text
string | id
string | dump
string | url
string | date
string | file_path
string | offset
int64 | token_count
int64 | language
string | page_average_lid
string | page_average_lid_score
float64 | full_doc_lid
string | full_doc_lid_score
float64 | per_page_languages
list | is_truncated
bool | extractor
string | page_ends
list |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
South Africa Cemeteries to Microchip Tombstones
CARLEY PETESCH, Associated Press
Johannesburg (AP) — Amid a rash of tombstone thefts from cemeteries in Johannesburg, a company will be offering relatives of the deceased a high-tech solution: microchips that can be inserted into the memorial that will sound an alarm and send a text message to their cell phones if it is disturbed.
View: Microchip Tombstones [1]
The city already allows microchips to be placed inside graves to help families locate their loved one's final resting places in the vast grassy spaces. Now, with thefts often carried out at night and the recycled marble or granite tombstones winding up in the hands of crooked stonemasons, authorities are taking technology a step further to foil those who take "graveyard shift" a little too literally.
Page 1 of 3
South Africa Cemeteries to Microchip Tombstones
Published on Wireless Design & Development (http://www.wirelessdesignmag.com)
The new tombstone microchips developed by a private company will be offered at the beginning of next year as part of the city's "smart" initiatives, said Alan Buff, the manager of Johannesburg City Parks Cemeteries and Crematoriums.
Nearly 20 marble tombstones are stolen monthly from the city's 36 public cemeteries, despite security guards and perimeter sensors. Buff said the city has allowed two pilot projects at its Avalon and Westpark cemeteries, and will roll out the technology further if it stems the thefts of the valuable items.
"This is peace of mind for the family," said Buff. "Tombstones are the property of the owner which is the family member, and you'll find you cannot insure a tombstone or it's too expensive for many. By doing this, it is insured."
The microchip system is called Memorial Alert, said Mark Pringle, the director of the private company that established the technology.
"We place a transmitter unit into the tombstone, so that it is not visible or accessible. Any unauthorized tampering activates a number of alarms," he said. First, a loud alarm goes off at the cemetery.
"This in itself should be a fair warning to the perpetrators," he said. Then text messages are sent to the mobile phones of delegated family members and any integrated security companies.
The technology has a provision to put a tracking device in it, but Pringle said the company is not including that in the first wave of installations because it decreases the battery life and would make it too expensive for many families. Considering that moving the heavy headstone will trigger alarms, Pringle said that should be enough to dissuade thieves from trying to lug it away and he is confident that tracking devices won't be needed.
Memorial Alert has a patent granted in South Africa, where it will officially launch in January, and also a British patent, Pringle said, adding that he hopes the technology will expand beyond South Africa since tombstone thefts are a worldwide issue.
A price for the chips and related fees have not yet been set.
Page 2 of 3
South Africa Cemeteries to Microchip Tombstones
Published on Wireless Design & Development (http://www.wirelessdesignmag.com)
Source URL (retrieved on 11/27/2014 - 6:36pm):
http://www.wirelessdesignmag.com/news/2013/11/south-africa-cemeteriesmicrochip-tombstones
Links:
[1] http://www.wirelessdesignmag.com/videos/2013/11/meaghans-minute-microchiptombstones
Page 3 of 3
|
<urn:uuid:4990334f-77f8-4577-b408-579604b3b8cf>
|
CC-MAIN-2014-49
|
http://www.wirelessdesignmag.com/printpdf/news/2013/11/south-africa-cemeteries-microchip-tombstones
|
2014-11-27T23:36:03Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2014-49/segments/1416931009292.37/warc/CC-MAIN-20141125155649-00232-ip-10-235-23-156.ec2.internal.warc.gz
| 978,607,972
| 760
|
eng_Latn
|
eng_Latn
| 0.915478
|
eng_Latn
| 0.998874
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
832,
3037,
3414
] |
FOR IMMEDIATE RELEASE
City of Duluth Communications Office
411 West First Street, Duluth, Minnesota 55802 218-730-5230 | www.duluthmn.gov | Don Ness, Mayor
For more information contact Pakou Ly, Public Information Coordinator 218-730-5309
or Amy Norris, Public Information Coordinator 218-730-4312
DATE: 05/09/2012
SUBJECT: News Conference Today
BY: Pakou Ly
MEDIA ADVISORY
News Conference Today 2:15 p.m. @ 820 North Lake Avenue
[Duluth, MN] – Mayor Don Ness, City and County officials will hold a news conference today, May 9, 2012, at 2:15 p.m. at 820 North Lake Avenue to highlight important blight reduction efforts to improve quality of life and neighborhood sustainability.
Mayor Ness and representatives will make remarks and be available for questions.
Media with questions should contact Pakou Ly at (218) 730-5309.
|
<urn:uuid:06938354-7df5-42d3-8b24-8d228617738c>
|
CC-MAIN-2024-42
|
https://duluthmn.gov/media/websubscriptions/31/20120509-31-1653.pdf
|
2024-10-09T23:02:42+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-42/subset=warc/part-00287-0c083cf2-c0ed-42ad-af5c-44f7548e96a0.c000.gz.parquet
| 191,559,039
| 275
|
eng_Latn
|
eng_Latn
| 0.90143
|
eng_Latn
| 0.90143
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
837
] |
VILLAGE OF FONTANA ON GENEVA LAKE WALWORTH COUNTY, WISCONSIN
(Official Minutes)
MONTHLY MEETING of the VILLAGE BOARD OF TRUSTEES Monday, October 3, 2016
Village President Pat Kenny called the monthly meeting of the Village Board to order at 6:00 pm in the Village Hall, 175 Valley View Drive, Fontana, Wisconsin.
Trustees Present: Roll call vote: President Pat Kenny, Trustee McGreevy, Trustee Whowell, Trustee Pappas, Trustee Prudden, Trustee Livingston, Trustee Petersen
Also Present: Joel Bikowski, Clerk Theresa Loomer, Administrator Dennis Martin, DPW Manager Brett McCollum, Village Attorney Dale Thorpe, Treasurer Scott Vilona, Sammi Wendling
Visitors Heard
None
Announcements
Trick-or-Treat hours were approved on a permanent basis last year and are scheduled every year on October 31 from 4:00 to 7:00 pm.
Approval of Village Board Minutes
The open and closed minutes for the September 12, 2016 village board meeting and the open session minutes for the September 19, 2016 village board meeting were distributed.
Trustee Whowell/Trustee McGreevy 2 nd made a MOTION to approve the village board minutes for the September 12, 2016 open and closed session, as submitted, and the MOTION carried without negative vote.
Trustee Prudden/Trustee Whowell 2 nd made a MOTION to approve the minutes for the September 19, 2016 village board meeting, as presented, and the MOTION carried without negative vote.
Village Treasurer's Report, Vendor Report, & Payroll Overtime Report
Vilona stated the September Treasurer's report will be available at the next monthly meeting due to the early date of the monthly meeting.
Trustee McGreevy/Trustee Petersen 2 nd made a motion to approve the Vendor Report and Payroll Overtime Report as distributed and to place them on file for the audit, and the MOTION carried without negative vote.
Approval of Village and Utility Payables
The September Village and Utility Payable list was distributed.
Trustee McGreevy/Trustee Whowell 2 nd made a MOTION to approve payment of the Village and Utility payable list, as presented, and the MOTION carried without negative vote.
General Business – President Kenny
Geneva Lake Law Enforcement Agency 2017 Budget
Martin said the proposed 2017 budget is on the agenda for GLLEA's meeting next week and has not yet been adopted, at this point it is for informational purposes only.
Pet Licensing Fee Increase Proposal
The county charges $10 and $27 respectively for spayed/neutered and unspayed/unneutered dog licenses. Staff is seeking to increase the amount charged to $16 for spayed/neutered and $32 for unsprayed/unneutered dog licenses.
Trustee Petersen/Trustee Livingston 2 nd made a MOTION to approve increasing the License Fees for Dog Tags to $16 for Spayed/Neutered and $32 for Unspayed/Unneutered, and the MOTION carried without negative vote.
Reschedule November Monthly Meeting
The next regularly scheduled Village Board meeting falls on November 7, 2016, the night before the Presidential Election. Staff has recommended moving the meeting to coincide with the Public Hearing for the 2017 Budget scheduled for Monday, November 14, 2016.
Trustee Petersen/Trustee McGreevy 2 nd made a MOTION to reschedule the November Village Board meeting to November 14, 2016, and the MOTION carried without negative vote.
Geneva Lake Use Committee – Trustee Petersen Appointment of Secretary/Treasurer
The committee recommended Peg Pollitt to fill the paid Secretary/Treasurer position.
Trustee Petersen/Trustee Pappas 2 nd made a MOTION to approve the appointment of Peg Pollitt as the Secretary/Treasurer for the Geneva Lake Use Committee, and the MOTION carried without negative vote.
FW/WPCC – Trustee Petersen
FW/WPCC 2017 O&M Budget
The FW/WPCC approved the 2017 budget after a public hearing held September 13, 2016. The budget calls for a 1.44 percent increase over the 2016 budget.
Trustee Petersen/Trustee McGreevy 2 nd made a MOTION to approve the FW/WPCC 2017 O&M budget, as presented, and the MOTION carried without negative vote.
Public Works – Trustee McGreevy
Authorize Reimbursement for Water Main Break Basement Damage at 635 Aweogan Drive – Tabled 9/12/16
Martin stated he spoke to the village insurance claims adjuster regarding the property at 635 Aweogon Drive and the policy does not cover the water damage on the stairway carpet since the coverage is technically for sewer main backups. Tom and Cathy Dunn have requested the Village split the cost of repair for removal and replacement of flooring. An estimate was received for the amount of $1,680.50.
Trustee Prudden/Trustee McGreevy 2 nd made a MOTION to approve the payment of $840.25 to Tom and Cathy Dunn, 635 Aweogon Drive, for the removal and installation of carpeting due to the Village water main break damage, and the MOTION carried without negative vote.
Authorize Sale of Mohr Road Lift Station Generator
Martin stated the new Mohr Road Lift Station generator is up and running. Staff recommends the generator that was replaced should be sold and is worth about $20,000.
Trustee Petersen/Trustee McGreevy 2 nd made a MOTION to authorize the sale of the old Mohr Road Lift Station generator, and the MOTION carried without negative vote.
Park Commission – Trustee Whowell
Appoint Jill Wegner to Fill Open Park Commission Position
Trustee Whowell/Trustee Petersen 2 nd made a MOTION to appoint Jill Wegner to the open Park Commission position, and the MOTION carried without negative vote.
Park Permit Application Filed for MPC, Inc. Company Picnic on June 17, 2017
Trustee Whowell/Trustee Pappas 2 nd made a MOTION to approve the annual Park Permit Application filed for MPC, Inc. Company Picnic on June 17, 2017, as recommended, and the MOTION carried without negative vote.
Memorial Tree Donation Approval – Sandy Mackey
The Park Commission recommended the placement of the Memorial Tree in the triangle area across from the beach. There is a dead birch and evergreen that need replacement and after the most recent conversation with Sandy Mackey it has been decided that a Weeping Cherry Tree will be planted. There is currently a list of all the memorial trees in the Village, but there has been discussion of doing something more permanent to mark the memorial trees, such as placing a plaque near each tree. Trustee Whowell/Trustee Livingston 2 nd made a MOTION to approve the Memorial Tree Donation submitted by Sandy Mackey for a Weeping Cherry Tree in the triangle area across from the beach entrance, and the MOTION carried without negative vote.
Protection Committee – Trustee Prudden Amend Ordinance 42-49 (Alarms) to Include Medical Alarms
Village Ordinance Chapter 42-49(a) Alarms has been amended to include medical alarms along with fire and security alarms.
Trustee Prudden/Trustee McGreevy 2 nd made a MOTION to approve Ordinance 100316-01
Alarms, as presented, and the MOTION carried without negative vote.
Lakefront Committee – Trustee Pappas
Rip-Rap Project Application Filed by Steve Beers, 457 N. Lakeshore Drive
A Building Permit application was submitted by Steve Beers for a rip-rap project at 457 N. Lakeshore Drive. The application has been submitted and approved by the DNR.
Trustee Pappas/Trustee McGreevy 2 nd made a MOTION to approve of the rip-rap project application filed for the property at 457 N. Lakeshore Drive, as submitted with the conditions that any necessary approvals are received from the Wisconsin Department of Natural Resources, and that an as-built survey is submitted upon completion. The MOTION carried without negative vote.
Glenwood Springs Association Request to Store Shore Stations on Small Beach
Pappas explained that when the new owner of 404 Harvard Avenue bought the property in 2014, he reportedly no longer allowed the Glenwood Springs Association to store its lift stations on his property as the previous owner had. The Village Board authorized storage of some of the boat lifts on the small beach in 2014 since the association discovered late in the season that they would not be able to use the property at 404 Harvard Avenue. Due to bridge construction last winter the association did not request to use any portion of the beach and stored the overflow boat lifts at Duck Pond where many other associations in the Village store their boat lifts during the winter months. Indian Hills and Fontana Shores requested to store their lifts on Village lakefront property and were denied. Pappas made a motion to deny the request and stated the association has over 1,000 feet of lakefront property and it is flat on both ends allowing for storage of the lifts. Glenwood Springs resident and Lakefront and Harbor Committee Member Joel Bikowski stated the association had an agreement with the former owner but the new owner built a garage, built a fence and forced the Village to move their access road which had previously crossed a portion of the property. Bikowski said that although the new service road still crosses a portion of Glenwood Springs property, the association has not forced the Village to move it and they also allow the Village to use the Glenwood Association beach property. He requested the Village consider the request for storage just for this year to see how it works out. He stated they may not need to use the beach at all if there is no overflow, but they are not sure yet if there will be excess lifts and if so how many. They will be putting the shore stations close against the old stone wall and in the swale. Pappas stated Glenwood Springs has an association rule that does not allow the storage of boat lifts on Glenwood property, but Bikowski refuted the notion saying it is not true. Some trustees felt that because there is room at Duck Pond and because other associations have been denied, it is not fair to allow Glenwood Springs to be the only association that has permission to store their lifts on Village lakefront property. Pappas pointed out it is a cost savings measure by not having to move the lifts by crane and transfer them to Duck Pond. Bikowski stated the service provider they use is small and does not have a crane and reiterated they are only looking for approval for one year. Since the Lakefront and Harbor Committee did not offer a recommendation and left it up to the Board to make a decision, Whowell suggested offering conditional approval and the formation of a subcommittee subject to final approval from the Lakefront and Harbor Committee to determine whether it is appropriate to store the lifts at the lakefront. There was discussion about the need for a crane to move the shore stations if they were to be placed anywhere other than in the immediate area and Whowell stated that the capabilities of Glenwood Springs current pier service provider should not play into the Village's decision on whether or not to allow storage of the shore stations on the small beach. McGreevy stated he previously heard citizen complaints about storing the shore stations on Village property and blocking people's view of the beach when the subdivision property owners have flat land and could be storing the lifts on their own property. In response to a question, Bikowski estimated there would be approximately six shore stations that wound not fit on Glenwood's property and would be placed on the small beach.
Trustee Pappas/Trustee Prudden 2 nd made a MOTION to deny the request from Glenwood Springs
Association to store its Shore Stations on the Village of Fontana Small Beach parcel and the roll call vote was as follows:
Trustee McGreevy – Nay
Trustee Whowell – Nay
Trustee Pappas – Aye
Trustee Prudden – Aye
Trustee Livingston – Nay
Trustee Petersen – Nay
President Kenny – Nay
The motion failed on a 2-5 vote.
Following the vote, the Village Board eventually reached the consensus that Trustees Whowell, McGreevy and Pappas should meet with Glenwood representatives at the lakefront and determine if a recommendation should be approved to store some of the shore stations on village property, and if so, to make a recommendation on the appropriate location and number of shore stations to be stored there this winter. Martin said that if a subcommittee is created, DPW Manager Brett McCollum and Street Dept. Lead Man Ron Adams should be involved in the decision making. Trustee Whowell/Trustee Petersen 2 nd made a MOTION to approve the possibility of using Village property beyond what Glenwood Springs Association owns to store shore stations over the winter for a one-year period, subject to a determination of an appropriate site and number to be recommended by a subcommittee consisting of Trustee Pappas, Trustee Whowell and Trustee McGreevy, and to also include input from DPW Manager Brett McCollum and Street Dept. Lead Man Ron Adams, and the MOTION carried without negative vote.
Austin Pier Service Contract Extension for Annual Services
The contract submitted by Austin Pier Service is updated for the annual removal and installation of the Village piers and boat lifts through 2019. The total amount for the removal this year and installation next spring is $37,705, which includes the new pier and new slips and the elimination of the 27 village buoys.
Trustee Petersen/Trustee McGreevy 2 nd made a MOTION to approve the Austin Pier Service Contract extension for the removal and installation of the Village piers, lifts, boat landings and safety buoys, as presented, and the MOTION carried without negative vote.
Abbey Harbor Renovation Plan – DNR Permit
The Abbey Harbor Association has completed the planning for an extensive renovation plan and has received approval from the DNR. Pappas stated that since the DNR has already approved the permit, the Village Board could also consider approval so the project can commence this month as previously reported. Prudden said work is now slated to begin in October, 2017 and it should be completed within one year.
Trustee Pappas/Trustee McGreevy 2 nd made a MOTION to approve the issuance of a Village building permit for the Abbey Harbor Renovation Plan once it is officially filed with the Village, and the MOTION carried without negative vote.
Human Resources Committee 2016 Payroll Resolution Amendment
The payroll resolution amendment is to authorize the wage increase for Police Department Administrative Assistant Stephanie Klug as called for in her contract after successfully completing the probationary period, and for a recommended 3 percent wage increase for Village Clerk Theresa Loomer for completing the third and final year of the Wisconsin Municipal Clerk's Institute. Martin stated that there is also a proposed raise for Police Chief Steve Olson that required a closed session discussion.
Trustee McGreevy/Trustee Petersen 2 nd made a MOTION to table the item until the closed session, and the MOTION carried without negative vote.
Closed Session
Trustee Petersen/President McGreevy 2 nd made a MOTION at 6:31 pm to adjourn into Closed Session pursuant to Wis. Stats. Chapter 19.85 (1)(c) "considering employment, promotion, compensation or performance evaluation data of any public employee over which the governmental
body has jurisdiction or exercises responsibility," specifically 2016 Payroll Resolution.
The Roll Call Vote was as follows:
Trustee Whowell- Aye
Trustee Pappas – Aye
Trustee Prudden – Aye
Trustee Livingston – Aye
Trustee Petersen – Aye
President Kenny – Aye
Trustee McGreevy
The MOTION carried on a 7-0 vote.
Adjournment Closed Session
Trustee Petersen/Trustee Prudden 2 nd made a MOTION to adjourn closed session at 6:42 pm, and the MOTION carried without negative vote
Closed Session Business
2016 Payroll Resolution Amendment
A proposed salary increase from $78,000 per year to $93,000 was discussed and recommended for approval in the closed session as well as the increases for Klug and Loomer.
Trustee Prudden/Trustee McGreevy 2 nd made a MOTION to approve Resolution 10-03-16-01 Amending 06-23-16-03 Setting Exempt Salaried and Hourly Non Union Personnel Rates for the 2016 Calendar Year, and the MOTION carried without negative vote.
Adjournment
Trustee Petersen/Trustee Prudden 2 nd made a MOTION at 6:42 pm to adjourn the meeting, and the MOTION carried without negative vote.
Minutes prepared by: Theresa Loomer, Village Clerk.
Note: These minutes are subject to further editing. Once approved by the Village Board, the official minutes will be kept on file at the Village Hall.
APPROVED: 11/21/16
|
<urn:uuid:7de0f313-78d6-4eba-894a-6d8f2f13726c>
|
CC-MAIN-2023-14
|
https://vi.fontana.wi.gov/wp-content/documents/100316vbmins_001.pdf
|
2023-03-23T08:13:32+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-14/subset=warc/part-00010-39c03058-7d78-443d-9984-102329513e3d.c000.gz.parquet
| 696,108,243
| 3,631
|
eng_Latn
|
eng_Latn
| 0.990478
|
eng_Latn
| 0.994699
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2887,
6561,
11432,
15161,
16492
] |
On Kadell’s two Conjectures for the $q$-Dyson Product
Yue Zhou
School of Mathematical Science and Computing Technology
Central South University, Changsha 410075, P.R. China
[email protected]
Submitted: Sep 7, 2010; Accepted: Dec 26, 2010; Published: Jan 2, 2011
Mathematics Subject Classifications: 05A30, 33D70
Abstract
By extending Lv-Xin-Zhou’s first layer formulas of the $q$-Dyson product, we prove Kadell’s conjecture for the Dyson product and show the error of his $q$-analogous conjecture. With the extended formulas we establish a $q$-analog of Kadell’s conjecture for the Dyson product.
1 Introduction
In 1962, Freeman Dyson [3] conjectured the following constant term identity.
**Theorem 1.1 (Dyson’s Conjecture).** For nonnegative integers $a_0, a_1, \ldots, a_n$,
$$\text{CT}_x \prod_{0 \leq i < j \leq n} \left(1 - \frac{x_i}{x_j}\right)^{a_i} = \frac{a!}{a_0! a_1! \cdots a_n!},$$
where $a := a_0 + a_1 + \cdots + a_n$ and $\text{CT}_x f(x)$ means to take constant term in the $x$’s of the series $f(x)$.
The conjecture was quickly proved independently by Gunson [6] and by Wilson [15]. An elegant recursive proof was published by Good [5], and a combinatorial proof was given by Zeilberger [16]. In 1975, George Andrews [1] came up with a $q$-analog of the Dyson conjecture.
**Theorem 1.2. (Zeilberger-Bressoud).** For nonnegative integers $a_0, a_1, \ldots, a_n$,
$$\text{CT}_x \prod_{0 \leq i < j \leq n} \left(\frac{x_i}{x_j}\right)_{a_i} \left(\frac{x_j q}{x_i}\right)_{a_j} = \frac{(q)_a}{(q)_{a_0} (q)_{a_1} \cdots (q)_{a_n}},$$
where $(z)_m := (1 - z)(1 - zq) \cdots (1 - zq^{m-1})$.
The Laurent polynomials in the above two theorems are respectively called the *Dyson product* and the *q-Dyson product* and denoted by $D_n(x, a)$ and $D_n(x, a, q)$ respectively, where $x := (x_0, \ldots, x_n)$ and $a := (a_0, \ldots, a_n)$.
The Zeilberger-Bressoud $q$-Dyson Theorem was first proved, combinatorially, by Zeilberger and Bressoud [17] in 1985. Recently, Gessel and Xin [4] gave a very different proof by using the properties of formal Laurent series and of polynomials. The coefficients of the Dyson and the $q$-Dyson product were researched in [2, 7, 8, 9, 11, 12, 13]. In the equal parameter case, the identity reduces to Macdonald’s constant term conjecture [10] for root systems of type $A$. In 1988 Stembridge [14] gave the first layer formulas of the $q$-Dyson product in the equal parameter case.
**Condition 1.** Let $I = \{i_1, \ldots, i_m\}$ be a proper subset of $\{0, 1, \ldots, n\}$ and $J = \{j_1, \ldots, j_m\}$ be a multi-subset of $\{0, 1, \ldots, n\} \setminus I$, where $0 \leq i_1 < \cdots < i_m \leq n$ and $0 \leq j_1 \leq \cdots \leq j_m \leq n$.
Our first objective in this paper is to prove the following conjecture of Kadell [7].
**Conjecture 1.3.** For nonnegative integers $a_0, a_1, \ldots, a_n$ we have
$$\left(1 + a - \sum_{k \in I} a_k\right) \text{CT}_x \prod_{k=1}^{m} \left(1 - \frac{x_{j_k}}{x_{i_k}}\right) \prod_{0 \leq i \neq j \leq n} \left(1 - \frac{x_i}{x_j}\right)^{a_i} = \left(1 + a\right) \frac{a!}{a_0!a_1!\cdots a_n!}. \quad (1.1)$$
In the same paper, Kadell also gave a $q$-analogous conjecture, we restate it as follows.
**Conjecture 1.4.** Let $P = \{(i_k, j_k) \mid i_k \in I, j_k \in J, k = 1, 2, \ldots, m\}$. Then for nonnegative integers $a_0, a_1, \ldots, a_n$ we have
$$\left(1 - q^{1+a-\sum_{k \in I} a_k}\right) \text{CT}_x \prod_{0 \leq s < t \leq n} \left(\frac{x_s}{x_t}\right)_{a_i+\chi((t,s) \in P)} \left(\frac{x_t}{x_s}q\right)_{a_j+\chi((s,t) \in P)} = \left(1 - q^{1+a}\right) \frac{(q)_a}{(q)_{a_0}(q)_{a_1}\cdots(q)_{a_n}}, \quad (1.2)$$
where the expression $\chi(S)$ is 1 if the statement $S$ is true, and 0 otherwise.
In trying to prove Conjecture 1.4, we find that the conjectured formula is incorrect. One way to modify the conjecture is to evaluate the left-hand side of (1.2). This can be done by writing it as a linear combination of some first layer coefficients of the $q$-Dyson product, and then applying the formulas of [8]. Unfortunately, we are not able to derive a nice formula.
Our second objective is to contribute a $q$-analogous formula of (1.1), which is motivated by the proof of (1.1), and is stated in Theorem 4.1.
This paper is organized as follows. In Section 2 we reformulate the main result in [8] and give an extended form of it. In Section 3 we prove Conjecture 1.3 and give an example to show the error of Conjecture 1.4. In Section 4 we give our main theorem.
2 Basic results
Let $T = \{t_1, \ldots, t_d\}$ be a $d$-element subset of $I$ with $t_1 < \cdots < t_d$. Define
$$w_i(T) = \begin{cases}
a_i, & \text{for } i \not\in T; \\
0, & \text{for } i \in T.
\end{cases} \quad (2.1)$$
Let $S$ be a set and $k$ be an element in $\{0, 1, \ldots, n\}$. Define $N(k, S)$ to be the number of elements in $S$ no larger than $k$, i.e.,
$$N(k, S) = |\{i \leq k \mid i \in S\}|. \quad (2.2)$$
In particular, $N(k, \emptyset) = 0$.
The first layer formulas of the $q$-Dyson product can be restated as follows.
**Theorem 2.1.** [8] Let $I, J$ with $i_1 = 0$ satisfying Condition 1. Then for nonnegative integers $a_0, a_1, \ldots, a_n$ we have
$$\text{CT}_x \frac{x_{j_1} x_{j_2} \cdots x_{j_m}}{x_{i_1} x_{i_2} \cdots x_{i_m}} D_n(x, a, q) = \frac{(q)_a}{(q)_{a_0} \cdots (q)_{a_n}} \sum_{\emptyset \neq T \subseteq I} (-1)^d q^{L(T \mid I)} \frac{1 - q^{\sum_{k \in T} a_k}}{1 - q^{1 + a - \sum_{k \in T} a_k}}, \quad (2.3)$$
where
$$L(T \mid I) = \sum_{k=0}^{n} \left[ N(k, I) - N(k, J) \right] w_k(T). \quad (2.4)$$
We need the explicit formula for the case $i_1 \neq 0$ for our calculation. As stated in [8], the formula for this case can be derived using an action $\pi$ on Laurent polynomials:
$$\pi(F(x_0, x_1, \ldots, x_n)) = F(x_1, x_2, \ldots, x_n, x_0/q).$$
By iterating, if $F(x_0, x_1, x_2, \ldots, x_n)$ is homogeneous of degree 0, then
$$\pi^{n+1}(F(x_0, x_1, \ldots, x_n)) = F(x_0/q, x_1/q, x_2/q, \ldots, x_n/q) = F(x_0, x_1, x_2, \ldots, x_n),$$
so that in particular $\pi$ is a cyclic action on $D_n(x, a, q)$. We use the following lemma to derive an extended form of Theorem 2.1.
**Lemma 2.2.** [8] Let $L(x)$ be a Laurent polynomial in the $x$’s. Then
$$\text{CT}_x L(x) D_n(x, a, q) = \text{CT}_x \pi(L(x)) D_n(x, (a_n, a_0, \ldots, a_{r-1}), q). \quad (2.5)$$
By iterating (2.5) and renaming the parameters, evaluating $\text{CT}_x L(x) D_n(x, a, q)$ is equivalent to evaluating $\text{CT}_x \pi^k(L(x)) D_n(x, a, q)$ for any integer $k$.
For $I, J$ satisfying condition 1, let $t$ be such that $j_t < i_1$ and $j_{t+1} > i_1$, where we treat $j_0 = -\infty$ and $j_{m+1} = \infty$. Denote by $J^- = \{j_1, \ldots, j_t\}$ and $J^+ = \{j_{t+1}, \ldots, j_m\}$.
**Theorem 2.3.** For nonnegative integers $a_0, a_1, \ldots, a_n$ we have
$$\text{CT}_x \frac{x_{j_1} x_{j_2} \cdots x_{j_m}}{x_{i_1} x_{i_2} \cdots x_{i_m}} D_n(x, a, q) = \frac{(q)_a}{(q)_{a_0} \cdots (q)_{a_n}} \sum_{\emptyset \neq T \subseteq I} (-1)^d q^{L^*(T|I)} \frac{1 - q^{\sum_{k \in T} a_k}}{1 - q^{1 + a - \sum_{k \in T} a_k}}, \quad (2.6)$$
where
$$L^*(T | I) = t + \sum_{k=i_1}^{n} [N(k, I) - N(k, J^+)] w_k(T) + \sum_{k=0}^{i_1-1} [t - N(k, J^-)] a_k. \quad (2.7)$$
The idea to prove this theorem is by iterating Lemma 2.2 to transform the random $i_1$ in (2.6) to zero and then applying Theorem 2.1. But in the proof there are many tedious transformations of the parameters, so we put the proof to the appendix for those who are interested in.
Letting $q \to 1^-$ in Theorem 2.3 we get
**Corollary 2.4.** [8] For nonnegative integers $a_0, \ldots, a_n$ we have
$$\text{CT}_x \frac{x_{j_1} \cdots x_{j_m}}{x_{i_1} \cdots x_{i_m}} \prod_{0 \leq i \neq j \leq n} \left(1 - \frac{x_i}{x_j}\right)^{a_i} = \frac{a!}{a_0! \cdots a_n!} \sum_{\emptyset \neq T \subseteq I} (-1)^d \frac{\sum_{k \in T} a_k}{1 + a - \sum_{k \in T} a_k}. \quad (2.8)$$
This result also follows from [8, Theorem 1.7] by permuting the variables. Note that the right-hand side of (2.8) is independent of the $j$'s.
### 3 Proof of Conjecture 1.3
Now we are ready to prove Conjecture 1.3.
**Proof of Conjecture 1.3.** If $I = \emptyset$ then Conjecture 1.3 reduces to the Dyson Theorem, which is also the case when $m = 0$ in Corollary 2.4. So we assume that $I \neq \emptyset$. Expanding the first product of (1.1) gives
$$\text{CT}_x \prod_{i=1}^{m} \left(1 - \frac{x_{j_k}}{x_{i_k}}\right) \prod_{0 \leq i \neq j \leq n} \left(1 - \frac{x_i}{x_j}\right)^{a_i} = \text{CT}_x \left[1 + \sum_{l=1}^{m} (-1)^l \sum_{\emptyset \neq I_l \subseteq I} \frac{x_{v_1} \cdots x_{v_l}}{x_{u_1} \cdots x_{u_l}}\right] \prod_{0 \leq i \neq j \leq n} \left(1 - \frac{x_i}{x_j}\right)^{a_i}$$
where $I_l = \{u_1, \ldots, u_l\}$ ranges over all nonempty subsets of $I$ and $\{v_1, \ldots, v_l\}$ is the corresponding subset of $J$. Denote the left constant term in the above equation by $LC$. By applying Corollary 2.4, we get
$$LC = \left[1 + \sum_{l=1}^{m} (-1)^l \sum_{\emptyset \neq I_l \subseteq I} \sum_{\emptyset \neq T \subseteq I_l} (-1)^d \frac{\sum_{k \in T} a_k}{1 + a - \sum_{k \in T} a_k}\right] \frac{a!}{a_0! \cdots a_n!}, \quad (3.1)$$
where \( d = |T| \). Changing the order of the summations, and observing that for any fixed set \( T \) the number of \( I_l \) satisfying \( T \subseteq I_l \subseteq I \) is \( \binom{m-d}{l-d} \), we obtain
\[
LC = \left[ 1 + \sum_{\emptyset \neq T \subseteq I} \sum_{l=d}^{m} (-1)^{l+d} \binom{m-d}{l-d} \frac{\sum_{k \in T} a_k}{1 + a - \sum_{k \in T} a_k} \right] \frac{a!}{a_0! \cdots a_n!}
\]
\[
= \left( 1 + \frac{\sum_{k \in I} a_k}{1 + a - \sum_{k \in I} a_k} \right) \frac{a!}{a_0! \cdots a_n!},
\]
(3.2)
where we used the easy fact that for \( d \neq m \)
\[
\sum_{l=d}^{m} (-1)^{l+d} \binom{m-d}{l-d} = \sum_{l=0}^{m-d} (-1)^l \binom{m-d}{l} = (1-x)^{m-d} \bigg|_{x=1} = 0.
\]
The conjecture then follows by multiplying both sides of (3.2) by \( 1 + a - \sum_{k \in I} a_k \).
For the \( q \)-case, Conjecture 1.4 does not hold even for \( m = 1 \). To see this take \( n = 2, I = \{0\}, J = \{1\} \) and \( a_0 = a_1 = a_2 = 1 \). For these values the left-hand side of (1.2) is
\[
(1-q^3) \text{CT} \left( 1 - \frac{x_0}{x_1} \right) \left( 1 - q \frac{x_1}{x_0} \right) \left( 1 - q^2 \frac{x_1}{x_0} \right) \left( 1 - \frac{x_0}{x_2} \right) \left( 1 - q \frac{x_2}{x_0} \right) \left( 1 - \frac{x_1}{x_2} \right) \left( 1 - q \frac{x_2}{x_1} \right)
\]
\[
= (1-q^3)(1+2q+3q^2+2q^3),
\]
while the right-hand side of (1.2) equals \( (1-q^4)(1+q)(1+q+q^2) \).
