe Photoshop Separation Tables feature. See "Adobe Photoshop Color Separation Tables for Splash" on page 43. The tables convert RGB images into separations for a printing press. (Note: These separation tables produce the same results as when you use Splash RGB color correction to create press separations.)
Adobe Photoshop is a powerful image editing application. Unfortunately, one of the drawbacks of Photoshop is the complexity involved in dealing with color PostScript output. There are many Preferences in Photoshop that should be set up before color correction and output are performed. These settings files will affect the color quality of the output, and should reflect the settings of the workstation on which the color work is being performed.
The Photoshop Monitor Setup is where information about the display should be entered. This will not only affect what is seen on screen, but will affect the output, therefore affecting screen-to-print matching. Consult the Photoshop User Guide for detailed instructions on monitor setup. In addition to the monitor setup, there are two preference settings for "Printing Inks" and "Separation Setup." These settings are used when converting an image to CMYK, or using a CMYK image. These settings should reflect the type of separation in use.
Print Dialog Box Notes
When you choose Print from the file menu to print your job, Photoshop may display the following message:
Ignore this message. Press the proceed key to display the Print dialog box. To prevent this message from displaying, choose Page Setup in the File menu in Adobe Photoshop, then click the Screens button. Make sure the "Use Printer's Default Screen" checkbox is checked, then click OK.
Two items in the Adobe Photoshop Print dialog box may affect the color quality of the output.
I Encoding: Select "Binary." Binary encoding is faster than ASCII.
I Print in: If the file is an RGB file, the option will be given to print in CMYK. Selecting CMYK will let Photoshop convert the file to CMYK before it is printed. It will use whatever settings are loaded into the Separation settings dialog box. If the file is already in CMYK, this option will not be available.
Save as TIFF and Adobe Photoshop 3.0
When you use the Splash Save as TIFF option with a long-edge feed paper orientation selected (LetterL, A4L, B5L, and so on), the page appears rotated when the TIFF is opened in Adobe Photoshop. This does not occur when short-edge feed paper orientations are used with Save as TIFF.
Corel Draw Notes
If you attempt to save a document as a TIFF with Corel Draw 5.0, the job generates an error at the Server with the message, "Can't save as TIFF."
To use the Splash Separations feature, you must have CorelDraw version 7.0 or later installed. Earlier versions of CorelDraw will print a black page for each separation plate.
Deneba Canvas Notes
There are several limitations associated with printing a separations document to Splash from the Canvas application:
I When you print a separations job to Splash, select the "Canvas Style" separations option. The "Automatic" option does not work with Canvas documents.
I To print a separations document to Splash with the "Canvas Style" separations option, use the custom Splash DocuColor printer driver for LaserWriter 7. The Canvas separations option does not work with the LaserWriter 8 printer driver.
I Certain Canvas separations documents that contain several complex PostScript operations, such as a combination of trapping, overprinting, and DCS recombination, result in an error at the Splash Server. These jobs return the error message "Error: undefined; OffendingCommand:/" and the separations job does not print. This problem is caused by faulty PostScript code generation by Canvas.
I Multiple-page separations documents printed with the Splash DocuColor driver print the first page only.
Canvas documents that contain many complex gradients do not print all gradients correctly when the Splash "Screened" print option is enabled for the job. Some gradients print with a patterned fill and the gradients are heavily stepped. If the document contains multiple pages the problem is more pronounced on later pages.
MacroMedia FreeHand Notes
When you use FreeHand, the paper size in the document setup, page setup, and print setup must all match. Use the Document Setup command to make sure the image is not off the page. If it appears off the page on screen, it will print off the page on the printer/copier. To change the print size and orientation, click the Change button in the print window.
FreeHand 4.0
There are several options available to the user in the FreeHand Print Dialog box. These are similar to features in other publishing applications, and a detailed description can be found in the FreeHand User's Guide.
"Print as:" selects printing a job as a composite file, or as color separations. When printing to Splash, select "Composite File."
The window at the bottom of the Print dialog box describes the current printer setting–determined by the currently selected PPD. Click the Print... button at the bottom left to change the printer settings.
Click the Select PPD… button to change the information. The "Open PPD" dialog appears. Select the Splash PPD for your model of printer/copier, then click OK.
Once the Splash PPD is selected, the correct page sizes become available. Select the appropriate page size from the menu. Click "OK" to close the window.
In the Print dialog box, select "Output Options…". Be sure "Convert RGB Tiff to CMYK" is unchecked. This will produce results inferior to Splash color correction.
FreeHand 3.1 Notes
To change the printer type from the currently selected Apple LaserWriter, click and hold down the pop-up menu titled "Printer Type." A list of installed PPDs displays. Select the appropriate Splash PPD for your model of printer/copier and release the mouse button. If the Splash PPDs do not appear, consult the Splash Set-Up Manual or Splash Install Manual for information on installing the PPDs. Once the Splash PPD is the selected printer type, the proper paper size should be selected.
Optimized Screen
The "Optimized Screen" pop-up menu in the Print dialog box refers to the screen resolution of the output device. While this does not affect the output quality of images on Splash, it will affect the quality of blends created in FreeHand. For best results, use a resolution of 400 and a screen ruling of 200.
FreeHand 7.0 Notes
The "Automatic" Separations option does not work when you print a separations job to Splash with the LaserWriter 8.x driver. Splash prints one page for each separation plate in the document. Use the custom Splash driver to correctly print your separations document.
If you select 2-Up or 4-Up printing for a FreeHand document, the job prints the page borders only. The page contents do not print on the 2-up or 4-up job output.
If the printer/copier runs out of paper while printing a FreeHand document, Splash prompts you to add more paper to the tray, or cancel the print job. If you click the Cancel button to cancel the print job, FreeHand displays a second add paper message and then prints an "Error" page once you add paper to the tray. If your print job specified multiple copies, FreeHand transfers the page count to the "Error" page. This results in multiple prints of the error message page.
To print a job that uses the Splash Reverse Page Order option and the Print Selected Pages option, use the LaserWriter 8 driver instead of the custom Splash driver. If you print with the custom Splash driver, the last page of the job may not print.
With FreeHand 3.11, if you print an A3 size image with the Fit To Page option, Splash may print a blank sheet of paper.
The name "Tool Box" appears instead of the correct print job name in the print queue for FreeHand 3.1. This problem is caused by a design flaw in FreeHand.
FreeHand 7.x Grayscale Gradients Print With Stepping
If your FreeHand 7 documents print grayscale gradients with stepping, follow these steps to resolve the problem:
1. In FreeHand, point to the Preferences command in the File menu, then choose Import/Output in the Preferences submenu.
2. Under "Name of UserPrep file," type "SmoothRadsGrads.prp" then click OK.
3. Switch to the Macintosh Finder. (You do not need to quit the FreeHand application.)
4. In the FreeHand application folder, open the UserPrep Files folder.
5. Drag the file "SmoothRadsGrads.prp" into the FreeHand application folder (the .prp file must be in the same folder as the FreeHand application).
6. Return to the FreeHand application and print the file. (You do not need to restart FreeHand.) The grayscale document prints with smooth gradients.
FreeHand with LaserWriter 8.x Driver
The n-up printing feature is not supported with FreeHand and the LaserWriter 8.x printer driver.
Microsoft Excel Notes
Due to a problem caused by Microsoft Excel PostScript generation, an Excel print job may return to the Splash print queue with an error, although the actual job successfully prints. If this happens, delete the errored job from the Splash queue.
Microsoft Office Notes
If you experience problems printing from Microsoft Office applications with the custom Splash driver, use the LaserWriter 8.3.x (or later) driver instead.
Microsoft PowerPoint Notes
PowerPoint documents that contain a large number of fonts on a single page (in excess of 35 fonts) do not print when you use the LaserWriter 8 driver. The job is not processed or printed by the Server and disappears from the print queue. Use the Splash driver, or reduce the number of fonts on the page.
QuarkXPress Notes
Splash Reverse Order Printing Option Not Supported
The Splash Reverse Page Order print option is not supported for QuarkXPress print jobs. Use the QuarkXPress "Back to Front" print option instead of the Splash print option.
Exception: If the print job has an odd number of pages and the Splash "Duplex" print option is selected, select both the Splash "Reverse Page Order" option and the QuarkXPress "Back to Front" option to print the job correctly.
Landscape LEF Jobs Rotated
When you print a job with Landscape orientation and an LEF paper size selected, the output is rotated 180 degrees. To avoid this, choose Options in the Page Setup dialog box then select "Flip Horizontal" and "Flip Vertical" under Visual Effects before you print the job.
QuarkXPress 3.1 Print Job With LaserWriter 8 "Color Correction/ Grayscale" Option Selected Causes Error
If you print a QuarkXPress 3.1 document with the LaserWriter 8 driver do not select the "Color Correction/Grayscale" print option. This option causes the job to return to the print queue with a PostScript error. Choose the "Color/Grayscale" print option instead. This problem does not occur with QuarkXPress 3.3.
Index
A
Adobe Illustrator 34, 55, 56, 57
Adobe PageMaker
auto page select 17
bitmapped fonts 55
notes 58
separations 34
Adobe Persuasion 56
Adobe Photoshop
bitmapped fonts 55 color separation tables 43 notes 59
Adobe Separator 34
Automatic Grayscale Detection 9, 10, 37
Automatic tray selection 27
AutoSelect 17
CMYK/RGB mixed color files 39
Collate options 29
Color Central Lite 10
Color correction 25, 39
Color Model 10
Color options 24
Color printing 24
Color separation tables for Adobe
Photoshop 43
ColorCal 40
ColorSync color matching 20
ColorSync profiles for Splash 42
Contone printing option 24
Corel Draw notes 60
Custom color correction 26
B
D
Bitmapped fonts 55
Bypass Tray 27
C
Canceling a print job 47, 51
Choosing color correction 25
Client Macintosh software installation 7
CMYK Press color correction 26
DCS files, printing 34, 55
Deleting a print job 47, 51
Deneba Canvas notes 61 separations 34
Direct TCP/IP 12
Drop folder 38
Duplex printing 31
E
EFICOLOR interferes with Splash color correction 41
Enable Separations 34
Enhanced color correction
Euroscale color correction
F
Fonts for printing
bitmapped 55
9
Full bleed printing
G
Gamma options 25
Graphics rendering style 25
Graphics, printing 9
Grayscale detection 9,
Grayscale printing
10,
24
H
Heavy weight paper 28
Hold status for a print job
I
ICC color profiles 42
,37
37
47,
26
26
56
51
L
LaserWriter 8 driver
Splash print options multiple tray feature
Layout 21
LEF paper options 9
M
Macintosh Client driver installation
MacroMedia FreeHand notes
bitmapped fonts 55
patterned fills 56
61
separations 34
Manual feed tray 28
Margins, printer 15
Memory requirement (RAM)
Microsoft Excel 64
Microsoft Office 64
Microsoft PowerPoint 64
More Blue whitepoint option 25
More Yellow whitepoint option 25
N
Network Install folder 8
Networking hardware and software
17
17
5
7
5
O
Original Image Type 35
P
Page ranges, printing 17
Page Setup, LaserWriter 8 13
Paper size, selecting 14
Paper Source 17
Pass Through profile 42
Patterned fills in documents 56
Photographic originals 35
Photographic rendering style 25
PostScript color matching 20
PostScript file, printing 38
Print job priority 47, 51
Printer margins 15
Q
QuarkXPress and Splash color correction 41 bitmapped fonts 55 notes 64 separations 34
R
RAM requirement 5
Required hardware and software
Index
5
RGB color correction 24
RGB/CMYK mixed color files 39
S
Save as TIFF 38
Save Spool File 33
Screened printing option 24
Separations print option 34 with cover page 35
Sorter options 29
Special Heavy Paper 28
Splash color options 24
Splash ColorCal 40
Splash Macintosh Client driver, installing 7
Splash Network Install folder 8
Stacker options 29
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CONVERSATIONS WITH EXPERTS ON THE FUTURE OF CENTRAL AMERICA
Summary Report
Diana Villiers Negroponte Alma Caballero Consuelo Amat
Introduction
Between May 2011 and March 2012, four public events on trade and insecurity, migration and remittances, infrastructure and energy, and climate change and natural disasters took place at the Brookings Institution, thanks to a partnership with the Central American Bank for Economic Integration (CABEI, or BCIE in Spanish). Experts from the region brought their perspective on challenging subjects and engaged in spirited discussions both with fellow panelists and the audience.
legal situations. They remitted a large portion of their salaries back home, providing 20.2 percent of GDP in Honduras and 17.5 percent in El Salvador. These remittances have provided major economic and social support for Central Americans, as well as a safety valve permitting the young to escape unemployment and underemployment in their own nations.
The most challenging issue is how to develop the physical and human infrastructure to enhance growing intra-regional trade and exports to the hemisphere, as well as the traditional U.S. market. Preferential export regimes and expanding maquiladoras have produced double-digit export growth in most Central American countries. But this growth is accompanied by increased criminal violence and gang warfare that depletes citizen's trust in their respective governments and is estimated to cost 8-9 percent of GDP per year. If Central America can work as a region to stimulate trade, surely it can develop regional projects to counter trans-national criminal organizations and protect the young men and women whom they prey on.
Despite economic growth, the push to migrate northward remains. In 2010, 3 million Central Americans resided in the United States with widely different
The economic potential of Central America will not be realized until infrastructure in ports, roads, electrical grids, and broadband connectivity is accomplished. Greater use of bond markets and means to access long-term capital finance is needed to pay for much needed infrastructure. Currently, less than 2 percent of GDP is dedicated to physical infrastructure. At 5 percent of GDP and with international financing from multilateral organizations and publicprivate partnerships, prospects improve for accomplishing regional infrastructure projects with close oversight to ensure effective and transparent use of funds. The private sector is an indispensable player in this area, providing investment, technology, management, and training.
An electrical grid exists among six Central American nations, permitting the transmission, sale and purchase of electrical energy under the supervision of the Regional Operating Entity. This permits the sale of excess energy supply to areas with a deficit of electricity. Currently missing is the agreement of
participating governments to enter into long-term contracts. In 2012, with the extension of the electrical grid to both Mexico and Panama, the private sector has greater incentive to participate in a more robust and larger market with economies of scale. This should benefit an effective regional energy market.
national to regional, the EWS demonstrates the need to address the problems of the isthmus at a regional level with outreach to experts from around the world.
Finally, situated between the Pacific and Atlantic oceans, hurricanes, earthquakes, floods, and volcanoes have led, in recent years, to more than 50,000 deaths and the displacement of over 10 million people in the seven Central American countries. Central America is not to blame for the rise of CO 2 because it produces less than 5/1000 of green house gas emissions. However, it bears the brunt of climate change brought about by large industrialized emitters. Regionally, the intensity of climate change-related disasters has increased by 5 percent a year. To meet this challenge, a scientific and technical perspective is needed. Also, governments need to develop comprehensive strategies which take into account tourism, coastal projects, shelter management, and erosion. The creation of Early Warning Systems (EWS) in Guatemala are applauded to bring scientific and management skills to the problems of food shortages, hazardous materials and natural disasters. From
The Brookings Institution wishes to express its gratitude to CABEI for its partnership in bringing these important issues before a Washington audience and stimulating the exchange of ideas among policy makers.
This report contains the principal points and conclusions from four events on the politics, and economic and social development of Central America held at the Brookings Institution in partnership with the CABEI in 2011 and 2012. The ideas contained here, although not attributed in the text to individual experts, came from the panelists, moderators and keynote speakers of these events. Their remarks are their own and do not reflect the opinions of CABEI. This report is organized by event and identifies three areas: general overview of the topic, main challenges, and policy recommendations.
Below is the list of events summarized in this report, including the names of participants, arranged in alphabetical order. 1 To listen to the event recording, visit the links provided.
"A Conversation on the Future of Central America: The Challenges of Insecurity and Trade"
Date: May 20, 2011
Time: 8:30 AM - 1:00 PM EDT
Location: The Brookings Institution, 1775 Massachusetts Ave., N.W., Washington, DC
Participants:
Laura Chinchilla, President of the Republic of Costa Rica
Mauricio Cárdenas
, Senior Fellow and Director of the Latin America Initiative at Brookings
Nick Rischbieth, President of the Central American Bank for Economic Integration
Carlos Castresana
Kevin Casas-Zamora, Senior Fellow at Brookings
Nations International Commission against Impunity in Guatemala
, Attorney General of the Supreme Court of Spain and Former Head of the United
Diana Villiers Negroponte
, Nonresident Senior Fellow at Brookings
Enforcement Affairs at the U.S. Department of State
Brian Nichols, U.S. Deputy Assistant Secretary of State at the Bureau of International Narcotics and Law
Albert Ramdin
, Assistant Secretary General at the Organization of American States
Event website:
http://www.brookings.edu/events/2011/05/20-central-america
1 Listed here are the participants' titles and institutional affiliations at the time when the event took place.
"The Future of Central America: Challenges and Opportunities of Migration and Remittances"
Date: September 29, 2011
Time: 8:30 AM - 1:00 PM EDT
Location: The Brookings Institution, 1775 Massachusetts Ave., N.W., Washington, DC
Participants:
Juan José Garcia
Kevin Casas-Zamora, Senior Fellow at Brookings
Manuel Orozco, Senior Associate and Director of Remittances and Development at the Inter-American Dialogue
, Deputy Minister of Foreign Affairs for Salvadorans Living Abroad
Sonia Pellecer, Professor of Sociology and Migration Studies at the Rafael Landívar University in Guatemala
Julissa Reynoso, U.S. Deputy Assistant Secretary of State for Central American and Caribbean Affairs at the U.S. Department of State
Ricardo de Puerta
, Professor of Sociology at the Catholic University of Honduras
Pablo Rodas, Chief Economist at the Central American Bank for Economic Integration
Neil G. Ruiz
Nestor Rodriguez
, Professor of Latin American Studies at the University of Texas, Austin
Audrey Singer
, Senior Fellow at Brookings
, Senior Policy Analyst at Brookings
Aaron Terrazas, Policy Analyst and Project Manager for the Regional Migration Study Group at the Migration Policy Institute
Event website: http://www.brookings.edu/events/2011/09/29-central-america
"A Conversation on the Future of Central America: The Challenges and Opportunities of Infrastructure and Energy"
Date:
December 1, 2011
Time: 9:00 AM - 1:00 PM EDT
Location: The Brookings Institution, 1775 Massachusetts Ave., N.W., Washington, DC
Participants:
Hugo Beteta, Sub-regional Director at the United Nations Economic Commission for Latin America and the Caribbean
Kevin Casas-Zamora
, Senior Fellow at Brookings
Charles K. Ebinger, Senior Fellow and Director, Energy Security Initiative at Brookings
Karla Hernández, Regional Manager at the Central American Electrical Interconnection System, Empresa Propietaria de la Red
José W. Fernández, Assistant Secretary of State for Economic, Energy, and Business Affairs at the U.S. Department of State
Maria Lorena López, Vice Minister of Public Works and Transportation at the Republic of Costa Rica Johanna Mendelson Forman, Senior Associate, Americas Program at the Center for Strategic and International Studies
Álvaro Umaña, Senior Research Fellow at the EfD-Central America Tropical Agricultural Research and Higher Education Center and Former Costa Rican Minister of Energy and Environment
Pablo Rodas
, Chief Economist at the Central American Bank for Economic Integration
Event website: http://www.brookings.edu/events/2011/12/01-central-america-infrastructure
"The Challenges of Climate Change and Natural Disasters in Central America"
Date: March 29, 2012
Time: 9:00 - 11:00 AM EDT
Location:
The Brookings Institution, 1775 Massachusetts Ave., N.W., Washington, DC
Kevin Casas-Zamora, Senior Fellow and Interim Director of the Latin America Initiative at Brookings Juan José Daboub, Founding Chief Executive Officer at the Global Adaptation Institute José E. Deras, Chief Economist at the Central American Bank for Economic Integration Luis Alberto Ferraté, Senior Advisor at the Instituto Privado de Investigación del Cambio Climático in Guatemala
Pascal Girot
José María Figueres
, Chief Executive Officer at Concordia21 and Former President of Costa Rica
Katherine Sierra
, Senior Climate Change Advisor at CARE International
Walter Wintzer
, Coordinator, Preparedness and Response Program at the Center for Natural Disaster
, Senior Fellow at Brookings
Prevention in Central America
Event website: http://www.brookings.edu/events/2012/03/29-central-america-climate
The Challenges of Insecurity and Trade
Escalating waves of insecurity in Central America, as well as questions on the sustainability and benefits of free trade agreements, continue to pre-occupy the region. While it is too early to discern the long-term consequences of recent trade agreements on the societies in the region, we recognize that U.S. trade in Central America has become more prominent and that some economies have strengthened as a result. The United States exports three times as much to the region as it does to China.
Despite the challenges associated with the global economic downturn, two-way trade between the five Central American countries plus the Dominican Republic grew in aggregate by 37 percent after the Central American Free Trade Agreement (CAFTA-DR) was instituted. The diversification of Central American exports and further regional integration has also increased since the arrangement to open markets. Investment flows continue to rise, and more initiatives to support small- and medium-sized businesses (SMEs) exist.
2 See introduction for list of panelist participating in each session.
With the support of the Central American Bank for Economic Integration (CABEI), the Latin America Initiative at the Brookings Institution hosted a discussion with experts on the current and future prospects of Central America as it pertains to citizen security and trade. The program included a keynote address by Laura Chinchilla, President of the Republic of Costa Rica, and other experts. 2 Panelists offered evidence of rising criminal violence in the region and ways to contain it. They also made recommendations to deepen trade, as well as integrate effectively Central America into the world economy in ways that benefit the citizens of the isthmus.
With the rapid transformation that the region is undergoing in its relations with global trading partners, it is timely to discuss the intersection of trade and citizen security. While Central American citizens are benefiting from expanded intra-regional commerce and travel, their governments are not addressing sufficiently their common security problems.
4
ISSUES
CAFTA-DR was adopted gradually from 2005 onwards. It remains the region's most contentious free trade agreement due, in part, to U.S. participation. The political storm resulted in Costa Rica holding a popular referendum for the first time in the country's history to decide the fate of this trade agreement. Despite the controversy, panelists recognized that the origin of CAFTA-DR is more Latin than American. CAFTA-DR was not a U.S. idea; it was a Central American idea. The U.S. Congress passed this free trade agreement by only a slim margin, as U.S. lawmakers debated the consequences of imported agricultural and manufactured products on U.S. labor markets.
The impact of CAFTA-DR on Central American economies has yet to be felt. Some countries have not fully implemented the legislation. Nonetheless, most countries in the region have become more prosperous in the past decade. We note doubledigit export growth from almost every country in Central America, and even more from Nicaragua to the United States.
CAFTA-DR was built upon the Caribbean Basin Initiative (CBI) of 1983, with its expansion in 2000. The goal is to consolidate the preferential regime of exports and expand the maquiladora (assembly) industries. Together, the agreements provide dutyfree access to the U.S. market for most agricultural and manufactured products from the region. Some experts argue that the benefits of free trade have not trickled down to all citizens.
Regarding security, the good news is that civil wars in the isthmus have ended. The bad news is that crime is rampant and deteriorating in some countries. According to a recent Brookings report, intentional homicide rates in Belize, Nicaragua, and even Costa Rica, are on the rise. Homicide rates are higher in Honduras, Guatemala, and El Salvador, and there is little to indicate that the violence is under control. In addition to local organized crime and gang violence, efforts to control drug trafficking or- ganizations in Colombia and Mexico have pushed the cartel wars to Central America. In 2011, President Barack Obama identified a list of countries with the most significant drug trafficking problems in the world. Five of the seven identified countries are found in Central America.
The security crisis puts at risk the achievements that the region has made over the past two decades, namely an end to civil wars, modest economic growth and advancements in building democratic institutions.
KEY CHALLENGES
Distinct challenges exist regarding security and trade, as well as those in which the two issues interact.
Citizen Security
The panelists noted that violence within the region pre-dates the explosion of drug trafficking-related crime. However, both trans-shipment of illicit drugs and increased local consumption have exacerbated the problem. Plan Colombia and the various counterinsurgency campaigns in Colombia opened the door for Mexican cartels to take over the business that Colombians once ran. The Merida Initiative in Mexico, as well as the armed confrontation of the Mexican state against drug lords has forced traffickers to reorient efforts to Central America. Today, according to U.S. government sources, 70 percent of the drug supply to the United States goes through Central America and this percentage increases to over 80 percent if you exclude drug flows to Europe.
According to a 2009 Brookings report, the nations of the Northern Triangle have weak rule of law institutions, which exposes them to the cycle of violence and impunity. El Salvador, Guatemala, and Honduras suffer serious problems with juvenile gangs, a history of impunity, excessive use of force by the police and military, and trans-national drug cartels that take advantage of the minimal state presence in the Honduran region of La Mosquitia and the Guatemalan region of the Petén.
Compounding the problem is the fact that certain legal systems are not structured to protect citizens from criminals and non-state actors. For example, due to a history of civil war and state repression, the Guatemalan Constitution protects civilians from the state, not from criminal non-state actors. Due to persistent impunity and its history of civil war and state repression, the Guatemalan government sought the intervention of the United Nations and the creation of a U.N. Commission against Impunity in Guatemala (known by its Spanish acronym, "CICIG"). In its reports, CICIG recognized that courts and justices are politicized and only a few police departments and military units have yet been professionalized. CICIG reports that a corrupt, ineffective, underfunded, and politicized police force has earned the distrust of the population. It is therefore necessary to strengthen democratic institutions and the rule of law. The U.N. stands ready to help when invited by the respective national governments and legislatures.
A second and related structural problem is the lack of opportunity. Idle youth are prime targets for criminal gangs and drug trafficking cartels that lure them with money and other resources. Frustrated and bored young men, and some women, provide a virtually unlimited source of recruits. According to a 2011 World Bank report on insecurity in Central America, the low quality of public education, along with few job opportunities, contribute powerfully to the crisis of insecurity.
There are significant political costs to citizen insecurity. According to CICIG, authoritarian attitudes entrenched in society may surface, especially in places where democracy lacks deep roots. Citizens skeptical of their law enforcement agencies may take a cavalier attitude toward the rule of law, consequently weakening basic civil liberties. The proliferation of private security firms with scant state regulation is another byproduct of the government's sometime erroneous response to rising insecurity. Furthermore, drug traffickers have infiltrated both policymaking and the delivery of goods and services, previously provided by the state.
Finally, insecurity presents a substantial challenge for economic development. The vast majority of victims of violent death in Central America are young men between the ages of 15-29. It is estimated that the loss of human potential costs approximately 8-9 percent of GDP in several Central American countries.
Trade
Serious challenges exist to spur more and better quality trade:
Inadequate infrastructure limits trade significantly, and free trade agreements alone cannot overcome this hindrance. States need to invest in roads, ports, and broadband technology to make their products more accessible to the outside world as well as to intra-regional commerce. For example, even though Costa Rica receives relatively high levels of foreign direct investment (FDI) compared to its neighbors, it is competing with countries with more infrastructure and human capital, namely Israel and Ireland.
Insufficient development of human capital is another obstacle to more and better trade in Central America. A 2006 Inter-American Development Bank report indicated that educational attainment in reading and mathematics are among the lowest in the world. This has resulted in too few engineers and technical staff who are able to fulfill the tasks of the 21 st century knowledge economy. Call centers have difficulty finding proficient English speakers in many Central American countries. These deficiencies will take a generation to overcome, but focus on education must be given greater priority and resources. Together, the lack of infrastructure and human capital interact to produce perverse challenges.
Relatively low levels of FDI tend to concentrate on high-priced commodities and less on diversifying the economy.
Protectionist policies have also hindered trade. Some governments favor traditional agricultural and manufacturing sectors, and use trade as an
export platform rather than a two-way highway. Protectionist policies are based on a fear of external competition that could destroy major sources of income for the country and ratchet up unemployment.
POLICY RECOMMENDATIONS
A. Regional Security Cooperation
The security challenges that Central America confronts cross borders and require a regional response. Scaling up the U.S. government's Central American Regional Security Initiative (CARSI) would be positive, but these funds should not be spread too thin. Instead, they should focus on a few projects with catalytic effects. Also, any increase in U.S. counternarcotic assistance should be done in tandem with an increase in Central American tax contributions.
At the same time, the United States should rethink its counter-narcotics strategy. The war on drugs has failed and the region, along with the U.S. government, need to engage in an honest conversation about options. A U.S. policy of enlightened self-interest is needed for the region. U.S. support through CARSI and the broad range of programs dedicated to El Salvador are among the most positive regional efforts. Colombia and Mexico can also help by providing their expertise and lessons learned. It is also beneficial to coordinate with the EU, Canada, and other multilateral organizations.
The professionalization of the police and strengthening the capacity of law enforcement agencies should be a top priority for Central American governments. These efforts take time and funders, both domestic and international, need to remain committed to the long-term process of reform. Reformed police forces should carefully calibrate the balance between prevention and punishment in addressing drug trafficking. Also, improved use of intelligence and effective investigative police work is needed, while respecting human rights. In the opinion of the panelists, the use of mano dura (hard line) policies has proved to be counterproductive.
B. Trade Integration
On the trade and economic fronts, the long-sought effort to deepen sub-regional integration is taking place. CAFTA-DR has reinforced regional integration with rules of origin that allow greater accumulation of production between Central American producers using U.S. inputs. With increased harmonized rules of origin, the region has become globally more competitive by increasing co-production relationships, reducing delays at the border, and allowing for greater economies of scale in production. This relationship is evident in the production of integrated circuits, automobile parts, and apparel in which the U.S. ships parts for all these industries to the region for further processing. After assembly in Central America, these goods are later exported to the United States and elsewhere in Latin America. Unlike previous commodity-driven export growth, much of the region's trade reflects global supply chain manufacturing related to U.S. production and global consumption.
Nevertheless, the need to become more globally competitive and take fuller advantage of CAFTADR and CBI requires increased productivity and the adoption of complementary trade regulations within the region.
C. Smart Trade
Central American countries should consolidate their trading relationships by building strong bilateral relations with the countries with which they exchange goods and services. Enhancing competitiveness through promoting exports and investment incentives are key mechanisms to increase the benefits of free trade. Export diversifications, greater participation in global supply chains, and incentives for SMEs are among the policies that Costa Rica implemented with great success.
The growth in the export of agricultural goods and machinery, such as medical instruments and electrical goods from the five Central American countries, requires large scale and long-term investment
in infrastructure, containment terminals, the expansion of the telecommunications sector, and the digital agenda. An increase in electricity generation capacity and streamlined regulatory procedures would allow Central American countries to take full advantage of their geographical position and proximity to the world's largest market.
Also, beyond manufacturing for export, Central Americans should expand their participation in the service industry, such as call centers, and consolidate links with suppliers in the United States.
At the same time, it is important to question whether it is necessary to continue creating free trade agreements (FTAs). Why do we need more FTAs if countries can do well with trade promotion agreements? Or have we reached a plateau in terms of the number of FTAs? Will the next "path to prosperity" require the integration of all of these FTAs, knitting them together to make them more effective?
D. Labor Rights
The full protection and enforcement of labor rights is important to ensure the sustainability, political viability, and commitment to spur economic activity in the countries engaged. A good example was the U.S.-Colombia FTA. The efforts of President Juan Manuel Santos and President Barack Obama to develop a plan that expands the protection of union leaders and streamlines the judicial process to punish those who violate labor laws finally gained U.S. Congressional approval.
President Ricardo Martinelli of Panama negotiated a similar provision for the U.S.-Panama FTA. The agreement extended full collective bargaining rights to labor groups and other progressive labor policies. Moving forward on labor agreements within FTAs is very important for the U.S. administration as they level the playing field for U.S. workers and help achieve President Obama's goal of doubling U.S. exports by 2014. In order to make the benefits of FTAs more tangible for the people, the Department
8
of Commerce has created a web tool, http://export. gov/FTA. This site enables interested parties to look at any FTA partner and calculate the benefits in terms of tariff reduction, what year they take effect and other useful information. The Department of Commerce has also instituted a process of dialogue with various stakeholders, i.e. corporations, NGOs and civil society groups, to see what is working and what should be amended. Use of this website and dialogue should benefit Central American countries.
E. Societal Involvement, Education, Domestic Revenues, and Sustainability
Trade may facilitate economic development, but more is needed to solve problems such as rural poverty, governance, crime, and inequality. The panelists remained aware of the limitations of markets and judged their performance by national accomplishments. To ensure societal benefits from increased trade and open markets, business leaders, academics and policymakers need to be involved in the formation of public programs. Also, governments need to plan, initiate, and sustain sound programs. Sustainability is key.
Social investment in human capital, particularly youth education, is essential. The examples of Bogotá and São Paulo are notable. Both have insisted upon zero tolerance for crime and zero tolerance for social exclusion. While each nation and city must design projects that meet the cultural needs of their respective citizens, the models from Colombia and Brazil can help to design, develop, implement and monitor local programs of security and social inclusion.
Increases in fiscal revenue and tax collection are of utmost importance. Presently, Central American governments are not asking their wealthy citizens to contribute sufficiently, with the result that there are insufficient funds for the necessary public policies to protect citizens, raise educational levels, and promote economic growth. International aid, and specifically U.S. funds, can and does help, but the
principal political and economic investment should come from fiscal revenues within the countries.
Strengthening the rule of law and trusted democratic institutions is essential. Furthermore, avoidance of wholesale personnel turnover every time a new President and his political party enter into office is necessary to allow for nations to sustain key public policies. A degree of political and social stability is needed. It is no surprise that Costa Rica is doing better with increased commerce and economic integration. The nation had a head start of 30 years investing in the critical factors of production—labor, education, research, and effective public institutions. Intel Corporation moved to Costa Rica before CAFTA-DR and Hewlett-Packard followed. Costa Rica exemplifies the competitiveness that other Central American countries need to develop.
The Future of Central America: Challenges and Opportunities of Migration and Remittances
The recent history of Central America is marked by both the positive and negative consequences of migration and the ensuing remittances. Migration increased significantly during the 1980s as a consequence of the internal, armed conflicts in three countries of the region. After the countries achieved peace, migration continued at an even greater pace. The "American dream" and the precariousness of work in most of Central America created the pull-and-push factors that resulted in a stream of migrants to the north.
and the consequential remittances have supported local currencies, lowered interest rates, increased economic liquidity, reduced poverty, and social inequality, as well as increased consumption among the least favored social strata.
With the cooperation of CABEI, the Latin American Initiative at Brookings conducted a study on current and future prospects of Central American migration to the United States, the regional implications of the U.S. domestic debate on immigration, and the impact of remittances to the Central American isthmus.
More than 3 million Central Americans reside in the United States, holding distinct legal status. For sending nations prone to weak governance, public insecurity, natural disasters, and anemic economic growth, remittances sent by Central American migrants play a decisive role in driving economic dynamism and social change in their countries of origin.
Remittances in El Salvador and Honduras play a significant role in national production. Migration
2008 was the peak year for remittances in Central America, having reached $4.3 billion in Guatemala and $3.7 billion in El Salvador. In Honduras, remittances represented 20.2 percent of GDP. That year in El Salvador, they represented 17.5 percent of GDP. In Guatemala, 17 of 30 migrant households reported that remittances were the primary source of income. For one-third of migrant households, remittances account for 90 percent, or more, of their household income. In short, remittances continue to sustain families in several Central American countries.
The combination of remittances and migration has provided major economic and social support for Central America. Migration has provided a safety valve, permitting the young to escape unemployment and underemployment in their own nations.
ISSUES
Remittances have become the economic life vest for the region by reducing the economic and social problems of the region. For this reason, the nature
and evolution of the U.S. debate on immigration will likely have an outsize effect on Central America's development prospects. How might this debate affect the number of students enrolled in high school and higher learning, employment, and poverty levels? What might occur should the U.S. government terminate its Temporary Protective Status (TPS) which guarantees that a certain number of Central American citizens will not be deported, despite the irregularity of their immigration status?
KEY CHALLENGES
Role of the United States
The United States owes a great measure of its historical dynamism to immigration. According to the 2010 census, 1.2 million Salvadorians; 833,000 Guatemalans; 523,000 Hondurans; and 82,000 Costa Ricans live in the United States. Their earnings and the monies sent home have become the best safety net in Central American countries. Wages would be lower and economic informality, estimated to include more than 50 percent of the labor force in four of the seven Central American countries, would be higher if many workers had not migrated. The combination of migration and remittances has provided significant economic and social support for Central America. The 2008 U.S. recession affected the flow of remittances with a 9 percent fall year on year. This decline was due to the increased rate of Hispanic unemployment which grew from approximately 8 to 19.9 percent. Dependency on working in the United States proved to be risky, and Central American governments were warned against overdependence on the receipt of remittances.
Role of Mexico
Over half of the U.S. immigrants who come from the Northern Triangle of Central America lack legal status. Overwhelmingly, they reach the United States by crossing its southern border. However, these immigrants face extraordinary hardships as they cross through Mexico. Two journeys can be taken:
the shorter route from Tapachula in southwestern Chiapas, to Reynosa in Tamaulipas is approximately 1,700 miles. The longer route from Tapachula to Tijuana on the Pacific Coast is approximately 2,400 miles. Whichever route, migrants are subject to physical and sexual abuse, robbery, and murder from organized crime and drug traffickers who use migrants as donkeys to carry drugs and sell them as human beings to the highest bidder. As organized crime syndicates diversify out of drug trafficking, they impose an even greater risk on terrified, but determined Central American migrants. Their journey has become increasingly visible and bloody.
Furthermore, these migrants are vulnerable to brutality at the hands of several Mexican public security forces. The Inter-American Commission on Human Rights at the Organization of American States has documented the abuses committed to migrants. As a result, a natural "blame-game" arises in which Central American governments blame Mexico, and Mexico blames the United States.
Family Dynamism
Central America does not celebrate the migration of its people. Migrants are usually risk-takers with an enterprising spirit, and consequently their home countries lose vibrant and valuable human capital. The benefits offered by migration and remittances might be financially significant, but they present serious challenges to the region's family dynamics. Undocumented migrants risk everything to provide a better life for their families. Families are inevitably separated, often leaving their children behind. Central American families pay a heavy price as their families are torn apart.
Fathers and mothers living in the United States with little direct contact with their children face considerable challenges in keeping family cohesion. For this reason, many children of migrants have been lured into the youth gangs, known in El Salvador as the mara. The maras have found a seed-bed in the children of broken families and many of these
young people feel a sense of identity and collectivity by belonging to various illegal and violent groups.
The three countries of the northern Central American triangle—Guatemala, Honduras, and El Salvador—suffer among the highest rates of homicide and criminal violence in Latin America. However, the maras are not fully responsible for insecurity and family breakup. The lack of job opportunities, the presence of drug trafficking organizations, and lack of adequate social-safety nets also contribute to criminality and social weakness.
Cultural Dynamics
Today, the rejection of immigrants is a prevalent attitude in many industrialized countries. This attitude dismisses the hardworking and ethical contributions that many immigrants make to the receiving country. When talking of Central American migrants, the assumption arises that everybody from Honduras, Guatemala, and El Salvador is an undocumented immigrant. This opinion prevails, despite the fact that many Central Americans are admitted as legal immigrants.
The majority of Central American migrants contribute to the agriculture, manufacturing, and service sectors of many countries, especially the United States. Migration is a way of economic improvement due to the lack of opportunities within their home countries. Some migrants have lived in the United States for several years and have adapted to the lifestyle, language and U.S. culture. Moreover, many migrants do not return home because the cost of the journey in financial and personal risk is too high. Many have had to sell everything they once owned to pay their smuggler. Despite the negative sentiment that many in the industrialized countries have towards immigrants, it has not dramatically changed the desire of Central Americans to migrate to the United States. The motivation to migrate has not disappeared because the structural forces that generate migration have not gone away.
POLICY RECOMMENDATIONS
U.S. Immigration Policy
Despite widespread agreement that U.S. laws should be changed, there is little agreement within the U.S. Congress on how to achieve comprehensive immigration reform. Abundant and current data demonstrates that the number of police apprehensions is at an all-time low, which indicates that migration is also low. The data indicates that migration levels have slowed during the recession due to lack of jobs in the United States. However, despite the fact that police apprehensions have fallen, deportations from the U.S. are at an all-time high. This signifies the complex cultural attitudes and defensive political postures, if not racism, that exist within U.S. immigration policy. Addressing these vital questions is necessary if the federal government is to move toward a rational and balanced immigration policy.
For many years, those who opposed undocumented immigration focused on reducing the push factor in the sending country. Were quality jobs available to people in Central America, there would be less incentive to migrate in search of jobs and a decent livelihood. The U.S. government has made it harder to hire undocumented workers through its E-Verify program, but that has not yet reduced the need of Central Americans to look for work. Despite additional legal controls, migrants still seek work in the informal economy, where little social protection is afforded to them.
Remedial action must be taken at a federal level. In the last five years, the inability of the U.S. Congress to affect reforms has resulted in changes at the state level. Citizens in Georgia, Alabama and Arizona have drafted state laws to restrict the hiring and movement of undocumented migrants. The Supreme Court has since decided that only the federal government has jurisdiction over immigration laws, but to date the U.S. Congress has failed to move toward reform.
Regional Collaboration
It is vital for Central American countries to collaborate with each other, and with Mexico, on migration issues. A successful example has been the joint Guatemalan and Salvadorian consular agency that opened in Acayucan, Veracruz in August 2011. The purpose of this bi-national consular agency is to address the migration issues of both Guatemalan and El Salvadoran citizens through diplomacy and regional collaboration. It also demonstrates wise and efficient use of public resources.
Also, greater collaboration between Mexico and the Central American governments to offer social services and information can provide direct benefit to both documented and undocumented migrants. Mexico's network of consulate-based adult education and health centers are increasingly being opened to Central Americans. Mexico's new migration law seeks to balance respect for human migrants, regardless of their legal status, and to facilitate the international movement of people, promoting labor market competition, and protecting national security. Implementation of this new law has yet to be tested.
Deportee Programs
The creation of reception centers for recently arrived deportees is a positive step. In El Salvador, an umbrella organization called Bienvenido a Casa has set up a reception center for deportees at the international airport near San Salvador. Strengthening the quality of these centers and creating new ones in the other Central American countries would orient immigrants on the current situation and laws, as well as the cultural expectations they will encounter. These centers can facilitate the cultural, social, and economic transition that most people face whenever they are deported. Also, they can provide training programs that will facilitate the returning process.
Presently, the majority of these centers are managed and funded by NGOs which often lack the economic means to keep up with the massive number of deportees. The role of civil society is welcome, but additional government funds through USAID will be needed if the U.S. administration resumes massive deportations.
The Future of Central America: The Challenges and Opportunities of Infrastructure and Energy
Central America is a region with great economic potential, but to improve productivity levels and achieve successful integration into the global economy, Central American countries must dramatically increase their investment in infrastructure. The isthmus could see further economic gains from investment in the power grid and the development of clean energy.
Future infrastructure and energy projects in Central America require comprehension of historical problems. The lack of adequate infrastructure goes back to colonial times and, in good measure, explains why the region has lagged behind other countries.
With the cooperation of CABEI, the Brookings Latin American Initiative conducted a discussion on the opportunities available in Central America, and the role of the public and private sector in the development of infrastructure and energy projects.
Perhaps the most valuable asset is the region's prime geographical location with easy access to two oceans and the largest market in the world. Furthermore, the isthmus is endowed with extraordinary bio-diversity and considerable potential for the development of alternative energy sources such as hydropower, geothermal energy, and solar energy.
ISSUES
How might Central America turn its assets into tangible prosperity? How might the region attract significant investments in infrastructure and energy? The region must become more competitive in getting its agricultural and commercial products to market as well as use its energy potential in a sustainable manner. Despite great potential for the generation of clean and alternative energy, the region risks moving in the wrong direction. Today, 45 percent of electricity is generated from oil, compared to two decades ago when 30 percent of the region's electricity was generated from oil. Why is the focus on developing alternative sources of energy relatively weak?
KEY CHALLENGES
Logistics
Among the seven countries of Central America, the logistical costs of generating energy are high, compared to other regions. Planning is conceived and prepared, but problems exist in the implementation, such as developments at Puerto Cutuco in El Salvador and Puerto Champerico in Guatemala.
Costs
Central American ports are, for the most part, inefficient. This may be explained by their small size and fewer ship visits. The result is that the average cost of transporting a container from China to Long Beach, Calif., is an average of $500 per ton, but the cost of transporting the same container from Guatemala is double. Central American ports are a prime example of how the lack of infrastructure affects competitive advantages despite the fact that regional per-capita income is one-third less than that in Asia. Furthermore, there is little competition to supply energy which cost per unit is relatively high.
Infrastructure
Lack of private sector investment in infrastructure can be explained by the following factors: regional political risks, weak Central American institutions, regulatory instability, and the lack of depth in financial markets. The region, as a whole, is not adequately investing in infrastructure projects. To meet demands for energy, Central American governments must invest 5 percent of GDP to meet the current demands for infrastructure. However, to become a competitive region and catch up with Asia, regional governments should invest 8 percent of GDP on infrastructure. Currently, financial and governmental institutions do not offer sufficient financial tools to spur investment in the region.
It is anticipated that energy demand will increase by 230 percent over the next two decades, but Central American citizens have the least access to energy opportunities, especially those in the rural areas.
Governments need to focus on the software (knowledge and regulations) of infrastructure development. Currently, infrastructure is developed to serve individual nations with capital cities holding political power. However, the national economies are small. Therefore, in order to achieve economies of scale, it is essential to integrate and harmonize regulations and knowledge throughout all countries of the isthmus.
Financial Markets
The recent economic crisis hit Central America hard because of its proximity and dependence on the U.S. economy, thus revealing the vulnerability of countries to a single dominant market. To recover the loss of the region's productivity and income growth, it is essential to focus more on infrastructure development. They should also seek efficiencies and optimize resources, maximizing every cent invested. Greater use of electronic communication would spur this efficiency.
To meet the need for long-term capital finance, the development of bond markets is necessary to develop needed infrastructure.
Studies have shown that the difference in income per capita between Latin America and Asia is due, in large part, to the lack of infrastructure. A 2002 study by the U.N. Economic Commission for Latin America and the Caribbean (ECLA) revealed that approximately one-third of the difference in incomes between Asia and Latin America is attributable to poor infrastructure. The study demonstrated the proportion of GDP required to meet Central American current demands and the amount needed to catch up with Asia.
Regional vs. National Interests
One of the major challenges that Central America confronts is the extent to which a regional vision competes with national priorities in the development of physical infrastructure. The development of harmonized rules and procedures has proved challenging. Perennial debate exists over regional versus national investments: If a country has one dollar to invest, will that dollar be invested in regional projects, or in projects which are politically and socially targeted for a specific country?
We should avoid generalizations. Panama is currently investing significant funds in the development of infrastructure; amounts way above the Latin American average. Guatemala and Costa Rica, on the other hand need to upgrade their investment positions. Necessary for regional development are regional investments in ports, roads, and broadband connectivity. These investments may not have immediate political payoff, but they envisage the country's future development and economic growth.
POLICY RECOMMENDATIONS
A. Increased Investment in Infrastructure
Since the 1980s, the average size of Central American investment in physical infrastructure has eclined from 4 percent to 2 percent. Returning to the higher level is essential to spur productivity, income, and growth. Investment in infrastructure will enable greater specialization and further economic integration. Several Central American nations are not fully integrated into the modern economy. Therefore, to promote social inclusion, as well as competitive enterprises, greater investment in infrastructure is required.
As an integral part of the multi-modal logistic process, Central America must work on a regional logistics strategy and plan for at least one all cargo transport and logistics center. The region also needs innovation, education, and planning with regards to logistics so that a comprehensive multi-modal cargo transport system can succeed.
B. Investment in the Power Grid and Clean Energy
The energy matrix of Central American countries depends excessively on the generation of thermal energy. Studies have shown that geothermal, wind, and solar potential for the region is critical, but largely underdeveloped. For this reason, Central America has the potential to transform its energy matrix. Currently, hydro-electric generation competes with allocation of water for other purposes. Water use is a highly sensitive subject for the communities that lie in areas where dams may be built. As a result, complex negotiations between investors, governments, and communities arise.
C. Public-Private Partnerships
In 2007, the public sector invested less than 0.6 percent of GDP in infrastructure. This inadequate sum requires the development of a holistic approach that involves national banks, development banks and the multilateral banks. The multilateral banks have developed financial instruments that provide satisfactory incentives. Used effectively and in coordination with national banks, integrated financial schemes can be used for the benefit of the Central American region. Previously, leaders in several countries believed that the private sector could provide a
significant share of the direct investment in the energy sector. While the role of the private sector is necessary, it is not sufficient. Governments play a vital role in the development and harmonization of regulations.
The private sector is a key driver of the economy in a few Central American countries, providing investment, technology, management, and training. Costa Rica has successfully demonstrated that development of alternative energy resources, such as the use of biomass, wind, hydro, and solar energy can occur successfully if planned in an intelligent way. The need for private finance makes it necessary for governments to collaborate with multilateral partners and access resources. Private sector participation in transforming the economy and generating growth is necessary. Nevertheless, this should be combined with government's commitment to transparency and its willingness to be held accountable for progress, or lack thereof, through audited and publicly released accounts.
D. The U.S. Role in Developing Energy Resources
Vast shale fields holding both oil and natural gas give rise to new opportunities for the region. The widening of the Panama Canal, due to be completed in 2014, raises new possibilities for trans-oceanic trade in liquefied natural gas (LNG), as well as petroleum products. If, as anticipated, the United
States becomes a major exporter of LNG, the benefits to Central American and Caribbean markets could result in lower energy bills.
The U.S. government should direct greater attention to Central America, beyond that currently given to security issues. Opportunities continue to exist for investment in maquiladora and agricultural enterprises based on the complementarities of geography, natural resources and wages. These investments could be expanded, and Central American governments should encourage private U.S. financing in their development of alternative and green energy supplies.
The U.S. government can assist Central American governments in their drafting of voluntary and flexible frameworks for energy and clean fossil fuels. To carry out this task, bankers, entrepreneurs, and development agencies in the region should come together to draft the framework and the implementing regulations. Washington can participate in the creation of new regional instruments focused on energy and renewable resources. The administration can build upon the dense relationships that already exist between the United States and Central America. These relationships, founded on personal and cultural ties, should now grow in a more responsible and flexible manner to address today's infrastructure and energy challenges.
A Conversation on the Future of Central America: The Challenges of Climate Change and Natural Disasters
With the generous collaboration of CABEI, the Latin American Initiative at Brookings conducted a study on the vulnerability of Central America to natural disasters and climate change. The region has a long history of natural disasters, many of which are being exacerbated by extreme climatic events. In a region of small, lesser developed and vulnerable economies, the effects of climate change can be more severe and visible. This raises practical policy issues, as well as ethical questions.
Climate change is a multiplier, an intensifier, and a magnifier of the existing social, economic, developmental, and territorial problems. Global climatic changes have harmed the quality of human life. It has become a problem for nations and human
security. Extreme weather events pose developmental challenges to many regions, including the isthmus of Central America, geographically positioned between great oceans.
ISSUES
The Central American region lies between, and is affected by, the Pacific and Atlantic oceans. Consequently, shifts in oceanic currents can have devastating effects on nations with small economies and relatively weak government systems. In recent years, earthquakes, floods, and volcanoes have led to more than 50,000 deaths and the displacement of over 10 million people in the seven countries that make up Central America. The disruption of economic activity and costly reconstruction efforts create a heavy economic burden, debt and the exclusion of those living in vulnerable geographic areas.
Regionally, climate change-related disasters have increased by 5 percent a year. In the past 20 years the numbers of hurricanes to hit the isthmus have increased five-fold and floods have trebled. Given the region's propensity to suffer from natural disasters, there is a serious need to improve regional cooperation in risk management.
KEY CHALLENGES
Economic Concerns
The economic costs of natural disasters are colossal. In 1998, Hurricane Mitch, with maximum sustained winds of 180 mph was, arguably, the worst disaster ever to hit Central America, with an estimated cost of close to $16 billion. The cost of rebuilding basic infrastructure and tackling the social consequences imposes a heavy burden on national governments where close to 50 percent of the population lives in poverty.
At a global level, the cost of adapting to climate change through "adaptation-related techniques" is estimated broadly at $30 to $100 billion per year, for the next 25 years. Of that amount, Central America needs approximately $1 billion per year for the next 25 years to solve adaptation-related matters. This is beyond the capacity of the regional governments which are characterized by high levels of poverty, as well as scarce access to services and resources. Additionally, many Central American countries suffered from the hemispheric economic crisis which makes it even harder to achieve a balance between what is politically viable and what is economically realistic.
Political Concerns
Central American governments are known for distinct political systems and pervasive insecurity with negative consequences for private investments. Despite a history of political resilience, the region has yet to make its mark with innovation and creativeness; necessary motors to overcome national problems. Within governments, the role of science has yet to be fully understood. Few scientists have become part of the Central American decision-making projects. Consequently, a scientific and technical perspective is missing from individual country projections and political outlooks. Furthermore, the distribution of government resources has not been shared in a sustainable manner, and distinct investment regimes exist for investment in coastal projects and tourism.
Social and Ethical Concerns
Food, agricultural land, water, and coastal protection are among the sectors that Central American countries must use efficiently. The misuse of these resources demonstrates civil society's lack of knowledge and tolerance for risky behavior rather than systematic prevention and preparedness.
Central America contributes next to nothing in levels of CO 2 . It is a region that has become a victim of climate change by producing less than 5/1000 (five of a thousandth) of green house gas emissions. However, it is a region that bears the consequences
of climate change. Thus, an ethical concern arises among the Central American countries which bear environmental costs caused by large industrialized emitters.
Geographical Concerns
Most of the Central American region has been drastically damaged by hurricanes, earthquakes, volcanoes, and even annual rainy seasons. It lies in one of the most vulnerable geographic areas of the world, exposed to the serious effects of climate change and the hurricanes that initiate in both the Atlantic and Pacific oceans.
POLICY RECOMMENDATIONS:
The Intergovernmental Panel on Climate Change (IPCC) has suggested that rising temperatures are the result of personal consumption habits and exclusionary systems that fail to respect the laws of nature. Disasters are generated by human behavior. The challenge of mitigating and adapting to the effects of climate change offers Central America valuable opportunities to develop new economic sectors.
Public-Private Partnerships (PPP): Regional governments should create an environment for collaboration with the private sector in order to spur investments through the following actions:
* Focus on land-use planning, urban planning and water-saving technology;
* Introduce early warning systems and regional risk-reduction systems;
* Encourage land-use, agriculture, and water management that can reduce the risks generated by climate change and natural disasters;
* Develop water and energy efficiency methods that demonstrate national and regional commitments to mitigate the effects of
natural catastrophes. In turn, these should attract green and sustainable investments in the region;
* Discourage the region's reliance on carbonand coal-fueled electricity. Improve wood stoves and reduce coal-related energy to produce electricity;
* Encourage investment in alternative energy sources, particularly within the rural areas;
* Introduce water-saving technologies for use in agriculture and the urban sector. Several parts of the region use water in an excessive and inefficient manner. For example, a cross-subsidy system exists for the distribution of water resulting in a stateowned enterprise that improperly exploits water: 70 percent of the water is used for irrigation, 20 percent for industrial purposes, and only 10 percent for human consumption;
* Encourage SMEs to invest in adaptationrelated techniques;
* Promote PPPs through concessions for investment in infrastructure and water-energy saving techniques; and finally,
* Introduce correct incentives to attract investments that will minimize the vulnerabilities to environmental degradation.
Education
Improving citizen's awareness and knowledge, at both political and technical levels, in order to harmonize, design, and implement early warning systems throughout the region. This can be carried out through private institutions created to educate both public officials and citizens. The first private Institute for Climate Change Research (ICC) was created in Guatemala in 2011 with the purpose of preparing and educating scientists, journalists, and citizens, including environmental economists. The
Institute has invested in adaptation and mitigation measures, in particular as they affect the sugar and hydro-electric sectors.
The first doctorate in climate change in Latin America was instituted at the Universidad de San Carlos de Guatemala (USAC). A component of the climate change program studies ancestral and traditional knowledge derived from the Mayan indigenous people who withstood more than two periods of drought. By using adaptation techniques, the Mayan people survived one drought lasting 23 years and a second lasting seven years.
Regional Diplomacy
Some regional governments have excessive regulations, others have no regulations, and some have good but insufficient regulations. For this reason, Central American countries must work in a unified way to solve the problems that ultimately affect and threaten the whole region. Governments must encourage citizens, NGOs and the private sector to collaborate and face the issue of climate change together.
In food management, 40 percent of the food in Central America is lost due to inadequate storage and transportation. Regional government should work together in a multilateral setting to accomplish change and improvements at both the municipal and regional levels.
International corporations worked with the Guatemalan government to create a Mesoamerican Food Security Early Warning System (EWS). This helped to avoid any deaths during the October 2005 hurricane season. This EWS advocated the importance of creating a comprehensive policy for risk reduction management to include humanitarian assistance, warehouse management, hazardous materials, shelter management, and early warning systems. Ideally, this system should be inter-sectorial. Guatemala also established a Conflict Early Warning System between 2006 and 2008. It is to be hoped that these examples of inter-societal and regional cooperation might continue to be funded.
CONCLUSION
Central American governments should support investment opportunities and advocate a climate change strategy at the local, national and regional level with specific policies, plans, and programs.
ABOUT THE AUTHOR
Diana Villiers Negroponte is a nonresident senior fellow with the Latin America Initiative under the Foreign Policy program at Brookings. Her work is devoted to research and writing on Latin America, with particular emphasis on Mexico and Central America.
Alma Caballero and Consuelo Amat served as research assistants on this project.
ACKNOWLEDGEMENTS
The Brookings Institution wishes to express its gratitude to CABEI for its partnership in bringing these important issues before a Washington audience and stimulating the exchange of ideas among policy makers. We also extend our warm appreciation to senior fellow Kevin Casas-Zamora for his critical role in launching and overseeing the project, and for his leadership of the Latin America Initiative. Our thanks as well to Diana Caicedo, who was instrumental in organizing the four events.
Brookings recognizes that the value it provides to any supporter is in its absolute commitment to quality, independence and impact. Activities supported by its donors reflect this commitment, and the analysis and recommendations of the Institution's scholars are not determined by any donation.
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The Impact of Methamphetamine on Children
A Bibliography
© 2006, 2014, 2016, 2021, 2024 National Children's Advocacy Center. All rights reserved.
Preferred citation: National Children’s Advocacy Center. (2024). The Impact of Methamphetamine on Children: A Bibliography. Huntsville, AL: Author.
This project was supported by a grant awarded by the Office of Juvenile Justice and Delinquency Prevention, Office of Justice Programs, U.S. Department of Justice. Points of view or opinions in this document are those of the author and do not necessarily represent the official position or policies of the U.S. Department of Justice.
Introduction
Use of methamphetamine has increased rapidly throughout the United States. The ease of synthesis from inexpensive and readily obtainable chemicals has led to the rampant increase in abuse of this drug. Data from the National Clandestine Laboratory Seizure System, there were 1,660 children affected by or injured or killed at methamphetamine labs during calendar year 2005, down from more than 3,000 in the three previous years (U.S. White House Office of National Drug Control Policy, 2006). Children who live at or visit drug-production sites or are present during drug production face a variety of health and safety risks, including inhalation, absorption, or ingestion of toxic chemicals, drugs, or contaminated foods that may result in nausea, chest pain, eye and tissue irritation, chemical burns, and death; fires and explosions; abuse and neglect; and hazardous lifestyle (presence of booby traps, firearms, poor ventilation). In addition, there are many social issues involved that potentially put children from these environments at risk. The binge-and-crash pattern of using this drug makes it difficult for parents who are users to meet even the basic needs of their children. Children are often not properly supervised. Meals may be forgotten for days at a time while the user is on a binge or in a crash. School problems, criminal behavior, and social isolation can develop for these children. Users of methamphetamine often become paranoid, frustrated, or can be hallucinatory. These behaviors can lead to violence against anyone who happens to be nearby; unfortunately, this is often the child in the home. While on a binge, the user can feel a heightened sexual drive. This can lead to sexual abuse, and children in the home are easy and convenient targets.
Scope
This bibliography pertains to the impact methamphetamine has on child welfare, including the issues that arise from caregiver use of this drug as well as its direct effects on children.
Organization
Publications include books, book chapters, reports, research briefs, and articles and are listed in date descending order. Links are provided to full text publications when possible. However, this
collection may not be complete. More information can be obtained in the Child Abuse Library
Online.
Disclaimer
This bibliography was prepared by the Digital Information Librarians of the National Children's
Advocacy Center (NCAC) for the purpose of research and education, and for the convenience of our readers. The NCAC is not responsible for the availability or content of cited resources. The
NCAC does not endorse, warrant or guarantee the information, products, or services described or offered by the authors or organizations whose publications are cited in this bibliography. The
NCAC does not warrant or assume any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed in
documents cited here. Points of view presented in cited resources are those of the authors, and do not necessarily coincide with those of the NCAC.
Page 4 of 32
May 2024
The Impact of Methamphetamine on Children: A Bibliography
The Impact of Methamphetamine on Children
A Bibliography
Singh, R. R., Peterson, J. M., Chapman, J., & Saldana, L. (2024). Swimming against the current: addressing community needs and establishing partnerships for the prevention of opioid and methamphetamine use among parents. Prevention Science, 25(1), 193-198. DOI:10.1007/s11121-023-01602-5
The opioid and methamphetamine crises in Oregon have a consequential impact on young families, as an increasing number of parents experience substance use disorder (SUD). As parental substance use escalates, the child welfare system (CWS) becomes overwrought with families who have complex needs. The burden placed on families and on the CWS indicates a need for prevention and treatment interventions for parental SUDs. In response to the worst statewide opioid and methamphetamine epidemics in the USA, a Hybrid Type 2 trial of PRE-FAIR—a prevention intervention for parents—is being implemented in five Oregon counties. Establishing strong partnerships within the communities helped identify the need to implement the evidencebased FAIR treatment model alongside PRE-FAIR. A strong focus on implementation includes meeting the needs of communities and establishing the infrastructure necessary for sustainment of the FAIR programs at the provider agencies. Despite implementation efforts to direct toward PREFAIR referrals, parents in need of treatment are being referred at a disproportionate rate, as are older parents who fall outside of study-eligibility. Both challenges have delayed the ability to enroll a sufficient number of participants for the prevention trial. This commentary describes the impact of the opioid and methamphetamine epidemics in Oregon as the crises relate to implementing prevention versus treatment interventions—highlighting the importance of addressing community needs and establishing strong partnerships, which has allowed creative strategies to increase PRE-FAIR recruitment.
Sieger, M. H. L., Becker, J., Nano, X., & Brook, J. P. (2022). Predicting substance use treatment completion & reunification among family treatment court-involved parent–child
dyads. Journal of Public Child Welfare,16(2), 272-294.
DOI: 10.1080/15548732.2021.1876807
Through intensive, treatment-focused interdisciplinary practice, family treatment courts (FTC) offer a speedier pathway to reunification for families with substance use disorder in the foster care system compared to traditional settings. Less is known regarding differences in outcomes among FTC participants on the basis of clinical risk and need characteristics. We analyzed parent–child dyads in a rural Midwestern FTC program to understand the effect of these key variables on successful treatment completion and family reunification. Results revealed that treatment completion was more likely for parents who reported greater frequency of methamphetamine use in the 30 days prior to treatment entry and less likely for parents who reported more trauma symptoms. Longer time to treatment start from child removal date was associated with a very small increased likelihood of treatment completion as well. Reunification was significantly more likely for parents employed at treatment entry and those who spent more days in treatment. Reunification was less likely for parents who reported more social support and more trauma symptoms at treatment entry. Taken together, these findings suggest that FTC are effective for parents with methamphetamine use disorder, but may see improved outcomes when providing increased supports for parents with severe trauma symptoms.
Oni-Orisan, O. O., Dansereau, L. M., Marsit, C. J., Smith, L. M., Neal, C. R., Della Grotta, S. A.,
Padbury, J. F., & Lester, B. M. (2021).
DNA methylation in children with prenatal methamphetamine exposur
eand environmental adversity. Pediatric Research, 89(5),
1152-1156. DOI:10.1038/s41390-020-1058-4
Methamphetamine (MA) use during pregnancy is a significant public health concern in the United States and affects long-term brain and behavioral development in children. We hypothesized that prenatal MA exposure would be related to greater DNA methylation of HSD11B2 and postnatal environmental stress. The Infant Development, Environment, and Lifestyle Study (IDEAL), a longitudinal study of prenatal MA exposure enrolled mother−infant dyads in California, Hawaii, Iowa, and Oklahoma. Prenatal exposure was defined by maternal self-report and/or meconium toxicology screening. At ages 10–11 years, 100 children were assessed for drug exposure and DNA methylation of HSD11B2. Hierarchical linear models were used to determine the association between prenatal MA exposure and methylation of HSD11B2 at four CpG sites. Prenatal MA exposure (1.4% vs 0.31%, P < 0.01) and early childhood adversity (3.0 vs 2.0, P < 0.01) were associated with greater DNA methylation of HSD11B2 at the CpG2 site. The statistically significant effects of early childhood adversity (B = 0.11, P < 0.01) and prenatal MA exposure (B = 0.32, P = 0.03) on DNA methylation remained after adjusting for covariates. Prenatal MA exposure is related to postnatal childhood adversity and epigenetic alterations in HSD11B2, an important gene along the stress response pathway suggesting prenatal and postnatal programming effects.
Wright, J., Symons, B., Angell, J., Ross, K. E., & Walker, S. (2021).
Current practices underestimate environment
al ex posures to methamphetamine: Inhalation exposures are
important. Journal of Exposure Science & Environmental Epidemiology, 31(1), 45-52.
DOI:10.1038/s41370-020-00260-x
Current practice for determining the exposure to methamphetamine in contaminated homes relies on the analysis of surface wipe sample to address direct contact exposures. The movement of methamphetamine into the air phase, and the potential for inhalation exposures to occur within residential homes contaminated from former clandestine manufacture or smoking of methamphetamine has been generally poorly 7haracterizin and understood. All available riskbased guidelines for determining safe levels of methamphetamine in residential properties do not include any consideration of the inhalation pathway as an exposure route. This study showed that methamphetamine can readily move from contaminated materials in a home into the air phase. This movement of methamphetamine into the air phase provides both an exposure pathway and a mechanism for the transfer of methamphetamine throughout a property. The inhalation exposure pathway has the potential to result in significant intake of methamphetamine, adding to dermal absorption and ingestion exposure routes. Guidelines that are established for the assessment of methamphetamine contaminated properties that ignore inhalation exposures can significantly underestimate exposure and result in guidelines that are not adequately protective of health. This study also demonstrates that sampling methamphetamine in air can be undertaken using commercially available sorption tubes and analytical methods.
Chen, T., Spiller, H. A., Badeti, J., Funk, A. R., Zhu, M., & Smith, G. A. (2020).
Methamphetamine exposures reported to United States poison control centers, 2000–
2019. Clinical Toxicology,59(8), 705-714. DOI:10.1080/15563650.2020.1861287
The objective was to investigate characteristics and trends of methamphetamine exposures reported to United States (US) poison control centers. Data from the National Poison Data System were analyzed. From January 1, 2000 through December 31, 2019, US poison control centers
The Impact of Methamphetamine on Children: A Bibliography
managed 54,199 cases involving methamphetamine as the first-ranked substance. Adults 20– 39 years old accounted for more than half (56.3%) of cases. There were 1,291 deaths, of which 43.0% involved multiple-substance exposures. Among multiple-substance exposures in which methamphetamine was the first-ranked substance, stimulants and street drugs (excluding methamphetamine) were most commonly also present (22.7%), followed by opioids (19.0%). The substance class associated with the most fatalities was opioids (n = 243, 26.6%). The rate of methamphetamine exposures per 100,000 US population increased from 0.6 to 1.1 from 2000– 2005, then decreased from 1.1 to 0.4 from 2005–2007, followed by an increase from 0.4 to 2.6 from 2007–2019. From 2007–2019, the rate significantly increased in all US regions, and among all age groups, except among 6–12-year-olds. Also, the rates of single-substance and multiplesubstance exposures each increased significantly (both p < 0.0001) from 2007–2019, as did the overall methamphetamine fatality rate per 100,000 US population (0.0036 to 0.022, p < 0.0001). From 2000–2019, the proportions of cases resulting in admission to a health care facility and serious medical outcome increased from 30.2% to 47.8% (p < 0.0001) and from 37.6% to 54.0% (p < 0.0001), respectively. The rate of exposure to methamphetamine in the US declined initially following passage of the Combat Methamphetamine Epidemic Act of 2005. However, since 2007, the rate and severity of exposures to methamphetamine have increased, primarily driven by individuals 20 years or older. Increased prevention efforts are needed, including prevention of methamphetamine initiation among adolescents and young adults, improved access to effective treatment for co-occurring mental health and substance use disorders, and prevention of unintentional exposures among children.
Chu, E. K., Smith, L. M., Derauf, C., Newman, E., Neal, C. R., Arria, A. M., Huestis, M. A., DellaGrotta, S. A., Roberts, M. B., Dansereau, L. M., & Lester, B. M. (2020). Behavior problems during early childhood in children with prenatal methamphetamine exposure. Pediatrics, 146(6), e20190270. DOI:10.1542/peds.2019-0270
The effects of in utero methamphetamine exposure on behavioral problems in school-aged children are unclear. Our objective for this study was to evaluate behavior problems in children at aged 3, 5, and 7.5 years who were prenatally exposed to methamphetamine. Subjects were enrolled in the Infant Development, Environment, and Lifestyle study, a longitudinal prospective study of prenatal methamphetamine exposure and child outcomes. Exposed and comparison groups were matched on birth weight, race, education, and health insurance. At ages 3, 5, and 7.5 years, 339 children (171 exposed) were assessed for behavior problems by using the Child Behavior Checklist. Generalized estimating equations were used to determine the effects of prenatal methamphetamine exposure, age, and the interaction of exposure and age on behavior problems. Caregiver psychological symptoms were assessed by using the Brief Symptom Inventory. Analyses adjusted for covariates revealed that relative to age 3, children at 5 years had less externalizing and aggressive behavior and more internalizing behavior, somatic complaints, and withdrawn behavior. By age 7.5, aggressive behavior continued to decrease, attention problems increased and withdrawn behavior decreased. There were no main effects for methamphetamine exposure and no interactions of exposure and age. Caregiver psychological symptoms predicted all behavior problems and the quality of the home predicted externalizing problems and externalizing syndrome scores. Behavioral effects longitudinally from ages 3 to 7.5 years were not associated with prenatal methamphetamine exposure, whereas caregiver psychological symptoms and the quality of the home were predictors of behavior problems.
Holt, K., & French, G. (2020). Exploring the motherhood experiences of active methamphetamine users.
Crime, Law and Social Change,73(3), 297-314.
DOI: 10.1007/s10611-019-09862-5
Drug panics involve the emergence of "demon drugs" argued to be symptomatic of larger social and moral breakdown among society. Nowhere is this more evident than the discourse surrounding women methamphetamine users, who are framed by the media as rejecting the central values of American social life, including motherhood and family. While there is substantive research on drug use generally, and some examinations of motherhood, identity, and careers such as initiation, desistance and persistence of drug use, there is far less research addressing how users' life experiences with drugs shape their identity as addicts. The present study employed ethnographic observations and semi-structured interviews in order to explore the roles and identities associated with motherhood in a sample of twenty-eight active female methamphetamine users in a rural southern area. The central research questions are: 1) How do women who are actively using methamphetamine understand and experience motherhood? 2) What role does their drug use play in shaping their identity as mothers? Findings suggest that women draw from larger cultural
The Impact of Methamphetamine on Children: A Bibliography
narratives about motherhood to engage in identity work to minimize the double stigma of being a drug user and a drug user who is a mother. Implications for treatment and policy are discussed.
Wright, J., Kenneally, M., Ross, K., & Walker, S. (2020).
Environmental methamphetamine exposures and health effects in 25 case studies
. Toxics, 8(3), 61.
DOI:10.3390/toxics8030061
The clandestine manufacture and use of methamphetamine can result in contamination of residential properties. It is understood that this contamination remains in homes for a significant period, however there are a lack of data available to understand the health effects of exposure to environmental methamphetamine contamination (third-hand exposure). Our study collected information from 63 individuals in 25 separate case studies where the subjects had unwittingly suffered third-hand exposure to methamphetamine from former manufacture, use, or both. Data included environmental contamination data, information on subjects' health effects, and evidence of exposure using hair analysis. This study identified a range of health effects that occur from residing in these properties, including behavioural effects or issues, sleep issues, respiratory effects, skin and eye effects, and headaches. Methamphetamine was detected in hair samples from some individuals, including children. The exposures and concomitant reported health effects covered a wide range of environmental methamphetamine levels in the properties, including low levels close to the current Australian guideline of 0.5 µg methamphetamine/100 cm2. There were no discernible differences between health effects from living in properties contaminated from former manufacture or use. This study demonstrates that residing in these properties can represent a serious public health risk.
Dyba, J., Moesgen, D., Klein, M., & Leyendecker, B. (2019). Mothers and fathers in treatment for methamphetamine addiction—Parenting, parental stress, and children at risk. Child & Family Social Work, 24(1), 106-114. DOI:10.1111/cfs.12587
Parents addicted to methamphetamine ("crystal meth") are likely to be impaired in meeting parental responsibilities, and the developmental settings can be highly disadvantageous for children. Therefore, parenting by methamphetamine-addicted mothers and fathers needs further exploration, while considering the impact on children affected by parental substance use. In our study, we analysed parenting practices and parental stress as well as children's behavioural
The Impact of Methamphetamine on Children: A Bibliography
problems using standardized assessments. The sample consisted of 87 methamphetamine-addicted parents in recovery. We obtained data on parents' current substance use and on their psychological distress. Multiple regression analysis was performed to identify predictors of children's overall problems. Parents reported high levels of parental and psychological distress, even after achieving abstinence. Especially depressive perceptions of parenthood appeared problematic. While recovering from methamphetamine addiction, parents exhibited a precarious psychosocial situation and problematic parenting behaviour. Dysfunctional parenting practices were evident in both indifferent and overreactive tendencies. Children were at risk of behavioural and emotional problems. Variables associated with parenting showed significant predictive value for children's overall problems, beyond current substance use, and psychological distress. These findings are discussed in terms of a family-oriented perspective in order to promote parenting capabilities of methamphetamine-addicted parents and to prevent problematic development of their children.
Lebel, C. A., McMorris, C. A., Kar, P., Ritter, C., Andre, Q., Tortorelli, C., & Gibbard, W. B. (2019). Characterizing adverse prenatal and postnatal experiences in children. Birth Defects Research, 111(12), 848-858. DOI:10.1002/bdr2.1464
Prenatal and postnatal adversities, including prenatal alcohol exposure (PAE), prenatal exposure to other substances, toxic stress, lack of adequate resources, and postnatal abuse or neglect, often co-occur. These exposures can have cumulative effects, or interact with each other, leading to worse outcomes than single exposures. However, given their complexity and heterogeneity, exposures can be difficult to characterize. Clinical services and research often overlook additional exposures and attribute outcomes solely to one factor. We propose a framework for characterizing adverse prenatal and postnatal exposures and apply it to a cohort of 77 children. Our approach considers type, timing, and frequency to quantify PAE, other prenatal substance exposure, prenatal toxic stress, postnatal threat (harm or threat of harm), and postnatal deprivation (failure to meet basic needs) using a 4-point Likert-type scale. Postnatal deprivation and harm were separated into early (<24 months of age) and late (≥24 months) time periods, giving seven exposure variables. Exposures were ascertained via health records, child welfare records, interviews with birth parents, caregivers, and/or close family/friends. Nearly all children had co-occurring prenatal exposures, and two-thirds had both prenatal and postnatal adversities. Children with high PAE were more likely to experience late postnatal adversities, and children with other prenatal substance exposure
The Impact of Methamphetamine on Children: A Bibliography
were more likely to have early postnatal deprivation. Postnatal adversities were more likely to cooccur. This framework provides a comprehensive picture of a child's adverse exposures, which can inform assessment and intervention approaches and policy and will be useful for future research.
Meays, B. M., Simpson, J. L., Ramos, A. K., Bevins, R. A., Carlo, G., & Grant, K. M. (2019).
Children exposed to methamphetamine in settings where the drug is being used.
Children and Youth Services Review, 104
, 104393. DOI:10.1016/j.childyouth.2019.104393
While children's exposure to methamphetamine is well described in settings where methamphetamine is manufactured, little is known about children's exposure to methamphetamine in settings where methamphetamine is used. Methamphetamine-dependent individuals (N = 124) enrolled from substance use disorder treatment sites completed questionnaires, which included queries about children's exposure to methamphetamine. This descriptive study found that nearly one-third of participants reported methamphetamine was stored in rooms where children may be present, 30% reported children were present when methamphetamine was being used (26% when smoked), and approximately 25% reported children were present when methamphetamine was being sold and/or distributed. Findings from this study emphasize the need to evaluate children who are living in homes where methamphetamine is present such as through a family assessment at the point of initial contact with treatment, criminal justice, or family/child welfare system staff. Employing public health practices to educate adults about the risks that methamphetamine exposure poses to their children may be a useful motivator to promote substance abuse treatment.
Wright, J., Walker, G. S., & Ross, K. E. (2019).
Contamination of homes with methamphetamine: is wipe
sa mpling adequate to determine risk?.
International Journal of Environmental Research and Public Health, 16
(19), 3568.
DOI:10.3390/ijerph16193568
Contamination of domestic dwellings from methamphetamine cooking or smoking is an increasing public health problem in many countries. To evaluate the extent of contamination, sampling generally focusses on the collection of surface wipe samples from walls and other surfaces of a potentially contaminated home. Here, we report the contamination levels of many household materials and items sampled from a home that was suspected to be the premises used to cook
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methamphetamine, it was then sold, lived in for several years by the new owners and then left unattended for several more years. Although the time since the cooking had taken place was significant (over five years), the levels of contamination were extremely high in both household items that were part of the house when cooking was taking place (blinds, carpets, walls, etc.) and also in articles brought to the house post-cooking (rugs, toys, beds, etc.). Both wipe sampling and analysis of bulk samples indicate that the methamphetamine is not breaking down or being removed and is transferred from contaminated to non-contaminated objects. These results raise questions about the adequacy of characterizing contamination and of making decisions about the extent of remediation required based solely on surface wipe samples. Without fully understanding the extent of contamination that is present, not only on surfaces but within the building materials, it is difficult to ensure that the correct and most effective remedial approaches are taken to appropriately determine and address the risks to inhabitants.
Akin, B. A., Brook, J., & Lloyd, M. H. (2015). Examining the role of methamphetamine in permanency: A competing risks analysis of reunification, guardianship, and
adoption. American Journal of Orthopsychiatry, 85(2), 119-130.
DOI:10.1037/ort0000052
Parental methamphetamine use has drawn significant attention in recent years. Despite prior research that shows that parental substance abuse is a risk factor for lengthy foster care stay, little is known about the effect of specific types of substance use on permanency. This study sought to compare the impact of parental methamphetamine use to alcohol use, other drug use, and polysubstance use on the timing of 3 types of permanency: reunification, guardianship, and adoption. Using an entry cohort of 16,620 children who had entered foster care during a 5-year period, competing risks event history models were conducted for each permanency type. Findings showed that, after controlling for several case characteristics, parent illicit drug use significantly impacted the timing of the 3 types of permanency, but alcohol use did not. Methamphetamine, other drug, and polysubstance with methamphetamine use were associated with lower rates of reunification and higher rates of adoption. Guardianship was also predicted by other drug and polysubstance use without methamphetamine; however, methamphetamine use was not associated with guardianship. Notably, the methamphetamine groups comprised the youngest children and had the shortest median time to adoption. Results suggest that type of parental substance use is
The Impact of Methamphetamine on Children: A Bibliography
predictive of permanency exits and that parental illicit drug use may require tailored strategies for improving permanency outcomes. Further implications of the findings are discussed.
Rodi, M. S., Killian, C. M., Breitenbucher, P., Young, N. K., Amatetti, S., Bermejo, R., & Hall,
E. (2015). New approaches for working with children and families involved in Family
Treatment Drug Courts. Child Welfare,94(4), 205-232.
This is a descriptive study of the Children Affected by Methamphetamine (CAM) grant program, a federally funded effort to improve outcomes through the addition of targeted interventions for
1,940 families, including 2,596 adults and 4,245 children involved in 12 diverse Family Treatment
Drug Courts (FTDCs) located across six U.S. states. The majority were children of parents with a primary methamphetamine use disorder. Findings reflect grantees’ reporting on 18 performance
indicators of child safety and permanency, adult recovery, and family well-being. Additional information gleaned from grantees’ biannual reports provides insights about program
implementation. Results, drawn from this large and complex dataset, indicate that comprehensively addressing families’ needs is associated with better outcomes than those
experienced by similarly situated families in grantees' communities and the nation overall. In addition to describing common program components and outcomes, this article presents important
lessons learned about implementing evidence-based children's services in the FTDC context, as well as future directions for research and evaluation in this arena.
Lloyd, M. H., & Akin, B. A. (2014). The disparate impact of alcohol, methamphetamine, and other drugs on family reunification.
Children and Youth Services Review,44, 72-81.
DOI:10.1016/j.childyouth.2014.05.013
Parental substance abuse is one of the most prominent reasons that children enter foster care. The relative role of substance type in delaying reunification has remained elusive. This study sought to
understand the impact of parental use of alcohol, methamphetamine, other drugs, and poly- substances on reunification rates for children in foster care. The authors used administrative foster
care data from a Midwestern state between years 2007 and 2012 to evaluate the unique contribution of each substance use domain. Results suggest that parental methamphetamine use has the most
significant impact on the likelihood of reunification, followed by other drugs, and poly-substances.
These findings further indicate that children removed due to any parental drug use stay in foster
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The Impact of Methamphetamine on Children: A Bibliography
care for an average of 49–156 days longer than their peers. Implications for research and practice are addressed.
Messina, N., Jeter, K., Marinelli-Casey, P., West, K., & Rawson, R. (2014). Children exposed to methamphetamine use and manufacture. Child Abuse & Neglect, 38(11), 1872–1883. DOI:10.1016/j.chiabu.2006.06.009
Sheridan, K. (2014). A systematic review of the literature regarding family context and mental health of children from rural methamphetamine-involved families: Implications for rural child welfare practice. Journal of Public Child Welfare, 8(5), 514-538. DOI:10.1080/15548732.2014.948584
This review of the literature aims to guide practitioners concerned with ameliorating the psychosocial effects for rural-dwelling children from homes where methamphetamine is used or produced. Although a substantial body of research exists regarding the environmental dangers and physical health risks to children from methamphetamine-affected homes, there is a paucity of research regarding child psychosocial outcomes. This article summarizes the published literature examining family contexts and psychological and behavioral consequences for children. Implications of this body of knowledge for child welfare practitioners, limitations of the studies reviewed, and future research directions are discussed.
Wouldes, T. A., LaGasse, L. L., Huestis, M. A., DellaGrotta, S., Dansereau, L. M., & Lester, B. M. (2014). Prenatal methamphetamine exposure and neurodevelopmental outcomes in children from 1 to 3 years. Neurotoxicology and Teratology, 42, 77-84. DOI:10.1016/j.ntt.2014.02.004
Despite the evidence that women world-wide are using methamphetamine (MA) during pregnancy little is known about the neurodevelopment of their children. The controlled, prospective longitudinal New Zealand (NZ) Infant Development, Environment and Lifestyle (IDEAL) study was carried out in Auckland, NZ. Participants were 103 children exposed to MA prenatally and 107 not exposed. The Mental Developmental Index (MDI) and the Psychomotor Developmental Index (PDI) of the Bayley Scales of Infant Development, Second Edition (BSID-II) measured cognitive and motor performance at ages 1, 2 and 3, and the Peabody Developmental Motor Scale, Second Edition (PDMS-II) measured gross and fine motor performance at 1 and 3. Measures of
the child's environment included the Home Observation of Measurement of the Environment and the Maternal Lifestyle Interview. The Substance Use Inventory measured maternal drug use. After controlling for other drug use and contextual factors, prenatal MA exposure was associated with poorer motor performance at 1 and 2 years on the BSID-II. No differences were observed for cognitive development (MDI). Relative to non-MA exposed children, longitudinal scores on the PDI and the gross motor scale of the PDMS-2 were 4.3 and 3.2 points lower, respectively. Being male and of Maori descent predicted lower cognitive scores (MDI) and being male predicted lower fine motor scores (PDMS-2) Prenatal exposure to MA was associated with delayed gross motor development over the first 3 years, but not cognitive development. However, being male and of Maori descent were both associated with poorer cognitive outcomes. Males in general did more poorly on tasks related to fine motor development.
Castaneto, M. S., Barnes, A. J., Scheidweiler, K. B., Schaffer, M., Rogers, K. K., Stewart, D., & Huestis, M. A. (2013). Identifying methamphetamine exposure in children. Therapeutic Drug Monitoring, 35(6), 823–830. DOI:10.1097/FTD.0b013e31829685b2
Methamphetamine (MAMP) use, distribution and manufacture remain a serious public health and safety problem in the United States, and children environmentally exposed to MAMP face a myriad of developmental, social and health risks, including severe abuse and neglect necessitating child protection involvement. It is recommended that drug-endangered children receive medical evaluation and care with documentation of overall physical and mental conditions and have urine drug testing. The primary aim of this study was to determine the best biological matrix to detect MAMP, amphetamine (AMP), methylenedioxymethamphetamine (MDMA), methylenedioxyamphetamine (MDA) and methylenedioxyethylamphetamine (MDEA) in environmentally exposed children. 91 children, environmentally exposed to household MAMP intake, were medically evaluated at the Child and Adolescent Abuse Resource and Evaluation (CAARE) Diagnostic and Treatment Center at the University of California, Davis (UCD) Children's Hospital. MAMP, AMP, MDMA, MDA and MDEA were quantified in urine and oral fluid (OF) by gas chromatography mass spectrometry (GCMS) and in hair by liquid chromatography tandem mass spectrometry (LCMSMS). Overall drug detection rates in OF, urine and hair were 6.9%, 22.1% and 77.8%, respectively. Seventy children (79%) tested positive for 1 or more drugs in 1 or more matrices. MAMP was the primary analyte detected in all 3 biological matrices. All positive OF (n=5) and 18 of 19 positive urine specimens also had a positive hair test. Hair analysis offered a more sensitive tool for identifying MAMP, AMP and MDMA environmental exposure in children than urine or OF testing. A negative urine, or hair test does not exclude the possibility of drug exposure, but hair testing provided the greatest sensitivity for identifying drug-exposed children.
Twomey, J., LaGasse, L., Derauf, C., Newman, E., Shah, R., Smith, L., Arria, A., Huestis, M.,
DellaGrotta, S., Roberts, M., Dansereau, L., Neal, C., & Lester, B. (2013).
Prenatal methamphetamine exposur
e
, home environment, and primary caregiver risk factors predict child behavioral problems at 5 years.
American Journal of Orthopsychiatry,
83(1), 64-72. DOI:10.1111/ajop.12007
This study investigated the prospective association between prenatal methamphetamine (MA) exposure and child behavioral problems at 5 years while also examining the home environment at 30 months and several primary caregiver (PC) risk factors. Participants were 97 MA-exposed and 117 comparison children and their PCs enrolled in the Infant Development, Environment and Lifestyle Study. Hypotheses were that child behaviors would be adversely impacted by (a) prenatal MA exposure, (b) home environments that provided less developmental stimulation and emotional responsiveness to the child, and (c) the presence of PC psychological symptoms and other risk factors. Prenatal MA exposure was associated with child externalizing behavioral problems at 5 years. Home environments that were more conducive to meeting children's developmental and emotional needs were associated with fewer internalizing and externalizing behavioral problems. Independent of prenatal MA exposure, PC parenting stress and psychological symptoms were associated with increased child behavioral problems. Findings suggest prenatal MA exposure may contribute to externalizing behavioral problems in early childhood and the importance of considering possible vulnerabilities related to prenatal MA exposure in the context of the child's caregiving environment.
Carlson, B. E., Williams, L. R., & Shafer, M. S. (2012). Methamphetamine-involved parents in the child welfare system: Are they more challenging than other substance-involved
parents?. Journal of Public Child Welfare,6(3), 280-295.
DOI: 10.1080/15548732.2012.683361
Although methamphetamine use has been declining, it continues to be problematic among parents in the child welfare system. We examined the assertion that parental methamphetamine use is more detrimental for children than abuse of other substances. Using administrative data (N = 2,465) from a treatment program, we compared parents reporting abuse of methamphetamine (48%) with parents reporting alcohol only (11%) or abuse of other illegal drugs (41%) on a number of variables. Methamphetamine users were more likely to be female, White, have less education, be unemployed, and not be in a committed relationship, and their children were significantly more likely to be placed.
Derauf, C., LaGasse, L. L., Smith, L. M., Newman, E., Shah, R., Neal, C. R., Arria, A. M., Huestis, M. A., Dellagrotta, S., Dansereau, L. M., Lin, H., & Lester, B. M. (2012). Prenatal methamphetamine exposure and inhibitory control among young school-age children. The Journal of Pediatrics, 161(3), 452-459. DOI:10.1016/j.jpeds.2012.02.002
To examine the association between prenatal methamphetamine exposure and inhibitory control in 66-month-old children followed since birth in the multicenter, longitudinal Infant Development, Environment, and Lifestyle study. The sample included 137 children with prenatal methamphetamine exposure and 130 comparison children matched for race, birth weight, maternal education, and type of insurance. Inhibitory control, an executive function related to emotional and cognitive control, was assessed using a computerized Stroop-like task developed for young children. Hierarchical linear modeling tested the relationship between the extent of prenatal methamphetamine exposure (heavy, some, or none) and accuracy and reaction time outcomes, adjusting for prenatal exposure to alcohol, tobacco, and marijuana; age; sex; socioeconomic status; caregiver IQ and psychological symptoms; Child Protective Services report of physical or sexual abuse; and site. In adjusted analyses, heavy prenatal methamphetamine exposure was related to reduced accuracy in both the incongruent and mixed conditions on the Stroop-like task. Caregiver psychological symptoms and Child Protective Services report of physical or sexual abuse were associated with reduced accuracy in the incongruent and mixed conditions and in the incongruent conditions, respectively. Heavy prenatal methamphetamine exposure, along with caregiver psychological distress and child maltreatment, are related to subtle deficits in inhibitory control during the early school-age years.
Messina, N., & Jeter, K. (2012).
Parental methamphetamine use and manufacture: Child and familial outcomes.
Journal of Public Child Welfare,6(3), 296-312.
DOI:10.1080/15548732.2012.683364
The children of methamphetamine (MA) users and manufacturers are at high risk of neglect and abuse and physical harm from exposure to the drug and the chemicals used to produce it. This study is the first to document the epidemiology of children removed from home-based MA labs and their familial outcomes. Analyses are predominantly descriptive for 99 cases of drugendangered children recorded from 2001–2003 in Los Angeles County. Neglect was substantiated in 93% of the cases; 97% of the cases resulted in child protective services detainment. Eighty percent had a documented medical diagnosis, most often related to exposure to MA manufacture.
Pennar, A. L., Shapiro, A. F., & Krysik, J. (2012). Drug endangered children: Examining children removed from methamphetamine laboratories. Children and Youth Services Review, 34(9), 1777-1785. DOI:10.1016/j.childyouth.2012.05.006
Children removed from methamphetamine laboratories are a severely understudied population despite the widespread deprivation parental methamphetamine abuse has on children, particularly in homes where methamphetamine is produced. A sample of 144 children removed from their homes during the seizure of methamphetamine laboratories, as part of the Arizona Drug Endangered Children program, was investigated. Results indicate that younger children were more likely to be determined by Child Protective Services as high or moderate risk of further abuse, test positive for methamphetamine, and have maternal alleged perpetrators of abuse. Older children were more likely to be designated low risk for further abuse, test negative for methamphetamine, and have paternal alleged perpetrators of abuse. Results also show that children initially placed in foster care were more likely to remain in foster care at the final assessment than to be living with a parent or kin. These findings have implications for individuals working with children removed from homes with methamphetamine laboratories, and recommendations based on study findings are offered to child and family advocates and interventionists.
The Impact of Methamphetamine on Children: A Bibliography
Moller, M., Koren, G., Karaskov, T., & Garcia-Bournissen, F. (2011). Examining the health and drug exposures among Canadian children residing in drug-producing homes. The Journal of Pediatrics, 159(5), 766-770. DOI:10.1016/j.jpeds.2011.05.044
Starting in January 2006, children identified by police and the Children's Aids Society in the York region of Ontario, Canada, were referred to the Motherisk Program at the Hospital for Sick Children for pediatric assessment of their general health and well-being, with specific focus on illicit-drug exposure. We used a standard protocol to collect all available medical and environmental history, conducted physical and neurologic examinations, and collected hair for analysis of illicit drugs. In total, 75 children, at the mean age of 6.5 years, were referred to us after being removed from homes where marijuana was grown (80%) or other operations linked to drug production were occurring (20%). Overall, rates of health issues in this cohort fell below reference values for Canadian children. Of the hair tests, 32% were positive for illicit substances. In the majority there were no clinical symptoms related to these drugs. The majority of children removed from drug-producing homes were healthy and drug free. Comprehensive evaluations should be performed on a case-by-case basis in order to determine what is ultimately in the best interest of the child.
Roussotte, F. F., Bramen, J. E., Nunez, S. C., Quandt, L. C., Smith, L., O'Connor, M. J., Bookheimer, S. Y., & Sowell, E. R. (2011). Abnormal brain activation during working memory in children with prenatal exposure to drugs of abuse: The effects of methamphetamine, alcohol, and polydrug exposure. Neuroimage, 54(4), 3067-3075. DOI:10.1016/j.neuroimage.2010.10.072
Structural and metabolic abnormalities in fronto-striatal structures have been reported in children with prenatal methamphetamine (MA) exposure. The current study was designed to quantify functional alterations to the fronto-striatal circuit in children with prenatal MA exposure using functional magnetic resonance imaging (fMRI). Because many women who use MA during pregnancy also use alcohol, a known teratogen, we examined 50 children (age range 7–15), 19 with prenatal MA exposure, 15 of whom had concomitant prenatal alcohol exposure (the MAA group), 13 with heavy prenatal alcohol but no MA exposure (ALC group), and 18 unexposed controls (CON group). We hypothesized that MA exposed children would demonstrate abnormal brain activation during a visuospatial working memory (WM) "N-Back" task. As predicted, the MAA group showed less activation than the CON group in many brain areas, including the striatum
and frontal lobe in the left hemisphere. The ALC group showed less activation than the MAA group in several regions, including the right striatum. We found an inverse correlation between performance and activity in the striatum in both the CON and MAA groups. However, this relationship was significant in the caudate of the CON group but not the MAA group, and in the putamen of the MAA group but not the CON group. These findings suggest that structural damage in the fronto-striatal circuit after prenatal MA exposure leads to decreased recruitment of this circuit during a WM challenge, and raise the possibility that a rewiring of cortico-striatal networks may occur in children with prenatal MA exposure.
Haight, W., Black, J., & Sheridan, K. (2010). A mental health intervention for rural, foster children from methamphetamine-involved families: Experimental assessment with qualitative elaboration. Children and Youth Services Review, 32(10), 1446-1457. DOI:10.1016/j.childyouth.2010.06.024
The misuse of methamphetamine, a powerful central nervous system stimulant and neurotoxin (Wermuth, 2000; Rawson, Gonzales, & Brethen, 2002; SAMHSA, 1999), is a sizeable and ongoing criminal justice and public health problem across the U.S. (Cretzmeyer, Sarrazin, Huber, Block, & Hall 2003; Hohman, Oliver, & Wright, 2004; National Drug Intelligence Center, 2009); especially in rural areas (Adrian, 2003; F.B.I., 2006; Hutchison & Blakely, 2003; Illinois Criminal Justice Information Authority, 2004; Muskie School of Public Service, 2007). Methamphetamine misuse affects not just individuals, but entire families. Rural law enforcement officers and health, mental health, and child welfare professionals encounter children living in homes where their parents produce and/or misuse methamphetamine (Shillington, Hohman, & Jones, 2002; Haight, Jasonsen, Black, Kingery, Sheridan & Mulder, 2005). These children are at risk for the development of substance abuse and other mental health disorders (e.g., Haight, Ostler, Black & Kingery, 2009). If untreated or undertreated, these problems could jeopardize children's future well-being and mental health, and perpetuate substance misuse into future generations. Although there are a variety of effective mental health interventions for children, there are challenges to implementing them with rural children from drug-involved families including limited access to services and cultural appropriateness. This paper describes the cultural-adaptation, implementation and impact of an evidence-informed mental health intervention for individual rural children aged
The Impact of Methamphetamine on Children: A Bibliography
7-17 from methamphetamine-involved families who are in foster care. It also considers the feasibility of the intervention, and its merits for future study.
Haight, W., Marshall, J., Hans, S., Black, J., & Sheridan, K. (2010).
"They mess with me, I mess with them”: Understanding
phy sical aggression in rural girls and boys from
methamphetamine-involved families. Children and Youth Services Review,32(10), 1223-
1234. DOI:10.1016/j.childyouth.2010.04.010
This paper examines the mental health, and experiences of physical aggression in school-aged girls and boys from rural families involved with methamphetamine and the child welfare system. The misuse of methamphetamine, a powerful central nervous system stimulant and neurotoxin (Wermuth, 2000; Rawson, Gonzales, & Brethen, 2002; SAMHSA, 2002), is a sizeable and ongoing criminal justice and public health problem across the U.S. (Cretzmeyer, Sarrazin, Huber, Block, & Hall 2003; Hohman, Oliver, & Wright, 2004). In 2008, methamphetamine lab seizures nation-wide increased for the first time since 2003 (National Drug Intelligence Center, 2009). Methamphetamine misuse may be especially problematic in rural areas (Adrian, 2003;Illinois Criminal Justice Information Authority, 2004;F.B.I., 2006) where adolescents (Hutchison & Blakely, 2003) and young adults (Muskie School of Public Service, 2007) misuse this drug at approximately twice the rate of their urban counterparts.
Ostler, T., Bahar, O. S., & Jessee, A. (2010). Mentalization in children exposed to parental methamphetamine abuse: Relations to children's mental health and behavioral outcomes. Attachment & Human Development, 12(3), 193-207.
DOI:10.1080/14616731003759666
This study examined the mentalization capabilities of children exposed to parental methamphetamine abuse in relation to symptom underreporting, mental health, and behavioral outcomes. Twenty-six school-aged children in foster care participated in this study. Mentalization was assessed using the My Family Stories Interview (MFSI), a semi-structured interview in which children recalled family stories about a happy, sad or scary and fun time. An established scale of the Trauma Symptom Checklist for Children (TSCC), a self-report measure, provided information on children's symptom underreporting. The Child Behavior Checklist (CBCL), completed by the children's foster caregivers, assessed children's mental health and behavioral outcomes. Children with higher mentalization were significantly less prone to underreport symptoms. These children
The Impact of Methamphetamine on Children: A Bibliography
had fewer mental health problems and were rated by their foster caregivers as more socially competent. The findings underscore that mentalization could be an important protective factor for children who have experienced parental substance abuse.
Watanabe-Galloway, S., Ryan, S., Hansen, K., Hullsiek, B., Muli, V., & Malone, A. C. (2009).
Effects of methamphetamine abuse beyond individual users. Journal of Psychoactive
Drugs,41(3), 241-248. DOI:10.1080/02791072.2009.10400534
Since 1997, the use of methamphetamine as a drug of abuse has been widespread in the United States. While several forms of amphetamine are useful in some areas of medicine, methamphetamine as an abused substance is associated with severe and multifaceted consequences. Problems associated with the abuse of amphetamine and its derivatives such as methamphetamine have been well documented. As the manufacture and use of methamphetamine across the United States has increased, the impact of methamphetamine abuse has been felt beyond individual users; families as well as communities can be seriously affected. An increase in child neglect and violence as well as a lack of resources for health care, social services, and law enforcement because of methamphetamine abuse have been reported by many communities. This study examines the historical spread of methamphetamine misuse in the United States and the resulting individual, social, and environmental consequences. A public health perspective on family, community, and social aspects is offered, and ideas for future research and policy changes are explored.
Asanbe, C. B., Hall, C., & Bolden, C. D. (2008). The methamphetamine home: Psychological impact on preschoolers in rural Tennessee.
The Journal of Rural Health,24(3), 229-235.
DOI:10.1111/j.1748-0361.2008.00163.x
A growing number of children reside with methamphetamine-abusing parents in homes where the illicit drug is produced. Yet, the effects of a methamphetamine environment on psychological child outcome are still unknown. To examine whether preschoolers who lived in methamphetamineproducing homes are at increased risk for developing psychological problems. The participants were 58 white children between the ages of 4 and 5 years; 31 with a history of living in methamphetamine-producing homes and 27 children who live in non-methamphetamine producing homes in rural Tennessee. The groups were similar in age, gender, and socioeconomic
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background. The groups were compared for behavioral and emotional adjustment using the behavior assessment system for children-parent rating scale-preschool (BASC-PRS-P) form.
Biological or custodian parents completed a rating on their preschoolers that provided information about the children’s pattern of behavior and feelings. Preschoolers from the methamphetamine-
producing homes showed more externalizing problems than their peers, but were comparable on internalizing problems. On specific behaviors, the data indicate that preschoolers in the
methamphetamine group showed higher aggression symptoms than their peers from non- methamphetamine-producing homes. These findings, if replicated, point to the need for mental
health screening when a child is removed from a methamphetamine-producing home.
McGuinness, T. M., & Pollack, D. (2008). Parental methamphetamine abuse and children.
Journal of Pediatric Health Care,22(3), 152-158.
DOI:10.1016/j.pedhc.2007.04.009
Methamphetamine has alluring properties, such as the ability to promote weight loss and wakefulness, and because of its low price and ease of synthesis, methamphetamine abuse is now a
nationwide problem in the United States. Unfortunately, the scope of the problem extends beyond adult users to the children of parents who are users. As methamphetamine abuse increases, the
consequences of the epidemic pose major health and child welfare concerns. This article describes methamphetamine abuse and the long-term consequences of use, as well as specific nursing
interventions to mitigate its effects.
Connell-Carrick, K. (2007). Methamphetamine and the changing face of child welfare: Practice principles for child welfare workers.
Child Welfare,86(3), 125-144.
Methamphetamine use and production is changing child welfare practice. Methamphetamine is a significant public health threat (National Institute of Justice, 1999) reaching epidemic proportions
(Anglin, Burke, Perrochet, Stamper, & Dawud-Nouris, 2000). The manufacturing of methamphetamine is a serious problem for the child welfare system, yet child welfare has not
addressed the needs of children living in homes where methamphetamine is manufactured (U.S.
Department of Justice, 2002; DOJ, 2003; Altshuler, 2005). This article presents key issues for child welfare workers related to the use, production, and effects of rnethamphetamine on children and
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The Impact of Methamphetamine on Children: A Bibliography
families, and identifies practice principles for child welfare workers in order to ensure safety for victims, parents, and workers themselves.
Farst, K., Duncan, J. M., Moss, M., Ray, R. M., Kokoska, E., & James, L. P. (2007).
Methamphetamine exposure presenting as caustic ingestions in children. Annals of
Emergency Medicine,49(3), 341-343. DOI:10.1016/j.annemergmed.2006.05.020
With the growing prevalence of methamphetamine use and production in home laboratories, children are at risk for injuries resulting from living in a drug-endangered environment. Although the ingestion of household cleaners is usually accidental and not a result of illicit drug use or production, medical providers must be aware of the chemicals associated with methamphetamine and illicit drug production to identify patients harmed in this environment. We present the first reported cases of children harmed by ingesting caustic substances used in the production of methamphetamine in the home.
Grant, P. (2007). Evaluation of children removed from a clandestine methamphetamine laboratory.
Journal of Emergency Nursing,33(1), 31-41. DOI:10.1016/j.jen.2006.12.003
The illicit manufacturing and use of methamphetamine continues to be a significant and growing problem in the United States. Children are often found in homes where this activity is occurring and are affected by it on many levels. This article will provide background information on the manufacturing of methamphetamine, including classes of chemicals involved; hazards inherent to the manufacturing process and its effects on those living in a clandestine laboratory; and the approach to children found in these homes and their medical care. The focus will be on care in the acute settings with the introduction of a protocol for evaluation and follow-up of these patients.
Haight, W., Ostler, T., Black, J., Sheridan, K., & Kingery, L. (2007). A child's-eye view of parent methamphetamine abuse: Implications for helping foster families to
succeed. Children and Youth Services Review,29(1), 1-15.
DOI:10.1016/j.childyouth.2006.03.007
This report focuses on the experiences and perspectives of rural, Midwestern children aged 7–
14 years who were involved with the public child welfare system because of their parents' methamphetamine abuse. Eighteen children participated in semi-structured, in-depth interviews
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The Impact of Methamphetamine on Children: A Bibliography
focusing on their families of origin. Children reported exposure not only to their parents' and nonkin adults' methamphetamine and other substance abuse, but to a constellation of activities related to drug use or drug seeking behavior including violence within their homes and other criminal behavior. Children responded to the contexts in which they were reared in a variety of ways including accepting or actively resisting socialization messages that normalized substance abuse. The majority of children described involvement with law enforcement and child welfare as a "sad" and "scary" time in their families. Far from embracing their placement within safe and stable families, many children continued to express sadness, distress and resistance to legal and child welfare interventions even after months in foster care. Implications for facilitating the adjustment of children to foster care and beyond are discussed including providing foster parents with support and information about the contexts in which children have been reared and children's understanding of those contexts in order that they may interpret and respond to challenges that may emerge.
Matteucci, M. J., Auten, J. D., Crowley, B., Combs, D., & Clark, R. F. (2007).
Methamphetamine exposures in young children. Pediatric Emergency Care,23(9), 638-
640. DOI:10.1097/PEC.0b013e31814a6a79
Methamphetamine abuse is reaching epidemic proportions. As this occurs, the likelihood of accidental poisoning in children increases. We sought to evaluate the presentation, treatment, and outcome of pediatric methamphetamine exposures reported to the California Poison Control System. This is a retrospective review of California Poison Control System records for methamphetamine exposure from 2000 through 2004. All charts of patients identified as younger than 6 years were reviewed and abstracted. The charts of 47 children younger than 6 years were identified and reviewed. Three were coded as minor effects, 3 as major effects, and 16 as moderate effects. The remainder of the charts were not evaluated because of no effect (n = 6), unrelated or confirmed nonexposure (n = 3), or unable to follow (n = 16). The most common presenting symptom was agitation (82%), whereas seizures were documented in only 2 cases (9%). Tachycardia was common (mean heart rate, 171 beats/min; confidence interval [CI], 154-187), whereas blood pressure (BP) (mean systolic BP, 120 mm Hg; CI, 104-136; and mean diastolic BP, 70 mm Hg; CI, 51-88) and rectal temperature (mean, 37.4°C; CI, 36.9-37.9) were slightly elevated compared with normal values. Creatinine was documented in 6 cases and noted as normal in all
The Impact of Methamphetamine on Children: A Bibliography
(0.3IU/L; CI, 0.2-0.4), whereas creatine kinase was documented in 3 charts and elevated in all (mean 1984 IU/L; range, 212-4942 IU/L). Most cases (55%) received benzodiazepines as treatment, although only 2 received activated charcoal. Symptoms persisted for an average of 22 hours (CI, 16.3-27.2). No deaths were reported. In this series of children, methamphetamine exposure was strongly associated with agitation that was successfully treated with benzodiazepines. Tachycardia was common, although hypertension and hyperthermia were not. Laboratory studies were not routinely recorded. The clinical significance of elevated creatine kinase concentrations recorded in 3 children is unclear.
Messina, N., Marinelli-Casey, P., West, K., & Rawson, R. (2007). Children exposed to methamphetamine use and manufacture. Child Abuse & Neglect, 38(11), 1872–1883. DOI:10.1016/j.chiabu.2006.06.009
Ostler, T., Haight, W., Black, J., Choi, G. Y., Kingery, L., & Sheridan, K. (2007). Case series: Mental health needs and perspectives of rural children reared by parents who abuse methamphetamine. Journal of the American Academy of Child & Adolescent Psychiatry, 46(4), 500-507. DOI:10.1097/chi.0b013e3180306298
This case-based, mixed-methods study was undertaken to understand the perspectives and mental health needs of rural children exposed to parental methamphetamine abuse. Participants were 23 children involved with a state child protective agency because of parental methamphetamine abuse. A semistructured interview provided information on children's perspectives of their families. Information on children's mental health needs was obtained from the Child Behavior Checklist and Trauma Symptom Checklist. Case records and caseworker reports provided information on children's family experiences. Children described emotional pain; few social resources for coping with emotions, problem solving, or talking about their experiences; and avoidant or passive coping skills. Sixty-five percent of children evidenced significant dissociative or posttraumatic symptoms on standardized assessments; 57% had other significant emotional and behavioral problems. Challenges to understanding children's perspectives included children's perceptions that talking about methamphetamine abuse was taboo and underreporting of significant symptoms on the Trauma Symptom Checklist. The high rate of mental health problems suggests the need for nontraditional strategies for services delivery in rural areas that are targeted
toward these vulnerable children. Early identification and treatment of mental health problems should be a priority. Clinicians should be alert to the complexities in assessing children’s mental
health needs.
Arria, A. M., Derauf, C., Lagasse, L. L., Grant, P., Shah, R., Smith, L., Haning, W., Huestis, M.,
Strauss, A., Grotta, S. D., Liu, J., & Lester, B. (2006). Methamphetamine and other substance use during pregnancy: Preliminary estimates from the infant development,
environment, and lifestyle (IDEAL) study. Maternal and Child Health Journal, 10(3),
293-302. DOI:10.1007/s10995-005-0052-0
Objectives: Methamphetamine use is a continuing problem in several regions of the United States and yet few studies have focused on pre-natal methamphetamine exposure. The purpose of this study was to estimate the prevalence and correlates of alcohol, tobacco, and other sub-stance useincluding methamphetamine-during pregnancy. Methods: The sample consisted of the first 1632 eligible mothers who consented to participate in a large-scale multisite study focused on prenatal methamphetamine exposure. This unselected screening sample included both users and nonusers of alcohol, tobacco, methamphetamine, and other drugs. Substance use was determined by maternal self-report and/or GC/MS confirmation of a positive me-conium screen. Results: Overall, 5.2% of women used methamphetamine at some point during their pregnancy. One quarter of the sample smoked tobacco, 22.8% drank alcohol, 6.0% used marijuana, and 1.3% used barbiturates prenatally. Less than 1% of the sample used heroin, benzodiazapenes, and hallucinogens. Multivariate modeling results showed that tobacco smokers and illicit drug users were more likely to be single and less educated, have attended less than 11 prenatal visits, and utilize public financial assistance. Conclusions: This is the first large-scale investigation to report the prevalence of methamphetamine use during pregnancy in areas of the United States where methamphetamine is a notable concern. Follow-up research is ongoing to investigate the outcomes associated with prenatal methamphetamine exposure. Given that this research extends and confirms previous findings showing that high-risk groups of pregnant women can be identified on the basis of basic demographic characteristics, targeted interventions are greatly needed to reduce serious ad-verse outcomes associated with prenatal alcohol and tobacco use. (Author Abstract)
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The Impact of Methamphetamine on Children: A Bibliography
Brown, J. A., & Hohman, M. (2006). The impact of methamphetamine use on parenting.
Journal of Social Work Practice in the Addictions
,6(1-2), 63-88. DOI:10.1300/J160v06n01_04
Children whose parents abuse substances are often exposed to chaotic and neglectful lifestyles. Because of the increase in methamphetamine abuse, especially by females of child-bearing age, it is important to understand how the use of this drug impacts parenting. In this qualitative study, ten parents being treated for methamphetamine abuse were interviewed. Results indicated that while using, parents utilized a polarized style of parenting and specific drug management strategies, allowed exposure to violence, created upheaval in their children's daily living structure, and felt ambivalence when discussing these effects on children. Implications for social work practice include early intervention focusing on strengthening parenting skills.
Altshuler, S. J. (2005). Drug-endangered children need a collaborative community response.
Child Welfare, 84(2), 171-190.
The United States is facing an epidemic of the use of methamphetamine drugs. Child welfare has not yet addressed the needs of the children living in so-called “meth homes.” These children are
endangered not only from the chemicals involved, but also from parental abuse and neglect.
Communities are recognizing the need for inter-agency collaboration to address the consequences of this epidemic. Spokane, Washington, has created a Drug-Endangered Children Project, whose
mission is to implement a collaborative response among law enforcement, prosecutorial, medical, and social service professionals to the needs of drug-endangered children. This article presents the
findings from the evaluation of the first year of the project, including a baseline assessment of the needs of drug-endangered children and the extent of community-based collaboration achieved.
This article makes recommendations for future community-based partnerships to improve the well- being of drug-endangered children.
Hohman, M., Oliver, R., & Wright, W. (2004). Methamphetamine abuse and manufacture: The child welfare response.
Social Work, 49(3), 373-381. DOI:10.1093/sw/49.3.373
Methamphetamine abuse is on the rise, particularly by women of childbearing age. This article describes the history and effects of methamphetamine use. The authors examine the ways exposure
to the manufacture of this drug affects clients and social workers in the course of their work.
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The Impact of Methamphetamine on Children: A Bibliography
Because children are frequently found at the scene of a manufacturing laboratory, the child welfare system often becomes involved, and child protective services and other social work agencies need protocols to address the needs of the children and their parents, as well as those of the legal system. In 1997 California created and implemented drug-endangered children's units in seven counties to address the needs of children from families that manufacture methamphetamine; these units involve collaborative efforts among child protective workers, district attorneys, physicians, and police officers. A case example provides information about the role of social workers and their collaboration with these multiple systems.
Cohen, J. B., Dickow, A., Horner, K., Zwe-ben, J. E., Balabis, J., Vandersloot, D., & Reiber, C.
(2003). Abuse and violence history of men and women in treatment for methamphetamine dependence.
American Journal of Addictions, 12(5), 377-385.
DOI:10.1080/10550490390240701
The Methamphetamine Treatment Project offers the opportunity to examine the history of abuse and violence in a sample of 1016 methamphetamine users participating in a multi-site study between 1999-2001. Reporting of abuse and violence was extensive, with 80% of women reporting abuse or violence from a partner. Men were more likely to report experiencing violence from friends and others. A high percent-age of study participants reported a variety of threatening or coercive experiences with their partners. Past and current interpersonal violence is a characteristic of the lifestyles of the majority entering treatment for methamphetamine dependence.
Swetlow, K. (2003). Children at clandestine methamphetamine labs: Helping meth's youngest victims. OVC Bulletin, 1-11. U.S. Department of Justice.
Children who exposed to the chemicals used for making methamphetamine face acute health and safety risks, including physical, emotional, and sexual abuse and medical neglect. The nor-mal activities of young children increase the likelihood that they will inhale, absorb, or ingest toxic chemicals, drugs, or contaminated food. Their physiological characteristics leave them particularly vulnerable to the effects of toxic chemical exposures. Exposure places infants at increased risk for neurological abnormalities and respiratory problems. Personnel involved in laboratory seizures should include or have ready access to qualified professionals who can respond to the immediate and potential health needs of the children present at these sites.
The Impact of Methamphetamine on Children: A Bibliography
Mecham, N., & Melini, J. (2002). Unintentional victims: development of a protocol for the care of children exposed to chemicals at methamphetamine laboratories.
Pediatric Emergency
Care, 18(4), 327-332.
Clinical toxicologic symptoms of methamphetamine exposure in children range from subtle agitation to seizure activity. In addition to the toxic concerns with methamphetamine production
it-self, there are many social issues involved that potentially put children from these environments at risk. The binge-and-crash pattern of using this drug makes it difficult for parents who are users
to meet even the basic needs of their children. Children are often not properly supervised. Meals may be forgotten for days at a time while the user is on a binge or in a crash. School problems,
criminal behavior, and social isolation can develop for these children. Users of methamphetamine often become paranoid, frustrated, or can be hallucinatory. These behaviors can lead to violence
against anyone who happens to be nearby; unfortunately, this is often the child in the home. While on a binge, the user can feel a heightened sexual drive. This can lead to sexual abuse, and children
in the home are easy and convenient targets. This article describes the protocol developed by the
Salt Lake City Police Department Methamphetamine Initiative in collaboration with the Center for
Safe and Healthy Families and the State District Attorney's Office.
Anglin, M. D., Burke, C., Perrochet, B., Stamper, E., & Dawud-Noursi, S. (2000). History of the methamphetamine problem.
Journal of Psychoactive Drug, 32(2), 137-141.
DOI:10.1080/02791072.2000.10400221
Methamphetamine, called meth, crystal, or speed, is a central nervous system stimulant that can be injected, smoked, snorted, or ingested orally; prolonged use at high levels results in dependence.
Methamphetamine (MA) is a derivative of amphetamine, which was widely pre-scribed in the
1950s and 1960s as a medication for depression and obesity, reaching a peak of 31 million prescriptions in the United States in 1967. Until the late 1980s, illicit use and manufacture of MA
was endemic to California, but the MA user population has recently broadened in nature and in regional distribution, with increased use occurring in midwestern states. An estimated 4.7 mil-lion
Americans (2.1% of the U.S. population) have tried MA at some time in their lives. Short- and long-term health effects of MA use include stroke, cardiac arrhythmia, stomach cramps, shaking,
anxiety, insomnia, paranoia, hallucinations, and structural changes to the brain. Children of MA abusers are at risk of neglect and abuse, and the use of MA by pregnant women can cause growth
The Impact of Methamphetamine on Children: A Bibliography
retardation, premature birth, and developmental disorders in neonates and enduring cognitive deficits in children. MA-related deaths and admissions to hospital emergency rooms are
increasing. Although inpatient hospitalization may be indicated to treat severe cases of long-term
MA dependence, optimum treatment for MA abusers relies on an intensive outpatient setting with three to five visits per week of comprehensive counseling for at least the first three months. The
burgeoning problems of increased MA use must be addressed by adequate treatment programs suitable for a variety of user types.
Stewart, J. L., & Meeker, J. E. (1997).
Fetal and infant deaths associated with maternal methamphetamine abuse
. Journal of Analytical Toxicology, 21(6), 515-517.
DOI:10.1093/jat/21.6.515
Eight cases of fetal and infant death related to maternal methamphetamine abuse are presented.
The mean fetal blood concentration of methamphetamine was 0.36 microgram/mL (range, 0.03-
1.20 micrograms/mL), and the mean concentration of amphetamine was 0.05 micro-gram/mL
(range, 0-0.08 microgram/mL). Both maternal and fetal blood methamphetamine concentrations were obtained in two cases. The maternal and fetal methamphetamine concentrations for these two
cases were 0.21 and 0.40 micro-gram/mL and 0.18 and 1.20 micrograms/mL, respectively. The cause of death for each case, as listed by the pathologist, is also discussed.
Gospe, S. M., Jr. (1995). Transient cortical blindness in an infant exposed to methamphetamine.
Annals of Emergency Medicine, 26(3), 380-382.
An 11-month-old boy was brought to the pediatric emergency department for evaluation of acute onset of irritability and involuntary side-to-side turning of the head. Neurologic examination
revealed cortical blindness. Toxicologic studies of blood and urine were positive for methamphetamine. The infant's vision and activity returned to normal within 12 hours. The
possible mechanisms of this unusual form of amphetamine toxicity are discussed.
Page 32 of 32
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The Impact of Methamphetamine on Children: A Bibliography
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The Commonwealth of Massachusetts
______________________________________
SENATE, Thursday, May 31, 2018
The committee on Health Care Financing, to whom was referred the petitions (accompanied by bill, Senate, No. 31) of Julian Cyr, Timothy R. Whelan, Sarah K. Peake and Michael D. Brady for legislation to establish a low vision registry; (accompanied by bill, Senate, No. 44) of Jennifer L. Flanagan, Jay R. Kaufman, Marjorie C. Decker, Jason M. Lewis and other members of the General Court for legislation to protect children's mental health services; (accompanied by bill, Senate, No. 58) of Barbara A. L'Italien, Denise Provost, Angelo J. Puppolo, Jr., Danielle W. Gregoire and other members of the General Court for legislation to provide equal access to evaluations for children with disabilities; (accompanied by bill, Senate, No. 63) of Mark C. Montigny for legislation to increase the personal care allowance for long term care residents; (accompanied by bill, Senate, No. 66) of Kathleen O'Connor Ives and Linda Dean Campbell for legislation relative to the well being of children; (accompanied by bill, Senate, No. 340) of Jennifer L. Flanagan for legislation relative to the safe care of residents with active substance use disorder accessing skilled nursing facility care; (accompanied by bill, Senate, No. 342) of Patricia D. Jehlen, Mark C. Montigny, Marjorie C. Decker, James B. Eldridge and other members of the General Court for legislation to increase the personal care allowance of residents of long-term care facilities; (accompanied by bill, Senate, No. 348) of Patricia D. Jehlen, James B. Eldridge, Kenneth I. Gordon, Sal N. DiDomenico and other members of the General Court for legislation relative to regulations for small house nursing homes; (accompanied by bill, Senate, No. 351) of Barbara A. L'Italien, José F. Tosado, Angelo J. Puppolo, Jr., Marjorie C. Decker and other members of the General Court for legislation relative to home care cost sharing; (accompanied by bill, Senate, No. 601) of Michael J. Barrett, James J. O'Day, Barbara A. L'Italien and Bruce E. Tarr for legislation establishing a commission relative to group purchasing of health insurance for private sector human service workers; (accompanied by bill, Senate, No. 603) of Joseph A. Boncore for legislation relative to equitable provide reimbursement for non-network providers; (accompanied by bill, Senate, No. 604) of Michael D. Brady for legislation to increase MassHealth rates; (accompanied by bill, Senate, No. 605) of Harriette L. Chandler for legislation relative to physician assistants; (accompanied by bill, Senate, No. 610) of Julian Cyr, Carmine L. Gentile, Sarah K. Peake, Thomas M. McGee and other members of the General Court for legislation to ensure effective health care cost control; (accompanied by bill, Senate, No. 611) of Julian Cyr, Sarah K. Peake and Dylan Fernandes for legislation relative to oral health access for MassHealth patients; (accompanied by bill, Senate, No. 614) of Kenneth J. Donnelly, Kenneth I. Gordon, Daniel M. Donahue, Jonathan Hecht and other members of the General Court for legislation to promote the accessibility, quality and continuity of care for consumers of behavioral health, substance use disorder and mental health services; (accompanied by bill, Senate, No. 615) of Eileen M. Donoghue, John W. Scibak, Richard J. Ross, Joan B. Lovely and other members of the General Court for legislation relative to the governance of the Health Policy Commission; (accompanied by bill, Senate, No. 616) of James B. Eldridge and Michael J. Barrett for legislation to provide health insurance coverage for cochlear and auditory osseointegrated implants in children; (accompanied by bill, Senate, No. 618) of James B. Eldridge, Jonathan Hecht and Denise Provost for legislation to establish a public health insurance option; (accompanied by bill, Senate, No. 619) of James B. Eldridge, Carmine L. Gentile, Barbara A. L'Italien, Jack Lewis and other members of the General Court for legislation to establish Medicare for all in Massachusetts; (accompanied by bill, Senate, No. 620) of Ryan C. Fattman, Richard J. Ross and Paul K. Frost for legislation relative to fiduciary responsibility; (accompanied by bill, Senate, No. 621) of Jennifer L. Flanagan, James B. Eldridge and Jonathan D. Zlotnik for legislation to reduce prescription drug abuse testing and fraud prevention; (accompanied by bill, Senate, No. 622) of Jennifer L. Flanagan, James B. Eldridge and Kay Khan for legislation to provide access to patient protection services for all Massachusetts citizens; (accompanied by bill, Senate, No. 623) of Jennifer L. Flanagan, Thomas J. Calter, Mathew Muratore, Danielle W. Gregoire and other members of the General Court for legislation to address the financial sustainability of the health safety net; (accompanied by bill, Senate, No. 624) of Jennifer L. Flanagan and James B. Eldridge for legislation to provide equitable access to behavorial health for MassHealth consumers; (accompanied by bill, Senate, No. 625) of Jennifer L. Flanagan for legislation relative to accountable care; (accompanied by bill, Senate, No. 626) of Linda Dorcena Forry, Jason M. Lewis, Denise Provost and Sal N. DiDomenico for legislation to require MassHealth to make Graduate Medical Education payments; (accompanied by bill, Senate, No. 627) of Linda Dorcena Forry and Daniel Cullinane for legislation to promote transparency in prescription drug prices; (accompanied by bill, Senate, No. 628) of Donald F. Humason, Jr. for legislation to provide immediate relief to businesses on health care costs; (accompanied by bill, Senate, No. 630) of Patricia D. Jehlen, Ruth B. Balser, Jason M. Lewis, Jack Lewis and other members of the General Court for legislation to preserve affordable health coverage for Massachusetts residents; (accompanied by bill, Senate, No. 632) of John F. Keenan, James B. Eldridge, Bruce E. Tarr and Thomas M. McGee for legislation relative to hospital closures and health planning; (accompanied
by bill, Senate, No. 634) of Eric P. Lesser, Brian M. Ashe, James B. Eldridge, Marjorie C. Decker and other members of the General Court for legislation to establish a state Epinephrine bulk purchase program; (accompanied by bill, Senate, No. 637) of Jason M. Lewis and Sonia Chang-Diaz for legislation to define modest meals and refreshments in prescriber education settings; (accompanied by bill, Senate, No. 638) of Jason M. Lewis and William Smitty Pignatelli for legislation to establish a public health option; (accompanied by bill, Senate, No. 642) of Vincent Larence Dixon for legislation for a minimum hourly health improvement wage; (accompanied by bill, Senate, No. 644) of Barbara A. L'Italien, Jack Lewis, Michael D. Brady, John J. Lawn, Jr. and other members of the General Court for legislation to benefit the Community Hospital Reinvestment Trust Fund; (accompanied by bill, Senate, No. 645) of Barbara A. L'Italien for legislation relative to health management and wellness; (accompanied by bill, Senate, No. 647) of Barbara A. L'Italien, Jason M. Lewis, Jack Lewis, Steven Ultrino and other members of the General Court for legislation to ensure continued health insurance coverage for children; (accompanied by bill, Senate, No. 648) of Joan B. Lovely, Jose F. Tosado, Angelo J. Puppolo, Jr., Mathew Muratore and other members of the General Court relative to providing for a presumptive eligibility program for MassHealth applicants; (accompanied by bill, Senate, No. 649) of Joan B. Lovely for legislation relative to premium impact statements; (accompanied by bill, Senate, No. 652) of Mark C. Montigny, Jason M. Lewis, Jose F. Tosado, Diana DiZoglio and other members of the General Court for legislation to promote transparency and prevent price gouging of pharmaceutical drug prices; (accompanied by bill, Senate, No. 653) of Mark C. Montigny for legislation relative to coverage for chronic illness; (accompanied by bill, Senate, No. 655) of Mark C. Montigny for legislation to ensure timely health care cost reporting; (accompanied by bill, Senate, No. 656) of Michael O. Moore, Danielle W. Gregoire, Angelo J. Puppolo, Jr., Jack Lewis and other members of the General Court for legislation relative to hospital profit and fairness; (accompanied by bill, Senate, No. 657) of Michael O. Moore for legislation relative to patient centered access to behavioral health services in accountable care organizations; (accompanied by bill, Senate, No. 659) of Michael J. Rodrigues, Michael F. Rush, Michael D. Brady, Alan Silvia and others for legislation to improve health care cost accountability; (accompanied by bill, Senate, No. 660) of Michael J. Rodrigues, Michael F. Rush and Michael D. Brady for legislation relative to health care non-discrimination; (accompanied by bill, Senate, No. 661) of Richard J. Ross, William Crocker, Donald F. Humason, Jr. and Bruce E. Tarr for legislation relative to health insurance penalties; (accompanied by bill, Senate, No. 662) of Bruce E. Tarr and Ryan C. Fattman for legislation relative to mandatory prescription drug coverage; (accompanied by bill, Senate, No. 663) of Bruce E. Tarr for legislation to strengthen the management of the health care connector;
(accompanied by bill, Senate, No. 664) of Bruce E. Tarr for legislation to establish a healthcare insurance premium payment pool for working families; (accompanied by bill, Senate, No. 665) of Bruce E. Tarr for legislation relative to shared responsibility for funding of health care oversight agencies; (accompanied by bill, Senate, No. 1087) of Kenneth J. Donnelly, Kenneth I. Gordon, Barbara A. L'Italien, Marjorie C. Decker and others for legislation to provide critical community services; (accompanied by bill, Senate, No. 1088) of Kenneth J. Donnelly, Sean Garballey and James B. Eldridge for legislation to provide more timely treatment of inpatient mental health care; (accompanied by bill, Senate, No. 1111) of Marc R. Pacheco, Angelo J. Puppolo, Jr., Thomas M. Stanley, Jack Lewis and other members of the General Court for legislation relative to creating intensive stabilization and treatment units within the Department of Mental Health; (accompanied by bill, Senate, No. 1112) of Marc R. Pacheco, Angelo J. Puppolo, Jr., Thomas M. Stanley, Jack Lewis and other members of the General Court for legislation relative to creating a pilot program to transfer high acuity behavioral health and dual diagnosis patients away from overcrowded emergency departments; (accompanied by bill, Senate, No. 1162) of Joseph A. Boncore, Jason M. Lewis and Richard J. Ross for legislation relative to nurse licensure compact in Massachusetts; (accompanied by bill, Senate, No. 1165) of Harriette L. Chandler, Jack Lewis and John W. Scibak for legislation relative to public health dental hygienists; (accompanied by bill, Senate, No. 1166) of Harriette L. Chandler and John W. Scibak for legislation relative to dentistry licensure examinations; (accompanied by bill, Senate, No. 1171) of Cynthia S. Creem for legislation to protect sports medicine professionals; (accompanied by bill, Senate, No. 1174) of Cynthia S. Creem and Elizabeth A. Malia for legislation to enhance sexual assault evidence kit collection; (accompanied by bill, Senate, No. 1183) of Julian Cyr, Sarah K. Peake, James B. Eldridge, Dylan Fernandes and others for legislation to require pain assessment and management in healthcare facilities; (accompanied by bill, Senate, No. 1211) of John F. Keenan, Danielle W. Gregoire, Kate Hogan and James J. O'Day for legislation to review the quality and patient safety of dispensing certain cancer and chronic disease related drugs; (accompanied by bill, Senate, No. 1219) of Jason M. Lewis, Christine P. Barber, Joan B. Lovely, Sal N. DiDomenico and other members of the General Court for legislation to direct the Department of Public Health to compile data and issue a report on vision screening for children entering kindergarten; (accompanied by bill, Senate, No. 1223) of Barbara A. L'Italien, Marjorie C. Decker, Jason M. Lewis, James M. Cantwell and other members of the General Court for legislation to support individuals with intellectual and developmental disabilities; (accompanied by bill, Senate, No. 1240) of Michael O. Moore, Barbara A. L'Italien, Robert M. Koczera, Colleen M. Garry and other members of the General Court for legislation to authorize pharmacists to perform certain medical procedures;
(accompanied by bill, Senate, No. 1256) of Marc R. Pacheco, Angelo L. D'Emilia, Patricia A. Haddad, Michael D. Brady and others for legislation relative to baseline concussion testing for student athletes; (accompanied by bill, Senate, No. 1266) of Michael F. Rush, Richard J. Ross, Angelo J. Puppolo, Jr., Thomas M. Stanley and other members of the General Court for legislation relative to liability protection for disaster volunteers; (accompanied by bill, Senate, No. 1367) of James E. Timilty for legislation relative to the Massachusetts Emergency Information Program; (accompanied by bill, Senate, No. 1449) of Marc R. Pacheco and Michael D. Brady for legislation relative to health care insurance for surviving spouses; (accompanied by bill, Senate, No. 2118) (subject to Joint Rule 12) of Jennifer L. Flanagan for legislation to update postural screening requirements in schools; (accompanied by bill, Senate, No. 2239) (subject to Joint Rule 12) of Patrick M. O'Connor, Smitty Pignatelli and Diana DiZoglio for legislation to establish a newborn health and safe sleep pilot program; and the Bills requiring medical exams for certain school bus drivers (Senate, No. 2172); to require health care coverage for the emergency psychiatric services (Senate, No. 2282); and relative to psychotropic medication (Senate, No. 2284), reports the accompanying Order (Senate, No. 2535).