## 4 A \( q \)-analog of Kadell’s conjecture
### 4.1 Motivation and presentation of the main theorem
In this section we will construct a \( q \)-analog of Conjecture 1.3. The new identity is motivated by the proof of Conjecture 1.3 in the last section, where massive cancelations happen. We hope for similar cancelations in the \( q \)-case.
Our first hope is to modify Conjecture 1.4 to obtain a formula of the form:
\[
\left( 1 - q^{1+a-\sum_{k \in I} a_k} \right) \text{CT} \prod_{k=1}^{m} \left( 1 - q^{L_k} \frac{x_{j_k}}{x_{i_k}} \right) D_n(x,a,q) = \left( 1 - q^{1+a} \right) \frac{(q)_a}{(q)_{a_0}(q)_{a_1} \cdots (q)_{a_n}},
\]
(4.1)
where \( L_k \) is an integer depending on \( i_k, j_k \) and \( a \).
It is intuitive to consider the \( m = 2 \) case, so take \( I = \{i_1, i_2\} \). We need to choose appropriate \( L_1 \) and \( L_2 \) such that
\[
\left( 1 - q^{1+a-a_{i_1}-a_{i_2}} \right) \text{CT} \left( 1 - q^{L_1} \frac{x_{j_1}}{x_{i_1}} \right) \left( 1 - q^{L_2} \frac{x_{j_2}}{x_{i_2}} \right) D_n(x,a,q) = \left( 1 - q^{1+a} \right) \frac{(q)_a}{(q)_{a_0}(q)_{a_1} \cdots (q)_{a_n}}.
\]
(4.2)
By applying Theorem 2.3, the left-hand side of (4.2) becomes
\[
\left(1 - q^{1+a-a_{i_1}-a_{i_2}}\right)\left(1 + q^{L_1+L^*(\{i_1\}\{i_1\})} \frac{1-q^{a_{i_1}}}{1-q^{1+a-a_{i_1}}} + q^{L_2+L^*(\{i_2\}\{i_2\})} \frac{1-q^{a_{i_2}}}{1-q^{1+a-a_{i_2}}}\right. \\
- q^{L_1+L_2+L^*(\{i_1\}\{i_1,i_2\})} \frac{1-q^{a_{i_1}}}{1-q^{1+a-a_{i_1}}} - q^{L_1+L_2+L^*(\{i_2\}\{i_1,i_2\})} \frac{1-q^{a_{i_2}}}{1-q^{1+a-a_{i_2}}} \\
+ q^{L_1+L_2+L^*(\{i_1,i_2\}\{i_1,i_2\})} \frac{1-q^{a_{i_1}+a_{i_2}}}{1-q^{1+a-a_{i_1}-a_{i_2}}}\right) \frac{(q)_a}{(q)_{a_0}(q)_{a_1} \cdots (q)_{a_n}}.
\] (4.3)
It is natural to have the following requirements to get (4.2).
\[
q^{L_1+L^*(\{i_1\}\{i_1\})} - q^{L_1+L_2+L^*(\{i_1\}\{i_1,i_2\})} = 0,
\]
\[
q^{L_2+L^*(\{i_2\}\{i_2\})} - q^{L_1+L_2+L^*(\{i_2\}\{i_1,i_2\})} = 0,
\]
\[
q^{L_1+L_2+L^*(\{i_1,i_2\}\{i_1,i_2\})} = q^{1+a-a_{i_1}-a_{i_2}}.
\] (4.4)
This is actually a linear system having no solutions, so our first hope broke.
Looking closer at (4.4), we see that the first two equalities must be satisfied to have a nice formula. Agreeing with this, for general $I$ with $|I| = m$ we will need $2^m - 2$ restrictions for massive cancelations as in the proof of Conjecture 1.3. More precisely, by applying Theorem 2.3, the left-hand side of (4.1) will be written as
\[
\left(1 - q^{1+a-\sum_{k \in I} a_k}\right)\left(1 + \sum_T B_T \frac{1-q^{\sum_{k \in T} a_k}}{1-q^{1+a-\sum_{k \in T} a_k}}\right) \frac{(q)_a}{(q)_{a_0} \cdots (q)_{a_n}},
\]
where $T$ ranges over all nonempty subsets of $I$. We need to have $B_T = 0$ for all $T$ except for $T = I$. This is why using only $m$ unknowns dooms to fail.
We hope for some nice $A_T$ such that the constant term of
\[
\sum_T A_T \frac{x_{v_1} \cdots x_{v_l}}{x_{u_1} \cdots x_{u_l}} D_n(x,a,q)
\]
has the desired cancelations. We are optimistical because from the view of linear algebra, such $A_T$ exists but is difficult to solve and might only be rational in $q$. Amazingly, it turns out that in many situations, the $A_T$ may be chosen to be $\pm q^{integer}$. Our formula for $A_T$ is inspired by the proof of Conjecture 1.3. To present our result, we need some notations.
Let $I, J$ satisfy Condition 1. Given an $l$-element subset $I_l = \{u_1, \ldots, u_l\}$ of $I$, we say $J_l = \{v_1, \ldots, v_l\}$ is the pairing set of $I_l$ if $u_k = i_t$ $(1 \leq k \leq l)$ for some $t$ implies that $v_k = j_t$. Write $I \setminus I_l = \{i_{r_1}, \ldots, i_{r_{m-l}}\}$, $r_1 < \cdots < r_{m-l}$. We use $A \overset{i}{\longrightarrow} B$ to denote $B = A \cup \{i\}$, and define a sequence of sets:
\[
I_l = \mathbb{I}_{m-l+1} \overset{i_{r_{m-l}}}{\longrightarrow} \mathbb{I}_{m-l} \overset{i_{r_{m-l-1}}}{\longrightarrow} \mathbb{I}_{m-l-1} \overset{i_{r_{m-l-2}}}{\longrightarrow} \cdots \overset{i_{r_1}}{\longrightarrow} \mathbb{I}_1 = I.
\] (4.5)
For a set $S$ of integers, we denote by $\min S$ the smallest element of $S$. Define $J^*_k(J_l)$ to be the set $\{j_s > \min \mathbb{I}_k \mid j_s \in J_l \cup \{j_{r_k}\}\}$, we use $J^*_k$ as an abbreviation for $J^*_k(J_l)$.
Our $q$-analog of Conjecture 1.3 can be stated as follows.
Theorem 4.1. (Main Theorem) For nonnegative integers $a_0, a_1, \ldots, a_n$, if there is no $s, t, u$ such that $1 \leq s < t < u \leq m$ and $j_t < i_s < j_u < i_t$, then
\[
\left(1 - q^{1+a-\sum_{k \in I} a_k}\right) \text{CT}_x \left[ \left(1 + \sum_{\emptyset \neq I_l \subseteq I} (-1)^l q^{C(I_l)} \frac{x_{v_1} \cdots x_{v_l}}{x_{u_1} \cdots x_{u_l}}\right) D_n(x, a, q) \right]
\]
\[
= \left(1 - q^{1+a}\right) \frac{(q)_a}{(q)_{a_0}(q)_{a_1} \cdots (q)_{a_n}},
\]
where, with $L^*(I_l \mid I_l)$ defined as in (2.7),
\[
C(I_l) = 1 + a - \sum_{k \in I_l} a_k + \sum_{k=1}^{m-l} \left[N(i_{r_k}, I_l) - N(i_{r_k}, J^*_k)\right] a_{i_{r_k}} - L^*(I_l \mid I_l).
\]
We remark that there is no analogous simple formula if the $u$'s and the $v$'s are not paired up, and that the sum $1 + \sum_{\emptyset \neq I_l \subseteq I} (-1)^l q^{C(I_l)} \frac{x_{v_1} \cdots x_{v_l}}{x_{u_1} \cdots x_{u_l}}$ in (4.6) does not factor.
### 4.2 Factorization and cancelation lemma
To prove the main theorem, we need some lemmas.
Let $U$ be a subset of $I_l$, $|U| = d$ and $I \setminus U = \{i_{t_1}, \ldots, i_{t_{m-d}}\}$, $t_1 < \cdots < t_{m-d}$. For fixed $I_l$, suppose that $\min I_l = i_v$. By tedious calculation we can get the following lemma.
**Lemma 4.2.** Let $U, C(I_l), L^*(U \mid I_l)$ be as described. Then for $i_{t_s} \in I_l$ but $i_{t_s} \notin U \cup \{i_v\}$ we have
\[
C(I_l) + L^*(U \mid I_l) - C(I_l \setminus \{i_{t_s}\}) - L^*(U \mid I_l \setminus \{i_{t_s}\})
\]
\[
= -\sum_{k=v}^{s-1} \chi(i_{t_k} > j_{t_s} > i_v) a_{i_{t_k}} + \sum_{k=s+1}^{m-d} \chi(\overline{i_{t_k} > j_{t_s} > i_v}) a_{i_{t_k}},
\]
where $\chi(\overline{i_{t_k} > j_{t_s} > i_v}) := 1 - \chi(i_{t_k} > j_{t_s} > i_v)$.
We denote $-\sum_{k=v}^{s-1} \chi(i_{t_k} > j_{t_s} > i_v) a_{i_{t_k}} + \sum_{k=s+1}^{m-d} \chi(\overline{i_{t_k} > j_{t_s} > i_v}) a_{i_{t_k}}$ by $g(i_{t_s})$.
**Lemma 4.3.** For $n \geq 2$, every term in the expansion of $\prod_{s=1}^n \sum_{k \neq s} a(s, k)$ has $a(k, r)a(s, l)$ as a factor for some $k, r, s, l$ satisfying $1 \leq r \leq s < k \leq l \leq n$.
**Proof.** Construct a matrix $A$ with 0's in the main diagonal as follows.
\[
A = \begin{pmatrix}
0 & a(1, 2) & \cdots & a(1, n) \\
a(2, 1) & 0 & \cdots & a(2, n) \\
\vdots & \vdots & \vdots & \vdots \\
a(n, 1) & a(n, 2) & \cdots & 0
\end{pmatrix}.
\]
Then each term in the expansion of \( \prod_{s=1}^{n} \sum_{k \neq s} a(s, k) \) corresponds to picking out one entry except for the 0’s from each row of \( A \). We prove by contradiction.
Suppose we choose \( a(1, k_1) \) (\( k_1 \geq 2 \)) from the first row. Then we cannot choose \( a(2, 1) \), for otherwise \( a(2, 1)a(1, k_1) \) forms the desired factor. Now from the second row, we have to choose \( a(2, k_2) \) (\( k_2 \geq 3 \)). It then follows that \( a(3, 1) \) and \( a(3, 2) \) cannot be chosen, for otherwise \( a(3, e)a(2, k_2), e = 1, 2 \) forms the desired factor. Repeat this discussion until the \( n - 1 \)st row, where we have to choose \( a(n - 1, n) \). But then our \( n \)th row element \( a(n, e) \) (with \( 1 \leq e \leq n - 1 \)) together with \( a(n - 1, n) \) forms the desired factor, a contradiction. \( \square \)
The following factorization and cancellation lemma plays an important role and it is our main discovery in this paper.
**Lemma 4.4.** For fixed set \( U \neq I \) and integer \( i_v \leq \min U \) we have the following factorization
\[
\sum_{I_l} (-1)^{l+d} q^{C(I_l) + L^*(U|I_l)} = (-1)^{\chi(\min U \neq i_v)} q^{C(U \cup \{i_v\}) + L^*(U|U \cup \{i_v\})} \prod_{i_{t_s} \in I \setminus U \setminus \{i_1, \ldots, i_v\}} (1 - q^{g(i_{t_s})}),
\]
where \( I_l \) ranges over all supersets of \( U \) with the restriction \( \min I_l = i_v \). Furthermore, if there is no \( s, t, u \) such that \( 1 \leq s < t < u \leq m \) and \( j_t < i_s < j_u < i_t \), then
\[
\prod_{i_{t_s} \in I \setminus U \setminus \{i_1, \ldots, i_v\}} (1 - q^{g(i_{t_s})}) = 0,
\]
with the only exceptional case when \( I \setminus U \setminus \{i_1, \ldots, i_v\} = \emptyset \).
**Proof.** We prove this lemma in two parts.
1. **Proof of (4.9).**
Notice that \( I_l = U \cup \{i_v\} \) is the smallest set which satisfies \( \min I_l = i_v \) and \( U \subseteq I_l \). So first we extract the common factor \( q^{C(U \cup \{i_v\}) + L^*(U|U \cup \{i_v\})} \) from the summation of (4.9). Thus we need to calculate
\[
C(I_l) + L^*(U \mid I_l) - C(U \cup \{i_v\}) - L^*(U \mid U \cup \{i_v\}).
\]
By Lemma 4.2 we have
\[
C(I_l) + L^*(U \mid I_l) - C(I_l \setminus \{i_{t_s}\}) - L^*(U \mid I_l \setminus \{i_{t_s}\}) = g(i_{t_s}),
\]
where \( i_{t_s} \in I_l \) but \( i_{t_s} \notin U \cup \{i_v\} \). Thus iterating (4.11) we get
\[
C(I_l) + L^*(U \mid I_l) - C(U \cup \{i_v\}) - L^*(U \mid U \cup \{i_v\}) = \sum_{i_{t_s} \in I_l \setminus U \setminus \{i_v\}} g(i_{t_s}).
\]
So extracting the common factor $q^{C(U \cup \{i_v\}) + L^*(U|U \cup \{i_v\})}$ from the left-hand side of (4.9) and by (4.12) we have
$$\sum_{I_l} (-1)^{l+d} q^{C(I_l) + L^*(U|I_l)} = q^{C(U \cup \{i_v\}) + L^*(U|U \cup \{i_v\})} \sum_{I_l} (-1)^{l+d} q^{\sum_{i_{t_s} \in I_l \setminus U \setminus \{i_v\}} g(i_{t_s})}, \quad (4.13)$$
where $I_l$ ranges over all supersets of $U$ with the restriction $\min I_l = i_v$.
Next we prove the following factorization.
$$\sum_{I_l} (-1)^{l+d} q^{\sum_{i_{t_s} \in I_l \setminus U \setminus \{i_v\}} g(i_{t_s})} = (-1)^{\chi(\min U \neq i_v)} \prod_{i_{t_s} \in I \setminus U \setminus \{i_1, \ldots, i_v\}} (1 - q^{g(i_{t_s})}), \quad (4.14)$$
where $I_l$ ranges over all supersets of $U$ and we restrict $\min I_l = i_v$.
If $\min U = i_v$, then the sign in the right-hand side of (4.14) is positive. Every term in the expansion of the right-hand side of (4.14) is of the form $(-1)^{|G|} \prod_{i_{t_s} \in G} q^{g(i_{t_s})} = (-1)^{|G|} q^{\sum_{i_{t_s} \in G} g(i_{t_s})}$, where $G$ is a subset of $I \setminus U \setminus \{i_1, \ldots, i_v\}$. Thus expanding the product of (4.14) we get
$$\prod_{i_{t_s} \in I \setminus U \setminus \{i_1, \ldots, i_v\}} (1 - q^{g(i_{t_s})}) = \sum_{G \subseteq I \setminus U \setminus \{i_1, \ldots, i_v\}} (-1)^{|G|} q^{\sum_{i_{t_s} \in G} g(i_{t_s})}. \quad (4.15)$$
Notice that $I_l \setminus U \setminus \{i_v\}$ reduces to $I_l \setminus U$ when $\min U = i_v$. Substitute $I_l \setminus U$ by $G'$ in the left-hand side of (4.14). Then $G'$ ranges over all subsets of $I \setminus U \setminus \{i_1, \ldots, i_v\}$ if $I_l$ ranges over all supersets of $U$ with the restriction $\min I_l = i_v$. Notice that $(-1)^{|G'|} = (-1)^{l-d} = (-1)^{l+d}$, thus the left-hand side of (4.14) can also be written as the right hand side of (4.15). Hence (4.14) holds when $\min U = i_v$. The case $\min U \neq i_v$ is similar.
Therefore (4.9) follows from (4.13) and (4.14).
**2.** Under the assumption that there is no $s, t, u$ such that $1 \leq s < t < u \leq m$ and $j_t < i_s < j_u < i_t$ we need to prove (4.10).
If $\min I_l = \min U = i_v$, recall that $I \setminus U = \{i_{t_1}, \ldots, i_{t_{m-d}}\}$ and $t_1 < \cdots < t_{m-d}$, then $t_k = k$ for $k = 1, \ldots, v-1$ and $t_v > v$. Thus $t_v \in I \setminus U \setminus \{i_1, \ldots, i_v\}$. It follows that
$$\prod_{i_{t_s} \in I \setminus U \setminus \{i_1, \ldots, i_v\}} (1 - q^{g(i_{t_s})}) = \prod_{s=v}^{n-d} (1 - q^{g(i_{t_s})}).$$
If $\min I_l \neq \min U$, then $t_v = v$. It follows that $t_v \notin I \setminus U \setminus \{i_1, \ldots, i_v\}$. Thus we have
$$\prod_{i_{t_s} \in I \setminus U \setminus \{i_1, \ldots, i_v\}} (1 - q^{g(i_{t_s})}) = \prod_{s=v+1}^{m-d} (1 - q^{g(i_{t_s})})$$
and $\chi(i_{t_v} > j_{t_s} > i_v) = \chi(i_v > j_{t_s} > i_v) = 0$. In this case $g(i_{t_s})$ reduces to
$$g(i_{t_s}) = - \sum_{k=v+1}^{s-1} \chi(i_{t_k} > j_{t_s} > i_v) a_{i_{t_k}} + \sum_{k=s+1}^{m-d} \chi(i_{t_k} > j_{t_s} > i_v) a_{i_{t_k}}.$$
We only prove (4.10) when $\min I_l = \min U$, the case $\min I_l \neq \min U$ is similar.
We can write the left-hand side of (4.10) as $\prod_{s=v}^{m-d} (1 - q^{g(i_{t_s})})$ when $\min I_l = \min U$. To prove $\prod_{s=v}^{m-d} (1 - q^{g(i_{t_s})}) = 0$, it is sufficient to prove $\prod_{s=v}^{m-d} g(i_{t_s}) = 0$.
Taking \(a(s, k) = -\chi(i_{t_k} > j_{t_s} > i_v)a_{i_{t_k}}\) for \(s > k\) and \(a(s, k) = \chi(\overline{i_{t_k} > j_{t_s} > i_v})a_{i_{t_k}}\) for \(s < k\), by the definition of \(g(i_{t_s})\) we can write \(\prod_{s=v}^{m-d} g(i_{t_s})\) as \(\prod_{s=v}^{m-d} \sum_{k \neq s} a(s, k)\). By Lemma 4.3 each term in the expansion of \(\prod_{s=v}^{m-d} g(i_{t_s})\) has a factor of the form \(-\chi(i_{t_r} > j_{t_k} > i_v)\chi(\overline{i_{t_l} > j_{t_s} > i_v})a_{i_{t_r}}a_{i_{t_l}}\), where \(v \leq r \leq s < k \leq l \leq m - d\). Thus
\[
\prod_{s=v}^{m-d} g(i_{t_s}) = \sum_{v \leq r \leq s < k \leq l \leq m - d} -\chi(i_{t_r} > j_{t_k} > i_v)\chi(\overline{i_{t_l} > j_{t_s} > i_v})a_{i_{t_r}}a_{i_{t_l}} \cdot \Delta,
\] (4.16)
where \(\Delta\) is the product of some \(a(s, k)\)'s.
Next we prove each \(\chi(i_{t_r} > j_{t_k} > i_v)\chi(\overline{i_{t_l} > j_{t_s} > i_v}) = 0\) by contradiction under the assumption that there is no \(s, t, u\) such that \(1 \leq s < t < u \leq m\) and \(j_t < i_s < j_u < i_t\).
Suppose \(\chi(i_{t_r} > j_{t_k} > i_v)\chi(\overline{i_{t_l} > j_{t_s} > i_v}) = 1\) for some \(v \leq r \leq s < k \leq l \leq m - d\). Then \(\chi(i_{t_r} > j_{t_k} > i_v) = \chi(\overline{i_{t_l} > j_{t_s} > i_v}) = 1\). By \(\chi(i_{t_r} > j_{t_k} > i_v) = 1\) we have
\[
i_{t_r} > j_{t_k} > i_v.
\] (4.17)
By \(\chi(\overline{i_{t_l} > j_{t_s} > i_v}) = 1\) we obtain
\[
i_{t_l} < j_{t_s} \quad \text{or} \quad j_{t_s} < i_v \quad \text{or} \quad i_{t_l} < i_v.
\] (4.18)
Since \(l > v\), we have \(t_l \geq l > v\) and \(i_{t_l} > i_v\). Thus the last inequality of (4.18) can not hold. Because \(l > r\), \(k > s\) and \(i_{t_r} > j_{t_k}\) in (4.17), we have \(i_{t_l} > i_{t_r} > j_{t_k} \geq j_{t_s}\). So the first inequality of (4.18) can not hold too. Thus by (4.17) and the middle inequality of (4.18) we obtain that if \(\chi(i_{t_r} > j_{t_k} > i_v)\chi(\overline{i_{t_l} > j_{t_s} > i_v}) = 1\) then \(j_{t_s} < i_v < j_{t_k} < i_{t_r}\). It follows that \(j_{t_s} < i_v < j_{t_k} < i_{t_s}\) since \(r \leq s\). Because \(v \leq s < k\), we have \(v < t_v \leq t_s < t_k\). Thus for \(v < t_s < t_k\) the fact \(j_{t_s} < i_v < j_{t_k} < i_{t_s}\) conflicts with our assumption. \(\square\)
**Lemma 4.5.** If \(U\) is of the form \(\{i_h, i_{h+1}, \ldots, i_m\}\), then
\[
q^{C(U) + L^*(U|U)} - q^{C(U \cup \{i_{h-1}\}) + L^*(U|U \cup \{i_{h-1}\})} = 0.
\] (4.19)
**Proof.** By the formula of \(C(I_l)\) in (4.7) we have
\[
C(U) + L^*(U \mid U) = 1 + a - \sum_{k \in U} a_k + \sum_{k=1}^{h-1} \left[ N(i_{r_k}, U) - N(i_{r_k}, V_k^*) \right] a_{i_{r_k}},
\]
where \(V_k^* = \{j_s > i_k \mid j_s \in V_1 \cup \{j_{r_k}\}\}\) and \(V_1 = \{j_h, \ldots, j_m\}\) is the pairing set of \(U\). Since \(U\) is of the form \(\{i_h, i_{h+1}, \ldots, i_m\}\), we have \(i_{r_k} = i_k\) for \(k = 1, \ldots, h - 1\). Hence \(N(i_{r_k}, U) = N(i_{r_k}, V_k^*) = 0\) for \(k = 1, \ldots, h - 1\). It follows that \(C(U) + L^*(U \mid U) = 1 + a - \sum_{k \in U} a_k\).
Meanwhile
\[
C(U \cup \{i_{h-1}\}) + L^*(U \mid U \cup \{i_{h-1}\})
\]
\[
= 1 + a - \sum_{k \in U} a_k - a_{i_{h-1}} + \sum_{k=1}^{h-2} \left[ N(i_{r_k'}, U \cup \{i_{h-1}\}) - N(i_{r_k'}, \overline{V_k^*}) \right] a_{i_{r_k'}}
\]
\[
- L^*(U \cup \{i_{h-1}\} \mid U \cup \{i_{h-1}\}) + L^*(U \mid U \cup \{i_{h-1}\}),
\]
where \( \overline{V}_k^* = \{ j_s > i_k \mid j_s \in V_2 \cup \{ j_{r'_k} \} \} \) and \( V_2 = \{ j_{h-1}, \ldots, j_m \} \). Since \( U \cup \{ i_{h-1} \} \) is of the form \( \{ i_{h-1}, i_h, \ldots, i_m \} \), we have \( i_{r'_k} = i_k \) for \( k = 1, \ldots, h - 2 \). Hence \( N(i_{r'_k}, U \cup \{ i_{h-1} \}) = N(i_{r'_k}, \overline{V}_k^*) = 0 \) for \( k = 1, \ldots, h - 2 \). And by the definition of \( L^*(T \mid I) \) in (2.7) we have \( -L^*(U \cup \{ i_{h-1} \} \mid U \cup \{ i_{h-1} \}) + L^*(U \mid U \cup \{ i_{h-1} \}) = a_{i_{h-1}} \). Therefore \( C(U \cup \{ i_{h-1} \}) + L^*(U \mid U \cup \{ i_{h-1} \}) \) has the same value as \( C(U) + L^*(U \mid U) \).
\[\square\]
### 4.3 Proof of the main theorem
With Lemma 4.4 and Lemma 4.5, we are ready to prove the main theorem.
**Proof of Theorem 4.1.** If \( m = 0 \), then the theorem reduces to the \( q \)-Dyson Theorem. So we assume that \( m \geq 1 \).
Applying Theorem 2.3 to the constant term in the left-hand side of (4.6) yields
\[
CT_x \left[ \left( 1 + \sum_{\emptyset \neq I_l \subseteq I} (-1)^l q^{C(I_l)} \frac{x_{v_1} \cdots x_{v_l}}{x_{u_1} \cdots x_{u_l}} \right) D_n(x, a, q) \right]
\]
\[
= \frac{(q)_a}{(q)_{a_0} \cdots (q)_{a_n}} \left( 1 + \sum_{\emptyset \neq I_l \subseteq I} \sum_{\emptyset \neq U \subseteq I_l} (-1)^{d+l} q^{C(I_l) + L^*(U|I_l)} \frac{1 - q^{\sum_{k \in U} a_k}}{1 - q^{1+a-\sum_{k \in U} a_k}} \right),
\]
(4.20)
where \( l = |I_l| \) and \( d = |U| \).
Because \( U \) is a subset of \( I_l \), we have \( \min I_l = i_v \leq \min U \). By changing the summation order, the right-hand side of (4.20) can be rewritten as
\[
\frac{(q)_a}{(q)_{a_0} \cdots (q)_{a_n}} \left( 1 + \sum_{\emptyset \neq U \subseteq I} \sum_{i_v = i_1}^{\min U} \sum_{I_l} (-1)^{d+l} q^{C(I_l) + L^*(U|I_l)} \frac{1 - q^{\sum_{k \in U} a_k}}{1 - q^{1+a-\sum_{k \in U} a_k}} \right),
\]
(4.21)
where \( I_l \) ranges over all supersets of \( U \) with the restriction \( \min I_l = i_v \).
If \( U \neq I \), then by Lemma 4.4, under the assumption that there is no \( s, t, u \) such that \( 1 \leq s < t < u \leq m \) and \( j_t < i_s < j_u < i_t \) we have
\[
\sum_{I_l} (-1)^{l+d} q^{C(I_l) + L^*(U|I_l)} = 0,
\]
(4.22)
with the only exceptional case when \( I \setminus U \setminus \{ i_1, \ldots, i_v \} = \emptyset \), where \( I_l \) ranges over all supersets of \( U \) and we restrict \( \min I_l = i_v \).
If \( I \setminus U \setminus \{ i_1, \ldots, i_v \} = \emptyset \), then \( U \) is of the form \( \{ i_h, i_{h+1}, \ldots, i_m \} \) and \( i_v \) is either \( i_h \) or \( i_{h-1} \) corresponding to \( I_l = U \) or \( I_l = U \cup \{ i_{h-1} \} \) respectively. Thus by Lemma 4.5 we have
\[
q^{C(U) + L^*(U|U)} - q^{C(U \cup \{ i_{h-1} \}) + L^*(U|U \cup \{ i_{h-1} \})} = 0.
\]
(4.23)
By (4.22) and (4.23) the summands in (4.21) cancel with each other except for the summand when $U = I_l = I$. It follows that (4.21) reduces to
\[
\frac{(q)_a}{(q)_{a_0} \cdots (q)_{a_n}} \left( 1 + q^{C(I) + L^*(I|I)} \frac{1 - q^{\sum_{k \in I} a_k}}{1 - q^{1+a-\sum_{k \in I} a_k}} \right).
\]
(4.24)
By the formula of $C(I_l)$ in (4.7) we get $C(I) = 1 + a - \sum_{k \in I} a_k - L^*(I | I)$. Substituting $C(I)$ into (4.24) and multiplying the equation by $1 - q^{1+a-\sum_{k \in I} a_k}$ we can obtain the right-hand side of (4.6).
\[\square\]
5 Remark
If there exist some $s, t, u$ such that $s < t < u$ and $j_t < i_s < j_u < i_t$, then our main theorem does not lead to the desired cancelations. As stated in Section 4.1, we can solve for $A_T$ such that the constant term of $\sum_T A_T \frac{x_{i_1} \cdots x_{i_l}}{x_{u_1} \cdots x_{u_l}} D_n(x, a, q)$ has the desired cancelations. However, experiments show that there is no nice form for $A_T$ in this situation.
Another possibility to let the $u$'s and the $v$'s be not paired up. Some of the cases can be established by applying the operator $\pi$ defined in Section 2 to our main theorem. But not all the un-paired up cases can be obtained in this way.
Acknowledgments. I would like to thank the referee for helpful suggestions to improve the presentation, and also to acknowledge the helpful guidance of my supervisor William Y.C. Chen. I am very grateful to Guoce Xin, for his guidance, suggestions and help. I thank Lun Lv and H.L. Saad for helping me check the errors in my paper.
6 Appendix: Proof of Theorem 2.3
Proof. By the definition of $\pi$, it is easy to deduce that
\[
\pi^k x_i = \begin{cases}
x_{i+k}, & \text{for } i+k \leq n; \\
x_{i+k-n-1}/q, & \text{for } i+k > n.
\end{cases}
\]
(6.1)
Iterating Lemma 2.2 $n-i_1+1$ times, i.e., acting with $\pi^{n-i_1+1}$, we obtain
\[
\text{CT}_x \frac{x_{j_1} \cdots x_{j_m}}{x_{i_1} \cdots x_{i_m}} D_n(x, a, q)
= \text{CT}_x \frac{\prod_{l=1}^t x_{j_l+n-i_1+1} \prod_{l=t+1}^m x_{j_l-i_1} q^{-(m-t)}}{x_0 x_{i_2-i_1} \cdots x_{i_m-i_1} q^{-m}} D_n(x, (b_0, \ldots, b_n), q),
\]
(6.2)
where
\[
b_k = \begin{cases}
a_{k+i_1}, & \text{for } k = 0, \ldots, n-i_1; \\
a_{k-(n-i_1+1)}, & \text{for } k = n-i_1+1, \ldots, n.
\end{cases}
\]
(6.3)
To apply Theorem 2.1, we define $\tilde{I} = \{0, i_2 - i_1, \ldots, i_m - i_1\}$, and $\tilde{J}^- = \{j_1 + n - i_1 + 1, \ldots, j_t + n - i_1 + 1\}$, $\tilde{J}^+ = \{j_{t+1} - i_1, \ldots, j_m - i_1\}$, $\tilde{J} = \tilde{J}^- \cup \tilde{J}^+$. Then by Theorem 2.1 we have
$$
\text{CT}_x \frac{x_{i_1} \cdots x_{j_m}}{x_{i_1} \cdots x_{i_m}} D_n(x, a, q) = q^t \frac{(q)_a}{(q)_{a_0} \cdots (q)_{a_n}} \sum_{\emptyset \neq \tilde{T} \subseteq \tilde{I}} (-1)^d q^{L(\tilde{T} \mid \tilde{I})} \frac{1 - q^{\sum_{k \in \tilde{T}} b_k}}{1 - q^{1+a-\sum_{k \in \tilde{T}} b_k}},
$$
where $|\tilde{T}| = d$ and
$$
L(\tilde{T} \mid \tilde{I}) = \sum_{k=0}^{n} \left[ N(k, \tilde{I}) - N(k, \tilde{J}) \right] \tilde{w}_k(\tilde{T}),
$$
(6.4)
in which $\tilde{w}_k(\tilde{T})$ is $b_k$ if $k \notin \tilde{T}$ and 0 otherwise.
There is a natural one-to-one correspondence between $I$ and $\tilde{I}$: $I \xrightarrow{f} \tilde{I}$, $f(a) = a - i_1$, $a \in I$. This correspondence clearly applies between their subsets $T$ and $\tilde{T}$.
Since the largest element in $\tilde{T}$ is not larger than $i_m - i_1$ and $i_m - i_1 \leq n - i_1$, by the definition of $b_k$ we have
$$
\sum_{k \in \tilde{T}} b_k = \sum_{k \in \tilde{T}} a_{k+i_1} = \sum_{k \in T} a_k.
$$
Next we have to rewrite (6.4) in terms of $w_k(T)$, $N(k, I)$ and $N(k, J)$ to get $L^*(T \mid I)$.
Because the largest element in $\tilde{I}$ is $i_m - i_1 \leq n - i_1$, so if $k > n - i_1$ then $k \notin \tilde{T}$. It follows that
$$
\tilde{w}_k(\tilde{T}) = b_k = a_{k-(n-i_1+1)}.
$$
(6.5)
If $k \leq n - i_1$, then
$$
\tilde{w}_k(\tilde{T}) = \begin{cases}
b_k = a_{k+i_1}, & \text{if } k \notin \tilde{T}; \\
0, & \text{if } k \in \tilde{T},
\end{cases}
$$
(6.6)
which is in fact $w_{k+i_1}(T)$.