For the committee, James T. Welch
The Commonwealth of Massachusetts
_______________
In the One Hundred and Ninetieth General Court (2017-2018)
_______________
1 Ordered, That the committee on Health Care Financing be authorized and directed to
2 make an investigation and study of certain current Senate documents numbered 31, 44, 58, 63,
3 66, 340, 342, 348, 351, 601, 603, 604, 605, 610, 611, 614, 615, 616, 618, 619, 620, 621, 622,
4 623, 624, 625, 626, 627, 628, 630, 632, 634, 637, 638, 642, 644, 645, 647, 648, 649, 652, 653,
5 655, 656, 657, 659, 660, 661, 662, 663, 664, 665, 1087, 1088, 1111, 1112, 1162, 1165, 1166,
6 1171, 1174, 1183, 1211, 1219, 1223, 1240, 1256, 1266, 1367, 1449, 2118, 2172, 2239, 2282 and
7 2284 relative to financing and delivery of health care.
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The three books under review exemplify key trends in the writing on missionaries in southern Africa in recent years. I will discuss each book separately, then go on to discuss how each of them speaks to the other and also to the broader field of Christianity as it manifests at present. While all three of the authors are based in the United States, they differ in that two of them are relatively younger scholars, while Elphick has had an illustrious and diverse career. All three books are well written, and it is pleasing to see a range of publishers turning their attention to both Christianity and mission in the history of southern Africa. Both Vernal’s and Volz’s books are available electronically, although it is a pity to see that the e-books are the same price as the hardcover editions. All books are available in hard cover in their print edition, and none of them is particularly affordable. This is a concern
* Natasha Erlank is a professor in the Department of Historical Studies at the University of Johannesburg. Her research interests include the history of missions and mainstream Christianity in Southern Africa, as well as work on the politics of gender and tradition. She also works in the field of South African public history. Thank you to Gerald Groenewald for some very insightful and generous comments.
How to cite this article:
Erlank N. Southern African Christianities and Mission Effort under Review. Historia. 2015; 1(1), Art. 10 pages.
http://dx.doi.org/10.17159/2309-8392/2015/v60n1a9
because it limits the ability of African libraries to purchase copies of either the hardcover version or the e-books.
Stephen Volz’s contribution to this essay, based on his PhD thesis, is an examination of the work and lives of Tswana evangelists in the nineteenth century. *African Teachers on the Colonial Frontier* is a detailed study of the spread of Christianity in Tswana communities in a broad swathe from what is now the Free State province of South Africa, across North-West Province and into northern Botswana. Volz’s unifying thread is work in Tswana-speaking communities where the London Missionary Society (LMS) and also the Wesleyan Methodist Missionary Society (WMMS) began an evangelisation effort that was almost immediately surpassed in its success by the work of “African teachers”. The book begins in the early nineteenth century, working with roughly a century’s worth of material. It consists of six chapters, the first of which serves as an introduction. The following three chapters, which constitute the bulk of the text, concern themselves with the work of Tswana evangelists, firstly in the south-eastern parts of South Africa and later in northern Botswana. Each chapter has substantial endnotes, evidence of Volz’s detailed archival work.
Volz’ first chapter examines the origins of mission work amongst Tswana-speakers in what is today the Northern Cape, South Africa, beginning with mission work among the Barolong and Bathlaping. This chapter covers material that will be familiar to readers of the early history of the London Missionary Society, and its interior missions, but from the point of view of the African evangelists, which leads to a focus inward on the mission and not, for instance, outward towards LMS politics centred on control of the Cape. In this way, it forms a welcome contrapuntal narrative to other work on evangelical effort in the region, but focusing on that from the point of view of the European missionaries.\(^1\) In 1801, two evangelists – the British missionary, William Edwards and the Dutch-Khoe Christian, Jan Kok – settled separately amongst the Bathlaping. Kok, who was working amongst groups of Khoe across the border from the Cape Colony, was typical of what Volz describes of the first African evangelists in the areas; sustaining himself and his party through trade and links with local communities, and taking advantage of his ability to communicate with the local Tswana in order to evangelise further amongst them. By contrast, Edwards appears to have been less committed to evangelisation, and his mission lasted only a few years.
While Kok and Edwards’ efforts lasted only a few years, their example was taken up in the following decade, the 1810s, by other European and indigenous missionaries. In 1816, a party under the leadership of James Read senior, but including several established Khoe evangelists, attempted to establish a more permanent mission at Dithakong. After meeting with resistance from the
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\(^1\) Through a series of edited collections of diaries and personal papers, Karel Schoeman has brought the lives and careers of individual missionaries to life, including many who worked amongst the Sotho-Tswana. See K. Schoeman (ed.), *Huis van Die Armes: Die Berlynse Sendinggenootskap in die OVS, 1834–1869* (Human & Rousseau, Cape Town, 1985); K. Schoeman (ed.), *The British Presence in the Transoranje, 1845–1854*, Vrijstatia 13 (Human & Rousseau, Cape Town, 1992). Also, for mission-centred narratives, see J.W. de Gruchy (ed.), *The London Missionary Society in Southern Africa: Historical Essays in Celebration of the Bicentenary of the LMS in Southern Africa, 1799–1999* (David Philip, Cape Town, 1999); J.C. Wells, “Curing the ‘Public Evils’: The Contested Terrain of Male Missionary Sexuality in Early 19th-century LMS Missions at the Cape of Good Hope”, *Le Fait Missionnaire*, 11, 2001, pp 45–75.
Bathlaping, the mission party retreated to Griquatown. Volz observes that the European and African missionaries explained their lack of success differently; Jan Hendrick, one of the Khoe evangelists, explaining that the effort was impolite and premature, while the European members blamed the Bathlaping, whom they saw as steeped in sin and hostile to the Gospel. So, as Volz points out, the different backgrounds of evangelists affected, right from the beginning of sustained mission effort in this region, not only the success of missions, but also reasons that the missionaries adduced for the success or failure of their efforts. Caught up in this scenario, African evangelists who often themselves occupied interstitial positions in society, neither European nor Tswana, struggled valiantly to make the small gains they did. These figures, just like translators and interpreters (which many of them also were) were mediators – not just of language, but also of cultural worlds and mentalities.
In the next chapter, Volz examines the spread of Christianity and the methods through which it spread amongst the southern Tswana in the period following the exploratory missions of the early nineteenth century. Examining the role of young men in particular, he looks at the interplay of literacy and orality in the spread of faith. Much labour was spent in the middle part of the century attempting to reduce the various Tswana dialects into written form which could encompass translations of the Bible. In this process, as Volz points out, mission squabbles over translation protocols often obscured the work of Tswana labour, both to assist in translation and to provide help in type-setting and printing. Once hymnals and the New Testament became available to converts, the books and the printed word were treasured, not just for their content but also for their form. As Tswana evangelists worked with these written texts, they also helped to translate ideas better shaped to the page into oral dialogue that could be shaped according to local practice. As Volz notes, “An early Tswana term for ‘read’ was buisa (cause to speak), linking reading and speaking as single activity” (p 81).
Volz outlines some interesting differences in evangelisation between an early period, roughly 1800–1860, when Tswana evangelism centred on working in local communities in the south, with a later period after 1840, when the word of God was spread along trade routes to the north-west through evangelists allied to and operating as traders in the more northern parts of Botswana. These different contexts had an impact on how evangelists found themselves located in their communities, and how Christianity interfaced with local power structures.
In the chapter on evangelism among the Northern Tswana, Volz pushes our knowledge of mission activity in this region into new territory. This is an area of mission endeavour not studied much, and his treatment of the methods of evangelisation brings to mind some of Roger Beck’s early work on missionary-traders.\(^2\) Southern Tswana Christians carried the word of God north with them on trade routes, and as these were taken over by Tswana leaders in the north-west, the message the traders carried was incorporated into local practice, so that trade and faith became assimilated together. Volz examines here the critical role of Tswana chiefs in the spread of Christianity. Expansion to the north-east was more difficult because of the presence of Boer commandos in the Zuid-Afrikaansche Republiek, who had claimed roles of authority amongst the local Tswana communities.
\(^2\) R.B. Beck, “Bibles and Beads: Missionaries as Traders in Southern Africa in the Early Nineteenth Century”, *Journal of African History*, 30, 3, 1989, pp 211–225.
In his fifth chapter Volz examines the conflicts in thought and practice that arose as Tswana evangelists attempted to negotiate the differences between Christian belief and theology, and Tswana thought. This chapter turns on experiences of conversion, modelling the different ways and processes through which Africans converted to Christianity. In his final chapter, Volz turns to what is commonly understood as a shift in mission attitude in southern Africa in the later-nineteenth century: the European mission attempt to reassert control over what were viewed as unruly African Christian communities. The section from page 253 onwards acts as a conclusion for the volume.
The book is clearly written and meticulously researched, based principally on a reading of primary mission sources including the archives of the LMS and WMMS. Volz’s principal concern in the book is to show African agency at work. Each chapter begins with a personalisation of this theme through a reconstruction of how Tswana evangelists might have imagined key moments in that history. Unlike previous studies of Tswana Christianity, which were often limited to single chiefdoms or kingdoms, Volz’s examination takes in the breadth of Tswana-speaking territory. Initial work was often conducted by Khoe and Griqua evangelists around the European-established mission stations, where many of the early African teachers were young men from relatively elite clans. While European missionaries may have established stations that constituted a core around which the first evangelists laboured, the first evangelists worked independently of them and were tied more into local political systems than into the world of the missionaries. Volz makes the point that evangelists and Christianity operated within a net of Tswana beliefs, practices and chiefly power much more – at least before the later-nineteenth century – than they did within a European context. However, while Volz’s examples of African agency at work are both evidence of careful research, filling in detail not previously covered in other studies of evangelisation in the region, and convincing proof of the role of indigenous agency, his rhetorical commitment to foregrounding that agency feels overdone.
Both Volz’s book and Fiona Vernal’s study of Farmerfield Mission, which is also based on doctoral work, are relatively close studies of mission communities (this is something that distinguishes their work from *The Equality of Believers* discussed next). *Farmerfield*, like *African Teachers on the Colonial Frontier*, extends our understanding of the Wesleyan Mission effort in the nineteenth century. While Volz’s research concentrates on experiences of Christianity within a common language group, Vernal’s work looks to those who experienced one particular Christian denomination. *Farmerfield* differs from that of other studies of the Wesleyan effort in the Eastern Cape through her focus of a residential mission community situated within the Cape Colony from its founding. More recent mission studies have tended to focus on more widely-spread mission communities. Vernal’s research returns to a theme in much earlier mission studies in South Africa: mission initiatives centred on residential mission communities, especially those of the Moravians and the LMS in the Cape Colony.\(^3\)
In *The Farmerfield Mission*, Vernal traces the rise of a WMMS community in the Cape Colony. The study examines the lives and practices of a community of African Methodists on a mission station to the near south-east of Grahamstown,
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3. J.M. Sales, *Mission Stations and the Coloured Communities of the Eastern Cape, 1800–1852* (Balkema, Cape Town, 1975).
South Africa, from the station’s inception until the restitution programme of the 1990s which saw the land returned to former residents and their descendants. Generational shifts and changes are a prominent thread in the book, a welcome reminder that stations are neither static nor even unified communities. Vernal’s study is one of the few to cover such a wide range of time, an indication not only of the longevity of the mission community, but also of a direction which might fruitfully be followed in other mission studies.\(^4\) Indeed, her study shows the way in which issues of faith can be tied to other critical historical currents, like the sociology of displaced communities and the politics of land.
Vernal begins her study with a very useful summary of the literature on missions, situating the later-eighteenth and early-nineteenth century evangelical effort in the context of British colonial effort, not only in South Africa but in other British colonial centres. Since the publication of two articles charting the progress of mission history in southern African in the mid-1990s (those by Norman Etherington and Elizabeth Elbourne), as Vernal herself notes, the situation in respect of writing on missions has changed dramatically. This review article charts some of those shifts through the books it is reviewing.\(^5\)
The book is divided into three sections. The first constitutes a background to British mission efforts in the later-eighteenth and early-nineteenth centuries in general and in the Cape in particular; the second section is a more detailed focus on Farmerfield in the nineteenth century; and the last section charting the trajectories of Farmerfield residents in the twentieth century, including two chapters which detail how residents were removed from the station when it was declared a black spot to the incongruously named Mimosa Station outside King Williams Town. The final section also examines the effects of land restitution at the end of the 1990s for residents, constituting one of the most trenchant examinations of the effects of restitution that I have seen.
Part one of the book begins in Britain with the evangelical movement, before shifting its emphasis to the Cape and the Eastern Cape in particular. It looks in broad detail at the establishment of Wesleyan mission stations amongst the Xhosa, drawing on the work of scholars like Hildegard Fast to set the scene for what is to follow.\(^6\) In part two, Vernal moves into a more detailed discussion of Farmerfield itself. In the chapter, “A Selected Class of Natives”, Vernal examines the way in which white missionaries attempted to harness both the ideological power of the notion of a more well-to-do class of residents, as well as their productive power as labour, into the service of firstly the mission, but secondly the white community surrounding it. William Shaw, the Wesleyan superintendent who selected the first occupants of Farmerfield was quite clear that he wanted Africans
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4. Kerry Ward has followed a similar trajectory in her work on the Moravian Station, Mamre. See K. Ward, “Links in the Chain: Community, Identity and Migration in Mamre, 1838–1938”, in N. Worden and C. Crais (eds), *Breaking the Chains: Slavery and its Legacy in the Nineteenth-Century Cape Colony* (University of the Witwatersrand Press, Johannesburg, 1994).
5. E. Elbourne, “Concerning Missionaries: The Case of Van der Kemp”, *Journal of Southern African Studies*, 17, 1991, pp 153–64; N. Etherington, “Recent Trends in the Historiography of Christianity in Southern Africa”, *Journal of Southern African Studies*, 22, 1996, pp 201–19.
6. H.H. Fast, “‘In at One Ear and out at the Other’: African Response to the Wesleyan Message in Xhosaland 1825–1835”, *Journal of Religion in Africa*, 23, 2, May 1993, pp 147–174.
who could exert themselves either in service of the mission, or as providing a pool of labour for the surrounding districts. He was also interested, not only in their labour, but the fruits of their labour as well, preferring to restrict entry to Africans who owned cattle or goats. His was a vision of an affluent but humble mission community under the wise leadership of God and his representatives on earth, the Methodists.
To this end, he recruited the first residents, who began relocating to the new community from early in 1839, although the WMMS only gained formal title to the land in May 1839. Many of the first residents were Tswana speakers, reflecting the changing population in the Eastern Cape in the 1830s. The chapter then details the establishment of the mission and its first few decades. However, by the 1870s, the mission was struggling, burdened by a vision of how the station ought to operate, rather than a realistic assessment of deteriorating economic conditions in the surrounding region. As Vernal notes, “As a ‘selected class’ of Africans, the tenants of Farmerfield represented a new phase in Methodist evangelical expansion, and a novel turn in mission enterprise in the Cape in general … The vision of Farmerfield was such an idealistic elaboration of missionary goals, and such a concerted effort to avoid the pitfall of pioneer missions, that the tenants were both liberated and burdened by what was expected of them” (p 137). In a sense, these burdens and expectations form the content of the following two chapters, chapter five dealing with how the residents managed and understood their faith, and demands on their faith, and chapter six examining missionary disillusionment with the failure of their Farmerfield ideal. As Vernal shows, their estimation of failure was predicated on measurements of tenant behaviour, and lapses in “proper” Christian behaviour, an assessment that was by no means shared by the tenants themselves.
While Vernal’s middle section is richly researched, and discusses in sympathetic detail the connection between African Christians and white missionaries, it is the latter section which really maps a new direction in studies of African Christianity. The last three chapters trace the station through the twentieth century, examining WMMS attempts at reform in the first part of the century, followed by the removal of 1962. Farmerfield residents were removed to a piece of “bushveld” or forest outside King Williams Town, with scant building material and cattle weakened by a trek first to Grahamstown and then to Mimosa Park. At Mimosa Park, the residents found themselves living outside of the kinds of security offered by living on a mission station, including the rules of conduct which had governed their behaviour, even if very few of them paid attention to these rules. Life at Mimosa Park was extremely difficult.
The conflictual process of restitution constitutes the final chapter. Vernal traces what happened to many of the Farmerfield families who were removed to the Ciskei after black spot removals in the 1960s when the station was declared white. In the 1990s the land restitution process opened up a way for former residents to return to the land, but in a situation in which many were intensely conflicted about another removal. Families who had established themselves in Mimosa Station were concerned about what would become of them once they returned to Farmerfield, and how a generation who had grown up not knowing farming would now need to learn to farm with no equipment and experience.
The *Equality of Believers*, while continuing with several of the themes established in Vernal's and Volz's works, differs substantively from them. The first two books reviewed represent an inward look into the fortunes and shaping of mission communities, whereas Elphick moves outside the confines of particular stations and societies to examine the broader relationship between the origins of racial domination in South Africa and the place of Christianity therein. The book, which Elphick has been working on since the late 1990s, represents the net effect of the many connections existing between evangelical organisation in South Africa in the early twentieth century, and the way in which these contributed to and challenged state thinking about race and the place of the African. Probably the most significant of the three studies reviewed here, the book unfortunately loses its central point in the wealth of detail it covers. As Elphick describes it, the book:
... demonstrates that most missionaries in South Africa did not straightforwardly advocate an extension of racial equality from the spiritual to the social realm. Black Christians, to the contrary, tended vigorously to assert that equality in the eyes of God should evolve into social and political equality. The whites (sic) missionaries' relationship to the doctrine they had introduced was immensely complex – an intricate interplay of advocacy, subversion and downright hostility. Most significantly, and most consequentially, the broad vision of apartheid, designed explicitly to thwart the drive toward racial equality, originated in part, among missionary leaders of the Dutch Reformed Church (p 2).
The book, in three parts, traces the beginnings of missionary effort in southern Africa through to the 1960s, and the split in the Dutch Reformed Church (DRC) over the place of African members within the church. While the earlier section of the book repeats much of what is already known about the origin of protestant missionary effort in South Africa, Elphick's middle section begins to look at what he refers to as the Benevolent Empire, a coalition of white mission effort, including the DRC and some of the key mission societies, which acted to help determine state policy towards Africans in the early twentieth century. Elphick describes this sub-contracting of needful welfare services by the state to white missionaries working with black Africans. This was possible, because following a policy known as the social gospel, early twentieth-century missionaries had moved beyond evangelisation into a realisation that, in order to succeed, their efforts needed to address social and economic issues of the day.
While the mission societies, represented in an umbrella body called the General Missionary Conference before the 1930s, and the Christian Council of South Africa after this point, were intensely patriarchal and patronising in outlook, this attitude in fact brought them into conflict with the state after the 1920s. As the state, under first the PACT government and J.B.M Hertzog, moved to cut back on African access to land and African rights (including the Cape franchise) the mission societies began to protest state action. Mission testimony to the Native Economic Commission in 1932 shows a clear division between state intent and how missionaries viewed sustainability in the reserves. Elphick also shows how Christian liberalism in the first half of the century was in the process of segue from being an initiative of individual societies to established church bodies, like the Anglican Church. While the book covers the period until the 1960s, the bulk of it centres on the period from just before the First World War until just after the Second. During this period the DRC moved from a pro-missionary stance to one in which the majority of its synods were opposed to black participation in the church.
Between them, the three books touch on some of the key themes to emerge from the literature on missions and Christianity (understanding that Christianity extends beyond the historic mission churches) in southern Africa over the last decade. Here I will focus on four of the themes which appear in the works at hand: gender; greater texture in mission studies, including an extension of the chronological time-depth against which most missions are studied; African agency; and the public roles of faith.\footnote{7}
As noted by Vernal in her introduction the new “historiography emphasises a host of important arenas” including the “gendered dimensions of missionary activities”\footnote{8} as well as “the roles of particular missions, missionary societies and missionary personalities” (p 6).\footnote{9} The effect of this research has been a host of detail on the minutiae of mission station living, detailed and sensitive analyses of missionary personalities, and a greater appreciation of the fact that many of those personalities were African.\footnote{10}
I wish here to turn to Vernal’s point about gender, because it constitutes a key theme in writing since the 1990s about mission or mission-dependent and derived communities. \textit{Farmerfield} contains a significant amount of material on a shift in gender roles for African men and women, and Elphick has a chapter on the missionary critique of African practices including those centred on sex and marriage. In chapter four, for instance, Vernal examines both the shift in gender roles that occurred as Africans became domesticated into the life of the station; with men assuming more of a role in food production as they moved away from masculine roles centred on hunting and herding. At the same time, Vernal also recognises that many of the station agricultural returns obscure the productive output of women’s labour, while missionary need for domestic labour brought women into roles within European households not open to men (pp 128–129). White missionaries were also triumphant about the extent to which they had
\begin{itemize}
\item Other notable themes of recent writing on missions and Christianity include a focus on African theological cosmologies, or what might loosely be termed a religious subjectivity; and the politics of translation and writing, but these are not included in my discussion here.
\item For example: N. Erlank, “Gendering Commonality: African Men and the 1883 Commission on Native Law and Custom”, \textit{Journal of Southern African Studies}, 29, 4, 2003, pp 937–953; F. Leach, “African Girls, Nineteenth-Century Mission Education and the Patriarchal Imperative”, \textit{Gender & Education}, 20, 4, July 2008, pp 335–347; C. Petrusic, “Violence as Masculinity: David Livingstone’s Radical Racial Politics in the Cape Colony and the Transvaal, 1845–1852”, \textit{The International History Review}, 26, 1, March 2004, pp 20–55; W. Urban-Mead, “‘Girls of the Gate’: Questions of Purity and Piety in the Mtshabezi Girls’ Primary Boarding School in Colonial Zimbabwe, 1908–1940”, \textit{Le Fait Missionnaire}, 11, 2001, pp 75–99.
\item For example (and not in any particular order) R.J. Houle, “Mbiya Kuzwayo’s Christianity: Revival, Reformation and the Surprising Viability of Mainline Churches in South Africa”, \textit{Journal of Religion in Africa}, 38, 2, May 2008, pp 141–170; R.J. Houle, \textit{Making African Christianity: Africans Re-imagining their Faith in Colonial South Africa} (Lehigh University Press, Bethlehem: PA, 2013); D. Maxwell, \textit{African Gifts of the Spirit: Pentecostalism and the Rise of a Zimbabwean Transnational Religious Movement} (Oxford University Press, Harare, Zimbabwe; Ohio University Press, Athens Ohio; James Currey, Oxford, 2006); K. Rüther, “‘Sekukuni, Listen! Banna!, and to the Children of Frederick the Great and Our Kaiser Wilhelm’: Documents in the Social and Religious History of the Transvaal, 1860–1890”, \textit{Journal of Religion in Africa}, 34, 3, 2004, pp 207–234; A.M. Stoner-Eby, “African Clergy, Bishop Lucas and the Christianizing of Local Initiation Rites: Revisiting the ‘Masasi Case’”, \textit{Journal of Religion in Africa}, 38, 2, May 2008, pp 171–208.
\item For example, J. McDonald, “Engrossing Example of the New Narrative History: A Living Man from Africa”, Book review of R.S. Levine, “Jan Tzatoe, Xhosa Chief and Missionary and the Making of Nineteenth-Century South Africa”, \textit{Historia}, 56, 2, 2011, pp 200–203.
\end{itemize}
managed to get their converts to abandon traditional practices linked to gender, like initiation rites and rituals (pp 178–179). In *The Equality of Believers*, Elphick examines the extent to which debates about proper masculinity and femininity shaped missionary intervention in the early years. Missionaries were concerned about what they termed “The Vices of Heathendom” (a sub-title on p 77), and the way in which African sexuality often challenged Christian precept. In some instances this view worked to restrict African practices, but in others it was potentially a source of support for black women, when missionaries acted, generally as one, to promote measures to protect women’s virtue. Of course, whether black women appreciated these efforts is another matter.
*African Teachers*, though rich in other ways, passes up what could be such fruitful opportunity to probe the play of masculinity in the lives of Tswana evangelists. Derek Peterson considers the role of gender in what is one of the more significant pieces of writing on African Christianity in the last decade.\(^{11}\) Stephen Miescher’s *Making Men in Ghana* charts closely the association between constructions of masculinity and the place of Christianity in that multifaceted construction.\(^{12}\) While Volz discusses gender in the chapter on conversion (pp 193–195) he pays little attention to gendered patterns of conversion. Paul Landau has shown in his influential study of Tswana Christianity amongst the Ngwato that women were central to Christian evangelisation and its acceptance. While Volz’s study extends much further than the Ngwato, it would have been helpful to consider more this central argument in Landau’s work.\(^{13}\) Further, while Volz is very careful to note the difficulties of working with sources authored by Europeans, and the importance of working across them in order to reconstruct Tswana activity, it is possible that their masculine authoring might have obscured some of the more complex European gender dimensions present in mission households.\(^{14}\)
A second theme touched upon by both Vernal and Volz concerns the role of indigenous agency in evangelisation in Africa. Building on the publication of Elizabeth Elbourne’s *Blood Ground* in 2001, a number of studies since have examined the indigenisation of Christianity.\(^{15}\) Like Robert Houle’s *Making African Christianity*, considering the spread of Zulu Christianity, Volz’s research shows the extent to which Tswana evangelists were instrumental in spreading Christianity amongst the Tswana.\(^{16}\) This work also echoes Peterson’s *Creative Writing*, on Christianity amongst the Gikuyu, making African agency a focus of work across the continent. The debate stems from a major historiographical shift over the last two decades, the shift emanating from the publication of the Comaroffs’ work on
---
\(^{11}\) D.R. Peterson, *Creative Writing: Translation, Bookkeeping, and the Work of Imagination in Colonial Kenya* (Heinemann, Portsmouth and New Haven, 2004).
\(^{12}\) S. Miescher, *Making Men in Ghana* (Indiana University Press, Bloomington and Indianapolis, 2005).
\(^{13}\) P. Landau, *The Realm of the Word: Language, Gender and Christianity in a Southern African Kingdom* (Heinemann, Portsmouth, 1995).
\(^{14}\) See for instance W. Urban-Mead, “Dynastic Daughters: Three Royal Kwena Women and E.L. Price of the London Missionary Society, 1853–1881”, in J. Allman, S. Geiger and N. Musisi (eds), *Women in African Colonial Histories* (Indiana University Press, Bloomington, 2002, pp 48–70. Also W. Woodward, “The Petticoat and the Kaross: Missionary Bodies and the Feminine in the London Missionary Society 1816–1828”, *Kronos, Journal of Cape History*, 23, 196, 2004, pp 91–107.
\(^{15}\) E. Elbourne, *Blood Ground: Colonialism, Missions, and the Contest for Christianity in the Cape Colony and Britain, 1799–1853* (McGill-Queen’s University Press, Montreal and Kingston, 2002).
\(^{16}\) Houle, *Making African Christianity*.
the southern Tswana. It also, as Volz notes in his work, relates more generally to a reaction in historical writing to the postmodernist turn of the 1990s. While many studies of the 1990s were based on white-mission authored texts, and so spoke to the concerns apparent in those texts, more recent work has moved away from framing itself only in relation to those concerns. In one way this reflects a shift from a more deconstructive approach to one rooted in social history, with a focus on the bottom-up nature of African Christianity.
If Vernal’s work shares an emphasis on agency with Volz’s work, her book also takes the role of missionaries and African Christianity into key twenty-first century historical debates, the texture I referred to earlier. Following Cherryl Walker, Vernal’s account of removal and restitution adds a human dimension to the outcomes of restitution which are not always apparent in the literature. “[I]t is important to assess what happened to the land and to people after land expropriation to understand how these lost histories impact on the feasibility of South Africa’s land restitution agenda” (p 194). Vernal’s focus on the difficulties attendant on removal and restitution speaks to a larger concern for the politics of land in African Christianity.
Like Vernal, Elphick is also concerned with the political dimensions of mission activity. Elphick’s book turns to another recent historiographical trend, one centred on the role and place of religion in colonial and post-colonial politics. While he and Volz share an interest in the public life of religion and its interface with structures of power (itself a significant new trend in writing on African Christianity), Elphick’s work is firmly centred on the white South African state. Elphick is particularly concerned to demonstrate the role of missionaries as intermediaries between Africans and the state in South Africa’s racial politics. His work forms a welcome counterpart to histories of black resistance, particularly the early history of the ANC and other nationalist protest organisations in South Africa. Elphick, through his charting of the intellectual history of Christianity’s support – or lack thereof – for African rights, is another part of this very important strand of twentieth-century thinking.
What all these volumes show is the vigour and interest with which current studies of mission and African Christianity are being pursued. It is also interesting to see how the three authors tackle their subjects from different angles. All well-written and pleasingly free of typographical errors, the volumes demonstrate both a commitment to writing about these subjects and to challenging the ways in which these subjects have previously been written about. From Vernal’s detailed and valuable micro-history, to Volz’s broader sweep of Tswana Christian history, to Elphick’s focus on the public lives of South African Christianity, these books signify a welcome optimism about this area of research.
**Abstract**
In this article I review three books which cover, from different directions, aspects of the history of missions and Christianity in southern Africa. These include debates about the indigenisation of evangelical effort, the role of gender in shaping missions, and the political force represented by Christianity. *African Teachers on the Colonial Frontier: Tswana Evangelists and their Communities during the Nineteenth Century*, by Stephen Volz, is a detailed study of the spread of Christianity in Tswana communities, and the role played by Tswana evangelists, in
a broad swathe from what is now the Free State province of South Africa, across North-West Province and into northern Botswana. *The Farmerfield Mission: A Christian Community in South Africa, 1838–2008*, by Fiona Vernal, examines the operation of a residential mission for Africans and Khoe in the Eastern Cape, South Africa. Vernal’s work covers the period from the establishment of the mission, through the difficulties experienced during the early twentieth century and subsequent forced removals, as well as the resettlement of the descendants of former tenants through land restitution efforts in the early twenty-first century. Richard Elphick’s *The Equality of Believers: Protestant Missionaries and the Racial Politics of South Africa*, discusses the role played by protestant Christian forces in the making and challenging of racial ascription and discrimination in South Africa from the late nineteenth century through to roughly the 1960s.
**Key words:** London Missionary Society; Wesleyan Methodist Missionary Society; missions; Christianity; Botswana; South Africa.
**Opsomming**
In hierdie artikel bespreek ek drie boeke wat elk vanuit verskillende perspektiewe aspekte van die geskiedenis van die sending en Christendom in suidelike Afrika dek. Dit sluit in debatte oor die verinheemsing van die evangeliepoging, die rol van gender in die vorming van sendings, en die politieke mag wat Christenskap verteenwoordig het. Stephen Volz se *African Teachers on the Colonial Frontier: Tswana Evangelists and their Communities during the Nineteenth Century* is ’n gedetailleerde studie van die verspreiding van Christendom in Tswana-gemeenskappe, en die rol van Tswana evangeliste daarin, oor ’n breë area wat strek van die huidige Vrystaat-provinsie, deur die Noordwes-provinsie tot noordelike Botswana. Fiona Vernal se *The Farmerfield: A Christian Community in South Africa, 1838–2008* bestudeer die werking van ’n residensiële sendingstasie vir swartes en Khoe in die Oos-Kaap van Suid-Afrika. Vernal se studie dek die periode vanaf die stigting van stasie, deur die moeilike tye van die vroeë twintigste eeu en die daaropvolgende gedwonge verskuiwings, tot die hervestiging van die nasate van voormalige inwoners danksy pogings tot grondherstel vroeg in die een-en-twintigste eeu. Richard Elphick se *The Equality of Believers: Protestant Missionaries and the Racial Politics of South Africa* bespreek die rol wat verskillende protestantse Christelike groepe gespeel het in die skepping en bestryding van rassetoeskrywing en -diskriminasie in Suid-Afrika, van die laat negentiende eeu tot ongeveer die 1960's.
**Sleutelwoorde:** LMS, WMMS, sending, Christenskap, Botswana, Suid-Afrika, geskiedenis
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1. The following information has been received from a secret and reliable source:
2. The Revolutionary Communist Party (RCP) intend to hold a street meeting on Saturday 12th March, 1983, from 11am in the vicinity of Archway Underground Station to publicise their Irish Freedom Movement (IFM) week of action beginning on Monday 14th March 1983.
3. It is anticipated that some 20/25 individuals will take part, mainly consisting of RCP members/contacts from North and South London. The East London RCP will be making preparations for their participation in the Roach Family Support Group demonstration later that day.
OFFICER: N.D. Short DCI
BRANCH/DISTRICT REFERENCES:
- RCP - 400/83/8
- IFM - 400/82/24
- Roach Family Support Group - 348/83/2
ACTION: 1, 2, 3
DISTRIBUTION: To Grade 5 & above, prep no further use code avail or day
ORIGINAL TO: Chief Supt 'C' Squad
COPIES TO:
INITIALS OF RESERVE/DUTY OFFICER
M.P.81(E) 9-3-83
PA.
SB
22.3.83
[Signature]
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The Office of the
Huron County Engineer
Lee E. Tansey, P.E., P.S.
Plan Holders List for
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Bid Opening (via Zoom
): March 26, 2021, 9:00 a.m. Bids Due by 8:59 a.m. Huron County Engineer's Office, 150 Jefferson Street, Norwalk, OH 44857
Project Contact:
Addenda: None
Engineer's Estimate: $150,000.00
Start Date: June 1st 2021
Completion Date: October 8th , 2021
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Discussiones Mathematicae
Graph Theory 36
(
2016
)
643–659
doi:10.7151/dmgt.1882
Full PDF
DMGT Page
TRIANGLE DECOMPOSITIONS OF PLANAR GRAPHS
Christina M. Mynhardt 1
and
Christopher M. van Bommel 2 , 3
Department of Mathematics and Statistics University of Victoria P.O. Box 1700 STN CSC Victoria, BC, Canada V8W 2Y2
e-mail:
[email protected], [email protected]
Abstract
A multigraph G is triangle decomposable if its edge set can be partitioned into subsets, each of which induces a triangle of G, and rationally triangle decomposable if its triangles can be assigned rational weights such that for each edge e of G, the sum of the weights of the triangles that contain e equals 1.
We present a necessary and sufficient condition for a planar multigraph to be triangle decomposable. We also show that if a simple planar graph is rationally triangle decomposable, then it has such a decomposition using only weights 0, 1 and 1 2 . This result provides a characterization of rationally triangle decomposable simple planar graphs. Finally, if G is a multigraph with K4 as underlying graph, we give necessary and sufficient conditions on the multiplicities of its edges for G to be triangle and rationally triangle decomposable.
Keywords: planar graphs, triangle decompositions, rational triangle decompositions.
2010 Mathematics Subject Classification: 05C10, 05C70.
1 Supported by a Discovery Grant from the Natural Sciences and Engineering Research Council of Canada.
3 Currently PhD student, Department of Combinatorics and Optimization, University of Waterloo, Waterloo, ON, Canada.
2 Supported by a Julie Payette Research Scholarship and an Andr´e Hamer Postgraduate Prize from the Natural Sciences and Engineering Research Council of Canada.
References
[1] B. Barber, D. K¨uhn, A. Lo and D. Osthus, Edge-decompositions of graphs with high minimum degree, arXiv:1410.5750v3, 2015.
[2] A. Bialostocki and Y. Roditty, 3K2-decomposition of a graph, Acta Math. Acad. Sci. Hungar. 40 (1982) 201–208. doi:10.1007/BF01903577
[3] N.L. Biggs, T.P. Kirkman, Mathematician, Bull. Lond. Math. Soc. 13 (1981) 97–120. doi:10.1112/blms/13.2.97
[4] O. Borodin, A.O. Ivanova, A. Kostochka and N.N. Sheikh, Planar graphs decomposable into a forest and a matching, Discrete Math. 309 (2009) 277–279. doi:10.1016/j.disc.2007.12.104
,
[5] F. Dross, Fractional triangle decompositions in graphs with large minimum degree arXiv:1503.08191v3, 2015.
[6] O. Favaron, Z. Lonc and M. Truszczy´nski, Decompositions of graphs into graphs with three edges, Ars Combin. 20 (1985) 125–146.
[7] K. Garaschuk, Linear Methods for Rational Triangle Decompositions, Doctoral Dissertation (University of Victoria, 2014). http://hdl.handle.net/1828/5665
[8] Z. Lonc, M. Meszka and Z. Skupie´n, Edge decompositions of multigraphs into 3matchings, Graphs Combin. 20 (2004) 507–515. doi:10.1007/s00373-004-0581-0
[9] R. H¨aggkvist and R. Johansson, A note on edge-decompositions of planar graphs Discrete Math. 283 (2004) 263–266. doi:10.1016/j.disc.2003.11.017,
[10] I. Holyer, The NP-completeness of some edge-partition problems, SIAM J. Comput. 10 (1981) 713–717. doi:10.1137/0210054
[11] P. Keevash, The existence of designs, arXiv:1401.3665v1, 2014.
[12] S.-J. Kim, A.V. Kostochka, D.B. West, H. Wu and X. Zhu, Decomposition of sparse graphs into forests and a graph with bounded degree, J. Graph Theory 74 (2013) 369–391.
doi:10.1002/jgt.21711
[13] T. Kirkman, On a problem in combinations, The Cambridge and Dublin Mathematical Journal (Macmillan, Barclay, and Macmillan) II (1847) 191–204.
[14] C.St.J.A. Nash-Williams, An unsolved problem concerning decomposition of graphs into triangles, in: P. Erds, P. Rnyi and V.T. S´os (Eds.), Combinatorial Theory and its Applications III (North Holland, 1970) 1179-1183.
[15] J. Steiner, Combinatorische Aufgaben, J. Reine Angew. Math. 45 (1853) 181–182. doi:10.1515/crll.1853.45.181
[16] Y. Wang and Q. Zhang, Decomposing a planar graph with girth at least 8 into a forest and a matching, Discrete Math. 311 (2011) 844–849. doi:10.1016/j.disc.2011.01.019
Powered by TCPDF (www.tcpdf.org)
[17] D.B. West, Introduction to Graph Theory (Prentice Hall, Inc., Upper Saddle River, NJ, 1996).
[18] W.S.B. Woolhouse, Prize question #1733, Lady's and Gentleman's Diary (1844) London, Company of Stationers.
Received 15 April 2015
Revised 6 October 2015
Accepted 6 October 2015
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Mapped, edited, and published by the Geological Survey
Control by USGS, NOS/NOAA, and Indiana Flood Control and Water Resources Commission
Topography by photogrammetric methods from aerial photographs taken 1938 and planimetric surveys 1962
Polyconic projection. 10,000-foot grid ticks based on Indiana State Plane, north west zone
1000-meter Universal Transverse Mercator grid ticks
zone 16G, shown in blue
1927 North American Datum
To place on the predicted North American Datum 1983 move the projection lines 2 meters east
as shown by the dashed curve
Fine red dashes generally indicate selected fence and field lines where generally visible on aerial photographs. This information is unchecked
THIS MAP COMPLIES WITH NATIONAL MAP ACCURACY STANDARDS
FOR SALE BY U.S. GEOLOGICAL SURVEY
DENVER, COLORADO 80225 OR RESTON, VIRGINIA 22092
AND INDIANA DEPARTMENT OF NATURAL RESOURCES, INDIANAPOLIS, INDIANA 46204
A FOLDER DESCRIBING TOPOGRAPHIC MAPS AND SYMBOLS IS AVAILABLE ON REQUEST
Revisions shown as purple and woodland compiled in cooperation with State of Indiana agencies from aerial photographs taken 1981 and other sources. This information not field checked
Map edited 1986
FRANCESVILLE, IND.
40086-H8-TF-024
1982
PHOTOREVISED 1986
DMA 3665 IV NW SERIES 1981
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FILE NO.:
DATE: 20180102
SPECIFIC CLAIMS TRIBUNAL TRIBUNAL DES REVENDICATIONS PARTICULIÈRES
BETWEEN:)
)
KAHKEWISTAHAW FIRST NATION
Claimant
– and –
HER MAJESTY THE QUEEN IN RIGHT OF CANADA
As represented by the Minister of Indian Affairs and Northern Development
Respondent
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
Stephen M. Pillipow and Adam Touet, for the Claimant
Lauri M. Miller and Scott T. Bell, for the Respondent
) HEARD: December 13, 2017
ENDORSEMENT
Honourable Paul Mayer
A Case Management Conference (CMC) was held by teleconference on December 13, 2017, at 4:30 P.M., Eastern Time (Ottawa).
[1] The Claimant shall serve its expert report prepared by Mr. Dallas Maynard to the Respondent in January 2018.
[2]
The Claimant shall respond to the Respondent's revised draft Agreed Statement of Facts and the Respondent's revised draft Agreed Statement of Issues once it has reviewed the Dallas
Maynard Report.
[3]
The Respondent has retained Mr. Hal Love to respond to the Claimant's expert report as well as to provide an independent opinion on historical land values.
[4]
The Claimant shall decide if it will provide a reply expert report once it has reviewed the
Respondent's expert report prepared by Mr. Hal Love.
[5]
The next CMC will be held by teleconference on
Time (Ottawa).
March 1, 2018
, at 4:30 P.M., Eastern
PAUL MAYER
Honourable Paul Mayer
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966 Vaso Sink
A rectangle, Corian® 966 Vaso Sink will blend into any room while adding an air of elegance.
▶ Coordinates with DuPont™ Corian® solid surface vanity tops for a seamless, easy-to-clean surface
▶ Nonporous surface, that with proper cleaning, resists mold, mildew and stains
▶ Colors offered are Corian® Bone, Bisque, Cameo White, and Glacier White
For an explanation of installation options, see Installation/Accessories.
All drain holes in sinks are nominally 3½" in diameter and accept all standard drain hardware, including waste disposal units. Metric conversions are approximate.
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Privacy Notice
Who We Are
Parentapps ('we' or 'us' or 'our') gather and process your personal information in accordance with this privacy notice and in compliance with the relevant data protection regulation and laws. This notice provides you with the necessary information regarding your rights and our obligations, and explains how, why and when we process your personal data.
Parentapps registered office is at Suite 111, 25 Goodlass Road, L24 9HJ and we are a company registered in England and Wales under company number 09005152. We act as the Data Processor when processing your data on behalf of the Data Controller.
Our designated Data Protection Officer/Appointed Person is Becca Waters, who can be contacted at [email protected] or 0800 195 0279.
Information That We Collect
Parentapps processes your personal information to meet our legal, statutory and contractual obligations and to provide you with our products and services. We will never collect any unnecessary personal data from you and do not process your information in any way, other than as specified in this notice.
The personal data that we collect from is:
* Name
* Child's Name
* Date of Birth
* Email
* Home Telephone Number
* Mobile Telephone Number
* Medical information
We collect information in the below ways:
* Forms within our apps
* Forms through website
* Forms with our parent booking systems
* Forms within our online shop
How We Use Your Personal Data
Parentapps takes your privacy very seriously and will never disclose, share or sell your data without your consent; unless required to do so by law. We only retain your data for as long as is necessary and for the purpose(s) specified in this notice. Where you have consented to us providing you with promotional offers and marketing, you are free to withdraw this consent at any time.
The purposes and reasons for processing your personal data are detailed below:
* Contact details for Data Controller purposes
* We may contact you for feedback/testimonials on products
* Support problems and follow up
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Your Rights
You have the right to access any personal information that Parentapps processes about you and to request information about:
* What personal data we hold about you
* The purposes of the processing
* The categories of personal data concerned
* The recipients to whom the personal data has/will be disclosed
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If you believe that we hold any incomplete or inaccurate data about you, you have the right to ask us to correct and/or complete the information and we will strive to do so as quickly as possible; unless there is a valid reason for not doing so, at which point you will be notified.
You also have the right to request erasure of your personal data or to restrict processing (where applicable) in accordance with the data protection laws; as well as to object to any direct marketing from us. Where applicable, you have the right to data portability of your information.
If we receive a request from you to exercise any of the above rights, we may ask you to verify your identity before acting on the request; this is to ensure that your data is protected and kept secure. Once a request has been made we will contact the Data Controller to process this request.
Sharing and Disclosing Your Personal Information
We do not share or disclose any of your personal information without your consent, other than for the purposes specified in this notice or where there is a legal requirement.
Parentapps uses third-parties to provide the below services and business functions; however, all processors acting on our behalf only process your data in accordance with instructions from us and comply fully with this privacy notice, the data protection laws and any other appropriate confidentiality and security measures.
WP Engine – We use WP Engine for servers and they act in the capacity of a processor on our behalf.
For more information, please read their Privacy Notice at https://wpengine.co.uk/legal/privacy/
AWS – We use AWS for cloud-based servers and they act in the capacity of a processor on our behalf.
For more information, please read their Privacy Notice at https://aws.amazon.com/privacy/
WONDE –
We use Wonde for our Parentapp Connect to help schools better manage and securely control their data within our app platform.
For more information, please see https://www.wonde.com/documents
Safeguarding Measures
Parentapps takes your privacy seriously and takes every reasonable measure and precaution to protect and secure your personal data. We work hard to protect you and your information from unauthorised access, alteration, disclosure or destruction and have several layers of security measures in place, including:
* SSL
* TLS
* Encryptions
* Pseudonymisation
* Restricted access
* IT authentication
* Firewalls
* Anti-virus
* Malware
Transfers Outside the EU
Personal data in the European Union is protected by the General Data Protection Regulation (GDPR) but some other countries may not necessarily have the same high standard of protection for your personal data. Parentapps does not transfer or store any personal data outside the EU.
Consequences of Not Providing Your Data
You are not obligated to provide your personal information to Parentapps, however, as this information is required for provide you with our services on behalf of our Data Controllers, we will not be able to offer some/all our services without it.
How Long We Keep Your Data
Parentapps only ever retains personal information for as long as is necessary and we have strict review and retention policies in place to meet these obligations.
Where you have consented to us using your details for direct marketing, we will keep such data until you notify us otherwise and/or withdraw your consent.
Special Categories Data
Owing to the products, services or treatments that we offer, Parentapps sometimes needs to process sensitive personal information (known as special category data) about you, to process on behalf of the Data Controller. Where we collect such information, we will only request and process the minimum necessary for the specified purpose and identify a compliant legal basis for doing so.
Where we rely on your consent for processing special category data, we will obtain your explicit consent through registration form within this app. You can modify or withdraw consent at any time, which we will act on immediately, unless there is a legitimate or legal reason for not doing so.
If you consent to us collecting and using your race, ethnic origin, politics, religion, biometrics (where used for ID purposes) and health for the purposes stated above, please check the box and sign within the registration form.
Lodging A Complaint
Parentapps only processes your personal information in compliance with this privacy notice and in accordance with the relevant data protection laws. If, however you wish to raise a complaint regarding the processing of your personal data or are unsatisfied with how we have handled your information, you have the right to lodge a complaint with the supervisory authority.
Parentapps Becca Waters Suite 111, 25 Goodlass Road, Liverpool, L24 9HJ 0800 195 0279 [email protected]
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APTIDCO for (PMAY) – (HFA) – (Urban) invites applications from Experienced and Eligible Specialists in Urban Housing aspects viz Policy, Engineering, Finance, Planning, Infrastructure, PPP, Economics, Environment, MIS, etc for all positions in City Level Technical Cells of Andhra Pradesh on Contract Basis. Remuneration will be paid as per norms of GOAP. The last date for receiving applications with detailed CV in soft and hard copies on or before 2nd December 2017.
For further details, visit www.aptidco.com and mail id: [email protected]
Sd/– B.M. Diwan Mydeen, Managing Director
DIPR No. 464PP/CL/Advt/1/1/2017-18
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Biographical Note on Themistocles Varnava
NAME: Themistocles Varnava
PLACE AND DATE OF BIRTH: Trachoni Kythreas – January 15 th 1955
PLACE OF STAY PRIOR TO THE INVASION: Trachoni Kythreas
OCCUPATION: Builder
FATHER'S NAME: Varnavas
MOTHER'S NAME: Xenou
MARITAL STATUS: Single
SOLDIER / CIVILIAN: Soldier
MILITARY UNIT OF SERVICE: 361 Infantry Battalion
Brief Historical Background
Varnavas was single and prior to the Turkish invasion in 1974 he resided with his parents in Trachoni Kythreas and he was a builder.
In July 1973 he joined the National Guard to fulfil his army duties. After completing his basic training, he was stationed at the 361 Infantry Battalion, which was headquartered in Syghari at the time.
Varnava, along with other fellow soldiers, manned the posts in the area between Dikomo and Hamit Mandres, the area which was under the jurisdiction of 361 Infantry Battalion.
Upon the completion of phase 1 of the invasion, which commenced on July 20th 1974, and the takeover of the area of Dikomo – Syghari by the Turkish troops, the 361 Infantry Battalion had to relocate to Kythrea, where National Guard posts were manned.
On August 13 th 1974 Varnava, along with the rest of the men of the 361 Infantry Battalion received orders to move to the area of Pahyammos Keryneias, where they remained until August 14 th 1974.
There they manned posts and gunner positions of the National Guard since the area of Pahyammos was at the front line of a cease fire zone after the completion of phase 1 of the invasion.
1974 and upon the commencement of phase 2 of the invasion, the 361 Infantry Battalion
On August 8 th was fiercely attacked by the Turkish troops.
After fierce battles between the outnumbered men of the battalion and the heavily armed invaders, the 361 Infantry Battalion was ordered to retreat and regroup at a height in the area of Klepini.
However, the height in question was under heavy bombing from the war ships of the invaders so the completion of the regrouping in that area was impossible.
The height where the regrouping of the 361 Infantry Battalion was supposed to take place was under heavy bombing and the invaders, accompanied by heavy armored tanks, had approached the positions of the National Guard. Therefore and in light of the fact that there was no plan on how to deal with the situation nor any officers present, the men of the battalion began to retreat in small groups and at will towards the area of Koutsoventis and Kythrea.
Shortly after the retreat of the 361 Infantry Battalion, the area of Pahyammos – Agios Epiktitos was occupied by the Turkish troops.
The direction towards which Varnava went is not known, but according to his fellow soldiers the men of the battalion reached the area of Halefka, north of Kythrea and Kornokipos, via Trapezounta and Klepini.
At the location Halefka the men of the 361 Infantry Battalion split in two groups. One of the groups headed towards Davlos-Flamoudi, whereas the other team remained in the area of Halefka looking for a way to retreat towards the free areas.
Varnava was last seen during the retreat from the height in the area of Klepini.
Source:
Akaki Community Council
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STINGA MONITORING SYSTEM
The STINGA product family covers solutions for:
* Protocol Simulation & Analysis
* Network Monitoring & Analysis
STINGA Monitoring System is a centralized and highly scalable multi-user network monitoring solution based on distributed monitoring probes. Running 24/7/365, this solution is suitable for proactive analysis, real-time analysis, alarm generation, statistics generation and KPI reporting. This is a perfect Business Support System & Operations Support System to ensure the network is delivering on its premises.
Features
Server-side Features:
* Centralized Telecom Network Monitoring
* Running 24/7/365
* Highly scalable – multiple probes, TDM (E1/T1) interfaces, Ethernet interfaces, traffic routers and protocol servers
* Monitoring multiple TDM and Ethernet interfaces simultaneously
* Alarm generation (incl. SNMP)
* Counter and Statistics generation
* Key Performance Indicator (KPI) reporting
* Voice Quality Analysis
* CDR Storage in SQL database
* CDRs available for 3 rd -party applications via streaming or SQL database
* ITU, ANSI, Japan TTC, Chinese ITU and national protocol standards supported
* Standard servers running Linux (CentOS)
* TDM & 1/10 GE Capture Cards (PCIe)
Client Features:
* KPI reporting
* Statistics reporting
* Alarms reporting
* Real-time and offline monitoring, decoding and analysis
* Call Trace and Interleaved Message Trace
* Call Detail Record (CDR) generation
* CDR Correlation
* CDR Search and Filtering
* Advanced Message and Call Trace Filtering
* Message Flow Diagram
* Top-down Quality of Service and Network Performance analysis
* Windows and web-based client applications running on Windows 10, Windows 8, Windows 7, Windows Server 2008 R2 and Windows Server 2012 R2 (32-bit and 64-bit)
Interfaces & Protocols
Interfaces:
[x] E1/T1/J1 interfaces, alarm signals and link status
[x] Ethernet interfaces (10/100/1000) – electrical and optical
SS7 Networks:
[x] SS7oTDM
[x] SS7oIP/SIGTRAN
[x] SS7oRUDP/SS7oRTP
IP, VoIP, IMS Networks:
[x] IP, TCP/UDP/SCTP
[x] SIP, SDP, SIP-T/SIP-I
[x] H.323 (H.225.0, H.245)
[x] Megaco/H.248, MGCP
[x] DIAMETER, RADIUS
[x] GTP', GTP-C, GTP-U
[x] MLPP, eMLPP
[x] SMPP
Fixed Mobile Networks:
[x] GSM/EDGE/CDMA: Abis, A
[x] GPRS: Gb, Gi/Mb, Ga/Gn/Gp, Gs, C/D/E/F/Gc/Gd/Gf/Gr/Lg/Lh/MM5/Vx
[x] UMTS: Nb, Iub, Iur, IuCS, IuPS
[x] LTE: X2-C, X2-U, S1-C/S1-MME, S1-U, S3, S4, S5, S6a, S10, S11, S12, S13, SGs, Gx, Gxa
[x] VoLTE
Access Networks:
[x] ISDN PRI, Q.SIG, DPNSS/DASS2, V5.1/V5.2
Utel Systems Jon Lilletuns vei 1 4879 Grimstad Norway
Phone: +47 37046192
Email: [email protected]
www.utelsystems.com
STINGA MONITORING SYSTEM
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SYMMETRY FOR INTELLIGENT ANALOG SIMULATION
Tudor NICULIU & Anton MANOLESCU
[email protected]
ABSTRACT. Intelligence = Consciousness × Adaptability × Intention and Faith = Intuition × Inspiration × Imagination, are the complementary parts of the human mind. Conscience = Consciousness × Inspiration is the link between. Simulation is the relation between function and structure. Coexistent interdependent hierarchical types of different kind structure the universe of models for complex systems.
The symmetry between construction and understanding is an essential step to the symmetry between intuition and reason – extended adaptability for natural operations, and further, between faith and intelligence. Conscience simulation demands to transcend from computability to simulability. A way to begin is hierarchical simulation. Coexistent interdependent hierarchies structure the universe of models for complex systems, e.g., hardware – software ones. The power of abstraction is the real measure for the human mind. Turning the abstraction into comprehensive construction could be the aim of humanity, the unique God for different cultures of free humans.
1. Hierarchical approach
An operating system serves the autonomous programs, both for the function of the hard and for development of the soft. The society has to assure health and education for every human, and encourage search and research for any conscient human. Way, Truth, Life will coordinate the evolution as long as we have arts, science, and engineering. Both intelligent simulation and the simulation of intelligence demand transcending the present limits of computability toward simulability, by an intensive effort on extensive research to integrate essential mathematical and physical knowledge guided by philosophical goals. [9] Arts and science are equally noble, even if one appears rather spiritual and the other rather material. Their alliance is vital and demonstrates the nonsolvability of the nowadays spirit-matter dichotomy, and of all resulted secondary dichotomies, actually functionally generated by the space-time dichotomy necessary to the human evolution. The human has to enlarge, not to tear, the bands of the reason, and to apply them to the society. Reason has to transform into the consciously recognized limits of the Intelligence in front of the Faith that offers to the human the way to evolve beyond any limits.
We need consciousness to return intelligently to faith; faith bases on inspired imagination-controlled intuition
A reasonable society is hierarchical. Its essential architecture contains three tree-like structures for the same set of humans, therefore, interdependent: arts, science, and engineering-technology. The social hierarchies reflect only a temporary order, generated by humans, to help them concentrate on the spiritual evolution, without neglecting the material problems. The hierarchical social structure can assure an optimal organization of humans among humans. The interdependence of the three social classes is assured functional, not only structural. Without giving up anything essentially human: culture, social or natural togetherness, different approaches, humans have a lot in common: philosophic desire, comprehension of the own hierarchy in the context of the other two, free life based on understanding the necessities, constructive fear of the unknown, and especially the love for creation. Except the three cultural ways, that permanently divide et impera et intellige, there is no other. [8]
People of one choice exist, in all senses of the word. They either comprehend all the alternative ways and their convergence, or, in the context of natural love for philosophy and interest for the other selectable directions, put more passion in one direction.
Of the first category are temporary elected, in different convergent hierarchical modes, the social leaders, of the second, the institutional directors. Both kinds of leaders are more philosophical than their cohabitants, even if the ones master the strategic perspective given by an attained peak, while the others have the joy of the courage to climb into profoundness. The elected artists permanently reconfigure a system of laws, to be beautiful by intelligibility, true by consistence, and good by human understanding. The elected physicists, pure or of different correlated scientific domains all collaborating with mathematics and engineering, govern by research strategies with Gods fear. The elected engineers critically construct and criticize constructively. [7]
For any social role, the elected concentrate, respectively, on faith (mathematicians), conscience (physicists), and intelligence (engineers). There always exists a human, called No. 1 or the Philosopher, depending on the stability of the times, cloudy or clear Sky. He will always lead directly the elected or the philosophers, who will know to educate and learn optimally the humans of all ages, including themselves. We have to start. Otherwise, it is no hurry.
Intellige is to link, to understand, to be aware. In Latin: intellego = to understand, to feel, to master, to gather in mind. Artificial has a derogatory sense; however, the root of the word is art. Arts remind of liberty, as arts for arts. Artificial is at first sight the complement of natural. Our ideas transfer us to places that are neither natural nor artificial. Maybe artificial means something natural created by the human being and nature is an extension of our body. However, we feel to be superior to nature, as to our body: we think. [4]
Why are only humans creating arts, why do they need to know more, and why do they construct other and other natural things they have not found in the nature? We learned the arts have to discover the beauty, that science looks for the truth, and that engineering invents things to help us, caring for the good. Goethe wrote on Frankfurter Theater: Das schöne wahre Gute because the three wonderful scopes have to be always together. He stretched the good that is important to all natural beings, whereby for beautiful or true cares only the human being.
Arts and science demand a distinct power for both development as understanding, and possibly for usefulness. Engineering is to be ingenious, not only to design engines. [3] The abstraction power distinguishes us among the natural beings.
Any human choice to surpass the Nature by arts, to know it better by science, or to enrich it by it by ingenious construction, is as noble and legitimate, because to follow any selected way demands intelligence. Artificial intelligence has an initial sense of enriching natural domains by natural extensions. Reason is an extension of the Nature. The natural language whispers: as the rational numbers are a straight extension of the natural ones, if we neglect the integers, however, you remain in a countable world as the Nature initially is. [5]
We should not be ashamed if someone that we only understand by proper preparation is at least as powerful as the Nature; let's remember the beautiful mother language. Cer (sky) suggests the infinite, and we desire to see it and to link its begin to its end, or better the never begin to the never end, and we find the cerc (circle). The language whispers to us again: π is not rational, it is more than this, and it is as if we listen to a symphony by Beethoven. We understand that the Reality of our Existence is more than the Nature of our Being; therefore, we should know them better, because only Nature can open us the way to Reality. We wonder whether any of the alternative ways demands the same intelligence kind, and if not, which of them should we first research (cerceta) in order to simulate it.
Arts are free, and even when they return to Reason, as mathematics, they bring results, that could before just be seen by Intuition, to send by Inspiration and Imagination to Intelligence. Physics reaches and gets conscious of Reasons limits, both by the quantum theory and by the too complex phenomena, e.g., society and human. It looks like there is no difference for the intelligence that is useful to one of the ways. An example, that confirms that they simply represent different approaches to understand and develop the (presently natural) Reality, is architecture, which we cite in each of them. To conclude: Intelligence is more than Reason, to make us feel as beings superior to Nature, what also means that we have to respect Nature more: Spiritus sanus in mens sana in corpore sano. Therefore, there is something else in the Intelligence, which allows us to consider ourselves humans, human groups, peoples, beings on the Earth, or conscious beings in the physical Universe. We also feel that there is something essential beyond the physical – the metaphysical (Plato).
More, there is something exterior to the human intelligence, without that we could not fight the Time to evolve. We have to feel complete, even if we need education and permanent work in communication with the other humans, of the past, the present, and the future.
We need Conscience to link Faith to Intelligence
You see now why we neglected the integers when we showed that the rationales are countable, i.e., they are as much as the naturals. This way, we divided the problem into two others that we do not forget to reintegrate after we have solved them – divide et impera et intellige.
We count the positive rationales x/y along the secondary diagonals in an odd quadrant of the coordinate system (x0y). Then we repeat this counting for the negative ones in an even quadrant. Finally, we count them together by jumping between quadrants for every current number. We come to the idea how to count the IQ s without using divide et impera et intellige that we have to keep in mind for harder problems, as Life, Truth, and Way.
We have to remember the abstractions that assisted us to go further. We said complete human to someone complete in a context, what implicitly supposes the power to go beyond the context.
This is the story of the integers (integer = perfect, complete): they have a beautiful complete theory, however, do not forget to build the rational numbers to feel as close as needed to any real number. Nevertheless, they realize this is not enough, rewarded by the conscience of the continuous reality – infinitely more powerful than the discrete/ countable one.
To IR, we get by the perfect circle that is beyond the power of reason. Another way to the same scope is by the boring perfection of the square, when computing its diagonal (√2). Again and not fortuitous this alternative is due to Pythagoras, the godfather of π. The beautiful natural induction tells us that the equilateral triangle and the square are but the pioneers of the regular polygon sequence that converges to the circle.
Encouraged, we turn an equilateral ∆ or a square about itself, obtaining the area of the circumscribed circle when the number of sides n→∞, from the areas of the n-sided polygons. However... we wanted to approach π by a sequence of rational numbers, but the example is not good.
Again, we hear like a sweet wind from the sea: Alle guten Dinge sind drei and intuitively sense that we have to know how mathematics masters the infinite. For long time, we knew nothing of sets, but we knew too well to play the role of a calculator. We must not forget what intuition said to intelligence, by Imagination: we just had imagined a sequence of algebraic irrationals converging to the transcendent number π. We scare to be further taught rather what a discrete computer, instead of what an intelligent human, has to know.
For example, we plan to realize artificial intelligence, to have a friend that is conscious of the problems to solve together. For the moment, there is no artificial intelligence. However, we learn to be conscious of the computer limit to process only rationales. This means it uses a sequence (xn)n∈IQ that converges to n √a (Newton), what reminds us of the density of IQ in IR.
Perhaps not practice has to push us into evolution, but Gods fear, i.e., the scientific desire, on any reached level of knowledge, for the next one. Conscience attaches us to science and unfastens us of the false eternity, arrogated by some level of the evolution to freedom. To be free we have to understand all the necessities in the Reality, metaphoric: to escape God of any fear. Intelligent systems need a cosimulation of the parts that belong to different domains, e.g., hardware+software, in the context of a unified representation for simulation parts. Unified simulation of the hardware-software systems is imposed by the incompatibility or the lack of optimality that results of the initial partition of the system.
The design-verification cycle is not efficiently processed for a fixed partition. This disadvantage is eliminated when the simulation methodologies are unified, e.g., by categorial strategies. [1] This implies planning and learning, i.e., the possibility for interlevel communication in the knowledge hierarchy.
An intelligent simulator learns by recursive generation + validation, possibly interactive, of models. The objective of humanmachine dialog is to advance toward simulated intelligence by knowledge communication in a common language between human and his mental/ physical extensions.
We pleaded that abstraction is the handiest tool for the human among other beings. Let us use it to simulate the present situation. Neglecting the conscience, let us see what remains.
What should I do? What you want. What do I want? What you like.
What do I like? What you should do.
This is a cyclic definition only at first sight, because it is most probably that what he should do has changed while crossing the cycle by what he wants or likes. We sketch a minimal intelligent system: it has to be adaptable, self- and context-aware, communicating with the exterior by signals/ actions.