It is straightforward to check that
$$
N(k, \tilde{I}) = N(k + i_1, I),
$$
(6.7)
$$
N(k, \tilde{J}^-) = N(k - (n - i_1 + 1), J^-), \quad N(k, \tilde{J}^+) = N(k + i_1, J^+),
$$
(6.8)
$$
N(k, \tilde{J}) = N(k, \tilde{J}^-) + N(k, \tilde{J}^+).
$$
(6.9)
Substituting (6.5) and (6.6) into (6.4) we have
$$
L(\tilde{T} \mid \tilde{I}) = \sum_{k=0}^{n-i_1} \left[ N(k, \tilde{I}) - N(k, \tilde{J}) \right] w_{k+i_1}(T) + \sum_{k=n-i_1+1}^{n} \left[ N(k, \tilde{I}) - N(k, \tilde{J}) \right] a_{k-(n-i_1+1)}.
$$
By (6.7)–(6.9) the above equation becomes
\[
L(\widetilde{T} \mid \widetilde{I}) = \sum_{k=0}^{n-i_1} \left[ N(k + i_1, I) - N(k - (n - i_1 + 1), J^-) - N(k + i_1, J^+) \right] w_{k+i_1}(T)
+ \sum_{k=n-i_1+1}^{n} \left[ N(k + i_1, I) - N(k - (n - i_1 + 1), J^-) - N(k + i_1, J^+) \right] a_{k-(n-i_1+1)}.
\]
(6.10)
If \( k \in [0, n - i_1] \) then \( k - (n - i_1 + 1) < 0 \). Thus \( N(k - (n - i_1 + 1), J^-) = 0 \).
If \( k \in [n - i_1 + 1, n] \) then \( k + i_1 > n \). Thus \( N(k + i_1, I) = m \) and \( N(k + i_1, J^+) = m - t \).
Therefore (6.10) reduces to
\[
L(\widetilde{T} \mid \widetilde{I}) = \sum_{k=0}^{n-i_1} \left[ N(k + i_1, I) - N(k + i_1, J^+) \right] w_{k+i_1}(T)
+ \sum_{k=n-i_1+1}^{n} \left[ t - N(k - (n - i_1 + 1), J^-) \right] a_{k-(n-i_1+1)}
= \sum_{k=i_1}^{n} \left[ N(k, I) - N(k, J^+) \right] w_k(T) + \sum_{k=0}^{i_1-1} \left[ t - N(k, J^-) \right] a_k.
\]
Then we obtain
\[
L^*(T \mid I) = t + L(\widetilde{T} \mid \widetilde{I}) = t + \sum_{k=i_1}^{n} \left[ N(k, I) - N(k, J^+) \right] w_k(T) + \sum_{k=0}^{i_1-1} \left[ t - N(k, J^-) \right] a_k.
\]
\[\square\]
**References**
[1] G. E. Andrews, *Problems and prospects for basic hypergeometric functions*, in *Theory and Application of Special Functions*, ed. R. Askey, Academic Press, New York, 1975, pp. 191–224.
[2] D. M. Bressoud and I. P. Goulden, *Constant term identities extending the q-Dyson theorem*, Trans. Amer. Math. Soc. **291** (1985), 203–228.
[3] F. J. Dyson, *Statistical theory of the energy levels of complex systems I*, J. math. Phys. **3** (1962), 140–156.
[4] I. M. Gessel and G. Xin, *A short proof of the Zeilberger-Bressoud q-Dyson theorem*, Proc. Amer. Math. Soc. **134** (2006), 2179–2187.
[5] I. J. Good, *Short proof of a conjecture by Dyson*, J. Math. Phys. **11** (1970), 1884.
[6] J. Gunson, *Proof of a conjecture by Dyson in the statistical theory of energy levels*, J. Math. Phys. **3** (1962), 752–753.
[7] K. W. J. Kadell, *Aomoto’s machine and the Dyson constant term identity*, Methods Appl. Anal. **5** (1998), 335–350.
[8] L. Lv, G. Xin and Y. Zhou, *A Family of $q$-Dyson style constant term identities*, J. Combin. Theory. Ser. A **116** (2009), 12–29.
[9] L. Lv, G. Xin and Y. Zhou, *Two coefficients of the Dyson product*, Electro. J. Combin. **15** (2008), R36, 11 pp.
[10] I. G. Macdonald, *Some conjectures for root systems*, SIAM J. Math. Anal. **13** (1982), 988–1007.
[11] A. V. Sills, *Disturbing the Dyson conjecture, in a generally GOOD way*, J. Combin. Theory Ser. A **113** (2006), 1368–1380.
[12] A. V. Sills and D. Zeilberger, *Disturbing the Dyson conjecture (in a Good way)*, Experiment. Math. **15** (2006), 187–191.
[13] J. R. Stembridge, *First layer formulas for characters of $SL(n,\mathbb{C})$*, Trans. Amer. Math. Soc. **299** (1987), 319–350.
[14] J. R. Stembridge, *A short proof of Macdonald’s conjecture for the root systems of type $A$*, Proc. Amer. Math. Soc. **102** (1988), 777–786.
[15] K. G. Wilson, *Proof of a conjecture by Dyson*, J. Math. Phys. **3** (1962), 1040–1043.
[16] D. Zeilberger, *A combinatorial proof of Dyson’s conjecture*, Discrete Math. **41** (1982), 317–321.
[17] D. Zeilberger and D. M. Bressoud, *A proof of Andrews’ $q$-Dyson conjecture*, Discrete Math. **54** (1985), 201–224.
|
<urn:uuid:5e42367e-1555-42cb-ae6a-e833ceafc742>
|
CC-MAIN-2016-18
|
http://www.combinatorics.org/ojs/index.php/eljc/article/download/v18i2p2/pdf
|
2016-05-03T08:47:59Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2016-18/segments/1461860121090.75/warc/CC-MAIN-20160428161521-00126-ip-10-239-7-51.ec2.internal.warc.gz
| 443,332,451
| 16,109
|
eng_Latn
|
eng_Latn
| 0.464644
|
eng_Latn
| 0.493385
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"mlt_Latn",
"eng_Latn",
"eng_Latn",
"dan_Latn",
"mlt_Latn",
"eng_Latn"
] | false
|
docling
|
[
1622,
4514,
6525,
9185,
11702,
14846,
17204,
19733,
23076,
26418,
29251,
31544,
33847,
35792,
37143
] |
February 13, 2017
Mr. Shelley W. Keen
Idaho Department of Water Resources
PO Box 83720
Boise ID 83720-0098
Subject: In regards to the removal of Water Master of Water District WD95C.
Dear Mr. Keen:
I believe the hearing examiner to be thorough and intelligent, and I would like to thank him for his time on this topic. This matter has literally been beaten to death. However, there are a couple items that strike a chord with me. In the matter of a water master, board member, commissioner, or any other party concerned in such a small district and community, to be instructed to take no work, is absolutely beyond my comprehension.
In the matter of “not using the best information available.” The best information available as provided by the State (Tim Luke) this Water Master, previous Water Masters, long time area residents, as well as Jason Scott of GEO Engineers (who submitted a bid for an inflow gage on Fish Creek last summer) - all stated that Fish Creek alone is not the sole source of inflow for water on Twin Lakes.
Miller Creek, Shove’s Creek, and nine others, as mentioned by Jim Blaine, all contribute.
In fact, the aforementioned maintain that there are a number of sub watersheds that contribute in the range of at least 25% of inflow. Thus casting a long shadow of doubt on the “best information available.” Thus casting an even longer and darker shadow of doubt on any decision or conclusion, based solely on the “best information available.” Couple this to a decree that does not serve its community well, and in fact, divides it, casting the shadows even further.
Any decision I made had the input of a number of factors. Inflow on Fish Creek, input from the Flood District, the Water District, from community members, and decades of putting up hundreds of thousands of tons of hay off the upper lake meadows, decades of driving forest and timber roads, while repairing logging and road building equipment, working with Inland Empire Paper installing culverts, railcar bridges and pre-stressed concrete bridges over numerous creeks and streams throughout this drainage, all the while doing my level best.
After three days of testimony, hundreds of hours of preparation by the parties involved, resources, travel time, air fare, hotel rooms; I would hope the only result would not be to kick the preverbal can farther down the road. Then again, the game of kick the can is best played in the shadows.
Sincerely,
Laurin Scarcello
|
<urn:uuid:1a35073b-97ed-4e59-8f57-60a32dcd26df>
|
CC-MAIN-2021-43
|
https://idwr.idaho.gov/wp-content/uploads/sites/2/legal/C-RWM-2016-001/C-RWM-2016-001-20170215-Letter-from-Laurin-Scarcello-regarding-Removal-of-WD95C-Watermaster.pdf
|
2021-10-21T02:57:13+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-43/subset=warc/part-00293-16202947-a809-4711-8221-79ab0a79d5b1.c000.gz.parquet
| 388,347,878
| 532
|
eng_Latn
|
eng_Latn
| 0.997102
|
eng_Latn
| 0.997102
|
[
"eng_Latn"
] | false
|
docling
|
[
2468
] |
1st ed. 2019, XXV, 428 p. 16 illus., 2 illus. in color.
Printed book
Hardcover
74,99 € | £65.00 | $100.00 80,24 € (D) | 82,49 € (A) | CHF [1] 88,50
eBook
51,16 € | £43.99 | $59.99 51,16 € (D) | 51,16 € (A) | CHF [2] 56,50
Available from your library or springer.com/shop
MyCopy
[3]
Printed eBook for just
€ | $ 24.99
springer.com/mycopy
David Alexander Clark, Mario Biggeri, Alexandre Apsan Frediani (Eds.)
The Capability Approach, Empowerment and Participation
Concepts, Methods and Applications
Series: Rethinking International Development series
-Offers theoretical and practical solutions for safeguarding the transformative roots of participation and facilitating empowerment
-Reflects on local and global partnerships for sustainable human development
-Expands on key concepts in the literature including freedom, agency and empowered learning
This book explores the linkages between Amartya Sen's Capability Approach and participatory forms of development – especially those associated with critical pedagogy and empowerment from the bottom-up. It shows how the capability approach and the participatory movement can complement and reinforce each other helping to ensure that democratic principles are respected and become the foundation for sustainable human development. The Capability Approach provides guiding principles for protecting the transformative roots of participation (safeguarding ownership, accountability and empowerment), while participation delivers vital methods for making the Capability Approach operational. Divided into three overlapping parts that focus on concepts, methods and applications, this work draws on diverse fieldwork experiences to unpack power relations, address adaptive preferences, explore individual and collective agency, consider new partnerships for development, and develop innovative concepts.
The first € price and the £ and $ price are net prices, subject to local VAT. Prices indicated with [1] include VAT for books; the €(D) includes 7% for Germany, the €(A) includes 10% for Austria. Prices indicated with [2] include VAT for electronic products; 19% for Germany, 20% for Austria. All prices exclusive of carriage charges. Prices and other details are subject to change without notice. All errors and omissions excepted. [3] No discount for MyCopy.
Part of
|
<urn:uuid:c0b238dd-dbe3-4725-8aed-04c93291ad82>
|
CC-MAIN-2023-50
|
https://hd-ca.org/wp-content/uploads/2019/06/Flyer_CapabilityApproach_Empowerment_Participation.pdf
|
2023-12-02T05:05:14+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00103-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet
| 348,022,935
| 522
|
eng_Latn
|
eng_Latn
| 0.978739
|
eng_Latn
| 0.978739
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
2336
] |
Machine Translation Linguistic Assistant – eBay Inc. – San Jose, CA
Spanish (Castilian or Latin American), Brazilian Portuguese, or Russian
Experience the new frontier between language and technology
We are looking for a fun, engaged and motivated person to join the Machine Translation Linguistic Team at eBay for a Summer Internship.
We are a very diverse team, with members from different European and Asian countries, and backgrounds that go from linguistics to engineering. Our mission is to support the eBay Machine Translation development, providing best-quality MT for 9 languages (and counting). We work in two worlds – linguistic and technological, and in a field where we are first in the industry to face (and solve) new challenges – e-commerce MT.
Note: This is a 3-month internship based in San Jose, CA. Housing is provided.
Primary Job Responsibilities
The Linguistic Assistant will support the MT Language Specialist (MTLS) of their language, with tasks that may also cover English-language content.
Job responsibilities will include, but are not limited to, supporting the LS in the following tasks:
- Analyzing MT output for quality improvement.
- Testing and documenting the results of output of trained MT engines
- Assisting in a variety of linguistic research related tasks
- Reviewing human post edited output to generate high-quality of training corpus for MT engines
- Helping to conduct MT usability test with users in the target country and summarize the feedback and test results
- Helping create guidelines and training documentation for contractors and vendors
Job Requirements
The MT Linguistic Assistant needs to demonstrate exceptional abilities in the following areas:
- Native speaker of Spanish (Latin American or Castilian), Brazilian Portuguese, or Russian
- Eagerness to learn
- Excellent knowledge of English (written and spoken)
- Training in post-editing (theory/practice)
- Attended courses on Machine Translation
- Analytical disposition – ability to identify error patterns and infer general solutions
- Ability to explain complex problems, sometimes to people who don't speak the language concerned (for communicating with our Science team)
- Ability to work in a fast-paced corporate environment while keeping top quality and best practices in mind
- Ability to keep track of achievements and processes by creating reports and ad-hoc documentation
Some other things we'd love (not required, but always a plus):
- eBay user!
- Familiarity with both US and native language pop culture and slang
- We are looking for someone who, aside from being an outstanding linguist, has excellent communication skills, has demonstrated a very strong team spirit and loves to work in international environments!
- Knowledge of additional languages (always a nice to have)
- A good writer – we have a blog… and we are always looking for someone to contribute!
Education
BA degree in the country of origin preferred
MA (optional)
|
<urn:uuid:6c35f8f9-9fdf-4992-835b-6827f3f7f7f9>
|
CC-MAIN-2024-10
|
https://bpb-us-w2.wpmucdn.com/blogs.sjsu.edu/dist/3/78/files/2015/12/MT-Linguistic-Assistant-Job-Description-208wsd3.pdf
|
2024-02-27T02:53:23+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-10/subset=warc/part-00003-d9675c6d-5c8d-45bb-9c98-c56e42022a4d.c000.gz.parquet
| 137,744,268
| 570
|
eng_Latn
|
eng_Latn
| 0.995587
|
eng_Latn
| 0.995544
|
[
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2059,
2978
] |
A Special meeting of the Navarro County Commissioner’s Court was held on Monday, the 30th day of January, 2017 at 10:00 a.m., in the Courtroom of the Navarro County Annex Building 601 N. 13th Street in Corsicana, Texas. Presiding Judge HM Davenport, Jr. Commissioners present Jason Grant, Dick Martin, Eddie Moore, and James Olsen.
1. 10:00 A.M. Motion to convene by Comm. Olsen sec by Comm. Moore
Carried unanimously
2. Opening prayer by Judge Davenport
3. Pledge of Allegiance
4. Public Comments-Terri Gillen-return to two commissioner court meetings a month
Consent Agenda
Motion to approve consent agenda item 5 by Comm. Martin sec by Comm. Olsen
Carried unanimously
5. Motion to approve and pay bills as submitted by the County Auditor, including Current Bills, and payroll (1/31/2017)
Action Items
6. No action on Burn Ban (burn ban off)
7. Motion to approve engagement letter for Financial Audit services by Pattillo, Brown & Hill, LLP for the Fiscal Year 2016 by Comm. Grant sec by Comm. Martin
Carried unanimously
8. Motion to approve the change of the Member Contact Information for the Texas Association of Counties Risk Management Pool by Comm. Moore sec by Comm. Grant
Carried unanimously
9. Motion to approve financing from Prosperity Bank for the previously approved purchase of a 2014 XL 4100 Gradall for Pct. 4 and authorize Judge H.M. Davenport to execute all documents by Comm. Olsen sec by Comm. Grant
Carried unanimously
10. Motion to approve and declaring one 2000 Mack Vin# 1M2P67Y0YM051957, as salvage from Pct. 2 by Comm. Martin sec by Comm. Olsen
Carried unanimously
11. 10:08 A.M. Motion to go into Executive Session Pursuant to the Texas Government Code 551.074 to discuss Personnel by Comm. Olsen sec by Comm. Grant
Carried unanimously
10:58 A.M. Motion to come out of Executive session by Comm. Olsen sec by Comm. Grant
Carried unanimously
12. Motion to approve to allow maintenance supervisor to hire part time help during the illness of one of their employees taken on Executive Session Pursuant to the Texas Government Code Section 551.074 to discuss Personnel by Comm. Martin sec Comm. Grant
Carried unanimously
13. 11:00 A.M. Motion to go into Executive Session Pursuant to the Texas Government Code Section 551.076 to discuss Security Devices or Security Audit by Comm. Olsen sec by Comm. Grant
Carried unanimously
11:23 A.M. Motion to come out of Executive Session by Comm. Olsen sec by Comm. Grant
Carried unanimously
14. No action taken on Executive Session pursuant to the Texas Government 551.076 to discuss Security Devices or security Audit
15. Motion to adjourn by Comm. Martin sec Comm. Grant
Carried unanimously
I, Sherry Dowd, Navarro County Clerk, Attest that the Foregoing is a True and accurate accounting of the commissioners Court’s authorized proceeding for January 30th, 2017.
Signed 30th day of January, 2017
Sherry Dowd, County Clerk
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP | PO NO | AMOUNT |
|-----------------------------|---------------|-------------------------------------|--------------------------------------------------|-----------|-----------|---------|--------|--------|
| THEDFORD OFFICE SUPPLY | 2017 101-407-312 | COMPUTER SUPPLIE CAT5E COUPLERS | | 28143 | 01/27/2017 | 01/30/2017 | 302688 | 115.80 |
| THEDFORD OFFICE SUPPLY | 2017 101-407-312 | COMPUTER SUPPLIE 27" ACER MONITOR | | 28143 | 01/27/2017 | 01/30/2017 | 302688 | 189.99 |
| THEDFORD OFFICE SUPPLY | 2017 101-407-312 | COMPUTER SUPPLIE MICROSOFT OFFICE 20 | | 28141 | 01/27/2017 | 01/30/2017 | 302840 | 199.99 |
| THEDFORD OFFICE SUPPLY | 2017 101-407-312 | COMPUTER SUPPLIE 24 PORT POE SWITCH | | 28142 | 01/27/2017 | 01/30/2017 | 302798 | 718.00 |
| THEDFORD OFFICE SUPPLY | 2017 101-407-312 | COMPUTER SUPPLIE GVT-2001 MEDIA CONV | | 28142 | 01/27/2017 | 01/30/2017 | 302798 | 539.94 |
| THEDFORD OFFICE SUPPLY | 2017 101-495-445 | REPAIRS & MAINTE REPLACED ROLLERS | | 28146 | 01/27/2017 | 01/30/2017 | 302689 | 216.00 |
| THEDFORD OFFICE SUPPLY | 2017 101-495-445 | REPAIRS & MAINTE SHIPPING | | 28146 | 01/27/2017 | 01/30/2017 | 302689 | 20.00 |
| TIM'S TIRES & WHEELS | 2017 101-560-445 | REPAIRS & MAINT UNIT 2261 - FLAT | | 062455 | 01/26/2017 | 01/30/2017 | 302476 | 8.00 |
| TIMEKEEPING SYSTEMS INC | 2017 101-560-428 | TRAVEL/CONFERENCE INSTALLATION & TRAI | | 346327 | 01/26/2017 | 01/30/2017 | 302636 | 300.00 |
| TROPHIES UNLIMITED | 2017 101-560-320 | OPERATING EQUIPM ENGRAVED PISTOL BUT | | 15115 | 01/26/2017 | 01/30/2017 | 303337 | 225.00 |
| TX DEPT OF STATE HEALTH | 2017 101-403-410 | PROFESSIONAL SER REMOTE BIRTH ACCESS | | 2002346 | 01/23/2017 | 01/30/2017 | | 86.01 |
| TYLER TECHNOLOGIES INC | 2017 101-440-450 | MAINT CONTRACT - 41552 - NOV 2016 | | 020-13190 | 01/27/2017 | 01/30/2017 | | 680.00 |
| TYLER TECHNOLOGIES INC | 2017 101-440-450 | MAINT CONTRACT - 41552 - DEC 2016 | | 020-13369 | 01/27/2017 | 01/30/2017 | | 2,380.00 |
| TYLER TECHNOLOGIES INC | 2017 101-435-459 | COMPUTER MAINTEN ANNUAL HOSTING - 12 | | 020-13199 | 01/27/2017 | 01/30/2017 | | 14,000.00 |
| TYLER TECHNOLOGIES INC | 2017 101-430-459 | COMPUTER MAINTEN ANNUAL HOSTING - 12 | | 020-13199 | 01/27/2017 | 01/30/2017 | | 14,000.00 |
| TYLER TECHNOLOGIES INC | 2017 101-440-450 | MAINT CONTRACT - ANNUAL HOSTING - 12 | | 020-13199 | 01/27/2017 | 01/30/2017 | | 14,000.00 |
| ULINE | 2017 101-560-340 | INVESTIGATIVE / 18 X 8 X 9" STACKAB | | 83462113 | 01/26/2017 | 01/30/2017 | 303200 | 99.60 |
| ULINE | 2017 101-560-340 | INVESTIGATIVE / 18 X 16 1/2 X 11" S | | 83462113 | 01/26/2017 | 01/30/2017 | 303200 | 132.00 |
| ULINE | 2017 101-560-340 | INVESTIGATIVE / SHIPPING | | 83462113 | 01/26/2017 | 01/30/2017 | 303200 | 42.06 |
| ULINE | 2017 101-512-321 | MAINTENANCE SUPP HEATING KITS | | 83498473 | 01/26/2017 | 01/30/2017 | 303248 | 44.00 |
| ULINE | 2017 101-512-321 | MAINTENANCE SUPP SHIPPING | | 83498473 | 01/26/2017 | 01/30/2017 | 303248 | 12.29 |
| UNITED STATES TREASURY | 2017 101-409-425 | ELECTIONS TAXES DUE ELECTION 4TH QTR 941 | | | 01/27/2017 | 01/30/2017 | | 273.76 |
| VERIZON WIRELESS | 2017 101-560-430 | DATA MODEM SERVI 742078371-00001 12/ | | 9778517036 | 01/24/2017 | 01/30/2017 | | 1,064.04 |
| VERIZON WIRELESS | 2017 101-560-451 | MAINT CONTRACT - 742078371-00003 12/ | | 9778517038 | 01/24/2017 | 01/30/2017 | | 211.83 |
| VERIZON WIRELESS | 2017 101-409-425 | ELECTIONS 742078371-00002 12/ | | 9778517037 | 01/24/2017 | 01/30/2017 | | 759.80 |
| WEX BANK | 2017 101-560-370 | GAS & OIL 3698016684 JAN 2017 | | 48363716 | 01/27/2017 | 01/30/2017 | | 305.91 |
| WINTERS OIL COMPANY | 2017 101-560-370 | GAS & OIL 2400 GAL GAS | | 548177 | 01/26/2017 | 01/30/2017 | 303074 | 4,592.64 |
| XEROX CORP - TXMAS | 2017 101-512-440 | COPIER RENTAL 712036656 - JAN 201 | | 087691310 | 01/23/2017 | 01/30/2017 | | 251.35 |
**TOTAL:** 204,361.72
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP PO NO | AMOUNT |
|-----------------------------|---------------|-------------------------------------|--------------------------------------------------|-----------|-----------|----------------|--------|
| CHRIS ALDAMA | 2017 | 151-571-355 DRUG TESTING SUP | PORTABLE BREATHALYZ | 601017087 | 01/27/2017 | 01/30/2017 | 303357 | 64.99 |
| CORRECTIONS SOFTWARE SO | 2017 | 151-571-315 COMPUTER SERVICE FEB | 2017 | 31762 | 01/23/2017 | 01/30/2017 | | 1,990.00 |
| OFFICE DEPOT INC-TXMAS | 2017 | 151-571-310 DEPARTMENT SUPPL | MOBILE FILE BOX | 2029420023| 01/27/2017 | 01/30/2017 | 303312 | 25.92 |
| OFFICE DEPOT INC-TXMAS | 2017 | 151-571-310 DEPARTMENT SUPPL | HANGING FILE FOLDER | 2029420023| 01/27/2017 | 01/30/2017 | 303312 | 17.16 |
| SAM HOUSTON STATE UNIVE | 2017 | 151-571-428 TRAVEL | 2017 ANNUAL TPA CON WESTBROOK, T | | 01/27/2017 | 01/30/2017 | | 150.00 |
**TOTAL:** 2,248.07
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP PO NO | AMOUNT |
|-------------------------------------------------|---------------|-------------------------------------|------------------------------|-----------------|-----------|----------------|--------|
| RECOVERY HEALTHCARE COR 2017 | 161-576-603 | CBP-GENERAL - EX 3740 | | 8848856 (2) | 01/27/2017 | 01/30/2017 | 5.50 |
| TEXAS ASSOC OF COUNTIES 2017 | 161-572-206 | WORKERS COMPENSA 1ST QTR 2017 | | NRCN-17048-W | 01/24/2017 | 01/30/2017 | 145.21 |
| TEXAS ASSOC OF COUNTIES 2017 | 161-573-206 | WORKERS COMPENSA 1ST QTR 2017 | | NRCN-17048-W | 01/24/2017 | 01/30/2017 | 94.84 |
| TEXAS ASSOC OF COUNTIES 2017 | 161-575-206 | WORKERS COMPENSA 1ST QTR 2017 | | NRCN-17048-W | 01/24/2017 | 01/30/2017 | 45.06 |
**Total:** 290.61
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP | PO NO | AMOUNT |
|-----------------------------|---------------|-------------------------------------|--------------------------------------------------|-------------|---------|----------|--------|--------|
| HOLT CAT | 2017 211-611-445 | REPAIRS & MAINTENANCE | REFERENCE TO INV PI | PCMT0017465 | 01/27/2017 | 01/30/2017 | 300234 | 603.58 |
| HOLT CAT | 2017 211-611-445 | REPAIRS & MAINTENANCE | UNIT 11 - REPAIRED | WIM00065417 | 01/27/2017 | 01/30/2017 | | 3,150.74 |
| TEXAS ASSOC OF COUNTIES | 2017 211-611-206 | WORKERS COMPENSATION | 1ST QTR 2017 | NRCN-17048-W | 01/24/2017 | 01/30/2017 | | 2,010.77 |
| TIMCO BLASTING & COATING | 2017 211-611-453 | HAULING | NW1145, NW1210, NW2 | 016622 | 01/26/2017 | 01/30/2017 | 302514 | 4,233.38 |
| TIMCO BLASTING & COATING | 2017 211-611-453 | HAULING | NW1180, NW1145, NW0 | 016650 | 01/26/2017 | 01/30/2017 | 302514 | 11,087.00 |
19,878.31
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP PO NO | AMOUNT |
|-----------------------------------|-----------|-----------------------|-------------------|-----------|-------------|----------------|---------|
| ATWOODS DISTRIBUTING LP 2017 | 212-612-426 | UNIFORMS | WORK BOOTS | 2890/37 | 01/26/2017 | 01/30/2017 | 303284 | 104.99 |
| ATWOODS DISTRIBUTING LP 2017 | 212-612-426 | UNIFORMS | WORK BOOTS | 2890/37 | 01/26/2017 | 01/30/2017 | 303284 | 112.49 |
| ATWOODS DISTRIBUTING LP 2017 | 212-612-426 | UNIFORMS | WORK BOOTS | 2890/37 | 01/26/2017 | 01/30/2017 | 303284 | 74.99 |
| ATWOODS DISTRIBUTING LP 2017 | 212-612-426 | UNIFORMS | WORK BOOTS | 2890/37 | 01/26/2017 | 01/30/2017 | 303284 | 244.98 |
| ATWOODS DISTRIBUTING LP 2017 | 212-612-426 | UNIFORMS | WORK BOOTS | 2890/37 | 01/26/2017 | 01/30/2017 | 303284 | 245.58 |
| ATWOODS DISTRIBUTING LP 2017 | 212-612-321 | MAINTENANCE SUPP | SHOVELS | 2896/37 | 01/26/2017 | 01/30/2017 | 302515 | 59.94 |
| HOLT CAT | 2017 | 212-612-324 BLADES | SHIPPING | P1M00330811 | 01/26/2017 | 01/30/2017 | 303285 | 102.78 |
| HOLT CAT | 2017 | 212-612-324 BLADES | MOTOR GRADER - BLAD | P1M00330811 | 01/26/2017 | 01/30/2017 | 303285 | 1,713.10|
| MARTIN MARIETTA MATERIA 2017 | 212-612-376 | ROAD MATERIAL | NE2100. SE3230. SE3 | 19501358 | 01/26/2017 | 01/30/2017 | 302575 | 4,389.57|
| MARTIN MARIETTA MATERIA 2017 | 212-612-376 | ROAD MATERIAL | NE2120. SE3220 | 19484443 | 01/26/2017 | 01/30/2017 | 302575 | 2,540.65|
| MCCOY'S BUILDING SUPPLY 2017 | 212-612-376 | ROAD MATERIAL | REFERENCE TO INV 59 | 5911170 | 01/26/2017 | 01/30/2017 | 303271 | 173.00 |
| MCCOY'S BUILDING SUPPLY 2017 | 212-612-376 | ROAD MATERIAL | BLACKTOP PATCH | 5911167 | 01/26/2017 | 01/30/2017 | 303271 | 173.00 |
| SMALL ENGINE SALES & SE 2017 | 212-612-321 | MAINTENANCE SUPP | 24" CHAIN | 178700 | 01/26/2017 | 01/30/2017 | 302529 | 64.93 |
| SMALL ENGINE SALES & SE 2017 | 212-612-321 | MAINTENANCE SUPP | CHAINS | 178681 | 01/26/2017 | 01/30/2017 | 302529 | 45.56 |
| TEXAS ASSOC OF COUNTIES 2017 | 212-612-206 | WORKERS COMPENSA | 1ST QTR 2017 | NRCN-17048-W | 01/24/2017 | 01/30/2017 | | 2,410.36|
| TEXAS ASSOC OF COUNTIES 2017 | 212-612-310 | OFFICE SUPPLIES | TX COUNTY GOVERNMENT | 41632 | 01/26/2017 | 01/30/2017 | 303274 | 8.50 |
| TRUCK PARTS & SERVICE I 2017 | 212-612-321 | MAINTENANCE SUPP | REFERENCE TO INV 26 | 26224 | 01/26/2017 | 01/30/2017 | 303196 | 20.46 |
| WINTERS OIL COMPANY | 2017 | 212-612-370 GAS & OIL | 1500 GAL DIESEL | 548184 | 01/26/2017 | 01/30/2017 | 303305 | 2,938.35|
| WINTERS OIL COMPANY | 2017 | 212-612-370 GAS & OIL | 400 GAL GAS | 548184 | 01/26/2017 | 01/30/2017 | 303305 | 765.44 |
**Total: 15,801.75**
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP PO NO | AMOUNT |
|-----------------------------------|-------------|-------------------------------|-----------------------------|-----------|-------------|----------------|---------|
| ARNOLD CRUSHED STONE | 2017 214-614-376 ROAD MATERIAL | SW3110, BGSP | 233425 | 01/26/2017 | 01/30/2017 | 302681 | 288.92 |
| ARNOLD CRUSHED STONE | 2017 214-614-376 ROAD MATERIAL | SW3110, BGSP | 233392 | 01/26/2017 | 01/30/2017 | 302681 | 420.27 |
| ARNOLD CRUSHED STONE | 2017 214-614-376 ROAD MATERIAL | SW3110, BGSP | 233411 | 01/26/2017 | 01/30/2017 | 302681 | 1,399.05|
| ATWOODS DISTRIBUTING LP | 2017 214-614-321 MAINTENANCE SUPP 2.5 GAL DEF | 2897/37 | 01/26/2017 | 01/30/2017 | 302549 | 15.76 |
| CORSICANA NAPA AUTO PAR | 2017 214-614-321 MAINTENANCE SUPP 1/2" IMPACT WRENCH | 063600 | 01/26/2017 | 01/30/2017 | 303297 | 209.99 |
| CORSICANA NAPA AUTO PAR | 2017 214-614-321 MAINTENANCE SUPP UNIT 44 - AIR FILTE | 063600 | 01/26/2017 | 01/30/2017 | 303297 | 6.57 |
| CORSICANA NAPA AUTO PAR | 2017 214-614-321 MAINTENANCE SUPP UNIT 44 - FUEL FILT | 063600 | 01/26/2017 | 01/30/2017 | 303297 | 11.11 |
| CORSICANA NAPA AUTO PAR | 2017 214-614-321 MAINTENANCE SUPP UNIT 44 - SPARK PLU | 063600 | 01/26/2017 | 01/30/2017 | 303297 | 15.92 |
| CORSICANA NAPA AUTO PAR | 2017 214-614-321 MAINTENANCE SUPP UNIT 44 - SPARK PLU | 063600 | 01/26/2017 | 01/30/2017 | 303297 | 39.08 |
| CORSICANA NAPA AUTO PAR | 2017 214-614-321 MAINTENANCE SUPP UNIT 454 - WIPER BL | 063599 | 01/26/2017 | 01/30/2017 | 302552 | 8.72 |
| CORSICANA NAPA AUTO PAR | 2017 214-614-321 MAINTENANCE SUPP UNIT 455 - WIPER BL | 063599 | 01/26/2017 | 01/30/2017 | 302552 | 8.72 |
| HADEN'S AUTO REPAIR | 2017 214-614-445 REPAIRS & MAINTE SHIPPING | 4670 | 01/26/2017 | 01/30/2017 | 303343 | 25.00 |
| HADEN'S AUTO REPAIR | 2017 214-614-445 REPAIRS & MAINTE UNIT 47 - REPLACED | 4670 | 01/26/2017 | 01/30/2017 | 303343 | 2,034.12|
| HADEN'S AUTO REPAIR | 2017 214-614-445 REPAIRS & MAINTE UNIT 48 - REPLACED | 4679 | 01/27/2017 | 01/30/2017 | 303368 | 2,999.63|
| LEGACY BULK TRUCKING CO | 2017 214-614-453 HAULING | BGSP | 1147 | 01/26/2017 | 01/30/2017 | 302678 | 333.80 |
| LEGACY BULK TRUCKING CO | 2017 214-614-453 HAULING | SW3110, BGSP | 1148 | 01/26/2017 | 01/30/2017 | 302678 | 2,877.01|
| LEGACY BULK TRUCKING CO | 2017 214-614-453 HAULING | SW3110, BGSP | 1149 | 01/26/2017 | 01/30/2017 | 302678 | 2,887.09|
| LEGACY BULK TRUCKING CO | 2017 214-614-453 HAULING | SW3110, BGSP | 1150 | 01/26/2017 | 01/30/2017 | 302678 | 2,693.70|
| LEGACY BULK TRUCKING CO | 2017 214-614-453 HAULING | SW3110, BGSP | 1151 | 01/26/2017 | 01/30/2017 | 302678 | 1,154.51|
| LEGACY BULK TRUCKING CO | 2017 214-614-453 HAULING | SW3110, BGSP | 1152 | 01/26/2017 | 01/30/2017 | 302678 | 1,405.58|
| RATTLER ROCK INC | 2017 214-614-376 ROAD MATERIAL | SW4210, BGSP | 116877 | 01/26/2017 | 01/30/2017 | 302679 | 2,713.41|
| RATTLER ROCK INC | 2017 214-614-376 ROAD MATERIAL | SW3060, BGSP | 116891 | 01/26/2017 | 01/30/2017 | 302679 | 1,397.63|
| SMALL ENGINE SALES & SE | 2017 214-614-321 MAINTENANCE SUPP 8" TRIMMER LINE, 1 | 178662 | 01/26/2017 | 01/30/2017 | 302558 | 65.82 |
| SMALL ENGINE SALES & SE | 2017 214-614-321 MAINTENANCE SUPP CAP ASSEMBLY | 178662 | 01/26/2017 | 01/30/2017 | 302558 | 9.36 |
| TEXAS ASSOC OF COUNTIES | 2017 214-614-206 WORKERS COMPENSA 1ST QTR 2017 | NRCN-17048-W | 01/24/2017 | 01/30/2017 | | 2,506.52|
| WILLIAMS GIN & GRAIN CO | 2017 214-614-321 MAINTENANCE SUPP POWER STEERING FLUI | 353511 | 01/26/2017 | 01/30/2017 | 302561 | 47.13 |
| WINDSTREAM | 2017 214-614-435 TELEPHONE | 125287122 01/19/17 | 7122 - JAN 2 01/26/2017 | 01/30/2017 | | 56.74 |
**TOTAL:** 25,631.16
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP PO NO | AMOUNT |
|-------------------------------------------------|-------------|-------------------------------------|------------------------------|---------------|------------|----------------|--------|
| TEXAS ASSOC OF COUNTIES 2017 231-410-206 | | WORKERS COMPENSA | 1ST QTR 2017 | NRCN-17048-W | 01/24/2017 | 01/30/2017 | 412.70 |
412.70
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP PO NO | AMOUNT |
|-----------------------------|------------|-------------------------------------|----------------------------------|-----------|-------------|----------------|--------|
| GUARDIAN SECURITY SERVI 2017| 242-410-410| PROFESSIONAL SER GV-AS ID CARDS | | 12127 | 01/26/2017 | 01/30/2017 | 303202 | 275.00 |
| GUARDIAN SECURITY SERVI 2017| 242-410-410| PROFESSIONAL SER GV-AS ID KEYS | | 12127 | 01/26/2017 | 01/30/2017 | 303202 | 44.25 |
| GUARDIAN SECURITY SERVI 2017| 242-410-410| PROFESSIONAL SER SHIPPING | | 12127 | 01/26/2017 | 01/30/2017 | 303202 | 25.00 |
| TEXAS ASSOC OF COUNTIES 2017| 242-410-206| WORKERS COMPENSA 1ST QTR 2017 | | NRCN-17048-W | 01/24/2017 | 01/30/2017 | | 202.64 |
546.89
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP PO NO | AMOUNT |
|-----------------------------------|-----------|-------------------------------|----------------------|---------------|---------------|----------------|---------|
| ALTTEX COMPUTERS & ELECT | 2017 | 318-516-585 EQUIPMENT | CISCO SF300-24 ENET | 913600 | 01/24/2017 | 01/30/2017 | 303249 | 204.71 |
| AMARILLO POLICE DEPARTM | 2017 | 318-533-120 OVERTIME | MINCHER, RANDY 18.5 | NOV 2016 | 01/24/2017 | 01/30/2017 | 800.16 |
| CARROLLTON POLICE DEPT | 2017 | 318-526-120 OVERTIME | PUTMAN, TRAVIS 33 O | DEC 2016 | 01/24/2017 | 01/30/2017 | 1,877.37|
| CITY OF RICHARDSON POLI | 2017 | 318-526-120 OVERTIME | SHAW JR, ROBERT L 1 | NOV 2016 | 01/26/2017 | 01/30/2017 | 677.48 |
| CITY OF RICHARDSON POLI | 2017 | 318-526-120 OVERTIME | SHAW JR, ROBERT L 7 | NOV 2016 | 01/27/2017 | 01/30/2017 | 255.68 |
| COVERTTRACK GROUP INC | 2017 | 318-531-411 SERVICES | COVERTTRACK MAPPING | 20169 | 01/24/2017 | 01/30/2017 | 303267 | 589.81 |
| DISTRICT ATTORNEY 47TH | 2017 | 318-533-120 OVERTIME | WILSON, VERN 7 OT | NOV 2016 | 01/24/2017 | 01/30/2017 | 244.42 |
| DOROTHY SPARKS | 2017 | 318-533-428 TRAVEL | INTERNET & SOCIAL M | REIMB - 01/1 | 01/27/2017 | 01/30/2017 | 1,495.59|
| ELLIS COUNTY SHERIFF'S | 2017 | 318-526-120 OVERTIME | HALE, TOMMY 247 OT | MAR-OCT | 01/24/2017 | 01/30/2017 | 10,053.13|
| FEDEX - TXMAS | 2017 | 318-516-411 SERVICES | 2934-0047-4 | 5-680-52523 | 01/23/2017 | 01/30/2017 | 115.25 |
| HARRISON COUNTY AUDITOR | 2017 | 318-521-120 OVERTIME | LATHAM, MARTIN L 11 | NOV 2016 | 01/24/2017 | 01/30/2017 | 427.25 |
| IRVING POLICE DEPT | 2017 | 318-526-120 OVERTIME | SLICKER, R 10.5 OT | NOV 2016 | 01/24/2017 | 01/30/2017 | 607.32 |
| MICHELLE CURTIS | 2017 | 318-517-428 TRAVEL | MI-15-0045 - RECON | REIMB - 11/0 | 01/27/2017 | 01/30/2017 | 6.44 |
| MITEL CLOUD SERVICES | 2017 | 318-516-411 SERVICES | 064109628 12/15/16 | 26397469 | 01/26/2017 | 01/30/2017 | 1,248.81|