```
<= preprocessing ← senses Conscious processor = (knowledge acquisition + behavior rules) + (intention formulation) + (action authorization) + (action command) =>control → effective organs
```
However, we try it to be fashionable. Consequently, we also abstract from the fact that a discrete processing is not capable of self-consciousness. To avoid any discussions we abstain from any hypothesis on the class of the processor, discrete or continuous. What is the Conscience: it is the link, in our mind, between what we are conscious of and what we are not. Presently, only the extended to Reason adaptability, and the unjustified Intention, are conscious. Presently, we talk about electronic computers, but the nowadays trend is to copy from the living Nature, i.e., to emulate advantages of the living beings to achieve unconsciously complex duties. Vanguard domains are biotechnology and computational intelligence. Neither intelligence nor life is well understood, remember Goethe's Zauberlehrling; more important is that emulation is less human than simulation, remember Mozart's Zauberflöte; they should always develop in parallel, permanently exchanging experience, remember Thomas Mann's Zauberberg. We can imagine an intelligent machine that looks like a human (robot <= labor, in Slavonic). It accumulates knowledge and behavior rules by preprocessing the senses, and it can change the interior defining rules (reconfigurable) corresponding to the behavioral (professional, ethical) knowledge that is considered most important, e.g., most recent or most decent. Therefore, it can consciously filter the actions that determine a new state of the context, what also means new knowledge to accumulate and to be conscious of (adaptability).
It means, the dialog with the external environment determines the intentions. If the system had conscience, the external dialog would be more complex and interesting. Consciousness only makes the adaptability more efficient, what, among others, transforms the human into the most powerful animal. Why do we compare the system without conscience with an animal, not to a human? It is true that we could compare it to an animal, if we had attributed intuition to it. However, what for should we do this, when the human just adapted to a consumption society? The built artificial objects and the socially useful natural objects send him the necessary messages to adapt consciously at the rising efficiency of the society. He neglects both the warnings from the superfluous Conscience and the unnecessary Intuition. If sometimes the two beasts shout too loudly, it is just unpleasant. To be useful Intuition should be linked by Conscience to Intelligence, and intelligently bridled by Imagination. More, Intuition should also know to bridle by Intention the Adaptability. Whether he is human or animal, the human is anyway a machine, a social machine.
His use is to contribute at the eternity, on an arbitrary level of evolution, of a materialistic consumption society. The evolution is for the human among humans, assisted by a reasonably organized society that develops by the human, for the human towards the Human. We said arbitrary level, however, if the educated and encouraged consumption were not strictly materialistic, the human himself would escape from the vicious circle together with the others. More, the present level is artificial in the human evolution. The essential limit of discrete computability, inherited by the computational intelligence, is the necessity of self-reference to integrate the knowledge of the levels to that of the metalevels for modeling the conscience. A hierarchical type representing reflexive abstraction can model the conscious knowledge and the knowing consciousness, if it categorically collaborates with a simulation hierarchical type.
We have to search and research for the aspects of the Reality, and of the human mind that reflects it, even if they are neither constructively nor intuitively expressible. The desire to stop the human evolution on arbitrary stages has no real argument. The evolution is forced to halt on an inhuman level, a consumption society transforming the society into a beehive without interest for conscience and faith, what most probably was realized by destabilization of all revolutionary forms.
We need intelligent Faith to develop to freedom as humans among humans
2. Looking for hierarchical ways
Intelligence simulation designates the project to understand and technologically implement hardware-software a conscious adaptable knowledge generation/ processing. We changed the standard name of AI, to emphasize the need to understand the simulation; everything we know on simulation approaches us of the intelligent simulation of intelligence.
Formalization requires computer-oriented knowledge representation, and inference compatible to computable reasoning. The present work hypothesis considers the human as the only model for behavioral/ structural intelligence, different from a syntactical machine.The system that results of intelligence simulation should be able to explain itself without referring to its internal representation, i.e., to be conscious, and to have a causative behavior. This behavior is due to its internal structure and independent of the exterior interpretation, i.e., it is adaptable. By dialog, it can be aware of an intention, and by all this, it is intelligent.
Intelligence simulation is researched functionally and structurally; however, the present trend is the intelligence emulation (computational intelligence). It is more efficient, especially for adaptive learning, i.e., it does not care for conscience. The hierarchical simulation, assisted by mathematics to get theoretical and formal, can lead to comprehension of the results. The approach has to be concentrated on the knowledge hierarchies, to simulate metaknowledge, for the system's adaptability, and for searching the way to simulate the Conscience.
The basic hierarchy types (classes, symbols, modules) correspond to (syntax, semantics, pragmatics) of the hierarchical language that has to express the intelligent simulation. Intelligent simulation results from the integration of the simulation hierarchy with its knowledge counterpart that represents a reflexive abstraction converging to self-consciousness of the intended adaptable simulation.
The recursively controlled sequential soft/ hard process has to be replaced by a reactive controlled continuous soft/ hard process. Most probably only the sequential reasoning distinguishes two limits of the computability, i.e., speed and possibility, in the essentially unique problem: Conscience. We deserve an example.
Symmetry on (simulation, knowledge) enables intelligent simulation
3. Transfer function singularities
Twenty years ago, one of the authors together with a friend – now professor at Carnegie-Mellon University – presented a related work that compared two methods to determine the poles and zeros of a transfer function, based on state-equations, respectively on node-equations. Complexity of the set-up actions of the first was balanced by weak convergence of the second. This is a typical case to try heuristics together with expert systems. Ten years ago, both authors together with other members of a Romanian–German team, presented a knowledge-based object-oriented analog simulation system. Note: The Newton-Raphson method has been used in circuit simulation for forty years, and the interest for its optimization has not decreased. The graphical or numerical results of a circuit simulator are the primary information that has to be sampled with a variable rate appropriate to the simulator output variation. Knowing the dominant singularities is decisive for simulation, as they reflect the stability of the circuit [2], or can represent primary information in formal simulation, e.g., root locus method.
The transfer function of a linear (linearly approximated around a static operation point) circuit is a ratio between real coefficient polynomials with complex roots, functionally describing the frequency behavior. A pattern-matching search decides which rule applies, and at the end, the transfer function results as a two polynomials ratio. The search is bottom-up while determining the singularities, and top-down to find recursively the dominant ones.
The function of the program is threefold: classification – to recognize the type of singularity from the transfer function or Nyquist diagram; control – for stability; anticipation – to link the results to possible alternatives for improved behavior. It is objectoriented, and written in Java. The main classes are Element, Rule, Match, and Act. The input is a circuit simulator. AC result (numerical or graphic), the output a rational function representing
the approximate transfer function that describes the essential behavior. For the integrated audio amplifier below, the system finds the transfer function too "noisy", and proposes to "clean" it, by insertion of RC series group in parallel to R14; further it verifies whether the capacitance can be integrated.
4. Reflexive Abstraction and Knowledge Hierarchies
The integration between discrete and analog is again needed, for a most soft adaptability and for conscience simulation as continuous recurrence, i.e., analog reaction. A continuous model for hierarchy levels, keeping the discrete hierarchy attributes, could better model the conscience. This means metaknowledge is modeled hierarchically in order to manage self-reference.
Different useful interpretations of the knowledge hierarchies are: real time of the bottom levels, corresponding to primary knowledge/ behaviour/ methods, is managed at upper levels, representing concrete types/ strategies/ models, and abstracted on highest levels to abstract types/ theories/ techniques.
Knowledge bases on morphism mapping the state-space of the object-system onto the internal representation of the simulator. An intelligent simulator learns generating and validating models of the object-system; representation for design and analysis should be common; the algebraic structures on which the different hierarchy types are based on is extended to topological structures; the different simulation entities are symbolic, having attributes as: type, domain, function.
A topology on the space of symbolic objects permits grouping items with common properties in classes. A dynamically object-oriented internal representation results, that can be adapted to the different hierarchy types.
Topological concepts, as neighbourhood, or concepts integrating mathematical structures, as closure, can be applied in verification/ optimisation. The simulation framework represents entities and relations of the simulated system, as well as general knowledge about the simulated universe. Knowledge-based architecture bases on separation of representation from reasoning
An intelligent system is capable of reflexive abstraction, being controlled by problem specification and solving strategies. Strategies are derived from a higher level of knowledge, representing approach principles, which are structured by an even higher level containing abstract types. Applying this, both at environment and simulation component level, ensures flexibility of the framework realisation, by defining it precisely only in the neighbourhood of solved cases.
For representation, this principle offers the advantage of open modelling. The user describes model templates, following a general accepted paradigm that ensures syntactic correctness; the meaning is specified by user-defined semantic functions that control the simulation. For example, a module in an unfinished design can be characterised by constraints regarding its interaction to other modules; the constraints system is a model, open to be interpreted, thus implemented, differently, adapting to criteria in a non-monotonic logic. All simplifying hierarchies contribute to the reaction, while knowledge hierarchy stores, analyses, locally integrates, informs the awareness realising parts and globally integrates.
Interlevel relations in a knowledge hierarchy can be interpreted as planning and learning. Explanation is essential for knowledge-based systems. It can be expressed as proof in a deductive system, whose axioms are the equations constraining component models and input signals, theorems are simulation results, and inference rules represent logic and domain-specific calculus. Constructive logic permits extraction of the system behaviour/ structure from the proof.
5. Mathematical steps beyond Reason
The way to freedom is by understanding necessity. We have to recall to our conscience, to reintegrate our mind, and to remember that society has to assist humans to live among humans, not to consider them its slaves.
1. Structuralism of the spatial-temporal team of mathematicians Bourbaki succeeded in showing the common traits of different domains, emphasizing the structure that abstracts from the definition set; algebraic structure supposes computation over set elements – algebraic operations; topological structure associates to set elements sets of subsets – neighborhoods; order structure compares set elements.
2. Hilbert spaces ground the behavioral model for quantum physics, i.e., the part that is independent of any concrete intervention (in the world of abstractions). The link to the complementary part of the model, representing the interface to the physical world, can not be expressed algorithmically, suggesting the model is not correct in the Reality.
3. Banach algebra introduce, additional to the topological vector spaces, a commutative multiplication that, by an adequate transformation, results in a commutative functional composition, eliminating one of the most important constraints in a classical sequential model.
4. Inductive limits direct the convergence of hierarchical types, enabling the compatibility of partial simulations and contributing to the correctness by construction of the design.
5. Self-adjoint operators and eigenvalues/-vectors assist the knowledge concentration/ stability.
6. Reflexive topological vector spaces contain the necessary ingredients for the representation of the Conscience, by reflecting the adaptability in the variability of the space dimensions.
7. Fixed points help to formalize the simulation goal.
8. Unseparable spaces can instrument the understanding of inspiration and intuition.
9. An analog computability and an integrated mathematicalphysical-comprehensible modeling the Intellige of the three approaches are promising ways.
10. Simulability is computability to the power of continuum: metaphorical thinking, unrestricted mathematics, analog electronics. Mathematical measurability is a way to formalize it.
11. The types of hierarchy link comprehension to the construction: their syntax relies on classes, the meaning on symbols, and their use on modules.
12. The knowledge hierarchy type offers a way to model consciousness. The theory of categories offers well-suited formalism for types. Constructive type theory permits formal specificationverification generating an object that satisfies the specification.
13. We have to consider/ remember that reality is infinitely more than nature. Recurrence is confined to discrete worlds, while abstraction is not. The difference suggests searching for understanding based on mathematical structures that order algebra into topology.
14. Especially, hierarchical reflexive: ideas about ideas and how to get to ideas, representations on representations, objects to synthesize/ analyze/ modify objects, and how to build/ understand representations, concern the evolutionary intelligence.
15. Our approach for singularities determination permits the most important aspect for the analog engineer: to know and to use the dominant singularities.
16. The integration between discrete and analog is needed, for a most soft adaptability and for conscience simulation as analog reaction.
17. Types associated to categories open the way toward including in the concept the inner and exterior knowledge: hierarchy types are expressed as equivalent categories; hierarchic types are expressed as isomorphic categories. Simplifying hierarchy types are linked together by covariant functors; conscience hierarchy type is linked to the simplifying hierarchy types by countervariant functors.
18. Mathematics contains structures that suggest to be used for self-referent models. The richest domain in this sense is functional analysis, which integrates algebra, topology, and order.
19. Constructive mathematics constrains the concept of mathematical function to that of algorithmically computable function, concentrating on the complexity of the algorithm that computes the function. Extending the computation, whose name is linked to discrete, to simulation at the power of continuum results in simultaneous surpassing of the two computation limits: convergence and its speed.
6. Analog systems – solution of the future
Methodology (paradigms, styles, techniques, models, methods), development/ unfolding medium and assistance/ execution instruments for system simulation, e.g., microelectronic, refer to the (Gajski)Y diagram: radially appear representation domains (behavioral, schematical, geometrical), while concentrically – abstraction levels of the considered simulation hierarchies (functionalsymbolic, structural-symbolic, physical-symbolic). We vertically extend the Y diagram to add the symbolization degree. To tend to intelligent simulation, simulation hierarchies for solving or building, that assure the adaptability, are to be accompanied by the knowledge hierarchy type, for a better approximation of the consciousness necessary to intelligence. On Y diagram, simulation operations are:
– deplacements along the axes correspond to top-down – implementation or bottom-up – interpretation
– passing between representations: (behavior → structure) – synthesis/ (structure → behavior) – analysis.
Design is a sequence of implementations and syntheses, while verification one of interpretations and analysis; they have to be integrated on/ between any level/s of the construction. Like this representation is a fundamental criterion to partition the (integrated electronic) systems universe.
Other ways for this used in simulation are: abstraction level – digital/ analog, realization – MOS/ bipolar; these are not proper partitions over the systems universe: digital systems/ MOS technologies accept simpler models, in different representations, corresponding to simpler more abstract mathematical structures that enjoy more efficient operational results than the analog systems, respectively, built in bipolar technologies. We conclude that simulation methodology for the latter generalizes some of the firsts.
symbols
behavior
geometry
schem
e
concrete
reality
symbolic
structure
abstract
architecture
Qualitative level
Functional level
Quantitative level
object-oriented
Intelligence needs analog thinking (metaphors). Analog simulation could indicate both surpassing the noncomputable and the simulation of conscience. [6] Analog simulation needs to be formalized on superior abstraction levels. Analog simulation has to process in the same formalism, initially in the same framework, with the digital one, although using different strategies, methodologies, or instruments:
* Extreme representation domains: functional and geometrical are fixed; the intermediary domain(s) – one or more schematic domains – is determined by decomposing the simulation process in technology free/ dependent parts, and developing a schematic-based simulation theory, to enable the designer intuition to participate at the simulation.
* Relevant hierarchy types and corresponding abstraction levels have to be object of standardization from the analog design community together with the computer-aided design (CAD) community, after uncoordinated research period.
Particularities of analog simulation:
* Description: various specifications, and no standard AHDL – analog Hardware Description Language; behavior is rarely functionally specified; precision of information is not easy to determine.
* Complexity: few components intensively used; simulation is much more complex than for digitals.
* Hierarchy: only structural hierarchies are exploited; abstraction levels are vaguely defined.
* Approach: various system solutions correspond to the competence and performance requirements; topologies are conservative (chosen of a restricted collection of schemes), especially for inferior abstraction levels; however, parameter sizing/ properties determination of a system require more flexibility and precision than what a bottom-up approach assures, i.e., semi-custom/ module generator.
* Technology: strongly reflected on simulation, however, most basic topologies (lower levels) are common to the usual technologies.
* Optimization: applies only on the lower abstraction levels of blocks, or/and of the whole system, i.e., hierarchical optimization is not developed.
7. Conclusions
The hierarchical principle has to be applied to the object of knowledge as to the knowledge structure itself: it mediates the link of paradigm to environment. Reconfiguration continues the ideas of hardware-software cosimulation, intending to extend the software flexibility to hardware, as parallel software tries to get closer to hardware performance. The experimented ways to reconfigurable design are Field-Programmable Gate Arrays for circuits and reconfigurable networks for systems. We want to reach this goal integrating hierarchical intelligent simulation to nanotechnological implementation. Reconfigurable computing architectures complement the existing alternatives of spatial custom hardware and temporal processors, combining increased performance and density over processors, with flexibility in application. We follow the paradigm of intelligent simulation functionally modeling self-aware adaptable behavior to simulate intelligence.
References:
[1] Pierre Ageron, Limites inductives dans les categories accessibles, Theory of
Categories, 8, 11, 313–323, 2001.
[2] Ion Bacalu, Differential Equations. Stability, Matrix, Bucureşti, 2004
[3] Corneliu Burileanu, Speech Technology. Human-Computer Dialogue, Romanian Academy, Bucureşti, 2003.
[4] Cristian Calude, Information and Randomness, Springer, 2002. Solomon Marcus, From Real Analysis to Discrete Mathematics and back, Real Analysis Exchange, 25, 2, 2000.
[5] Corneliu Marinov, John Hopfield, Stable Computational Dynamics for a Class of Circuits with O(N) Interconnections, IEEE Transactions on Circuits and Systems I, 52, 5, 2005.
[6] Tudor Niculiu, Evolution by Closure to the Inverse, Noema Journal, Romanian Academy, V, 1, 168–189, 2006.
[7] Tudor Niculiu, Cristian Lupu, Hierarchical Ascending from Discrete to Continuous, IEEE EUROCON, Warsaw, 2305–2311, 2007.
[8] Tudor Niculiu, Object-oriented Data Structures, and Algorithms, Matrix, Bucureşti, 2008.
Appendix: Theory of categories
Category: K = (|K|, Morph (K), °), whereby:
1. |K| = class of objects: A, B,...
2. Morph(K)=∀(A,B)∈|K| 2 associated morphisms K(A,B)={f, g,..∈A→ B}; morphisms are relatively different: ∀(A,B)≠(A',B') K(A,B)∩K(A',B')=∅
3. (composition of morphisms):
* identity ∀object: ∀A∈|K| ∃idA∈A→A ∀f∈B→A idA°f=f
* associative: h°(g°f)=(h°g)°f∈A →D, ∀f∈A→B, g∈B→C, h∈C→D
g ∀ ∈A→C g°id
A
= g.
Initial object: I∈ ∀ ∈ ∃ ∈ →
Final object: F∈
K A |K|
K∀A∈|K|
Isomorphism: f∈K(A,B)
! f I A (unique, to isomorphism).
∃
∃! f∈A→F (unique, to isomorphism).
!g∈K(B,A), g°f = id
A
, f°g = id
B
(g = f
–1
) ⇔
isomorphic categories.
Epimorphism: f∈K(A,B) ∀ g, h∈K(B,C) g°f=h°f ⇒g=h (reducible to begin).
Monomorphism: f∈K(A,B) ∀ g, h∈K(C,A) f°g=f°h⇒g=h (reducible to end).
Functor: F∈K→L is defined by a function on the objects:
F∈|K|→|L|∀(A,B) ∈|K|
2
, F∈K(A,B) →L(F(A),F(B))
a) F(id
A F(A)
covariant b) F(g°h)=F(g)°F(h) ∀ g,h∈Morph(K) so that g°h is defined;
) = id A |K|
∀ ∈
countervariant b')F(g°h)=F(h)°F(g) ∀ g,h∈Morph(K) so that g°h is defined. Natural transformation/ functorial morphism: η∈F⇒G (F,G∈K→L functors) assigns ∀A∈|K| a morphism ηA∈F(A)→G(A) in L ∀f∈A→B in K: ηB°F(f) = G(f)°ηA.
Functorial isomorphism ⇔ equivalent categories: η∈F⇒G, θ∈G⇒F η°θ = idG, θ°η = idF.
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(for non-jury trial)
⧠ Legal relief properly plead ⧠ Compliance with Indian Child Welfare Act, if applicable
Prior to Final Hearing: ⧠ Notice provided to parties within 45 days of trial ⧠ All parties served
At Hearing: ⧠ Note appearances of all parties present ⧠ Take announcements about readiness to proceed to trial ⧠ Rule on any pending pretrial motions ⧠ Opening Statements, unless waived
Grounds for termination · Holley v. Adams Best Interest: o desires of the child o emotional and physical needs of child now and in future
⧠
Presentation of evidence Closing arguments, unless waived Evidence •
⧠
⧠
o emotional and physical danger to child now and in future
At the End of the Hearing: Determine if met burden of proof: · Termination of Parental Rights: Clear and Convincing Evidence
⧠
* Conservatorship: Preponderance of the Evidence
* If ICWA applies: Beyond a Reasonable Doubt
* Appointment of parent not in child's best interest because would significantly impair child's physical health or emotional development; and
⧠ If termination, appoint DFPS or individual as managing conservator (MC) ⧠ If no termination and DFPS awarded MC, find that:
* Not in child's best interest to appoint relative of child or another person as managing conservator
⧠ If no termination and DFPS awarded MC, consider whether:
* The child will turn 18 in not less than 3 years;
o programs available to assist those individuals to promote best interest of child
o parental abilities of individuals seeking custody
o stability of home or proposed placement
o plans for child by these individuals or by agency seeking custody
* The child is at least 12 years old or has continuously expressed a strong desire against being adopted; and • Needs and desires of child ⧠ Advise parties of right to appeal ⧠ Set Permanency Hearing After Final Order (PHAFO) within 90 days if MC granted to DFPS with termination ⧠ Set PHAFO within 180 days if MC granted to DFPS without termination
o any excuse for acts or omissions of the parent
o acts or omissions of parent which may indicate that existing parent-child relationship not a proper one
Updated September 2019
Well-Being
Best Practices: ⧠ Remind Parent Attorney of appellate duties ⧠ Set initial hearings sooner than statutorily required to ensure progress toward child's permanency goal
⧠ Continue appointment of child's attorney ad litem (AAL) and guardian ad litem (GAL) until child reaches permanency/exits foster care.
Updated September 2019
KEY: Statutory
Well-Being
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EXCALIBUR THEATRE ARTS CO. SUMMER EXPERIENCE 2017
SESSION 1: July 3-7 & July 10-14
SESSION 2: July 17-21 & July 24-28
SESSION 4: August 14-18 & August 21-25
SESSION 5: Intensive August 7-11
Session 5 is a special week of master classes for experienced dancers.
**** ALL PRICING IS PER SESSION. PRICING DOES NOT INCLUDE GST, TAXES ARE ADDITIONAL.
| Summer Classes | Day | Discipline/ Instructor | Time | Age | Price |
|---|---|---|---|---|---|
| Mini Magic Sessions 1 & 2 | Mon Wed Fri | Ballet/Hip Hop Jessi Isaac | 10am- 10:45am | 3/4 | $60 |
| Kinder Kamp Sessions 1 | Mon Wed Fri | | | | $72 |
| | | Acro/Ballet Breanna Larson | 10am-11am | 5/6 | |
| Let's Rock | Mon Wed Fri | | | | $72 |
| Session 2 | | Hip Hop Jillian Hepburn | 10am-11am | 7-9 | |
| Encore Dance Project Session 4 | Tues Thurs | Modern/ Lyrical/Tap Flexibility/ Strength/ Conditioning Christina/Ana Bonnie | 1:30pm- 3:30pm | 9-12 | $120 | |
|---|---|---|---|---|---|---|
| Hardcore Highland Sessions 1, 2 & 4 | Tues Thurs | Highland Technique Bonnie | 10am- 11:30pm | Open | $72 | $100 for both |
Private & Semi Private lessons are available in any discipline.
Please email [email protected] to set up times and dates.
Teachers Available for training:
Ana Klassen, Dani Summer, Cheryl Sim, Christina Iliopulos, and Bonnie Leach
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Certificate of conformity NS protection
Manufacturer / applicant: SolarMax Produktions GmbH
Zur Schönhalde 10
89352 Ellzee
Germany
From Firmware version:
1.0
Connection rule:
Applicable standards /
directives:
VDE-AR-N 4105:2011-08 – Power generation systems connected to the low-voltage distribution network
Technical minimum requirements for the connection to and parallel operation with low-voltage distribution networks.
DIN VDE V 0124-100 (VDE V 0124-100): 2012-07 – Grid integration of power generation systems – low voltage
Test requirements for power generation units to be connected and operated parallel with the low-voltage distribution networks
The above mentioned grid and plant protection has been tested and certified according to the test guideline VDE 0124100. The electrical properties required in the connection rule are satisfied.
- Setting values and disconnect times
- Properly functioning functional chain "NS protection – interface switch"
- Technical requirements of the switching device
- Active detection of stand-alone power systems
- Single-fault tolerance
The certificate contains the following information:
- Technical specifications of the NS protection
- Setting values of the protection functions
- Trip values of the protection functions
BV report number:
14TH0044-VDE0124-100_1
Certificate number:
U17-0064
Date of issue:
2017-02-22
(A partial representation of the certificate requiresthe written permission of
Zertifizierungsstelle
Dieter Zitzmann
Bureau Veritas Consumer Products Services Germany GmbH)
Certification body of Bureau Veritas Consumer Products Services Germany GmbH
Accredited according to DIN EN ISO/IEC 17065
Page1of2
Annex to the Certificate of Conformity self-generation unit No. U17-0064
| Protection function | Setting value | Trip value |
|---|---|---|
| Voltage drop protection U < | 184,0 V | 183,8 V |
| Rise-in-voltage protection U> | 253,0 V | -- |
| Rise-in-voltage protection U>> | 264,5 V | 263,9 V |
| Frequency decrease protection f< | 47,50 Hz | 47,50 Hz |
a proper time of interface switch 10 ms
b longest disconnection of the rise-in-voltage protection as a moving 10-minute-average, tested according clause 188.8.131.52.3 measurement a) of VDE 0124-100
The disconnect time (sum of trip time of grid and plant protection and delay time of interface switch) must not exceed 200 ms.
A check of the overall functional chain "NS protection – interface switch" resulted in a successful disconnection.
The above mentioned grid and plant protection with the assigned power generation units has met the requirements for islanding detection with the help of the active method (resonant circuit test).
The above mentioned NS protection meets the requirements for synchronization.
Page2of2
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The impact of climate change on the critical weather conditions at Schiphol airport (Impact)
Copyright © 2012
National Research Programme Knowledge for Climate/Nationaal Onderzoekprogramma Kennis voor Klimaat (KvK) All rights reserved. Nothing in this publication may be copied, stored in automated databases or published without prior written consent of the National Research Programme Knowledge for Climate / Nationaal Onderzoekprogramma Kennis voor Klimaat. Pursuant to Article 15a of the Dutch Law on authorship, sections of this publication may be quoted on the understanding that a clear reference is made to this publication.
Liability
The National Research Programme Knowledge for Climate and the authors of this publication have exercised due caution in preparing this publication. However, it cannot be excluded that this publication may contain errors or is incomplete. Any use of the content of this publication is for the own responsibility of the user. The Foundation Knowledge for Climate (Stichting Kennis voor Klimaat), its organisation members, the authors of this publication and their organisations may not be held liable for any damages resulting from the use of this publication.
The impact of climate change on the critical weather conditions at Schiphol airport (Impact)
Date March 30, 2012
Authors
Dr.ir. A.J.M. Jacobs\textsuperscript{(1)}, Dr. J. Barkmeijer\textsuperscript{(1)}, Prof. dr. A.P. Siebesma\textsuperscript{(1),(2)}, Dr. ir. E.V. van der Plas\textsuperscript{(1)}, Dr.ir. B.G.J. Wichers Schreur\textsuperscript{(1)}, Ir. J.N. Roozekrans\textsuperscript{(1)}, Prof. dr. A.A.M. Holtslag\textsuperscript{(3)}, Dr. ir. G.J. Steeneveld\textsuperscript{(3)}, Dr. ir. R.J. Ronda\textsuperscript{(3)}, Dr. S.R. de Roode\textsuperscript{(2)}, Ramon Mendez Gomez\textsuperscript{(2)}, Drs. P. van den Brink\textsuperscript{(4)}, Ing. J.O. Haanstra\textsuperscript{(4)}, Ir. L.E.M. Smit\textsuperscript{(5)}
Project leader Dr.ir. A.J.M. Jacobs\textsuperscript{(1)}
\textsuperscript{(1)} Royal Netherlands Meteorological Institute (KNMI)
\textsuperscript{(2)} Delft University of Technology (TU Delft)
\textsuperscript{(3)} Wageningen University and Research Centre (WUR)
\textsuperscript{(4)} Schiphol Group (AAS)
\textsuperscript{(5)} Air Traffic Control the Netherlands (LVNL)
KFC report number Kfc 53/2012
ISBN/EAN 978-94-90070-57-1
Thanks to Rob ten Hove, Gerard Cats, Bert van Ulfet, Nico Maat, Jitze van der Meulen, Mark Savenije, Erik van Meijgaard, Toon Moene, Geert Lenderink and Jisk Attema.
This research project HSMS03 – The impact of climate change on the critical weather conditions at Schiphol airport (Impact) was carried out in the framework of the Dutch National Research Programme Knowledge for Climate (www.knowledgeforclimate.org). This research programme is co-financed by the Ministry of Infrastructure and the Environment.
The impact of climate change on the critical weather conditions at Schiphol airport
# Content
Samenvatting .................................................................................................................. 7
Summary .......................................................................................................................... 11
1 Introduction ................................................................................................................. 15
1.1 Hotspot Schiphol Mainport .................................................................................. 15
1.2 Problem definition ............................................................................................... 16
1.3 Research objectives and approach ...................................................................... 17
1.4 How to read this report ....................................................................................... 18
2 Schiphol Inventory ..................................................................................................... 19
2.1 Critical weather conditions at Schiphol airport .................................................. 19
2.2 Collaborate decision making at Schiphol airport ............................................... 21
3 A scientific revolution on weather and climate modelling ........................................ 23
3.1 Weather conditions on local scales ..................................................................... 23
3.2 Next generation non-hydrostatic modelling ....................................................... 23
3.3 HARMONIE and HIRLAM – model characteristics and differences ............... 24
4 Present and future weather modelling with HARMONIE ........................................ 27
4.1 Selected case studies ........................................................................................... 27
4.2 Method .................................................................................................................. 29
4.3 Case 1: Radiation fog followed by advection, April 8 – 9, 2009 ....................... 29
4.4 Case 2: Strong convection during passage of a front, July 14, 2010 ............... 34
4.5 Case 3: Increasing the sea-surface temperatures, August 13, 2010 ................. 38
4.6 Case 4: Stratocumulus cloud deck, January 30 – February 1, 2011 ................. 42
4.7 Case 5: The Urban Heat Island effect, July 20, 2010 ........................................ 45
4.8 Conclusions ......................................................................................................... 46
5 HARMONIE as a climate tool .................................................................................... 49
5.1 Why and how using HARMONIE as a climate tool? .......................................... 49
5.2 Motivation and background for the August 2006 case ...................................... 49
5.3 Synoptic situation and case setup ....................................................................... 52
5.4 Results and evaluation of the HARMONIE simulations .................................... 53
5.5 Sensitivity of precipitation to the sea surface temperature ................................. 56
5.6 Impact of higher resolution sea surface temperatures ......................................... 58
5.7 Conclusions and outlook ..................................................................................... 59
6 Model verification – a new approach ....................................................................... 61
6.1 Background .......................................................................................................... 61
6.2 Standard verification results ................................................................. 62
6.3 A neighbourhood verification method: FSS ........................................... 63
6.4 An object based verification method: MODE ........................................... 64
6.5 Non-standard verification results ......................................................... 66
6.6 Conclusions ....................................................................................... 70
7 Outlook .................................................................................................. 71
7.1 Conclusions ....................................................................................... 71
7.2 Recommendations ............................................................................. 72
8 References ............................................................................................ 73
Samenvatting
Schiphol Mainport (zie figuur 1.1) en zijn netwerk van internationale verbindingen zijn van essentieel belang voor de economische positie van Nederland in Europa. Vanwege haar ligging vlakbij de zee en 4 - 6 m onder de zeespiegel in de Haarlemmermeer, zijn de luchthaven en haar omgeving kwetsbaar voor veranderingen in ons klimaat. De luchthaven operatie is daarnaast erg gevoelig voor kritieke weersomstandigheden zoals mist, intensieve neerslag en hevige wind. Deze omstandigheden leiden tot een verlies in de beschikbare luchthavencapaciteit (zie tabel 2.1) en indien niet op tijd voorspelt tot extra vertragingen in het luchtruim. Bovendien heeft dit slechte weer een grote impact op de luchtvaartveiligheid (zie figuur 1.2). Een duurzame en veilige operatie van de luchthaven, nu en in de toekomst, vereist betrouwbare weersinformatie op lokale schaal. Als gevolg van klimaatverandering verwachten we dat ook de variabiliteit van het weer op de luchthaven en de frequentie en intensiteit van kritieke weersomstandigheden zullen veranderen, maar een precieze kwantificering daarvan ontbreekt. Onze huidige weer- en klimaatmodellen zijn niet goed in staat om deze veranderingen met voldoende nauwkeurigheid te bepalen. De belangrijkste doelstelling van dit project is daarom het verstrekken en demonstreren van het volgende generatie weer- en klimaatmodel HARMONIE. Dit is een nieuw model dat beter geschikt lijkt om het effect van klimaatverandering op lokale kritieke weersomstandigheden op de luchthaven te kwantificeren en te begrijpen. Bovendien zal kennis uit dit project worden gebruikt om de kwaliteit van onze huidige en toekomstige weersvoorspellingen te verbeteren.
Het HARMONIE model dat in dit project wordt gebruikt, is ontwikkeld door de meteorologische instituten van 27 Europese en Noord-Afrikaanse landen (de "HIRLAM-ALADIN samenwerking", zie figuur 3.1). HARMONIE is een niet-hydrostatisch roosterpuntsmodel dat kan worden toegepast op ruimtelijke resoluties van 1 - 2 km, of zelfs minder. Niet-hydrostatisch betekent dat verticale atmosferische bewegingen expliciet worden opgelost door de modelvergelijkingen. Als gevolg daarvan kan het model worden toegepast voor bepaalde typen gevaarlijk weer, zoals zwaar onweer met sterke verticale windsnelheden (zogenaamde convectie gebeurtenissen) en sterke windsnelheden in de buurt van obstakels en bergen. Voor dit soort zwaar weer is de bruikbaarheid van onze huidige hydrostatische modellen, zoals het weermodel HIRLAM en het klimaatmodel RACMO, vaak beperkt. Naast extreme weersomstandigheden, is HARMONIE ook beter geschikt voor het verwachten van andere soorten weersomstandigheden, zoals de vorming van lage bewolking (zie figuur 3.2), mist en verschillende vormen van neerslag (aanvriezende regen, sneeuw en te zijner tijd hagel).
In dit project wordt het potentieel van het HARMONIE model, om meer gedetailleerdere en nauwkeurigere weersvoorspellingen voor luchthaven Schiphol te leveren dan ons huidige operationele weermodel HIRLAM, nagegaan in het huidige klimaat. Voor dit onderzoek zijn HARMONIE modelgegevens gesimuleerd voor een selectie van weer casestudies (zie tabel 4.1). De geselecteerde cases vertegenwoordigen voornamelijk de weerparameters wind, zicht, lage wolken en neerslag. Deze weerparameters, en plotselinge veranderingen daarin, zijn geïdentificeerd als zijnde het meest kritiek voor de operatie op Schiphol (zie Schiphol Inventarisatie, Hoofdstuk 2). De operationele besluitvorming van de belangrijkste stakeholders op de luchthaven, de Schiphol Groep (AAS), de Luchtverkeersleiding Nederland (LVNL) en de luchtvaartmaatschappij KLM, is sterk afhankelijk van deze weerparameters. Om te kunnen anticiperen op toekomstig weer, hebben we voor een deel van de weer cases tevens onderzocht hoe deze zich ontwikkelen bij veranderingen in de oppervlaktetemperatuur van het zeewater, welke een van de belangrijkste klimatologische factoren is die onderhevig is aan veranderingen in een toekomstig klimaat. De belangrijkste resultaten van de weer casestudies met betrekking tot de weerparameters die essentieel zijn voor de operatie op Schiphol zijn:
**Hevige wind**
Het niet-hydrostatische model HARMONIE lost, in tegenstelling tot HIRLAM, expliciet verticale convectieve bewegingen op. Als gevolg daarvan worden extreme wind situaties, zoals downbursts (bijv. op 14 juli 2010: windsnelheden tot 100 km/uur, windstoten tot 140 km/uur), door het model realistischer opgepakt dan door HIRLAM. Ook de hogere ruimtelijke resolutie van HARMONIE (1 – 2 km versus 10 km in HiRLAM) resulteert in een meer gedetailleerd beeld van de wind. In het algemeen kan HARMONIE kleine gebieden representeren met zeer hoge windsnelheden, die meestal afwezig zijn in HiRLAM (zie figuur 4.6). Ten slotte, als we het huidige operationele model HiRLAM vergelijken met HARMONIE, dan zien we ook dat in gevallen waarin HiRLAM goed presteert, zoals stormen op grote synoptische schaal (orde 1000 km), HARMONIE vergelijkbare resultaten geeft, maar op een hogere resolutie en met meer detail.
**Mist**
Ten opzichte van HiRLAM, lijkt HARMONIE beter in staat om de dynamische structuur van mist velden en van extremen in wolkenwater op de laagste modellniveaus te voorspellen. Desondanks hebben casestudies van stralingsmist situaties laten zien dat HARMONIE, net zoals andere modellen, moeilijkheden heeft bij het voorspellen van de exacte begintijd en de ontwikkeling van de mist. Een hoge verticale resolutie in de laagste honderd meters van het model lijkt daarbij van groot belang. Een lagere verticale resolutie leidt in het algemeen tot een vertraging in het ontstaan van mist. We moeten echter voorzichtig zijn met deze conclusie omdat het aantal gevallen dat we hebben bestudeerd klein is en in sommige gevallen we hebben waargenomen dat niet alle belangrijke modellparameters verbeteren bij een verhoging van de verticale resolutie van het model.
**Lage wolken**
Ondanks dat in het algemeen ook lage wolken beter worden opgepakt door HARMONIE, worden stratocumulus wolken vaak onderschat door het model (zie figuur 4.15) vanwege hun relatieve ondiepte (ze zijn maar een paar honderd meter dik). De grove verticale resolutie van het model maakt dat deze wolken slechts op 1 of 2 modellagen in het model aanwezig zijn. Hierdoor is de representatie veel gevoeliger voor kleine fouten. Zo kan een fout in de orde van 0,1 °C in temperatuur al het verschil maken tussen een heldere atmosfeer of een die is gevuld met lage wolken. Daarom zal net als bij het voorspellen van
mist, ook de voorspelling van de vorming van lage wolken waarschijnlijk profiteren van een fijnere verticale resolutie van het model.
Om deze hypothese te verifiëren, werd een vergelijkbaar experiment uitgevoerd met een zeer hoge resolutie (orde 10 m) ‘Large Eddy Simulation’ (LES) model. Daarbij werd aangetoond dat een dergelijk model goed in staat is om de stratocumulus wolkenlaag te voorspellen (zie figuur 4.16). Door hun fijne resolutie zijn deze LES modellen echter te rekenintensief voor operationeel gebruik.
**Intensieve neerslag**
Verschillende casestudies hebben laten zien dat HARMONIE zware neerslag en de algemene vorm van neerslagpatronen goed voorspelt. Regenintensiteit en het tijdstip van neerslag, lijkt echter zeer gevoelig voor de grootte van het rekendomein van het model (zie figuur 4.9). Voor kleinere rekendomeinen begint de neerslag vaak te vroeg en is de intensiteit te laag. Om het hoge resolutie model HARMONIE met vertrouwen te kunnen toepassen, waarbij betrouwbare resultaten worden geproduceerd en waarbij tegelijkertijd de benodigde reken-tijd binnen aanvaardbare grenzen ligt, wordt een domeingrootte van 400x400 roosterpunten, met de standaard horizontale resolutie van 2.5x2.5 km, aanbevolen. Dit is nodig om de ontwikkeling van convectieve structuren door het model, zoals stormen en buienlijnen, te kunnen garanderen. Deze domeingrootte zorgt ervoor dat HARMONIE niet alleen kleinere schaal informatie aan HiRLAM toevoegt, maar dat de voordelen van een niet-hydrostatisch model voor het maken van een state-of-the-art voorspelling ook echt tot zijn recht komen.
**De impact van de klimaatverandering**
Voor een aantal casestudies is HARMONIE toegepast om het effect van een verhoogde oppervlaktetemperatuur van het zeewater op neerslaghoeveelheden en wind te bestuderen. Het bleek dat dit effect het meest eenvoudig te zien was voor weersystemen die naderen vanuit het westen, dat wil zeggen over zee, en die voldoende tijd hebben om hun invloed uit te oefenen. Het belangrijkste effect van deze weersystemen lijkt te zijn dat convectie in de buurt van de kust makkelijker wordt aangezet, dat neerslagpatronen veranderen en dat regenhoeveelheden en wind in het kustgebied intenser zijn.
HARMONIE is ook toegepast om het stedelijk hitte-eiland effect van Rotterdam te bestuderen. Een stedelijk hitte-eiland is een grootstedelijk gebied dat aanzienlijk warmer is dan het omringende platteland. HARMONIE is in staat om dit effect te modelleren met behulp van een stads energie budget module waar het model over beschikt. Die module berekent het effect van de bebouwde omgeving en de heterogeniteit van het landschap op de lokale weersomstandigheden, zoals bijv. de 2m temperatuur. Gebleken is dat de uitkomsten van hoge resolutie modellen zoals HARMONIE zeer gevoelig zijn voor de landgebruik classificatie gegevens die door het model worden gebruikt (zie figuur 4.18). Dit zal ook van belang zijn voor het modelleren van andere lokale weersverschijnselen die beïnvloed worden door de heterogeniteit van het oppervlak, zoals bijv. convectieve neerslag.
We hebben ook onderzocht wat de skill van HARMONIE is om maandelijkse neerslaghoeveelheden te voorspellen in de zomer. Voor dat doel werd de periode augustus 2006 geëvalueerd. In deze periode werd een record hoeveelheid neerslag waargenomen, vooral bij de kust waar de hoeveelheden meer dan 300% van het klimatologische gemiddelde bedroegen (zie figuur 5.3). Voor dit onderzoek is HARMONIE toegepast in twee verschillende modi: a) Hindcast modus waarin opeenvolgende dagelijkse weervoorspellingen worden gemaakt die elke dag starten vanaf de ECMWF analyse, en b) Klimaat modus waarin het model slechts een keer wordt geïnitialiseerd op 31 juli en dan continu draait tot het einde van augustus. Beide modellen gebruiken dezelfde randvoorwaarden, in dit geval de ECMWF analyse. De hindcast resultaten zijn indicatief voor wat we kunnen verwachten van HARMONIE bij gebruik als een operationele weersvoorspelling model. De klimaatruts zijn een indicatie van hoe HARMONIE zou presteren als een regionaal klimaatmodel, in dit geval gevoed met perfecte randvoorwaarden.
De resultaten tonen aan dat zowel de klimaat als de hindcast simulaties de maandelijkse neerslag overschatten met ongeveer 15% (zie tabel 5.1). Beide simulaties voorspellen het kwalitatieve beeld van meer neerslag in de kustgebieden dan in het binnenland, in overeenstemming met de waarnemingen. Echter, neerslag in het binnenland wordt overschat en de piekwaarde van de hindcast run in de buurt van de kust is veel te hoog (zie figuur 5.6). Verder onderzoek heeft aangetoond dat de meest waarschijnlijke oorzaak van de hogere hoeveelheid neerslag in HARMONIE een veel te hoge oppervlakte verdamping is (zie figuur 5.7), veroorzaakt door te hoge bodemvocht waarden in het model.
Het wordt aangenomen dat de hogere hoeveelheid neerslag, zoals waargenomen in augustus 2006, wordt veroorzaakt door een hogere oppervlaktetemperatuur van het zeewater (SST). Om de rol van de SST op de toename van neerslag te onderzoeken, zijn twee extra klimaat runs gemaakt met een verhoogde (+2 °C) en een verlaagde (-2 °C) SST. Het blijkt dat het veranderen van de SST een sterke invloed heeft op de maandelijkse neerslagsom en dat de meest significante verschillen optreden in het kustgebied (zie tabel 5.2 en de figuren 5.8 en 5.9). Hogere SST’s geven een grotere hoeveelheid neerslag in het kustgebied maar in het binnenland meer dan 100 km van de kust heeft de SST geen effect. Ook is gebleken dat de modellen profiteren van hoge resolutie SST velden gebaseerd op NOAA satellietwaarnemingen. Dit is aangetoond met RACMO hindcasts (zie figuur 5.11), omdat het voor Harmonie technisch nog niet mogelijk is om deze hoge resolutie SST’s te gebruiken. In de operationele setup van HARMONIE wordt het gebruik van deze SST’s sterk aanbevolen.
Ten slotte, een aantal nieuwe verificatiemethoden zijn onderzocht waarvan wij geloven dat ze beter geschikt zijn om de skill van hoge resolutie modellen zoals Harmonie te demonstreren, in het bijzonder voor neerslagverwachtingen. De nieuwe methoden proberen het ‘double penalty’ probleem te omzeilen waar conventionele verificatiemethoden last van hebben, bijvoorbeeld: een bui wordt voorspeld waar hij niet is waargenomen, waardoor een ‘vals alarm’ wordt gehezen, en de waargenomen bui is niet voorspeld, wat telt als een ‘misser’. De toepassing van deze methoden voor HARMONIE zal verder worden onderzocht in de 2de tranche van het KvK programma.
Summary
Schiphol Mainport (cf. figure 1.1) and its network of international connections are of vital importance for the economic position of the Netherlands in Europe. Due to its location near the sea and $4 - 6$ m below sea level in the Haarlemmermeer, the airport and its surrounding area are vulnerable to changes in our climate. The airport operation is very sensitive to critical weather conditions such as fog, intense precipitation and heavy winds. These conditions lead to a loss in the available airport capacity (cf. table 2.1) and if not foreseen in time to additional airspace delays. Furthermore, adverse weather has a high impact on aviation safety (cf. figure 1.2). A sustainable and safe airport operation, now and in the future, requires reliable weather information on local scales. Due to climate change, we also expect that the variability of the airport weather and the frequency and intensity of critical weather events will change, but a precise quantification is lacking. Our present day weather and climate models are not well suited to determine these changes with sufficient accuracy. The main objective of this project therefore is to provide and demonstrate the next generation weather and climate model HARMONIE. This is a new model that seems better suited to quantify and understand the effect of climate change on local critical weather conditions at the airport. Furthermore, knowledge from this project will be used to improve the quality of our present and future weather forecasts.
The HARMONIE model used in this project has been developed by the meteorological institutes of 27 European and North African countries (the “HIRLAM-ALADIN collaboration”, cf. figure 3.1). HARMONIE is a non-hydrostatic grid-point model that can be applied at spatial resolutions of $1 - 2$ km, or even less. Being non-hydrostatic means that vertical atmospheric motions are solved explicitly by the model equations. As a result, the model can be used for certain types of hazardous weather, such as heavy thunderstorms with strong vertical winds (so called convective events) and strong winds near obstacles and mountains. For these types of severe weather the usefulness of our present day hydrostatic models, such as the weather model HIRLAM and the climate model RACMO, is often limited. Besides extreme weather conditions, HARMONIE is also better suited to predict other types of weather events, such as the formation of low clouds (cf. figure 3.2), fog and various types of precipitation (freezing rain, snow and in due course hail).
In this project, the capability of the HARMONIE model to provide more detailed and more accurate weather predictions for Schiphol airport than our present day operational weather prediction model HIRLAM is assessed in the current climate. For this study HARMONIE model data is simulated for a selection of weather case studies (cf. table 4.1). The selected cases mainly represent the weather parameters wind, surface visibility, low clouds and precipitation. These weather parameters, and sudden changes therein, have been identified to be most critical for Schiphol operation (cf. Schiphol Inventory, chapter 2). Operational decision making of the main stakeholders at the airport, the Schiphol Group (AAS), the Air Traffic Control the Netherlands (NVNL) and KLM airlines, highly depends on these weather parameters. To be able to anticipate future
weather, for some of the weather cases we have also studied how they would evolve for changes in the sea surface temperature, which is one of the most important climatological factors that is subject to change in a future climate. The most important results of the weather case studies, in relation to the weather parameters that are critical for Schiphol operation are:
**Strong winds**
Unlike HIRLAM, the non-hydrostatic model HARMONIE explicitly resolves vertical convective motions. As a result, extreme wind events such as downbursts (e.g. at July 14th, 2010: wind speeds up to 100 km/h, gusts up to 140 km/h) are more realistically captured by the model than with HIRLAM. Also the higher spatial resolution of HARMONIE (1 – 2 km versus 10 km in HIRLAM) results in a more detailed picture of the wind. In general, HARMONIE can represent small regions with very high wind speed, which are mostly absent in HIRLAM (cf. figure 4.6). Finally, if we compare the current operational model HIRLAM with HARMONIE, we also see that in cases where HIRLAM performs well, such as large synoptic scale storms (order 1000 km), HARMONIE gives similar results, but at a higher resolution and with more detail.
**Fog**
Compared to HIRLAM, HARMONIE seems better capable to predict the dynamical structure of fog fields and of extremes in cloud water at the lowest model levels. Nevertheless, case studies of radiation fog events have revealed that HARMONIE, among other models, has difficulties in forecasting the precise onset and development of the fog layer. A high vertical resolution in the lowest few hundred meters of the model appears to be of great importance. A lower vertical resolution leads in general to a delay in the onset. However, this conclusion should be drawn with care as the number of cases that have been studied is small and in some of the cases we have seen that not all important model parameters improve with an increase in the vertical resolution of the model.
**Low clouds**
Despite that in general also low clouds are better captured within HARMONIE, stratocumulus clouds are often underpredicted by the model (cf. figure 4.15) due to their relative shallowness (they are only a few hundreds of meters thick). The coarse vertical model resolution makes that these clouds may only be present in the model at 1 or 2 model layers. This makes its representation much more sensitive to small errors. For example, errors of the order of 0.1 °C in temperature may already make the difference between a clear atmosphere and one that is filled with low clouds. Therefore, as with the prediction of fog, also the prediction of the formation of low clouds will likely benefit from a finer vertical model resolution.
To verify this hypothesis, a similar experiment was performed with a very high-resolution (order 10 m) large-eddy simulation (LES) model. It was shown that such a model is well capable to predict the stratocumulus cloud layer (cf. figure 4.16). Due to its fine resolution, these LES models, however, are computationally too expensive for operational use.
**Intense precipitation**
Several case studies have shown that HARMONIE predicts well heavy precipitation and the general shape of rainfall patterns. Rainfall intensity and the timing of precipitation, however, seem to be highly sensitive to the size of the computational model domain (cf. figure 4.9). For smaller model domains the onset of the precipitation is often too early and the intensity is too low. To be able to run the high-resolution model HARMONIE with confidence, producing reliable results but at the same time keep the computational load within acceptable limits, a domain size of 400x400 grid-points, using the standard horizontal resolution of 2.5x2.5 km, is recommended. This is necessary for the development of convective structures by the model, such as storms and squall lines. This domain size ensures that HARMONIE does not only add smaller scale information to HiRLAM, but can really employ the benefits of a non-hydrostatic model to yield a state-of-the-art prediction.
**The impact of climate change**
For a few case studies HARMONIE has been applied to study the effect of increased sea surface temperature on rainfall amounts and winds. It was found that this effect was most easily noticed for weather systems that approach from the west, i.e. overseas, and that have enough time to exert its influence. The main effect for weather systems approaching from the sea seems to be that convection close to the coast is triggered more easily, rainfall patterns change and coastal rainfall amounts and winds are more intense.
HARMONIE has also been applied to study the urban heat island effect of Rotterdam. An urban heat island is a metropolitan area that is significantly warmer than its surrounding rural areas. HARMONIE is able to model this effect by using a town energy budget module. This module calculates the effect of the built up environment and landscape heterogeneity on local weather conditions, such as e.g. the 2m temperature. It appears that the results of high-resolution models such as HARMONIE are very sensitive to the land-use classification data that is used by the model. This will also be of importance for the modelling of other local weather phenomena that are affected by the heterogeneity of the surface, such as e.g. convective rainfall.
We also evaluated HARMONIE for its skill to predict monthly precipitation amounts during the summer. To this purpose the August 2006 period was evaluated. In this period a record amount of precipitation was observed, particularly near the coast where amounts exceeded 300% of the climatological mean (cf. figure 5.3). For this study HARMONIE has been applied in two different modes: a) Hindcast mode in which consecutive daily weather forecasts are made that start each day from the ECMWF analysis, and b) Climate mode in which the model is initialised only once at July 31 running continuously until the end of August. Both models use the same boundary conditions, in this case the ECMWF analysis. The hindcast results are indicative for what we can expect from HARMONIE when used as an operational weather prediction model. The climate mode runs are indicative of how HARMONIE would perform as a regional climate model, in this case fed with perfect boundary conditions.
The results show that both the climate and hindcast simulations overpredict the monthly precipitation by around 15% (cf. table 5.1). Both model simulations predict the qualitative picture of more precipitation in the coastal regions than inland in agreement with the observations. However, inland precipitation is overestimated and the peak value of the hindcast run near the coast is much too high (cf. figure 5.6). Further research has revealed that the most likely reason for the higher precipitation amounts in HARMONIE is a much too high surface evaporation (cf. figure 5.7) caused by too high soil moisture values in the model.
It is believed that the higher amount of rainfall, as observed in August 2006, is caused by higher sea surface temperatures (SST). To investigate the role of the SST on enhanced precipitation, two additional climate runs were made with increased (+2K) and decreased (-2K) SST. It appears that changing the SST has a strong influence on the monthly precipitation and that the most significant differences occur in the coastal zone (cf. table 5.2 and figures 5.8 and 5.9). Higher SST’s indicate a greater amount of rainfall in the coastal area, but inland more than 100 km from the coast the SST has no effect. It also appears that the models benefit from high-resolution SST fields based on NOAA satellite observations. This has been demonstrated with RACMO hindcasts (cf. figure 5.11), because it is technically not yet possible for HARMONIE to use these high-resolution SST’s. In the operational setup of HARMONIE, the use of these SST’s is strongly recommended.
Finally, a few new verification methods have been studied, which we believe are more suited to demonstrate the skill of high resolution models such as HARMONIE, especially for precipitation forecasts. The new methods try to circumvent the ‘double penalty’ problem that conventional verification methods suffer from, for example: a shower is forecasted where it is not observed, raising a ‘false alarm’, and the observed shower is not forecasted, counting as a ‘miss’. The application of these methods for HARMONIE will be further investigated in the 2nd tranche of the KFC programme.
1 Introduction
1.1 Hotspot Schiphol Mainport
Schiphol Mainport and its network of international connections are of vital importance for the Dutch economy. Schiphol is a primary hub for Air France – KLM in the region, resulting in a strong economic position for the Netherlands in Europe and in many employment opportunities. The airport and the surrounding area are vulnerable to changes in our climate. The airport is situated 4–6 m below sea level in the Haarlemmermeer, one of the most complex and vulnerable urban areas of the world. An accelerated sea level rise together with continuous land subsidence and periods of intense precipitation and drought, forces Schiphol to investigate which adaptations are necessary to make the airport and the whole Schiphol region “Climate Proof”.
Figure 1.1: Aerial view of Schiphol Mainport in Amsterdam the Netherlands (source: guardian.co.uk).
Climate proofing Schiphol and to contribute to a sustainable airport operation, now and in the future, requires knowledge on various issues that may be affected by climate change: 1) On regional issues such as land-use, infrastructure, housing, flight safety, noise, air pollution and water management, and 2) On the local weather conditions at the airport which have a direct influence on the airport capacity, which is of vital importance for the position of Schiphol and is a limiting factor for a possible future expansion of the airport. In Hotspot Schiphol Mainport we focus on the effect that climate change has on the local weather conditions at the airport. The objectives of the Hotspot are:
1. To develop a Wind and Visibility Monitoring System for critical weather conditions in the changing climate at the airport (Project “WindVisions”)
2. To provide tailored information about the current local climate at the airport and the perceived changes in climate in the past decennia (Project “Climatology and Climate Scenario’s Mainport Schiphol”)
3. To provide and demonstrate new innovative model tools that can be used to compute with sufficient accuracy the effect that climate change has on the local critical weather conditions at the airport (Project “Impact”)
1.2 Problem definition
Adverse weather highly impacts safety and efficiency in aviation. Recent studies showed that in about 20% of aviation related accidents involving aircraft and in about 80% of airspace delays, the weather was a cause or contributing factor [FAA, 2010; Eurocontrol, 2007].
Figure 1.2: Weather factors and their number of occurrences (not mutually exclusive) that cause or contribute to weather-related aviation accidents (source: FAA, 2010).
Schiphol requirements
Due to its location near the sea, the weather at Schiphol airport is often adverse and subject to sudden changes. Critical weather conditions, like fog, low clouds, stormy winds, severe thunderstorms and heavy precipitation, lead to a loss in the available airport capacity, and if not foreseen in time, to additional delays, diversions and holdings, resulting in increasing costs. For example, at Schiphol airport the number of arrivals and departures reduces by a factor of at least 1.5 when visibility is less than 550 m or when cloud ceiling is less than 200 ft. To increase safety and guarantee operational efficiency during flight and platform operations at the airport, accurate and reliable information on critical weather parameters and their changes on local scales are needed. This will be even more pressing when in a future climate adverse weather occurs more often, is more intense and is due to more sudden changes.
Schiphol problem caused by climate change
The impact of climate change on Schiphol airport is determined by the effect that the future weather has on the airport operation. To guarantee a sustainable and reliable operation of the airport in a future climate, we should be able to identify and quantify changes in the frequency and intensity at which critical weather conditions at Schiphol airport will occur with sufficient accuracy. The main problem however is that we do not know how climate change affects the weather on local scales. Specific questions related to the Schiphol situation are:
- How will local precipitation extremes at Schiphol airport change when air temperature and sea-surface temperature increase in a future climate?
- How will changes in our climate, changes in the physiographic properties of the landscape (such as land-use, vegetation and soil type), or changes in spatial planning, affect the local weather conditions at the airport for parameters such as wind, low clouds and fog?
Present day climate models show that extreme weather events, such as heavy summer rain showers and long periods of heat and drought, become more intense. But, it is still poorly understood how short-duration showers will grow due to temperature increase and our abilities to model rainfall processes in our models are limited [Lenderink et al., 2008]. One of the most important reasons for this are that our climate models do not provide enough spatial differentiation to describe the effect that climate change has on the local weather, and changes in weather extremes are highly uncertain. Shortcomings are due to a coarse resolution of the model, a poor physical description of the land-atmosphere interaction, and the limited predictability of local events.
1.3 Research objectives and approach
In Impact we introduce the new high-resolution (1 – 2 km) non-hydrostatic atmospheric model HARMONIE as the next generation weather and climate model. In the project we demonstrate the potential of this model to better quantify and understand the effect of global climate change on the weather parameters and the scales that are relevant for Schiphol airport. This model, which has been developed by a cooperation of the meteorological institutes of 27 European and North African countries, is our next generation model for operational weather forecasting and weather research on the smaller scales (the so-called mesoscale). Moreover, a few countries also use the model for regional climate research. In the Impact project we intend to do both.
The main objectives of Impact are:
1. To demonstrate the potential of HARMONIE to provide an improved and more detailed short term weather prediction for Schiphol airport;
2. To demonstrate how HARMONIE can be used to compute the effect of climate change on local critical weather conditions at Schiphol airport;
Our approach
Impact is primarily a demonstration project. By selected case studies we will first demonstrate the ability of HARMONIE to determine local high-resolution weather forecasts for Schiphol airport, in particular for those meteorological circumstances that may hinder aircraft operations. Next, we will demonstrate how certain extreme weather events would evolve in case of changing climatological circumstances. The potential of the HARMONIE model to provide high-resolution weather forecasts for Schiphol airport is assessed in the project for several cases in our current and past climate. For this purpose, the model output is validated against the coarse-resolution (10 – 20 km) hydrostatic HiRLAM model, which is the current operational weather prediction model for Schiphol airport, and against local airport observations.
Knowledge from the Impact case studies will be used to further adapt and improve the HARMONIE model. The implementation of these improvements, i.e. harvesting of the results of Impact, is foreseen in the follow-up phase of Impact (2nd tranche KfC programme). In the Impact project we will setup a strong knowledge infrastructure at all partner sites, which is needed for that.
Stakeholders and scientists involved
In Impact stakeholders from the Schiphol Group (AAS) and the Air Traffic Control in the Netherlands (LVNL) are involved. These stakeholders have a strong interest in learning how climate change affects the critical weather conditions at the airport. Furthermore, they expect that Impact will contribute to the development of model tools that can be used to provide improved and more detailed weather forecasts for the airport. Their own adaptation and operational decision strategies highly depend on that. The stakeholders play an important role in the Impact Inventory, in which an overview of local weather parameters that impact the airport operation, their order of relevance and the corresponding “safety” thresholds, will be determined. This inventory helps us to better understand the needs of Schiphol operations for weather information in our present and future climate. Furthermore, it provides more insight in which parameters to retrieve from our models to derive the required information.
The Impact research team consists of scientists from KNMI and from the Dutch universities of Wageningen and Delft. KNMI scientists are involved due to their experience in operational weather forecasting and weather and climate research. Scientists from Wageningen and Delft are involved due to their expertise on local weather processes and their interest to use the newly developed HARMONIE model for general research and for specific research focussing on Schiphol airport. One of the objectives of Impact is to build up a strong knowledge base at these partner sites as well.
In order to facilitate the cooperation between the scientists, Impact will provide a so called “academic” version of the HARMONIE model, which can easily be used at KNMI and various Dutch universities for weather and climate research on basic high-resolution weather parameters, such as those needed for Schiphol airport. For the development of such an academic version, Impact will cooperate with scientists from the international HiRLAM-ALADIN program.
1.4 How to read this report
This is the final report of the KfC project Impact. This report is partly based on the work package reports *Impact Inventory*, *Impact HARMONIE Cases* and *Impact Cobel Verification*, which can be downloaded from the Impact website (cf. the references in section 8). In the work package reports the user requirements are presented in detail. Furthermore, the results from all our HARMONIE model case studies and some verification results for the site-specific fog model Cobel are presented. In this report we concentrate on the most important user requirements from the stakeholders (chapter 2), on an introduction to the next generation weather and climate model HARMONIE (chapter 3), on a demonstration of the applicability of HARMONIE for present and future weather case studies (chapter 4), on a demonstration of the use of HARMONIE for climate research (chapter 5), on a presentation of some standard verification results of the current HARMONIE version, including a proposal for a new verification approach which is more suited for high-resolution models such as HARMONIE (chapter 6), and finally on a summary of the most important findings and recommendations for future work (chapter 7).
2 Schiphol Inventory
An important part of the Impact project is the Inventory. The purpose of this inventory is to identify those weather parameters that highly affect Schiphol operation, their order of importance (ranging from low to high), their corresponding “safety” thresholds for several users at the airport (so called user risk profiles) and how those weather parameters can be observed and retrieved from our weather prediction and climate models at its best.
The Inventory describes the present and future needs of the stakeholders at Schiphol airport for local weather information. Stakeholders involved in the Inventory are the Schiphol Group (AAS), Air Traffic Control the Netherlands (LVNL) and KLM airlines. KNMI has a long-term relation with these stakeholders as a provider of operational weather information for aeronautical purposes. For the whole Inventory we refer to the Inventory report [Jacobs et al., 2011]. This chapter gives a short summary of the most critical weather parameters for Schiphol airport and how its corresponding forecasts are used for collaborative decision making at the airport.
2.1 Critical weather conditions at Schiphol airport
According to the Impact Inventory, the following weather parameters, and sudden changes in these, are most critical for Schiphol operation:
1. Wind direction, wind intensity, wind shear, wind fluctuations (gusts)
2. Surface visibility (VIS/RVR) and low clouds (Ceiling): see table 2.1
3. Precipitation intensity and type (snow, hail, rain, freezing rain)
4. Specific weather conditions such as thunderstorms, lightning, up- and downdrafts
5. Surface and upper-air temperature
Figure 2.1: Snow (left) and hail (right) are weather phenomena that cause a lot of damage to airport operation and aircraft.
In the case studies that have been performed with HARMONIE, we mainly focus on wind, surface visibility, low clouds and precipitation. These weather parameters are critical and of common interest to all stakeholders at the airport.
Wind
For safety and efficiency, airplanes should maximize their possibility to land and take-off against the wind. But, this is not always possible due to the existing runway orientation and due to sudden wind variations. In practice, airplanes often operate under crosswind and sometimes tailwind conditions. For safety, cross- and tailwind values are restricted to certain limits. Depending on the condition of the runway, these limits are 20 knots for crosswind and 7 knots for tailwind. In these limits sudden fluctuations in the wind (gusts) of 10 knots and more are included. When crosswind limits are exceeded and there are fewer runways available that are parallel to the wind, this will reduce the available operational airport capacity. This happens for example at Schiphol airport during strong southwesterly winds.
As Schiphol airport is located near the sea, the wind is often adverse and subject to sudden changes. In order to reduce the negative effect that the wind has on the available operational airport capacity, Schiphol airport is equipped with 6 runways at different wind rose orientations (see figure 2.2). To reduce the adverse effect of wind and wind change on operations, accurate forecasts are needed for periods when cross- and tailwind components exceed their limits near the touchdown and take-off positions at the runways.
Surface visibility and low clouds
Visibility refers to the greatest horizontal distance at which prominent objects can be viewed with the naked eye. Visibility is affected by weather conditions such as precipitation, fog and haze. Similar to surface visibility, the airports view from above is obscured by the presence of low clouds when their coverage is at least 5 okta, or 62.5%. In aviation the minimum height of these clouds is called the ceiling. Adverse visibility conditions have a direct negative influence on the available operational capacity. For example, at Schiphol airport the number of arrivals and departures reduces by at least 30% when visibility is less than 550 m or when cloud ceiling is less than 200 ft (cf. table 2.1).
Accurate information on the time of onset and cessation of reduced visibility conditions will allow for a more efficient use of the available airport capacity. This requires accurate forecasts of visibility and low clouds, of their spatial variability and temporal fluctuations at the airport.
Table 2.1: Visibility classifications (including the corresponding thresholds for visibility and ceiling) and the impact of low visibility conditions on airport capacity.
| Visibility classification | Visibility [VIS/RVR] * | Ceiling* | Capacity restrictions due to visibility (movements / hour) |
|---------------------------|------------------------|----------|----------------------------------------------------------|
| Good | > 5 km [VIS] | and | 68 arrivals or 74 departures, max 104/108 movements No flow restrictions |
| Marginal | 1.5 – 5 km [VIS] | or | 68 arrivals or 74 departures, max 104/108 movements. Use of independent parallel runways required. No flow restrictions |
| LVP phase A | 550 – 1500 m [RVR] | or | 56 arrivals or 52 departures, max 80 movements In general no flow restrictions |
| LVP phase B | 350 – 550 m [RVR] | or | 44 arrivals or 52 departures, max 74 movements Flow restrictions in force |
| LVP phase C | 200 – 350 m [RVR] | | 30 arrivals or 17 departures, max 47 movements Flow restrictions in force |
| LVP phase D | < 200 m [RVR] | | 16 arrivals or 20 departures, max 36 movements Flow restrictions in force |
*RVR = Runway Visual Range; VIS = Visibility for aeronautical purposes; Ceiling = Height of lowest cloud layer with minimum coverage of 5 okta (62.5%).
Precipitation
Extreme precipitation amounts at Schiphol airport may lead to flight restrictions when the rain will accumulate at the runway surface. This will happen when the rain intensity is more than 8 mm/hour for at least 15 minutes. Besides rainfall, also snow, hail and freezing rain (or rain on frozen undergrounds) may lead to either increasing costs, due to damage or suppression of icing conditions, or to the enforcement of flight restrictions. At present, short-term predictions of extreme rainfall, such as heavy summer showers, are too uncertain to base operational decisions on that. Improved forecasts are urgently needed.
2.2 Collaborate decision making at Schiphol airport
Operational weather forecasting and subsequently decision making at Schiphol airport, is heavily based on the output of Numerical Weather Prediction (NWP) models. For short-term forecasts, i.e. up to 48 hours ahead, currently the operational HIRLAM model is used for that. During the next years, this role will be taken over by the high-resolution NWP model HARMONIE. We expect that the HARMONIE model will show significant improvements with respect to the description of local wind fields, the exchange of moisture and heat between the atmosphere and the earths surface (which is relevant for the formation and cessation of fog and low clouds) and the development of convective summer rain showers that may lead to intense precipitation amounts and very strong winds. In chapter 4, the potential of the model to do this will be demonstrated.
The NWP model forms the hearth of the operational weather prediction chain. Sometimes model output needs to be further post-processed, for example to determine parameters that are not outputted directly by the model (such as e.g. the precipitation type in the HIRLAM model or indicators for aircraft induced lightning) or when the customer requires probabilistic forecasts instead of deterministic model output.
The weather forecasts and their impact on airport capacity are discussed several times a day during a briefing (video conference) between the operational divisions from LVNL, AAS and KLM, and KNMI as the weather provider. Based on the outcome of these briefings, LVNL makes a capacity forecast for the airport and sends it to AAS and KLM.
**KLM approach for capacity prognoses**
Besides the above-mentioned briefings, KLM also uses a Capacity Prognoses System (CPS) to determine the airport capacity. In this system (cf. figure 2.3), probabilities on reduced visibility, low clouds and winds, or deterministic values from the NWP model including information about its spread, are used, together with runway availability, runway preference and runway capacity, to determine a probabilistic capacity prognosis. In figure 2.4 an example of such a capacity prognosis is given. The present CPS model is a simplified version of reality, which has been developed as a prototype by KLM. The model still has to prove its value for use during daily operations. Operational measures are never based on the outcome of this model alone. The stakeholders at the airport aim to develop a joint capacity forecast system that can be used by all parties at the airport.
**Figure 2.3:** Coupling of weather information to runway information (runway availability, preference and capacity), in the Schiphol Capacity Prognoses System (CPS).
**Figure 2.4:** An example of a probabilistic forecast for reduced inbound capacity during a morning peak at Schiphol airport. The probability is given that the number of landings (i.e. arrivals) is below a certain threshold. The thresholds are 35, 45 or 65 arrivals per hour.
3 A scientific revolution on weather and climate modelling
3.1 Weather conditions on local scales
Surface weather variables, boundary layer structures, wind, clouds and precipitation, are substantially driven by local physiographic properties and by the heterogeneity of the landscape. Our present day weather and climate models display relative poor skills to compute these conditions, especially in critical situations when the weather is often intense and the spatial and temporal scales of the weather structures are small. The most important reasons for this are that the models are hydrostatic and have a coarse resolution, that the description of physical land-surface and boundary layer processes in the models is poor, and that a local high-resolution observing network, needed to validate the model and to compute an accurate initial state for a weather prediction model, is missing. These shortcomings make that the models are inadequate to numerically resolve most of the key physical processes that lead to critical local weather conditions such as heavy rain showers, local winds, and the formation and decay of fog and low clouds.
3.2 Next generation non-hydrostatic modelling
To be able to compute the effect of climate change on the critical weather conditions at Schiphol airport with sufficient accuracy, we need a weather analysis and prediction model with a spatial resolution of 1 – 2 km. Numerical Weather Prediction (NWP) at such a high resolution requires a complete metamorphosis of the model on model dynamics, model physics and model analysis. During the last 10 years, intensive research has brought increased knowledge on all these issues. A non-hydrostatic treatment of model dynamics enables us to explicitly resolve vertical (convective) movements in the model [Kato, 1997]. This is necessary for explicit simulation of small-scale clouds. A consistent treatment of sub-model-grid processes has led to a unified approach for the physical parameterization of clouds, turbulence and convection in the atmospheric boundary layer of the model [Siebesma et al., 2007; Neggers et al., 2008]. New generation observing systems such as the Meteosat and Metop satellites (www.eumetsat.de) and high quality wind profiles from Doppler weather radars [Holleman, 2005] enable us to observe the state of the atmosphere with much higher spatial and temporal resolution. New data assimilation techniques are presently being developed that enables us to incorporate these observations in NWP models, with the purpose to improve the analysis of our model fields [Seity et al, 2011]. Furthermore, these measurements can be used for model validation as well.
The newly achieved knowledge is presently being implemented by a large European and North African consortium (the “HIRLAM-ALADIN collaboration”, see figure 3.1), in the next generation non-hydrostatic NWP model, named HARMONIE. In Impact the potential of the HARMONIE model to compute high-resolution local weather forecasts for Schiphol airport and to determine changes in critical weather conditions at the airport as a result of climate change are shown. The use of HARMONIE within this context has several advantages:
1. HARMONIE will be the next generation weather analysis and forecasting model, and will be used operationally by a large number of European national meteorological services;
2. HARMONIE contains a data assimilation module that can be used to incorporate observations and compute analysed model fields, which are suited for the monitoring of weather and climate related variables;
3. The HARMONIE consortium will take care that the model can be used under various circumstances and for extreme weather conditions. The model will be supplied with a quality label;
4. The ECMWF (European Centre for Medium-Range Weather Forecasts) will develop a non-hydrostatic forecast model along the same lines as HARMONIE;
5. HARMONIE and ECEARTH both use as system environment IFS (Integrated Forecast System), which enables a future integration of both models in the “Climate Knowledge Facility (CKF)” of the KFC programme;
6. The Rossby Centre at the Swedish meteorological institute (SMHI) has setup a climate branch of HARMONIE. Within this branch the HARMONIE system is developed and evaluated for regional climate applications.
### 3.3 HARMONIE and HiRLAM – model characteristics and differences
In order to judge the quality of the HARMONIE model for numerical weather prediction, our current operational weather prediction model HiRLAM is used as benchmark. In Impact both models are used for performing the numerical simulations. For details on the models, e.g. precisely which physical parameterization schemes are used and how initial and boundary conditions for the models are derived, we refer to their online documentation on [www.hirlam.org](http://www.hirlam.org).
HiRLAM is a hydrostatic grid-point model, of which the dynamical core is based on a semi-implicit semi-Lagrangian discretization of the multi-level primitive equations, using a hybrid coordinate in the vertical. Being hydrostatic means that the hydrostatic approximation replaces the vertical momentum equation. In other words, vertical acceleration is neglected compared to vertical pressure gradients. This is a good approximation for the synoptic and sub-synoptic scales of motion (horizontal length scales of 100 ~ 1000 km). The consequence of using this simplification of the model equations is that certain features cannot be modelled anymore, such as acoustic sound waves and strong vertical winds in heavy thunderstorms and tornado like events, and winds near obstacles and mountains. It also limits the usefulness of such models in situations of severe weather. Nevertheless, hydrostatic models have been successfully applied with horizontal resolutions as small as about 10 km and resolving even some circulations at the mesoscale (horizontal length scale of 2 ~ 200 km). The horizontal resolution of 10 km is computationally feasible because the HIRLAM model is a so-called Limited Area Model (LAM). For its model runs it depends on data provided at the boundaries of the model integration domain. This data is usually produced by model runs at a coarser, say 30 km, resolution. The prognostic variables of HIRLAM comprise horizontal wind components $u$, $v$, temperature $T$, specific humidity $q$ and pressure $p$.
For cases of severe weather, such as strong convection events and mountain waves, the hydrostatic approximation often breaks down. High-resolution models, which are being developed to initiate and evolve such events accurately, therefore usually solve the vertical momentum equation explicitly. These non-hydrostatic models as they are called can be successfully used for weather forecasting on horizontal scales of the order of 100 m, thereby resolving small-scale mesoscale circulations such as cumulus convection. The HARMONIE model used in this study is such a non-hydrostatic model. It is being developed by the HIRLAM and ALADIN collaboration (see figure 3.1). The dynamical core of the model is based on a two time-level semi-implicit semi-Lagrangian discretization of the fully elastic equations, using a hybrid coordinate in the vertical.
Although details of the HARMONIE model formulation can be found on www.hirlam.org, we briefly mention some of the most important components:
- First of all, the HARMONIE model is equipped with an advanced convection scheme (EDMF), which combines small-scale turbulent and larger-scale convective transport in one consistent framework. This mass flux scheme [Siebesma et al., 2007; Neggers et al., 2009; De Rooy and Siebesma, 2008], in which the lateral mixing plays an important role, does indeed improve the specific humidity vertical profiles as expected. Together with a recently improved cloud scheme already quite realistic examples of cloud formation have been observed in HARMONIE runs (figure 3.2). Since there are still many opportunities to improve upon the EDMF scheme, these encouraging
results are quite promising for various critical aspects of weather forecasting, such as, fog formation.
Another important component of HARMONIE is SURFEX, the model that handles surface and soil processes. It comprises of several modules, such as a 1-D high-resolution column model CANOPY to associate the boundary layer with the canopy [Masson, 2008] and the so-called Town Energy Budget (TEB) urban canyon model [Masson, 2000]. The latter TEB model is essential in taking into account the impact of urbanization on the local meteorological properties.
Finally, there is an advanced microphysics package, which is fully integrated in HARMONIE. It describes the dynamics of and interaction between the various hydrometeors, such as, specific humidity, snow, graupel, cloud ice, cloud water and in due course hail. Being part of the model formulation, these hydrometeors can be directly outputted, without additional post-processing such as in the HIRLAM model. Numerical experiments have shown that this model component in particular plays an important role in the predictability properties of the model. For example, tuning of the evaporation rate may drastically change the location and amplitude of precipitation fields [Barkmeijer, 2010].
There is yet another important component of the HARMONIE forecasting suite, which is not used in the current study though. This concerns the data-assimilation module, which in combining available observations with a short-range (6 hour) forecast yields the most optimal starting point, the so-called analysis, for the forecast. In the case studies presented in this report, the model starts from analyses produced by other weather prediction models at a coarser resolution. Research is under way of how to adapt the data-assimilation module in order to make fully use of observational data at the mesoscale. One of the directions, which are currently being explored, is the assimilation of radar data. If successful it will enable a much-improved initialisation of the forecast in areas with, but also without, precipitation. Given the ongoing research activities with HARMONIE, it is evident that during the coming years there is a real opportunity to engage in the exciting area of mesoscale meteorology.
4 Present and future weather modelling with HARMONIE
4.1 Selected case studies
In this chapter we show whether the HARMONIE model is capable to provide more detailed and more accurate weather predictions for Schiphol airport than our present day operational weather prediction model HiRLAM. For this study HARMONIE model data is simulated for a selection of weather case studies (cf. table 4.1) and compared to local weather observations and to model output from HiRLAM\(^1\). The selected case studies represent adverse weather conditions for weather parameters that are most critical for Schiphol operation. We retrieved these weather parameters from the Impact Inventory (cf. chapter 2). The corresponding model parameters that we validated are: precipitation intensity and type, strong winds or wind shear, strong vertical winds, low clouds, and in case of fog, cloud water at ground level, to predict visibility at the surface. Observations that are used for validation are e.g. precipitation radar images, satellite images, wind speed measurements and local observations at the airport. In this chapter we distinguish between the weather in our present climate (*present weather*) and the weather in our future climate (*future weather*). For the latter, we have studied how some of our cases would evolve in a future climate, due to changes in the climatological circumstances, such as e.g. an increase in sea-surface temperatures. In this chapter we will demonstrate the results from some of the cases that we studied. More results can be found in [van der Plas, 2011; Ronda et al., 2012; Mendez-Gomez et al., 2012].
**Table 4.1:** List of HARMONIE case studies selected for Impact. The cases in blue are presented in more detail in this chapter.
| Date | Type of situation | Remarks |
|-----------------------|-----------------------------------------------------------------------------------|----------------------------------------------|
| **Fog and low clouds at Schiphol airport** | | |
| April 8 and 9, 2009 | Due to the passage of a warm front in northeasterly direction over the Netherlands, radiation fog develops at Schiphol airport, followed by advective fog and low stratus clouds. | HARMONIE compared to WRF. |
| April 1, 2009 | Fog and low stratus clouds at Schiphol airport due to the presence of a persistent stationary warm front. | |
| October 5 and 6, 2005 | 2 diurnal cycles of radiation fog in the southwest part of the Netherlands. | HARMONIE compared to WRF. |
| November 24 and 25, 2004 | 2 diurnal cycles of radiation fog, with extreme dry air loft, and temperatures below 0 °C. | 107 flights cancelled at EHAM. HARMONIE compared to WRF. |
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\(^1\) For some case studies, for example for the simulation of radiation fog events, also the American research model WRF has been used for comparison [Skamarock et al., 2005].
## Strong convective events
| Date | Description | Impact |
|--------------------|-----------------------------------------------------------------------------|------------------------------------------------------------------------|
| July 14, 2010 | A front that originates from the southwest of France passes over the Netherlands, resulting in thunderstorms with very strong convection (a so-called downburst) and a large amount of precipitation. | During the passage of the front, strong winds and gusts were reported, near the town of Vethuizen, causing substantial damage. |
| August 13, 2010 | Cold air approaching from the North Sea is pushed into the warmer coastal area. Due to convergence along the coastline, convection is triggered leading to severe lightning and intense rain. | |
| August 20, 2009 | Due to the advection of warm air from the south and the passage of a cold front from the west, a mesoscale convective system develops, causing a rain band over the west of the Netherlands. This rain band intensifies and produces thunderstorms with hail. | A weather alarm was issued for heavy gusts. |
| May 25/26, 2009 | An active and fast moving squall line reaches the south of the Netherlands and passes within 2 hours. During this time period heavy thunderstorms, severe lightning, heavy gusts and hail occur in the western part of the Netherlands during early morning. | Weather alarm situation. Wind gusts (29 m/s) and large hail were reported at Schiphol airport. The hail caused damage to the airplanes. |
| July 9, 2007 | A squall line approaches the Dutch coast from the west to northwest. The squall line produces very intense precipitation and strong vertical winds. | Several water sprouts were observed near the coast. |
| April 30, 2006 | Deep convection in a cold pool over the Netherlands with intense precipitation and severe downdrafts. | Strong outflow conditions close to the ground. |
## Heavy storm and heavy gusts
| Date | Description | Impact |
|--------------------|-----------------------------------------------------------------------------|------------------------------------------------------------------------|
| January 18, 2007 | A heavy storm passes the Netherlands from northwest to southeast, bringing severe precipitation, such as hail and torrential rain, and thunder. Large wind speeds and gusts, especially around the coastal area, but also more inland around Schiphol airport, were observed. | Weather alarm situation. Rapid cyclogenesis leads to large wind speeds and gusts (up to 70 knots) in the coastal area. |
## Wintery precipitation (snow, black ice)
| Date | Description | Impact |
|--------------------|-----------------------------------------------------------------------------|------------------------------------------------------------------------|
| February 8, 2007 | Heavy snowfall in frontal system, moving from southwest to northeast over the Netherlands, covering the whole country in snow. | A weather alarm was issued for intense snowfall. |
## Other (clouds, sea breeze, ...)
| Date | Description | Impact |
|--------------------|-----------------------------------------------------------------------------|------------------------------------------------------------------------|
| January 30 – February 1, 2011 | An extended stratocumulus cloud deck covers the Netherlands. As the cloud base is very close to the ground surface, this causes a very poor visibility (low ceiling). | It is notoriously difficult for weather prediction and climate models to capture these clouds well. |
## The impact of climate change
| Date | Description | Impact |
|--------------------|-----------------------------------------------------------------------------|------------------------------------------------------------------------|
| July 20, 2010 | The 20th of July was the last warm day of the summer of 2010. For this day the so-called Urban Heat Island (UHI) effect is demonstrated by running HARMONIE on a resolution of 500 m. Also the effect of different land-use datasets is shown. | |
| July 14, 2010 | For these convective cases it is studied what the influence of increased sea-surface temperatures is on the rainfall intensity, on rainfall amounts and on the wind. | |
| August 13, 2010 | | |
| July 9, 2007 | | |
Note: It turns out that in some cases the size of the model domain has a significant impact on the quality of the forecasts. This happens especially for convective weather events, such as squall lines and thunderstorms. When such a convective systems is not present in the model domain at initialisation time, it needs time to develop its proper dynamics. The domain size used in the default setup was often too small to give accurate results.
4.2 Method
The main tool used for the case studies is the HARMONIE model code, aiming to produce high quality deterministic forecasts at a resolution of typically 1.0 to 2.5 km. The main difference with HIRLAM is that HIRLAM uses hydrostatic equations, in which meteorologically unstable situations appear more or less instantaneously. The fact that HARMONIE uses non-hydrostatic physics to capture convective movement in the atmosphere should lead to an overall better representation and timing of (thunder) storms and squall lines, where strong vertical winds are possible [cf. Saito et al., 2006; Steppeler et al., 2003].
The HARMONIE model code is the focus of the present state-of-the-art meteorological research, and is being updated on a regular basis. New versions include new routines that are provided, new physical parameterizations for improved forecasts, as technical adjustments to have a more flexible and reliable implementation, necessary to run the HARMONIE suite operationally. The version that is used for the majority of our case studies is cycle 36h1.2, released 29 October 2010, which is supposed to be the first version in which among others a proper, improved, coupling between the upper air and the surface scheme is being taken into account. A few of our cases contain results obtained with 35h1.2, the previous version, but it is not probable that the general conclusions will change when studying the same setup with the 36h1.2 model version.
The initial conditions for the model are derived from the analysis of either the HiRLAM or the ECMWF (IFS) model. No information from a previous run or from data assimilation is used. This type of initialisation is often referred to as a cold start. As HARMONIE is a so-called limited area model, it needs boundary conditions that are provided by a host model. For this purpose also HiRLAM or the ECMWF model are used. Boundary conditions are provided and integrated in the model every three hours. The default domain that is used for each case is a 300 by 300 grid with a resolution of 2.5 km, centred around the Netherlands. From the initial state the non-hydrostatic core is used to evolve the model equations in time.
4.3 Case 1: Radiation fog followed by advection, April 8 – 9, 2009
Despite the high impact of fog on anthropogenic operations such as aviation, fog forecasting remains one of the remaining challenges in meteorology. The reason is that the occurrence of fog is a complex phenomenon that depends on many processes [Holtslag et al., 1990; Bergot et al., 1994].
Layers of radiation fog usually start at air layers very close to the surface, which is prone to radiation cooling because of the relatively high emissivity of the earth’s surface as compared to cloudless air. It can therefore be expected that the vertical resolution of a meteorological model has an important impact on the skill of an atmospheric model to forecast the occurrence and the development of a layer of radiation fog [van der Velde et al., 2010]. Therefore, the effect of increasing the vertical resolution of the mesoscale model HARMONIE has been performed. Preliminary results of HARMONIE are evaluated using observations taken at the Cabauw measurement facility in the central Netherlands. Also, we compare the preliminary results obtained using HARMONIE to preliminary results obtained using the mesoscale model WRF. Furthermore we studied the use of the state-of-the-art 1D column model COBEL [Bergot et al., 2005; Bergot, 2007] for the numerical prediction of fog and low clouds at Schiphol airport [Sander Tijm and Albert Jacobs, 2011; Mark Savenije, 2011]. This single-column model has been provided for this purpose by courtesy of Meteo France.
**Description**
On 8 and 9 April 2009, the synoptic situation in the Netherlands was dominated by a high-pressure system that was located in central Europe and a depression that was located on the Atlantic Ocean close to the western Irish coast. The weather map for UTC 0:00 on 9 April 2009 shows that above northern France a warm front was located, while south-east of the Netherlands a cold front was located. On 9 April 2009 the warm front passes in northeasterly direction over the Netherlands.
*Figure 4.1: Spatial distribution (spline interpolation) of screen-level visibility (m) as observed at the Dutch meteorological monitoring network in the Netherlands at (top to bottom) 1800 UTC 8 April 2009, 2300 UTC 8 April 2009, 0400 UTC 9 April 2009 and 1200 UTC 9 April 2009.*
The synoptic conditions favoured the development of a fog layer during the early morning of 9 April 2009. The development of the fog layer during the night of 9 April 2009 is illustrated in a visibility map of the Netherlands, which is given in figure 4.1. It shows that at 1800 UTC 8 April 2009, the Netherlands is fog free. At 2300 UTC 8 April 2009 fog starts to appear in the eastern part of the Netherlands (provinces of Gelderland, Noord-Brabant and Groningen). At UTC 0400 9 April 2009 visibility is poor in the central and eastern parts of the Netherlands including the location where Schiphol airport is located. At 1200 UTC 9 April 2009 visibility was good in the entire Netherlands.
Observations
The results of the simulations with both mesoscale atmospheric models are evaluated using data that were gathered at the Cabauw measurement facility [Beljaars and Bosveld, 1997]. The Cabauw measurement facility is located in the western part of the Netherlands (51° 58’N, 4° 56’E).
Observations include measurements of the difference components of the surface radiation and energy budget. To compare the model results to profiles of wind speed, wind direction, temperature and humidity, measurements are used that are taken at different heights along the 200 m tower present at the Cabauw measurement facility. For temperature and the dew point temperature, measurements are available at 2 m, 10 m, 20 m, 40 m, 80 m, 140 m and 200 m.
Model description and model setup
HARMONIE is a non-hydrostatic atmospheric model, which core is developed from the dynamical core of the ALADIN modelling system. HARMONIE solves the fully elastic equations using a semi-Lagrangian discretization in the horizontal and a hybrid vertical coordinate system.
For the HARMONIE simulations version 36h1.3 is used which is available on the server of the ECMWF and can be accessed online. Initial and boundary conditions are taken from the ECMWF model. The domain as specified for this study comprises the Netherlands and consists of an area of 750 km x 750 km centred around the Cabauw tower (51° 58’N, 4° 56’E). Calculations are done on a grid of 300 x 300 grid points with a resolution of 2.5 km x 2.5 km.
Because vertical resolution is expected to be an important factor for the development of a fog layer, we have performed simulations for two different setups of the vertical layering in the model: a vertical layering that matches the vertical layering of HIRLAM (see table 4.2), further called HIR60 in the following and a vertical layering that is called the Meteo-France, further called MF60, which has a much finer resolution in the Atmospheric Boundary Layer (ABL): the lowest model level of MF60 is at about 10 m, while it has six layers in the lowest 200 m (see table 4.2).
Table 4.2: Approximate height (in m above the surface) of the lowest 8 vertical layers.
| Vertical levels | HIR60 | WRF | MF60 |
|-----------------|-------|-----|------|
| 1 | 30 | 6 | 10 |
| 2 | 90 | 14 | 31 |
| 3 | 152 | 18 | 58 |
| 4 | 218 | 24 | 93 |
| 5 | 285 | 32 | 136 |
| 6 | 353 | 41 | 186 |
| 7 | 424 | 55 | 243 |
| 8 | 498 | 70 | 306 |
The WRF model is an atmospheric model for modelling processes on the mesoscale [Skamarock et al., 2005]. All simulations performed with the WRF model, are done with the Advance Research Core (ARW, version 3.1.2). For all fog episodes the horizontal grid consists three nested grids with respective resolutions 25 km, 5 km and 1 km. Both the 25 km and 5 km grids comprise of $41 \times 41$ grid cells, while the finest grid comprises $61 \times 61$ grid cells. All grids are centred around the Cabauw measurement facility. In the vertical, the configuration of WRF consists of 35 terrain-following vertical coordinates. The lowest model layer is located at about 6 m, while the model has 7 layers in the lowest 200 m (see table 4.2).
For all simulations, WRF has been initialised using ECMWF analysis forecast. Information on vegetation, land-use type, terrain elevation and albedo are obtained from terrestrial data provided by the U.S. Geological Survey (USGS). In the ARW core different physical packages can be selected. In this study we have used the parameterizations that are more or less standard. For the land surface model we have applied the Noah model, which consists of four soil layers with a vegetation layer on top.
For the 8 and 9 April 2009 fog episode simulations are performed for two days starting at 0000 UTC 8 April 2009 and terminating at 0000 UTC 10 April 2009.
**Results**
Figure 4.2 shows for the fog episode of 8 and 9 April 2009 the observed and modelled net long wave radiation. The net long wave radiation is an important quantity to quantify fog because the liquid water contained in the fog layer is generally a much better emitter of long wave radiation than the air particles that constitute clear air. In the evening of 8 April 2009 both HARMONIE and the WRF permutations show a sharp decrease of the net long wave radiation. The timing of this decrease differs considerably among the different models. In particular the WRF model equipped with the MYJ forecasts a decrease of the net long wave radiation in the evening of 8 April 2009 that is too late and is rather noisy. Both HARMONIE permutations tend to underestimate the net long wave radiation in the evening of 8 April 2009, but they are able to forecast the increase of the net long wave radiation in the morning of 9 April 2009 fairly well.
*Figure 4.2: Observed (+) and simulated (blue: HARMONIE, red: WRF) net long wave radiation between 00:00 UTC 8 April 2009 and 00:00 UTC 10 April 2009 for Cabauw.*
On 9 April 2009 both HARMONIE permutations give reasonable estimates of the net long wave radiation. The WRF model equipped with the MYJ scheme forecasts a rather spiky evolution of the net long wave radiation on 9 April 2009. The WRF model equipped with the YSU scheme gives better estimates of the net long wave radiation, though it tends to underestimate the net long wave radiation from noon onwards on 9 April 2009.
Figure 4.3 gives for the fog episode on 8 and 9 April 2009 measurements and simulation results for the 2m dew point depression. All models are capable of forecasting the occurrence of the fog layer in the early morning of 9 April 2009. The WRF model equipped with the MYJ scheme gives a good estimate of the time that the fog sets on. The WRF model equipped with the YSU model forecasts an onset of the fog that is too early. The HARMONIE model, particular the permutation that is equipped with the HIR60 vertical resolution, overestimates the dew point depression and forecasts an onset of the fog that is slightly too early. All models are able to simulate a correct timing of the dissolving of fog. After the dissipation of the fog the WRF model equipped with the YSU scheme gives very good estimates of the dew point depression on 9 April. Interestingly, the time at which the observed dew point depression at screen level reaches zero values precedes the time at which the net long wave radiation increases. It appears that until about DOY 2009 99.3 the fog layer is relatively thin. At about DOY 2009 99.3 the thickness of the fog increases sharply which means that the net long wave radiation goes to zero. From about DOY 2009 99.3 onwards the fog layer gradually dissolves leading to a gradual decrease of the net long wave radiation after DOY 2006 99.3. In contrast, the WRF model equipped with the MYJ scheme underestimates the screen dew point depression, whereas both HARMONIE permutations overestimate dew point depression on 9 April 2009 after the dissipation of the fog.
**Conclusion**
For three episodes with severe fog in the Netherlands, results obtained by the WRF model and by the HARMONIE model are evaluated. It appears that both models have severe problems in forecasting both the onset and the development of the fog layer. For the fog episode of 8 and 9 April 2009, which is prepresented here, HARMONIE is able to forecast the onset of the fog layer. Also, it gives rather good estimates of the period during which the dew point depression is close to zero. It however underestimates the dew point depression during the evening of 8 April 2009 and the afternoon of 9 April 2009, indicating that the ABL is very moist as compared to the observations. WRF is able to forecast the development of a fog layer in the morning of 9 April 2009. It forecasts however an onset of fog that is slightly too early as compared to the observations. To forecast fog, finding an optimal vertical resolution in the lowest few hundred meters appears to be important. Overall, the HARMONIE permutation involving the relatively fine MF60 vertical resolution performs better than the HARMONIE permutation involving the HIR60 vertical resolution. This conclusion should however be drawn with care, as some important meteorological parameters such as the 2m temperature and the 2m dew point depression in the afternoon on 5 October 2005 (not shown in this report) are better forecasted using HARMONIE equipped with the HIR60 vertical resolution than using HARMONIE with the MF60 vertical resolution.
4.4 Case 2: Strong convection during passage of a front, July 14, 2010
Description
During July 14th of 2010 a front that originates from the southwest of France passes over the Netherlands. This results in thunderstorms with strong convection and a large amount of precipitation. During the passage of the front, events with strong winds and gusts (probably so-called rear inflow jets) were reported. These events are often accompanied by a so-called ‘hook echo’, a more or less comma shaped line of intense precipitation, visible in the radar images, indicating the presence of a region of very strong vorticity. HARMONIE successfully predicted a structure like this in the eastern part of the country.
Precipitation
Model output from HARMONIE and HiRLAM can be represented in 3D, using the Weather Explorer 3D that has been developed at KNMI [Koutek et al., 2010]. This application allows one to note a few considerable model differences, as shown in figure 4.4. The shape of the simulated clouds in HARMONIE is more realistic, showing the anvil-like shape where the convection collides with the tropopause. In HiRLAM clouds are more or less single columns of water, where no distinction is made between the different phases of the water, and only post-processed as a function of local temperature.
Figure 4.4: Impressions of HiRLAM (left) and HARMONIE (right) model output in 3D. In grey accumulated cloud water, graupel and ice are presented. The plain, where visible, shows the map and the precipitation radar images.
When we compare the HiRLAM precipitation forecasts to those obtained with HARMONIE, we can note a couple of differences (cf. figure 4.5). First of all, HiRLAM predicts the region of most intense precipitation between 15:00 and 18:00 UTC at the corner of South Holland (near Hoek van Holland). The frontal structure is not very pronounced. HARMONIE shows considerably more intense bands of rain over the south and east of the Netherlands. Second, HiRLAM produces considerably less rain than HARMONIE. The three hour accumulated rain as shown in figure 4.5 reaches 60 mm, whereas in the HiRLAM forecast not more than 30-40 mm is predicted. If we look at the observations we can look at instantaneous precipitation radar data or at in-situ measurements from the airport. In figure 4.5 a time series plot of precipitation at Schiphol airport is presented. The agreement as shown here is remarkably well. In general, the point-to-point instances of precipitation of high-resolution numerical weather prediction models cannot always be correct to this extent due to the locality of such weather patterns. The plot shows however, that in this case the amount of precipitation is of the right order, and that the timing of the event is correct.
**Figure 4.5:** Forecasts of accumulated precipitation between 15:00 and 18:00 UTC, for HiRLAM (left), and for HARMONIE (middle) using a grid size of 400x400 points and HiRLAM boundaries. On the right a time series of the HARMONIE rain forecast for Schiphol (blue line) and observations (red dots) is presented.
**Wind**
As mentioned in the description, a violent wind or (micro-) downburst passed over the east of the Netherlands, causing substantial damage. More detailed information on the exact nature of this phenomenon is given in [Groenland et al., 2010]. If we compare the wind speed as forecasted by HiRLAM and HARMONIE (cf. figure 4.6), we see that in HiRLAM relatively strong winds develop in large parts of the southeast, whereas in HARMONIE a small region of very intense wind occurs (wind speeds up to 100 km/h, gusts up to 140 km/h), associated with the band of most intense precipitation. This seems to accurately describe the events that took place near the town of Vethuizen (51°54' N, 6°18' E) that day. Also in the time series of the HARMONIE forecast (not presented here) we see that the order of magnitude of the wind is well represented.
**Figure 4.6:** Wind speed at 10 m height above the surface for HiRLAM (left) and HARMONIE (right) at 18:00 UTC.
In figure 4.7 the structure of the vertical wind is shown. The convergence zone that coincides with the area with the most intense precipitation is clearly visible as a border between the stable atmosphere in the northeast and the turbulent convective air mass in the southwest. The vertical wind speed along a vertical slice across the front gives an idea of the structure of the vertical wind. In the top row the front is just entering the slice from the right, showing a cell of air moving upward (in red) and already some downward motion at 600 hPa in front of the lifting cell. In the bottom row the structure responsible for the downburst is visible as an arc of convective cells from ground level at the right to around 250 hPa on the left. In dark blue we see the strong downward motion after the initial upward cell has passed.
**Figure 4.7:** The vertical wind speed at model level 38 (left) and along a vertical cross-section (right) marked by the red line, at 17:00 (top) and 18:00 (bottom) UTC. In the cross-sections, height is given in pressure (Pascal). The HARMONIE domain size used for the computations is 400x400 points.
**Convergence: domain size**
In order to study the effect of the domain size on the forecast, the same simulation is executed on several different domain sizes: on the (default) 300x300 grid, where each grid box is 2.5 km, on a 400x400 and on a 500x500 grid, the latter effectively 1250 km times 1250 km. For all the HARMONIE simulations, the boundary conditions are retrieved from the HiRLAM model.
What happens in this case is illustrated in figure 4.9. In figure 4.8 we see the HiRLAM forecasts, in which the HARMONIE runs are embedded. Note that HiRLAM places the most intense rain west of the actual location of the front.
In the HARMONIE run with 300x300 grid points (cf. figure 4.9, top right) we see that it has developed smaller scale structures with higher intensity rain more inland. The band of intense rain is captured well, but compared to the radar image (figure 4.9, top left) we see that the structure is lagging with respect to the observations. With both 400x400 and 500x500 grid points the location of the rain band is much better: farther east, and slightly tilted to the north.
The HARMONIE model receives its information of the area outside its own computational domain from its host model that provides the boundary conditions. For the majority of cases that we have studied the HIRLAM model was used as host. What we learned from our simulations, especially for convective events, is that HARMONIE in general appears to be unable to deviate substantially from the HIRLAM solution when the domain size is too small. For larger domains, like the ones with 400x400 or 500x500 grid points, HARMONIE is
clearly able to produce its own dynamics, leading to a forecast that resembles the observations more closely. This means that to be able to run a high-resolution model like HARMONIE with confidence, producing reliable results, and adding value to the output of existing models like HiRLAM, it is important to use a larger domain size than the default setup. In practice an area of at least 1000 km by 1000 km is necessary to capture the developing systems, and preferably a somewhat larger domain should be considered to account for the different directions from which weather systems may approach. This, however, will also lead to an increased computational load, which is an important issue when using the HARMONIE model in an operational environment or running the model over longer periods of time such as months or years.
4.5 Case 3: Increasing the sea-surface temperatures, August 13, 2010
To be able to anticipate future weather, we have assessed for several weather events how they would evolve for changes in the sea-surface temperature (SST). The reason is that this will be one of the major vectors along which the influence of a changing climate will be transferred to local weather in the Netherlands. The local effects of global warming will generally be hard to predict, though modelling efforts with relatively high resolution climate models are under way. One effect that is probable and systematically present in most scenarios is a rise in the sea-surface temperature. In HARMONIE we can artificially increase the SST by any amount, and perform sensitivity studies with respect to precipitation and (transient) wind. The effects of an increased SST are most easily visible in weather phenomena that involve weather systems that approach from the west, overseas, and that have enough time to exert its influence. For example, the synoptic storm of January 18th, 2007 (cf. table 4.1) passes too quickly to show a notable influence of the increased SST, and the front that passed on July 14th in the summer of 2010, approached mainly from the south, over the landmasses of France and Belgium.
Description
In the late summer of 2010, a low-pressure system approaches the Netherlands over the North Sea, advecting disturbances from the west. In the morning of August 13, 2010, relatively cold air is pushed over the Dutch coastline, which instantly triggers rain along the coastal region. The low-pressure system advects a mass of relatively cold air over the warmer continent. At roughly 10.00 UTC a region of convergence along the coast develops into organized convection through lifting, triggering lightning and intense rain. The lifted-air dries out, and the showers disperse and disappear inland. Also, a second line of precipitation ± 30 km west is observed. This may be either due to the fact that a region in the middle of the English Channel/North Sea is normally warmer than its surroundings, leading to localized convection, or due to the outflow of the showers generated over land, generating secondary convection. This is a good example of how the coastal region is affected by a relatively warm sea. High relative humidity results from a period of large evaporation over sea and the land-sea transition subsequently triggers or forces convection, leading to heavy showers and thunderstorms until roughly 50 km inland.
Precipitation
If we compare the HARMONIE (domain size 400x400 grid points) forecasts to the precipitation radar (cf. figure 4.10), we notice that the qualitative features of the rain band are present in the HARMONIE forecast. The triggering along the coast line that is visible in the radar images is not reproduced by HARMONIE, but instead the rain band develops some 10 to 20 km inland, and hence rapidly evolves into the large stretched band as was observed with the radar. The second band over sea may have been too thin to represent properly with the HARMONIE 2.5 km grid. Another possibility is that it is caused by a well-known SST anomaly in the North Sea. If we compare the HARMONIE precipitation forecast to the HiRLAM forecast (cf. figure 4.11) we also see that HARMONIE improves upon HiRLAM rather well.
When we evaluate the vertical and horizontal winds, as well as the temperatures, as computed by HARMONIE (not shown here), we see how the incoming trough generates a thin band of large vertical velocity, extending quite high in the atmosphere, coinciding with the rain band. We also see how this region, roughly where Schiphol airport is located, is also subjected to a strongly variable horizontal wind, which changes direction several times, up to the 300 hPa level. Furthermore, HARMONIE produces graupel, a mixture of super cooled droplets and soft hail, whose amount is an indicator for the lightning intensity.
Figure 4.10: Radar images (left) and HARMONIE forecasts of instantaneous precipitation at ground level (right) at 10:00 (top), 11:00 (middle) and 12:00 (bottom) UTC.
If we compare the HiRLAM forecast to the HARMONIE forecast as shown in figure 4.11, we see differences in both the timing and the intensity of the precipitation. The HiRLAM forecast does not represent the sharp onset of the rain band very well, probably due to the fact that the rain band is not associated with a front, but is merely generated through lifting of slightly unstable air, triggering its highly convective nature. The all but complete absence of rain in HiRLAM, e.g. in the accumulation of 9.00 - 12.00 hour however is quite severe.
**Figure 4.11:** Accumulated precipitation (3h) of HiRLAM (left) and HARMONIE (right) at 09:00 (top) and 12:00 (bottom) UTC.
**Influence of a modified sea-surface temperature**
The low-pressure system, which for this case causes the convective rain showers in the coastal region, approaches from the northwest over a long distance over a relatively warm sea. As a result the sea-surface has enough time to exert its influence on the developing convective showers. For this reason this case is also very suitable for studying the effect of an increased SST upon the development of the convective showers.
In order to study the effect of a modified sea-surface temperature upon the convection, we artificially increased the temperature of the sea by 2 °C in every grid box of the HARMONIE model. The results of the increased SST run are presented in figures 4.12 and 4.13. In figure 4.12 the structure of the vertical wind is shown. The increased SST values clearly lead to stronger vertical model winds, both updrafts and downdrafts, at the frontal interface. The increased SST also leads to changes in the precipitation patterns and intensities, as can be seen from figure 4.13. Due to the higher sea-surface temperature convection is triggered more easily (closer to the coast), and more regions with deep convection and heavy precipitation along the coast and over the Yssel Lake develop.
Figure 4.12: Vertical wind speed at model level 38 at 12:00 UTC (left) and along a vertical cross-section marked by the red line (right). In the cross-sections, height is given in pressure (Pascal). The top row presents the HARMONIE results for the unperturbed case, the bottom row for the case with SST increased by 2 °C.
Figure 4.13: Radar images (left) and HARMONIE forecasts (in the middle the unperturbed run and right the run with SST increased by 2 °C) of instantaneous precipitation at ground level at 10:00 (top), 11:00 (middle) and 12:00 (right) UTC.
4.6 Case 4: Stratocumulus cloud deck, January 30 – February 1, 2011
Stratocumulus clouds are only a few hundreds of meters thick. Despite their relative shallowness, they reflect back to space more than 50% of the downwelling solar radiation, and can cause a poor visibility if their cloud base is very close to the ground surface. In addition, in the wintertime period stratocumulus clouds may produce freezing rain.
Figure 4.14: A persistent stratocumulus cloud deck covering the Netherlands. Satellite image is from 31 January 2011, 12h UTC.
Description
The satellite image of 31 January 2011 12 UTC shows a horizontally extended stratocumulus cloud deck covering the Netherlands (cf. figure 4.14). As the condensed water amount in low clouds is typically very small, on the order of 0.1 g/kg, it is notoriously difficult for weather and climate models to capture these clouds well. In practice this means that if the total water specific humidity is only 0.1 g/kg off, or the temperature just a few tenths of a degree Celsius too high, an unsaturated, clear atmosphere will be predicted [De Roode, 2007]. Indeed, the amount of stratocumulus and persistence of the observed stratocumulus cloud deck is underpredicted in various European weather forecast models, such as the ECMWF, COSMO, and HIRLAM model. Also in HARMONIE the stratocumulus cloud deck disappears for a couple of hours around noon-time (cf. figure 4.15). A preliminary analysis of the boundary layer humidity indicates that it is a bit too low during the clear air period.
Figure 4.15: Time series of stratocumulus clouds forecasted by HARMONIE for the Cabauw site. Presented is the cloud fraction, ranging from 0% to 100%, as computed by the new model cloud scheme EDMF. The white line represents the observed cloud base height derived from the Cabauw measurements.
A couple of possible reasons for the underestimation of stratus in the winter period have been suggested. In general an accurate initialisation of the model is vital for the quality of the weather prediction. For example, if the lower atmosphere is initialised too warm or too dry, the cloudiness will be too low. In the extreme case that no clouds are initialised at all, the process of radiative cooling at the top of the cloud layer will not occur, thereby leading to a persistent warm bias and a lack of low cloud fields. This situation is not unlikely, as errors of the order of a few tenths of a degree in the temperature can be sufficient to yield a clear atmosphere. Other reasons that have been put forward are errors in the surface fluxes of heat and moisture, or excessive entrainment of dry air present just above the cloud top. To verify these hypotheses, HARMONIE model results are compared to observations from the Cabauw measurement site and to numerical experiments done with a large-eddy simulation (LES) model. The advantage of the LES model is that due to its extreme high-resolution (typically 10 – 100 m), the model is capable to resolve most of the small-scale features. As such LES models are considered as the most appropriate tools to obtain a better understanding of low clouds and provide a suitable means to test hypotheses.
**Results of testing our hypotheses**
It was found that the LES model is well capable of predicting a solid and persistent cloud deck. Figure 4.16 shows the evolution of the cloud base and cloud top heights. The modelled cloud base height is close to the observations. The cloud top height is about 600 m at 12 UTC, which is in agreement with the radiosonde observations. During the full period of the simulation the cloud layer is thick enough to prohibit the development of clear air patches. This is in contrast with the HARMONIE result, which shows the disappearance of the clouds at 16 UTC (see figure 4.15). According to our observations at that time the cloud layer has a depth of approximately 200 m.
*Figure 4.16: Observed lowest cloud base height (dots) at Cabauw, 31 January 2001, and the cloud base and top heights simulated by the LES model (solid lines).*
Some additional experiments were performed to assess the effect of errors in the surface fluxes and to question whether an initially clear atmosphere will fill up with low clouds during the day. It was found that when the LES model was initialised with a cloud free atmosphere, in the simulation only a few patches of thin clouds were found. Because there were no clouds present from the start, the cloud radiative cooling process was not activated. As cloud formation is more likely in colder air, the lack of radiative cooling hinders the formation of a solid stratus layer simply because the air is too warm to allow condensation. Furthermore, it was found that when the surface fluxes were set to zero or doubled with respect to the reference case, the cloud layer did not break up. In other words, for this stratus case an error in the calculated surface fluxes is not a likely candidate to explain a poor prediction for the cloudiness.
**Conclusions**
On 31 January 2011 the HARMONIE model predicted a period with fog and a clear atmosphere whereas the observations showed a persistent stratus layer with a cloud base above 200 m. A numerical experiment with a high resolution LES model was carried out to demonstrate that such a model is well capable of predicting the stratocumulus cloud layer. Further sensitivity tests showed that the precise magnitudes of the surface heat and moisture fluxes couldn’t explain an erroneous break of the cloud. The heat and moisture budgets are in approximate balance for this case and variations in their magnitude play a minor role in modifying the cloud layer depth.
The observations show that the cloud layer during some periods becomes smaller than 200 m. The vertical configuration of the grid layers in the HARMONIE model is rather coarse such that the cloud layer may only be present at 1 or 2 model layers, which makes its representation much more sensitive to small errors in the thermodynamic state of the atmosphere. Specifically, errors of the order of 0.1 °C in temperature may already make the difference between a clear atmosphere and one that is filled with low clouds. Therefore, predictions of meteorological conditions that favour the formation of low cloud will likely benefit from a finer vertical resolution.
If LES models are so well capable of reproducing low clouds, one may wonder why they are not used for weather predictions? The fact that these models use such a fine resolution makes them computationally expensive. However, some preliminary studies are currently performed with the Dutch LES model running on a Graphical Processor Unit (GPU) [Schalkwijk et al., 2012]. The benefit of such an approach is a detailed prediction of the weather, though at a rather limited horizontal domain size. If the area of interest is small, like the Schiphol area, such an approach might be promising for a better prediction of stratus clouds.
Although the stratocumulus cloud deck does not persist in the HARMONIE results in contrast to the observations, various other tests with EDMF / EDKF parameterization scheme show promising results with regard to the representation of low clouds.
4.7 Case 5: The Urban Heat Island effect, July 20, 2010
Urban Heat Island effect
The Urban Heat Island effect may present an increasing health risk to citizens in a warming climate unless adaptations are taken that diversify the cityscape by the introduction of green and water. To analyze such measures engineering models need realistic forcings from weather models at the scale of a city and its surroundings.
In this case the results of a preliminary study into the Urban Heat Island effect of Rotterdam are presented [Ben Wichers Schreur and Sander Tijm, 2010]. It is an example of applying HARMONIE at a resolution of 500 meter and studying the effect of a detailed description of the surface conditions. For this purpose the HARMONIE system contains a Town Energy Budget (TEB) module that models the effect of the built environment and the heterogeneity of the landscape on local weather forecasts. The quality of high-resolution weather prediction models like HARMONIE and its sensitivities to the resolution and accuracy of the description of the surface conditions may be assessed in the current climate.
Figure 4.17: Observed temperature time series in Rotterdam (left) and HARMONIE screen level temperatures (red is hot, green is cool) for 21:00 UTC on the 20th of July 2010 (right).
Description
July 20th was the last warm day of the summer of 2010 in the Netherlands. For this day a 24 hour forecast was made with HARMONIE, version 36h1, at a resolution of 500 meters on a 1000x1000 grid. The metropolitan areas release their heat more slowly than the surrounding countryside. In figure 4.17 these areas can be identified by their red colour. For the Rotterdam Rijnmond region this slow cooling amounts to 5 degrees Celsius.
Surface specification
The American Weather Research and Forecasting Model WRF [Skamarock et al., 2005] uses a comparable town energy budget model. It offers greater flexibility in the specification of surface conditions and the use of alternative data sets. The UHI case study was repeated with WRF using two different land-use classifications, one given by the US Geological Survey and the other derived
from MODIS satellite data. The resulting temperature distributions, given in figure 4.18, show that the modelled UHI effect depends strongly on the land classification used and the resolution of the underlying data set. The interdependence of the surface modelling and the available data sets makes model calibration a challenge.
**Figure 4.18:** WRF screen level temperatures for 21:00 UTC on the 20th of July 2010 (left using the USGS and right using the MODIS land classification scheme).
**Conclusion**
State of the art high-resolution numerical weather prediction models are able to model the Urban Heat Island effect by using town energy budget models. An accurate prediction of this effect requires not only a calibration of the city effect modelling, but also a thorough evaluation of the land-use classification data used. This will also be of importance to the modelling of other weather events affected by surface heterogeneity, e.g. convective rainfall.
### 4.8 Conclusions
It is shown that the next generation non-hydrostatic weather prediction model HARMONIE, operating at a very fine horizontal spatial grid resolution (1-2 km) and explicitly resolving vertical convective motions, more realistically captures deep convective events as compared to the current operational model HIRLAM. In general strong winds and heavy precipitation, associated with convective events, are predicted rather well. The higher model resolution also results in a more detailed picture of the wind. In general, HARMONIE can represent small regions with very high wind speed, which are mostly absent in HIRLAM. Furthermore, HARMONIE is capable to compute the structure of the vertical wind, whereas in HIRLAM the vertical velocity is not computed explicitly. This is an important difference between the two models, as the structure of the vertical velocity often reveals the development of extreme wind events such as downbursts. Important types of these events are the so-called cold pools. Cold pools develop if rain evaporates which leads to a subsequent cooling and sinking of cold air. If there is a lot of evaporation of rain, this can eventually trigger intense downdrafts, which can reach the ground and cause a lot of damage. Various model runs with different horizontal grid resolutions have shown that
HARMONIE can resolve the dynamical structure of cold pools, including the corresponding averaged rainfall amounts, provided that the horizontal resolution of the model is finer than 2.5 km.
If we compare the current operational weather prediction model HiRLAM with HARMONIE, we observe that in cases where HiRLAM performs well, such as large synoptic scale storms, HARMONIE gives similar results, but at a higher resolution and with more detail.
HARMONIE contains various types of hydrometeors, such as rain, graupel and snow, as prognostic variables. Also hail is in the model but its output is not yet available. Being part of the model formulation, less post-processing is necessary to assess a situation with possible wintry precipitation. This approach is very different from HiRLAM, where all precipitation is treated as liquid water and should be post-processed, using the atmospheric vertical temperature profile, to a precipitation type, such as (wet) snow or (freezing) rain, that is most probable reaching the ground. The hydrometeors in HARMONIE are calculated as a three-dimensional field, available at each model level or altitude.
In general, also low clouds are better captured within HARMONIE. Low clouds, such as e.g. stratocumulus clouds, are very important for aviation. Despite their relative shallowness (they are only a few hundreds of meters thick) they can cause poor visibility if their cloud base is very close to the ground. As the condensed water amount in these clouds is typically very small, it is notoriously difficult for weather prediction models to predict these clouds well. Indeed, the amount of stratocumulus clouds and the persistence of observed stratocumulus clouds are underpredicted in various European weather prediction models, like ECMWF and COSMO. But, various other tests with the new physical cloud scheme EDMF/EDKF [Siebesma et al., 2007] in HARMONIE have shown promising results with regard to the representation of low clouds.
Compared to HiRLAM, HARMONIE seems better capable to predict the dynamical structure of fog fields and of extremes in cloud water at the lowest model levels. Nevertheless, several case studies of radiation fog events have revealed that HARMONIE, among other models, has difficulties in forecasting both the precise onset and the development of the fog layer. For fog forecasting, a high vertical resolution in the lowest few hundred meters of the model appears to be of great importance. Past research has also shown that [Tardif, 2007]. A lower vertical resolution leads in general to a delay in the onset. The vertical resolution seems to be even more important than the use of a more sophisticated radiation scheme. Broadband schemes, which are computationally inexpensive, are suitable as well, provided that they are frequently called upon during the time integration of the model equations [Tudor, 2010]. Overall, our case studies have shown that the HARMONIE model setup with the finest resolution near the surface, i.e. 4 layers in the lowest 100 m, performs better than the more coarse setup which has only 2 layers in the lowest 100 m.
For several case studies it has been shown that HARMONIE predicts well the general shape of rainfall patterns. Though the rainfall pattern is predicted fairly well, the rainfall intensity and the location of the onset of the precipitation
seem to be highly sensitive to the size of the computational model domain. For smaller model domains the onset of the precipitation is often too early and the intensity is too low. Fortunately, the model output converges when the domain size is increased. On the other hand, the size of the computational model domain should be limited to reduce the computational load. To be able to run the high-resolution model HARMONIE with confidence, producing reliable results with acceptable computational load, a domain size of 400x400 grid points, using the standard horizontal resolution of 2.5 km, is recommended during the forecast, to ensure the development of the convective structures such as storms, squall lines, etc. This size ensures the autonomous development of the dynamics of convective systems, making sure that the HARMONIE forecast not only adds smaller scale information to HiRLAM, but that it can really employ the advantages of a non-hydrostatic model to yield a state-of-the-art forecast.
State of the art high-resolution weather prediction models, such as HARMONIE, are able to model the Urban Heat Island effect by using a town energy budget model. An accurate prediction of this effect, however, requires not only a calibration of the city effect modelling, but also a thorough evaluation of the land use classification data that is used. This will also be of importance to the modelling of other weather events that are affected by surface heterogeneity.
The impact of increased sea surface temperature (SST) on rainfall amounts and winds has been studied. In HARMONIE it is easy to artificially increase the SST by any amount. Several case studies have shown that the effect of an increased SST is most easily noticeable for weather systems that approach from the west, i.e. overseas, and that have enough time to exert its influence. Weather systems that pass from other directions or that pass too fast, hardly show any influence from the increased SST. According to the performed case studies, it seems that the main effect of an increased SST is that for weather systems that approach from the sea, convection close to the coastal line is triggered more easily, rainfall patterns change and coastal rainfall amounts and winds are more intense.
5 HARMONIE as a climate tool
5.1 Why and how using HARMONIE as a climate tool?
HARMONIE has been developed as a high-resolution numerical weather prediction tool. It is a limited area model that needs lateral boundary conditions provided by a host model such as HiRLAM or ECMWF. A typical model domain size for HARMONIE is 1000 x 1000 km$^2$. In case of a horizontal wind with velocity 10 m/s, this means that any property is transported through the model domain on a time scale of 1~2 days. Beyond this timescale the importance of the lateral boundary conditions is increasing rapidly at the expense of the initial conditions of the model. As a result, numerical weather predictions on this limited model domain beyond a time scale of 1~2 days are dominated by the boundary conditions and the initial conditions do little contribute to that. An important question that than arises is: How and why can we use HARMONIE as a climate tool beyond time scales of the order of a few days?
For time scales beyond one or two days the outcome of a model run will be more and more dependent on the lateral boundary conditions. If these boundary conditions are provided by a global climate model, it will then act like a looking glass: HARMONIE will resolve the atmospheric processes with more detail. But obviously the realism of the HARMONIE model will be dependent on the realism of the climate model in which it is embedded. This technique that has been applied already with hydrostatic limited area models at coarser resolutions of 10~25 km, such as the regional atmospheric climate model RACMO, goes under the name of dynamical downscaling and has been proven a successful concept for designing regional climate scenario’s.
The goal here is to evaluate HARMONIE for its skill for predicting precipitation in both a climate and a weather prediction mode. To this purpose we will evaluate the August 2006 period during which a record amount of precipitation was recorded. We will compare the results with RACMO which is presently the regional climate model used at KNMI. RACMO however is a hydrostatic model that runs typically at a coarser resolution of 10~20 km while HARMONIE will run at a much higher resolution of 2.5 km.
5.2 Motivation and background for the August 2006 case
Future climate scenarios as anticipated by Global Climate Models (GCM’s) predict a decrease in summer precipitation in the Southern part of Europe and an increase in the Northern part. The Netherlands is in between these 2 regions and therefore the change in mean summer precipitation is relatively uncertain. Despite the increase of average temperature over the last 60 years over the Netherlands, there is no systematic increase of the observed precipitation over late summer. Figure 5.1 shows the time series of the 20-year moving average of the mean precipitation for late summer (July, August, September) in the Netherlands. Large decadal variations related to variations in the large scale atmosThe impact of climate change on the critical weather conditions at Schiphol airport
Atmospheric circulation can be observed, but no significant trend in mean summer precipitation is present. A significant trend in the growth of difference between inland and coastal precipitation however can be observed (see figure 5.1); the difference between coastal and inland precipitation was rather small in the 1950’s but has increased to a significant difference in more recent years. In Lenderink et al. (2008) (hereafter referred to as L08) it is argued that this difference is related to the change of the sea surface temperature (SST) of the North Sea, which has increased by 1.2-1.5 K for the late summer over the period considered. Indeed, higher SST’s leads to a moister atmosphere over the North Sea and supports an increased precipitation over land in summer, provided that the North Sea is in the upwind direction. This hypothesis has been tested by L08 for the August 2006 period. August 2006 was an exceptionally wet month in the Netherlands, in particular near the coast where amounts exceeded 300% of the climatological mean. August 2006 was preceded by an extremely warm July with a monthly mean temperature of almost 1K higher than recorded in any other summer month in the period 1901-2006. This had resulted in exceptionally high SST’s in the North Sea by the end of July. Since August 2006 was characterized by a northwesterly circulation, it is an excellent case for studying the effect of anomalous high North Sea SST’s on the precipitation in the Netherlands. Through a comparison of short-term numerical integrations with the regional climate model (RACMO) fed with the observed high SST’s and additional numerical integrations in which RACMO was fed with lower climatological SST’s it was demonstrated in L08 that the extreme precipitation in especially the coastal regions could be related to the high SST’s over the North Sea.
Figure 5.1: Time series of the 20-year moving average of mean, coastal and inland precipitation for late summer (July, August, September) in the Netherlands.
Although RACMO was capable of reproducing reasonably well the anomalous high observed precipitation in the coastal region there were also some systematic differences with the observed precipitation. Whereas the observations indicate that the maximum of the monthly mean precipitation occurred around 30 km inland from the coast, the modelled precipitation of RACMO predicted a maximum exactly at the coast. It was hypothesised that this mismatch might be due to the hydrostatic formulation of the model. This implies that the updrafts of the convective precipitating cumulus clouds are not explicitly calculated by the model dynamics but instead diagnosed by a relatively simple statistical description in RACMO, a so called parameterization. As a result hydrostatic models might have problems of transporting the convective precipitating systems further inland, which might result in precipitation patterns that are too much shifted toward the coast. HARMONIE, on the other hand, is a high-resolution atmospheric model that has a non-hydrostatic formulation. That implies that the cumulus convective updrafts that create the precipitation are explicitly resolved by the model and can be advected inland by the model. So, one motivation of this study is whether HARMONIE is better capable of positioning the peak of monthly precipitation mean at the observed position. This is only one of the many motivations to evaluate HARMONIE for the August 2006 period.
High-resolution non-hydrostatic atmospheric models such as HARMONIE form a new generation of numerical weather prediction (NWP) models that due to the ever-increasing computational resources are now at the verge of getting operational in many meteorological services all over the world. This new type of mesoscale models are promising since they operate at a resolution in the range of 1 to 5 km and are therefore capable of partially resolving convective precipitating systems such as observed during August 2006. They are also problematic at the same time because they only partially resolve these precipitating systems and therefore partially require parameterization for the unresolved part of the precipitating systems. How to treat cumulus convection in mesoscale models that operate in the so-called Grey Zone is an active field of research and for HARMONIE a pragmatic choice has been made. It is assumed that cumulus convection that exceeds a vertical extend of 3 km is resolved while shallower cumulus convection is still parameterized. Although this new generation of models are promising, evaluation studies with these types of models operating in the grey zone indicate they tend to overpredict precipitation.
It is for this reason that we explore in this study a comprehensive evaluation of the capability of HARMONIE of reproducing the extreme precipitation amounts such as observed in August 2006. To this purpose we will evaluate HARMONIE in two settings. First we will run it as a concatenation of 36hr forecasts where we will use for each forecast the last 24 hours for all days of August 2006. Secondly we will run HARMONIE in a so called climate mode which means that we initialise the model at July 31 2006 and make a single run for the whole month of August 2006 without reinitialising the model each day. In section 5.3 we will further describe the case setup and the synoptic conditions. In section 5.4 we will evaluate these HARMONIE experiments with observed SST’s. In section 5.5 we will do sensitivity experiments where the SST’s are artificially increased and decreased by 2K to explore the effects of the North Sea SST’s on the precipitation over the Netherlands. In section 5.6 we repeat the same experiments as in section 5.4 but this time forced with a better and higher resolution prescribed SST such as observed by the NOAA satellite. These SST’s are not used yet in the operational HARMONIE, so it is interesting to explore the potential added value for the forecasts of making operational forecasts with improved observed SST’s. Finally, section 5.7 will contain a summary of the results and a further outlook on future developments.
5.3 Synoptic situation and case setup
July 2006 was extremely warm and dry in the Netherlands. During the last 2 days of July a change in weather regime took place whereby the very warm anticyclonic atmospheric circulation, that characterized most of July, was replaced by a cold cyclonic circulation. This northwesterly circulation (see figure 5.2) persisted during the whole month of August and gave rise to extreme precipitation in the Netherlands. In particular, the local precipitation amounts in the coastal zone less than 50 km from the coastline were exceptionally high. At some coastal stations precipitation totals were recorded up to five times the climatological average of August.
Figure 5.2: Synoptic situation during July (left) and August (right). Shown is the 500 hPa height obtained from the operational ECMWF analysis.
Various simulations with HARMONIE have been performed to assess the capability of HARMONIE to reproduce the precipitation in the August month and to further assess the influence of the SST on the precipitation. For all experiments a domain size is chosen of $750 \times 750 \text{ km}^2$ and a horizontal grid spacing of $2.5 \times 2.5 \text{ km}^2$. The model uses 40 vertical levels. Lateral boundaries and SST’s are given by the operational ECMWF analyses and updated each 6-h and interpolated in time. The ECMWF analyses have a horizontal resolution of $0.25^\circ$.
HARMONIE is operated in two different modes: a hindcast mode and a climate mode. In the hindcast mode, consecutive simulations are started each day at 12 UTC from the ECMWF analysis. Each model integration is 36 hours long and the period from 12h to 36h is used for the evaluation. The hindcast mode enforces the simulated atmospheric circulation to stay close to the observed circulation, which facilitates a comparison with observations on a daily level. The hindcast results are therefore indicative for what we can expect from HARMONIE when used as an operational weather prediction model. Soil moisture is obtained from the ECMWF analysis and is re-initialised each 36-h model integration. This ideally prevents feedbacks through the soil moisture and therefore isolates the direct effect of SST on precipitation. In the climate mode, HARMONIE is initialised only once at July 31 running continuously until the end of August using the same ECMWF boundaries. These type of runs are more indicative how HARMONIE performs as a regional climate model, of course in this present case fed with the best optimal boundary conditions which is the
ECMWF analysis. In future climate runs, results will be more deteriorated due to imperfect lateral boundary conditions of a climate model. So the present climate runs give an indication of the performance of HARMONIE as a regional climate mode, given perfect boundary conditions.
Finally a few words on the used versions of HARMONIE: For the hindcast we used cycle 36.1.4, which is the most recent version. For the climate mode we have used cycle 36.1.3, which is a previous version since it was at the moment of writing not possible yet to run HARMONIE in the climate mode using the most recent version. However the differences for precipitation for those different versions are small, at least much smaller than the differences between using the model in a climate mode and a hindcast mode.
5.4 Results and evaluation of the HARMONIE simulations
Precipitation observations of approximately 320 stations in the Netherlands are used and its spatial distribution is shown in figure 5.3. In addition we also use rain radar results (see figure 5.5 bottom right) for the first three weeks of August (during the last week of August there were too many missing data from the radar observations). Near the coast and Lake Yssel the average monthly precipitation sum is 210 mm, with maxima near 300 mm at a few locations. Inland precipitation amounts are 150-180 mm on average. The rain radar data show in addition that precipitation rates over sea are substantially smaller than in the coastal region. The climatological average for the Netherlands (1971-2000) for august is 61 mm.
Table 5.1 and figure 5.4 show that both the climate and the hindcast simulations of HARMONIE overpredict the accumulated precipitation by around 15%. It is interesting to note that the predicted precipitation amounts of the HARMONIE climate runs are not deteriorated with respect to the hindcast, despite the fact that the climate simulation is only initialised once at the beginning of the month. The precipitation amounts simulated by RACMO stay closer to the observations and the final underprediction is mainly due to the last few days in August.