| OKLAHOMA BUREAU OF NARC | 2017 | 318-534-120 MCALESTER DRUG | MORRISON, JOHN 7 OT | AUG 2016 | 01/24/2017 | 01/30/2017 | 217.91 |
| POTTER COUNTY SHERIFF'S | 2017 | 318-533-120 OVERTIME | SIMPSON, KC 19 OT | NOV 2016 | 01/24/2017 | 01/30/2017 | 716.14 |
| PRISCILLA THOMAS | 2017 | 318-517-428 TRAVEL | 40 MILES @ .54 | NOV 2016 | 01/23/2017 | 01/30/2017 | 21.60 |
| RANDALL COUNTY SHERIFF | 2017 | 318-533-120 OVERTIME | FABELA, MARCOS 8 OT | NOV 2016 | 01/24/2017 | 01/30/2017 | 367.39 |
| RANDALL COUNTY SHERIFF | 2017 | 318-533-120 OVERTIME | HOFFMAN, JEREMY 27. | NOV 2016 | 01/24/2017 | 01/30/2017 | 1,239.07|
| SOLID BORDER | 2017 | 318-516-411 SERVICES | KASPERSKY ENDPOINT | 761237 | 01/24/2017 | 01/30/2017 | 3,194.00|
| TERMINIX | 2017 | 318-516-418 FACILITIES | 548336 | 361622985 | 01/26/2017 | 01/30/2017 | 72.60 |
**TOTAL:** 24,432.13
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP | PO NO | AMOUNT |
|-----------------------------------------------------------------------------|---------------|--------------------------------------------------|----------------------|-----------------|-----------|---------|-------|--------|
| TEXAS ASSOC OF COUNTIES 2017 319-533-206 WORKERS COMPENSA 1ST QTR 2017 | | | | NRCN-17048-W | 01/24/2017 | 01/30/2017 | | 34.51 |
| TEXAS ASSOC OF COUNTIES 2017 319-515-206 WORKERS COMPENSA 1ST QTR 2017 | | | | NRCN-17048-W | 01/24/2017 | 01/30/2017 | | 160.54 |
| TEXAS ASSOC OF COUNTIES 2017 319-516-206 WORKERS COMPENSA 1ST QTR 2017 | | | | NRCN-17048-W | 01/24/2017 | 01/30/2017 | | 75.23 |
| TEXAS ASSOC OF COUNTIES 2017 319-517-206 WORKERS COMPENSA 1ST QTR 2017 | | | | NRCN-17048-W | 01/24/2017 | 01/30/2017 | | 316.81 |
587.09
| VENDOR NAME | ACCOUNT # | ACCOUNT NAME | ITEM/REASON | INVOICE # | VP DATE | DATE TBP PO NO | AMOUNT |
|-------------|---------------|----------------------------|----------------------|-----------|-----------|----------------|--------|
| TESSCO | 2017 960-560-445 | REPAIRS & MAINTENANCE | IPHONE 5/5S CASES | 562552 | 01/27/2017 | 01/30/2017 302877 | 79.92 |
TOTAL PAYABLES
321,650.80
January 23, 2017
Navarro County, Texas
601 N. 13th Street, Suite 6
Corsicana, Texas 75110
Dear Commissioners’ Court and County Auditor:
You have requested that we audit the financial statements of the governmental activities, each major fund, and the aggregate remaining fund information of Navarro County, Texas, as of September 30, 2016, and for the year then ended, and the related notes to the financial statements, which collectively comprise Navarro County, Texas’ basic financial statements as listed in the table of contents.
In addition, we will audit the entity’s compliance over major federal award programs for the period ended September 30, 2016. We are pleased to confirm our acceptance and our understanding of this audit engagement by means of this letter. Our audits will be conducted with the objectives of our expressing an opinion on each opinion unit and an opinion on compliance regarding the entity’s major federal award programs.
Accounting principles generally accepted in the United States of America require that the management’s discussion and analysis, budgetary comparison information, and pension related information be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by Governmental Accounting Standards Board, who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. As part of our engagement, we will apply certain limited procedures to the required supplementary information (RSI) in accordance with auditing standards generally accepted in the United States of America. These limited procedures will consist primarily of inquiries of management regarding their methods of measurement and presentation, and comparing the information for consistency with management’s responses to our inquiries. We will not express an opinion or provide any form of assurance on the RSI. The following RSI is required by accounting principles generally accepted in the United States of America. This RSI will be subjected to certain limited procedures but will not be audited:
- Management’s Discussion and Analysis
• Budgetary Comparison Information
• Schedule of Changes in Net Pension Liability and Related Ratios.
• Schedule of Contributions.
Supplementary information other than RSI will accompany Navarro County, Texas’ basic financial statements. We will subject the following supplementary information to the auditing procedures applied in our audit of the basic financial statements and certain additional procedures, including comparing and reconciling the supplementary information to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and additional procedures in accordance with auditing standards generally accepted in the United States of America. We intend to provide an opinion on the following supplementary information in relation to the financial statements as a whole:
• Combining Statements and Schedules
**Schedule of Expenditures of Federal Awards**
We will subject the schedule of expenditures of federal awards to the auditing procedures applied in our audit of the basic financial statements and certain additional procedures, including comparing and reconciling the schedule to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and additional procedures in accordance with auditing standards generally accepted in the United States of America. We intend to provide an opinion on whether the schedule of expenditures of federal awards is presented fairly in all material respects in relation to the financial statements as a whole.
Also, the document we submit to you will include the following other additional information that will not be subjected to the auditing procedures applied in our audit of the financial statements:
• Introductory Section.
• Statistical Section.
**Data Collection Form**
Prior to the completion of our engagement, we will complete the sections of the Data Collection Form that are our responsibility. The form will summarize our audit findings, amounts and conclusions. It is management’s responsibility to submit a reporting package including financial statements, schedule of expenditure of federal awards, summary schedule of prior audit findings and corrective action plan along with the Data Collection Form to the federal audit clearinghouse. The financial reporting package must be text searchable, unencrypted, and unlocked. Otherwise, the reporting package will not be accepted by the federal audit clearinghouse. We will assist you in the electronic submission and certification. You may request from us copies of our report for you to include with the reporting package submitted to pass-through entities.
The Data Collection Form is required to be submitted within the *earlier* of 30 days after receipt of our auditors’ reports or nine months after the end of the audit period, unless specifically waived by a federal cognizant or oversight agency for audits. Data Collection Forms submitted untimely are one of the factors in assessing programs at a higher risk.
**Audit of the Financial Statements**
We will conduct our audit in accordance with auditing standards generally accepted in the United States of America (U.S. GAAS), the standards applicable to financial audits contained in *Government Auditing Standards*, issued by the Comptroller General of the United States of America; the audit requirements of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, *Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards* (Uniform Guidance). Those standards and the Uniform Guidance require that we plan and perform the audit to obtain reasonable assurance about whether the basic financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the financial statements, whether due to error, fraudulent financial reporting, misappropriation of assets, or violations of laws, governmental regulations, grant agreements, or contractual agreements.
An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. If appropriate, our procedures will therefore include tests of documentary evidence that support the transactions recorded in the accounts and direct confirmation of cash, investments, and certain other assets and liabilities by correspondence with creditors and financial institutions. As part of our audit process, we will request written representations from your attorneys, and they may bill you for responding. At the conclusion of our audit, we will also request certain written representations from you about the financial statements and related matters.
Because of the inherent limitations of an audit, together with the inherent limitations of internal control, an unavoidable risk that some material misstatements or noncompliance (whether caused by errors, fraudulent financial reporting, misappropriation of assets, or violations of laws or governmental regulations) may not be detected exists, even though the audit is properly planned and performed in accordance with U.S. GAAS and *Government Auditing Standards* of the Comptroller General of the United States of America.
In making our risk assessments, we consider internal control relevant to the entity’s preparation and fair presentation of the financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. However, we will communicate to you in writing concerning any significant deficiencies or material weaknesses in internal control relevant to the audit of the financial statements that we have identified during the audit. Our responsibility as auditors is, of course, limited to the period covered by our audit and does not extend to any other periods.
We will issue a written report upon completion of our audit of Navarro County, Texas’ basic financial statements. Our report will be addressed to the governing body of Navarro County, Texas. We cannot provide assurance that unmodified opinions will be expressed. Circumstances may arise in which it is necessary for us to modify our opinions, add an emphasis-of-matter or other-matter paragraph(s), or withdraw from the engagement.
In accordance with the requirements of *Government Auditing Standards*, we will also issue a written report describing the scope of our testing over internal control over financial reporting and over compliance with laws, regulations, and provisions of grants and contracts, including the results of that testing. However, providing an opinion on internal control and compliance over financial reporting will not be an objective of the audit and, therefore, no such opinion will be expressed.
**Audit of Major Program Compliance**
Our audit of Navarro County, Texas’ major federal award program(s) compliance will be conducted in accordance with the requirements of the Single Audit Act, as amended; and the Uniform Guidance, and will include tests of accounting records, a determination of major programs in accordance with the Uniform Guidance and other procedures we consider necessary to enable us to express such an opinion on major federal award program compliance and to render the required reports. We cannot provide assurance that an unmodified opinion on compliance will be expressed. Circumstances may arise in which it is necessary for us to modify our opinion or withdraw from the engagement.
The Uniform Guidance requires that we also plan and perform the audit to obtain reasonable assurance about whether the entity has complied with applicable laws and regulations and the provisions of contracts and grant agreements applicable to major federal award programs. Our procedures will consist of determining major federal programs and performing the applicable procedures described in the U.S. Office of Management and Budget *OMB Compliance Supplement* for the types of compliance requirements that could have a direct and material effect on each of the entity’s major programs. The purpose of those procedures will be to express an opinion on the entity’s compliance with requirements applicable to each of its major programs in our report on compliance issued pursuant to the Uniform Guidance.
Also, as required by the Uniform Guidance, we will perform tests of controls to evaluate the effectiveness of the design and operation of controls that we consider relevant to preventing or detecting material noncompliance with compliance requirements applicable to each of the entity’s major federal award programs. However, our tests will be less in scope than would be necessary to render an opinion on these controls and, accordingly, no opinion will be expressed in our report.
We will issue a report on compliance that will include an opinion or disclaimer of opinion regarding the entity’s major federal award programs, and a report on internal controls over compliance that will report any significant deficiencies and material weaknesses identified; however, such report will not express an opinion on internal control.
Management’s Responsibilities
Our audit will be conducted on the basis that management and, when appropriate, those charged with governance acknowledge and understand that they have responsibility:
1. For the preparation and fair presentation of the financial statements in accordance with accounting principles generally accepted in the United States of America;
2. For the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to error fraudulent financial reporting, misappropriation of assets, or violations of laws, governmental regulations, grant agreements, or contractual agreements;
3. For safeguarding assets;
4. For identifying all federal awards expended during the period including federal awards and funding increments received prior to December 26, 2014, and those received in accordance with the Uniform Guidance generally received after December 26, 2014;
5. For preparing the schedule of expenses of federal awards (including notes and noncash assistance received) in accordance with the Uniform Guidance requirements;
6. For the design, implementation, and maintenance of internal control over compliance;
7. For identifying and ensuring that the entity complies with laws, regulations, grants, and contracts applicable to its activities and its federal award programs;
8. For following up and taking corrective action on reported audit findings from prior periods and preparing a summary schedule of prior audit findings;
9. For following up and taking corrective action on current year audit findings and preparing a corrective action plan for such findings;
10. For submitting the reporting package and data collection form to the appropriate parties;
11. For making the auditor aware of any significant vendor relationships where the vendor is responsible for program compliance;
12. To provide us with:
a. Access to all information of which management is aware that is relevant to the preparation and fair presentation of the financial statements, and relevant to federal award programs, such as records, documentation, and other matters;
b. Additional information that we may request from management for the purpose of the audit; and
c. Unrestricted access to persons within the entity from whom we determine it necessary to obtain audit evidence.
13. For adjusting the financial statements to correct material misstatements and confirming to us in the management representation letter that the effects of any uncorrected misstatements aggregated by us during the current engagement and pertaining to the current year period(s) under audit are immaterial, both individually and in the aggregate, to the financial statements as a whole;
14. For maintaining adequate records, selecting and applying accounting principles, and safeguarding assets; and
15. For confirming your understanding of your responsibilities as defined in this letter to us in your management representation letter.
With regard to the supplementary information referred to above, you acknowledge and understand your responsibility (a) for the preparation of the supplementary information in accordance with the applicable criteria, (b) to provide us with the appropriate written representations regarding supplementary information, (c) to include our report on the supplementary information in any document that contains the supplementary information and that indicates that we have reported on such supplementary information, and (d) to present the supplementary information with the audited financial statements, or if the supplementary information will not be presented with the audited financial statements, to make the audited financial statements readily available to the intended users of the supplementary information no later than the date of issuance by you of the supplementary information and our report thereon.
With respect to any nonattest services we perform, such as preparation of financial statements and related note disclosures and the schedule of expenditures of federal awards. The entity’s management is responsible for (a) making all management decisions and performing all management functions; (b) assigning a competent individual to oversee the services; (c) evaluating the adequacy of the services performed; (d) evaluating and accepting responsibility for the results of the services performed; and (e) establishing and maintaining internal controls, including monitoring ongoing activities.
As part of our audit process, we will request from management and, when appropriate, those charged with governance, written confirmation concerning representations made to us in connection with the audit.
We understand that your employees will prepare all confirmations we request and will locate any documents or invoices selected by us for testing.
If you intend to publish or otherwise reproduce the financial statements and make reference to our firm, you agree to provide us with printers’ proofs or masters for our review and approval before printing. You also agree to provide us with a copy of the final reproduced material for our approval before it is distributed.
With regard to the electronic dissemination of audited financial statements, including financial statements published electronically on your website, you understand that electronic sites are a means to distribute information and, therefore, we are not required to read the information contained in these sites or to consider the consistency of other information in the electronic site with the original document.
Engagement Administration, Fees and Timing
We will schedule the engagement based in part on deadlines, working condition, and the availability of your key personnel. We will plan the engagement based on the assumption that your personnel will cooperate and provide assistance by performing tasks such as preparing requested schedules, retrieving supporting documents, and preparing confirmations. If for whatever reason your personnel are unavailable to provide the necessary assistance in a timely manner, it may substantially increase the work we have to do to complete the engagement within the established deadlines, resulting in an increase in fees over our original fee estimate.
The timing of our audit will be scheduled for performance and completion as follows:
- Document internal control and preliminary tests: February 2017
- Mail confirmations: January 2017
- Perform year-end audit procedures: February 2017
- Issue audit reports: March 2017
Paula Lowe is the engagement partner for the audit services specified in this letter. Her responsibilities include supervising Pattillo, Brown & Hill, L.L.P.’s services performed as part of this engagement and signing or authorizing another qualified firm representative to sign the audit report.
Our fees for these services will be at our standard hourly rates plus out-of-pocket cost (such as reports reproduction, word processing, postage, travel, copies, telephone, etc.) except that we agree that our gross fee, including expenses, will not exceed $33,500. Our standard hourly rates vary according to the degree of responsibility involved and the experience level of the personnel assigned to your audit. Our invoices for these fees will be rendered each month as work progresses and are payable on presentation. In accordance with our firm policies, work may be suspended if your account becomes 30 days or more overdue and may not be resumed until your account is paid in full. If you elect to terminate our services for nonpayment, our engagement will be deemed to have been completed upon written notification of termination, even if we have not completed our report(s). You will be obligated to compensate us for all time expended and to reimburse us for all out-of-pocket costs through the date of termination. The above fee is based on anticipated cooperation from your personnel and the assumption that unexpected circumstances will not be encountered during the audit. If significant additional time is necessary, we will discuss it with you and arrive at a new fee estimate before we incur the additional cost.
Other Matters
During the course of the engagement, we may communicate with you or your personnel via fax or e-mail, and you should be aware that communication in those mediums contains a risk of misdirected or intercepted communications.
The audit documentation for this engagement is the property of Pattillo, Brown & Hill, L.L.P. and constitutes confidential information. However, we may be requested to make certain audit documentation
Blank on Purpose
available to federal agencies and the U.S. Government Accountability Office pursuant to authority given to it by law or regulation, or to peer reviewers. If requested, access to such audit documentation will be provided under the supervision of Pattillo, Brown & Hill, L.L.P.’s personnel. Furthermore, upon request, we may provide copies of selected audit documentation to these agencies and regulators. The regulators and agencies may intend, or decide, to distribute the copies of information contained therein to others, including other governmental agencies. We agree to retain our audit documentation or work papers for a period of at least five years from the date of our report.
Further, we will be available during the year to consult with you on financial management and accounting matters of a routine nature.
During the course of the audit, we may observe opportunities for economy in, or improved controls over, your operations. We will bring such matters to the attention of the appropriate level of management, either orally or in writing.
We agree to retain our audit documentation or work papers for a period of at least five years from the date of our report.
You agree to inform us of facts that may affect the financial statements of which you may become aware during the period from the date of the auditor’s report to the date the financial statements are issued.
At the conclusion of our audit engagement, we will communicate to management and those charged with governance the following significant findings from the audit:
- Our view about the qualitative aspects of the entity’s significant accounting practices;
- Significant difficulties, if any, encountered during the audit;
- Uncorrected misstatements, other than those we believe are trivial, if any;
- Disagreements with management, if any;
- Other findings or issues, if any, arising from the audit that are, in our professional judgment, significant and relevant to those charged with governance regarding their oversight of the financial reporting process;
- Material, corrected misstatements that were brought to the attention of management as a result of our audit procedures;
- Representations we requested from management;
- Management’s consultations with other accountants, if any; and
- Significant issues, if any, arising from the audit that were discussed, or the subject of correspondence, with management.
In accordance with the requirements of *Government Auditing Standards*, we have attached a copy of our latest external peer review report of our firm for your consideration and files.
Please sign and return the attached copy of this letter to indicate your acknowledgment of, and agreement with, the arrangements for our audit of the financial statements compliance over major federal award programs including our respective responsibilities.
We appreciate the opportunity to be your financial statement auditors and look forward to working with you and your staff.
Respectfully,
Pattillo, Brown & Hill, L.L.P.
Paula Lowe
RESPONSE:
This letter correctly sets forth our understanding.
Acknowledged and agreed on behalf of Navarro County, Texas by:
Name: ____________________________________________
Title: ______________________________________________
Date: ______________________________________________
SYSTEM REVIEW REPORT
August 29, 2013
To the Partners of
Pattillo, Brown & Hill, L. L. P.
and the National Peer Review Committee
We have reviewed the system of quality control for the accounting and auditing practice of Pattillo, Brown & Hill, L. L. P. (the firm) in effect for the year ended May 31, 2013. Our peer review was conducted in accordance with the Standards for Performing and Reporting on Peer Reviews established by the Peer Review Board of the American Institute of Certified Public Accountants. As a part of our peer review, we considered reviews by regulatory entities, if applicable, in determining the nature and extent of our procedures. The firm is responsible for designing a system of quality control and complying with it to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Our responsibility is to express an opinion on the design of the system of quality control and the firm’s compliance therewith based on our review. The nature, objectives, scope, limitations of, and the procedures performed in a System Review are described in the standards at www.aicpa.org/prsummary.
As required by the standards, engagements selected for review included engagements performed under Government Auditing Standards, audits of employee benefit plans, audits performed under FDICIA and examinations of service organizations [Service Organizations Control (SOC) 1 engagements].
In our opinion, the system of quality control for the accounting and auditing practice of Pattillo, Brown & Hill, L. L. P. in effect for the year ended May 31, 2013, has been suitably designed and complied with to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Firms can receive a rating of pass, pass with deficiency(ies) or fail. Pattillo, Brown & Hill, L. L. P. has received a peer review rating of pass.
EUBANK, BETTS, HIRN, WOOD, PLLC
MEMBER CONTACT INFORMATION:
Member Name: Navarro County
As specified in the Interlocal Agreement, each member hereby designates a Contact Person (Pool Coordinator) to whom we shall send all communication in regards to TAC RMP coverages. This person will be TAC RMP’s main contact for daily matters pertaining to your TAC RMP coverages. Other contacts may be assigned by the County Judge / Presiding Official as specified below.
| Pool Coordinator: All lines – main contact | Current Contact | Changes / Corrections |
|-------------------------------------------|-----------------|----------------------|
| Name / Title | Brittney Simon / Auditor | Terri Gillen, Internal Auditor |
| Address | 601 N 13th St Ste 6 Corsicana, TX 75110 | 601 N. 13th St Ste 6 Corsicana, TX 75110 |
| Phone / Fax | (903) 654-3095 / (903) 654-3097 | 903-654-3095 / 903-654-3097 |
| Email | [email protected] | [email protected] |
*Billing Coordinator: Receives all TAC RMP invoices
| Name / Title | Terri Gillen / Internal Auditor | Natalie Robinson, 1st Asst. |
|-------------------------------------------|---------------------------------|-----------------------------|
| Address | 601 North 13th St Ste 6 Corsicana, TX 75110 | 601 North 13th St Ste 6 Corsicana, TX 75110 |
| Phone / Fax | (903) 654-3095 / (903) 654-3097 | (903) 654-3095 / (903) 654-3097 |
| Email | [email protected] | [email protected] |
*Workers’ Compensation Coordinator: Sends all payroll info to Pool
| Name / Title | Jane McCollum / Chief Deputy Treasurer | Jessica Warren, Asst. Auditor |
|-------------------------------------------|----------------------------------------|-------------------------------|
| Address | 601 N 13th St Ste 4 Corsicana, TX 75110-3015 | 601 North 13th St Ste 6 Corsicana, TX 75110 |
| Phone / Fax | (903) 654-3090 / (903) 654-3391 | (903) 654-3095 / (903) 654-3097 |
| Email | [email protected] | [email protected] |
Signature of County Judge
(or Presiding Official of the political subdivision)
*Optional contacts (Pool Coordinator is mandatory)
Loan Approval Worksheet
Name: Navarro County
Address: 601 N. 13th St STE 6
Business: Government Entity
Date: 01/04/2017
Reg O: No
NAICS Code: 921110
App ID# TBD
Secondary NAICS Code: N/A
| Loan | Broker Loan No | Broker Fee $ |
|------|----------------|--------------|
| Amount Requested | $291,500.00 | Financial Statement Dated 09/30/2015 |
Debt Summary:
- Secured: $295,268.71
- Unsecured
- Unfunded
- Indirect
- Total: $586,768.71
2.99% Fixed for 72 Months
% Var. Select to Select +
Floor Ceiling
N/A Processing Fee N/A Origination Fee
N/A Discount Point
Term: 72 Months P&I
Total Assets: $32,565,489**
Total Liabilities: $11,950,251**
Net Worth: $22,114,432**
Annual Sales or AGI: $N/A
Current Deposits
DDA Avg: $20,191,951.37**
MMA Avg @ %: %
Time Avg @ %: %
Total Average Deposits: $20,191,951.37**
Guarantors:
Purpose of Loan: To purchase a 2014 Gradall XL4100 that will be used in maintaining & improving county roads.
Product Code: 5200
Collateral: 2014 Gradall XL4100 S/N:4100000612 & all subsequent attachments.
Value: LTV: Part 365 Cost: LTC: Source:
N/A N/A Exception: No $291,500.00 100% Sales Order Documentation Cost
Liquidation Agreement: 72 monthly payments fully amortized estimated at $4,427.65/MO
Primary Source of Repayment: Taxes/General County Revenue
Secondary Source of Repayment: Liquid Assets
Debt Summary:
| Name | Original Balance | Current Balance | Monthly Payment | Maturity | Collateral |
|--------------------|------------------|-----------------|-----------------|----------------|----------------------------|
| Navarro Co. - LNH1071239 | $225,590.06 | $86,642.47 | $4,060.97 | 10/15/2018 | Multiple pieces of equipment |
| Navarro Co. - LNH1071550 | $236,045.00 | $123,080.59 | $3,383.34 | 12/19/2019 | Multiple pieces of equipment |
| Navarro Co. - LNH1072444 | 131,806.86 | $85,545.65 | $2,354.32 | 02/13/2020 | JD 6105M Tractor |
Conditions for Approval:
Policy and/or Rate exception: Tax Exempt Rate
Risk Grade: 2 - High Quality Pass
Change in Risk Grade from
Officers Recommendation
- [x] Approve
- [ ] Decline
Officer: Lance Watkins
Title: Bank President
Banking Center Name & #
Corsicana (73)
Phone # (903)-872-0077
Fax # (903)-872-8059
Executive Loan Committee
- [x] Approve
- [ ] Declined
Director's Loan Committee
- [ ] Approve
- [ ] Decline
Date: 1-12-17
Revised 11/15/2015 CA
|
<urn:uuid:c8121966-bb9f-4237-80c7-bdd6930f62af>
|
CC-MAIN-2019-04
|
https://newtools.cira.state.tx.us/upload/page/4268/docs/MeetingMinutes/2017/170130%20SPEC%20MIN%2010AM.pdf
|
2019-01-20T19:23:12Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-04/segments/1547583730728.68/warc/CC-MAIN-20190120184253-20190120210253-00122.warc.gz
| 579,358,556
| 15,290
|
eng_Latn
|
eng_Latn
| 0.949905
|
eng_Latn
| 0.988013
|
[
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
1466,
2966,
8871,
10254,
11440,
12832,
16136,
21326,
21906,
22978,
26790,
28179,
28612,
30860,
33584,
37568,
40414,
42847,
46088,
49118,
49136,
51730,
52462,
54501,
56984,
59445
] |
Wetlands and Riparian Areas
Environmental Resources Element
Riparian Areas
Riparian Areas are a unique combination of terrestrial plant communities and aquatic systems associated with flowing water that provide unique habitat and important movement corridors for wildlife.
Data compiled from the following sources: Boulder County, City of Boulder, Rocky Mountain National Park, State of Colorado.
Wetlands
Wetland designations recognize the importance and value of preserving and protecting sufficient area to support the myriad of ecological processes and functions that wetland and riparian areas provide to our ecosystem. Wetlands are generally described as lands transitional between terrestrial and aquatic systems where the land is covered by shallow water or soils are saturated during the growing season.
Data compiled from the following sources: Boulder County, City of Boulder, Colorado Natural Heritage Program, Rocky Mountain National Park.
Note: Map scale and reproduction method limit precision in physical features and boundary locations.