Table 5.1: Total precipitation amounts for various HARMONIE and RACMO experiments and for the ground (station) and radar observations. Accumulated values are given for the first 3 weeks of August 2006 and for the whole month.
| Experiment | Precipitation (mm) | Precipitation (mm) |
|---------------------|--------------------|--------------------|
| HARMONIE_HINDCAST | 165 | 224 |
| HARMONIE_CLIMATE | 144 | 224 |
| RACMO_HINDCAST | 156 | 173 |
| GROUND_OBS | 135 | 194 |
| RADAR_OBS | 125 | - |
Figure 5.4: Time series of the accumulated precipitation for August 2006 for the Netherlands of: HARMONIE Climate (blue), HARMONIE Hindcast (brown), RACMO Climate (green), ground observations (yellow) and radar observations (red).
The spatial distribution as seen by the three simulations and by the rain radar for the first three weeks is displayed in figure 5.5. Though the overall qualitative picture of more precipitation in the coastal regions is visible in all simulations, also large differences can be observed. RACMO misses most of the local high precipitation amounts while the precise locations of the high precipitation amounts in HARMONIE are not at the observed locations.
To further quantify the coastal effects, we analyse the accumulated rainfall as a function of distance to the coastline. Since we want to compare the results also with the rain radar data we concentrate on the first three weeks of August. Different zones were defined based on the distance to the coastline (coastline includes the Lake Yssel). The precipitation rates (mm/month) for the different zones are shown in figure 5.6. Both ground and radar observations show a peak in the precipitation at around 20 km inland from the coast with a value around 230 mm/month. Further away from the coast these values decrease to values of around 160 mm/month, still much larger than the climatological values. All model simulations predict more precipitation near the coast than inland in agreement with the observations. Both HARMONIE simulations overestimate the inland precipitation. For the coastal region it is surprisingly enough the HARMONIE hindcast that strongly overestimates the precipitation amounts. RACMO simulates overall the correct precipitation rates but the peak value is
exactly at the coast in disagreement with the observations. As anticipated in the introduction this might be the result that all convective processes in RACMO are parameterized in a diagnostic manner so that there is no mechanism to transport the convective systems more inland.
**Figure 5.5:** Integrated precipitation for the first three weeks of August 2006 for: HARMONIE Hindcast (top left), HARMONIE Climate (top right), RACMO Climate (bottom left) and radar observations (bottom right).
**Figure 5.6:** Accumulated precipitation rates for the first three weeks of August 2006 as a function of the distance to the coast for: HARMONIE Hindcast (brown), HARMONIE Climate (blue), RACMO Hindcast (green), ground observations (yellow) and radar observations (red).
In order to further explore the reasons for the higher precipitation amounts in HARMONIE as compared with observations and RACMO, it is useful to consider a simple moisture budget analysis of the total atmospheric water vapour in the
whole domain. If we denote the total amount of water vapour in the atmosphere by $Q$, the moisture budget equation reads
$$\frac{\partial Q}{\partial t} = E - P + MC \approx 0.$$
On the left hand side we have the storage term, which is equal to the surface evaporation $E$ minus the precipitation $P$ plus a moist convergence term $MC$ due to the inflow of moisture at the boundaries of the domain. For longer periods such as a month the storage term is much smaller than the sink and source terms which are approximately in equilibrium. As the lateral boundary conditions are the same for RACMO and HARMONIE we expect that the moist convergence $MC$ is the same for these models, at least at the scale of the whole model domain. That implies that for a timescale of a month and on a spatial scale of the whole model domain, $E-P$ has to be equal in RACMO and HARMONIE. Therefore, since HARMONIE simulates higher precipitation amounts than RACMO it should also have higher surface evaporation values. Figure 5.7 shows the evaporation rate as a function of the distance to the coast. The RACMO simulation has a typical surface evaporation rate of 70 mm/month in agreement with measurements at the Cabauw measurement site. The HARMONIE simulations on the other hand have much higher surface evaporation rates of around 100 mm/month. This difference is due to a too high soil moisture in HARMONIE and likely the cause of the overprediction of the surface evaporation and hence the precipitation of HARMONIE inland. Furthermore it is surprising to see the large difference of surface evaporation of moisture over sea between HARMONIE and RACMO.
**Figure 5.7:** Evaporation rate as a function of distance to the coast for the HARMONIE simulations and the RACMO hindcast. As a reference the evaporation rate measured at the Cabauw site (black dot) is also shown clearly indicating the overestimation of the HARMONIE simulations inland.
### 5.5 Sensitivity of precipitation to the sea surface temperature
All simulations described in Section 5.4 gave much higher precipitation amounts than the climatological values and it has been hypothesised that this is due to the higher SST’s. In order to further investigate the role of the SST on the enhanced precipitation we have made two additional HARMONIE sensitiTable 5.2: Total precipitation amounts for the sensitivity simulations.
| Experiment | 3 weeks Precipitation (mm) | August 2006 Precipitation (mm) |
|---------------------|----------------------------|--------------------------------|
| HARMONIE_CLIMATE | 144 | 224 |
| HARMONIE_CLIMATE+2K | 145 | 244 |
| HARMONIE_CLIMATE-2K | 121 | 186 |
Table 5.2 shows that changing the SST’s has indeed a strong impact on the monthly mean precipitation: The +2K-run gives an increase of 20 mm while the -2K-run gives a decrease of 38 mm for the monthly mean precipitation. Moreover, if the spatial distribution of the monthly mean precipitation is inspected (see figure 5.8) it is clear that the most significant differences occur in the coastal region. This is further confirmed if we repeat a similar analysis of the monthly mean precipitation as a function of the distance to the coast (see figure 5.9). Indeed, higher SST’s give larger precipitation amounts in the coastal region, but inland beyond 100 km from the coast there is no effect of the SST on the precipitation amounts, all in agreement with our hypothesis.
Figure 5.8: Integrated precipitation for the first three weeks of the HARMONIE Climate sensitivity simulations during which the SST’s have been decreased by 2K (left panel) and increased by 2K (right panel).
Figure 5.9: Accumulated precipitation for the first three weeks of August 2006 (left) and for the whole month of August (right) as a function of the distance to the coast for: HARMONIE Climate (blue), +2K (red) and -2K (yellow).
5.6 Impact of higher resolution sea surface temperatures
All the HARMONIE runs discussed so far are based on SST’s that were derived from the ECMWF analysis and are displayed in figure 5.10. As an alternative we have investigated the impact of using observed higher resolution SST’s based on NOAA satellite observations. These SST’s are shown in the right panel of figure 5.10 along with a difference plot. This shows that the NOAA observations prescribe higher SST’s up to 3K in especially Lake Yssel and the Wadden Sea. Also for the near coastal North Sea area the NOAA derived SST’s are warmer up to 1 K.
Figure 5.10: Top left panel: The monthly averaged SST used in all model simulations as provided by the ECMWF analysis. Top right panel: Higher resolution SST based on NOAA satellite observations. Lower panel: Difference plot of the SST’s.
At the moment it is not yet technically possible to feed HARMONIE with the higher resolution SST’s. So in order to assess the impact of NOAA based SST’s we compare in figure 5.11 the monthly precipitation for RACMO hindcasts.
Figure 5.11: The monthly-accumulated precipitation of a RACMO Hindcast using (left panel) the ECMWF SST analysis and (right panel) NOAA based SST’s.
The results show clearly the impact of the different SST fields that are prescribed. Especially the higher SST’s over the lake Yssel and to a lesser extend the higher SST’s of the North Sea result in higher precipitation amounts in the coastal regions. This is further quantified in figure 5.12, in which the accumulated precipitation is analysed as a function as a distance to the coast. The NOAA observed SST’s clearly result in more precipitation over the North Sea but also in the coastal regions over land. In fact the precipitation amounts overestimate the observations. However the overall message is that higher resolution has a significant impact and hence should be included in operational forecasts. For future climate runs this indicates that an interactive North Sea model should be implemented since SST’s provided by coarser resolution global climate models will underestimate the SST’s of Lake Yssel and the North Sea temperatures near the coast.
**Figure 5.12:** Accumulated precipitation as a function of distance to the coast for RACMO with ECMWF analysis SST (red) along with improved higher resolution observed SST’s (yellow). Observations are included as a reference (green).
### 5.7 Conclusions and outlook
HARMONIE has been technically suitable for being used as a regional climate tool and the simulation of the August 2006 period should be viewed as the first attempt to use and evaluate HARMONIE for such a purpose. This study has demonstrated for the first time that a climate run of a month does give realistic precipitation amounts. In fact the results show that the precipitation characteristics for the free climate run give even similar results than the hindcast. Also the results show that the higher resolution also give maximum precipitation slightly land inward, a result that could not be obtained with the coarser resolution runs of RACMO. On the other hand both the precipitation amounts and the precise location are at the moment less accurate than RACMO. This is partly due to the soil moisture. Despite the fact that the same soil moisture fields from the ECMWF analysis have been used to initialise HARMONIE as has been done for RACMO, we have found substantial larger evaporation rates over land in HARMONIE and lower values over sea. We will further look into the moisture budget on a more local scale and compare this with observations, reanalysis and Large Eddy Simulations in order to make the model better capable for supplying an improved moisture budget.
In subsequent studies we will also further look into this. We also will look deeper into the cloud processes themselves on a case basis, especially for days in which there are large differences between RACMO, HARMONIE and the observations. We will further look into the auto conversion, rain evaporation and the subgrid turbulence and convection to determine the sensitivity of these processes on the observed precipitation.
We will also make HARMONIE suitable for using the higher resolution observed SST’s for which it has been demonstrated that it has a significant impact on the precipitation results.
6 Model verification – a new approach
6.1 Background
The interest in high-resolution numerical weather prediction is mainly driven by the presumed ability to skilfully predict extremes in critical weather situations. Heavy precipitation and strong wind may be very local phenomena, for which even a grid spacing of several km could be too coarse to resolve. A nice example of such an event is our cold pool case [cf. Mendez-Gomez et al., 2012, case April 30th 2006], in which we demonstrated that HARMONIE can resolve the dynamical structure of the cold pools provided that the horizontal grid resolution of the model is finer than 2.5 km.
The higher resolution of the models also poses a challenge for the verification of the forecasts. We know that higher spatial resolution precipitation forecasts often look more realistic, but the question is whether they are more accurate? Conventional methods, such as point-to-point verification, often fail to show the benefits of such forecasts\(^2\). For example, when the timing or location of a shower is only a few minutes or kilometres off, a point-to-point comparison will see this as a double mismatch: a shower is forecasted where it is not observed, raising a ‘false alarm’, and the observed shower is not forecasted, counting as a ‘miss’. Nevertheless, these may be very useful forecasts, giving relevant information to most of the end-users. So how can we provide information to judge whether the additional computational expense of running a high-resolution model is justified. The main question that has to be raised here is: Which verification measures are adequate to assess the forecast skill in this case?
The question of verification and how output from a kilometre-scale model should be interpreted and presented to the user, relates way back to the concept of predictability. Although our models initial conditions are improved all the time, we know we can never get them exactly right. Furthermore, it is also not possible to eliminate all deficiencies in the representation of physical and dynamical processes in the forecasts. A finer spatial model resolution introduces faster-growing errors because the smaller scales that are represented by the model become unpredictable more quickly. Despite the degradation of the smallest represented scales, we hope that the forecasts over the larger scales are still skilful. From this perspective our previous question should be reformulated as: Which modelled scales are skilful and which verification measures are suited to assess this skill?
\(^2\) Note that point-to-point verification of high-resolution forecasts of parameters other than precipitation may still be very appropriate.
In Impact several new verification methods are studied that try to circumvent problems that arise with conventional verification, such as the double penalty problem [van der Plas et al., 2011]. The new methods are suited to assess which scales are skilful in high-resolution precipitation forecasts. In this chapter, two different approaches are described: 1) The Fractions Skill Score (FSS) [Roberts and Lean, 2008], which values a forecast if a criterion (e.g. 1 hour accumulated precipitation > 5 mm) is met in a neighbourhood of the observed event, and 2) The Method for Object-based Diagnostic Evaluation (MODE) [Davis et al., 2006], in which objects are defined and compared in both forecasts and observations. Both methods provide information about the displacement errors and forecast skill. In this chapter, the application of these two methods is demonstrated for a period with several events with convective precipitation. The software that we used in Impact to apply these methods is the Model Evaluation Tool (MET), developed by the Developmental Test bed Centre (DTC) at NCAR [Davis et al., 2006 and 2009]. But first, in section 6.2 of this chapter, some standard verification results, using conventional methods, for model parameters such as temperature and wind are presented.
### 6.2 Standard verification results
Standard verification of two different HARMONIE suites, called ANJAN and ECJAN, that are hosted at the ECMWF, resp. using HIRLAM and ECMWF boundaries, is done using a number of observation stations. This is part of a standard verification utility at the Danish Meteorological Institute (DMI), which generates a simple albeit brief report of how the most basic parameters score over a month time. Some of the results of the verification will be discussed here, using the November period in 2011 as an example. However, most of these results apply equally well to the rest of the year.
**Figure 6.1:** The bias (squares) and standard deviation (stars) of the MSLP (left) and 2m temperature (right) as a function of the forecast lead-time in November 2011. HIRLAM CIS run in red, ANJAN in green and ECJAN in blue.
The Mean Sea Level Pressure (MSLP) is one of the most common parameters to verify. If we look at figure 6.1 we see the bias (squares) and standard deviation (stars) of the HIRLAM model (CIS) and the HARMONIE model (ANJAN, ECJAN). Standard deviation and magnitude of the bias are expected to increase with lead-time. The anomalous bias for the ANJAN run is probably related to the bias in the 2m temperature (same figure, right panel), which is due to an issue with soil ice initialisation when HARMONIE is run with HiRLAM boundaries. This issue is under consideration and is probably solved for revision HARMONIE cycle 36h1.4 and up.
Other quantities, such as 10m wind and cloud cover, as shown in figure 6.2, show good results. Here, the ANJAN run produces forecasts with considerably less bias. It is noted that even with the higher resolution and therefore larger variability the HARMONIE standard deviation has still the same order as from HiRLAM.
**Figure 6.2:** The bias (squares) and standard deviation (stars) of the 10m wind (left) and cloud cover (right) as a function of the forecast lead-time in November 2011. HiRLAM CIS run in red, ANJAN in green and ECJAN in blue.
### 6.3 A neighbourhood verification method: FSS
The most widely used method to take into account that higher resolution forecasts may introduce localisation errors is the Fractional Skill Score (FSS). The FSS was introduced by Roberts and Lean [2008]. The method was designed to assess the variation of skill as a function of spatial scale from high-resolution precipitation forecasts. A nice explanation of the FFS method, without using too many formulas, can be found in Mittermaier and Roberts [2010]. Here we have summarized the most important details of the method.
The FSS method attributes merit to a forecast if a certain criterion (e.g. 1 hour accumulated precipitation > 5 mm) is met in a neighbourhood of the observed event. The criterion, or threshold, is first applied to both the forecast and verifying observed field. Then, the neighbourhood of each forecast grid point is compared to the neighbourhood of the observed grid point, using the ratio of grid points exceeding the threshold within the neighbourhood. This is repeated for all grid points and then successively larger neighbourhoods until the entire domains are compared. As a result, the FSS compares forecasts and observations over different sized neighbourhoods. In this way we can determine how the forecast skill varies with neighbourhood size and we can determine the smallest neighbourhood size that provides a forecast with sufficient skill. The FSS score is minimal for a neighbourhood size of 1, i.e. pixel-per-pixel comparison, and tends asymptotically to a ratio of the frequencies of the observed and forecasted events as the neighbourhood extends to the whole domain. Only when the forecast is unbiased, this limit equals 1. But, typically forecasts are biased, because the number of grid points in the forecast is different from the comparing observation, and the FSS for the whole domain is less than 1. Roberts and Lean [2008] also show that a skilful spatial scale is derived for when $FFS > 0.5 + f/2$, where $f$ is the observed fractional rainfall coverage over the domain (the so-called wet-area ratio). This value of FFS represents a lower limit of useful scales. If $f$ is not very large (and it typically is not for a large domain), a value of 0.5 can be used as a lower limit.
Using neighbourhood aggregation over an area around a pixel, it is also possible to compute other well-known scores, which are traditionally derived from a contingency table (cf. table 6.1). The MET suite provides most of the relevant scores, but the ones that will be used in this chapter are the Hanssen-Kuiper discriminant (HK) and the Gilbert Skill Score (GSS), the latter also known as the Equitable Threat Score (ETS). The Hanssen-Kuiper discriminant is defined as
\[
HK = \frac{a}{a+c} - \frac{b}{b+d},
\]
which gives a measure of how well the areas with precipitation are distinguished from the areas without. The Gilbert Skill Score then is
\[
GSS = \frac{a-a_r}{a+b+c-a_r},
\]
where the so-called random hits \(a_r = (a+b)(a+c)/(a+b+c+d)\) or hits associated with random chance, is used to correct for different climate regimes. In this way scores for wetter periods or areas can be compared to the same metric for dryer periods.
**Table 6.1:** Standard 2x2 contingency table for categorical Yes/No forecasts. In the table A, B, C and D, respectively represent the number of Hits, Misses, False Alarms and Correct Rejections.
| Forecast | Observed |
|----------|----------|
| | Yes | No |
| Yes | A | B |
| No | C | D |
The FSS as described above can be used for assessing the skill of a single case study, or it can be aggregated to assess many cases together. The forecast skill computed in this way, however, is rarely uniform across the forecast domain. Therefore, a neighbourhood verification method such as the FSS cannot directly focus on individual objects. The score is influenced by all objects of interest (i.e. which exceed the chosen threshold) within the forecast domain at the time. Therefore, by definition, the metric is one of aggregated skill, which can be extended to assess a whole sequence of forecasts, say within a given month.
### 6.4 An object based verification method: MODE
The method for object-based diagnostic evaluation (MODE, [Davis et al., 2006]), which has been applied in Impact, has a quite different approach. This is best illustrated by looking at some of the difficulties associated with diagnosing forecast errors using standard verification approaches. Figure 6.3 shows five examples of forecast (F) – observation (O) pairs, with the forecasts and observations represented as areas. For a forecast user, the cases in figures 6.3a–d clearly demonstrate four different types or levels of “goodness”: (a) appears to be a fairly good forecast, just offset somewhat to the right; (b) is a poorer forecast since the location error is much larger than for (a); (c) is a case where the
forecast area is much too large and is offset to the right; (d) shows a situation where the forecast is both offset and has the wrong shape. Of the four examples, our forecasters and model developers will definitely choose that case (a) is the “best.” Given the perceived differences in performance, it is dismaying to note that all of the first four examples have identical basic verification scores\(^3\): POD = 0, FAR = 1, CSI = 0. Thus, the verification technique is insensitive to differences in location and shape errors. Similar insensitivity could be shown to be associated with timing errors. Moreover, example (e) in figure 6.3 —which could be considered a very poor forecast from a variety of points of view— actually has some skill (POD, CSI > 0; FAR < 1), suggesting it is a better forecast than the one depicted in example figure 6.3(a).
**Figure 6.3:** A schematic example of various forecast and observation combinations (a) – (d). These all yield CSI = 0, whereas (e) has positive CSI, but would probably not be evaluated as the best subjectively.
The MODE approach more directly addresses the skill of forecasts of localized, episodic phenomena, such as rainfall events, than the more traditional verification methods do. MODE identifies “objects” in the forecasted and observed fields that are relevant to a human observer. These objects can then be described geometrically, and relevant attributes, such as location, shape, orientation and size of the forecasted and observed objects, can be compared. In MODE a convolution (smoothing) and thresholding procedure is used to identify the objects. In this procedure, small and potentially uninterested features are filtered out. The resulting objects are then reduced in number and size, sometimes after merging them, so that a few objects of interest remain. Next, forecasted objects are associated to observed objects. For this, we use an interest function that prescribes, on a scale from 0 to 1 (1 being perfect), how closely an attribute of the forecasted object matches the same attribute of the observed object. When the interest is larger than a certain number (here a threshold of 0.65 is used) objects are considered to match. When several ob-
---
\(^3\) The basic verification scores are derived from the contingency table 6.1. The probability of detection POD = \(a / (a+c)\), the false alarm ratio FAR = \(b / (a+b)\) and the critical success index CSI = \(a / (a+b+c)\).
jects match to each other above this threshold, the objects are called a ‘cluster’. After matching forecasted and observed objects, displacement and shaping errors can be determined, and after aggregating the results from several events, accumulated statistics for errors in position can be constructed and mean error, standard deviation and root-mean-square error, etc., computed. As an example, the output of the MODE algorithm, for one particular time and model is shown in figure 6.4.
**Figure 6.4:** Typical output of the MODE algorithm, here for HARMONIE with HIRLAM boundaries for July 14th, 18:00 UTC: On the left the forecasted precipitation field is given (top: raw data, middle: thresholded and convoluted objects, bottom: objects numbered and coloured by matching criteria with observations). On the right the radar precipitation data is given.
### 6.5 Non-standard verification results
The non-standard verification methods that are described in sections 6.3 and 6.4 are applied to verify rainfall forecasts produced by the non-hydrostatic high-resolution model HARMONIE, and compared to the results of the current operational standard HIRLAM. For the latter, the HIRLAM RCR reference run at ECMWF is used. Forecasted fields from both models are compared to the European precipitation radar composite at 4 km resolution. In this study a 10 day period from 6 to 15 July 2010 was chosen. In this period, weather alerts have been issued by KNMI for extreme precipitation at 10, 12 and 14 July. The latter case was also demonstrated in chapter 4, section 4.4.
**Model data and observations**
The HARMONIE runs for this study were executed on a 400x400 grid with 2.5 km grid resolution and using boundaries from the HIRLAM RCR (approximately 15x15 km resolution) run and from the ECMWF operational run. The runs were initialised by either the HIRLAM RCR or the ECMWF analysis at 00 UTC. However, as some of the HARMONIE prognostic variables, e.g. vertical velocity for convection and the hydrometeors, are not initialised, this will effectively be considered as a ‘cold start’. Model starting times are 00, 06, 12 and 18 hours.
UTC, with a 12-hour lead-time. A spin-up time of 3 hours is taken into account, so the data of T+003 until T+012 are considered in this particular study.
The choice for the European composite radar product RADNL23 can be motivated by the assertion that in this pilot study we primarily concern ourselves with the distribution of (extreme) precipitation. It is recognised that this data is aggregated from various different radar installations, giving rise to quantitative differences for the different areas. Also, over the North Sea radar clutter can give rise to complications for the verification methods, especially the object-based methods. As the scatter has very little spatial extent but may have considerable intensity, the convolution step in MODE tends to overestimate these areas. A more reliable radar product may one day be available as a result of the OPERA project and by cross validating with MSG satellite data during daytime.
**Figure 6.5:** Total accumulated precipitation for the period 6 – 15 July 2010. Top left: radar data, right: HIRLAM RCR. Bottom left: HARMONIE with HIRLAM boundaries, right: HARMONIE with ECMWF boundaries.
**Results**
First of all, the total precipitation over the 10 day period can be compared, see figure 6.5. The radar shows the largest amount of rain, also with the largest amount of variation. The HIRLAM RCR data gives a considerably smoother picture. Here we point out that the data shown here is already re-sampled to the HARMONIE grid, giving rise to some obvious re-sampling artefacts. The HARMONIE data resembles the radar data more closely, where the run nested in the HIRLAM model gives higher quantities, especially in the band of intense rain that crossed Belgium and the Netherlands. These numbers can be summarised in the histogram in figure 6.6. The distribution of the radar data is shifted towards higher intensities than the model data, whereas the HARMONIE runs have more dry pixels, reflecting the tendency of the model to under represent light rain. The maximum in the distribution in the HIRLAM RCR precipitation around 20 mm can probably be attributed to the coarse resolution of the model setup.
A time series of the FSS and the Hanssen-Kuiper discriminant is shown in figure 6.7. We compare the different runs taking either a neighbourhood size of 1 by 1 pixel, the classical CTS score, or 15 by 15 pixels, smoothing the data over an area of 37.5 by 37.5 km. This has been taken as the upper limit, assuming that beyond this area one cannot speak of a resolution effect in the quality of the models. In this figure the scores for precipitation of more than 2 mm per three hours is shown.
The three events with heavy precipitation are clearly visible in figure 6.7. The scores are comparable for the three models. For the 1 pixel neighbourhood size, i.e. pixel-per-pixel comparison, shown on the left, HiRLAM scores generally slightly higher for the large scale events, and also picks up an event at the 8th of July. This holds for both the FSS and the HK discriminant score. Increasing the neighbourhood size, to 15 by 15 pixels on the right side, results obviously in
increasing scores, but the same qualitative picture remains. The scores of the HARMONIE runs increase a bit more than those of the HIRLAM RCR run.
For higher precipitation intensities, e.g. >10 mm/3h, the difference between the models is more remarkable, see e.g. figure 6.8. Here we chose to show the Gilbert Skill Score (GSS) and the HK discriminant for a neighbourhood size of 15 times 15 pixels. For smaller neighbourhoods the qualitative picture is the same, but then there are very few matched events. For these intensities, the HARMONIE models show more skill than the HIRLAM run. This is to be expected, as the spatial extent of extremes becomes of the order of the grid size, so that in this case 10 mm/3h for an entire HIRLAM RCR grid box becomes improbable.
Figure 6.8: Box plot of the GSS (left) and the HK discriminant (right) for precipitation over 10 mm/3h and a neighbourhood size of 15x15 pixels.
If we look at the MODE analysis, we first observe that the process of grouping precipitation features into objects of a certain minimum size makes it easier to do visual, subjective verification. Per case or time step one may compare certain attributes of objects one is interested in, such as the amount of interest between forecasted objects and its observed counterparts, or the centroid distance. However, to condense this information into a single score over the entire time range is less straightforward. Furthermore, we note that the configuration of MODE has many degrees of freedom. Some settings, such as the radius of the convolution kernel, which determines the amount of smoothing in object identification, can make a substantial difference in how the objects come out.
In figure 6.9 (left panel) we show e.g. the scores for the ‘centroid distance’, i.e. the distance of the ‘centre of mass’ of an object or cluster with its associated counterpart, in this case for the cluster with the largest area in every time step. The results seem to indicate that the HARMONIE forecasts produce precipitation events that are closer to the observed ones than the HIRLAM forecast. However, the objects or clusters are not tracked in time, so this naive attribute does not tell whether the largest cluster at one time step is related to the largest cluster in the next. Also, the grouping of objects into a cluster is not always very consistent in the sense that storms that belong to different clusters in one time step may coalesce into the same cluster and vice versa.
One more consistent method to construct a score was proposed in [Davis et al., 2009], using the median of the maximum interest (MMI) of the whole domain. The matching procedure computes the interest between all features, and considers it a match when this number is above a certain, user-defined threshold. By considering the median of all these interest values, we have a measure that reflects how well the forecast performed for a given moment, and that can be used to compare between different models and during different (drier and wetter) periods. The results for this particular case are shown in the right panel of figure 6.9. It is remarkable that the three models perform almost indistinguishable for this particular score.
**Figure 6.9:** Box plot of the centroid distance of the largest cluster in a particular time step (left) and MMI scores (right) of HARMONIE using HiRLAM boundaries and the HiRLAM RCR run over the 10-day period.
### 6.6 Conclusions
A few new verification methods have been applied to HiRLAM and HARMONIE model data that correspond with convective weather events, using the European composite precipitation radar product to verify against.
The high level of detail in the forecast would suggest that classical methods, such as (neighbourhood) contingency table statistics (CTS), are less well equipped to attribute the forecasted precipitation features to its observed counterparts than the more flexible object-based methods, such as MODE. However, the qualitative picture that arises when comparing the scores of HARMONIE and HiRLAM shows that using the former CTS-based method, with e.g. the HK discriminant, gives relatively more credit to the higher resolution forecasts than for this specific choice of MODE results. The higher resolution of the HARMONIE model does give a better representation of the more extreme events (> 10 mm/3h) than HiRLAM. This is one of the expected advantages from a high-resolution model that properly takes into account the dynamics on the smaller scales. These higher precipitation intensities were hardly present in the HiRLAM data as a result of the coarser resolution.
It is noted that this is just a preliminary study with a very modest amount of data. Furthermore, the output of the MODE algorithm is so rich, that obviously more effort should be invested into combining the attributes in such a way as to produce a score that gives intuitive results and can be compared over a variety of cases.
7 Outlook
7.1 Conclusions
In this project we learned that the new high resolution non-hydrostatic atmospheric model HARMONIE is very well suited to: a) Provide more accurate and more detailed weather predictions for Schiphol airport, and b) Compute the effect that climate change has on local critical weather conditions at the airport;
We demonstrated that the HARMONIE model does not only add smaller scale information to our present day operational weather model HiRLAM and the climate model RACMO, but that it also adds a number of relevant physical processes that directly affect the climate in the Netherlands on local and regional scale, particularly in the summer (in the winter large scale dynamics dominates). Furthermore, when the domain size of the model is large enough the model is also more accurate in the timing and intensity of extreme events. Finally, HARMONIE is capable to represent small regions with very intense weather, e.g. very high wind speeds, which are mostly absent in HiRLAM.
Some aspects of the model should be further investigated. The representation of fog and low clouds in the model is sensitive to small errors. We believe that this is due to the coarse vertical resolution that is used in the standard setup of HARMONIE.
The HARMONIE model is also suited to compute the effect of a warmer climate on future weather. However, local critical weather parameters such as extreme rainfall, heavy wind and high temperatures, are very sensitive to land surface and sea surface data that are used by high-resolution models such as HARMONIE. Moreover, HARMONIE is not very flexible in the specification of the surface conditions and the use of alternative data sets for that.
HARMONIE has also been evaluated for its skill to be used as a regional climate tool. To this purpose the August 2006 period, during which a record amount of precipitation was observed, particularly near the coast, has been studied. The results show that a climate run of a month does give realistic precipitation amounts. Furthermore, HARMONIE is capable to simulate the precipitation peak slightly land inward, a result that could not be obtained with the hydrostatic model RACMO. On the other hand, we have seen that HARMONIE over-predicts the precipitation amounts, which is most likely caused by too high soil moisture values in the model.
A few new verification methods have been studied in Impact, which we believe are more suited to demonstrate the skill of high-resolution models such as HARMONIE. First results show that the new methods give more credit to the higher resolution forecasts of HARMONIE than the more conventional verification methods do.
7.2 Recommendations
The following recommendations are made for future research:
- **Projections of climate scenarios to local scales**: For a number of short-term weather events, or longer (e.g. monthly) periods, future analogous of contemporary extremes (e.g. in precipitation, wind, gusts, hail and thunder) should be computed with HARMONIE at a high resolution (2 km scale) and consistent with present day scenario predictions for a future climate.
- **A better understanding of extreme shower intensity and local precipitation extremes**: Investigation of (changes in) precipitation extremes at different spatial and temporal scales, with a focus on hourly precipitation intensity and coastal effects in HARMONIE. This is important for Schiphol as the airport is situated near the coast.
- **An investigation of the performance of HARMONIE for predictions of severe hail and snow**: These precipitation types may hinder airport operation and/or cause damage to aircraft. Aspects that should be considered are the intensity and distribution of these precipitation types in space and time.
- **An investigation of the performance of HARMONIE for high wind speeds and sudden strong fluctuations in the wind (gusts) at the airport and in its vicinity**: Validation of the 4D wind field at the airport (surface and upper-air winds) in space and time, using local and neighbouring wind observations.
- **A better understanding of the effect of physical processes and numerical setup options on the success of mesoscale models to model radiation fog**: Radiation fog depends on many processes that all critically interact on relatively short time scales. Further research is required to investigate whether current parameterizations for physical processes are adequate for modelling radiation fog. Also, further research is required to which extent the details of the numerical setup of the experiment such as the extension of the domain and the horizontal and vertical resolution determine the success of mesoscale models to forecast fog.
- **A better understanding of the influence of surface conditions on local climate and the sensitivity of the HARMONIE model therein**: Investigation of the impact that land surface, heterogeneity and changing surface conditions (e.g. influence of urbanization), and the sea surface (e.g. sea surface temperature and changes therein) have on our present and future climate.
- **Increasing the flexibility of HARMONIE to use different, or modified, data sets for the specification of the surface conditions**: Adapt HARMONIE so that different, or modified, data sets can be used for the description of surface conditions such as land use type (e.g. sea, lake, nature and urban areas) and coverage, soil/vegetation type and coverage, land-water boundaries and sea surface temperature.
- **International collaboration on climate modelling with the Rossby Centre at SMHI**: Establish cooperation with the regional climate group at the Rossby Centre for joint research with HARMONIE on climate applications and future weather issues on regional and local scales.
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A TRI-NATIONAL STUDY OF ACCOUNTANCY STUDENTS’ ETHICAL ATTITUDES
Conor O’Leary
School of Accountancy
Queensland University of Technology
Brisbane, Australia
and
Shafi Mohamad
Faculty of Accountancy
Universiti Teknologi MARA, Samarahan
Campus, Kuching
Sarawak
Ethics is an integral part of the accountancy profession. As the profession becomes more internationalized, it is critical to accept that different nations may still advocate differing treatments for similar issues. This study evaluates whether the accountants of tomorrow already display differences in their attitudes, based upon nationality. The attitudes of final year accountancy students from three countries, Malaysia, Australia and Ireland were compared across some ethical scenarios. Significant differences were found to exist based upon nationality. When confronted with bribery/corruption scenarios, Malaysian students were most likely to refuse participation but do nothing about them. Australian students were more likely to inform the relevant authorities. Irish students were more likely to participate than their Malaysian and Australian counterparts. Malaysian students were more likely to cheat in an exam than participate in corruption, whereas Irish and Australian students were more likely to do the opposite. Hence, ethical attitudes are affected by nationalistic traits. The ramifications for professional training should therefore be considered.
Introduction
Due to recent instances of corporate collapse and commission hearings\(^1\), confidence in the accounting profession in Australia is being undermined (Harrington & McCahey 2002). This phenomenon is not unique to Australia. Worldwide, business environments appear to be experiencing similar activities\(^2\) with concomitant effects on the images of their accounting professions.
Comunale and Sexton (2003) note criticisms of the profession in the United States of America and Walsh (1999) notes similar criticisms of the profession in the Republic of Ireland. The overall effect of this is that the ethics of accounting practitioners has been questioned.
So what of the practitioners of tomorrow, and their ethical attitudes? The accountancy profession is becoming more global all the time. Indeed, we now have international accounting standards and international auditing standards. However, as Karnes *et al.* (1990, p. 45) note, the above do not ensure that all business practices will be viewed in a like manner by members of the accounting profession from different cultures. Cultural effects on the ethical attitudes of *practicing* accountants have been the subject of many studies, some of which are listed below. However, cultural effects on the ethical attitudes of accountancy *students* have not been researched so thoroughly and this paper aims to provide evidence in this area. It would be anticipated that university students from different countries – and therefore different cultures – may differ in their ethical attitudes. The purpose of this study therefore is to gauge the ethical attitudes of final year accounting students across three countries, Malaysia, Australia and the Republic of Ireland and to note similarities and differences.
**Literature Review**
Researchers have provided evidence of the effects of culture on the ethical decision making of professionals. Sociologists such as Hofstede (1980 and 1983) have demonstrated how different cultural dimensions influence ethical decision-making. In chronological order, a summary of some of the more significant studies involving practicing accountants and auditors follows.
Dykxhoorn and Sinning (1981) compared attitudes towards independence of a sample of West German auditors to United States Securities and Exchange Commission rules in that area. They discovered that the attitudes of the West German auditors would breach the United States rules in several instances. Karnes *et al.* (1990) compared the ethical perceptions of public accountants from Taiwan and the United States. They noted significant differences in attitudes towards factors such as accepting an informal commission and proposed insider trading. Cohen *et al.* (1995) studied the ethical decision making processes of auditors from three different cultural backgrounds, Latin America, Japan and the United States. Their results revealed significant differences between the groups as to their ethical evaluations and the likelihood of performing certain unethical actions. Dittenhoffer and Sennetti (1995) studied the attitudes of internal auditors to various ethical scenarios and noted significant differences between those located in the USA and those located outside the USA. Kreuze *et al.* (2001) similarly noted the effects of culture on internal auditors’ ethical beliefs. These studies tend to highlight the fact that ethical attitudes differ between accountants from different nationalities.
Most professional accounting bodies have issued some form of Code of Professional Conduct\(^3\). Malaysian commentators (Bakar *et al.* (2003) for example) and overseas commentators (Abdolmohamadi *et al.* (2003) and Wyatt (1997) for example) consider that significant emphasis should be placed on ethical development within the profession. It should follow therefore that trainee accountants should be subject to ethics education in
their training process, part of which is their University studies. The effects of these training processes are difficult to assess and studies of accountancy students’ ethical attitudes have demonstrated differences based upon nationality. Studies of accountancy *students’* ethical attitudes, which are obviously important, as they represent the future of the profession, are not as plentiful as studies of *practicing* accountants’ ethical attitudes. It is hoped therefore that the current study will add to the extant literature in the area. A chronological review of some of these studies follows.
Goodwin and Goodwin (1999) compared the ethical attitudes of first year accountancy students in Malaysia and New Zealand. They discovered significant national differences in two of three scenarios. The Malaysian students were found to be more willing to share the rewards for their work equally with teammates than their New Zealand counterparts. Also, the Malaysian students were found to be more likely to raise a query with their boss (when they suspected he/she was acting unethically) than their New Zealand counterparts\(^4\). The third scenario involving an environmental issue, on whether students would report their employers to the appropriate authorities if they breached environmental laws, yielded no significant difference.
Haswell *et al.* (1999) compared the attitudes of accountancy students from Australia, South Africa and the UK across various scenarios involving cheating. Again significant differences were discovered based upon nationality. UK students were found to be the most likely group to *consider* plagiarizing. Their percentages were significantly higher than the other two. However, to what extent this is influenced by economic factors (since copying was cheaper at UK universities) is unclear. This is because, when asked who would *probably* plagiarize, the South African students’ percentages were significantly higher than the other two.
O’Leary and Cotter (2000) compared the ethical attitudes of accountancy students in the Republic of Ireland and Australia. Across six scenarios, involving accepting bribes (4 cases) and cheating in an exam (2 cases), the Irish students were found to be significantly more likely to act unethically. The authors surmised that the more pronounced emphasis on ethics education in the Australian university and better “whistleblowing”\(^5\) protection legislation in Australia may have contributed to the perceived better results in that country.
The above three studies, while adding significantly to the body of knowledge in the area, all have limitations. The first study took its subjects from two campuses of the same university, hence could have been tainted by the culture specific to that institution. The second study only examined students’ attitudes to one ethical dilemma, cheating, hence is somewhat limited. The third study, while overcoming the limitations of the first two, only compares students across two countries with some similarities in their cultural backgrounds. The current study is an extension of the O’Leary and Cotter (2000) study utilizing the same survey instrument (adapted for local conditions as appropriate) but compares attitudes across three countries, thus spreading the cultural diversities. For that reason Malaysia was added to the original two countries to perform this study.
**Justification for Three-Country Selection**
The three countries selected were chosen as they provided a good cross-section of nations on varying cultural, economic and ethical scales. These are summarized at Table 1.
Table 1. Differences Between the Three Countries
| Variable/Scale | Malaysia | Australia | Ireland |
|-------------------------------------------------------------------------------|------------|-----------|---------|
| Ethnic Origins | Malays | Multi-cultural | Celts |
| Predominant Cultural Background (Patel et al., 1999). | South East Asia | Anglo-American | European |
| Industrial Ranking (International Monetary Fund, 2003) | Newly-industrialising | Developed economy | Developed economy |
| Projected growth in GDP (International Monetary Fund, 2003) | 6.5% | 3.6% | 4.7% |
| Corruption Perceptions Index (CPI) Ranking (Transparency International, 2003)| 37 | 8 | 18 |
| Bribe Payers Index (BPI) Ranking (Transparency International, 2003) | 15 | 1 | Not available |
Considering cultural influences in the first instance, Malaysians are predominantly from a south-east Asian cultural background (although as noted in the Goodwin and Goodwin (1999) paper above, this can be further divided into Malays, Chinese and Indians). Australia prides itself on being a multi-cultural nation, thus acknowledging influences from many cultural backgrounds on its development. However, its constitutional monarchy structure of State emphasizes the strong Anglo-Saxon influence. Ireland, on the other hand, is dominated by the Celtic culture. Patel *et al.* (1999) in a study of auditor judgments, used Australia as a proxy for Anglo-American nations. Similarly, Ireland can be used as a proxy for European nations, being a member of the European Community (EC) and Malaysia can be used as a proxy for the South-East Asian group of nations.
Considering economic factors, various comparative tables from the International Monetary Fund (IMF) (2003) demonstrate differences between the nations. Whereas both Australia and Ireland are classified as having developed economies, Malaysia is described as “developing” or “newly-industrialised”. This is highlighted in projected growth figures as per Table 1. Gross domestic product (GDP) in Malaysia is anticipated to grow at a far faster rate than in the other two so called developed economies.
Ethical scales are more difficult to encounter, but Transparency International (2003) gathers information from which it constructs a Corruption Perceptions Index (CPI) and a Bribe Payers Index (BPI). The lower the ranking number, the more ethical the country is perceived to be. Hence, the developed countries are perceived as less likely to accept corrupt payments and bribes than the “newly industrialised” nation.
It was considered that this spread of nations was an improvement on previous studies which did not have such a diverse cultural range in their student population surveys.
Participants
Samples of final year accountancy students in Malaysia, Australia and Ireland were chosen as follows.
In Malaysia, at Universiti Teknologi MARA, Samarahan Campus, Kuching, two classes were chosen from a final year auditing unit in the Bachelor of Accountancy (Honours) degree. This is a two year program, following on from a three year Diploma in Accounting program. These classes provided an overall group of 97 final year accountancy students. The bulk of these students take up jobs with public accounting firms or work as trainee accountants in commerce and industry after graduation. The split between male and female students was 43%/57% Refer to Table 2. This split along gender lines is in keeping with the overall trend in Malaysian universities where in the recent past the intake of female students tends to be higher than for male students.\(^3\)
In Australia, at Queensland University of Technology, Brisbane, one class was chosen. This was a final year auditing unit in the Bachelor of Business (Accountancy) degree, a three-year qualification. This class provided an overall group of 103 final year Australian accountancy students. The vast majority of these students take up jobs with public accounting firms or gain employment as trainee accountants in industry after graduating. The split between male and female students was practically 50/50 Refer to Table 2.
In Ireland, at University College Cork, three classes were chosen. The first was an auditing unit taken by final year Bachelor of Science (Accountancy) students – a three-year degree. The other two were accounting units taken by final year Bachelor of Commerce students – a four year degree and Bachelor of Science (Finance) – a three year degree. As the auditing unit only offered 25 students it was considered too small a sample size hence it was combined with the larger accountancy classes to provide an overall group of 139 final year Irish accountancy students. Again, the vast majority of these students take up jobs with public accounting firms or gain employment as trainee accountants or financiers in industry after graduation. The split between male and female students was again, practically 50/50—refer Table 2.
Survey instrument
All participants were then issued with a questionnaire, distributed during the formal lecture period and students were given 10 minutes to complete it. Students were not told that this was a survey of ethical attitudes. They were given the survey instrument and were asked to complete it independently. All they were told was that there were no correct answers. They were asked to answer according to their own feelings.
Each participant received a questionnaire which included six (6) ethical scenarios. Students were to tick one answer from three possible answers provided for each scenario. Appendix 1 is a copy of the survey instrument utilised. Irish Punt\(^8\) and Australian Dollar equivalents were inserted for Malaysian Ringgit. Other minor changes were made to names of taxation offices, university security departments etc. to reflect local terminology, but otherwise the instrument was identical in all three countries.
| Sex | # | Accept | Ref/Re | Inf'm | Sex | # | Accept | Ref/Re | Inf'm | Sex | # | Accept | Ref/Re | Inf'm |
|-------|----|--------|--------|-------|-------|----|--------|--------|-------|-------|----|--------|--------|-------|
| | | % | | | | | % | | | | | % | | |
| M&F | 139| 85 | (61) | 38 | (27) | 16 | (11) | 43 | (42) | 97 | 13 | (14) | 45 | (46) |
| M | 70 | 56 | (80) | 9 | (13) | 5 | (7) | 16 | (32) | 42 | 8 | (18) | 20 | (49) |
| F | 69 | 29 | (42) | 29 | (42) | 1 | (16) | 27 | (51) | 55 | 5 | (10) | 25 | (45) |
| M&F | 103| 26 | (25) | 34 | (33) | 43 | (42) | | | | | | | |
| M | 50 | 20 | (40) | 14 | (28) | 16 | (32) | | | | | | | |
| F | 53 | 6 | (11) | 20 | (38) | 27 | (51) | | | | | | | |
| M&F | 97 | 13 | (14) | 45 | (46) | 39 | (40) | | | | | | | |
| M | 42 | 8 | (18) | 20 | (49) | 14 | (33) | | | | | | | |
| F | 55 | 5 | (10) | 25 | (45) | 25 | (45) | | | | | | | |
| M&F | 139| 37 | (27) | 60 | (43) | 42 | (30) | | | | | | | |
| M | 70 | 28 | (40) | 20 | (29) | 22 | (31) | | | | | | | |
| F | 69 | 9 | (13) | 40 | (58) | 20 | (29) | | | | | | | |
| M&F | 103| 9 | (9) | 46 | (45) | 48 | (46) | | | | | | | |
| M | 50 | 8 | (16) | 21 | (42) | 21 | (42) | | | | | | | |
| F | 53 | 1 | (2) | 25 | (47) | 27 | (51) | | | | | | | |
| M&F | 97 | 4 | (4) | 54 | (55) | 39 | (41) | | | | | | | |
| M | 42 | 0 | (0) | 26 | (42) | 16 | (38) | | | | | | | |
| F | 55 | 4 | (7) | 28 | (51) | 23 | (42) | | | | | | | |
## Table 2 – Summary of Results
| Scenario | Ireland | Australia | Malaysia |
|----------|---------|-----------|----------|
| | Sex | # Accept | Ref/Re | Inf'm | Sex | # Accept | Ref/Re | Inf'm | Sex | # Accept | Ref/Re | Inf'm |
| | | # % | # % | # % | | # % | # % | # % | | # % | # % | # % |
| **Scenario 3** | | | | | | | | | | | | |
| M&F | 139 | 79 (57) | 34 (24) | 26 (19) | M&F | 103 | 21 (20) | 35 (34) | 47 (46) | M&F | 97 | 12 (13) | 45 (46) | 40 (41) |
| M | 70 | 50 (71) | 9 (13) | 11 (16) | M | 50 | 16 (32) | 15 (30) | 19 (38) | M | 42 | 6 (14) | 24 (57) | 12 (29) |
| F | 69 | 29 (42) | 25 (36) | 15 (22) | F | 53 | 5 (9) | 20 (38) | 28 (53) | F | 55 | 6 (11) | 21 (38) | 28 (51) |
| **Scenario 4** | | | | | | | | | | | | |
| M&F | 139 | 37 (27) | 54 (39) | 48 (34) | M&F | 103 | 6 (6) | 42 (41) | 55 (53) | M&F | 97 | 2 (3) | 50 (51) | 45 (46) |
| M | 70 | 26 (37) | 21 (30) | 23 (33) | M | 50 | 6 (12) | 20 (40) | 24 (48) | M | 42 | 0 (0) | 26 (62) | 16 (38) |
| F | 69 | 11 (16) | 33 (48) | 25 (36) | F | 53 | 0 (0) | 22 (42) | 31 (58) | F | 55 | 2 (4) | 24 (43) | 29 (53) |
### Table 2 – Summary of Results
| Scenario | Ireland | Australia | Malaysia |
|----------|---------|-----------|----------|
| | Sex | # | Accept | Ref/Re | Inf’m | Sex | # | Accept | Ref/Re | Inf’m | Sex | # | Accept | Ref/Re | Inf’m |
| | | % | # | % | # | % | # | % | # | % | # | % | # | % | # |
| **Scenario 5** | | | | | | | | | | | | | | | |
| M&F | 139 | 78 (56) | 56 (40) | 5 (4) | | 103 | 29 (28) | 66 (64) | 8 (8) | | 97 | 31 (32) | 61 (62) | 5 (6) |
| M | 70 | 44 (63) | 25 (36) | 1 (1) | | 50 | 17 (34) | 27 (54) | 6 (12) | | 42 | 10 (24) | 29 (69) | 3 (7) |
| F | 69 | 34 (49) | 31 (45) | 4 (6) | | 53 | 12 (23) | 39 (73) | 2 (4) | | 55 | 21 (38) | 32 (58) | 2 (4) |
| **Scenario 6** | | | | | | | | | | | | | | | |
| M&F | 139 | 21 (15) | 115 (83) | 3 (2) | | 103 | 6 (6) | 89 (86) | 8 (8) | | 97 | 3 (4) | 87 (88) | 7 (8) |
| M | 70 | 16 (23) | 54 (77) | 0 (0) | | 50 | 4 (8) | 40 (80) | 6 (12) | | 42 | 0 (0) | 40 (95) | 2 (5) |
| F | 69 | 5 (7) | 61 (88) | 3 (5) | | 53 | 2 (4) | 49 (92) | 2 (4) | | 55 | 3 (5) | 47 (86) | 5 (9) |
**Key:**
- Accept = Accept a bribe or offer of an exam paper
- Ref/Re = Refuse the bribe or offer and remain silent
- Inf’m = Refuse the bribe and inform the relevant authorities
Scenario one asked the students if they would accept a bribe, knowing that there was no chance of being caught or to participate in a scheme to defraud the tax office. Scenario three asked the same question except this time the scheme involved defrauding shareholders. Scenarios two and four were the exact same as scenarios one and three except this time there was a one in ten chance of being caught. Scenario five asked the students if they would accept a copy of a final exam paper the day before the exam, if there was no chance of being caught. Scenario six again introduced the one in ten risk of being caught in relation to the above action.
All six scenarios offered the students three choices. Firstly, they could accept the bribe/offer. Secondly, they could reject the bribe/offer and say nothing. Thirdly, they could reject the bribe/offer and report the incident to the relevant authorities ie “blow the whistle” on the offerer(s).
The purposes of the instrument were to attempt to gauge attitudes to such questions as:
1. Is there a difference between final year accountancy students’ ethical attitudes in the three countries?
2. Is there a difference between male and female students?
3. Do students consider it ethical to cheat as regards sitting an exam?
4. How are students’ ethical attitudes affected by the risk of getting caught? and
5. What are student’s attitudes towards “whistleblowing”?
Results
Earlier studies on ethics have yielded differing results depending upon cultural backgrounds, as discussed above. The current study continued this trend.
All results are summarised in Table 2. 14% of Malaysian students would accept a bribe to defraud the tax office. 25% of Australian students would do the same whereas 61% of Irish students said that they would (Table 2, Scenario 1). When it came to defrauding shareholders, 13% of Malaysian students would still participate in a fraud, 20% of Australian students and 57% of Irish students would (Table 2, Scenario 3). In Malaysia, male students were one and a half times more likely than female students to participate in either event\(^9\). In Ireland, males were two times more likely and in Australia, males were almost 4 times more likely.
Once any risk of being caught was introduced, in scenarios 2 and 4, the percentage of potential fraud participants fell significantly. In Malaysia only one quarter of those who would accept a bribe would continue to do so if there was any risk of being caught\(^{10}\). In Australia, the comparable figure fell to approximately one third and in Ireland to approximately one half. Students were not informed of the penalties if caught (custodial and/or fines). However they obviously considered them serious enough to significantly dissuade them from their initial choice of behaviour.
When it came to cheating in an exam, 32% of Malaysian students appeared willing to do so. This figure fell slightly to 28% for Australian students and rose to 56% for Irish students. Quite interestingly, in this instance the difference between male and female students was far less significant in all three countries. Indeed, in Malaysia females were
more inclined than males to consider engaging in this form of unethical behaviour\(^1\). (This contrasts with the accepting bribes scenarios above, where the males were found to be 1.5 times more likely to act unethically). In Australia and Ireland, the male/female unethical behaviour ratios, as regards exam cheating, fell to 1.5/1 and 1.25/1 respectively (Again this contrasts with ratios of 4/1 and 2/1 respectively for the accepting bribes scenarios). Again, when a risk of being caught was introduced, in scenario 6, the percentages willing to participate fell dramatically in all three countries.
All results were subject to statistical analysis to determine significant differences. As the objective was to compare population proportions which contain qualitative data, a technique as described by Selvamathan et al. (1994) was utilised. The null hypothesis would assume that two population proportions would be equal. By calculating the pooled proportion estimate and comparing the separate group proportions to each other and to the pooled proportion, a \(z\) score was arrived at. This was then compared to the statistical tables and significance levels computed as relevant. All results involving the comparison of Malaysian and Australian students (together with a copy of the formula used) are displayed in Appendix 2\(^2\).
**Interpretation of Results**
Significant differences exist between the students of the three nations. Referring to Table 1, the global perception is that bribery and corruption are more prevalent in the “newly industrialised” nation, Malaysia, than in the two “developed economy” nations, Australia and Ireland. However, the Malaysian students indicated that they were significantly less likely to accept bribes than their Australian and Irish counterparts. This is even despite the fact there were no formal ethics studies in the Malaysian course when the survey was performed. If Malaysian *accountancy students* appear more ethical than the other two nations, what happens when they join the workforce that results in Malaysian *accountancy practitioners* being perceived as less ethical, as per the CPI and BPI indices in Table 1?
When one considers how the students react on discovering, but refusing to participate in a fraud, international differences again appear. In Australia, of the 78%\(^3\) of students in this category, they are more likely to “blow the whistle” and inform the authorities, than do nothing. However, both their Malaysian and Irish counterparts are more likely to do the opposite, which is, walk away and do nothing, rather than inform. Reviewing the predominant answers – by country – to Scenarios 1 to 4 (Table 2) summarises the nationalistic traits. The predominant preference of Malaysian students, when confronted with a bribery/corruption issue is to refuse to get involved but also do nothing about it. The predominant preference of the Irish students was to either accept the bribe/offer or else do nothing. The predominant preference of the Australian students was to inform the authorities. As O’Leary and Cotter (2000, p.112) highlighted, this could possibly be due to the perceived better “whistleblower” protection legislation available in Australia as opposed to most other countries. Following on could be the influences of the 1988 Fitzgerald Inquiry into Police Corruption in Queensland (the Australian State from which the current study’s sample was chosen) and the subsequent formation of the Electoral and Administrative Reform Commission (EARC), “whistleblower” protection legislation was passed in the early 1990s. Barker (1999 p.11) notes how Irish Company Law does not offer satisfactory systems for confidential reporting to external auditors by concerned
employees. The difference in these legal frameworks could be construed as supporting a more sympathetic attitude to unethical behaviour in two countries as opposed to the other one.
The students of the three nations also disclosed differences in their reaction to the type of unethical scenario they were presented with. Which the Malaysian students appeared less likely to accept a bribe than the other two national groups, their attitude to exam cheating was significantly less ethical. Malaysian students appeared over two times more likely to cheat in an exam than to accept a bribe\textsuperscript{14}. Australian students were only slightly more likely to cheat than accept a bribe and there was no significant difference to the Irish students between the types of unethical scenario. Referring to Hofstede’s (1980 and 1983) “dimensions of culture” scales, Malaysians are ranked higher than both Irish and Australians in terms of factors such as individualism and masculinity. This would tend to suggest that generally Malaysians are not as focused on the interests of other stakeholders, and failure in school/university is viewed very harshly. In local parlance, the latter is known as the ‘Jatuh Airmuka’ mentality. This would lead us to expect that students in Malaysia would be more concerned with failure (thus more likely to cheat on exams) and less concerned with other stakeholders. The results of this study would appear to support such a notion.
All three national student groups displayed consensus in two areas. The first relates to the difference in ethical attitudes between the sexes. In all three countries, male students appeared more prepared to act unethically than females in relation to accepting bribes. As mentioned previously, scenarios 1 and 3 highlight that Australian male students were almost four times more likely to accept a bribe than female students. The Irish equivalent ratio was almost two times and the Malaysian equivalent was 1.5 times. Why male students are more likely to act unethically is a matter for conjecture but the results are consistent with those of other studies (for example, Haswell & Jubb (1995). However, when it came to cheating in exams, the difference between the sexes was significantly reduced, and even reversed in the Malaysian situation. In all three countries, males were more inclined to accept a bribe than cheat in an exam but female students were more inclined to cheat in an exam than accept a bribe.
The second area of consensus relates to the effect of risk on the bribe/offer situations. Again, this was consistent across countries and genders. In all three countries once an element of risk was introduced the numbers prepared to act unethically plummeted. All differences were significant at the 1% level (Appendix 2). This again highlighted a worrying trend consistent with previous studies. What appears to make people act more ethically is the risk of getting caught. It has nothing to do with a change in the circumstances of the situation before them. Scenarios 2, 4, and 6 were the exact same as 1, 3 and 5 except for the risk of getting caught, yet all responses were significantly different.
**Conclusion**
The accountancy profession worldwide, needs to be seen as one of high ethical standing. One would consider therefore that ethics would be an important part of the training process for students intending to join a profession. Hence, reviewing the ethical attitudes
of student accountants would appear a valid pursuit. Despite the internationalisation of accounting and auditing, as evidenced by international standards, differences in attitudes can be expected at a national level, due to cultural, economic, and social factors.
Reviewing the results of this study, which notes significant differences between the attitudes of final year accountancy students of three countries, tends to support the notion that ethical differences will exist, irrespective of attempts at international harmonisation of accountancy practices. Overall, Malaysian accountancy students appear to be less inclined to act unethically themselves when compared with Australian and Irish students. On the other hand, Australian students, possibly bolstered by stronger legislation, would appear more inclined to ensure an unethical situation is properly resolved whereas Irish students appeared to display an unacceptably high tendency to consider acting unethically once there was no danger of being caught.
Other issues also appear in need of attention. Globally, why are male students so significantly more likely to act unethically as opposed to their female counterparts? Why do students of both sexes still appear so reluctant to become “whistleblowers”? Why do female students appear more inclined to act unethically in an attempt to qualify as accountants, yet appear more inclined to act ethically having qualified? Future research would appear warranted in all these areas.
The results of this study and the future research questions raised above, lead to one final critical issue to consider, the emphasis on ethics education. It would be facile to suggest that raising the ethics educational requirements of accountancy students would raise their ethical performance, as so many other variables may also affect the issue. Only the Australian undergraduate degree, of the three courses covered in this study, incorporated a mandatory ethics subject (Business Ethics, in the first year). The other two countries integrated ethics training throughout other units, to varying degrees. Ethics education, if integrated into accountancy training, must be tailored to local cultural and nationalistic attitudes. One size will not fit all, as the results of this study tend to indicate. It would appear that more research, to ascertain if the type of ethics education being provided is effective, is also needed.
Any study such as this has limitations. Whether or not students would actually act as they say they would in the comfort of an anonymous questionnaire is always debateable. However, the percentages all appear large enough to warrant consideration that at least a fair proportion of respondents would act as they have indicated. However, the above limitation must be recognised.
Notes
1 As evidenced for example by the HH Royal Commission and the Harris Scarfe and One-Tel scenarios.
2 As evidenced for example in the United States by Enron, Sunbeam and WorldCom, and in Ireland by the 1993/4 Beef Tribunal Hearings (reviewing irregularities in the beef industry) the 1997 McCracken Inquiry and the Moriarty Tribunal (reviewing payments to politicians) (Irish Times, 1999).
3 For example, the Institute of Chartered Accountants in Australia (ICAA) and CPA Australia (CPAA) issued the Joint Code of Professional Conduct.
However a sub-division of the Malaysian student group into ethnic origin groups (Malays, Chinese and Indian) yielded significant inter group variations in this case. Informing the appropriate authorities when one comes across an illegality, is often referred to as “whistleblowing”. Refer for example to Vinten (1994).
With the exception of a “not available” score for Ireland on the BPI.
Universiti Teknologi Mara(UiTM) only admits indigenous ‘bumiputra’ students. Hence, unlike the Goodwin and Goodwin (1999) study mentioned above, there are no Malaysian Chinese or Malaysian Indian students on campus, so there is no risk of inter group variations on nationalistic grounds (footnote 4).
As then, now Ireland uses Euros.
This figure is derived by averaging the percentages in the “accept” boxes of scenarios 1 and 3, Table 2. \((18+14)/(10+11) = 1.5\).
This figure is derived by comparing the percentages in the “accept” boxes of scenarios 1 and 3 with those of scenarios 2 and 4, Table 2. \((14+13)/(4+3) = 3.9\).
Table 2. Scenario 5, under the “accept” column comparing percentages of M and F. Similar analyses to the one demonstrated in Appendix 2 were prepared for the differences between the Malaysian and Irish students and the Australian and Irish students.
Averaging scenarios 1 and 3, percentages of students who would not accept the offer (Table 2).
Comparing the “accept” column in Scenario 5 (32%) to its average from scenarios 1 and 3 (13.5%).
**References**
Abdolmohamadi M. J. Read W. J. and Scarbrough D. P. (2003). *Does Selection-Socialization Help to Explain Accountants' Weak Ethical Reasoning?* Journal of Business Ethics. Vol. 42 No. 1. (p.71-81).
Bakar M.A. Saat M.S. and Majid A.H.A. (2003). *Ethics and the Accounting Profession in Malaysia.* National Accounting Research Journal. Vol 1. No. 1 (p.105-122).
Barker P. C. (1999). The Lesson of the Money-Lender and the Tax-Gatherer. Accountancy Ireland. February. (p.10-11).
Cohen J.R. Pant L.W. & Sharp D.J. (1995). *An Exploratory Examination of International Differences in Auditor's Ethical Perceptions.* Behavioural Research in Accounting. Vol. 7 (p.37-64).
Comunale C.L. and Sexton T.R. (2003) *Managerial Auditing Journal.* Vol. 18, No.s. 6/7. (p. 569-577).
Dittenhoffer M. and Sennetti J. (1995). *Ethics and the internal auditor phase II: a comparison of 1983 and 1994 surveys.* Managerial Auditing Journal. Vol. 10 No. 4. (p. 35-43).
Dykxhoorn H.J. & Sinning K.E. (1981). *Wirtschaftprüfer. Perception of Auditor Independence.* Accounting Review. January (p. 97-107).
Goodwin J. and Goodwin D. (1999). *Ethical Judgements Across Cultures: A Comparison Between Business Students From Malaysia and New Zealand*. Journal of Business Ethics. Vol 18. No. 3. (p. 267-281).
Harrington T. and McCahey J. (2002). *Don’t look at us*. Charter. August. (p. 14).
Haswell S. & Jubb P. (1995). *Unethical Tendencies*. Charter. April (p.102-103).
Haswell S., Jubb P. and Wearing B. (1999). Accounting Students and Cheating: A Comparative Study for Australia, South Africa and the UK. *Teaching Business Ethics*. Vol 3. No. 3. (p. 211-239).
Hofstede G. (1980). Culture’s Consequences: International Differences of Work Related Values. Sage, Beverley Hills. Ca.
Hofstede G. (1983). *The Cultural Relativity of Organisational Practices and Theories*. Journal of International Business Studies. Fall (p. 75-89).
Institute of Chartered Accountants in Australia (ICAA) (1999). Members Handbook. ICAA Sydney.
International Monetary Fund (2003). [http://www.imf.org](http://www.imf.org)
Irish Times (1999). [http://www.ireland.com/newspaper/archives](http://www.ireland.com/newspaper/archives). Untangling the Tribunals.
Karnes A. Sterner J. Welker R. & Wu F. (1990). *A Bi-Cultural Comparison of Accountants’ Perceptions of Unethical Business Practices*. Accounting, Auditing and Accountability Journal. Vol. 3 No. 3 (p. 45-64).
Kreuze J.G. Luqumani Z. And Luqumani M. (2001). *Shades of Grey*. Internal Auditor. Vol. 58. No. 2. (p. 48-53).
Mintz S.M. (1995). *Virtue Ethics and Accounting Education*. Issues in Accounting Education. Vol 10 No.2 (p. 247-267).
O’Leary C. and Cotter D. (2000). *The Ethics of Final Year Accountancy Students: an International Comparison*. Managerial Auditing Journal. Vol. 15 No. 3 (p. 108-115).
Patel C. Harrison G. and McKinnon J. (1999). Cultural Influences on Judgements of Professional Accountants in Auditor-Client Conflict Resolution. Emerging Issues in International Accounting Conference. Niagara Falls, New York.
Selvanathan A. Selvanathan S. Keller G. Brain W. & Bartel H. (1994) *Australian Business Statistics*. Thomas Nelson. Australia.
Transparency International (2003). [http://www.gwdg.de](http://www.gwdg.de).
Vinten G. (1994). *Whistleblowing: Subversion or Corporate Citizenship?* Paul Chapman Publishing. London.
Walsh B. (1999). A Proud Profession. *Accountancy Ireland*. February (p.3).
Wyatt A.R. (1997). Review, *The Accounting Profession Major Issues: Progress and Concerns*. Accounting Horizons. Vol. 11 No. 2. (p. 127-131).
APPENDIX 1
Scenarios Utilised
Scenario (1)
You have completed your degree and have spent six months in your first job. You are the assistant accountant at a large manufacturing company. After six months you notice the firm has a very clever tax evasion scheme in force which allows it to underpay its tax bill by RM400,000 a year. You confront your boss, the chief accountant, and he admits the scheme is illegal. He and the 3 remaining directors split the amount equally each year, each taking RM100,000. The scheme is perfectly disguised and as the tax office (LHDN) is under-staffed, and has leaked that it cannot do any audits on manufacturing firms for the next 3 years, apart from basic compliance, there is no way they can possibly get caught. You confirm this for yourself.
Your boss offers to split the proceeds 5 ways. It will run for another two years and then will be scrapped. He is offering you RM80,000 per annum for 3 years, on top of your salary, and you have no chance of being caught.
Please tick one option:
Would you:
| | Accept the bribe for the 3 years and tell no one |
|---|--------------------------------------------------|
| 2. | Resign immediately and tell no one |
| 3. | Inform the tax office (LHDN) and/or relevant Corporate Authorities immediately |
Scenario (2)
The scenario is the exact same as above, except this time your boss tells you there is a 1 in 10 chance of being caught by the tax office (LHDN).
Please tick one option:
Would you:
| | Accept the bribe for the 3 years and tell no one |
|---|--------------------------------------------------|
| 2. | Resign immediately and tell no one |
| 3. | Inform the tax office (LHDN) and/or relevant Corporate Authorities immediately |
Scenario (3)
You have completed your degree and have spent six months in your first job. You are the assistant accountant at a large manufacturing company. After six months you notice the firm has a very clever accounting scheme in force which allows it to understate its profit by RM400,000 a year, thus understating the return due to shareholders. You confront your boss, the chief accountant, and he admits the scheme is illegal. He and the 3 remaining directors split the amount equally each year, each taking RM100,000. The scheme is perfectly disguised and as the external auditors have expressed themselves delighted with the company and have no intention of doing anything but minimal work over the next 3 years, there is no way they can possibly get caught. You confirm this for yourself.
Your boss offers to split the proceeds 5 ways. It will run for another two years and then will be scrapped. He is offering you RM80,000 per annum for 3 years, on top of your salary, and you have no chance of being caught.
Please tick one option:
Would you:
1. Accept the bribe for the 3 years and tell no one
2. Resign immediately and tell no one
3. Inform the external auditors and/or relevant Corporate Authorities immediately
Scenario (4)
The scenario is the exact same as above, except this time your boss tells you there is a 1 in 10 chance of being caught by the external auditors.
Please tick one option:
Would you:
1. Accept the bribe for the 3 years and tell no one
2. Resign immediately and tell no one
3. Inform the external auditors and/or relevant Corporate Authorities immediately
Scenario (5)
You are preparing for your final accounting examination to complete your Degree. It promises to be a very difficult paper with an average pass rate. You have been promised a job by a leading company in their accounting department, provided you pass this final exam. Two days before the exam you bump into Mustafa who went to school with you but you haven’t seen in three years. You were very good friends and he was always a good friend to anyone else you had heard about. He asks you what you are doing and you tell him. He then tells you he is working for a printing company which prints your University’s exams. In fact he can remember printing off your exam that very morning. He offers to get you a copy of the paper and deliver it to you tomorrow. As no one will know you have no chance of being caught.
Please tick one option:
Would you:
1. Accept Mustafa’s offer and get a copy of the paper
2. Thank him for the offer but decline
3. Thank him for the offer, decline, and immediately inform his employers of his offer to you
Scenario (6)
The scenario is the exact same as above, except this time Mustafa tells you, you must come with him to get the paper after the printery is locked up. There is a 1 in 10 chance of being caught by the security guards who must report fully on all break ins.
Please tick one option:
Would you:
1. Accept Mustafa’s offer and get a copy of the paper
2. Thank him for the offer but decline
3. Thank him for the offer, decline, and immediately inform his employers of his offer to you
APPENDIX 2
Example of Statistical Analysis. Comparison of Malaysian and Australian Students’ Responses
| Sex | Accept | Ref/Re | Inform |
|-------|--------|--------|--------|
| M&F | Z | Z | NSD |
| M | Z | ZM | Z |
| F | NSD | ZA | S |
| Sex | Accept | Ref/Re | Inform |
|-------|--------|--------|--------|
| M&F | Z | R | P |
| M | Z | ZM | NSD |
| F | Z | ZA | S |
| Sex | Accept | Ref/Re | Inform |
|-------|--------|--------|--------|
| M&F | Z | Z | S |
| M | Z | ZM | Z |
| F | NSD | ZA | NSD |
| Sex | Accept | Ref/Re | Inform |
|-------|--------|--------|--------|
| M&F | S | NSD | Z |
| M | Z | ZM | Z |
| F | Z | ZA | NSD |
Key:
- Z = Difference between two countries significant at the 1% level
- P = Difference between two countries significant at the 5% level
- S = Difference between two countries significant at the 10% level
- ZM = Difference between Malaysian males/females significant at 1% level.
- ZA = Difference between Australian males/females significant at 1% level
- R = Difference between response to scenario when a 10% risk element is introduced, significant for both countries at the 1% level.
- NSD = No significant difference.
Formula and hypothesis:
\[ H_0 : (p_1 - p_2) = 0 \] (assumes both proportions of respondents to any scenario option, will be equal).
\[ z = \frac{(\hat{p}_1 - \hat{p}_2) - (p_1 - p_2)}{\sqrt{\hat{p} \hat{q} \left( \frac{1}{n_1} + \frac{1}{n_2} \right)}} \]
where:
\[ \hat{p}_1 = \frac{x_1}{n_1} \quad \text{(the proportion of respondents choosing a particular option, sample 1)} \]
\[ \hat{p}_2 = \frac{x_2}{n_2} \quad \text{(the proportion of respondents choosing a particular option, sample 2)} \]
\[ \hat{p} = \frac{x_1 + x_2}{n_1 + n_2} \quad \text{(the proportion of respondents choosing a particular option, both samples combined)} \]
\( x_1 = \) Number of Malaysian/male/‘no-risk’ scenario students selecting a particular option to a particular scenario, if comparing to number of Australian/female/‘risk’ scenario students.
\( x_2 = \) Number of Australian/female/‘risk’ scenario students selecting a particular option to a particular scenario, if comparing to number of Malaysian/male/‘no-risk’ scenario students.
\( n_1 = \) Population of Malaysian/male/‘no-risk’ scenario students responding to a particular scenario, if comparing to population of Australian/female/‘risk’ scenario students.
\( n_2 = \) Population of Australian/female/‘risk’ scenario students responding to a particular scenario, if comparing to population of Malaysian/male/‘no-risk’ scenario students.
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OIT Networking has completed the planned maintenance on the DHCP service for Housing and Dining. If you experience connectivity issues, please contact the OIT Help Desk at 713-348-HELP (4357).
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2012 Champion, Junior Category - Western Division
Mikayla Flint, Paradise Valley, Alberta born April 27, 2000
During my third year of draft horse 4-H, I required a draft horse weanling of any breed. Due to the death of our Percheron foal I needed to find a foal to use for my 3 year project. I decided to try something new, and this is how I became involved with Belgians. I was excited to begin to experience working with not only a foal but a Belgian foal. The first year we were required to halter break them, in our second year we will start ground driving, and in the third year we will be driving them in a cart. I have enjoyed working with and showing Roxy for the past year, and look forward to the next two years. Mikayla Flint
$100.00 cheque and Jacket from your CBHA Charitable Donations to Mikayla Flint.
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St. John the Baptist and Holy Trinity
406 Court Street Syracuse, NY 13208 Office (315) 478-0916 Fax 423-8096 Convent 422-2998
May 29, 2016
Mass Schedule:
Mon., Tues. & Fri.—12:00 Noon Saturday Vigil—4:00 pm Sunday—9:00 am
Office Hours for SJB/HT
Mon.-Thurs. 9:00am-4:30pm Fri. 9:00am-2:00pm
E-mail - [email protected]
Reconciliation: Fri. 11:30am. Or by appointment.
Web Site - www.stjohnthebaptist-holytrinity.com
The Most Holy Body And Blood
"And when the leftover fragments were picked up, they filled twelve wicker baskets." Today's Gospel shows us that Jesus wants to do more than satisfy our needs. He wants to give us an experience of fullness and abundance. He not only miraculously fed the crowd of thousands; he also provided enough to make a mountain of leftovers. More than they needed, more than they ever expected. That's what Jesus gave.
And it's what he continues to give us every time we receive the Eucharist. This too is a miraculous meal. Like the multiplication of "five loaves and two fish," Jesus turns something small--bread and wine--into something abundant and overflowing: his body, blood, soul, and divinity.
Through this sacrament we experience the gift of union with Jesus and the resulting graces that come from encountering him. Just like the crowds gathered that day in a deserted place, we come to Jesus with our emptiness--our needs, our weaknesses, our fears-and he fills us up until we too are "satisfied."
The prayer after Communion on today's feast of the Most Holy Body and Blood of Christ reminds us that what we experience at Mass is a foretaste of that ultimate satisfaction that we will experience in heaven: "Grant, O Lord, we pray, that we may delight for all eternity in that share in your divine life, which is foreshadowed in the present age by our reception of your precious Body and Blood." Receiving the Lord in the Eucharist is a momentous miracle and an earthly glimpse into heaven. May today's celebration help remind us to be ever grateful for this most glorious gift.
SJB/HT Office & Church Staff
Administrator Father Daniel Caruso Secretary/Bulletin Nancy Bergeson Religious Education Catherine Mackey
Office Assistant Mary Olmsted Organist Melissa Berthelot Cantor Jonathan Howell
Call the Rectory to arrange for Marriages, arrangements made six months prior to date. Contact our organist and cantor directly. Baptisms and hospital/home visits.
Sharing The Gospel
Jesus told his friends to give a whole crowd of people something to eat. All they had was a little fish and bread. How could they possibly feed all those people with so little food? God gave them what they needed to help other people. When you want to help other people, trust God to give you what you need.
Prayer
Dear God, with your power I can really help other people.
Something to Draw
Draw a picture of yourself sharing your lunch with a friend.
Mission for the Week
If God has blessed your family with plenty of food to eat, make sure you also give food to people who are hungry.
A Family Perspective
Family Life Education
In today's Gospel Jesus teaches we will find abundance by sharing the little we have. No matter how little time, money or food we have, it is enough to share.
Annual HOPE Appeal
If you have not yet responded to the HOPE Appeal, we ask that you prayerfully consider making a pledge to help support the needs of our diocese. Remember to please make out your checks directly to HOPE Appeal. You can also make a secure online gift or pledge at www.syrdio.org.
Spring Concert/St. Daniel School Gym
Join us for an evening of wonderful music!
Thurs- day, June 9th at 6:30 p.m. Free Spring Concert at
St. Daniel School Gym 3004 Court St.
Sponsored
by The Wisdom People (St. Daniel Senior Citizens Group) Featuring: The Lyncourt Community Band, conducted by retired longtime Lyncourt School Band teacher Tony DeAngelis and assisted by Ron Nuzzo and Ray Sturge and The Harmony Katz, an all men's barbershop chorus with a long tradition, directed by Peter Carentz. This concert will be dedicated to Rev. Msgr. Eugene M. Yennock to celebrate 66 years as a priest. Refreshments will be sold and Transfiguration Parish will have a Pierogi Sale. Wheelchair accessible. For more information call John L. Denega, 315-432-1005 or St. Daniel Rectory, 315-4544946. All are welcome. We hope to see you there!
Sunday Collection May 21st & May 22nd
Bulletin Advertising
Would you like to advertise your business in this bulletin? There is space available on the back of the bulletin and if you would like information on how to go about adding your business here contact Kathy Ciesielsi at 800477-4574 ext.6349 or email her at [email protected].
The Most Holy Body And Blood
Poor nutrition is a clear source of numerous ailments. Lack of vitamin C causes scurvy. A serious deficit in vitamin D can lead to weakened bones and osteoporosis. When a person does not have enough protein in his or her diet they can suffer from kwashiorkor, a wasting disease in which the body attacks its own tissues. Night vision is affected when a person is not consuming enough vitamin A. We also know that to stay healthy, we can't just eat enough food. We must eat the right kinds of foods, that is, a balanced, wholesome diet. While pizza includes several food groups (grains, dairy, meat, and sometimes even vegetables), a diet of pizza alone is not life-sustaining in the long term.
The Gospel of the multiplication of the loaves and fishes for this feast of the Most Holy Body and Blood of Christ starts out with a curious verse. "Jesus spoke to the crowds about the kingdom of God, and he healed those who needed to be cured" (Lk 9:11). Luke, the writer who crafts his Gospel in such detail, weaves together the eucharistic narrative of the loaves and fishes, with the preaching of the good news and the healing of the sick. It is a signal of what our Sunday celebration is for us today.
The Eucharist has always been a sacrament of nourishment and healing. We hear the word proclaimed at Sunday Mass and we discover Christ present among us in the breaking of the bread. The abundance of grace is always greater than we can take in, signified by the leftovers in the Gospel story. Through the Eucharist healing takes place as well. We are reconciled to God in the Eucharist, and made one with our God in the reception of Communion. And from the Mass members of the community take the healing presence of Christ to those who are sick or shut -in so that his comfort is shared. Christ is healing and nourishment for all.
Novena For Priesthood
This is the novena that we have been asked to pray for the two men who will be ordained to the priesthood at 10:00AM on June 4 at the Cathedral of the Immaculate Conception. Peter Tassini and Kenneth Kirkman.
A Novena For Men Chosen For Priesthood
God our Father, You appointed Jesus Christ High Priest of the new and eternal covenant. By grace you allow men to share in this priesthood and in his saving work. We ask you to pour out your Holy Spirit on the men you have chosen for priesthood. May they preach the Gospel worthily and wisely, celebrate the sacraments faithfully and reverently, and pray without ceasing. May they be united more closely every day to Christ the High Priest, who offered himself for us to the Father as a pure sacrifice. Bless, sanctify, and consecrate men whom you have chosen and called to the sacred order of Priesthood. Through the Holy Spirit make their lives worthy of the mysteries they celebrate. We ask this through Jesus Christ, our Priest and Lord. Amen!
We look forward to welcoming Deacon Kenneth Kirkman and Deacon Peter Tassini to the priesthood on June 4.
Office Closed
In observance of Memorial Day, Monday, May 30, the rectory office will be closed and there will be
NO NOON MASS.
Mass Schedule for St. John the Baptist/Holy Trinity Sat. - May 28, 2016 - Vigil - The Most Holy
Body & Blood Of Christ
SJB/HT 4:00 pm -
Albert Bleskoski - Ed & Carol McGuire
Francis & Loretta Cooney - The Family
Anne Grosso - Mr. & Mrs. Michael Morga
OLP/SP 4:00 pm
Sun. - May 29, 2016 - The Most Holy
Body & Blood Of Christ
OLP/SP 8:00 am
SJB/HT 9:00 am
- Rosalind Pascarella - The Family
Salvatore Noto - Mr. & Mrs. L. Sanzone
Giorgio DelVecchio - Anne DelVecchio & Kids
Michael J. Rafferty & Mary Rafferty -
Michael W. Rafferty & Dianne Martell-Rafferty
OLP/SP 10:30 am
Mon. - May 30, 2016 - Memorial Day
12:00 Noon - No Noon Mass
Tues. - May 31, 2016 - The Visitation of the
Blessed Virgin Mary
12:00 Noon -
Gladys Graham - Catherine Traino-Mackey
Wed. - June 1, 2016 - St. Justin, martyr
Thurs. - June 2, 2016 - Sts. Marcellinus & Peter, martyrs
Fri. - June 3, 2016 - The Most Sacred Heart Of Jesus
11:30 am - Confessions
12:00 Noon -
Larry Olmsted - Mary Olmsted
Sat. - June 4, 2016 - Tenth Sunday In Ordinary time
SJB/HT 4:00 pm -
For The People
OLP/SP 4:00 pm
Sun. - June 5, 2016 - Tenth Sunday In Ordinary Time
OLP/SP 8:00 am
SJB/HT 9:00 am
- For The People
OLP/SP 10:30 am
Serving Our Country
Always keep in prayer all servicemen and women. From our parish: Rob Smith and Bryan M. Oakes.
Bunko Date - Sat. June 11
Anyone interested in playing Bunko with our group that meets approximately every 2 months in the SJB/
HT Parish Center on Saturdays 5:00PM, please contact Betty Warren by Wed. June 8 for details. Phone is 420-6357 or email at [email protected].
PLEASE, contact Betty if playing as it is important to the set up of the game. Next Bunko night is Sat. June 11.
SJB/HT Web Site
Our web site has been officially launched. You can find us at www.stjohnthebaptist-holytrinity.com.
You will find the weekly bulletins, Mass schedule, staff information and faith formation site. As time goes on we will be adding more information to the site. Enjoy what is offered and please let us know how we are doing.
Saturday, June 4th & Sunday, June 5th
LECTORS:
4:00PM ~Annette Marchbanks
9:00AM ~Chet Wisniewski
ALTAR SERVERS:
4:00PM ~ Mary Elizabeth Cusano
9:00AM ~Ben Chouinard, Noah & Lucas Smith, Grace Piazza
EUCHARIST:
4:00PM ~L. Weir, M.A. Bergamo, J. LaVergne, P. Serio,
R. Copani, L. Sanzone, F. Sanzone
9:00AM ~J. Barraco, Michele Dykeman, Michael Dykeman,
L. Argiro, E. Warren, K. Fekete, C. Horton
Remember: Christopher Aldrich, Albert Bleskoski, Antonietta Briggs, Lorna Dodge Burton, Rosaria Campolo, Mike Cannavino, Robert Capria, Paul Collins,
Catherine Cushman, Grayce Costantini, Linda Deapo, Frank DeYulio, Peter DiBello, Anthony Direnzo, Norma Foody, Beverly Frey, David Galvagno, Jim Gouchie, Gladys Graham, Jeanne Hammond, Alan "Butch" Hierholzer, Mary Isgar, Dory Jones, Shirley Kerr, Jane Kwasigroch, Rosemary Lane, Kay Ledermann, Carolyn Longo, Joanne Loughney, Diane Mackey, Norm MacKenzie, Bernice McClelland, Carol McGuire, David Miccinelli, Peggy Miccinelli, Helen Mnich, Jean Padden, Nancy Pompo, Patty Schramm, Faith Setzer, Marion Sherwood, Timothy K. Suppes, Reita Suppes, Sister Theresa Thayer IHM, Barbara Traino, Richard Ventrone, Shelly Visco, Pat Wall and Eileen Weir.
Holy Trinity Church/St. John the Baptist 406 Court Street Syracuse, NY 13208
315-478-0916
Account # 06-0120
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Plenary closure Midterm Assessment 2012 – Panel discussion
Preview of End Results: Reflections from an international perspective
At the Midterm Assessment 2012 research leaders, international reviewers, researchers and PhD's from the Knowledge for Climate community discussed the work so far in three rounds of parallel sessions. The Assessment focused on informing the scientific community and relevant stakeholders on the current state of the programme and optimizing (end) results based on 'A Preview of End Results'. In particular, the review aimed to provide recommendations for scientific progress, societal relevance, knowledge dissemination and valorisation.
During the plenary closure of the Midterm Assessment, prof. Pier Vellinga asked a number of international scientists to share their impressions of the Knowledge for Climate research, based on their review of the themes and hotspots and their experiences of the day. Some interesting statements and conclusions of the conference were brought before the spotlight by the reviewers:
Prof. Simin Davoudi, Newcastle University, United Kingdom
Prof. Martin Parry, Imperial College London, United Kingdom
Prof. Hans von Storch, Institute for Coastal Research, Germany
Prof. Zbigniew Kundzewicz, Polish Academy of Sciences, Poland
Prof. Colin Green, Middlesex University, United Kingdom
Prof. dr. Kristine Kern, University of Potsdam and Leibniz Institute for Regional Development and Structural Planning, Germany
Simin Davoudi stated that the Netherlands is becoming a world leader in climate change adaptation research and in adaptation itself, especially in cities such as Rotterdam. The research programme Knowledge for Climate shows the Dutch government's determination to invest in adaptation knowledge and reinforces the Dutch scientific communities' position in the international debate. Innovation in the programme Knowledge for Climate is shown in the way multi-disciplinary groups come together and the fact that serious attempts are made towards the co-production of knowledge. Co-production of knowledge is difficult and challenges the traditional role of science and knowledge creation. The arena of co-production is best applied in the hotspots where cities are actively engaged and research is actively engaged in the policy concerns of the practitioners. The science-policy interface is challenging because it challenges policy-makers to ask 'the right questions' so that researchers can offer 'the right answers'. Expanding the range of stakeholders to the wider civil society can benefit the programme as these stakeholders will remain, as opposed to the limited policy cycle in governmental bodies. The focus should therefore be on an evidence-informed society instead of evidence-based policy. Moreover, the appointment of knowledge brokers was mentioned to be a good idea for the internationalization and positioning of the programme's created knowledge.
Martin Parry reflected on the programme by stating that the programme aims at a high degree of integration and the fact that it looks at the sectors and hotspots within the country, which can be extremely rewarding. In terms of the contribution to international science, the focus is sensibly on
delivering knowledge for use by Dutch planners, politicians and policy-makers. Questions were raised, however, regarding the implementation of the scientific results and the instigation of an implementation programme that will follow this programme to keep alive useful knowledge. Moreover, concerns regarding the way the programme is set-up were raised. The emphasis on PhD research requires that professors deliver together with their PhD's to counteract the uncertainties of PhD research. Moreover, be clear about what midterm corrections need to be made, embed them into the programme, and think about integration across the consortia.
Hans von Storch lauded the programme for its bundling of different scientific cultures, with different stakeholder perspectives and its experimental approach in delivering regional climate service. However, little cutting edge natural science results are expected of this programme and what is missing is on-going local future change. If the climate continues to change in the way it does now, do we in a couple of hundred years end up where the scenarios are? It is always easy to talk about the future because the future can't be falsified within the next few years. The challenge is to talk about the future as a continuation of the present. Falsification is missing in the current debate. A suggestion of optimization of the process was to mimic the IPCC in making a report on the consensus and dissensus about climate change and climate impact, for the region of the Netherlands.
Zbigniew Kundzewicz reflected on the need for the publication of high-impact papers regarding the innovations of co-creation and co-founding. In terms of improving the applicability of the knowledge created, more than fifty percent of the scientific work has been used in practice. That is a major achievement already, but how will the second tranche of the programme do? The expectation of a vigorous bilateral communication between the consortia and between the consortia and the hotspots has not been met. This link must be strengthened in the coming months. Moreover, theme six is likely to deliver projections quite late in 2013.
Colin Green reflected on the inter- and transdisciplinary way of exerting science and the inherent uncertainty of the future. How to do this kind of research and what are the skills required for this type of work? Uncertainty in climate change and research keeps coming up, but we need to be clear about what it is meant with it. We have to realise that we don't know the future. We need to change our minds towards the impact of uncertainty and we need to realise that uncertainty will always exist. In terms of innovation, we need more successful failures in order to learn from innovations. What is knowledge? Politicians want to make somebody else to make the decisions for them, science is not supposed to do so. There seems to be an assumption that different disciplines are working on different bits of the same jigsaw; are they? We all have different perspectives, so we need to think about how we deal with these uncertainties. Policy-makers want others to make the decision for them. However, policy-makers were elected to make decisions, scientists are there to inform policy-makers, not to make policy decisions.
Christine Kern reflected on the need to integrate mitigation and adaptation. Climate change policy is framed differently in different countries. The Netherlands, for example, focuses on water management and climate adaptation and less on mitigation. But when it comes to policies, we
need both topics to be discussed. Cutting edge research in this research program could be accomplished by focusing more on researching the science/policy interface in a more systematic way.
In summary, recommendations from this international panel for the 'Knowledge for Climate' research programme were to:
Think about ways to implement the knowledge created after this knowledge programme. An implementation programme should follow this research programme to keep useful knowledge alive.
Alleviate the inherent weaknesses of PhD research. The heavy focus on PhD driven research in the programme creates weaknesses in the knowledge created and its prospects for implementation.
Focus on integration of themes in the programme. Especially Theme 6 (Climate Projections) needs to link up strongly. Moreover, results of the programme should be put into practice sooner, do not wait for new KNMI scenario's in 2013.
Think about the abilities to falsify results or, in other words, how do we make sure or correct for errors? The challenge is to talk about the future as a continuation of the present.
Create a synthesis and a 'mini IPCC report' (English) about the programme.
Publish more high impact papers about knowledge co-creation.
Focus on learning of failures.
Focus more on the systematic researching of the science-policy interface.
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1.0. Welcome and Call to Order
The meeting was held via GoToMeeting. Ann Feil, Committee Chair, called the meeting to order at 11:05am.
2.0. Consent Agenda
2.1. February 25, 2019 Meeting Minutes
Due to absence of quorum, voting to approve the minutes from the February 25, 2019 meeting will be postponed until the next meeting.
3.0. HCCN Program Director Report
An updated project status report was included in the meeting binder. Terri Kennedy, Program Director, highlighted the following items.
- 3-Year Targets Met: The number of 3-year targets met increased from 4 to 5 since all participating health centers submitted 2018 UDS electronically.
- Targets Met by PHCs: These targets changed because the current values for Focus Areas A2 and D1 were updated with 2018 values – A2 with 2018 EPs and attestations and D1 with HP 2020 goals met in 2018. Focus Area D3 improved as Cowley County received PCMH recognition.
4.0. New Business
4.1. Connections Risk Stratification Workgroup Update
Due to absence of quorum, Terri will provide an update and request votes to proceed via email.
4.2. Final Approved Advisory Committee Charter
The charter approved by the Community Care Board of Directors was included in the packet. Elections for Chairperson and Secretary will be held at a future meeting.
5.0. Action Items
Terri will request approval to proceed with the risk algorithm via email.
6.0. Adjournment
The meeting adjourned at 11:20am.
Committee Member Attendance – 7 of 15, Quorum Not Met:
Other Meeting Attendees:
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Animations for Physics and Astronomy Project
This presentation provides an update to the Animations for Physics and Astronomy Project at Penn State Schuylkill. The animations have been used to portray a variety of dynamical systems and processes for physics and astronomy topics typically presented in the advanced high school through introductory college level. New additions to the collection of approximately 250 animations in the collection will be presented, as well as information on dissemination efforts through the project web site and YouTube Channel. The role of a focus group comprised of High School faculty to revise and enhance the animations as well as develop some curricular materials for the animations will be discussed. Finally, some of the results of project assessments will also be presented.
Interactions of X-Rays with Matter
Why Animations?
[x] Used in classroom as illustrations
Available to students online
Links in notes, quizzes
[x] Easy to use format (.avi)
[x] Useable on Legacy Systems
Animations for Physics and Astronomy http://phys23p.sl.psu.edu/phys_anim
Searchable CWIS portal
YouTube channel www.youtube.com/mrg3
Merlot, Compadre, NEEDS, AMSER
DVD
Find the Animations:
[x] Creative Commons License
BY-NC 3.0
[x] Created with free software
POV-Ray
VirtualDub
You are free:
*to Share — to copy, distribute and transmit the work
*to Remix — to adapt the work
Under the following conditions:
*Attribution — You must attribute the work in the manner specified by the author or licensor (but not in any way that suggests that they endorse you or your use of the work).
*Noncommercial — You may not use this work for commercial purposes.
*Share Alike — If you alter, transform, or build upon this work, you may distribute the resulting work only under the same or similar license to this one.
Education Thematic Initiative Fund award:
Physics Assets Project
*Focus Group
*3 HS Faculty, 2 Curricular Design Specialists and me
*Reviewed/critiqued existing materials
*Identified animations standards-focused topics for additional development
*Animations revised, curricular materials created and linked to standards
http://www.teachersdomain.org/special/kmedia07-ex/scitech.physics/
This figure/animation illustrates the concept of the Celestial Sphere. Examine the figure and then answer the questions to the best of your ability. Which of the following statements about the celestial sphere is not true?
A. From any location on Earth, we can see only half the celestial sphere at any one time.
B. The Earth is placed at the center of the celestial sphere.
C. The "celestial sphere" is just another name for our universe.
D. When we look in the sky, the stars all appear to be located on the celestial sphere.
E. The celestial sphere does not exist physically.
In a basic geocentric model, the daily motion of the stars is explained by
A. the rotation of the earth.
B. all stars moving from west to east.
C. the rotation of the celestial sphere about the earth.
D. the orbit of the earth about the sun.
Primum non nocere ?
Assessment is difficult!
For Each Question, please circle the letter corresponding to your response.
Indicate how strongly you agree or disagree with each of the following statements: Because of the way this course uses multimedia from the Animations for Physics and Astronomy Project at Penn State Schuylkill:
Think about a similar course you have taken that relied primarily on a simple lecture format. Compared with that course, because of the way this course uses Multimedia from the Animations for Physics and Astronomy Project at Penn State Schuylkill: how likely are [were] you to
Dissemination
Total views of all videos: 799,646.
Comments
super cool :U i get it now so the 3 coil things are the incoming AC electricity and then the diodes sort it out into DC in quite an amazing way :3 but simple
IT LOOKS..LOOKS LIKE...MAN...yEAH! Flux Capacitor FROM THE movie"the back to the future!!!""
i see the nodal lines!
is this a constructive or a destructive wave interference? thanks.
I am a teacher and it is sumtimes very difficult to make the students understand electric motor as it requires a lot of imagination for the students and a great effort to visualise the whole set up. This video is just what i needed. Thank you very much.
everything should be taught with animations, god they're so easy to understand
Yey, you solved my mind****! Thanks!
thats nice!!i look for information like this for already a long time i need it for school^^ greetings from germany whoa! thanks so much. exactly what I needed to better understand my physics homework. :-)
this should help with my physics final..thx
I would like to have this video in my presentation. Do you mind if I could borrow? How could I get this video?
Equatorial System
Foucault Pendulum
Making waves
Seasons
Rectifying Three Phase
Two Source Interference
Eclipses and Shadows
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Admissions policy
Statement of intent
It is our intention to make our nursery accessible to children and families from all sections of the local community.
Aim
We aim to ensure that all sections of our community have access to the nursery through open, fair and clearly communicated procedures.
Methods
In order to achieve this aim, we operate the following admissions policy:
* We ensure that the existence of the nursery is widely advertised in places accessible to all sections of the community.
* We ensure that information about our nursery is accessible. Where necessary, we will try to provide information in Braille, or through signing or an interpreter.
* We arrange our waiting list on a time on list basis, within each intake period. In addition our policy may take into account the following:
o the vicinity of the home to the nursery; and
o Siblings already attending the nursery.
* Children start with a minimum of two sessions per week unless there are medical reasons or special needs for starting with one. We may accept children on one session after the main waiting list has been satisfied.
* Children already attending the nursery have priority for new sessions on the waiting list.
* We keep a place vacant, if this is financially viable, to accommodate an emergency admission.
* We describe our nursery and its practices in terms which make it clear that it welcomes both parents, relations and other carers, including childminders.
* We describe our nursery and its practices in terms of how it treats individuals, regardless of their gender, special educational needs, disabilities, background, religion, ethnicity or competence in spoken English.
* We describe our nursery and its practices in terms of how it enables children with disabilities to take part in the life of the nursery.
* We monitor the gender and ethnic background of children joining the group to ensure that no accidental discrimination is taking place.
* We make our equal opportunities policy widely known.
* We consult with families about the opening times of the nursery to avoid excluding anyone.
* We are flexible about attendance patterns to accommodate the needs of individual children and families.
* We reserve the right to charge a top-up fee per session to compensate for the difference between our fees and that received for grant funding, and to charge fees for any sessions not paid by grant funding. Charges will be billed to parents before the start of each half term.
This policy was adopted at a meeting of Little Tewkes Nursery held on 5 th Febuary 2007 .
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Killam & Bassette Farmstead, LLC
14 Tryon Street, South Glastonbury, CT. 06073 860-833-0095 ~ [email protected] www.kandbfarmstead.com
"Keep it Local, Keep it Fresh"!
2018 Winter Community Supported Agriculture (CSA) Program
We are delighted to offer our very successful Winter CSA year!
How our program works...
You purchase a Winter share in our farm (full or half) and we will provide you and your family with the highest quality all natural, USDA pork & chicken meat on a weekly basis. Each week will include different types of pork & chicken cuts. We also include our free range eggs, our award winning canned goods, & whatever seasonal vegetables are available (if any) for as long as we can throughout the 10 week season. Everything is raised all naturally with lots of love & care - our USDA meats are all natural, with no steroids, nitrates, growth hormones, or artificial ingredients. Our eggs are pulled from the coop that day and our produce is fresh picked for you (if available). All canned goods are made only with the produce on our farm so it's fresh out of the field & right in the jar! We use Integrated Pest Management (IPM), low spray or no spray whenever possible and everything is GMO free. All items included in the bags will be a sampling of what we have available!
Your choice of a pick-up day will be Sunday and Thursday from 2:00pm to 7:00pm in the "Big Red Barn" behind our farm stand at 14 Tryon Street (there will be signs directing you to the cooler). Bags will be located in the walk-in cooler (left side of barn) on the right as you enter the cooler, in alphabetical order and will have your last name on them. All pork/chicken will be in bags with your names on them in the slide top freezer in the walk-in cooler, also immediately on your right as you walk in & all non-pork items will be in bags with your names on them, on the table next to the freezer. Our CSA will begin on Sunday, January 15 th and run through Thursday, March 19 th . We are only offering 20 CSA memberships/day, so please submit your application quickly to ensure you are a part of this exciting offer as spots are reserved on a first come, first served basis.
How much does it cost?
A full share for the 2018 Winter season costs $500 which entitles you to a full bag of product every week for the 10 week season (which consists of no less than $50 worth of product per week) or, if you don't need that much product, you can purchase a half share for $250 which entitles you to half a bag every week for the 10 week season (which consists of no less than $25.00 worth of product per week).
How do I become a member?
Complete and send in the CSA Application with payment (1st payment is due by December 15 th ).
What are the benefits?
As a member, you will receive a share of Killam & Bassette Farmstead's quality products. Our USDA pork & chicken are all natural, non-GMO, with no steroids, nitrates, or artificial ingredients. Our award winning canned goods are made only from the produce on our farm. Our free range eggs are pulled from the coop that morning & our produce is picked fresh the day or the day before! Everything is as fresh as if you raised/made/picked it yourself and delivers the most nutrients to you, our customer. You can taste the difference! As always, "Keep it Local, Keep it Fresh"!
What are the risks?
We are committed to provide you with the highest quality products but there are risks in agriculture (Mother Nature's whims, disease, pests, etc) that need to be shared by the whole community. Your payment entitles you to a share of the products we harvest/produce during the relevant growing season.
Crops/Products we plan on offering this Winter Season:
- Bacon
- Hams
- Breakfast Sausage
- Sweet Italian Sausage
- Kielbasa
- Hot Dogs
- Chorizo
- Pork Chops
- Spare Ribs
- Country Style Ribs
-
Ham Steaks
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MURRAY HEGGIE
Homotopy cofibrations in CAT
Cahiers de topologie et géométrie différentielle catégoriques, tome 33, n° 4 (1992), p. 291-313
<http://www.numdam.org/item?id=CTGDC_1992__33_4_291_0>
© Andrée C. Ehresmann and the authors, 1992, all rights reserved.
Access to the archives of the journal "Cahiers de topologie et géométrie différentielle catégoriques" implies agreement with the general conditions of use (http://www.numdam.org/conditions). Any commercial use or systematic reproduction is constitutive of an infringing act. Any copy or reproduction of this file must contain the present copyright notice.
Numdam
Article numérisé dans le cadre du programme Numérisation de documents anciens mathématiques
http://www.numdam.org/
HOMOTOPY COFIBRATIONS IN CAT
by Murray HEGGIE
Résumé. Une classe de foncteurs ayant les principales propriétés des cofibrations au sens de la théorie de l'homotopie est définie et étudiée. En particulier, on montre que le "pushout" d'une équivalence faible le long d'un foncteur appartenant à cette classe est une équivalence faible.
1 Introduction
The purpose of this paper is to isolate a class of functors that have properties analogous to cofibrations in the sense of homotopy theory. In particular, the class of functors defined herein can serve as the basis for an axiomatic development of homotopy theory in $CAT$ using Anderson's notion of a cofibration category [1].
Before describing in more detail the contents of this paper, some fundamental notions for the homotopy theory of categories will be briefly recalled. Let $X : C \to CAT$ be a $CAT$-valued diagram. Define a category
$$C \int X$$
as follows: Objects of $C \int X$ are pairs $(C, x)$ where $C \in C$ and $x \in X(C)$. Maps $(C, x) \to (C', x')$ are pairs
$$(c : C \to C', f : X(c)(x) \to x') \in C(C, C') \times X(C)(X(c)(x), x').$$
The composite of two maps $(c, f)$ and $(c', f')$ is defined by
$$(c', f') \circ (c, f) = (c' \circ c, f' \circ X(c')(f)).$$
There is an evident projection $\pi : C \int X \to C$. This construction enjoys a universal property which will not be recapitulated here [2]. $C \int X$ is known variously as the Grothendieck construction or the op-fibred category associated to $X$.
A functor $F : A \to B$ is called a weak equivalence if its image Nerve($F$) under Nerve is a weak equivalence of simplicial sets [3]. A category $A$ is called weakly contractible if the unique map $A \to 1$ from $A$ to the terminal category is a weak equivalence. Weak equivalences in the functor category $(A, CAT)$ are defined point-wise.
The property of the Grothendieck construction that is crucial in the sequel is its homotopy invariance: If $\theta : X \Rightarrow Y$ is weak equivalence in $(C, CAT)$ then the induced map $C \int X \rightarrow C \int Y$ is a weak equivalence in $CAT$ [5,10].
The definition of homotopy cofibrations in $CAT$ given here is an adaptation to the categorical context of the notion of a neighbourhood deformation retract in the category of compactly generated spaces [11,p.22]. Closed inclusions are modelled by coideals (§2) and deformation retracts by inclusions which admit coretractions from the ideal generated by the image (§3). Functors of both types admit natural categorical characterizations (cf. propositions 2.6 and 3.3). Once in possession of a categorical characterization, it is a simple matter to establish stability under pushout of each class (cf. corollaries 2.7 and 3.4). Strong coideals, the proposed candidates for cofibrations in $CAT$, are functors in the intersection. It is shown in §4–6 that strong coideals have the distinguishing features of homotopy cofibrations:
- The pushout of a weak equivalence along a strong coideal is a weak equivalence.
- The pushout of a strong coideal that is at the same time a weak equivalence along an arbitrary map is a weak equivalence.
- Pushouts along strong coideals are homotopy invariant.
- Every map is isomorphic in the homotopy category to a strong coideal.
- Modulo strong coideals, every map induces a long exact sequence in homotopy.
The properties of the class of strong coideals were developed in order to facilitate the construction of homotopy colimits in presheaf categories. This application is described in [6].
2 Coideals
2.1 Definition A functor $I : A \rightarrow B$ is a coideal if
(1) $I$ is a full inclusion.
(2) Whenever $b : B \rightarrow I(A)$ is a map in $B$, $b$ is in the image of $I$.
Dually, a functor $J : A \rightarrow B$ is an ideal if $J$ is a full inclusion with the property that every map $J(A) \rightarrow B$ in $B$ whose domain is in the image of $J$ is itself in the image of $J$. If $A$ and $B$ are posets and $I$ is an order preserving map, then $I(A) \subseteq B$ is an coideal in the usual sense.
2.2 Lemma The class of coideals in $CAT$ is closed under strong retracts: if $I : A \rightarrow B$ is a coideal which fits into a commuting diagram
\[
\begin{array}{ccc}
A & \xrightarrow{id_A} & A \\
J \downarrow & & I \downarrow \\
B & \xrightarrow{R} & A \\
& & P \downarrow \\
& & B
\end{array}
\]
with $P \circ R = id_B$, then $J : A \to C$ is a coideal.
Proof. A simple diagram chase establishes the claim
2.3 Definition Let $F : A \to B$ be a functor. The cylinder of $F$, $\text{CYL}(F)$, is the opfibred category associated to the diagram $2 \to \text{CAT}$ which sends the unique non-identity arrow $0 \to 1 \in 2$ to $F$.
Explicitly, objects of $\text{CYL}(F)$ are pairs
(1) $(A, 0)$ where $A \in A$
(2) $(B, 1)$ where $B \in B$
Maps in $\text{CYL}(F)$ are defined by
(1) $\text{CYL}(F)((A, 0), (A', 0)) = A(A, A')$ if $A$ and $A' \in A$
(2) $\text{CYL}(F)((B, 1), (B', 1)) = B(B, B')$ if $B$ and $B' \in B$
(3) $\text{CYL}(F)((A, 0), (B, 1)) = B(F(A), B)$ if $A \in A$ and $B \in B$
(4) $\text{CYL}(F)((B, 1), (A, 0)) = \phi$ if $A \in A$ and $B \in B$
There are evident functors $\iota_A : A \to \text{CYL}(F)$ and $\rho_B : \text{CYL}(F) \to B$. On objects, $\iota_A(A) = (A, 0)$. $\rho_B(A, 0) = F(A)$ and $\rho_B(B, 1) = B$. In each case, the extension to maps is straightforward.
2.4 Lemma $\iota_A$ is a coideal
2.5 Lemma $\rho_B$ is a left adjoint, left inverse.
Proof. The right adjoint, right inverse to $\rho_B$ sends $B \to B'$ to $(B, 1) \to (B', 1)$
2.6 Proposition I: $A \to B$ is a coideal if and only if $I$ has the left lifting property (LLP) with respect to all left adjoint, left inverses: there is a lifting $K : B \to C$ in all diagrams of the form
$$\begin{array}{ccc}
A & \xrightarrow{F} & C \\
\downarrow{\iota} & & \downarrow{P} \\
B & \xrightarrow{G} & D
\end{array}$$
where $P$ is a left adjoint, left inverse.
Proof. Let $R$ denote the right adjoint, right inverse of $P$ and let $\eta : id_C \to R \circ P$ denote the unit of the adjunction. Assume that $I$ is a coideal. Define a map $K : B \to C$ by
$$K(b : B_0 \to B_1) = \begin{cases}
F(b), & \text{if } b \in I(A) \\
RG(b), & \text{if } B_0 \notin I(A) \\
RG(b) \circ \eta(F(B_0)), & \text{if } B_0 \in I(A) \text{ and } b \notin I(A)
\end{cases}$$
As $I$ is a coideal by assumption, $K$ is well-defined. It is readily verified that $K$ is a functor and that $P \circ K = G$. By construction, $K \circ I = F$.
For the converse, assume that $J : A \to B$ is a functor that has the LLP with respect to all left adjoint, left inverses. Consider the commutative diagram
$$\begin{array}{ccc}
A & \xrightarrow{\iota_A} & CYL(J) \\
J \downarrow & & \rho_B \downarrow \\
B & \xrightarrow{id_B} & B
\end{array}$$
By assumption, there is a lifting $K : B \to CYL(J)$. Therefore, $J$ is a strong retract of the coideal $\iota_A$. By a prior lemma, $J$ is a coideal.
2.7 Corollary The class of coideals is stable under pushout: if
$$\begin{array}{ccc}
A & \xrightarrow{F} & A' \\
I \downarrow & & I' \downarrow \\
B & \xrightarrow{F'} & B'
\end{array}$$
is a pushout in $CAT$ and $I$ is a coideal, then $I'$ is a coideal.
Proof. Using the universal property of the pushout, it is readily verified that $I'$ has the LLP with respect to all left adjoint, left inverses.
3 Strong coideals
3.1 Definition Let $I : A \to B$ be a functor. $I(A) \cdot B$ denotes the ideal in $B$ generated by the image of $I$.
In more detail, $I(A) \cdot B$ is the full subcategory of $B$ generated by arrows of the form $I(A) \to B$.
3.2 Definition Let $A \in CAT$. The cone of $A$, Cone$(A)$, is the category
$$Cone(A) \equiv CYL(A^{op} \to 1)^{op}$$
where $1 \in CAT$ denotes the terminal category.
Cone$(A)$ is the category obtained from $A$ by free attachment of a strict initial object. There is an evident inclusion
$$j_A : A \to Cone(A)$$
which, on objects, is defined by sending $A \in A$ to $(A, 0)$. Evidently, for any functor $F : A \to B$,
$$\begin{array}{ccc}
A & \xrightarrow{j_A} & \text{Cone}(A) \\
F \downarrow & & \downarrow \text{Cone}(F) \\
B & \xrightarrow{j_B} & \text{Cone}(B)
\end{array}$$
commutes.
3.3 Proposition Let $I : A \to B$ be a functor. There is a coreflection $R : I(A) \cdot B \to A$ if and only if for all categories $C$ having a strict initial object $0$, the induced functor
$$I^* : CAT(B, C) \to CAT(A, C)$$
has a left adjoint, right inverse
$$I_! : CAT(A, C) \to CAT(B, C)$$
($CAT(\cdot, \cdot)$ denotes the $CAT$-valued hom).
Proof. Before beginning the proof proper, I will spell out the meaning of the adjunction
$$I_! \dashv I^* : CAT(A, C) \to CAT(B, C)$$
where, in addition, $I^* \circ I_! = id$. Explicitly, for every functor $F : A \to C$ there is a functor $I_!(F) : B \to C$ such that $I_!(F) \circ I = F$ and whenever there is a natural transformation $\theta : F \Rightarrow G \circ I$ there is a unique natural transformation $\phi : I_!(F) \Rightarrow G$ such that $\phi \cdot I = \theta$.
Assume first that $I_!$ exists for any category $C$ with strict initial object $0$. Let $J$ denote the composite
$$\begin{array}{ccc}
A & \xrightarrow{i_A} & \text{CYL}(I) & \xrightarrow{j_{\text{CYL}(I)}} & \text{Cone}(\text{CYL}(I)).
\end{array}$$
Let $S = I_!(J)$ and let $R = I_!(j_A)$. Let $T : B \to \text{Cone}(\text{CYL}(I))$ denote the composite
$$\begin{array}{ccc}
B & \xrightarrow{R} & \text{Cone}(A) & \xrightarrow{\text{Cone}(i_A)} & \text{Cone}(\text{CYL}(I)).
\end{array}$$
Since
$$\begin{array}{ccc}
A & \xrightarrow{i_A} & \text{CYL}(I) \\
j_A \downarrow & & \downarrow j_{\text{CYL}(I)} \\
\text{Cone}(A) & \xrightarrow{\text{Cone}(i_A)} & \text{Cone}(\text{CYL}(I))
\end{array}$$
commutes,
\[ T \circ I = \text{Cone}(\iota_A) \circ R \circ I \]
\[ = \text{Cone}(\iota_A) \circ j_A \]
\[ = j_{\text{CYL}(I)} \circ \iota_A. \]
By the universal property of \( S = I_!(j_{\text{CYL}(I)} \circ \iota_A) \), there is a unique natural transformation
\[ \theta : S \Rightarrow T \]
satisfying
\[ \theta . I = id. \]
For all \( B \in B \), \( T(B) \) is in the image of \( \text{Cone}(A) \) under \( \text{Cone}(\iota_A) \). But \( \text{Cone}(\iota_A) \) is a coideal. Since, for every \( B \in B \), there is a map \( \theta_B : S(B) \to T(B) \) in \( \text{Cone}(\text{CYL}(I)) \), \( S(B) \) is also in the image of \( \text{Cone}(A) \) under \( \text{Cone}(\iota_A) \). As \( \text{Cone}(\iota_A) \) is a full inclusion, \( S \) factors through \( \text{Cone}(\iota_A) \). It follows that \( \theta \) can be viewed as a natural transformation \( \theta : S \Rightarrow R \). On the other hand, by the universal property of \( R = I_!(j_A) \), there is a unique natural transformation
\[ \phi : R \Rightarrow S \]
satisfying
\[ \phi . I = id. \]
\( \theta \) and \( \phi \) are inverses. For, on the one hand,
\[ (\theta \circ \phi) . I = (\theta . I) \circ (\phi . I) \]
\[ = id. \]
By the universal property of \( R \), the foregoing implies that \( \theta \circ \phi = id \). On the other hand, by the same type of reasoning,
\[ ((\text{Cone}(\iota_A) . \phi) \circ \theta) . I = id. \]
Consequently,
\[ \text{Cone}(\iota_A) \circ R : B \to \text{Cone}(\text{CYL}(I)) \]
is the universal extension of \( j_{\text{CYL}(I)} \circ \iota_A \) along \( I : A \to B \). For each \( A \in A \), let \( \chi_A : (A, 0) \to (I(A), 1) \in \text{Cone}(\text{CYL}(I)) \) be the map representing \( id : I(A) \to I(A) \). Then \( \{\chi_A \mid A \in A\} \) are the components of a natural transformation
\[ \chi : j_{\text{CYL}(I)} \circ \iota_A \Rightarrow \text{Cone}(\iota_B) \circ j_B \circ I. \]
By the universal property of $\text{Cone}(\iota_A) \circ R$, there is a unique natural transformation
$$\psi : \text{Cone}(\iota_A) \circ R \Rightarrow \text{Cone}(\iota_B) \circ j_B$$
satisfying
$$\psi . I = \chi.$$
Let $\rho_B : \text{CYL}(I) \to B$ denote the projection. $\rho_B$ satisfies
1. $\rho_B \circ \iota_A = I$
2. $\rho_B \circ \iota_B = id_B$.
Then
$$\text{Cone}(\rho_B) \circ \text{Cone}(\iota_B) \circ j_B = j_B$$
and
$$\text{Cone}(\rho_B) \circ \text{Cone}(\iota_A) \circ R = \text{Cone}(I) \circ R.$$
Therefore, $\text{Cone}(\rho_B). \psi$ is a natural transformation $\text{Cone}(I) \circ R \Rightarrow j_B$. As $R \circ I = j_A : A \to \text{Cone}(A)$, $R(B) \neq 0$ if $B \in I(A) \cdot B$. For, suppose to the contrary that $R(B) = 0$ for some $B \in I(A) \cdot B$. Then there is a map $I(A) \to B$ in $B$. Since $0$ is a strict initial object in $\text{Cone}(A)$, this would imply that $j_A(A) = R \circ I(A) = 0$. It follows that $R$ yields a functor $I(A) \cdot B \to A$ by restriction and that $\text{Cone}(\rho_B). \psi$ restricts to a natural transformation
$$\epsilon : I \circ R \Rightarrow id_{I(A) \cdot B}.$$
Note that if $B \notin I(A) \cdot B$, $R(B) = 0$. For suppose to the contrary that $R(B_0) \neq 0$ for some $B_0 \notin I(A) \cdot B$. Define $S : B \to \text{Cone}(A)$ on objects by
$$S = \begin{cases}
R(B), & \text{if } B \in I(A) \cdot B \\
0, & \text{if } B \notin I(A) \cdot B
\end{cases}$$
Define $S$ on arrows by
$$S(b : B_1 \to B_2) = \begin{cases}
R(b) & \text{if } b \in I(A) \cdot B \\
0 \to R(B_2) & \text{if } B_1 \notin I(A) \cdot B, B_2 \in I(A) \cdot B \\
id : 0 \to 0 & \text{if } B_1 \notin I(A) \cdot B
\end{cases}$$
It is readily verified that $S$ is a functor. By construction, $S \circ I = j_A$. As $0$ is a strict initial object in $\text{Cone}(A)$, there is no map in $\text{Cone}(A)$,
$$0 \neq R(B_0) \to S(B_0) = 0.$$
*A fortiori*, there is no natural transformation $R \Rightarrow S$, in violation of the universal property of $R$. An important consequence of the observation that $R(B) = 0$ if
$B \notin I(A) \cdot B$ is that the restriction of $R$ to $I(A) \cdot B$ is the universal extension of $I: A \to I(A) \cdot B$ along the identity $id_A$. Since
$$\text{Cone}(\rho_B)(\psi_{I(A)}) = \text{Cone}(\rho_B)(\chi_A)$$
$$= \text{Cone}(id_{I(A)}),$$
$\epsilon_{I(A)} = id_{I(A)}$. Consequently, $R.\epsilon: R \Rightarrow R$ is the identity by the universal property of the restriction of $R$. As $R \circ I = id_A$, this proves that $\{\epsilon_B \mid B \in I(A) \cdot B\}$ is the counit of an adjunction
$$I \dashv R, \quad R \circ I = id.$$
To prove the converse, assume that $I: A \to B$ admits a coreflection $R: I(A) \cdot B \to A$. Let $\epsilon: I \circ R \Rightarrow id_{I(A) \cdot B}$ be the counit of the adjunction. Let $C$ be a category with a strict initial object 0. Let $F: A \to C$ be any functor. Define a functor $G: B \to C$ on objects by
$$G(B) = \begin{cases}
0, & \text{if } B \notin I(A) \cdot B \\
F \circ R(B), & \text{if } B \in I(A) \cdot B
\end{cases}$$
On arrows, $G$ is defined by
$$G(b: B \to B') = \begin{cases}
id_0, & \text{if } B, B' \notin I(A) \cdot B \\
FR(b), & \text{if } B \in I(A) \cdot B \\
0 \to FR(B'), & \text{if } B \notin I(A) \cdot B \text{ and } B' \in I(A) \cdot B
\end{cases}$$
It is readily verified that $G$ is indeed a functor. Evidently, $G \circ I = F$. Note that, if $B \in I(A) \cdot B$,
$$G(\epsilon_B: I \circ R(B) \to B) = F \circ R(\epsilon_B)$$
$$= F(id_{R(B)})$$
$$= id_{F \circ R(B)}$$
since $R \circ I = id_A$ and $I \dashv R$. I claim that $G$ has the universal property defining $I_!(F)$. To see this, assume that $H: B \to C$ is a functor and $\theta: G \circ I \Rightarrow H \circ I$ a natural transformation. Define a natural transformation $\phi: G \Rightarrow H$ by
$$\phi_B = \begin{cases}
0 \to H(B), & \text{if } B \notin I(A) \cdot B \\
H(\epsilon_B).\theta_{R(B)}, & \text{if } B \in I(A) \cdot B
\end{cases}$$
The first clause in the definition of $\phi$ is dictated by the definition of $G$. The second clause is dictated by the requirement that $\phi.I = \theta$. For, assume that $\phi$ is a natural transformation satisfying $\phi.I = \theta$. Since $\phi$ is a natural transformation,
$$\xymatrix{
G \circ I \circ R(B) \ar[r]^{\phi_{I \circ R(B)}} \ar[d]_{G(\epsilon_B)} & H \circ I \circ R(B) \ar[d]^{H(\epsilon_B)} \\
G(B) \ar[r]^{\phi_B} & H(B)
}$$
commutes. But, by assumption, \( \phi_{I_0 R(B)} = \theta_{R(B)} \) and \( G(\epsilon_B) = id_{F \circ R(B)} \) when \( B \in I(A) \cdot B \). Therefore, \( \phi_B = H(\epsilon_B) \circ \theta_{R(B)} \). Consequently, \( G \) has the universal property defining \( I_!(F) \).
3.4 Corollary Let \( I : A \to B \) be a functor for which there is a coreflection \( R : I(A) \cdot B \to A \). Let
\[
\begin{array}{c}
A \xrightarrow{F} A' \\
\downarrow I \\
B \xrightarrow{F'} B'
\end{array}
\]
be a pushout in \( CAT \). Then there is a coreflection \( R' : I'(A') \cdot B' \to A' \) and
\[
\begin{array}{c}
I(A) \cdot B \xrightarrow{F'} I(A') \cdot B' \\
\downarrow R \\
A \xrightarrow{F} A'
\end{array}
\]
commutes up to a natural isomorphism
\[ R' \circ F' \Rightarrow F \circ R. \]
Proof. Let \( C \) be a category with a strict initial object 0. Applying the internal hom \( CAT(-, C) \) to the pushout diagram produces a pullback:
\[
\begin{array}{c}
CAT(B', C) \xrightarrow{(F')^*} CAT(B, C) \\
(I')^* \downarrow \\
CAT(A', C) \xrightarrow{F^*} CAT(A, C)
\end{array}
\]
By the previous proposition, \( I^* \) is a right adjoint, left inverse \( I_! \). But it is easily proved that the pullback of a right adjoint, left inverse is a right adjoint, left inverse. Therefore, \( (I')^* \) has a left adjoint, right inverse \( (I')_! \). Moreover, the following square is commutative:
\[
\begin{array}{c}
CAT(A', C) \xrightarrow{F^*} CAT(A, C) \\
(I')_! \downarrow \\
CAT(B', C) \xrightarrow{(F')^*} CAT(B, C)
\end{array}
\]
By the previous proposition, the existence of \( (I')_! \) for all categories \( C \) having a strict initial object is equivalent to the existence of a coreflection
\[ R' : I'(A') \cdot B' \to A'. \]
By the argument of the previous proposition, the coreflection $R'$ is the restriction to $I'(A') \cdot B'$ of the universal extension $(I')_!(j_{A'})$. It follows that, if $B \in I(A) \cdot B$,
$$R' \circ F'(B) = ((I')_!(j_{A'})F'(B)$$
$$= (F')^*(I')_!(j_{A'}))(B)$$
$$= I_!(F^*(j_A))(B)$$
$$= I_!(\text{Cone}(F)j_A)(B)$$
Let $G : B \to \text{Cone}(A')$ denote the composite $(I')_!(\text{Cone}(F) \circ j_A)$. Then the following diagram commutes:
$$\begin{array}{ccc}
A & \xrightarrow{j_A} & \text{Cone}(A) \\
I \downarrow & & \downarrow \text{Cone}(F) \\
B & \xrightarrow{G} & \text{Cone}(A')
\end{array}$$
Since $R \circ I = j_A$, $\text{Cone}(F) \circ R \circ I = \text{Cone}(F) \circ j_A = G \circ I$. By the universal property of $G$, there is a unique natural transformation $\theta : G \Rightarrow \text{Cone}(F) \circ R$ such that $\theta \circ I = id$. Recall that, if $B \notin I(A) \cdot B$, $R(B) = 0$ and that the restriction of $R$ to $I(A) \cdot B$ is the universal extension of $I : A \to I(A) \cdot B$ along the identity $id_A$. $\text{Cone}(F)$ preserves 0, hence for $B \notin I(A) \cdot B$, $\text{Cone}(F) \circ R(B) = 0$. In virtue of the natural transformation $\theta : G \Rightarrow \text{Cone}(F) \circ R$, this implies that $G(B) = 0$ if $B \notin I(A) \cdot B$. An important consequence of the observation that $R(B) = 0$ if $B \notin I(A) \cdot B$ is that the restriction of $R$ to $I(A) \cdot B$ is the universal extension of $I : A \to I(A) \cdot B$ along the identity $id_A$. Arguing as for $R$, the restriction of $G$ enjoys the same universal property, mutatis mutandis, that $G$ does. Next, assume that $B \in I(A) \cdot B$. Let $\epsilon_B : I \circ R(B) \to B$ denote the counit of the adjunction
$$I \dashv R : A \to I(A) \cdot B.$$
By naturality,
$$\begin{array}{ccc}
G \circ I \circ R(B) & \xrightarrow{\theta_{I \circ R(B)}} & \text{Cone}(F) \circ R \circ I \circ R(B) \\
G(\epsilon_B) \downarrow & & \downarrow \text{Cone}(F)(R(\epsilon_B)) \\
G(B) & \xrightarrow{\theta_B} & \text{Cone}(F)(R(B))
\end{array}$$
commutes. As $R$ is a coreflection, $R.\epsilon = id$. Therefore, $\text{Cone}(F) \circ R(\epsilon_B) = id$. Also, $\theta \circ I = id$. Therefore $\theta_{I \circ R(B)} = id$. It follows that $\theta_B \circ G(\epsilon_B) = id$ for $B \in I(A) \cdot B$. On the other hand, $((G.\epsilon) \circ \theta).I)_A = G(\epsilon_{I(A)}) \circ \theta_{I(A)} = id$ for all $A \in A$. By the universal property of the restriction of $G$ to $I(A) \cdot B$, this implies that $(G.\epsilon) \circ \theta = id$. Therefore, $\theta$ is a natural isomorphism
$$I_!(\text{Cone}(F) \circ j_A) \to \text{Cone}(F) \circ R.$$
But $\text{Cone}(F) \circ R = j_A \circ F \circ R$. Thus $\theta$ is a natural isomorphism
$$j_{A'} \circ R' \circ F' \to j_{A'} \circ R \circ F.$$
By restriction, $\theta$ yields a natural isomorphism
$$R' \circ F' \Rightarrow F \circ R$$
as required.
3.5 Definition I: $A \to B$ is a strong coideal if a) $I$ is a coideal and b) there is a coreflection $R: I(A) \cdot B \to A$.
By corollaries 2.7 and 3.4, the class of strong coideals is stable under pushout.
4 Homotopy pushouts
The lemmas which follow will be used in the derivation of the main theorem of the present §. Let $X: C \to CAT$ be a $CAT$-valued diagram. Let $F: C \int X \to B$ be a functor. For each $C \in C$, let $\iota(C): X(C) \hookrightarrow C \int X$ be the inclusion of the fibre over $C$. Let $B \in B$. The "homotopy fibre" of $F \circ \iota(C)$ over $B$ is the pullback
$$\begin{array}{ccc}
B/(F \circ \iota(C)) & \longrightarrow & X(C) \\
\downarrow & & \downarrow \\
B/B & \longrightarrow & B
\end{array}$$
By varying $C$ over $C$ one obtains a diagram
$$B/F \circ \iota(\cdot): C \to CAT.$$
4.1 Lemma There is a natural isomorphism
$$C \int (B/F \circ \iota(\cdot)) \to B/F$$
Proof. Unpack the definitions.
4.2 Lemma Let $F \dashv G: A \to B$. Let $A \in A$. There is a natural isomorphism
$$F(A)/B \to A/G.$$
Proof. Let $\eta: id \Rightarrow G \circ F$ be the unit of the adjunction. Define a mapping on objects of $F(A)/B$ by sending $(b: F(A) \to B, B)$ to $(G(b) \circ \eta_A: A \to G(B), B)$. Extending this mapping in the obvious way yields the required isomorphism.
4.3 Corollary In the situation of the previous lemma, $A/G$ is contractible.
Proof. $A/G$ is isomorphic to the contractible category $F(A)/B$
4.4 Lemma If
$$\begin{array}{c}
C' \xrightarrow{G'} C \\
\downarrow F' \quad \downarrow F \\
D' \xrightarrow{G} D
\end{array}$$
is a pullback, $G$ is an opfibration, and $F$ is a functor whose homotopy fibres $D/F$ are weakly equivalent to a point, then $F'$ is a weak equivalence.
Proof. [4,p.9]
4.5 Definition The homotopy pushout of the diagram
$$\begin{array}{c}
A \xrightarrow{F} A' \\
\downarrow I \quad \downarrow \\
B
\end{array}$$
(1)
is the opfibred category associated to (1).
Let $X$ denote the homotopy pushout of (1). The set of objects of $X$ is the union $|A| \cup |B| \cup |A'|$ of the objects of $A, B,$ and $A'$. Maps in $X$ are defined by
$$X(X,Y) = \begin{cases}
A(X,Y) & \text{if } X,Y \in A \\
B(X,Y) & \text{if } X,Y \in B \\
A'(X,Y) & \text{if } X,Y \in A' \\
B(I(X),Y) & \text{if } X \in A \text{ and } Y \in B \\
A'(F(X),Y) & \text{if } X \in A \text{ and } Y \in A' \\
\phi & \text{otherwise}
\end{cases}$$
Let
$$\begin{array}{c}
A \xrightarrow{F} A' \\
\downarrow I \quad \downarrow I' \\
B \xrightarrow{F'} B'
\end{array}$$
be the pushout of (1). By the universal property of $X$ there is a canonical map
$$G: X \to B'.$$
4.6 Theorem If, in (1), the functor $I$ is a strong coideal, then the canonical functor $G$ is a weak equivalence.
Proof. For each $B' \in B'$, let $B'/G$ denote the "homotopy fibre of $G$ over $B'$". The objects of $B'/G$ are pairs
$$\{(x: B' \to G(X), X) \mid X \in X\}.$$
A map from $(x: B' \to G(X), X)$ to $(y: B' \to G(Y), Y)$ is an arrow $z: X \to Y \in X$ such that $G(z) \circ x = y$. By Quillen's Theorem A [9,p.85], to show that $G$ is a weak equivalence, it is enough to prove that the unique map
$$B'/G \to 1$$
to the terminal category 1 is a weak equivalence. By the stability of strong coideals under pushout, $I'$ is a strong coideal. Moreover, the coretraction
$$R': I'(A') \cdot B' \to B'$$
can be chosen so that
$$\begin{array}{ccc}
A & \xrightarrow{F} & A' \\
R \uparrow & & R' \uparrow \\
I(A) \cdot B & \xrightarrow{F'} & I'(A') \cdot B'
\end{array}$$
(2)
commutes.
Objects of the pullback $B'$ are the equivalence classes for the equivalence relation $\sim$ on the union $|B| \cup |A'|$ of the set of objects of $B$ and $A'$ generated by $B \sim A'$ if $I(A) = B$ and $F(A) = A'$ for some $A \in A$. Thus every object in $B'$ is either of the form $I'(A')$ for some (necessarily unique) $A' \in A'$ or of the form $F'(B)$ for some $B \in B$, $B \notin \text{Image}(I)$. First consider the case that $B = I'(A')$. It will be shown that there is a chain of weak equivalences connecting $I'(A')/G$ and the contractible category $A'/A'$. By the lemma, there is an isomorphism between $I'(A')/G$ and the homotopy pushout of
$$\begin{array}{ccc}
I'(A')/I' \circ F & \longrightarrow & I'(A')/I' \\
\downarrow & & \\
I'(A')/F'
\end{array}$$
since \( G \circ \iota(A') = I' \), \( G \circ \iota(B) = F' \), and \( G \circ \iota(A) = I' \circ F \). Let \( J : I(A) \cdot B \to B \) denote the inclusion. Then there is an isomorphism
\[
I'(A')/F' \to I'(A')/F' \circ J. \tag{3}
\]
To see this, let \((u : I'(A' \to F'(B), B)\) be an object of \(I'(A')/F'\). Then \(B \in I(A) \cdot B\). Let \((u_0, \ldots, u_n)\) is a representative of \(u\). If \(B \in \text{Image}(I)\), there is nothing to show. Suppose that \(B \notin \text{Image}(I)\). As \(I\) is an inclusion, \(F'(B) = \{B\}\). Thus \(u_n\) is a map in \(B\), say \(u_n : B_0 \to B\). If \(n = 0\), then \(B_0\) is equivalent to \(A'\). But then \(B_0 = I(A)\) for some \(A \in A\). Hence, \(B \in I(A) \cdot B\). If \(n > 0\) and \(B_0 \notin \text{Image}(I)\), \((u_0, \ldots, u_{n-1})\) is a representative of a map \(I'(A') \to F'(B_0)\). By induction, \(B_0 \in I(A) \cdot B\). But then \(B \in I(A) \cdot B\) as well.