Adopted Dec. 14, 2022
Planning Commission
Printed 2/8/2023
Comprehensive Plan Map
|
c7d9d28e-4f09-47dc-a900-0fa59381969d
|
CC-MAIN-2024-18
|
https://assets.bouldercounty.gov/wp-content/uploads/2017/03/bccp-map-wetlands-riparian-areas.pdf
|
2024-04-14T17:20:52+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-18/subset=warc/part-00209-29538f81-5664-4df2-acb6-7d8ba3d2a1aa.c000.gz.parquet
| 110,771,898
| 211
|
eng_Latn
|
eng_Latn
| 0.975512
|
eng_Latn
| 0.975512
|
[
"eng_Latn"
] | true
|
docling
|
[
1143
] |
UC Irvine Law Review
Volume 3
Issue 2 Critical Race Theory and Empirical Methods
Article 7
5-2013
Degradation Ceremonies and the Criminalization of Low-Income Women
Kaaryn Gustafson UC Irvine School of Law
Follow this and additional works at: http://scholarship.law.uci.edu/ucilr
Part of the Criminal Law Commons, Law and Economics Commons, Law and Gender Commons, Law and Race Commons, Law and Society Commons, Legal Writing and Research Commons, and the Social Welfare Commons
Recommended Citation
Kaaryn Gustafson, Degradation Ceremonies and the Criminalization of Low-Income Women, 3 U.C. Irvine L. Rev. 297 (2013). Available at: http://scholarship.law.uci.edu/ucilr/vol3/iss2/7
This Article and Essay is brought to you for free and open access by UCI Law Scholarly Commons. It has been accepted for inclusion in UC Irvine Law Review by an authorized editor of UCI Law Scholarly Commons.
Degradation Ceremonies and the Criminalization of Low-Income Women
Kaaryn Gustafson*
This Article, a call for both empirical social scientists and critical race theorists to engage with each other in careful interpretive analysis, applies sociologist Harold Garfinkel's concept of ceremonial degradation to policies, practices, and proposals targeting low-income women of color in the United States. This Article offers several examples of degradation ceremonies, including: excessive penalties and extrajudicial public shaming for women convicted of welfare fraud; mandatory drug testing of welfare recipients; high-publicity criminal prosecutions of mothers who violate school district residency requirements to enroll their children in more affluent schools; and tough criminal penalties for those who possess stolen infant formula or other necessities low-income Americans have difficulty obtaining. This Article also describes some of the functions served by degradation ceremonies, including the legitimation of material inequality, the perpetuation of social and economic myths, the policing of status quo distributions of property, and the satisfaction of the public's emotional desire for sadomasochistic ritual. The Article's final Part calls upon policy makers and scholars to acknowledge the degradation of low-income women that now occurs through policy and practice and offers broader suggestions for subverting the ceremonial degradation of the poor.
Introduction ..................................................................................................................... 298
* Ellen Ash Peters Professor of Law, University of Connecticut School of Law. A draft of this Article was presented at UC Irvine Law School's "Critical Race Theory and Empirical Methods" symposium on April 20, 2012. Sincere thanks to Mario Barnes, Noel Cazenave, Todd Fernow, Alexandra Lahav, Peter Lindseth, and Nyaunu Stevens for their discussions while this Article was in formation and for their feedback on drafts. Thanks also to Leah Gasser-Ordaz and the other editors at the UC Irvine Law Review.
INTRODUCTION
In recent discussions with fellow scholars, there has emerged a divide between those who believe that empirical social science research and critical race theory (CRT) are approaches to inquiry that are in conflict and those who believe that the two approaches may be complementary. I side with the scholars who consider the approaches complementary. The important overlap between the two approaches is found in interpretive work and the contextualizing of empirical facts within systems of social meaning—particularly within systems of racial, economic, and political meaning.
Over the last few years, I have written about public policy and low-income women. In some of my work, I have drawn upon empirical research in an effort to examine some empirical truths at root in policy conversations that are often heavily clouded by stereotypes. 1 In many ways, the new efforts to bridge empirical research and critical race theory are efforts to address competing truths: stark empirical facts about inequality in the United States and the emotional aspects of lived experiences of inequality in the United States, particularly among the havenots.
It is the interpretive work among social scientists and critical theorists that is fundamentally important to scholarship in general. The interpretive scholarship
1. KAARYN S. GUSTAFSON, CHEATING WELFARE: PUBLIC ASSISTANCE AND THE CRIMINALIZATION OF POVERTY (2011).
that was central to political scientists and sociologists during the 1960s seems to have given way to academic norms favoring narrowly interpreted presentation of quantitative or qualitative data divorced from thick description. 2 CRT—in part a reaction to the social scientific, decontextualized presentation of data and perceptions that social scientists were contributors to existing hierarchies—has favored interpretive work, particularly narrative approaches, and has also tended to eschew reliance on empirical data or social scientific methodology. 3 CRT scholars have also continually critiqued abstract legal doctrines and liberal principles detached from lived experiences of racial and material inequality and have called attention to the many ways that law maintains racism and economic subordination. 4
2. The term "thick description" is most closely associated with anthropologist Clifford Geertz to describe ethnography. CLIFFORD GEERTZ, INTERPRETATION OF CULTURES (1973). Analysis of culture, he wrote, "is sorting out the structures of signification . . . and determining their social ground and import." Id. at 9. Geertz wrote that culture might be thought of as the "webs of significance [man] himself has spun," adding that an analysis of culture should be "not an experimental science in search of law but an interpretive one in search of meaning." Id. at 5.
For sharp critiques of the role of social scientists in narrowly framing poverty as a problem of individual behavior while ignoring structuralist interpretations of poverty, see generally ALICE O'CONNOR, POVERTY KNOWLEDGE: SOCIAL SCIENCE, SOCIAL POLICY, AND THE POOR IN TWENTIETH-CENTURY U.S. HISTORY (2001). See also SANFORD F. SCHRAM, PRAXIS FOR THE POOR: PIVEN AND CLOWARD AND THE FUTURE OF SOCIAL SCIENCE IN SOCIAL WELFARE 5–6 (2002) (arguing that social science is not depoliticized but rather situated in social context and that social scientists should acknowledge the political nature of their efforts and embed their analyses in politics).
3. See Paul Butler, The Evil of American Criminal Justice: A Reply, 44 UCLA L. REV. 143, 147 (1996) (arguing that "discussion of numbers is irrelevant to the morality" of reforms proposed by critical race theorists). For an example of the power of narrative to critique doctrinal practices even more effectively than dispassionate doctrinal analysis, see Devon W. Carbado, (E)Racing the Fourth Amendment, 100 MICH. L. REV. 946, 947–59 (2002) (describing his efforts to maintain his dignity during what was an apparent suspicionless search of his car and his person soon after arriving in the United States from the United Kingdom and identifying it as the moment he became a black American). For discussions of the importance of narrative in challenging structures of power, see Kathryn Abrams, Hearing the Call of Stories, 79 CALIF. L. REV. 971 (1991); Patricia Ewick & Susan S. Silbey, Subversive Stories and Hegemonic Tales: Toward a Sociology of Narrative, 29 LAW & SOC'Y REV. 197 (1995).
I am certainly not saying that all scholars drawing upon critical race theory are resistant to empirical methods. Indeed, there are a growing number of scholars engaged in empirical work aimed at developing deeper knowledge of the cultural and political meanings of race and ethnicity. E.g., ANGE-MARIE HANCOCK, THE POLITICS OF DISGUST: THE PUBLIC IDENTITY OF THE WELFARE QUEEN 65–116 (2004) (employing content analysis of newspapers and the Congressional Record to examine the role of disgust in shaping welfare reform debates); Ann Morning, Reconstructing Race in Science and Society: Biology Textbooks, 1952–2002, 114 AM. J. SOC. S106 (2008) (conducting content analysis of high school biology textbooks published over fifty years to examine the books' constructions of race and science); Osagie K. Obasogie, Do Blind People See Race? Social, Legal, and Theoretical Considerations, 55 LAW & SOC'Y REV. 585 (2010) (using empirical research with people who are blind to examine how they learn and understand race and racial difference).
4. See Angela P. Harris, Foreword: The Jurisprudence of Reconstruction, 82 CALIF. L. REV. 741, 749 (1994), (citing DERRICK BELL, FACES AT THE BOTTOM OF THE WELL: THE PERMANENCE OF RACISM 12 (1992)); Kimberlé W. Crenshaw, Race, Reform, and Retrenchment: Transformation and
This Article highlights the importance of interpretive analysis in social science and critical race theory. Drawing upon the lens of critical race theory and upon the interpretive frameworks developed by an earlier generation of sociologists and political scientists, this work examines some recent policy trends affecting low-income women of color. The Article seeks to understand how and why the economic deprivations disproportionately affecting women of color and their children are being framed as issues of criminality rather than issues of poverty. The Article also examines the role of emotion (particularly disgust and shame) in shaping policies affecting the poor, and scrutinizes the role of law and policy in perpetuating social and economic inequality.
Economic policies regulating the poor are fraught with stereotypes about low-income people, particularly low-income mothers of color. 5 Stereotypes about the poor have crystallized in American law, leading to the implementation of policies and practices that I have described elsewhere as the "criminalization of poverty." 6 Criminalization includes state policies and practices that involve the stigmatization, surveillance, and regulation of the poor; that assume a latent criminality among the poor; and that reflect the creep of criminal law and the logics of crime control into other areas of law, including the welfare and immigration systems. 7 In previous work I have described the irrationality of these policies—at least where the goal was cost-savings or behavioral modifications. 8
Recent practices and proposals targeting the poor, many of which violate notions of rationality and promote neither economic goals nor the general welfare have prompted me to think that the way we treat the poor primarily serves symbolic functions. The public handling of the poor—both by the state and by the media, sometimes in concert—serves deep symbolic functions and sadomasochistic emotional pleasures that we as observers and political participants are reluctant to acknowledge.
This Article focuses on the symbolic aspects—and the symbolic power—of social, economic, and criminal policies involving the poor. Part I of this Article examines the notions of ceremonial degradation and deniable degradation. Part II then offers examples of degradation ceremonies, those policies and law-centered media spectacles that make examples of low-income women and that communicate to the public that low-income mothers of color are inferior and crime-prone. 9 In Part
Legitimation in Antidiscrimination Law, 101 HARV. L. REV. 1331, 1378–81 (1988); Richard Delgado, Rodrigo's Seventh Chronicle: Race, Democracy, and the State, 41 UCLA L. REV. 721, 740 (1994).
5. Kaaryn Gustafson, The Criminalization of Poverty, 99 J. CRIM. L. & CRIMINOLOGY 643, 650–51 (2009).
6. Id. at 646–47 & n.12.
7. Id. at 646–47.
8. GUSTAFSON, supra note 1, at 184–85; Gustafson, supra note 5, at 689–94.
9. Dorothy Roberts has explained that not only is motherhood a social construction, but that it is also a raced and classed social construction. Dorothy E. Roberts, Racism and Patriarchy in the Meaning of Motherhood, 1 AM. U. J. GENDER & L. 1, 3–4 (1993); see also LUANA ROSS, INVENTING THE
III, I sketch various functions that degradation ceremonies appear to serve in the United States. Finally, Part IV and the concluding Part consider the problems that degradation ceremonies promote, and it offers suggestions for subverting the proliferation and power of degradation ceremonies.
I. CEREMONIAL DEGRADATION AND PUBLIC POLICY
A. Ceremonial Degradation Defined
Numerous sociologists have written about the concepts of social solidarity or social cohesion. 10 To create and maintain solidarity, dominant members of the group must engage in practices that help define the collective, define the boundaries of membership, and set norms on behavior within the collective. 11 An important part of building social solidarity is labeling deviant those behaviors considered unacceptable threats to cohesion. 12
Sociologist Harold Garfinkel is noted for his notion of degradation ceremonies. 13 Garfinkel described a degradation ceremony as communicative work "whereby the public identity of an actor is transformed into something looked on as lower in the local scheme of social types." 14 He also wrote that while shame itself does not bind communities, "moral indignation may reinforce group solidarity" and at the same time "bring[] about the ritual destruction of the person being denounced." 15 In short, marginalizing a few promotes solidarity among the majority.
Harry Murray has expanded on Garfinkel's basic notion of degradation ceremonies, articulating a notion of deniable degradation. 16 In ceremonies of deniable degradation, actors do not deny that an action was done, but claim that the action "did not have a certain meaning or that the meaning was unintended." 17 Murray writes that "[d]eniable degradation can most easily be shown . . . where elite policymakers plan and knowingly implement a degrading policy." 18 Murray offers the finger imaging of welfare recipients, a condition of receipt for some
SAVAGE: THE SOCIAL CONSTRUCTION OF NATIVE AMERICAN CRIMINALITY 178–79 (1998) (addressing the impact of lifestyle, race, and ethnicity on society's view of imprisoned mothers).
10. E.g., EMILE DURKHEIM, THE DIVISION OF LABOR IN SOCIETY 63 (W.D. Halls trans., 1984) ("The real function [of criminal punishment] is to maintain inviolate the cohesion of society by sustaining the common consciousness in all its vigour.").
11. See id.
12. See id.
13. Harold Garfinkel, Conditions of Successful Degradation Ceremonies, 61 AM. J. SOC. 420 (1956).
14. Id. at 420.
15. Id. at 421.
16. Harry Murray, Deniable Degradation: The Finger-Imaging of Welfare Recipients, 15 SOC. F. 39, 40–42 (2000).
17. Id. at 42.
18. Id. at 45.
public benefits, as an example of deniable degradation. 19 Lawmakers claimed that finger imaging was not intended to degrade welfare recipients but, rather, intended to catch double-dipping welfare cheats. 20 "The problem with that claim," Murray writes, "is that human action is symbolic, not merely instrumental, and symbols are subject to multiple interpretations." 21
What makes the degradation of the poor in the United States ceremonious is the formal and public nature of the degradation, a formality lent to the degradation through the involvement of, or association with, the criminal justice system.
B. Mapping the Raced and Gendered Rituals of Degradation
Degradation ceremonies help us learn what we know as social facts. Our notions of acceptable conduct and acceptable persons are shaped by these rituals. In the United States, degradation ceremonies tend to differ for different groups, with the degradation ceremonies often specific for marginalized groups based on their gender, age, race, and ethnicity. 22 For young African American and Latino men, police stops, frisks, and automobile searches are common degradation
19. For background on finger imaging, see Gustafson, supra note 5, at 660, 675–78. The Department of Agriculture has urged states not to finger image SNAP recipients based on indications that it deters eligible families from using the benefits. Hearing to Review Federal Nutrition Programs: Hearing Before the Subcomm. on Dep't Operations, Oversight, Nutrition and Forestry of the H. Comm. on Agric., 111th Cong. 10, 13 (2010) (statement of Lisa J. Pino, Deputy Administrator, Supplemental Nutrition Assistance Program, Food and Nutrition Service, U.S. Department of Agriculture). At the time of this writing, only the state of Arizona was finger imaging SNAP recipients, though a bill to end finger imaging (SB 1356) was introduced in the Texas Senate on February 4, 2013. In the last two years, three states—California, New York, and Texas—have stopped finger imaging, citing the high costs of the practice. California Bill AB6, ending finger imaging for SNAP benefits in California, was signed by Governor Jerry Brown on October 6, 2011. Patrick McGreevy, Gov. Jerry Brown Ends Fingerprinting for Food Stamp Recipients, POLITICAL (Oct. 6, 2011, 12:15 PM), available at http://latimesblogs.latimes .com/california-politics/2011/10/gov-jerry-brown-ends-fingerprinting-for-food-stamp-recipients.html. New York ended finger imaging for SNAP in 2012. See N.Y. COMP. CODES R. & REGS tit.18, § 387.9(c)(ii) (West 2012) ("No social services district may require any applicant or recipient household member to be finger imaged for purposes of the Supplemental Nutrition Assistance program.") Texas ended finger imaging in 2011. See TEX. HUM. RES. CODE ANN. §§ 31.0326, 33.0231 (West 2012).
20. Murray, supra note 16, at 47.
21. Id.
22. Frances Fox Piven and Richard Cloward famously wrote,
Some of the aged, the disabled, the insane, and others who are of no use as workers are left on the relief rolls, and their treatment is so degrading and punitive as to instill in the laboring masses a fear of the fate that awaits them should they relax into beggary and pauperism.
FRANCES FOX PIVEN & RICHARD A. CLOWARD, REGULATING THE POOR: THE FUNCTIONS OF PUBLIC WELFARE 3 (updated ed. 1993). Avi Brisman argues that undocumented immigrants are another population subject to ritualized degradation by legal actors and through legal policies. Avi Brisman, Ritualized Degradation in the Twenty-First Century: A Revisitation of Piven and Cloward's Regulating the Poor, 10 SEATTLE J. SOC. JUST. 793, 801–08 (2012).
ceremonies. 23 Numerous studies have shown that black and brown men are subject to pedestrian stops and automobile stops at much higher rates than white men. 24 Police stops of young African American and Latino men are more likely to involve pat-downs of the body and full searches of persons or vehicles than stops of white pedestrians and drivers. 25 In addition, the vast majority of these stops do not lead to citations or arrests. 26 That young men of color who are the objects of these police actions find the experiences oppressive makes no difference in the practices; these men are not the political referent. 27
These ceremonies involving men of color are largely symbolic. They give the public the impression that law enforcement officers are engaged in managing crime. At the same time, they reinforce stereotypes. Prevalent understandings of young African American and Latino men as criminal, as violent, and as needing to be regulated by the police are shaped by our routine experiences seeing these men spread-eagled in public spaces, and being searched and questioned by the police.
These images reflect and reinforce both our conscious and unconscious understandings of young men of color as marginalized, our understandings of police as protectors of the public (even when what they are doing may be infringing upon Fourth Amendment rights to freedom from government search and seizure), and our understandings of street crime as a major social problem. Devon Carbado describes residents of the United States as having a collective "police state of mind." 28 He writes, "This racial dis-ease is inflicted on black people ostensibly to cure the problem of crime. Its social effect, however, is to make white people feel good about, and comfortable with, their own racial identity and to make black people feel bad about, and uncomfortable with, being black." 29
23. Carbado, supra note 3, at 1030; see also VICTOR M. RIOS, PUNISHED: POLICING THE LIVES OF BLACK AND LATINO BOYS 110–11 (2011) (describing routine police brutality towards young African American and Latino men in an urban California neighborhood).
24. E.g., Andrew Gelman, et al., An Analysis of the New York City Police Department's "Stop-andFrisk" Policy in the Context of Claims of Racial Bias, 102 J. AM. STAT. ASS'N 813, 820 (2007); David A. Harris, The Reality of Racial Disparity in Criminal Justice: The Significance of Data Collection, 66 LAW & CONTEMP. PROBS. 71 (2003); Ian Ayres & Jonathan Borowsky, A Study of Racially Disparate Outcomes in the Los Angeles Police Department, AM. C.L. UNION (2008), http://www.aclu-sc.org/issues/policepractices/racially-disparate-outcomes-in-the-los-angeles-police-department.
25. Gelman et al., supra note 24, at 814–17, 821; Ayres & Borowsky, supra note 24, at 6.
26. Gelman et al., supra note 24, at 820–21; Ayres & Borowsky, supra note 24, at 17–18.
27. Delores D. Jones-Brown, Debunking the Myth of Officer Friendly: How African American Males Experience Community Policing, 16 J. CONTEMP. CRIM. JUST. 209, 220–24 (2000) (analyzing a survey of 125 African American teenaged men and finding that 101 had been stopped by the police in the last twelve months, that most of the respondents did not agree that police make stops with good reason, and that respondents found police interactions "repressive"). For a first-person account of police stops, see Carbado, supra note 3.
28. Carbado, supra note 3, at 952.
29.
Id.
As the next Part highlights, degradation ceremonies involving women of color are quite different from the stop-and-frisk ceremonies involving young men of color. 30
II. DEGRADATION CEREMONIES INVOLVING LOW-INCOME WOMEN
Both low-income men of color and low-income women of color are treated as marginal and are subject to degradation ceremonies. For women, however, the ceremonies are somewhat different, in part because the negative stereotypes and the behaviors labeled deviant are different for women and often revolve around motherhood. 31 The sections below offer examples of both recent and ongoing degradation ceremonies.
A. Maintaining the Routine Degradation of Poverty
Individuals who fall into poverty, who receive government benefits, or who cheat the welfare rules are treated as irresponsible individuals. 32 But material need is not an individual experience. It is an experience shared by a great number of Americans. Poverty has remained steadfast in the United States, with more families now living in poverty (almost 9.5 million) than at any other time since the U.S. Census Bureau began recording poverty rates in 1959. 33 The child poverty rate in the United States has risen over the last forty years. 34
Some studies distinguish between shallow poverty, defined as household income between fifty and one hundred percent of the poverty threshold, and deep poverty, defined as household income below fifty percent of the poverty line. The welfare reforms of 1996 targeted government benefits to households with lowwage workers, helping those in shallow poverty. 35 The number and percentage of households living in deep poverty, however, has risen. In 2011, nearly 20.4 million people (6.6% of the population) lived in deep poverty. 36 Moreover, poverty
30. See infra note 31 and accompanying text.
31. Dorothy Roberts has traced a number of these degradation ceremonies. See DOROTHY E. ROBERTS, SHATTERED BONDS: THE COLOR OF CHILD WELFARE 66–67 (2002) (discussing the child welfare system's devaluation of black motherhood); Dorothy E. Roberts, Punishing Drug Addicts Who Have Babies: Women of Color, Equality, and the Right of Privacy, 104 HARV. L. REV. 1419, 1454–56 (1991) (discussing criminal punishments imposed on low-income pregnant women of color).
32. Christopher Jencks & Kathryn Edin, Do Poor Women Have the Right to Bear Children?, AM. PROSPECT, Nov. 19, 2001, at 43 (arguing that the welfare reforms of 1996 were driven by beliefs that the irresponsibility of young women was the cause of poverty and welfare use).
33. U.S. CENSUS BUREAU, HISTORICAL POVERTY TABLES—FAMILIES, TABLE 13; NUMBER OF FAMILIES BELOW THE POVERTY LEVEL AND POVERTY RATE (2012), available at http://www .census.gov/hhes/www/poverty/data/historical/families.html.
34. CARMEN DENAVAS-WALT, BERNADETTE D. PROCTOR, & JESSICA C. SMITH, U.S. CENSUS BUREAU, CURRENT POPULATION REPORTS, P60-243, INCOME, POVERTY, AND HEALTH INSURANCE COVERAGE IN THE UNITED STATES: 2011, at 15–16 (2012), available at http://www .census.gov/prod/2012pubs/p60-243.pdf.
35. Paul Tough, The Birthplace of Obama the Politician, N.Y. TIMES MAG., Aug. 19, 2012, at 24.
36. U.S. CENSUS BUREAU, HISTORICAL POVERTY TABLES—FAMILIES, TABLE 22; NUMBER
remains gendered. While only 19.5% of the families in the United States are female-headed, women head 51.5% of families falling below the poverty line. 37
There are public benefits available to low-income adults and their dependent children, including Temporary Assistance to Needy Families (TANF) cash assistance benefits, Supplemental Nutritional Assistance Program (SNAP) benefits (formerly called the Food Stamp Program), and Medicaid health insurance. 38 Direct cash assistance to the poor has declined over the last two decades, with a shrinking number of poor families receiving aid and a declining percentage of federal dollars reaching families through cash benefits. 39 Congress passed welfare reform legislation in 1996 that restricted eligibility in various ways, such as imposing work requirements on recipients and capping the amount of money the federal government provided to the states to $16.5 billion a year. 40
Benefits for TANF cash assistance are not generous, in most locales providing too little for families to survive. In 2010, the maximum TANF and SNAP benefits available to families did not raise any of those families to the poverty line; in forty-five of the fifty states, the combined benefits left families below seventy-five percent of the poverty line. 41 Numerous studies have found that welfare recipients cannot survive on so little and are then stuck, often turning to under-the-table earnings or hiding resources and cohabitants from government officials. 42
In addition, cash assistance to low-income families is no longer a needs-
AND PERCENT OF PEOPLE BELOW 50 PERCENT OF THE POVERTY LEVEL (2012), available at http:// www.census.gov/hhes/www/poverty/data/historical/people.html.
37. U.S. CENSUS BUREAU, HISTORICAL POVERTY TABLES—FAMILIES, TABLE 13, supra note 33.
38. Medicaid & CHIP Information, MEDICAID.GOV, http://www.medicaid.gov/medicaid-chipprogram-information/medicaid-and-chip-program-information.html (last visited May 13, 2013); Supplemental Nutrition Assistance Program, U.S. DEP'T OF AGRIC. (Feb. 16, 2012), http://www.fns.usda .gov/snap/ (last visited May 13, 2013); Temporary Assistance for Needy Families (TANF), U.S. DEP'T OF HEALTH & HUMAN SERVS., http://www.acf.hhs.gov/programs/ofa/programs/tanf (last visited May 13, 2013).
39. Chart Book: TANF at 16, CENTER ON BUDGET & POL'Y PRIORITIES (2012), http:// www.cbpp.org/files/8-22-12tanf.pdf ("Federal and state TANF spending on basic assistance declined from $13.9 billion in 1997 to $9.6 billion (in nominal dollars) in 2011, the most recent year available."); see also Tami Luhby, Welfare Spending Cut in Half Since Reform, CNN MONEY (Aug. 9, 2012, 10:47 AM), http://money.cnn.com/2012/08/09/news/economy/welfare-reform/index.htm (stating that the number of people receiving cash assistance and the funding given to such programs has decreased since the 1996 welfare reforms).
40. Personal Responsibility and Work Opportunity Reconciliation Act of 1996, Pub. L. No. 104-193, 110 Stat. 2105, 2134–42 (codified as amended at 42 U.S.C. § 608 (2006 & Supp. IV 2010)); id. at 110 Stat. at 2115–24 (codified as amended at 42 U.S.C. § 603 (2006 & Supp. IV 2010)). For a summary of reforms instituted under the Act, see Gustafson, supra note 5, at 661–64.
41. Ife Finch & Liz Schott, TANF Benefits Fell Further in 2011 and Are Worth Much Less Than in 1996 in Most States, CENTER ON BUDGET & POL'Y PRIORITIES 8 fig.5 (2011), http://www.cbpp.org/ files/11-21-11pov.pdf.
42. KATHRYN EDIN & LAURA LEIN, MAKING ENDS MEET: HOW SINGLE MOTHERS SURVIVE WELFARE AND LOW-WAGE WORK 38–45 (1997); GUSTAFSON, supra note 1, at 101–06, 109–10.
based entitlement and excludes many of those who are most economically vulnerable. 43 Many states have instituted punitive welfare policies, including economic sanctions for those who do not follow all of the rules. 44 Numerous studies have found that the higher the proportion of the state population is nonwhite, the more punitive the policies. 45 One study found that family caps (restrictions on additional cash benefits to children born to families already on welfare) and strict time limits (limiting benefits for even shorter duration than the sixty-month lifetime limit established under federal law) were significantly more likely in states with higher percentages of African Americans and/or Latinos on their welfare caseloads. 46 The study also found that states with proportionately more African Americans on their welfare caseloads were "significantly more likely to adopt stricter sanctions," meaning benefit reductions or eliminations in instances when the adults failed to satisfy work requirements or other requirements in a timely manner. 47 In addition, even within states, Latina and African American welfare recipients are more likely to be sanctioned than white welfare recipients. 48
Over the last fifteen years, there have been changes to welfare policies that reflect not legislative desires to protect those who are economically vulnerable, but rather a presumption that those who are poor are criminal; these changes also reflect an effort to extend get-tough-on-crime approaches from the criminal justice system to the welfare system. 49 For example, the San Diego Department of Social Services has deputized welfare fraud investigators and allowed them to conduct unannounced, suspicionless searches of welfare applicants' homes before their requests for aid can be approved. 50 This practice was challenged as a Fourth Amendment infringement of welfare recipients' rights to be free from unreasonable search and seizure. 51 While the Fourth Amendment generally requires individualized suspicion and probable cause to conduct a search,
43. See Personal Responsibility and Work Opportunity Reconciliation Act of 1996, Pub. L. No. 104-193, 110 Stat. 2105, 2113 (codified as amended at 42 U.S.C. § 601 (2006)) (specifying that the federal funds provided to states "shall not be interpreted to entitle any individual or family to assistance").
44. Gustafson, supra note 5, at 663–64.
45. See infra notes 46–48.
46. Joe Soss et al., The Hard Line and the Color Line: Race, Welfare, and the Roots of Get-Tough Reform, in RACE AND THE POLITICS OF WELFARE REFORM 225, 233 (Sanford F. Schram et al. eds., 2003).
47. Id. at 235.
48. Sanford F. Schram et al., Deciding to Discipline: Race, Choice, and Punishment at the Frontlines of Welfare Reform, 74 AM. SOC. REV. 398, 406–08 (2009) (finding that black welfare recipients were more likely to be sanctioned than white welfare recipients in a survey experiment involving Florida welfare case managers).
49. See Gustafson, supra note 5, at 658–61.
50. Sanchez v. Cnty. of San Diego, 464 F.3d 916, 918–19 (9th Cir. 2006).
51. Id. at 920.
particularly of a home, the three-judge panel of the Ninth Circuit upheld these searches. 52
The routine practices of state surveillance now mean that welfare recipients do not enjoy the privacy or autonomy that others in society, outside of individuals who have been convicted of crimes, enjoy.
B. Welfare Cheating and the Public Pillory
In November 2011, the Clarion-Ledger, a newspaper in Jackson, Mississippi, reported that Anita McLemore, a forty-seven-year-old mother with two teenaged children, had been sentenced to three years in prison. 53 McLemore's crime: failing to note on the food stamp applications she filed in 2006, 2007, 2009, and 2010 that she had been convicted of one or more drug felonies after August 22, 1996. 54 After being charged by federal prosecutors, McLemore pleaded guilty to submitting a false claim for federal benefits, made an agreement with federal prosecutors to spend less than a year in jail, and repaid the $4,345 in benefits she had received in the four years that she failed to note her drug convictions on her applications for benefits. 55
Judge Henry Wingate, who sentenced McLemore, disregarded the agreement between McLemore and federal prosecutors and stepped far outside the sentencing guidelines recommendations of two to eight months in prison, sentencing McLemore to three years of incarceration, three years of supervised release after that, and a fine of $250. 56 The article in the Clarion-Ledger noted that there is no federal prison in Mississippi that houses female inmates, making it certain that she would be incarcerated outside of the state and making it unlikely that her teenaged children would be able to visit her regularly or with ease. 57
In December 2011, McLemore requested that her sentence begin in March rather than January 2012, allowing her time to make arrangements for her teenaged children and providing her the opportunity to work extra hours to save money to take care of them and to allow her children to make the six-hour trip to visit her in prison. 58 The judge denied her request. 59
McLemore's sentence was excessive, particularly given that her misdeed looks more like a crime of omission (failing to include full information) rather than a complex scheme to steal government dollars. In addition, there is no
52. Id. at 931.
53. Jimmie E. Gates, Woman Given 3-Year Prison Term for Lie, CLARION-LEDGER (Jackson, Miss.), Nov. 12, 2011, at 1A.
54. Id.
55. Id.
56. Id.
57. Id.
58. Miss. Mom's Bid to Delay Prison Term Fails, DELTA DEMOCRAT TIMES (Greenville, Miss.), Dec. 26, 2011, available at 2011 WLNR 26659514.
59. Id.
evidence that McLemore and her children were not financially needy and would not have been eligible for benefits had she not had earlier drug convictions. Nor did McLemore's crimes involve violence. 60 McLemore appears to be someone acting out of need rather than greed.
The judge's sentence in this case appears to be a reaction of moral outrage. The sentence imposed retribution not only for McLemore's making false statements but also for her fulfilling the description of the welfare queen: a nonworking, substance-abusing, single mother relying on the state for her benefits and lying to receive more than she deserves. 61
However, McLemore's punishment need not have been through the criminal justice system. There are provisions for punishing intentional program violators and collecting benefit overpayments through the system of civil administrative law. 62 Those hearings, however, do not result in incarceration and do not come with the formality or the rituals of criminal proceedings.
In addition, there was never any discussion of the financial need of McLemore and her children. She was deemed criminal because she failed to declare herself a criminal on welfare documents. 63 Apparently, over the years in question, McLemore and her children had a household income so low that, but for the mother's drug convictions, they all would have qualified for benefits. 64
The public pillory for those who are convicted of cheating welfare rules extends well beyond McLemore's case. The Riverside Press-Enterprise, a newspaper in Southern California, regularly runs ads listing the names of individuals who have been convicted of welfare fraud in Riverside County. 65 The ad is paid for by the County Department of Social Services. The four-inch-by-five-inch ads list—in large, bold print—the names and aliases of the individuals convicted, as well as the dates of conviction. 66 The list serves as a shaming device for those convicted, a penalty above and beyond those generally imposed by the criminal justice system
60. McLemore was convicted of possession of crystal methamphetamine. Mississippi Woman Pleads Guilty to Making False Claim for USDA SNAP Benefits, U.S. DEP'T OF JUSTICE (July 8, 2011), http://www.justice.gov/usao/mss/press/July2011/mclemore%20plea.pdf [hereinafter Mississippi Woman Pleads Guilty]. Appellate records from McLemore's divorce suggest that she had battled drug addiction for years. McLemore v. McLemore, 762 So. 2d 316, 321–22 (Miss. 2000).
61. Martha L. Fineman, Images of Mothers in Poverty Discourses, 1991 DUKE L.J. 274, 282 (1991) (describing the stereotype of poor, unmarried mothers of color as "bad mothers"); Dorothy E. Roberts, Motherhood and Crime, 79 IOWA L. REV. 95, 105–06 (1993) (noting that non-ideal mothers tend to receive harsher criminal punishments than other women).
62. Gustafson, supra note 5, at 685.
63. See Gates, supra note 53.
64. The Department of Justice cites only her failure to acknowledge her drug convictions as the basis for the false claim charge. Mississippi Woman Pleads Guilty, supra note 60.
65. For an example, see the newspaper ad run on September 30, 2012, Advertisement, $100 Reward Offered by Riverside County Dept. of Public Social Services, RIVERSIDE PRESS-ENTERPRISE (Cal.) (Sept. 30, 2012), http://ads.pe.com/riverside-ca/communication/newspaper/dpss-welfare -fraud/2012-09-30-3935-100-dollars-reward-offered-by-riverside.