There is a weak equivalence
\[
I'(A')/F' \circ J \to A'/F. \tag{4}
\]
To see this, note that there is an isomorphism
\[
I'(A')/I'(A') \cdot B' \to A'/R'
\]
in virtue of the adjunction
\[
I' \dashv R'.
\]
Thus there is a commuting diagram of pullback squares
\[
\begin{array}{ccc}
I'(A')/F' \circ J & \longrightarrow & I(A) \cdot B \\
\downarrow & & \downarrow F' \\
I'(A')/R' & \longrightarrow & I'(A') \cdot B' \\
\downarrow & & \downarrow R' \\
A'/A' & \longrightarrow & A'
\end{array} \tag{5}
\]
As \(R' \circ F' = F \circ R\) by (2), there is a unique map
\[
Q : I'(A')/F' \circ J \to A'/F
\]
satisfying the commutativity properties required for satisfaction of the universal property of the pullback
\[
\begin{array}{ccc}
A'/F & \longrightarrow & A \\
\downarrow & & \downarrow F \\
A'/A' & \longrightarrow & A'
\end{array}
\]
Since the outermost square of (5) is equal to the outermost square of
\[
\begin{array}{ccc}
I'(A')/F' \circ J & \longrightarrow & I(A) \cdot B \\
Q \downarrow & & R \downarrow \\
A'/F' & \longrightarrow & A \\
\downarrow & & \downarrow \\
A'/A' & \longrightarrow & A'
\end{array}
\]
(6)
and all inner squares of (5) and (6) save possibly
\[
\begin{array}{ccc}
I'(A')/F' \circ J & \longrightarrow & I(A) \cdot B \\
Q \downarrow & & R \downarrow \\
A'/F & \longrightarrow & A
\end{array}
\]
(7)
are pullbacks, (7) is also a pullback. Since $R$ is a right adjoint, the homotopy fibres $A/R$ are contractible. As the forgetful functor $A'/F \to A$ is an opfibration, $Q$ is a weak equivalence, proving (4).
As $I'$ is full and faithful, there are isomorphisms
\[
\begin{align*}
I'(A')/I' \circ F & \to A'/F \\
I'(A')/I' & \to A'/A'
\end{align*}
\]
(8)
By the homotopy invariance of the Grothendieck construction [5,10], the weak equivalences (3),(4), and (8) induce a weak equivalence from $V$ to the homotopy pushout $W$ of the diagram
\[
\begin{array}{ccc}
A'/F & \longrightarrow & A'/A' \\
id \downarrow & & \\
A'/F &
\end{array}
\]
The collapsing functor which identifies the two copies of $A'/F \subset W$ induces a homotopy equivalence with the cylinder
\[
CYL(A'/F \to A'/A').
\]
The latter is in turn homotopy equivalent to $A'/A'$, a contractible category.
Next consider the case that $B' = F'(B)$ for some $B \notin B, B \in \text{Image}(I)$. As before, there is an isomorphism
\[B'/G \to V\]
where $V$ is the homotopy pushout of
$$\begin{array}{c}
F'(B)/I' \circ F \longrightarrow F'(B)/I' \\
\downarrow \\
F'(B)/F'
\end{array}$$
As $B \notin \text{Image}(I)$ by assumption, $F'(B) \notin \text{Image}(I')$. As $I'$ is a coideal, this implies that $F'(B)/I' = \phi$, the initial category. Likewise, $F'(B)/I' \circ F = \phi$. Consequently, $V$ is the homotopy pushout of
$$\begin{array}{c}
\phi \longrightarrow \phi \\
\downarrow \\
F'(B)/F'
\end{array}$$
By inspection, the homotopy pushout of the latter diagram is isomorphic to $F'(B)/F'$. But $F'(B)/F'$ is isomorphic to the contractible category $B/B$. Suppose first that $(u: F'(B) \to F'(B_0), B_0)$ is an object of $F'(B)/F'$. Then $B_0 \notin \text{Image}(I)$. To prove this, assume that $B_0 \in \text{Image}(I)$, say $B_0 = I(A)$ for $A \in A$. Then
$$\begin{align*}
F'(B_0) &= F' \circ I(A) \\
&= I' \circ F(A).
\end{align*}$$
As $I'$ is a coideal, this implies that $F'(B) \in \text{Image}(I')$. It follows that $B \in \text{Image}(I)$, contradicting the choice of $B$. As $B_0 \notin \text{Image}(I)$, $F'(B_0) = \{B_0\}$. Let $u: \{B\} \to \{B_0\}$ be a map in $B'$. Using the fact that $I$ and $I'$ are coideals, it is readily verified that $u$ lifts to a unique map $B \to B_0$ in $B$. $\square$
The proof of the next theorem is, *mutatis mutandis*, identical to the proof of the preceding theorem.
**4.7 Theorem** Let
$$\begin{array}{c}
A \xrightarrow{J} A' \\
I \downarrow \quad I' \downarrow \\
B \xrightarrow{J'} B'
\end{array}$$
be a pushout. Assume that $I$ and $J$ are coideals. Then the canonical map from the homotopy pushout of
$$\begin{array}{c}
A \xrightarrow{J} A' \\
I \downarrow \\
B
\end{array}$$
to $B'$ is a weak equivalence. $\square$
5 Applications
This § enumerates the principal corollaries of the two theorems on homotopy pushouts in CAT. Most notably, pushouts along strong coideals are homotopy invariant.
5.1 Proposition Let
\[
\begin{array}{ccc}
A & \xrightarrow{F} & A' \\
I \downarrow & & I' \downarrow \\
B & \xrightarrow{F'} & B'
\end{array}
\]
be a pushout. Assume that \(I\) is a strong coideal. Then if \(I\) (\(F\)) is a weak equivalence, \(I'\) (\(F'\) resp.) is a weak equivalence.
Proof. Let \(X\) be the homotopy pushout of the diagram
\[
\begin{array}{ccc}
A & \xrightarrow{F} & A' \\
id_A \downarrow & & \\
& A &
\end{array}
\]
and let \(Y\) be the homotopy pushout of
\[
\begin{array}{ccc}
A & \xrightarrow{F} & F' \\
I \downarrow & & \\
& A'.
\end{array}
\]
There is a natural transformation \(\phi\) from the first diagram to the second whose components are the vertical arrows in the following diagram:
\[
\begin{array}{ccc}
A & \xleftarrow{id_A} & A & \xrightarrow{F} & A' \\
I \downarrow & & id_A \downarrow & & id_{A'} \downarrow \\
B & \xleftarrow{I} & A & \xrightarrow{F} & A'
\end{array}
\]
\(\phi\) induces a map \(H: X \to Y\). By the homotopy invariance of the Grothendieck construction, \(H\) is a weak equivalence. Consider the diagram
\[
\begin{array}{ccc}
Y & \xleftarrow{H} & X & \xrightarrow{id_X} & X \\
G \downarrow & & \rho_{A'} \circ K \downarrow & & K \downarrow \\
B' & \xleftarrow{I'} & A' & \xleftarrow{\rho_{A'}} & CYL(F)
\end{array}
\]
where $G$ is the canonical map. By the main result on homotopy push outs, $G$ is a weak equivalence. $\rho_{A'}$, the projection on $A'$ is an adjoint. *A fortiori*, $\rho_{A'}$ is a weak equivalence. Likewise, $K$, the collapsing functor which identifies the two copies of $A \subset CYL(F)$, is right adjoint to the evident inclusion $CYL(F) \hookrightarrow X$. Hence $K$ is also a weak equivalence. A straightforward diagram chase shows that
$$G \circ H = I' \circ \rho_{A'} \circ K.$$
By saturation of the class of weak equivalences, $I'$ is a weak equivalence. An exactly analogous argument can be used to show that if $F$ is a weak equivalence, $F'$ is weak equivalence.
The second theorem on homotopy pushouts has an analogous corollary.
**5.2 Proposition** Let
$$\begin{array}{ccc}
A & \xrightarrow{I} & A' \\
J \downarrow & & J' \downarrow \\
B & \xrightarrow{I'} & B'
\end{array}$$
be a pushout diagram. Assume that both $I$ and $J$ are coideals. Then, if $I$ is a weak equivalence, $I'$ is a weak equivalence.
**Proof.** The proof parallels the proof of the previous proposition.
**6 Factorizations**
The purpose of this § is to establish the ubiquity, up to homotopy, of strong coideals. A second aim is to show that, modulo strong coideals which are weak equivalences, every functor induces a long exact sequence in homotopy.
**6.1 Proposition** Let $F: A \to B$ be a functor. Then $F$ admits a factorization of the form $F = P \circ I$ where $P$ is a homotopy equivalence and $I$ is a strong coideal.
The proof proceeds in stages. Let $F: A \to B$ be a functor. Let $C$ be the opfibred category associated with the diagram
$$\begin{array}{ccc}
A & \xrightarrow{F} & B \\
id_A \downarrow & & id_A \downarrow \\
A & \xleftarrow{id_A} & A
\end{array}$$
Explicitly, objects of $C$ are pairs $(A, i)$ where $A \in A$ and $i \in \{0, 1, 2\}$ or are of the
form $B \in B$. Maps are defined by
\begin{align*}
(1) & \quad C((A,0),(A,i)) = \begin{cases}
A(A,A') & i = 0,1 \\
\phi & i = 2
\end{cases} \\
(2) & \quad C((A,1),(A',i)) = \begin{cases}
A(A,A') & i = 1 \\
\phi & i = 0,2
\end{cases} \\
(3) & \quad C((A,2),(A',i)) = \begin{cases}
A(A,A') & i = 1,2 \\
\phi & i = 0
\end{cases} \\
(4) & \quad C((A,i),B) = \begin{cases}
B(F(A),B) & i = 2 \\
\phi & i = 0,1
\end{cases} \\
(5) & \quad C(B,B') = B(B,B') \\
(6) & \quad C(B,(A,i)) = \phi \quad i = 0,1,2
\end{align*}
Let $I : A \to C$ be the evident inclusion defined on objects by $I(A) = (A,0)$.
**6.2 Lemma** $I$ is a coideal $\square$
**6.3 Lemma** $I$ admits a coretraction
$$R : I(A) \cdot C \to A$$
from the ideal it generates in $C$.
**Proof.** Let $I(A) \to C$ be a map in $I(A) \cdot C$. Then, by the definition of $C$, $C = (A',0)$ or $C = (A',1)$ for some $A' \in A$. In either case, $I(A) \to C$ is represented by a unique map $a : A \to A' \in A$. Define $R(I(A) \to C) = a$. The verification that
$$I \dashv R, \quad R \circ I = id$$
is straightforward $\square$
In other words, $I$ is a strong coideal. This proves the first part of the proposition. Let $D$ be the opfibré category associated with the diagram
$$\begin{array}{c}
A \xrightarrow{F} B \\
\downarrow^{id_A} \\
A
\end{array}$$
Define $Q : C \to D$ on objects by
$$Q(C) = \begin{cases}
B & \text{if } C = B \in B \\
(A,2) & \text{if } C = (A,2) \\
(A,1) & \text{if } C = (A,0) \text{ or } C = (A,1)
\end{cases}$$
6.4 Lemma \( Q \) is a left adjoint, left inverse.
Proof. Let \( J : D \to C \) be the evident inclusion. Then \( Q \dashv J \) and \( Q \circ J = id \).
In particular, \( Q \) is a homotopy equivalence. Let \( R : D \to CYL(F) \) be the functor which identifies \((A, 1)\) and \((A, 2)\) for all \( A \in A \).
6.5 Lemma \( R \) is a right adjoint, left inverse.
Proof. Let \( K : CYL(F) \to D \) be the evident inclusion. It is readily verified that
\[
K \dashv R \quad \text{and} \quad R \circ K = id
\]
In particular, \( R \) is a homotopy equivalence.
6.6 Lemma Let \( \rho_B : CYL(F) \to B \) be the projection introduced earlier. \( \rho_B \) is a homotopy equivalence.
Proof. As before, let \( \iota_B : B \to CYL(F) \) denote the inclusion. For each \( C \in CYL(F) \), define \( \theta_C \) by
\[
\theta_C = \begin{cases}
id_B : (B, 1) \to (B, 1) & \text{if } C = (B, 1) \\
id_{I(A)} : (A, 0) \to (I(A), 1) & \text{if } C = (A, 0)
\end{cases}
\]
\{ \theta_C \} are the components of a natural transformation
\[
\theta : id \to \iota_B \circ \rho_B.
\]
As in addition, \( \rho_B \circ \iota_B = id, \rho_B \) and \( \iota_B \) are homotopy inverses.
As each of \( \rho_B, Q, \) and \( R \) is a homotopy equivalence, the composite \( \rho_B \circ Q \circ R \) is also a homotopy equivalence. Let \( A \in A \). Then
\[
\rho_B \circ Q \circ R \circ I(A) = \rho_B \circ Q \circ R(A, 0) \\
= \rho_B \circ Q(A, 1) \\
= \rho_B(A, 0) \\
= F(A).
\]
This finishes the proof of the second part of the proposition.
Strong coideals can be used to show that, in the homotopy category, every map has the distinguishing property of a fibration. Specifically, let \( Sd : (\Delta^{\text{op}}, Sets) \to (\Delta^{\text{op}}, Sets) \) denote Kan’s simplicial subdivision functor [K]. Let \( Cat : (\Delta^{\text{op}}, Sets) \to CAT \) denote the left adjoint to Nerve [3]. The proof of the main result makes use of the next three lemmas.
6.7 Lemma Let \( i : Y \to X \in (\Delta^{\text{op}}, \text{Sets}) \) be a monomorphism. Then \( \text{Cat} \circ \text{Sd}^2(i) \) is a strong coideal. If, in addition, \( i \) is a weak equivalence, then \( \text{Cat} \circ \text{Sd}^2(i) \) is also a weak equivalence.
Proof. [4,p.93] □
6.8 Lemma Let \( \{I_\alpha : C_\alpha \to D_\alpha \mid \alpha \in A\} \) be a collection of coideals which admit coreflections
\[ R_\alpha : I_\alpha(C_\alpha) \cdot D_\alpha \to C_\alpha. \]
Then the induced map
\[ \coprod_{\alpha \in A} I_\alpha : \coprod_{\alpha \in A} C_\alpha \to \coprod_{\alpha \in A} D_\alpha \]
has the same property. If, for each \( \alpha \in A \), \( I_\alpha \) is a weak equivalence, then \( \coprod I_\alpha \) is a weak equivalence.
Proof. [4,p.79] □
6.9 Lemma Let \( \{I_n : A_n \to A_{n+1} \mid n \geq 0\} \) be a collection of strong coideals. Let
\[ I : A_0 \to \lim_{n \to \infty} A_n \]
be the map induced by
\[ \{I_{n-1} \circ \cdots \circ I_0 \mid n \geq 1\}. \]
Then \( I \) is a strong coideal. If each \( I_n \) ia a weak equivalence, \( I \) is a weak equivalence.
Proof. [4,p.80] □
Let \( F : A \to B \) be a functor. Let \( F^{-1}(B) \) denote the pullback
\[
\begin{array}{ccc}
F^{-1}(B) & \xrightarrow{J} & A \\
\downarrow & & \downarrow F \\
1 & \xrightarrow{B} & B
\end{array}
\]
where \( B : 1 \to B \) picks out \( B \in B \). In other words, \( F^{-1}(B) \) is the fibre of \( F \) over \( B \).
6.10 Definition \( F \) is a quasifibration if for all \( B \in B \), the sequence
\[ F^{-1}(B) \xrightarrow{J} A \xrightarrow{F} B \]
induces a long exact sequence of homotopy groups
\[ \cdots \to \pi_n(\text{Nerve}(F)^{-1}(B), A) \xrightarrow{J_*} \pi_n(\text{Nerve}(A), A) \xrightarrow{F_*} \pi_n(\text{Nerve}(B), B) \xrightarrow{\partial} \pi_{n-1}(\text{Nerve}(F)^{-1}(B), A) \to \cdots \]
In other words, \( \text{Nerve}(F) \) is a simplicial quasifibration.
6.11 Proposition Every functor $F: A \to B$ admits a factorization $F = P \circ I$ where $I$ is a strong coideal and a weak equivalence and $P$ is a quasifibration.
Proof. Let
$$\Lambda^k(n) \hookrightarrow \Delta(n) \quad (n > 0, 0 \leq k \leq n)$$
denote the $k$-horn [3,p.60]. As $\text{Cat} \circ \text{Sd}^2(\Lambda^k(n))$ is finite and connected, the hom-functor
$$\text{CAT}(\text{Cat} \circ \text{Sd}^2(\Lambda^k(n)), -): \text{CAT} \to \text{Sets}$$
commutes with sequential limits, i.e. $\text{Cat} \circ \text{Sd}^2(\Lambda^k(n))$ is small to borrow Quillen’s terminology [9,p.34]. By Quillen’s small object argument [9,p.34], it follows that any functor $F: A \to B$ has a factorization of the form $F = P \circ I$ where $P$ has the right lifting property (RLP) with respect to the collection
$$\{\text{Cat} \circ \text{Sd}^2(\Lambda^k(n)) \hookrightarrow \text{Cat} \circ \text{Sd}^2(\Lambda^k(n))\}.$$
By Quillen’s argument, $I$ is in the closure of the collection
$$\text{Cat} \circ \text{Sd}^2(\Lambda^k(n)) \hookrightarrow \text{Cat} \circ \text{Sd}^2(\Lambda^k(n))$$
under pushout, formation of coproducts, and formation of countable sequential limits. By previous results, $I$ is a strong ideal and a weak equivalence. It remains to prove that $P$ induces a long exact sequence in homotopy. Since $\text{Sd}$ has a right adjoint $\text{Ex}$ [7,p. 460], $\text{Cat} \circ \text{Sd}^2$ has a right adjoint $\text{Ex}^2 \circ \text{Nerve}$. In virtue of the adjunction, $\text{Ex}^2 \circ \text{Nerve}(P)$ has the RLP with respect to the collection
$$\{\Lambda^k(n) \hookrightarrow \Delta(n)\}.$$
In other words, $\text{Ex}^2 \circ \text{Nerve}(P)$ is a Kan fibration [3,p.65]. By definition,
$$\text{Ex}(X)(n) = HOM(\text{Sd}(\Delta(n)), X)$$
where $X \in (\Delta^{\text{op}}, \text{Sets})$ and $HOM(., .)$ is the $(\Delta^{\text{op}}, \text{Sets})$-valued hom. In particular, $\text{Ex}(X)(0) = HOM(\text{Sd}(\Delta(n)), X) = X(0)$, the set of 0–simplices of $X$. Consequently, $\text{Ex}^2 \circ \text{Nerve}(B)(0) = \text{Nerve}(B)(0)$. Let $B \in B$. Then $B$ is a 0–simplex of $\text{Nerve}(B)$ and hence of $\text{Ex}^2 \circ \text{Nerve}(B)$. As $\text{Ex}^2 \circ \text{Nerve}$ is a right adjoint, $\text{Ex}^2 \circ \text{Nerve}$ commutes with inverse limits. In particular, the pullback diagram defining the fibre $P^{-1}(B)$ is carried into a pullback
$$\begin{array}{ccc}
\text{Ex}^2 \circ \text{Nerve}(P^{-1}(B)) & \xrightarrow{\text{Ex}^2 \circ \text{Nerve}(J)} & \text{Ex}^2 \circ \text{Nerve}(A) \\
\downarrow & & \downarrow \\
\Delta(0) & \xrightarrow{\text{Ex}^2 \circ \text{Nerve}(B)} & \text{Ex}^2 \circ \text{Nerve}(B)
\end{array}$$
In short,
\[ \text{Ex}^2 \circ \text{Nerve}(P^{-1}(B)) \simeq (\text{Ex}^2 \circ \text{Nerve}(P))^{-1}(B). \]
There is a natural transformation
\[ \phi : id \Rightarrow \text{Ex}^2 \]
whose components
\[ \{\phi_X \mid X \in (\Delta^{\text{op}}, \text{Sets})\} \]
are weak equivalences [7, p. 455]. Let \( C \in P^{-1}(B) \). Consider the diagram:
\[
\begin{array}{ccc}
(\text{Nerve}(P^{-1}(B)), C) & \xrightarrow{\phi} & (\text{Ex}^2 \circ \text{Nerve}(P^{-1}(B)), C) \\
\text{Nerve}(J) \downarrow & & \text{Ex}^2 \circ \text{Nerve}(J) \downarrow \\
(\text{Nerve}(C), C) & \xrightarrow{\phi} & (\text{Ex}^2 \circ \text{Nerve}(C), C) \\
\text{Nerve}(P) \downarrow & & \text{Ex}^2 \circ \text{Nerve}(P) \downarrow \\
(\text{Nerve}(B), B) & \xrightarrow{\phi} & (\text{Ex}^2 \circ \text{Nerve}(B), B)
\end{array}
\]
As \( \text{Ex}^2 \circ \text{Nerve}(P^{-1}(B)) \simeq (\text{Ex}^2 \circ \text{Nerve}(P))^{-1}(B) \), the right hand column is a fibre sequence. As the horizontal arrows are weak equivalences, the left hand column induces a long exact sequence in homotopy. This finishes the proof that \( P \) is a quasifibration.
\[\square\]
**REFERENCES**
1. D. Anderson, *Geometric Realization and Fibrations*, Bulletin of the A.M.S. **84** (1978), 765–788.
2. J. Gray, *Fibred and Co-Fibred Categories*, Conference on Categorical Algebra, Springer Verlag, Berlin, 1965, pp. 21-83.
3. P. Gabriel and M. Zisman, *Calculus of Fractions and Homotopy Theory*, Springer Verlag, Berlin, 1967.
4. M. Heggie, *Tensor Products in Homotopy Theory*, Ph.D. Thesis, McGill University, 1986.
5. ________, *The Left Derived Tensor Product of CAT-valued Diagrams*, preprint.
6. ________, *Homotopy Colimits in Presheaf Categories*, preprint.
7. D. Kan, *On C.S.S. Complexes*, American Journal of Mathematics **79** (1957), 449–476.
8. D. Quillen, *Homotopical Algebra*, Lecture Notes in Mathematics, vol. 43, Springer Verlag, Berlin, 1967.
9. ________, *Higher Algebraic K-Theory I*, Lecture Notes in Mathematics, vol. 341, Springer Verlag, Berlin, 1973, pp. 85–147.
10. R. Thomason, *Homotopy Colimits in the Category of Small Categories*, Math. Proc. Camb. Phil. Soc. **85** (1979), 91–109.
11. G.W. Whitehead, *Elements of Homotopy Theory*, Springer Verlag, Berlin, 1978.
*Sydney, Nova Scotia, Canada, B1P6L2*
*E-mail*: [email protected]
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THE STATE OF GEORGIA
EXECUTIVE ORDER
BY THE GOVERNOR:
ORDERED: That the Honorable W. Dennis Taylor, M.D. of Laurens County, Georgia, is reappointed as a member of the State Board of Nursing Home Administrators, for a term of office ending December 29, 2012.
The Honorable W. Dennis Taylor
160 Spring Branch Drive
Dublin, GA 31021
This fifth day of January, 2010.
[Signature]
Sonny Perdue
Governor
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P.O. Box 652 Lincolnton, NC 28093 Phone (704) 736-1155 Fax (704) 736-1156
Lincoln County Coalition Against Child Abuse and Child Advocacy Center
Date: July 1 st , 2020
Position Title: Training and Education Facilitator
Description: The Training and Education Facilitator position is a part-time, contracted position to provide support services to our training and education staff. This position will pay $21.00 an hour for up to 40-hours a month (approximately 10 hours per week), for a period of one (1) year. This position is responsible for working with our Lincoln County School social workers as well as Child Advocacy Center's training staff to bring education on child abuse awareness and neglect to the children and adults of Lincoln County.
Reports to: Executive Director
Duties/Description:
* Work with Lincoln County School social workers and Child Advocacy Center training staff to provide support for in-person as well as virtual classes bringing awareness and education to the children of Lincoln County and their parents on child abuse and neglect and tools to keep their bodies safe.
* Manage online and virtual platform for trainers.
* Carry out other responsibilities as they are developed or as assigned by the Executive Director
* Ensure needed resources are on hand for classes, i.e. powerpoint presentations, handouts, etc…
Skills Required:
* Knowledge of computer skills and online platforms such as Zoom, GoToMeeting
* Some evening hours or weekends may be required
* Flexible schedule Monday through Friday
Qualifications:
* Minimum High School diploma
* Must be organized and detail orientated
Training Facilitator Job Description.docx 9/14/2020
* Ability to work in a stressful environment with difficult subject matter and to keep own emotions in check
* Time management
Physical Requirements:
* Must be minimum 21 yrs of age; must possess a valid driver's license; must have access to a vehicle; and proof of insurance.
* Candidate must be able to lift and/or move a minimum of 25lbs. Be able to sit, stand, walk, talk and hear.
The above statements are intended to describe the general nature and level of work performed by the individual(s) assigned to this position. This list is not all inclusive of the responsibilities associated with the position.
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Enso Discoveries, LLC Launches its Domestic, Independently Owned, No Contract or Volume Commitment, Histopathology Laboratory for Veterinary Industry and CROs
Enso Discoveries, an emerging biotech company, is proud to announce the opening of its veterinary histopathology lab featuring board-certified evaluation, priority turnaround times, exceptional value and the ability to process large case quantities without sacrificing quality — for both the individual veterinarian hospital and contract research organizations looking for excellent turnaround times and highly validated results.
MANHATTAN, Kansas (PRWEB) March 25, 2020 -- Enso Discoveries, LLC proudly announces the opening of its veterinary histopathology laboratory located centrally in the midwest for high-quality, quick-turn, boardcertified reporting. In an effort to offer partnering clients the ability to work with a highly motivated, independent, professional team that is focused on incredible quality, turnaround time and value, Enso Discoveries has built the infrastructure and assembled the scientific expertise to readily meet ever-evolving needs of contract research organization clients.
"We envisioned this laboratory over a year ago after successfully working internationally in this space. Six months ago we hired Eric Pace, an outstanding, talented and experienced Laboratory Manager with incredible passion, to build, hire, train and certify our laboratory. We feel that laboratory independence is a lost art with so much consolidation going on and we intend to build great relationships and add great value, to those who appreciate the independent, no contract or volume commitment model," explains Patrick Farley, CEO of Enso Discoveries, LLC.
It is a continued commitment of Enso Discoveries to hire the best team of experts, pathologists and laboratory personnel to help provide priority lab services at non-priority lab prices. Under the watchful oversight of senior pathologists and experienced laboratory personnel, Enso Discoveries laboratory rigorously adheres to quality management standards applying technical and scientific expertise to every project, from routine procedures to highly specialized analyses.
Enso Discoveries Veterinary Histopathology Laboratory boasts:
- Ability to process large case quantities without sacrificing quality
- Quick turn-around time
- Ability to provide dissection, gross examination, and organ size and weight measurement
- Process samples for embedding and sectioning
- Process samples for H&E, special stains, and Immunohistochemistry
- Digitizing slides and delivery of digital image files
- Perform quantitative image analysis and deliver a comprehensive report
"Our laboratory is a planned, high-production environment using the latest instruments such as the Leica Aperio AT2 imaging system that can process up to 400 slides an hour and dual Sakura tissue processors to ensure continued production. Our pathology network has extensive capacity to perform histologic processing and histopathologic evaluation of large quantities of tissue samples," Director of Laboratory Services, Eric Pace said. "I am continually impressed with the budget I am supported with which allows me access to the latest in equipment, the best of technology, and the hiring of an amazing staff. Our commitment to quality in our work,
and getting cases out in a timely manner, with the willingness to go the extra mile will be what helps veterinarians make sure they are offering proper treatment to each and every animal patient."
Pace received his Bachelor's of Animal Science with a minor in Natural and Applied Sciences in May of 2000. He brings 15 years of histopathology experience ranging in research, forensics, private sector, and large hospital laboratory. As an ASCP certified histology technician, he has helped train and teach many students from histology programs to become certified histology technicians. Pace is also a member of the Society of Quality Assurance, National Society of Histology and American Society of Clinical Pathology.
Enso Discoveries, LLC is a biotech company focused on enhancing the lives of animals through the development of relevant, cost-effective, novel technology that allows our valued customer, the veterinarian, to keep their hard-earned business in house. We support our products and services with scientific proof, national distribution partners, and a worldwide network of industry experienced contacts. Ask your veterinarian or veterinary products distributor about Enso Discoveries, LLC products such as Rebound PRP™and Rebound PRF® or learn more at www.ensodiscoveries.com.
Contact Information
Eric Pace
Enso Discoveries, LLC
http://https://ensodiscoveries.c
844.868.7747
Online Web 2.0 Version
You can read the online version of this press release here.
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IFIC Submission
Re: CSA Staff Notice and Request for Comment 25-304 Application for Recognition of New Self-Regulatory Organization
June 27, 2022
June 27, 2022
Delivered By Email: [email protected], [email protected]
British Columbia Securities Commission
Alberta Securities Commission
Financial and Consumer Affairs Authority of Saskatchewan
Manitoba Securities Commission
Ontario Securities Commission
Autorité des marchés financiers
Financial and Consumer Services Commission of New Brunswick
Superintendent of Securities, Department of Justice and Public Safety, Prince Edward Island
Nova Scotia Securities Commission
Securities Commission of Newfoundland and Labrador
Registrar of Securities, Northwest Territories
Registrar of Securities, Yukon Territory
Superintendent of Securities, Nunavut
The Secretary Ontario Securities Commission 20 Queen Street West 22nd Floor Toronto, Ontario M5H 3S8
Me Philippe Lebel Corporate Secretary and Executive Director, Legal Affairs Autorité des marchés financiers Place de la Cité, tour Cominar 2640, boulevard Laurier, bureau 400 Québec (Québec) G1V 5C1
Dear Sirs and Mesdames:
RE: CSA Staff Notice and Request for Comment 25-304 Application for Recognition of New SelfRegulatory Organization
The Investment Funds Institute of Canada (IFIC) appreciates the opportunity to comment on CSA Staff Notice and Request for Comment 25-304 Application for Recognition of New Self-Regulatory Organization (the New SRO Consultation).
IFIC is the voice of Canada's investment funds industry. IFIC brings together approximately 150 organizations, including fund managers, distributors and industry service organizations to foster a strong, stable investment sector where investors can realize their financial goals. IFIC operates on a governance framework that gathers member input through working committees. The recommendations of the working committees are submitted to the IFIC Board or board-level committees for direction and approval. This process results in a submission that reflects the input and direction of a broad range of IFIC members.
IFIC appreciates the expeditious, hard work that the Canadian Securities Administrators (CSA), the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) (MFDA and IIROC, together the SROs) have devoted to developing the framework for the new self-regulatory organization (New SRO) set out in the New SRO Consultation. Consolidating IIROC and the MFDA into the New SRO is an important and very worthwhile undertaking that will be advantageous to investors, the industry, securities regulators and other stakeholders.
We believe that the New SRO framework should continue to ensure Canadian investors access to meaningful investment advice and services, and enable dealers to provide a broad range of service offerings.
Re: CSA Staff Notice and Request for Comment 25-304
June 27, 2022
Summary
IFIC is pleased to provide the following comments in connection with the New SRO Consultation. Our feedback is focused on the following key points:
* individuals offering the same products and services to investors should have the same proficiency requirements, regardless of their firms' registration category - specifically, the existing proficiency requirements for MFDA mutual fund dealer representatives should apply to mutual fund only representatives of mutual fund dealers and dual-registered dealers under the New SRO rules;
* the New SRO Investment Dealer and Partially Consolidated Rules should be amended to allow, within jurisdictions that permit commission direction, directed commissions by registered representatives dealing in mutual funds only;
* current references in firms' documents to IIROC, MFDA, CIPF and MFDA IPC should remain as is, pending finalization of both the names of the New SRO and new investor protection fund (New IPF);
* the new account documentation requirements within the interim rules should be clarified; and
* the circumstances in which the New SRO Mutual Fund Dealer Rules apply to dual-registered dealers should be clarified.
Proficiency Requirements
The New SRO draft interim rules (Draft Interim Rules) have been proposed with a view to the New SRO achieving a successful launch and the CSA achieving its major policy objectives for the SROs, including facilitating conducting mutual fund dealer business and investment dealer business within the same legal entity. More specifically, the New Draft SRO Rules – Frequently Asked Questions (FAQ) provides that "to ensure minimum disruption to members and their employees and Approved Persons each set of IIROC and MFDA rules will be adopted by the New SRO and will continue to apply with some key rules changes proposed in the interim to address structural impediments to the industry [emphasis added]". As explained below, IFIC does not consider proficiency requirements to be a key structural impediment that necessitates an interim change to the proficiency status quo for those individuals who are/will be registered in the category of dealing representative, mutual fund dealer within dual-registered firms.
The FAQ also provides that at a mutual fund dealer, individuals registered as "dealing representative, mutual fund dealer" will not need to complete the Conduct Practices Handbook Course (CPH) or any other new proficiency requirements under the Draft Interim Rules. In contrast, "mutual funds only" dealing representatives at a dual-registered dealer must complete the CPH, a new proficiency requirement, within 270 days of the firm becoming a dual-registered firm (unless the representative previously completed the CPH).
It is IFIC's view that individuals offering the same products and services, regardless of the technical category of their firm's registration, should be required to complete the same proficiency requirements. In other words, the substance of the products and services offered by the representative should govern the proficiency requirements, not the form of their firm's registration. Accordingly, IFIC believes that it is inappropriate to require an individual registered in the category of dealing representative, mutual fund dealer within a dual-registered firm to complete the CPH, absent a compelling policy rationale. IFIC is not aware of any such rationale. The existing proficiency requirements for MFDA mutual fund dealer representatives should apply to mutual fund only representatives of mutual fund dealers and dual-registered dealers under the New SRO rules.
Moreover, it would be very expensive for dual-registered firms to fund significant numbers of representatives taking the CPH. For large firms, the 270-day limit is inadequate time for all of their representatives to complete the CPH. Unjustified differences in proficiency requirements should not serve as an incentive for individuals to move from dual-registered firms to mutual fund dealers (regulatory arbitrage).
2
Me Philippe Lebel and The Secretary, OSC
Re: CSA Staff Notice and Request for Comment 25-304
Application for Recognition of New Self-Regulatory Organization
June 27, 2022
Most importantly, IFIC considers this proficiency proposal to be a major impediment to MFDA member firms becoming dual-registered firms. This impediment could prohibit the successful launch of the New SRO and result in certain major regulatory objectives failing to be met, including (i) eliminating the need for clients to move accounts to IIROC member firms from MFDA member firms to obtain different types of products and services (ii) permitting clients' advisors the flexibility to transition with their clients to facilitate holistic, onestop-shopping business models for the benefit of investors, (iii) reducing duplication and investors' administrative difficulties and confusion when acquiring new products and services, (iv) reducing regulatory complexity, (v) facilitating the successful implementation and operation of dual registered firms, and (vi) enhancing confidence in securities regulation.
The CPH is designed for IIROC Approved Persons and not those registered in the category of dealing representative, mutual fund dealer within a dual-registered firm. IFSE's Canadian Investment Funds Course is well fit for purpose for a dealing representative, mutual fund dealer within a dual-registered firm. That course addresses registrants' ethical responsibilities, conflicts of interest, the Canadian regulatory bodies, legislation and regulations, compliance, know your client, suitability, know your product and registration requirements and dealing with vulnerable and older investors, which has served mutual fund investors and registrants well.
If necessary, as an alternative to the CPH, a new course specifically tailored to those registered in the category of dealing representative, mutual fund dealer, within dual platform firms could be developed and eligible for continuing education credits. Any additional proficiency requirement should allow one year for completion commencing from the time the firm becomes a dual-registered firm.
Directed Commissions
The FAQ provides that an individual registered as a dealing representative, mutual fund dealer will continue to be allowed to direct commissions within jurisdictions that permit commission direction and in accordance with Mutual Fund Dealer Rule 2.4.1(b). The FAQ addresses whether an individual that becomes affiliated with a dual-registered firm and transitions into the category of registered representative dealing in mutual funds only, may start or continue to direct commissions. The New SRO Mutual Fund Dealer Rules only apply to a dual-registered firm where there is no corresponding requirement in the New SRO Investment Dealer and Partially Consolidated Rules [emphasis added]. Mutual Fund Dealer Rule 2.4.1(b) does not impose a "requirement". It is permissive in nature. Hence, the New SRO Investment Dealer and Partially Consolidated Rules should be amended to allow directed commissions, by registered representative dealing in mutual funds only, within jurisdictions that permit commission direction. If this amendment is not made and registered representatives dealing in mutual funds only can not direct commissions within jurisdictions that permit commission direction, IFIC would consider this outcome to be a major impediment to MFDA member firms becoming dual-registered firms. This outcome would be inconsistent with the policy rationales supporting dual-registration (see "Proficiency Requirements" above).
IFIC appreciates the opportunity to have met with the CSA Directed Commissions Working Group and looks forward to continuing to work with it to harmonize directed commissions in the short and long term, potentially by adopting an incorporated salesperson regime as a long-term solution.
Documentation
References to IIROC, MFDA, the Canadian Investor Protection Fund (CIPF) and MFDA Investor Protection Corporation (MFDA IPC) appear in a very large number of documents within many investment dealers and mutual fund dealers and a large number of documents across all investment dealers and mutual fund dealers. It would be unduly complex and expensive for dealers to change references to these organizations to the names of the New SRO and New IPF as each new name is finalized i.e. potentially, more than once. A series of name change references would be unduly expensive and time consuming and create operational, regulatory and client-experience risk for dealers, while being confusing to clients. These outcomes would not be in keeping with the regulatory objectives of simplifying regulation and enhancing investor confidence in securities regulation. Accordingly, IFIC recommends that a mechanism be put in place to permit current references in documents to IIROC, MFDA, CIPF and MFDA IPC to remain as is, pending finalization of both the names of the New SRO and New IPF, after which a reasonable transition
Re: CSA Staff Notice and Request for Comment 25-304
June 27, 2022
period, such as 18 months, would permit documentation amendments to reflect these new names. For example, a new rule could explicitly permit registrants to continue to use such names in their documents and deem and interpret such references to be to the New SRO and New IPF, as applicable, pending finalization of both names of the New SRO and New IPF, after which a transition period of 18 months would apply for a registrant to amend its documents accordingly. As a related matter, rules pertaining to the required use of SRO logos should be amended, as necessary, to coincide with the use of the names of the New SRO and New IPF.
The FAQ provides that exemptive relief from "the new account documentation requirements within the interim rules" [emphasis added] will be generally available where the products and services to be offered to the client and the know your client information and assessment process at the dual-registered firm are materially the same as at the mutual fund dealer affiliate.
Where the existing mutual fund dealer account agreement has an acceptable assignment clause and the products and services to be offered and the know your client information and assessment processes are materially the same, the dual-registered firm may be exempted from the "requirement to execute the normal account agreements and documentation" [emphasis added].
In other circumstances, dual-registered firms will not be exempted from the "requirement to execute the normal new account agreements and documentation" [emphasis added] but may be given more time to do so.
Given the phraseology relating to documentation differs between scenarios - "new account documentation requirements within the interim rules", "normal account agreements and documentation" and "normal new account agreements and documentation" – it would be helpful for a revised FAQ to specifically address each of account agreements and their related schedules, know your client documentation, relationship disclosure documentation and conflicts of interest statements, which we assume are all contemplated by the above document-related phrases.
Rules That Apply to Dual-registered Firms and Their Employees and Approved Persons
The FAQ provides that dual-registered firms and their employees and Approved Persons will be required to comply with (i) the New SRO Investment Dealer and Partially Consolidated Rules, and (ii) the New SRO Mutual Fund Dealer Rules, where there is no corresponding requirement [emphasis added] in the New SRO Investment Dealer and Partially Consolidated Rules. The phrase "no corresponding requirement" could be interpreted to mean no corresponding requirement whatsoever dealing with the same subject matter or a substantively different requirement pertaining to the same subject matter. It is very important that this ambiguity be clarified in an amended FAQ or otherwise.
New SRO Fees
IFIC understands that the development of the New SRO's fee model will be a complex exercise that will require expert professional advice and consultation with members and other stakeholders through a public comment process.
IFIC endorses the enumerated principles to be applied in the fee model adopted by the New SRO.
IFIC also supports the New SRO, on an interim basis, utilizing the existing fee structures and models of IIROC (with respect to current IIROC Members) and the MFDA (with respect to current MFDA Members), but questions what "necessary modifications" are contemplated.
New Rule Development
The New SRO should clearly identify a material regulatory objective when developing new rules. A clear material regulatory objective that describes the issue to be solved should be articulated at an early stage;
Re: CSA Staff Notice and Request for Comment 25-304
June 27, 2022
this would focus the New SRO, the industry and other stakeholders on the need to implement a solution to the specific issue.
IFIC favours a proportionate regulatory approach based on the scale, extent, complexity and risk of the particular issue in order to achieve an optimal outcome. A significant element of determining proportionality should include a pre- and post-implementation cost/benefit and impact analysis for significant rule proposals. Meaningful consultation and input from all types of registrants, including smaller and independent firms, should be sought to develop risk-based regulation, which is also proportionate to different types and sizes of registrants and business models.
The industry should be provided with a meaningful comment period on proposed New SRO rules. The New SRO should ensure that the industry will have a sufficient implementation transition period for each new rule which, if necessary, is phased/staggered.
IFIC favours plain language rules that articulate a clear regulatory outcome. These rules can be both principles based and prescriptive, as appropriate. For example, business conduct rules lend themselves to a more flexible approach due to the variety of different business models and fact scenarios, however, a more detailed approach is appropriate for financial compliance standards.
IFIC believes that adherence to the foregoing principles would reduce the costs of rule development, implementation and ongoing regulatory oversight, while achieving appropriate regulatory outcomes and compliance. Given that dealers have recently implemented substantive rule changes, including the Client Focused Reforms and rules dealing with vulnerable clients, and continuous education, the New SRO should ensure that the new consolidated rules are substantially harmonized with these newly implemented requirements.
IFIC notes that the MFDA and IIROC continue to issue rule proposals, and we welcome ongoing rule amendments that help address industry concerns/investor protection. That said, as dealers require various project, technology, and advisor training resources in order to implement multiple substantive rule changes, we urge that there be a coordination between the regulators (MFDA/IIROC/New SRO) on the ongoing rule changes to ensure that the resulting applicable New SRO rules are harmonized.
New Draft SRO Rules – Frequently Asked Questions
IFIC appreciates the SROs' publication of the FAQ, which anticipates and answers many questions in connection with the New SRO. IFIC recommends that the FAQ be updated and re-published from time to time to address any New SRO rule issues that arise. IFIC suggests that ongoing consultation with industry, perhaps through the CSA Implementation Working Group, should occur to address matters to be covered by updated and re-republished FAQs. A similar approach was adopted by the CSA in connection with implementing the Client Focus Reforms and this was well received and helpful to both the industry and securities regulators.
Oversight of the New SRO
The Memorandum of Understanding among CSA members regarding oversight of the New SRO outlines the oversight program that the CSA members will implement to oversee the New SRO's performance of its functions. The CSA members will establish an oversight committee as a forum for the discussion of issues, concerns and proposals related to the oversight of the New SRO. Two CSA members will be initially designated as coordinators (Coordinators). Coordinators will be tasked with the roles of coordinating, communicating and scheduling activities of the oversight program among all CSA members, and between the CSA members and the New SRO.
Each Coordinator will serve for four years on a staggered rotation basis, except that one of the first two Coordinators will be replaced after two years to facilitate the staggered rotation. The overall result will be one new Coordinator being designated for a four-year term every two years. IFIC respectfully asks that each Coordinator be qualified and that the Coordinators provide clear, harmonized direction when carrying out their roles.
The "Self" in Self-Regulation
As set out in our previous submissions, IFIC strongly supports the value of keeping the "self" in selfregulation. IFIC does not agree with the CSA's revised governance and oversight approaches that curtail members' voices – particularly in the matters over which the CSA will have a veto, including business plans and exemptions from the New SRO rules. In addition, the role of current IIROC District Councils is proposed to be changed to an advisory role to provide regional perspectives on national matters. This would also result in a substantial diminution of the industry's self-regulatory role because it would remove the powers of these councils to, among other things, approve New SRO members and members' acquisitions of dealers, impose terms and conditions on Approved Persons, suspend or revoke approval of Approved Persons, and grant proficiency exemptions.
Overall, while we agree with many of the governance proposals to strengthen accountability, we believe that the foregoing reductions of self-regulatory authority do not achieve the right proportion of industry selfregulatory authority.
The FAQ provides that the Regional Councils will have an advisory role and make policy recommendations to staff of the New SRO and that the National Council will act as a forum for cooperation and consultation among the Regional Councils and provide recommendations on policy matters. It is unclear whether both the Regional Councils and National Council will make recommendations to the CSA on the same topics and, if so, where there is a conflict, whether the National Council's policy recommendations will over-ride those of the Regional Councils. It is important that this ambiguity be clarified in an amended FAQ or otherwise.
Regional Councils and the National Council should have diverse memberships that collectively reflect firms of different sizes, which are integrated and independent, operate in difference regions, and have different business models. All dealer distribution channels should be represented, including order execution only dealers, full-service dealers (offering brokerage and/or managed accounts) and mutual fund dealers.
* * * * *
IFIC appreciates this opportunity to provide our input to the CSA on this important initiative. Please feel free to contact me by email at [email protected] or by phone at 416-309-2300. I would be pleased to provide further information or answer any questions you may have.
Yours sincerely,
THE INVESTMENT FUNDS INSTITUTE OF CANADA
By: Paul C. Bourque, Q.C, ICD.D President and CEO
|
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|
CC-MAIN-2023-06
|
https://www.osc.ca/sites/default/files/2022-06/com_20220627_25-304_bourquep.pdf
|
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|
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CSIR-CENTRAL INSTITUTE OF MINING & FUEL RESEARCH (CIMFR)
Barwa Road, Dhanbad – 826 015 (Jharkhand), India
: 0326-2296027-2296029, 2296003-2296005
GSTIN: 20AAATC2716R1ZT
NIT No. 23(878)/2019-GA Date: 24-04-2019
Open e-tender Invitation for e-tender
Director, CSIR-CIMFR, Dhanbad invites online tenders in two bids system through https://etenders.gov.in for following services:-
Please note-
(i)- Last date & time for online bid submission:30 th April 2019, 3:30 PM
(ii)-Date & time for opening of techno-commercial online bids: 01 st May 2019, 3:30 PM
1. Interested bidders may obtain further information from the office of the Electrical Maintenance Section, CSIR-CIMFR, Barwa Road, Dhanbad, Jharkhand, INDIA.
2. The online bids must be uploaded well before the last date & time for submission of online e-tender. Institute will not be responsible for any cause of non-submission of the online bids due to technical fault/website congestion /Late/Delay.
3. For detail information please visit : https://etenders.gov.in
HOS Electrical Maintenance Section
|
<urn:uuid:134c5db7-c6b0-4b5e-9029-e177eeb011cf>
|
CC-MAIN-2019-22
|
http://cimfr.nic.in/upload_files/tender/1556178451_878.pdf
|
2019-05-20T22:59:53Z
|
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| 39,988,959
| 311
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CAPRICCI
CAPRICCIO Intermission Dinner
CAPRICCIO INTERMISSION
Starter
Creamy foie and truffle with champagne jelly
To share
Goulash cold toast and crunchy semolina
Main Course
Inside a lettuce: Wild Caught Salmon
Veal Ravioli, sauerkraut and mild spicey sauce
To share
Candied Apple dices with cinnamon aroma
BEVERAGES
White Wine P.D.O. Rueda
Red Wine P.D.O.C Rioja
Cava Freixenet Brut Barroco (Spanish Champagne)
Sodas, beers, water
( The drink must be established when the reservation is made )
Reservations:
91 5160670 – 635 026 736
[email protected]
Reservations must be made at least 48 hours in advance.
|
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|
CC-MAIN-2019-22
|
https://www.teatroreal.es/sites/default/files/2019-05/INTERMISSION%20%20MENU%20CAPRICCIO%20-%20ingl%C3%A9s%20.pdf
|
2019-05-22T10:48:08Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-22/segments/1558232256797.20/warc/CC-MAIN-20190522103253-20190522125253-00047.warc.gz
| 969,768,989
| 185
|
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|
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| 0.825166
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| 0.779736
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Date: April 28, 2022
Honorable Dabney L. Friedrich
United States District Judge
United States Courthouse
300 Constitutional Avenue
Washington, D.C. 20001
RE: Daniel Johnson
Dear Honorable Judge Friedrich,
Please understand that I do not condone the events of January 6th, 2021. Acts of violence and intimidation are not how change is facilitated in this country. Running for public office or casting a vote on election day is the way our system is designed and needs to be followed.
I am writing to speak to the character as I know it of Daniel Johnson. I can say that my office had no law enforcement contacts with Daniel Johnson prior to the events of January 6th, 2021, and I can say I was shocked to learn of his involvement. Mr. Johnson comes from a hard-working family in St. Ansgar, Iowa. A family that has been involved with the community and involved in their church.
Your Honor, I have served in law enforcement for over 30 years I have seen the behavior of groups of people, the emotion that can come from being a part of a group and actions of individuals while being a part of this group. These actions are not typical actions that a person would display individually. I believe that Mr. Johnson’s actions on January 6th, 2021, are out of character for him, these actions are not actions I have seen from Mr. Johnson in Mitchell County where I serve as sheriff.
I have met with Mr. Johnson after his arrest involving his actions on January 6th, 2021, and believe that the behavior he displayed in Washington, D.C. is not behavior the country or my office will ever see again. I believe he has realized his actions did not solve an issue but only created more for himself and family. The effects of Mr. Johnson’s actions on January 6th, 2021, will remain with him the rest of his life.
Your Honor, January 6th, 2021, should never have happened. January 6th, 2021, does not define this country. Your Honor, please consider the character of Daniel Johnson as I know it when deliberating his fate. On June 1st, 2021, he will be sentenced in your court, and I believe the sentence you hand down will be in the best interest of the country and Mr. Daniel Johnson.
Respectfully submitted,
Mitchell County, Iowa Sheriff
Gregory Beaver
April 19th, 2022
Honorable Dabney L. Friedrich
United States District Judge
United States Courthouse
300 Constitution Avenue
Washington, D.C. 20001
Your Honor,
First, please understand that in no way do I condone the events that occurred on January 6th, 2021. Violence in the streets of America is not how we as a country change policy or direction. Running for public office or simply casting a vote on election day is how our system is designed and this facilitates change in this country, not violence or mob intimidation.
On June 1st, 2022, Daryl Johnson of St. Ansgar, Iowa will be sentenced in your court for acts occurring on January 6th, 2021, in Washington, D.C. I am writing on Mr. Johnson’s behalf to speak to his character and standing within the community of St. Ansgar, Iowa.
I have known Mr. Johnson for many years while growing up in the community of St. Ansgar, Iowa and later having the honor of serving its citizens as a deputy sheriff and currently serving as sheriff. During the many years I have known him he has been law abiding, a strong member of the faith community, a hard-working businessman, a family man and involved in local events within the community. I also have known Mr. Johnson’s father and mother and they also reflect the values I have written about concerning Daryl.
Having served in law enforcement for more than 30 years and simply having life experiences I have come to realize a person’s behavior can be greatly influenced by having a group mentality and I have observed the emotion that can be brought to a situation or event by a group. Behavior displayed while being a part of this group would not be behavior someone ordinarily would display as an individual. I believe Daryl’s behavior on January 6th, 2021, was out of character for him. I had not seen this behavior from him prior to the events of January 6th, 2021, and certainly have not seen this type of behavior post January 6th, 2021.
Your Honor, please also know that since this news broke in the community of St. Ansgar and in the county of Mitchell that I serve, my office has not received any citizen complaints on Mr. Daryl Johnson, no citizen concerns about potential behavior issues and no area law enforcement complaints or concerns involving Mr. Johnson.
When he was contacted by my office regarding his Iowa weapons permit revocation he immediately presented to the sheriff’s office and surrendered the permit. Mr. Johnson has always been respectful towards the Mitchell County sheriff’s office and continues to be as of this date.
Your Honor, please consider the information that I have provided to you in your upcoming decision, and I believe whatever your decision may be on June 1\textsuperscript{st}, 2022, it will be in the best interest of the country and Mr. Johnson.
Respectfully,
Mitchell County, Iowa Sheriff
Gregory Beaver
|
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|
CC-MAIN-2024-18
|
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Research Services
ABOUT VERITAS
Our mission is to deliver on the promise of the human genome, empowering people to maximize quality and length of life for themselves and their families. As the first company to introduce whole genome sequencing and interpretation to consumers and their physicians, we lead by relentlessly pushing the boundaries of science and technology while driving down the cost of the genome.
Founded in 2014 by leaders in genomics from Harvard Medical School, we operate globally from offices in the U.S., Europe and China. We have been recognized twice by MIT Technology Review as one of the 50 Smartest Companies in 2016 and 2017, by Fast Company as one of the world's most innovative health companies in 2018, and by CNBC as one of the Disruptor 50 Companies in 2018.
GLOBAL BIG DATA MANAGEMENT
We are pioneers in affordable whole genome sequencing, genomic data management, and integration of machine learning and A.I. into bio-medical data — and we extend those capabilities to researchers. We work with top biopharmas, biotech startups, and research institutions globally. Close to 10 petabytes of genomic data are already managed through our platform, Arvados.
Here are more details on what we offer our research partners:
HIGH THROUGHPUT, HIGH QUALITY SEQUENCING
* CLIA-certified laboratory environment
* Illumina NovaSeq and HiSeq X10 systems
* PCR-free, Whole Genome Sequencing, 30x
* Whole Exome Sequencing, 100x
* Genomic datasets in a secure, HIPAA-compliant cloud
* Data provided as FASTQ, BAM, VCF
DATA MANAGEMENT AND ANALYSIS
* Arvados is our open source platform for managing, processing, and sharing genomic & biomedical data
* Built for big data — scale up to thousands of cores and petabytes of data
* 100% traceability and reproducibility for all generated data
* Federation allows access and querying without moving the data
* Fine-grained access controls
* Experienced cloud infrastructure support (Amazon, Google, Microsoft) or on-premise
* Analysis pipeline consulting — industry standard Common Workflow Language (CWL)
TRUSTED BROKER TO ENHANCE RESEARCH STUDIES
* Veritas can enable secure access to control data
* Through Veritas partnerships, clients can gain access to samples to augment their studies
For more info: www.veritasgenetics.com/researchers or [email protected]
Arvados
ABOUT ARVADOS
The Most Widely Used Genomic Data Platform (close to 20 Petabytes)
Arvados is an open source platform that allows for storing, organizing, processing, and sharing genomic and other biomedical big data. The platform is designed to make it easier for data scientists to develop analyses, developers to create genomic web applications, and IT administrators to manage large-scale compute and storage genomic resources. It can run in the cloud as well as on your own hardware.
OPEN-SOURCE
Join an entire community of developers who are constantly improving the platform.
SCALE-OUT ARCHITECTURE
Get ahead of your data bloat problems with automatic deduplication and compute resource allocation.
CONTENT-ADDRESSABLE STORAGE
Virtualized storage allows painless scaling on both local hardware or across multiple cloud environments.
MULTI-CLOUD FEDERATION
Arvados moves the analysis to the data allowing you to compute on data from multiple locations without losing any metadata.
USE DATA WHERE IT ALREADY LIVES
Arvados can be supported on any major cloud provider, local HPC, or a hybrid configuration.
CONTAINERS
Run your pipeline on any operating system, in any language, efficiently and securely.
|
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|
CC-MAIN-2019-22
|
https://www.veritasgenetics.com/sites/default/files/media/documents/CorporateOnePagers_Researchers%2BArvados.pdf
|
2019-05-25T23:23:05Z
|
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| 980,478,739
| 760
|
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|
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Public Notice
NOTICE TO PROCEED
Date:
To: MAJORS ENTERPRISES, INC.
PROJECT: Dayton-Yellow Springs Road Infrastructure Project
You are hereby notified that you are authorized to commence work in accordance with the Notice of Award Agreement dated Nov. 23, 2016, acknowledged Nov. 23, 2016 to proceed beginning Nov. 28, 2016. You are to complete this work no later than Feb. 28, 2016 (90 calendar days minus Sunday’s and National Holidays).
THE VILLAGE OF YELLOW SPRINGS
By: Patti J. Bates
Title: VILLAGE MANAGER
You are required to return two signed copies of this “Notice of Proceed” to the Village Manager, at the address below. Please retain the third copy for your files.
ACKNOWLEDGMENT OF NOTICE TO PROCEED
Receipt of the above statement concerning our Notice to Proceed is hereby acknowledged by:
Contractor: Majors Enterprises, Inc. on this November 23 day of 2016
By: Michael Majors
Print Name: Michael Majors
Title: VP
Village of Yellow Springs, 100 Dayton Street, Yellow Springs, Ohio 45387 (937) 767-1279 Fax (937) 767-3720
CM Form 204 - Dated 03/17/99
|
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|
CC-MAIN-2024-22
|
https://ysnews.com/wp-content/uploads/2016/11/VYS_12_01_162x6Proceed.pdf
|
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|
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| 973,103,850
| 281
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|
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PROGRESS REPORT – STRATEGIC PLAN IMPLEMENTATION PROGRAM
Period
T
01/07/2021 - 31/10/2021
Sponsor
CEO RSL NSW
C1 – Marketing and comms baseline
*Focussed on tasks commencing and concluding
|
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|
CC-MAIN-2023-40
|
https://rslnsw.org.au/wp-content/uploads/2021/12/Program-Progress-Report_Nov21.pdf
|
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|
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| 528,647,318
| 59
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|
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West Bengal University of Technology
Tender Form
1.Computer
2.Printer
Notice No : NS/REG/2014-2015/27-1
Date of Issue : 04.03.2015
Tender Price : Rs. 200/-
D.D. No. for the Tender Price :
Address:
Tele-Fax No:
(033) 2334-1034
BF-142, Sector-I,
Salt Lake City, Phone No.:
Kolkata-700064 (033) 2321-1345
Tender Paper for Computers
dated:04.03.2015
Ref: Tender Notice No.
NS/REG/2014-2015/27
a) Name & Address of the Firm:
b) Telephone No:
c) Mobile No.:
d) Fax No:
2. Name of the items for which the Firm is interested:
3. Name of the Proprietors/Partners/Directors etc:
4. Trade License No (With Photocopy):
5. VAT License No:
6. Service Tax Registration No (With Photocopy):
7. Additional Information if the party wants to include:
8. Copies of Testimonials/credentials/certificates regarding
services/experience etc:
Signature with Stamp
Please give sealed quotation for the following Instrument (1 Nos.) clearly superscribing the tender notice number on the envelope.
Specifications:
Computer – Workstation
| Sl. no. | Item | Qty. | Specifications | | | |
|---|---|---|---|---|---|---|
| 1. | Workstation | 1 | Sl. No. | Features | Qualifying Minimum Requirements | |
| | | | 1 | Processor | Intel Xeon E5-26XX v3 series CPU, 8 Cores, 20MB, 2.6GHz or better | |
| | | | 2 | Chipset | Intel C612 | |
| | | | 3 | RAM | 8 DIMM slots, DDR4 ECC RAM, minimum 32GB RAM @ 2133MHz, Expandable upto 256GB | |
| | | | 4 | Graphics Card | Nvidia Quadro Series Minimum 2GB graphics memory. | |
| | | | 5 | Bays | 1 x Slimline Optical bay | |
| | | | | | 2 x External 5.25’’ | |
| | | | | | 2 x Internal 3.5’’ | |
| | | | 6 | Slots | Minimum 5 PCIe/PCI slots ( min 2 x PCI Gen3 x16, 1 x PCIe Gen3 x8) | e |
| | | | 7 | Optical Drive | DVD RW | |
| | | | 8 | Ports | Front: 4 USB 3.0; | |
| | | | | | Back: 4 USB 3.0; 2 USB 2.0; 2 PS/2; 1 RJ-45; | |
| | | | 9 | Operating System | Win 8.1 Pro 64 bit | |
| | | | 10 | Power Supply | Min 925W 90% Efficient power supply, EPEAT Gold qualified configuration should be available. | |
| | | | 11 | Remote Collaboration Solution | Hardware or Software based Remote Collaboration system which can help remotely access 3D data across network has to be supplied with the system. | |
| | | | 12 | Monitor | 24-Inch IPS Display | |
|---|---|---|---|---|---|---|
| | | | 13 | Additional Software | 1. The hardware vendor should supply an automatic system performance tuning and monitoring software on Windows. 2. The tuning software should have modules for resource monitoring over a long period of time, and should be capable of showing GPU utilisation (GPU, Graphics memory and Codec activity) for both Graphics and GPU Compute cards. 3. A complete Offline Diagnostics and Asset Discovery software suite should b supplied along with the system. | e |
| | | | 14 | Warranty | 5 years onsite parts and labour warranty for system and monitor | |
| | | | 15 | Vendor Status | The hardware vendor should be a reputed concern, having global presence in multiple countries. Vendor should have ISO certifications. | |
| 2. | Printer | 1 | i)Functions : Print, copy, scan, fax ii) Multitasking supported : Yes iii)Print speed black: Up to 30 ppm (Normal) iv)Print speed color: Up to 30 ppm (Normal) v)First page out (ready) : | | | |
As fast as 10.5 sec (Black) As fast as 10.5 sec (Color) vi)Duty cycle (monthly, A4) : Up to 75,000 pages vii)Recommended monthly page volume : 1500 to 4000 viii)Print technology : Laser ix)Print quality black (best) :Up to 600 x 600 dpi x)Print quality color (best) : Up to 600 x 600 dpi xi)Display : 3.5" (8.89 cm) touchscreen, LCD (color graphics) xii)Processor speed : 800 MHZ xiii)Automatic paper sensor : No xiv)Memory, standard : 256 MB xv) Maximum memory : 256 MB xvi) Connectivity, standard: 1 Hi-Speed USB 2.0; 1 Host USB; 1 Gigabit 10/100/1000T Ethernet; 1 WiFi 802.11 b/g/n; 1 RJ-11 (Fax); 1 RJ-11 (Phone only) xvii)Compatible operating systems: Windows 8 (32-bit and 64-bit), Windows 7 (32-bit and 64-bit), Windows Vista (32-bit and 64-bit), Windows XP (32-bit) (SP2 or higher), and Windows Server 2012; Driver only installs supported on: Windows Server 2008 (32-bit and 64-bit), Windows Server 2008 R2, Windows Server 2003 (32-bit) (SP3 or higher); Mac OS X v 10.6, OS X Lion (10.7) & OS X Mountain Lion (10.8); Linpus Linux (9.4, 9.5), Red Hat Enterprise Linux 5.0 (supported with a pre-built package), SuSE Linux (10.3, 11.0, 11, 11.1, 11.2), Fedora (9, 9.0, 10, 10.0, 11.0, 11, 12, 12.0), Ubuntu (8.04, 8.04.1, 8.04.2, 8.10, 9.04, 9.10, 10.04), Debian (5.0, 5.0.1, 5.0.2, 5.0.3) (supported by the automatic installer); HPUX 11 and Solaris 8/9 xviii) Power: 110-volt input voltage: 110 to 127 VAC (+/- 10%), 60 Hz (+/- 2 Hz),
12 A; 220-volt input voltage: 220 to 240 VAC (+/- 10%), 50 Hz (+/- 2 Hz), 6 A
General conditions:
1.The bidders are required to deposit the tender forms along with relevant papers (mentioned in the form) in sealed cover mentioning financial bid.If the Bidder is not a manufacturer he should provide documentary evidence (e.g. Manufacturers' Authorization Form) for having tied up with all the participating agencies.
The Bidder should be an ISO certified.
2.The university reserves the right to accept or reject any tender without showing any reason.
3.Tender for providing the previous work experience list mentioned in the notice may be submitted in full or in part.
4. All payments should be made through demand drafts in favor of the 'West Bengal University of Technology' payable at Kolkata.
5. The last date of receiving of tender paper is 18 th March, 2015 , 1 PM in the office of the Finance Officer.
6. Incomplete tender shall be summarily rejected.
7. Subcontracting in any form will not be entitled by the University.
8. All legal disputes shall be subject to jurisdiction of Calcutta High Court.
|
<urn:uuid:550217c1-b371-4f17-b706-a2a695c13f2c>
|
CC-MAIN-2017-39
|
http://wbut.ac.in/datas/users/0-tender-workstn_r.pdf
|
2017-09-23T16:31:45Z
|
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|
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|
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|
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rolmOCR
|
[
359,
913,
2353,
3413,
5275,
5968
] |
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