66. Id.
and a penalty unusual for nonviolent property crimes. The publication of names also serves as a deterrent to those who might be considering actions that would constitute welfare fraud—and perhaps as a deterrent to those considering applying for public benefits for which they are eligible.
A statement at the very top of the advertisement appears to be intended as a wanted poster. 67 It states: "$100 Reward Offered by Riverside County Dept. of Public Social Services." 68 A footnote offers more detail:
$100 Reward offered by the Riverside County Department of Public Social Services for information leading to the conviction on welfare fraud charges. To report suspected fraud, call (951) 358-3278. Eligibility for reward is determined by a review committee. (Department of Social Services and District Attorney—employees and family members are not eligible). Fraud amount must be $1000 or more. 69
Philip H. Robb, a retired California prosecutor and a licensed clinical social worker, has repeatedly requested that Riverside County discontinue running the ads in the Press-Enterprise, arguing that the ads humiliate the low-income children of those convicted and that they are ineffective in deterring welfare fraud, which is often a crime of need. 70 Despite Robb's efforts, Susan Loew, Director of the Riverside County Department of Public Services, has refused to stop printing the ads and continues to pay to run the ads. 71 Loew claims that the advertisements are intended to deter fraud. 72 If deterrence were the main goal, however, then it could be effectively achieved by reporting the number of welfare fraud convictions local prosecutors had secured. That information would be sufficient to let readers know that the county actively investigates and prosecutes for welfare fraud. Including the names of those convicted goes beyond general deterrence.
67. Id.
68. Id.
69. Id. In 2011, Riverside County had a typical monthly welfare caseload of slightly more than 48,000 individuals. See CalWORKS Cash Grant Caseload Movement Reports, CAL. DEP'T OF SOC. SERVS., http://www.cdss.ca.gov/research/PG281.htm (last visited May 13, 2012). Of the 174 convicted of welfare fraud in the county that year, forty-one came to the attention of fraud investigators through community tips or from referrals from suspicious caseworkers. No one was paid the $100 reward offered in the newspaper, raising the question of whether county administrators may be engaging in false advertising. Letter from Susan Loew, Dir., Riverside Cnty. Dep't of Pub. Soc. Servs., to Philip Robb (May 14, 2012) (on file with author).
70. E-mail from Philip Robb to author (Nov. 21, 2011) (on file with author); Letter from Philip Robb to Elizabeth Ayala, Inland Congregations United for Change (Dec. 20, 2011) (on file with author).
71. E-mail from Philip Robb to author, supra note 70; Letter from Philip Robb to Elizabeth Ayala, Inland Congregations United for Change, supra note 70.
72. Letter from Susan Loew, supra note 69 ("We believe that it is important for the public and our customers to know that we have an active anti-fraud program and that as circumstances warrant it, individuals are held criminally liable for their actions. We believe it is an effective deterrent in preventing fraud and also helps inform the public of the opportunity to report suspected fraud. On a related note, a majority of our convictions stem from tips we receive from concerned citizens.").
Moreover, offering a bounty to those who call the fraud hotline effectively seeks to engage the entire community in policing the poor, shifting responsibility for policing welfare recipients from agents of the state alone to the general public and calling upon citizens to surveil and report upon their neighbors. The advertisements call upon average citizens to become agents of the state and to treat the poor as suspects.
Listing the names of the individuals convicted of welfare employs oldfashioned shaming. Indeed, there are many local newspapers that include police blotters that list the arrests or charges recently brought in a community. 73 In addition, there are a growing number of websites that post mug shots of arrestees. 74 While many media outlets regularly report on outrageous crimes, particularly crimes of violence, it is highly unusual for newspapers to serve as media for government-initiated public shaming of individual offenders. The names of convicted sex offenders, as a result of the federal Sex Offender Registration and Notification Act, 75 are available for members of the public to locate through online sex offender registries, for the explicit reasons of warning the public and for the implicit reason of expressing disgust toward and humiliating those convicted. 76 Those convicted of welfare fraud in Riverside are subject to more direct publicity than sex offenders, suggesting that they are the objects of just as much disgust, if not more.
Indeed, shaming played a prominent role in criminal law during America's colonial period. 77 Still, the use of shaming has largely disappeared. 78 There are,
73. E.g., Police Blotter, BROOKLYN PAPER (Nov. 5, 2012), http://www.brooklynpaper.com/ sections/news/crime/; Police Blotter, SILICON VALLEY MERCURY NEWS (Oct. 31, 2012, 4:13 PM), http://www.mercurynews.com/bay-area-news/ci_21896828/police-blotter.
74. See, for example, ARRESTS.ORG (Nov. 20, 2012), http://www.arrests.org, and MUGSHOTSUSA.COM (Nov. 20, 2012), http://mugshotsusa.com, though I have found nearly forty similar sites. One concern these websites raise is that they may undermine the presumption of innocence with regard to individuals who are arrested; cases that are dismissed by prosecutors or where arrestees are found innocent are not recorded on the sites. A new service industry has developed, offering paid services to remove mug shots from these sites. E.g., REMOVE ARREST, http://removearrest.com (last visited May 13, 2013) and INTERNETREPUTATION, http://www .internetreputation.com/remove-mugshot (last visited May 13, 2013). It is unlikely that lowincome arrestees have the ability to pay to have their mug shots removed from the Internet. Because Internet searches are now a common screening practice among employers who are hiring, low-income arrestees—whether convicted of the arrest charges or not—face reputational barriers to mainstream employment because of past arrests. A case recently filed in Ohio claims that the websites violate the state's right to publicity statues, which regulate the commercial use of an individual's name or image. Debra Lashaway v. JustMugshots.com, No. CI0201206547 (Ohio Court of Common Pleas, Lucas County filed Dec. 3, 2012).
75. 42 U.S.C. §§ 16901–16991 (2006).
76. Id. 42 U.S.C. § 16901. The Supreme Court has disavowed the shaming function of the sex offender registries. See The Supreme Court, 2002 Term: Leading Cases: I. Constitutional Law: D. Due Process: 5. Sex Offender Registration, 177 HARV. L. REV. 327, 328 (2003) (citing Conn. Dep't of Pub. Safety v. Doe, 538 U.S. 1 (2003), and Smith v. Doe, 538 U.S. 84 (2003)).
77. Dan Markel, Are Shaming Punishments Beautifully Retributive? Retributivism and the Implications for the Alternative Sanctions Debate, 54 VAND. L. REV. 2157, 2167–70 (2001) (describing the use of
however, scholars who have argued that certain types of shaming might be more effective, more just, and less costly than incarceration. 79 What these scholars do not seem to take into account is how the shaming of an individual can have the ripple effect of shaming individuals' non-offending family members. In this context, the practice might indirectly shame all of those receiving welfare in the community, inviting scrutiny and surveillance by all who are aware they are receiving government benefits. Most of the individuals convicted of welfare fraud are parents, meaning that the prominent publication of the names not only humiliates the parents but also inflicts shame—the shame of poverty and criminality, both of which despoil reputation in American society—upon the children as well.
Moreover, those who have advocated shaming of convicted criminals have advocated it as an alternative to current methods of punishment, not as an additional method. 80 Perhaps most importantly, they advocate shaming that would be overseen by judges rather than meted out through the extrajudicial actions by bureaucrats and the popular press. 81 James Whitman warns that the "chief evil in public humiliation sanctions is that they involve an ugly, and politically dangerous, complicity between the state and the crowd." 82 Indeed, Whitman's concern manifests itself in Riverside County, California.
Riverside County has over the last few years tended to file more prosecutions for welfare fraud than other California counties with similar welfare caseloads, 83 raising the question of whether the county has more welfare recipients temporary shaming techniques, such as the pillories and the stocks, and permanent shaming techniques, including branding and maiming).
78. Id. at 2170.
79. See, e.g., Richard J. Arneson, Shame, Stigma, and Disgust in the Decent Society, 11 J. ETHICS 31, 62 (2007) ("If such [shaming] penalties bring about morally better outcomes by fundamental justice standards of assessment than alternative social policies, we should opt for the shaming penalties."); Dan M. Kahan, What Do Alternative Sanctions Mean?, 63 U. CHI. L. REV. 591, 631–37 (1996) [hereinafter Kahan, What Do Alternative Sanctions Mean? ] (extolling the functions of shaming in expressing community disapproval for behavior and arguing that this function makes it both effective and just); Markel, supra note 77, at 2229–32 (advocating the use of guilt punishments). But see MARTHA NUSSBAUM, HIDING FROM HUMANITY: DISGUST, SHAME, AND THE LAW 238 (2004) ("[T]hough shame penalties are powerfully expressive, what they express is deeply problematic in a society based on ideas of dignity and equal worth."); Dan M. Kahan, What's Really Wrong with Shaming Sanctions, 84 TEX. L. REV. 2075, 2088 (2006) (rethinking earlier writings on shaming and rejecting shaming punishments because they "seem inescapably to conjure up the specter of hierarchy and coerced conformity").
80. James Q. Whitman, What Is Wrong with Inflicting Shame Sanctions?, 107 YALE L.J. 1055, 1062 (1998).
81. See id. at 1088–89.
82.
Id
. at 1059.
83. Gustafson, supra note 5, at 688 tbl.2 (2009) (providing a comparison of California counties with comparable welfare caseloads and showing that Riverside County filed two to ten times more prosecutions in 2007 than other counties). The most recent report, documenting welfare fraud prosecutions filed in California counties during the last quarter of 2012 shows that the trend continues, with Riverside County filing twenty-nine welfare fraud prosecutions, Sacramento filing ten,
committing fraud, is receiving more tips than other counties, is devoting more resources to investigations and prosecuting fraud, or is more zealously—or perhaps overzealously—seeking criminal convictions. Counties have the option of seeking civil penalties or criminal charges against those who knowingly receive benefits to which they are not entitled. 84 Civil penalties result in restitution (repayment of benefits) and a period of exclusion from welfare receipt, which may last from two years to life depending on the amount of benefits fraudulently received and on any previous civil or criminal findings of prior fraud. 85 Conviction of criminal penalties, however, is harsher, resulting in fines, state supervision (probation or parole) or incarceration, and the lifelong stigma and economic disability of a criminal conviction. 86
C. Drug Testing and Ceremonies of Dignitary Harm
Since 2010, bills requiring individuals to submit to drug testing through urinalysis as a condition of receiving public benefits have been introduced in more than half the state legislatures. 87 But such proposals are not new. Proposals to drug test welfare recipients date back to the 1980s, with one of the earliest bills introduced in the Louisiana House of Representatives by state representative and former Klansman David Duke. 88
San Bernardino County filing seven, Fresno filing sixteen, and San Diego filing nine. Cal. Dep't of Soc. Servs., Fraud Investigation Activity Report: December 2012, CDSS 27 (Apr. 10, 2013), http://www.cdss.ca.gov/research/res/pdf/DPA266/2012/DPA266Dec12.pdf.
84. See CAL. WELF. & INST. CODE § 11486 (West 2012).
85.
Id.
86. Prosecutors may choose from criminal charges to bring against welfare cheats, including fraud (CAL. WEL. & INST. CODE § 10980 (West 2012)) and perjury (CAL. PEN. CODE § 118 (West 2013)). DEVAH PAGER, MARKED: RACE, CRIME, AND FINDING WORK IN AN ERA OF MASS INCARCERATION 36 (2007) (finding that a criminal conviction impairs future ability to find employment, noting, "[i]n addition to formal barriers . . . the negative credential of a criminal record conveys generalized information about the disposition of its bearer in ways that further limit access to opportunities").
87. U.S. DEP'T OF HEALTH & HUMAN SERVS., DRUG TESTING WELFARE RECIPIENTS: RECENT PROPOSALS AND CONTINUING CONTROVERSIES app. A (2011), available at http://aspe.hhs .gov/hsp/11/DrugTesting/ib.shtml. In 2010 and 2011, bills related to drug testing welfare recipients were proposed in 31 state legislatures as well as in Congress. Id.
It is possible that the flurry of state welfare drug testing bills sponsored by Republican lawmakers reflected efforts to bring the touchy topics of welfare and drugs into the realm of political rhetoric at a time when Republicans were hoping to destabilize support for Democrat Barack Obama during his first term in office. Republicans' efforts to label Obama the "Food Stamp President"—a title reminiscent of the "Welfare Queen"—gained some traction in the year leading up to the 2012 Presidential election. See Sandhya Somashekhar, Some See Racial Tinge to Gingrich Remarks, WASH. POST, Jan. 18, 2012, at A4.
88. Philippa M. Guthrie, Drug Testing and Welfare: Taking the Drug War to Unconstitutional Limits?, 66 IND. L.J. 579, 581 n.22 (1991) (referring to H.R. 1303, Reg. Sess., La. (1989)). For a more detailed history of legislators in southern states using welfare policies to control low-income African Americans, see KENNETH J. NEUBECK & NOEL A. CAZENAVE, WELFARE RACISM: PLAYING THE RACE CARD AGAINST AMERICA'S POOR 69–78 (2001).
The federal welfare reform legislation of 1996 included multiple provisions related to drug use. For example, it gave states options to exclude from benefits anyone who had been convicted of drug-related charges. 89 In addition, it gave states permission to impose drug testing as a condition of receipt of benefits. 90
At the time the federal welfare legislation was being debated, the Supreme Court had ruled on only a few cases involving suspicionless searches or suspicionless drug testing, all of them involving very specific contexts. 91 In Vernonia School District 47J v. Acton, a case decided a year before passage of the federal welfare reforms, the Court upheld a school district's requirement that student athletes submit to drug testing. 92 The majority opinion reasoned that students had a diminished expectation of privacy, that urine testing was relatively unobtrusive, and that the government needs being served—deterring drug use among school children—were severe. 93 In Vernonia, the majority of the Supreme Court justices, while acknowledging that drug testing through urinalysis amounted to a search under the Fourth Amendment, seemed to be doing away not only with the probable cause and warrant requirements, but also the individualized suspicion requirements that the Court had articulated years before in Terry v. Ohio. 94 Although the Vernonia opinion cautioned that the ruling should not be read as a wholesale approval of drug testing, 95 the opinion suggested that a simple balancing of individual privacy interests and government interests was all that was necessary, and that the government interests need not even reach the degree to be described
89. Personal Responsibility and Work Opportunity Reconciliation Act of 1996, Pub. L. No. 104–193, Title I, § 115, 110 Stat. 2105, 2180–81 (codified as amended at 21 U.S.C. § 862a (2006 & Supp. IV 2010)).
90. Id. § 115, 110 Stat. at 2347 (codified at 21 U.S.C. § 862b (2006)); Pub. L. No. 104-193, Title IX, § 902, 110 Stat. 2105, 2347 (codified at 21 U.S.C. § 862b (1996)) ("Notwithstanding any other provision of law, States shall not be prohibited by the Federal Government from testing welfare recipients for use of controlled substances nor from sanctioning welfare recipients who test positive for use of controlled substances.").
91. The Supreme Court had approved drug testing in narrow circumstances in a few earlier cases. For example, in Bell v. Wolfish, 441 U.S. 520, 560 (1979), the Court upheld suspicionless invasive searches of prisoners and pretrial detainees, reasoning that loss of privacy expectations is inherent in such settings and that the potential for smuggled contraband raises government interests that outweigh those privacy interests. In Skinner v. Railway Labor Executives' Ass'n, 489 U.S. 602, 633-34 (1989), the Court ruled that railroad employees could be tested for drug and alcohol use immediately following a train accident because government interests in determining the causes of accidents outweighed employees' privacy interests. In National Treasury Employees Union v. Von Raab, 489 U.S. 656, 664–65 (1989), the Court, weighing heightened government interests against employee privacy interests, ruled that U.S. Customs Service employees involved in drug interceptions could be subject to suspicionless drug testing.
92. Vernonia Sch. Dist. 47J v. Acton, 515 U.S. 646, 665–66 (1995).
93. Id. at 661, 664–65.
94. See Terry v. Ohio, 392 U.S. 1, 29–31 (1968).
95. Vernonia Sch. Dist. 47J, 515 U.S. at 665 ("We caution against the assumption that suspicionless drug testing will readily pass constitutional muster in other contexts.").
as compelling. 96 To some, it appeared that the door to broad, government drug testing through urinalysis might have been opened.
However, the Supreme Court signaled in 1997 that suspicionless drug testing by the government was not allowed in all contexts. 97 In Chandler v. Miller, the Court struck down a Georgia statute mandating drug tests for anyone seeking state office. 98 Justice Ruth Bader Ginsburg, writing for the eight-justice majority, stated that the drug testing served no special state need and, instead, served only symbolic needs. 99 Symbolic needs, then, are insufficient to overcome fundamental rights to privacy.
Several state legislatures have passed statutes either allowing or mandating drug testing of welfare recipients where caseworkers had reasonable suspicion that welfare recipients were using drugs or where they had actually been convicted of drug-related felonies. 100 None of those statutes have been challenged in the courts. In 1999, despite the Supreme Court's Chandler ruling, Michigan instituted a suspicionless drug testing pilot program that required all welfare applicants in identified pilot counties to submit urine samples for drug testing; administrators of the program conducted randomized testing of twenty percent of all welfare recipients every six months. 101 In Marchwinski v. Howard, a federal district court preliminarily enjoined the testing program. 102 A three-member panel of the Sixth Circuit lifted the injunction in a two-to-one vote, ruling that the drug-testing program was allowable under the consent doctrine or passed constitutional muster under the special needs doctrine of the Fourth Amendment. 103 When the case was heard en banc by the Sixth Circuit Court of Appeals, the judges split evenly on whether drug testing infringed upon welfare recipients' legitimate expectations of privacy and therefore violated the Fourth Amendment. 104 By default, the injunction granted by the lower district court was reinstated, ending Michigan's drug-testing program. 105 Despite the outcome in Marchwinski, calls to drug test
96. Id. at 661.
97. Chandler v. Miller, 520 U.S. 305 (1997).
98. Id. at 319–23.
99. Id. at 318 ("Our precedents establish that the proffered special need for drug testing must be substantial—important enough to override the individual's acknowledged privacy interest, sufficiently vital to suppress the Fourth Amendment's normal requirement of individualized suspicion. Georgia has failed to show, in justification of § 21-2-140, a special need of that kind." (citation omitted)).
100. Jordan C. Budd, Pledge Your Body for Your Bread: Welfare, Drug Testing, and the Inferior Fourth Amendment, 19 WM. & MARY BILL RTS. J. 751, 781 (2011) (citing 2009 Ariz. Sess. Laws 3rd S.S., ch. 10, § 27, LA. REV. STAT. ANN. § 46:460.10 (2009), MINN. STAT. § 609B.435 (2009), N.C. GEN. STAT. § 108A–29.1 (2009), VA. CODE ANN. § 63.2–605 (West 2009), and WIS. STAT. §§ 49.79(5), 49.148(4) (2009)).
101. Marchwinski v. Howard, 113 F. Supp. 2d 1134, 1136 (E.D. Mich. 2000).
102. Id. at 1135.
103. Marchwinski v. Howard, 309 F.3d 330, 331–32, 337–38 (6th Cir. 2002).
104. Marchwinski v. Howard, 60 Fed. App'x 601 (6th Cir. 2003).
105.
Id.
welfare recipients have continued—almost exclusively among Republican lawmakers and candidates for office. 106
In 2001, the Supreme Court struck down a hospital policy allowing medical staff to identify pregnant patients they suspected of drug use, to conduct drug screenings on those women without their consent, and to report positive test results to law enforcement officers. 107 The previous drug-testing cases decided by the Supreme Court had not involved sharing of drug test results with law enforcement officials. 108 The majority opinion stuck down the policy as a violation of the Fourth Amendment, finding that the hospital practices were a substantial invasion of privacy. 109 The justices found that the intent of the statute was "to coerce the patients into substance abuse treatment." 110 The justices expressed concern that the purpose of the practice was general law enforcement, indicating that that goal provided insufficient government interest to outweigh the privacy interests of the women involved. 111 Earlier that year, the Supreme Court had invalidated the Indianapolis Police Department's practice of conducting random car stops and dog sniffs, stating that suspicionless fishing expeditions for criminal activity by law enforcement officials were clearly unlawful under the Fourth Amendment, even if the intrusions to individual liberties were brief and minor. 112 Both cases signaled that government interests in deterring and punishing drug use did not give government officials license to conduct widespread suspicionless searches of individuals, at least for purposes of law enforcement.
In March 2011, Florida Governor Rick Scott signed a bill passed by the state legislature that implemented mandatory drug testing for the state's recipients of cash TANF benefits. 113 The statute required all adult applicants for TANF benefits to be tested and required the applicants to bear the costs of testing. 114 For applicants with clean drug tests, the welfare office would reimburse each for the cost of the drug test by increasing the amount of the initial welfare payment. 115
```
106. See infra note 113 and accompanying text. 107. Ferguson v. City of Charleston, 532 U.S. 67, 70–76 (2001). 108. Id. at 77. 109. Id. at 78.
```
110. Id. at 80.
111. Id. at 84 ("Because law enforcement involvement always serves some broader social purpose or objective, under respondents' view, virtually any nonconsensual suspicionless search could be immunized under the special needs doctrine by defining the search solely in terms of its ultimate, rather than immediate, purpose. Such an approach is inconsistent with the Fourth Amendment." (footnote omitted)).
112. City of Indianapolis v. Edmond, 531 U.S. 32, 44 (2000) ("We decline to suspend the usual requirement of individualized suspicion where the police seek to employ a checkpoint primarily for the ordinary enterprise of investigating crimes. We cannot sanction stops justified only by the generalized and ever-present possibility that interrogation and inspection may reveal that any given motorist has committed some crime.").
113. FLA. STAT. § 414.0652 (2012).
114. FLA. STAT. § 414.0652(1).
115. FLA. STAT. § 414.0652(2)(a).
Under the Florida statute, any welfare recipient testing positive for drugs would be ineligible for benefits for one year. 116 If she returned to the welfare system and tested positive for a second time, then she would be ineligible for benefits for three years. 117 While a parent or guardian who tested positive could no longer receive benefits, the children could continue to receive benefits, though the benefits had to go through a designated protective payee (who was also subject to drug testing). 118 Still, the household benefits as a whole were reduced. A parent or guardian testing positive for drugs also lost access to TANF job supports such as transportation, job training, and childcare assistance. In addition, all positive test results were shared with the Florida Abuse Hotline. 119 Any information provided to that hotline might be shared with law enforcement officials. 120
An individual who is found ineligible for welfare benefits may reapply for benefits after six months if she or he can prove successful completion of a licensed substance abuse program. 121 And while welfare offices are instructed to provide a list of substance abuse treatment providers to applicants who test positive for drugs, the Florida statute specifically provides that neither the welfare department nor the state will pay for substance abuse treatment for anyone who tests positive. 122 The legislators who drafted the statute provided no explanation for how a parent or guardian financially desperate enough to apply for welfare would be able to pay the substantial costs of substance abuse treatment. 123
The Florida statute requires that the welfare department "[a]ssure each individual being tested a reasonable degree of dignity while producing and submitting a sample for drug testing, consistent with the state's need to ensure the reliability of the sample." 124 A "reasonable degree of dignity" is a rather vague and ironic statement in a statute requiring low-income individuals to urinate on demand as a condition of receiving government assistance and to foot the bill.
Drug screening tests are different from urinalysis done for medical screenings. The Supreme Court's Vernonia decision, which stated that urine testing was "relatively unobtrusive," did not acknowledge that difference. To ensure urine specimens are not being falsified or contaminated, drug testing facilities usually require that an individual produce the specimen on-site and require that some
116. FLA. STAT. § 414.0652(1)(b). 117. FLA. STAT. § 414.0652(2)(h). 118. FLA. STAT. § 414.0652(3). 119. Lebron v. Wilkins, 820 F. Supp. 2d 1273, 1280 (M.D. Fla. 2011). 120. Id. 121. FLA. STAT. § 414.0652(2)(j).
122. Id.
123. A 2008 study of drug treatment programs found that per-episode costs of nonmethadone outpatient treatment programs ranged from $1,266 to $11,378. Pierre K. Alexandre et al., The Economic Cost of Substance Abuse Treatment in the State of Florida, 36 EVALUATION REV. 167, 177 tbl.3 (2012).
124. FLA. STAT. § 414.0652(2)(f).
degree of monitoring (auditory or visual) occur. 125 In addition, the person being screened for drugs usually must hand the specimen cup directly to the observer so that the observer can document within a matter of minutes that the specimen produced is at body temperature. 126 Medical testing is designed to ensure the dignity and privacy of patients by allowing them to produce the specimens in private and leave them discreetly for medical staff to retrieve. Drug testing is much more intimate, invasive, and humiliating.
Aside from sex, there is probably no activity that most Americans consider more personal and private than the elimination of bodily waste. This is especially true for women, who even in public restrooms enjoy the privacy of enclosed stalls. Welfare recipients are asked to share the most intimate details of their lives in welfare applications. 127 Florida has demanded that they also reveal to agents of the state private activities associated with shame and disgust. 128
Governor Scott claimed that drug testing welfare recipients would save the state money, apparently based on the requirement that welfare applicants pay for their own drug tests and the assumption that testing would deter new welfare applicants. 129 His claim went unfulfilled. "Because the Florida law requires that applicants who pass the test be reimbursed for the cost, an average of $30, the cost to the state was $118,140. This is more than would have been paid out in benefits to the people who failed the test . . . ." 130 And that was before a legal challenge to the law began accruing legal fees. 131
Soon after signing the legislation mandating drug testing for welfare recipients, Governor Scott issued an executive order mandating random drug
125. U.S. DEP'T OF HEALTH & HUMAN SERVS., SUBSTANCE ABUSE: CLINICAL ISSUES IN INTENSIVE OUTPATIENT TREATMENT 238 app. B (2006), available at http://www.ncbi.nlm.nih.gov/ books/NBK64093 ("Some programs insist that a staff member of the same sex accompany a client into the bathroom to observe urine collection. Others find that monitoring through an open door and having clients leave packages and coats outside are sufficient.").
126.
Id.
127. Gustafson, supra note 5, at 645.
128. COLIN MCGINN, THE MEANING OF DISGUST 26–27 (2011) (noting that urine elicits the emotion of disgust in modern society). Daniel Solove notes that contemporary society associates privacy with control over the body and concealment of bodily functions such as urination. Daniel Solove, Conceptualizing Privacy, 90 CALIF. L. REV. 1087, 1135–36 (2002).
129. Michael C. Bender, Drug Test Law Faces Challenge, ST. PETERSBURG TIMES (Fla.), Sept. 8, 2011, at 1A. It should be noted that several years earlier, Florida had conducted a pilot study of drug testing welfare recipients. A study of that program found that because estimated rates of drug use were low and that those welfare recipients who tested positive had similar earning and employment outcomes as those who tested negative, drug testing was not a demonstrated need. Robert E. Crew, Jr. & Belinda Creel Davis, Assessing the Effects of Substance Abuse Among Applicants for TANF Benefits, 17 J. HEALTH & SOC. POL'Y, 39, 39, 52 (2003).
130. Lizette Alvarez, No Savings Are Found from Welfare Drug Tests, N.Y. TIMES, Apr. 18, 2012, at A14.
131. In civil rights cases, federal law allows judges to award prevailing plaintiffs attorneys' fees and costs. 42 U.S.C. § 1988(b) (2006).
testing for 85,000 state employees. 132 Scott has been challenged on the authenticity of his belief that drug testing of state employees would withstand legal challenge. 133 The executive order was challenged in court; 134 the legislature then passed a bill instituting random drug testing for state employees, signed by the Governor on March 19, 2012. 135 That law mandating drug testing for state employees was declared unconstitutional by a federal district judge on April 26, 2012, who ruled that the State failed to identify any public interests for the program, much less any extraordinary interests sufficient to overcome employees' fundamental rights to privacy. 136
Florida's drug testing mandate for welfare recipients came before a federal court soon after it was implemented. Luis Lebron, a single father caring for a disabled mother while working and attending college, challenged Florida's welfare drug-testing mandate. A district court preliminarily enjoined the drug-testing program. 137 The district court opinion not only described the urine testing itself as an invasion of privacy, but also noted Florida's failure to keep positive test results confidential from third parties. 138 The court decision dismissed the state's claims of various "special needs" for drug testing that would provide an exception to the usual Fourth Amendment protections. 139
Florida appealed the district court ruling to the Eleventh Circuit Court of Appeals. The motion for summary judgment filed by the American Civil Liberties Union, the legal organization representing the welfare applicants, documented some disturbing occurrences in Florida's drug testing efforts. 140 For example, a welfare applicant who was suffering from kidney failure could not produce a urine sample; because there is no "good cause exemption" under the state statute, she had to provide a urine sample through a urinary catheter. 141 Another applicant found that the drug-testing lab representative showed up unannounced at her
132. Fla. Exec. Order 11-58 (March 22, 2011).
133. Daily Show comedian Aasif Mandvi, posing as a news reporter, held up a specimen cup and asked Governor Scott, "Would you be willing to pee into this cup to prove to Floridian taxpayers that you're not on drugs?" The Governor, startled and embarrassed, declined. The Daily Show: Poor Peeple, (Comedy Central television broadcast Feb. 2, 2012), available at http://www.thedailyshow.com/ watch/thu-february-2-2012/poor-pee-ple.
134. Am. Fed'n. of State, Cnty. & Mun. Emps. Council 79 v. Scott, 278 F.R.D. 664, 667 (S.D. Fla. 2011).
135. FLA. STAT. § 112.0455 (2012).
136. Am. Fed'n of State Cnty. & Mun. Emps. Council 79 v. Scott, 857 F. Supp. 2d 1322, 1342–43 (S.D. Fla. 2012).
137. Lebron v. Wilkins, 820 F. Supp. 2d 1273, 1293 (M.D. Fla. 2011).
138. Id. at 1283.
139. Id. at 1284–92.
140. Plaintiff's Motion for Summary Judgment and Supporting Memorandum of Law at 18, Lebron v. Wilkins, 820 F. Supp. 2d 1273 (M.D. Fla. 2011) (No. 6:11-cv-01473-MSS-DAB).
141. Id.
home and insisted that she leave her children alone with him while she collected the sample in her bathroom. 142
The Eleventh Circuit reviewed and upheld the district court's preliminary injunction. 143 Judge Rosemary Barkett, who authored the main opinion, wrote that only in limited and exceptional cases had the United States Supreme Court upheld as reasonable searches that were without individualized suspicion. Citing Chandler v. Miller, Judge Barkett wrote that for the government to justify suspicionless drug testing, it would first have to identify a special need that would make the Fourth Amendment's probable cause and warrant requirements impractical and then demonstrate that the special need was substantial enough to overcome the individual privacy interests at stake. 144 Barkett's opinion stated that Florida could not support its argument that there is a special need for suspicionless drug testing when there is no immediate or direct threat to public safety, when those being searched are not directly involved in the frontlines of drug interdiction, when there is no public school setting where the government has a responsibility for the care and tutelage of its young students, or when there are no dire consequences or grave risk of imminent physical harm as a result of waiting to obtain a warrant if a TANF recipient, or anyone else for that matter, is suspected of violating the law. 145
The analysis of Florida's claim that it had a special need to conduct drug testing of applicants reached a straightforward conclusion: "The simple fact of seeking public assistance does not deprive a TANF applicant of the same constitutional protection from unreasonable searches that all other citizens enjoy." 146
The Eleventh Circuit judges also found unconvincing Florida's argument that because adults applying for benefits were informed that receipt of aid would be contingent upon a clean drug test, they effectively gave consent to be drug tested. 147 The court's opinion stated that consent to a government search is invalid where it is impliedly "granted in submission to authority": 148
The State cannot mandate "consent" to drug testing, which essentially requires a TANF applicant to choose between exercising his Fourth Amendment right against unreasonable searches at the expense of lifesustaining financial assistance for his family or, on the other hand, abandoning his right against unreasonable government searches in order to access desperately needed financial assistance, without
142. Id.
143. Lebron v. Sec'y, Fla. Dep't of Children & Families, No. 11–15258, 2013 WL 672321, at *12 (11th Cir. Feb. 26, 2013).
144. Id. at *3.
145. Id. at *6.
146. Id. at *8.
147. Id. at *9.
148. Id. at *9 (quoting Johnson v. United States, 333 U.S. 10, 13 (1948)).
unconstitutionally burdening a TANF applicant's Fourth Amendment right to be free from unreasonable searches. 149
Countering the recent trends in state legislatures, the Eleventh Circuit's decision in Lebron maintained the principle that individuals—rich and poor alike—bear rights to dignity and privacy that should not and cannot be casually transgressed to serve popular or symbolic public interests.
Georgia passed a bill in 2012 to drug test welfare recipients, though the state, awaiting the outcome of the Florida case in the federal courts, has yet to implement the program. 150 At the time of this writing, the program was in limbo. Other states have bills pending. 151 The continuing popularity of drug-testing schemes among state lawmakers is striking, particularly given the negative responses to such measure in the federal courts and the costs associated with implementing and running (not to mention legally defending) these proposals. Even in the drafts of bills, lawmakers appear to find it difficult to identify public needs that would be served by the drug-testing schemes, other than speculative claims that the efforts would deter drug use or vague statements that drug testing would promote fiscal integrity.
In debates over drug testing, it is common to hear the argument that many private companies require their employees to submit to drug testing, so that it should not be much of an imposition for someone receiving money from the government to have to experience the same indignity. 152 This logic raises the question of why private companies are engaged in drug testing. Employers are generally free to fire employees who show up for work intoxicated. 153 Although pre-employment testing of job applicants is widespread, few employees are engaged in activities where use of drugs in the prior two to fourteen days would pose a hazard in the workplace. 154 For the most part, workplace drug testing appears to have little to do with workplace safety and more to do with screening
149. Id. at *11.
150. Kate Brumback, Appeals Court Hears Challenge to FL Drug Test Law, AUGUSTA CHRON. (Nov. 1, 2012), http://chronicle.augusta.com/news/crime-courts/2012-11-01/federal-appeals-courthears-arguments-challenge-welfare-drug-testing.
151. Id.
152. Many employers have instituted drug testing as a screening tool for job applicants, while a smaller number engage in continuing drug screening tests for existing employees. KENNETH D. TUNNELL, PISSING ON DEMAND: WORKPLACE DRUG TESTING AND THE RISE OF THE DETOX INDUSTRY 3–5 (2004). In some states, employers may fire employees for refusing to submit to drug tests and employee refusals are treated as willful misconduct, rendering a fired employee ineligible for unemployment insurance payments. See generally Brianna Rae Davidson, Architectural Testing, Inc. v. Unemployment Comp. Bd. of Review, 19 WIDENER L.J. 611 (2010) (providing an overview of the Pennsylvania statute and case law on employee drug testing).
153. Rafael Gely & Leonard Bierman, Social Isolation and American Workers: Employee Blogging and Legal Reform, 20 HARV. J.L. & TECH. 287, 290–91 (2007) ("Although it is not widely recognized, most employees in the United States are 'employees-at-will'—that is, they can be fired by their employers at any time for essentially any reason, or for no reason at all.").
154. TUNNELL, supra note 152, at 6, 28, 118.
for workers who will obey rules and submit to authority, even in circumstances compromising an employee's dignity. 155 In short, drug testing is a show of dominance.
Efforts to drug test welfare recipients are also a display of dominance. Some have described drug testing welfare recipients, who are mostly women, as part of a continuing pattern of the state exerting authority over and punishing economically marginalized minority women. 156 Supporters of welfare drug testing proposals work under the assumption (or the stereotype) that welfare recipients engage in criminal activities such as drug use at higher rates than those who are financially better off. They also assume that individual choices, such as drug use, prevent low-income women from attaining financial security and cause families to live in poverty. They do not acknowledge that many low-wage workers—whether they use drugs or not—fall far below the poverty line and turn to the state when they face desperate need.
The emotion of disgust associated with mothers receiving welfare is being transformed into state practices that ask these mothers to engage in acts, such as urine testing, that we associate with disgust. Lawmakers have used debates over drug testing as an opportunity to engage in the dramaturgy of poverty, producing stories, meanings, and symbols that then shape the lives of poor parents and their children.
D. School Enrollment and Education Theft
In the fall of 2010, Connecticut mother Tanya McDowell enrolled her son in kindergarten in Brookside Elementary School located in the town of Norwalk, Connecticut. McDowell and her son were homeless; their last residence had been in Bridgeport, Connecticut—a town with one of the highest poverty rates in the state. 157 McDowell enrolled her son using the Norwalk address of the babysitter
155. TUNNELL, supra note 152, at 124–25 (describing employee drug testing as a method of social control); Michele Estrin Gilman, The Class Differential in Privacy Law, 77 BROOK. L. REV. 1389, 1392 (2012) (low-wage workers, more often than white-collar workers, are "subject to visible— sometimes humiliating—surveillance tactics such as psychological testing, regular drug screening, and overt videotape monitoring").
156. SUSAN C. BOYD, FROM WITCHES TO CRACK MOMS: WOMEN, DRUG LAW, AND POLICY, at xix (2004) (analyzing how "race, class and gender inequalities inform drug law and policy" and how widespread beliefs about motherhood, sobriety, and morality lead to drug policies that are even more punitive toward women than they are toward men).
157. In 2011, an estimated twenty-six percent of Bridgeport residents were living in poverty while only eight percent of Norwalk residents were living in poverty. U.S. Census Bureau, Population and Housing Narrative Profile: 2011, 2011 American Community Survey 1-Year Estimates, AM. FACT-FINDER, http://factfinder2.census.gov/faces/tableservices/jsf/pages/productview.xhtml?pid=ACS_11_1YR_ NP01&prodType=narrative_profile (last visited May 13, 2013).
who took care of him after school. 158 The babysitter lived in public housing, and officials at the Housing Authority, apparently through routine data exchanges with other government offices, found discrepancies between the names of residents listed on the lease agreement and the names of residents listed in school enrollment records.
In January 2011, school officials discovered that McDowell and her son did not actually reside at the address reported on the school enrollment forms and contacted her. 159 McDowell withdrew her son and transferred him to a school in Bridgeport. 160 Despite removing her child from the Norwalk school in the middle of the school year, McDowell was charged with first-degree larceny. 161 McDowell eventually pled guilty to the larceny charge, as well as to drug possession and sales charges filed subsequent to her larceny charge. 162 For the combined charges, she was sentenced to five years in prison and five years of probation. 163 McDowell's babysitter was evicted from her subsidized housing because listing McDowell and her son as residents of her unit violated her lease agreement. 164 McDowell, who claimed to be living in a van in Norwalk, apparently did not know that if she had reported being homeless to Norwalk School officials, then federal law would have required the school district to enroll her son for the entire school year. 165
Connecticut schools and neighborhoods, like many in the United States, remain racially and economically segregated. 166 A 2011 U.S. Census Bureau report studying income inequality in metropolitan areas in the United States determined that the metropolitan area in the United States with the highest Gini coefficient or, in other words, the starkest income inequality, was the Stamford-BridgeportNorwalk area of Connecticut—the same place where Tanya McDowell was
158. Peter Applebome, In a Mother's Case, Reminders of Educational Inequalities, N.Y. TIMES, Apr. 28, 2011, at A18. McDowell's babysitter was later evicted from her subsidized housing because listing McDowell and her son as residents of her unit violated her lease agreement. Id.
159. Stacy Teicher Khadaroo, Homeless Child Enrolled in Wrong School: What Should Happen to Him?, CHRISTIAN SCI. MONITOR, Apr. 28, 2011, at 17.
160.
Id.
161. Grace E. Merritt, Sharpton Weighs In: Activist Defends Mother's Enrollment Decision; Court Case Continued; Norwalk, HARTFORD COURANT (Conn.), June 8, 2011, at B1.
162.
Id.
163. Samaia Hernandez, Homeless Mom Sentenced in Drug, Larceny Cases, HARTFORD COURANT (Conn.), Mar. 28, 2012, at B4.
164. Applebome, supra note 158.
165. 42 U.S.C. § 11432(g)(3) (2006).
166. In 1989 parents in Hartford, Connecticut brought legal claims that extreme segregation in Connecticut's urban schools deprived students of equal opportunities. In 1996, the claims reached the Connecticut Supreme Court, which concluded that Connecticut's schools were segregated, concluded that the conditions deprived students of equal opportunities, and ruled that the state constitution and state legislation required the state to provide equal educational opportunities to all children. Sheff v. O'Neill, 678 A.2d 1267, 1281 (Conn. 1996) ("[W]e conclude that the existence of extreme racial and ethnic isolation in the public school system deprives schoolchildren of a substantially equal educational opportunity and requires the state to take further remedial measures.").
charged with criminal larceny for sending her son to a Norwalk school. 167 The heavy-handed policing of the school district residency rules through the criminal justice system seemed to be an effort to send a warning to other parents from lowincome, low-performing school districts that they, too, would face tough penalties if they tried to violate district boundaries. 168
McDowell's defense attorney, Darnell Crosland, complained that twenty-six other families had also had their children removed from Norwalk schools that year based on their residency, but that McDowell was the only one arrested and prosecuted on larceny charges. 169 McDowell and her son are African American, and members of the National Association for the Advancement of Colored People (NAACP) came to her defense, suggesting that race played a factor in the state's decision to bring criminal charges against her. 170
McDowell's is not the only case of a mother facing criminal charges after enrolling her child in a school district with abundant resources. After a jury trial in 2011, Akron, Ohio mother Kelley Williams-Bolar, also African American, was convicted of felonious tampering with records in her efforts to enroll her two daughters in the Copley-Fairlawn City Schools, which were higher-performing schools than their neighborhood schools in Akron. 171 Williams-Bolar's father lived in the Copley-Fairlawn district and paid property taxes there. 172 Williams-Bolar used her father's address to register the girls in the school district. 173 WilliamsBolar claimed that fear for the girls' physical safety is what prompted her to enroll the girls in the district. 174 She said that her home in a public housing project in Akron had been burglarized and she feared the girls returning to an empty home by themselves after school. 175 While attending the Copley-Fairlawn Schools, the girls were able to go to their grandfather's house every day after school. 176
167. DANIEL H. WEINBERG, U.S. CENSUS BUREAU, AMERICAN COMMUNITY SURVEY REPORT 16: U.S. NEIGHBORHOOD INCOME INEQUALITY IN THE 2005–2009 PERIOD 5 (2011), available at http://www.census.gov/prod/2011pubs/acs-16.pdf.
168. Connecticut Department of Education spokesperson Thomas Murphy admitted that in most school district residency cases, the children are allowed to finish the school year at the schools they are attending and that in rare cases the parents are billed by the district for the cost of educating their children. Bill Leukhardt, Illegal Student Crackdown: 33 Non-Resident Students Removed from Public Schools, HARTFORD COURANT (Conn.), June 19, 2011, at B1.
169. Merritt, supra note 161.
170. See Khadaroo, supra note 159.
171. Stacy Teicher Khadaroo, 'Stealing' a Good Education?, CHRISTIAN SCI. MONITOR, Feb. 28, 2011, at 19. While the jury found her guilty of two counts of tampering, they did not reach a unanimous decision on the grand theft charge prosecutors brought against her. Minutes of the Special Meeting of the State of Ohio Adult Parole Authority at 3 (July 20, 2011), available at http://www.drc.ohio.gov/Public/WilliamsBolarKellyClemency.pdf [hereinafter Minutes].
172. Khadaroo, supra note 159.
173. Id.
174. Id.
175. Id.
176. Id.
Ohio has an open enrollment law, allowing parents to enroll their children in districts other than the ones where they reside. 177 Many affluent school districts, however, opt out of this law; Copley-Fairlawn is one of those districts. 178
The county prosecutor noted that there had been forty-eight other incidents of parents improperly enrolling children in the affluent school district (twenty-nine of them African American), but that only Kelley Williams-Bolar had been prosecuted—because unlike the other parents she was uncooperative in resolving the matter. 179 An African American mother living in a housing project and sneaking her kids into a more affluent school district was hardly a sympathetic figure before a jury.
Like the babysitter who took care of Tanya McDowell's son, Kelley Williams-Bolar received government-subsidized housing. 180 In both cases, it appears that close scrutiny by housing authorities led to the discovery that addresses listed on school registration documents did not match documents overseen by public housing authorities. 181 Both cases highlight the close government scrutiny under which low-income women receiving public benefits live. Those parents who do not receive housing benefits or public assistance, who have tax-paying friends or neighbors living in appealing school districts, and who are willing to allow their addresses to be used for school registration probably merit no attention from school officials.
Williams-Bolar served nine days in jail and was also sentenced to two years of probation. 182 At the time of her conviction, Williams-Bolar was working as a
177. OHIO REV. CODE ANN. § 3313.98(B)(1)(b)–(c) (LexisNexis 2012) (concerning enrollment of students from adjacent or other districts).
178. Open Enrollment Listing, OHIO DEP'T EDUC. (Jan. 18, 2013, 11:50 AM), http://www.ode .state.oh.us/gd/templates/pages/ode/odedetail.aspx?page=3&topicrelationid=704&content=138906.
179. See Mother Jailed for School Fraud, Flares Controversy, NAT'L PUB. RADIO (Jan. 28, 2011), http://www.npr.org/2011/01/28/133306180/Mother-Jailed-For-School-Fraud-Flares-Controversy (transcribing National Public Radio host Michel Martin's interview with Copley-Fairlawn Superintendent Brian Poe).
It should be noted that Akron and Copley Townships have significantly different demographics. In Akron in 2010, the median value of owner-occupied housing units was $89,800, and 62.2% of the residents were white. Akron, Ohio QuickFacts, U.S. CENSUS BUREAU, http://quickfacts .census.gov/qfd/states/39/3901000.html (last revised Jan. 10, 2013). In Copley Township, the median home value was $151,700, and 86.4% of the residents were white. Copley Township Demographics, COPLEY TOWNSHIP, http://www.copley.oh.us/about-copley/about-copley/demographics.html (last visited May 13, 2013).
180. Khadaroo, supra note 171 ("The felony charges arose from conflicting paperwork that Williams-Bolar filed—with public agencies and the school—about her daughters' residence and her income, according to the prosecutor.").
181. To identify fraud, the U.S. Department of Housing and Urban Development uses the Enterprise Income Verification (EIV) system to match information provided by recipients of housing assistance benefits against information in other government databases. See U.S. DEP'T OF HOUSING & URBAN DEV., WHAT YOU SHOULD KNOW ABOUT EIV (2010), available at http://portal.hud.gov/ hudportal/documents/huddoc?id=10-19pihn1.pdf.
182. Minutes, supra note 171, at 3.
teacher's aide and was taking college courses with the hope of earning her teaching credential. 183 Her felony conviction almost assured that she would not be able to be hired as a teacher in a public school system. 184 Williams-Bolar's father, Edward Williams, was charged as a codefendant with fourth-degree felony grand theft, though those charges were dismissed after jurors could not agree on the theft charge brought against his daughter. 185
Williams-Bolar sought clemency from the Ohio Parole Board; the eight members unanimously denied her appeal. 186 The Board report noted that Williams-Bolar could have avoided the entire problem if she and her daughters had moved into her father's house 187 (which would have caused her to lose her public housing benefits). 188 In September 2011, Ohio's governor granted Williams-Bolar clemency, reducing her two conviction charges from felonies to misdemeanors. 189
The prosecutors and the Parole Board in Williams-Bolar's case seemed to be less than sympathetic to her arguments because of her applications for or receipt of other public benefits. The Board report denying her appeal noted that she had received or applied for several programs—including subsidized housing, Medicaid, Federal Heating Assistance benefits, reduced school lunches, and student loans and grants—using inconsistent information. 190 According to the Bureau of Labor Statistics, the mean annual income nationwide for a teacher's assistant in 2011 was $25,270. 191 If Williams-Bolar was supporting her family of three on a comparable income, then her household income was above the poverty
183. Id. at 2.
184. Id. at 2, 13.
185. Kymberli Hagelberg, Copley Grandfather Found Guilty, FAIRLAWN-BATH PATCH, (June 3, 2011), http://fairlawn-bath.patch.com/articles/copley-grandfather-found-guilty. Apparently, detectives investigating Edward Williams discovered misstatements he had made on other applications for public benefits. Prosecutors charged and convicted him of felony counts of tampering with documents and grand theft; he was sentenced to one year in prison. Id.
186. Minutes, supra note 171, at 14.
187. Id. at 13.
188. Federal regulations prohibit recipients of public housing benefits from renting from relatives. 24 C.F.R. § 982.306(d) (2012) ("The [Public Housing Authority (PHA)] must not approve a unit if the owner is the parent, child, grandparent, grandchild, sister, or brother of any member of the family, unless the PHA determines that approving the unit would provide reasonable accommodation for a family member who is a person with disabilities.") If Williams-Bolar moved into her father's home rent-free, then she would lose her housing benefits. If her income remained low and she needed to reapply for housing assistance to obtain affordable housing, she would likely have to wait for years. Cornelius Frolik, Demand for Rental Property Raises Rates Report: Many Local Families Unable to Afford Modest Apartments. Continuing Coverage Housing Crisis, DAYTON DAILY NEWS (Ohio), Apr. 2, 2012, at B1.
189. Alan Johnson, Kasich Cuts Convictions in Mother's School Case, COLUMBUS DISPATCH (Ohio), Sept. 8, 2011, at A1.
190. Minutes, supra note 171, at 12.
191. Occupational Employment and Wages, May 2011, 25-9041 Teacher Assistants, BUREAU LAB. STAT., http://www.bls.gov/oes/2011/may/oes259041.htm (last modified Mar. 27, 2012).
line ($18,530), but not far above it. The Parole Board report noted a couple things about her educational history: first, that over the years she had received approximately $70,000 in loans and grants to attend college; second, that her grade point average was not high enough to be admitted to a program that would actually grant her a degree in early childhood education. These facts were, it seems, included to suggest that she had a history of lazing about on taxpayer money. These facts not only contributed to her image as a liar, but also suggested that she had wasted taxpayer money—just like the stereotypical welfare queen.
A more sympathetic reading of the facts, however, suggests another interpretation. One might view Kelley Williams-Bolar as a single mother trying to balance—perhaps not so successfully—care for two daughters, her own efforts to earn a college degree, and the demands of a full-time, low-paying job. One could see how a mother faced with time constraints, concerns about her children's welfare, limited income, and mounting student loan debt might see her options as limited. One might also see how her hopes for a brighter economic future might be dwindling and how it might push her to take risks to ensure both the physical safety of her daughters and better educational opportunities for them by stating on forms that they lived with their grandfather in a good school district.
There are numerous other cases:
- In 2011, Charles Lauron was charged with felony theft by deception for sending his son to Oldham County Schools, known for their high test scores, rather than schools in Louisville, Kentucky. 192 Criminal charges were also brought against the family friend whose address was used for the school registration forms. 193 A grand jury dropped the charges against the family friend, who claimed that her signature had been forged on the residency affidavit. 194 Lauron's friend then sued the Oldham County School Board for slander. 195 Criminal charges were also brought against four other parents whose children attended the Oldham County Schools. 196
- Mother Myrna Winslow was arrested in 2011 and charged with a misdemeanor for allegedly enrolling her son in Belleville, Missouri rather than East St. Louis. 197
- In 2010, grandmother Marie Menard was charged with first-degree
192. Sara Cunningham, District Says Address Faked, COURIER-JOURNAL (Louisville, Ky.), Aug. 27, 2011, at A1.
193. Id.
194. Emily Hagedorn, Oldham Schools Sued, COURIER-JOURNAL (Louisville, Ky.), Apr. 8, 2012, at B1.
195. Id.
196. Sara Cunningham, School Case to Grand Jury, COURIER-JOURNAL (Louisville, Ky.), Nov. 4, 2011, at B3.
197. Jessica Bock, School Districts Policing Borders: Efforts Commingle with Debate over Rights of Students to Transfer from Failing Districts, ST. LOUIS POST-DISPATCH (Mo.), Sept. 6, 2011, at A1.
larceny and conspiracy after she and her daughter enrolled her two grandchildren in the Stratford, Connecticut school district, where Menard lived, rather than in the Milford School District, where her daughter lived. 198
- Melissa Chapman of Stanfordville, New York was charged with grand larceny in the third degree and falsifying business records after lying about her address in order to enroll her children in the Red Hook School District in New York in 2009. 199
- Yolanda Miranda, a mother of two and resident of Rochester, New York, was jailed for one night on grand theft charges for sending her children to the schools in the suburb of Greece, New York. 200 After pleading guilty, Miranda was sentenced to three years on probation and 100 hours of community service. 201
Some of these cases reflect not only parents' and grandparents' desires for better educational opportunities for children, but also the struggles of single parents to juggle the demands of work and parenting. When work schedules are not in sync with school schedules, low-income parents are faced with the difficulties of finding safe and affordable after-school care and transportation for their children. Several of the cases suggest that the parents were trying to resolve these problems by placing their children in out-of-district schools.
Most Americans would probably agree that educational opportunities are not distributed equally in the United States. Local control over who can enroll often results in tight control over access to affluent school districts. While many scholars and policymakers have recommended more open and porous boundaries between school districts, broader sharing of educational resources across existing district lines, and more concerted efforts to do away with school districts that have high concentrations of poor students and/or minority students, 202 little has been done.
School officials consistently describe the parents who are arrested as "setting
198. Mara Gay, Education or Bust, More Parents Doing Time for 'Stealing Education' for Kids in Better Districts, DAILY (Mar. 11, 2012), http://www.thedaily.com/page/2012/03/11/031112-news-schoolmoms-arrested-1-5.
199. In Brief; Ulster Officials Warn of Phone Scammers, POUGHKEEPSIE J. (Poughkeepsie, N.Y.) Nov. 9, 2010, at B6.
200. Gay, supra note 198.
201. Mom Admits Sent Kids to School Illegally, WIVB4 NEWS (Jul. 24, 2009, 5:52 PM), http:// www.wivb.com/dpp/news/new_york/Mom_admits_sent_kids_to_school_illegally_20090724.
202. E.g., James E. Ryan, Schools, Race, and Money, 109 YALE L.J. 249 (2001) (arguing that goals of racial and socioeconomic integration are best served not through funding reforms but through cooperative efforts between urban and suburban areas, including magnet schools and increased interdistrict school choice programs); Erica J. Rinas, Note, A Constitutional Analysis of Race-Based Limitations on Open Enrollment in Public Schools, 82 IOWA L. REV. 1501 (1997) (examining the history of open enrollment legislation and litigation in Ohio and other states and recommending consideration of student race in open enrollment programs in order to achieve district diversity goals).
bad examples for their children." 203 Those statements highlight some of the tensions inherent in these cases. The parents are, indeed, setting bad examples by violating rules. At the same time, those parents are communicating to their children the importance of education and taking huge risks to provide their children with better educational opportunities.
The school officials also seem to recognize the injustices of educational inequities and yet distance themselves from bearing responsibility for addressing those inequalities, either as educators or as citizens. Brian Poe, the CopleyFairlawn School District Superintendent, stated during an interview about Kelley Williams-Bolar's case that, "if we disagree with the laws, and we disagree with how things are set up, I think it's important that we still need to follow those laws and abide by them." 204 While the problems of systemic educational equality are recognized, there are few people working as the agents of social and economic change; there are, however, many working to maintain the status quo. Economically privileged families have often worked hard to move into academically privileged (and often racially, ethnically, and economically selfsegregated) schools. 205 Economically disadvantaged parents are stuck—either struggling to accumulate enough wealth to cross the border, hoping their kids beat the odds on the wrong side of the border, or sneaking their kids across the border.
Policing the school district borders has even produced new business opportunities for contractors. Verify Residence, a private company in New Jersey, contracts with school districts to help them root out students who may be enrolled in the wrong district. 206 The company audits student registration documents, investigates registration inconsistencies (including surveillance of parents and students), and even runs a "24/7 Tips and Reward" hotline that
203. See, e.g., Cunningham, supra note 192.
204. Mother Jailed for School Fraud, Flares Controversy, supra note 179.
205. See Jennifer Jellison Holme, Buying Homes, Buying Schools: School Choice and the Social Construction of School Quality, 72 HARV. EDUC. REV. 177, 201–03 (2002) (finding that economically privileged parents choose housing and schools based not on neighborhood schools' curricula but rather on parents' perceptions that schools have small numbers of low-income students or students of color); Mingliang Li, Is There "White Flight" into Private Schools? New Evidence from High School and Beyond, 28 ECONOMICS OF EDUC. REV. 382, 383 (2009) (finding that the higher the percentage of black school-age children in a county, the higher the probability that white students are attending private schools); Haifeng Zhang, School Desegregation and White Flight Revisited: A Spatial Analysis from a Metropolitan Perspective, 32 URB. GEOG. 1208, 1214–21 (2011) (offering evidence that, whereas earlier white flight involved families moving from urban areas to the suburbs, more recent white flight involves white families moving from desegregated suburban school districts to segregated suburban districts or enrolling children in private schools).
206. See generally VERIFY RESIDENCE, http://www.verifyresidence.com (last visited May 13, 2013). At the time of this writing, the main photograph image on the web site is a picture of five children. In the foreground of the photo, an elementary school-aged boy who appears to be Latino or Asian American stands with a sad look on his face and his head down. Behind him are four children who appear to be white and who are whispering to each other behind the boy's back. The image offers a disturbing image of white insiders and the non-white outsider.
encourages members of the public to report on parents and students they suspect of attending out-of-district schools. 207 Another business, National Investigations, Inc., advertises on its website: "Our firm is the only one who does door knocks or surveillance of students in increments of a quarter of an hour at a time." 208 Bill Beitler, owner of National Investigations, admits that there are school districts that target African American, Latino, and special education students, though he says that he has refused to engage in this practice when asked. 209 Thus, students of color can become border-crossing, so-called illegals in their country of birth.
There is a way that students and parents who violate the residency rules can avoid prosecution: by playing sports. There have been numerous investigations of high school sports coaches recruiting students from other school districts and enrolling them in violation of district residency requirements. 210 I have been unable to find instances of coaches facing criminal charges for these actions. Then again, well-attended sports events can raise a lot of money for school districts. 211 It is the single mothers and grandparents of students seeking educations, and not the men seeking sports glory, who are prosecuted.
Using the criminal justice system to punish parents who seek better educational opportunities for their children is a new trend. A research report from Connecticut's Office of Legislative Research found that only six states and Washington D.C. had statutes specifically addressing false enrollment information and that none of them established these as felonious acts. 212 The cases that have
207.
Id.
208. Residency Investigations, NAT'L INVESTIGATIONS, INC., http://www.nationalinvestigations .com/residency_investigations.html (last visited May 13, 2013). The Riverside-Brookfield High School in affluent Oak Park, Illinois hired National Investigations to conduct residency investigations. In 2010, after two years contracting with the company, the school district decided not to use the company any more. The District Interim Superintendent found that National Investigations was providing inadequate information to determine whether or not students actually lived in the district. During the first year with National Investigations, the company recommended outside hearing officers; the second year, the Superintendent served as the administrative hearing officer for the residency hearings. Bob Skolnik, RBHS Changing Residency Check Firms, RIVERSIDE-BROOKFIELD LANDMARK (Ill.) (Aug. 17, 2010, 10:00 PM), http://www.rblandmark.com/News/Articles/8-172010/RBHS-changing-residency-check-firms. It is hard to believe that either the school superintendent or individuals connected with the investigators would be impartial adjudicators in the residency hearings.
209. Gay, supra note 198.
210. See, e.g., Charles Elmore, Charges Fly but Tough to Prove, PALM BEACH POST (Fla.), Nov. 1, 2011, at 1C; Greg Tufaro, NJSIAA Strips North Bergen of Sectional Football Title, ASBURY PARK NEWS (N.J.) (June 6, 2012, 6:05 PM), http://www.app.com/article/20120606/NJSPORTS01/306060090/ NJSIAA-strips-North-Bergen-sectional-football-title.
211. Robert Eckhart, Friday Night Under Rival Lights, SARASOTA HERALD TRIB. (Fla.), Dec. 13, 2010, at A1 (discussing accusations of Venice High School football coaches recruiting and enrolling out-of-district players and noting that "Venice raised $173,000 last year by selling tickets and hot dogs and T-shirts.").
212. JAMES ORLANDO, CRIMINAL PENALTIES FOR FALSELY CLAIMING RESIDENCY WITHIN A SCHOOL DISTRICT 1–4 (CONN. OFFICE OF LEGISLATIVE RESEARCH REPORT 2011-R-0214, 2011) (citing ARK. CODE ANN. § 6-18-202(f), D.C. CODE § 38-312, 105 ILL. COMP. STAT. 5/10-20.12b,
been brought in states without statutes specifically addressing school enrollment show prosecutors stretching criminal statutes to ensnare poor mothers. Where state legislators have addressed the issue of parents jumping the borders of school districts, the laws have generally labeled the wrongdoing as a misdemeanor 213 or as a lower-level criminal violation. 214 It is, it seems, not legislators but rather local school districts and overzealous prosecutors who are disregarding the effects of felony prosecutions on families and communities and overcharging parents to make examples of those who refuse to honor school district borders.
These cases are about policing the boundaries of place—neighborhoods, school districts—and selectively distributing public services—including educational opportunities—in efforts to exclude those who represent the inferior other. Educational opportunities are supposed to be a public good, but those opportunities are not equally available. Where access to education determines life chances, it is no surprise that we see poaching.
E. Treating Crimes of Need as Crimes of Greed
People who are poor often have difficulty accessing the essentials of everyday life. Adults working low-wage jobs or surviving on public benefits often make too little to make ends meet. In addition, the federal poverty level, which is used as a referent to establish money for many government benefits, is low—too low to meet basic needs.
Those families who receive TANF benefits generally make far below the poverty threshold. The Center on Budget and Policy Priorities has found that no state provides enough TANF benefits to raise a family to even half of the poverty line, and many states provide far below half. 215 While costs of living, particularly housing, have risen in the years since federal welfare reform was instituted, welfare
MICH. COMP. LAW SERV. § 380.1812, MO. REV. STAT. § 167.020, OKLA. STAT. ANN. tit. 70 § 1113(A), and 24 PA. CONS. STAT. ANN. § 13-1302).
213. 105 ILL. COMP. STAT. 5/10-20.12b(f) (2010) (providing false residency information is a Class C misdemeanor); MICH. COMP. LAWS § 380.1812 (2008) (intentionally giving the school enumerator false information is a misdemeanor punishable by a fine up to $50, imprisonment for up to 20 days, or both); MO. REV. STAT. § 167.020(4) (2012) (submitting false information about school residency is a class A misdemeanor); OKLA. STAT. tit. 70, § 1-113(A)(1) (2011) (false statement about student residency is a misdemeanor and may result up to on one year of imprisonment and/or a fine up to $500); TEX. PENAL CODE ANN. § 37.10(a), (d) (2011) (falsification of records to enroll a student is a Class C misdemeanor).
214. ARK. CODE ANN. § 6-18-202(f) (giving a false residential address is a violation subject to a maximum fine of $1,000); D.C. CODE § 38-312 (a person who provides false information may be subject to a fine up to $2,000 or to imprisonment, but not both); 24 PA. CONS. STAT. § 13-1302(c) (providing false information about school enrollment may result in a fine up to $300 and/or community service up to 240 hours).
215. Liz Schott & Ife Finch, TANF Benefits Are Low and Have Not Kept Pace with Inflation, CENTER ON BUDGET & POL'Y PRIORITIES 1–2 (2010), http://www.cbpp.org/cms/?fa=view&id =3306.
benefits have not. 216 In addition, a number of factors—including strict eligibility standards, sanctions, time limits, and the stigma of welfare receipt—have left many families without any cash assistance. 217 In 2007, only thirty-six percent of households eligible for TANF benefits received them. 218
South Carolina is representative of what is happening nationwide. The state provides very low TANF benefits to families. 219 In 2010 the legislature lowered the maximum TANF benefits for a family of three from $270 per month to $216 per month. 220 In fiscal year 2011, an average of 844,405 South Carolina residents received SNAP benefits every month, almost 300,000 more than in 2007. 221 Since the number of Americans receiving food stamps began growing dramatically, both public resentment and political backlash have also grown. In January 2010, South Carolina Lieutenant Governor and then candidate for governor Andre Bauer said, while criticizing the nutrition assistance program, that his grandmother told him to "quit feeding stray animals. You know why? Because they breed." 222 (There is actually a long history of conservative politicians comparing people who receive government benefits to animals, including wolves, alligators, brood mares, monkeys, and mules.) 223
The number of Americans receiving nutrition assistance began rising in 2008. 224 Federal officials were aware that the programs was underutilized by those who qualified, that the economy was weak and unemployment high, and that expanding participation in SNAP was perhaps the only politically practical way to direct federal resources to the poor. 225 As a result, the Department of Agriculture
216. Id. at 4.
217. Average monthly TANF caseloads in the U.S. dropped from 3.94 million families in 1997 to 1.95 million in 2011. Pamela J. Loprest, How Has the TANF Caseload Changed over Time?, URB. INST. 2 (2012), http://www.urban.org/UploadedPDF/412565-How-Has-the-TANF-Caseload -Changed-Over-Time.pdf.
218. Id.
219. Three states—Arkansas, Mississippi, and Tennessee—provide lower benefits for a family of three. Id.
220. Finch & Schott, supra note 41, at 11.
.
221. Supplemental Nutrition Assistance Program: Average Monthly Participation, U.S. DEP'T AGRIC (Sept. 28, 2012), http://www.fns.usda.gov/pd/15SNAPpartPP.htm.
222. Jason DeParle & Robert Gebeloff, Food Stamps Finding New Acceptance as Enrollment Surges, N.Y. TIMES, Feb. 11, 2010, at A22 (quoting Bauer).
223. NEUBECK & CAZENAVE, supra note 88, at 169–70 (quoting politicians likening welfare recipients to alligators and wolves); Louis Kushnick, Responding to Urban Crisis: Functions of White Racism, in A NEW INTRODUCTION TO POVERTY: THE ROLE OF RACE, POWER AND POLITICS 160, 170 (Louis Kushnick & James Jennings eds., 1999) (citing Senator Russell Long's 1967 reference to welfare recipients as "Black Brood Mares," and citing references to welfare recipients as "breeding mules," "alligators," and "monkeys" during the 1995 House debates over the Personal Responsibility and Work Opportunity Reconciliation Act).
224. Supplemental Nutrition Assistance Program: Average Monthly Participation, supra note 221 (showing that since 2008, 16.5 million more people are receiving federal nutrition assistance).
225.
DeParle & Gebeloff, supra
note 222.
expanded SNAP eligibility and increased outreach. 226 In addition, many states reformed their assets tests, making it easier for their residents to get SNAP benefits (perhaps because SNAP is an easy way to draw federal resources into local communities). 227
In 2011, SNAP provided food assistance to more than forty-four million households in the United States. 228 For millions of low-income Americans, SNAP is the only source of regular government assistance a family is receiving. 229 These households receive neither wages nor other private or public benefits. 230 In the last few years, food prices have been rising; SNAP provides only about $4.46 per day per individual. 231 An important note: SNAP benefits can only be used for food. Other necessities such as hygiene products, toilet paper, diapers, laundry detergent, vitamins, and medicine are not covered by SNAP. 232
Retailers nationwide have reported a rise in thefts. 233 Given the high unemployment rate, the high poverty rate, the low rates of receipt of cash assistance benefits, and the fact that SNAP can only be used to purchase food, an increase in retail theft is not entirely surprising. The items being stolen are not luxuries, such as cigarettes and alcohol. Many of the items stolen on a regular basis are items that many Americans would consider essentials: laundry detergent, razors, diabetic test strips, pain relievers, heartburn medication (Prilosec), and even infant formula. 234 (Tide laundry detergent is a particularly hot commodity in underground markets.) 235 That these everyday items are being targeted should not be surprising; they are all high-cost items difficult for those living below the poverty line to afford. They cannot be purchased with SNAP benefit cards. And they are easily portable. Because of its popularity for theft, many retailers now keep infant formula in locked cabinets. 236
226. Id.
227. Id.
228. Supplemental Nutrition Assistance Program: Average Monthly Participation, supra note 221.
229. Jason DeParle & Robert M. Gebeloff, Living on Nothing but Food Stamps, N.Y. TIMES, Jan. 3, 2010, at A1.
230. Id.
231. Policy Basics: Introduction to SNAP, CENTER ON BUDGET & POL'Y PRIORITIES 7 (2012), http://www.cbpp.org/files/policybasics-foodstamps.pdf.
232. Supplemental Nutrition Assistance Program: Eligible Food Items, U.S DEP'T OF AGRIC., http:// www.fns.usda.gov/snap/retailers/eligible.htm (last modified Feb. 14, 2013).
233. Dante Anthony Fuoco, State Aims Tougher Penalties Against Retail Theft, PITTSBURGH POST-GAZETTE (Pa.), July 19, 2010, at A1.
234. GOV'T ACCOUNTABILITY OFFICE, GAO-11-675, ORGANIZED RETAIL CRIME: PRIVATE SECTOR AND LAW ENFORCEMENT COLLABORATE TO DETER AND INVESTIGATE THEFT 6 (2011), available at http://www.gao.gov/new.items/d11675.pdf; Fuoco, supra note 233; 2012 Organized Retail Crime Survey, NAT'L RETAIL FED'N 12 (2012), https://www.nrf.com/modules .php?name=Documents&op=showlivedoc&sp_id=7247.
235. Ben Nuckols, Thieves Clean Up with Loads of Stolen Tide Detergent, BOSTON GLOBE (Mass.), Mar. 15, 2012, at 7.
236. John Annese, Couple Charged as 1.4G Formula Filchers, STATEN ISLAND ADVANCE (N.Y.), May 10, 2012, at A3 ("Baby formula has become a prime target for shoplifters in recent years, with
Retailers complain that a lot of the theft does not appear to be petty, but rather that large quantities are often stolen at one time. 237 According to the Congressional Research Service, these crimes are not done by petty shoplifters but rather by boosters, "professional thieves who make money by stealing merchandise from retail and other venues and reselling it to fences who in turn sell the goods—through legal or illegal economic outlets—for a fraction of the retail cost." 238 This also is not surprising. A lot of low-income individuals are desperate for these items and anyone stealing them could easily sell them in the underground economy. Indeed, federal reports show that a lot of these items are showing up at flea markets and swap meets in low-income communities, as well as on Internet sites such as Craigslist. 239
In their study of low-income mothers, Kathryn Edin and Laura Lein found that the women receiving public assistance could not make ends meet on the benefits they received, and that half the women they interviewed "purchased almost all their other necessities from neighborhood fences who sold stolen groceries, clothing, and toiletries at cut-rate prices." 240 Involvement in underground markets was necessary for these mothers to meet the basic needs of their families.
Underground sales of infant formula, baby food, laundry detergent, and razor blades might easily be seen as an indicator of widespread need, particularly among parents. 241 Demand for non-food essential goods among the poor is generating underground markets in stolen goods. 242 Lobbyists for the retailers' associations have been framing the thefts as symbolic of increased criminal behavior by individuals. 243
There have been efforts across the country, many of them successful, to
many stores keeping the product under lock and key."); Vik Kirsch, Willow Road Store Guards Baby Formula to Prevent Theft, GUELPH MERCURY (Ont.) (Apr. 4, 2011), http://www.guelphmercury .com/news/local/article/511423—willow-road-store-guards-baby-formula-to-prevent-theft (reporting that 131 CVS Pharmacies in Connecticut keep infant formula in locked storage because of theft).
237. Id.
238. KRISTIN M. FINKLEA, CONGRESSIONAL RESEARCH SERV., R41118, ORGANIZED RETAIL CRIME 1 (2010).
239.
Id.
at 4.
240. EDIN & LEIN, supra note 42, at 41.
241. In 2004, infant formula was the fourth-most-shoplifted item in retail stores. Mark Clayton, Is Black-Market Baby Formula Financing Terror?, CHRISTIAN SCI. MONITOR, June 29, 2005, at 1.
242.
E
DIN&
L
EIN,
supra note 42, at 43.
243. See E-Fencing Enforcement Act of 2008, the Organized Retail Crime Act of 2008, and the Combating Organized Retail Crime Act of 2008: Hearing on H.R. 6713, H.R. 6491, and S. 3434 Before the Subcomm. on Crime, Terrorism, and Homeland Security of the H. Comm. on the Judiciary, 110th Cong. 11–15, 34–35 (2008) (testimony of Frank Muscato, Organized Retail Crime Field Investigator, Walgreens, and testimony of Joseph J. LaRocca, Vice President, Loss Prevention, National Retail Federation); Organized Retail Theft Prevention: Fostering a Comprehensive Public-Private Response: Hearing Before the Subcomm. on Crime, Terrorism, and Homeland Security of the H. Comm. on the Judiciary, 100th Cong. 17–20 (2007) (testimony of Karl F. Langhorst, Director, Loss Prevention, Randalls/Tom Thumb Food and Pharmacy).
introduce state legislation that would increase the penalties for retail theft of specific items, most of them necessities such as infant formula. 244 This includes South Carolina, where, in 2011, a bill was introduced that would make stealing infant formula valued over $100 felony larceny punishable by a fine of up to $1,000 and up to five years imprisonment. 245 (Under the current statute¸ shoplifting reaches the level of felony larceny only when the retail value of the stolen items exceeds $2,000.) 246
The proposed South Carolina bill would make not only theft of infant formula a crime, but also knowing receipt and possession. 247 Many of the bills or legislative changes also criminalize the buying and selling of everyday necessities outside of retail businesses. 248 While it is the boosters and the middlemen who are most likely engaged in theft for economic gain or to satisfy drug habits, the legislative reforms and their stiff penalties have the potential to negatively affect and criminalize low-income mothers, either for receiving and possessing stolen goods or for engaging in desperate acts of shoplifting that in the past would have been treated as petty crimes. 249
Some of the lobbying efforts behind these statutory reforms have associated infant formula with drug cartels and terrorism. When there have been interceptions of large hauls of powdered infant formula, law enforcement officers have speculated that the formula was probably headed to drug manufacturers to be used to cut cocaine or heroin. 250 That speculation seems rather specious given that other substances used to cut drugs, such as powdered milk or non-dairy creamer, could be obtained in large quantities much more easily and relatively inexpensively at big box stores. In addition, the high cost of powdered infant formula—about twenty-five dollars per canister—makes it an easy moneymaker without going to the bother of mixing it with drugs. Some cases indicate that the crooks are not low-income women, but rather store owners exploiting low-income women by selling them stolen infant formula at full price, well aware that their
244. FINKLEA, supra note 238, at 21–22.
245. H.R. 3450, 119th Gen. Assemb., 1st Sess. (S.C. 2011).
246. S.C. CODE ANN. § 16-13-110 (2011).
247. H.R. 3450, 119th Gen. Assemb., 1st Sess. (S.C. 2011).
248. For example, in April 2012, the Governor of Wisconsin signed into law legislative changes that banned sales of baby food, infant formula, razor blades, drugs, and cosmetic at flea markets or on the Internet without proof of ownership of these items and lowered the dollar threshold at which point retail theft becomes a felony from $2,500 to $500. WIS. STAT. §§ 134.715, 943.50 (2011).
249. One study has found that shoplifting is common type of "occupation" in the underground labor market for women who are disconnected from the mainstream labor market and from public benefits, usually because of previous criminal offenses. See generally Gail A. Caputo & Anna King, Shoplifting: Work, Agency, and Gender, 6 FEMINIST CRIMINOLOGY 159, 173–74 (2011).
250. Sarah Burge, Three Arrested in Infant Formula Theft, RIVERSIDE PRESS-ENTERPRISE (Cal.), Jan. 1, 2013, at A3.
vouchers from the Women Infant Children (WIC) nutrition program will reimburse them at full retail price for the formula. 251
Underground sales of infant formula are also being associated with terrorism rather than being offered as examples of desperate need or routine criminal activity. 252 In the post-9/11 period when it was particularly difficult for male immigrants from some parts of the world to find employment in the United States, there were several incidents where law enforcement officials caught immigrant men stealing and reselling cases of infant formula and speculated that in some cases the proceeds might be being used to support terrorist groups. 253 Lobbyists have repeatedly used news reports of those cases in state legislative hearings to rouse fears about infant formula theft by associating it with terrorism and to encourage the passage of increased criminal penalties for infant formula theft. 254
The foreseeable effects of these statutory reforms increasing the penalties for theft of infant formula will, like the federal crack cocaine statutes, be disproportionately borne by low-income women of color. They may also affect immigrant men of color. In many states, courts may soon face the possibility that they will be imposing harsher sentences upon those who shoplift infant formula than those who shoplift alcohol.
It is unclear what the systemic effects of these policies would be. Proponents argue that increasing penalties will deter criminals and reduce the rate of retail theft. If these are, as it appears, crimes of need, then increased penalties will have no deterrent effect. What does appear likely is that more individuals will be serving long sentences for what would have been in better economic times treated as minor property crimes.
What is also clear is that the needs of low-income families do not trigger government response until retailers feel the effects. The government response,
251. John Diedrich, Stolen Formula a Hot Scheme, MILWAUKEE J. SENTINEL (Wis.), Nov. 25, 2007, at B3; see also Chao Xiong, Four St. Paul Mom-and-Pop Stores Busted, STAR TRIB. (Minneapolis, Minn.), Sept. 14, 2012, at 3B (reporting instances of store owners buying stolen bottles of Tide laundry detergent for $2 from boosters and selling it to store customers for $9.99—$2 less than full retail price).
252. FINKLEA, supra note 238, at 12 (warning that "law enforcement has traced the illicit proceeds from retail crime, specifically from the theft and resale of infant formula, to terrorist organizations and insurgent groups, including Hamas and Hezbollah," and that "notable investigations of large organized retail crime rings uncovered evidence that the ORC ringleaders had transferred profits from their fencing operations to several countries known to support terrorists").
253. Clayton, supra note 241; Jim Buynak, Thefts of Baby Formula Spur Wide Investigation, ORLANDO SENTINEL (Fla.), Mar. 21, 2005, at B1; Edward Hegstrom, The World in Houston; A New Formula for Terrorism?, HOUS. CHRON. (Tex.), Aug. 4, 2003, at A12 ("As if dirty bombs and box cutters weren't enough to worry about, now some officials are warning of possible new terrorist tools: Similac and Enfamil.").
254. FINKLEA, supra note 238, at 12–14.
however, is not to address the underlying needs, but instead to label the issues criminal problems and to call upon the logics of crime control to address them.
III. THE FUNCTIONS OF THE CEREMONIAL DEGRADATION OF POOR WOMEN
The criminalization of the poor, the policing of the poor, and the spectacle of punishing the poor serve expressive functions. It is not clear, however, whether they are expressing disfavor of individual behaviors or disfavor of the poor as a group. Discussions and policymaking around welfare are so fraught with emotion and with issues of morality that the usual rules of reasonableness, rationality, and restraint do not apply. It is almost impossible to have an unemotional conversation about welfare or to discuss structural issues of poverty without the conversation making a right turn into a discussion of individual behavior and moral desert.
In addition, discussions of the poor have become so attenuated from material need, the persistence of poverty, and the wealth gap, that we do not even give thought to protecting the economically vulnerable. Public discussions of social and economic problems do not touch on issues of dignity, privacy, or voice among the poor in democratic politics. Instead, those with political sway label the poor deviant and inflict harm upon them—both adults and children. Law and policies deny low-income individuals their dignity, intrude on their privacy, exacerbate economic disparity, marginalize, criminalize, and reinforce the idea that low-income mothers are both deservingly poor and inherently criminal.
A. Legitimizing Material Deprivation
Sociologists tend to approach rule breaking and deviance from a different perspective than most legal academics. They do not assume that laws are neutral and objective; they consider the functions that laws may serve and the effects of law on populations. 255
Almost fifty years ago, sociologist Lewis Coser wrote that material deprivation and poverty are not one and the same. Coser argued that poverty, like crime, is a socially constructed category. 256 He wrote that "the poor are men who have been so defined by society and have evoked particular reactions from it.
255. Ruth Sidel, The Enemy Within: The Demonization of Poor Women, 27 J. SOC. & SOC. WELFARE 73, 76 (2000) (Sidel writes that welfare recipients "have been portrayed as the ultimate outsiders—marginalized as nonworkers in a society that claims belief in the work ethic, marginalized as single parents in a society that holds the two-parent, heterosexual family as the desired norm, marginalized as poor people in a society that worships success and material rewards, and marginalized as people of color when in reality millions of whites live in poverty.").
256. Lewis A. Coser, The Sociology of Poverty, 13 SOC. PROBS. 140, 140 (1965) (writing that "poverty . . . [is] . . . a social category that emerges through societal definition," and analogizing poverty to crime, which, he writes "can best be defined as consisting in acts having 'the external characteristic that they evoke from society the particular reaction called punishment'").
From this perspective, the poor have not always been with us." 257 After looking at how those who lacked material resources in various societies and historical moments were treated, Coser concluded that "the poor emerge when society elects to recognize poverty as a special status and assigns specific persons to that category." 258 Coser added that the "granting of relief, the very assignment of the person to the category of the poor, is forthcoming only at the price of a degradation of the person who is so assigned." 259
Something that now seems to be occurring in the United States is the disassociation of the category termed "the poor" with those who are materially deprived and the conflation of two social categories—poverty and crime—that before, even if involving overlapping populations, were treated as distinct categories. People and practices that once might have been associated with material need are now associated with crime. 260 Many scholars have written that both welfare policies and the criminal justice system are used to maintain social order in a society with stark inequalities. 261 U.S. policymakers recognize crime as a social problem but refuse to recognize poverty as a social problem. So it is criminals whose actions arouse political and media attention.
We produce criminality on the practical level through economic policies that create or maintain material need, and on the political level through the construction of criminal behaviors by passing and enforcing pieces of legislation that define individual acts of economic desperation as criminally liable acts. When poor people, not poverty, come to be framed as social problems; when economic desperation comes to be framed as an issue of crime (which is emotionally
257.
Id
. at 141.
258. Id. at 141.
259.
Id
. at 144.
260. The federal welfare reforms of 1996 "instituted policies and practices that burdened welfare receipt with criminality; policed the everyday lives of poor families; and wove the criminal justice system into the welfare system, often entangling poor families in the process." Gustafson, supra note 5, at 665.
261. See generally Katherine Beckett & Bruce Western, Governing Social Marginality: Welfare, Incarceration, and the Transformation of State Policy, in MASS IMPRISONMENT: SOCIAL CAUSES AND CONSEQUENCES 35, 46 (David Garland ed., 2001) (concluding that "penal and welfare institutions have come to form a single policy regime aimed at the governance of social marginality"); PIVEN & CLOWARD, supra note 22, at 4–8 (arguing that during the twentieth century the abstract market was not sufficient authority to maintain participation among low-wage workers or maintain social order; relief programs for the poor promoted political legitimacy and maintained order in capitalist economies); JOE SOSS ET AL., DISCIPLINING THE POOR: NEOLIBERAL PATERNALISM AND THE PERSISTENT POWER OF RACE 294–301 (2011) (arguing that, in addition to the welfare and penal justice systems, other state policies—such as tax and education policies—function to discipline the poor and legitimize social, economic, and racial marginalization); LOÏC WACQUANT, PUNISHING THE POOR: THE NEOLIBERAL GOVERNMENT OF SOCIAL INSECURITY 41–75 (2009) (arguing that the withdrawal of the welfare state and the growth of neoliberal free market ideologies in the late twentieth century necessitated the growth of punitive penal practices to maintain social order, to render the poor invisible, and to warn away those who might be tempted to disengage from the market).
evocative) rather than an issue of structural economic inequality; and when the solutions to these problems are developed through the logics of crime control rather than through economic redistribution, then material need disappears as a salient social fact. Economic deprivation becomes an individual failing rather than a systemic social problem. 262
B. Punishing Poachers and Property Desperados
Material inequalities in the United States, not to mention current class and racial hierarchies, cannot be maintained unless economically marginalized poachers of state goods and services are punished and shamed publicly and harshly. Punishing those who engage in property crime upholds and legitimizes the existing system of private property. The cases underlying the degradation ceremonies described in Part III of this Article are akin to cases of poaching in eighteenth-century England. The extensive historical literature on poaching highlights the nexus between property law and criminal law as poaching involved theft and trespass. 263 The 1723 Black Act in England made it a capital offense to engage in poaching; killing deer, hunting hare, or fishing in a forest or royal park could result in severe penalties, including death. 264 The Black Act was instituted in response to groups of poachers who engaged in the activities in overtly political ways, getting goods that, while wild, were considered the property of the King and the landed gentry. 265 At the same time, it is likely that some of the poachers were simply obtaining food. Imposing severe sentences on poachers (and often granting mercy afterwards) demonstrated, often in very ceremonial ways, sovereign authority over the lower classes, who were resisting the inequalities in ownership and status.
Historian Douglas Hay wrote a fascinating history of English wild game laws—laws that limited hunting wild game to men with high incomes. 266 Penalties for violating the laws were stiff. 267 Rising food prices and meat shortages in the second half of the eighteenth century left members of most of the social classes hungry and led to widespread poaching and to the development of a black market
262. DAVID GARLAND, THE CULTURE OF CONTROL 102 (2002) ("In the political reaction against the welfare state and late modernity, crime acted as a lens through which to view the poor— as undeserving, deviant, dangerous, different—and as a barrier to lingering sentiments of fellow feeling and compassion.").
263. For a well-known collection of writings on the topic, see DOUGLAS HAY ET AL., ALBION'S FATAL TREE: CRIME AND SOCIETY IN EIGHTEENTH-CENTURY ENGLAND (Allen Lane, ed., Penguin Books Ltd. 1975) [hereinafter ALBION'S FATAL TREE].
264. E.P. THOMPSON, WHIGS AND HUNTERS: THE ORIGINS OF THE BLACK ACT 270–71 (1975).
265. Id.
266. Douglas Hay, Poaching and Game Laws on Cannock Chase, in ALBION'S FATAL TREE, supra note 263, at 189, 189.
267. Id. at 189–91.
in meat. 268 Just as wild game was under the control of the landed gentry, so was the law. 269 Landowners could choose from a host of civil and criminal penalties to bring against poachers. 270 They often brought poachers before the law but they also frequently used their discretionary power to take mercy on the poachers. 271
Many of the low-income mothers described above as welfare cheats, as education thieves, and as consumers of stolen baby formula hold an analogous position to English poachers of centuries past. They are involved in a game of cat and mouse with the law. Whether intended as expressive acts of political resistance or as desperate acts of need, the acts have political effects and play into class dynamics. Moreover, the class dynamics may be reinforcing law's power and class hierarchies rather than dismantling them.
Historian Douglas wrote of poaching in England:
Theft is given definition only within a set of social relations, and the connections between property, power and authority are close and crucial. The criminal law was critically important in maintaining bonds of obedience and deference, in legitimizing the status quo, in constantly recreating the structure of authority which arose from property and in turn protected its interests. 272
As the examples of property crimes offered in Part III of this Article demonstrate, the regulation of property and the policing of boundaries through criminal law stand central to the maintenance of power and existing class, race, and gender hierarchies in the United States. There is resistance to the status quo. Both retail theft of necessities from chain stores and low-level welfare fraud look something like taking from the rich and giving to the poor. At the same time, the administration of law adjusts to the challenges to the status quo and shifts to reinforce the law's power over those at the lower tiers of society. Drug testing is a mechanism for keeping the poor in their place. And punishing acts of low-level welfare fraud, where there is no individual victim, amounts to punishing crimes against the sovereign taxpayer. Laws are neither static nor uncontested, yet it is rare for the shifting dynamics to favor the disempowered.
Education theft, more than the other activities discussed here, seems analogous to old-style poaching. While the transgressing of physical boundaries and the theft of public goods become the legal issues, it is really the unequal distribution of educational opportunities that poses the threat to social order. Educational opportunities often mark class hierarchies in the United States.
268. Id. at 202.
269. Id. at 248 ("If sporting was one major prerogative of country gentlemen, the other was the administration of justice.").
270. Id. at 248–49.
271. Id. at 249.
272. Douglas Hay, Property, Authority and the Criminal Law, in ALBION'S FATAL TREE, supra note 263, at 17, 25.
School districts can, it is commonly believed, determine destinies, and members of affluent communities often want to see boundaries drawn that keep out lowincome children who are perceived as dragging down standardized test scores in their schools. There is no reason to punish the poaching of publicly provided goods as criminal acts other than to engage in degradation ceremonies and to shame the encroaching parents in ways that send signals to both the rich and the poor that the legal system will honor existing hierarchies.
The deconstitutionalization of poverty has left the issue to Congress and to state legislatures, which means that the lives of the poor are left to political whim, with no check on the power of legislatures but public opinion. 273 Public opinion, however, is informed by legislators and the media. In addition to property dispossession—so closely correlated to rights dispossession—racial, ethnic, and socioeconomic segregation (in housing and in schooling) persists in the United States. 274 While neighborhood segregation is often discussed as the result of many private and individual housing choices, 275 many scholars have noted the ways that government is implicated in neighborhood segregation. 276
273. Mario L. Barnes & Erwin Chemerinsky, The Disparate Treatment of Race and Class in Constitutional Jurisprudence, 72 LAW & CONTEMP. PROBS. 109, 109, 119 (2009) (noting that the U.S. Supreme Court has offered no protection of socioeconomic rights nor recognized socioeconomic rights as fundamental, and arguing that poverty should be given closer scrutiny under Equal Protection doctrine because it has become a "stigmatizing identity category"); Budd, supra note 100, at 753 ("[T]he enforced Constitution is not only blind to poverty but frequently antagonistic to it as well. Thus the poor live not merely beyond the Constitution but also beneath it, at once deconstitutionalized and subconstitutionalized in relation to the law." (footnote omitted)); Martha T. McCluskey, Constitutional Class Inequality: Due Process in State Farm, 56 BUFF. L. REV. 1035, 1035 (2008) ("[T]he Constitution treats questions of economic inequality as matters of policy largely immune from scrutiny by the judicial branch."); Julie A. Nice, No Scrutiny Whatsoever: Deconstitutionalization of Poverty Law, Dual Rules of Law, and Dialogic Default, 35 FORDHAM URB. L.J. 629, 631 (2008) ("Not only may poor people not expect equal constitutional protection from the judiciary, they also lack the types of resources typically required for effective political mobilization to pursue protection from the political branches of government.").
274. JOHN ICELAND ET AL., U.S. CENSUS BUREAU, RACIAL AND ETHNIC RESIDENTIAL SEGREGATION IN THE UNITED STATES: 1980–2000, at 4 (2002) (analyzing census data collected between 1980 and 2000 and finding that, while residential segregation had declined for African Americans, it was still higher than for all other groups; that segregation was also high among Latinos; and that segregation was rising among Asians and Pacific Islanders).
275. Gary Orfield, Housing and the Justification of School Segregation, 143 U. PA. L. REV. 1397, 1400–01 (Federal courts "explained that the increasing segregation in many districts was not a public responsibility, but a natural process reflecting private preferences. If spreading segregation is natural and private, it is beyond the reach of the courts and futile for them to try to change—and is therefore an important justification for judicial inaction while schools are resegregated.").
276. I. Bennett Capers, Policing, Race, and Place, 44 HARV. C.R.-C.L. L. REV. 43, 43–47 (2009) (noting that neighborhood segregation is problematically taken as a given, and outlining how police practices contribute to the maintenance of special boundaries); Richard Thompson Ford, The Boundaries of Race: Political Geography in Legal Analysis, 107 HARV. L. REV. 1841, 1844 (1994) ("Even as racial segregation is described as a natural expression of racial and cultural solidarity, a chosen and desirable condition for which government is not responsible and that government should not oppose, segregation continues to play the same role it always has in American race relations: to isolate,
Eduardo Moisés Peñalver and Sonia Katyal have argued that some property crimes, particularly expressive property crimes, may positively transform law and society. 277 They distinguish between acquisitive crimes and expressive property crimes, noting that the previous involves self-interest while the latter aims to achieve broader social goals. 278 I think that there may be another category of property violators: property desperados. The term expresses the desperation and recklessness at root in their actions. 279 The women described earlier who engaged in welfare fraud, education theft, and theft of essentials are committing acquisitive property crimes, but the benefits flow to the children while the actions put the mothers at high risk of punitive state action. The mothers' actions are self-interested, but not purely self-interested. Their crimes are generally not intended as expressive, and yet they communicate the realities of inequality in the United States. The lowincome women I have described are not necessarily working for systemic change. Their property crimes do not necessarily create new frontiers in property law. Instead, their actions intensify negative public reactions to the poor and ratchet up the stinginess of social welfare programs and the punitive quality of criminal penalties targeting the poor. The states' responses simply serve to make things more desperate for low-income families, creating more desperados.
Imposing criminal penalties upon property desperados expresses the importance Americans place on the institution of private property and the perceived threat to the social order posed by property crimes. 280 There are scholars who have argued that shaming might be a more effective, more just, and less costly punishment than incarceration for nonviolent offenders. 281 What disempower, and oppress."); Priscilla A. Ocen, The New Racially Restrictive Covenant: Race, Welfare, and the Policing of Women in Subsidized Housing, 59 UCLA L. REV. 1540, 1542–43 (2012) ("White communities and their local government officials have maintained racial space through a variety of race-neutral means, including opposition to public and affordable housing developments in their communities, imposition of restrictive attendance zones for school enrollment, and redlining. Increasingly, racial boundaries are maintained through deployment of law enforcement to police racialized boundaries and bodies and through the language of welfare, crime, and punishment." (internal citations omitted)).
277. EDUARDO MOISÉS PEÑALVER & SONIA K. KATYAL, PROPERTY OUTLAWS: HOW SQUATTERS, PIRATES, AND PROTESTERS IMPROVE THE LAW OF OWNERSHIP 11 (2010) (describing property's "ability to change and to fluctuate according to shifting norms, values, and social realities").
278.
Id.
at 16–17.
279. "Desperado" is defined as "1. A person in despair, or in a desperate condition; 2. A desperate or reckless man; one ready for any deed of lawlessness or violence." OXFORD ENG. DICTIONARY ONLINE, http://www.oed.com (last visited May 13, 2013).
280. David Garland, Punishment and Culture: The Symbolic Dimension of Criminal Justice, 11 STUD. L. POL. & SOC'Y 191, 195 ("[P]enality communicates meaning not just about crime and punishment but also about power, authority, legitimacy, normality, morality, personhood, social relations and a host of other tangential matters."); Dan M. Kahan & Martha C. Nussbaum, Two Conceptions of Emotion in Criminal Law, 96 COLUM. L. REV. 269, 351–54 (1996) (discussing the expressive functions of criminal law).
281. See, e.g., Kahan, What Do Alternative Sanctions Mean?, supra note 79, at 631–37 (1996) (examining the functions of shaming in expressing community disapproval for behavior and arguing that this function makes it both effective and just).
shaming advocates do not seem to take into account is how the shaming of an individual can produce social and political ripple effects, shaming individuals' nonoffending family members and casting a shadow of shame that extends to large segments of the economically vulnerable.
Describing these low-income parents as desperate is important because desperation merits not disgust or punishment, but empathy. U.S. law and policy create property desperados—first, through an economic system that takes some level of poverty as a given; second, by recognizing only negative rights and refusing to recognize positive rights to subsistence; third, by criminalizing the actions of property desperados rather than using them to inform and reform law and policy that benefits the poor and not just the rich. The current policy choices being made—specifically, decisions to invest in criminalization—signal that we as a society are more committed to the profits of businesses than we are to the basic health, well-being, and dignity of the rising number of low-income citizens.
Admittedly, not all welfare cheats are desperados. Unfortunately, criminal penalties are often established with reference to the most outrageous instances of law breaking. In recent months, I have repeatedly read articles about a Seattle couple found living in a $1.2 million home while receiving housing benefits, cash assistance, and SNAP benefits. 282 Online comments related to the case point to the couple as exemplifying why we need more frequent and more intrusive fraud investigations and why we need harsher penalties for welfare cheats. That outlandish cases set the stage for everyday behavior is probably not a failing only in criminal law. Still, the effects here are particularly unsettling and fall hard upon low-income women and children.
C. Fueling the Myth of the Welfare Queen
The criminalization of marginalized women shapes our knowledge of law and society. We come to our understandings of the state and the regulation of social problems through these degradation ceremonies. There is, however, a problematic feedback loop. We gain understandings of social issues, marginalized populations, and effective government through the media coverage of criminal cases and pending legislation. Many have come to hold a popular understanding of crime as a social problem, have come to associate it with young men of color, and have come to understand effective policing as involving stops and frisks. 283 Stops and frisks of young men of color reinforce understandings of their criminality,
282. Gene Johnson, Welfare Couple Worth Big Bucks: Federal Officials Say Pair Took Costly Trips Abroad While on Dole, HOUS. CHRON. (Tex.), Dec. 7, 2011, at A6.
283. See Jason L. Riley, A Safer New York, WALL ST. J. (Jan. 8, 2013, 2:33 PM), http://online .wsj.com/article/SB10001424127887323936804578229743259828024.html (arguing that blacks and Hispanics should be thankful for New York City's aggressive stop and frisk policy and claiming that the practice has a "track record of saving lives and making ghettos safer for the mostly law-abiding people who live in them").
lead to their overrepresentation in the criminal justice system, and reinforce beliefs that they are threatening and inferior and must be heavily policed. 284 Similarly, we have developed shared popular understandings of women, poverty, and criminality through these degradation ceremonies. We come to understand welfare use and welfare fraud—rather than poverty, need, and inequality—as social problems.
Both the criminal justice system and the media now play important roles in the criminalization of poverty and in constructing the economic apparatus. 285 Specifically, they warn everyone away from failing to play their roles as workers and consumers; they discipline low-income individuals who fail to follow the norms of economic behavior and the rules of the welfare system; they impose multiple forms of punishment upon individuals who do violate the rules; they imprint upon welfare rule-breaking a moral disgust that is usually reserved for criminal violations that are seen as a threat to society; and they reflect and reinscribe public understandings of low-income parents and policies aimed at the poor. In sum, they perpetuate the myth of the welfare queen.
Political scientist Murray Edelman wrote extensively about the functions of symbols, myths, and rituals in politics and society. Edelman wrote that the public "wants symbols and not news." 286 Invoking Bronislaw Malinowski's definition of myths, Edelman explained that myths function to justify social inequalities and dampen the potential for rebellion. 287 He wrote that, "[w]ithout [myths] the inequalities in wealth, in incomes, and in influence over governmental allocations of resources can be expected to bring restiveness." 288
A number of myths inform the American socioeconomic system. Some examples include the myth that one's economic status reflects one's moral deservingness and hard work; the myth of the welfare queen; the myth of equal opportunity; and the myth that law is neutral, universal, and fair. Numerous scholars have traced the influence of myths about race and gender, and specifically disgust toward welfare recipients, on welfare policy rhetoric. 289
284. MICHELLE ALEXANDER, THE NEW JIM CROW: MASS INCARCERATION IN THE AGE OF COLORBLINDNESS 130–34 (2012).
285. Joya Misra et al., Envisioning Dependency: Changing Media Depictions of Welfare in the 20th Century, 50 SOC. PROBS. 482, 496 (2003) (conducting content analysis of periodic literature and finding that from the 1960 to the 1990s welfare recipients "are represented as black, unmarried mothers out to cheat the state").
286. MURRAY EDELMAN, SYMBOLIC USES OF POLITICS 18 (1964).
287. Id. at 18 (citing BRONISLAW MALINOWSKI, MAGIC, SCIENCE, AND RELIGION AND OTHER ESSAYS 93 (1948)).
288. Id. at 18.
289. See, e.g., MARTIN GILENS, WHY AMERICANS HATE WELFARE: RACE, MEDIA, AND THE POLITICS OF ANTIPOVERTY POLICY 71 (1999) (examining data on Americans' attitudes on race and their views on welfare spending, and concluding that "perceptions of blacks continue to play the dominant role in shaping the public's attitudes toward welfare"); HANCOCK, supra note 3, at 147 (writing that the politics of disgust toward low-income women of color "curtail[s] the democratic potential of legislative policy making by infusing the process with misperceptions, misrepresentations, and emotional miscues that reinforce the marginalization of welfare recipients"); ELLEN REESE,
Ceremonial degradation and deniable degradation in policies affecting the poor have centripetal and centrifugal effects on society. Observing and participating in the shaming rituals draws us together as a society, helping us define our core values. At the same time, the public rituals of shaming the poor also have centrifugal effects, pushing those who fail to satisfy the moral ideals—of work, motherhood, economic self-sufficiency, and rule compliance—even farther to the margins.
But the symbolic effects are only part of the story. The political and material effects on low-income individuals and their children are tangible. Disgust toward the poor places them as the objects of scorn and their bodies and homes as the targets of state intrusion. Disgust toward the poor erodes empathy and levels of cash assistance. Disgust toward the poor silences those who are poor and those who will stand beside the poor. Disgust for the poor, including poor children, makes us forget our shared humanity and our interdependent fates.
D. Satisfying the Sadomasochistic Desire for Degradation Rituals
The tightly intertwined welfare and criminal justice systems do not relieve inequality; they reinforce inequality. The close relationship between the two state systems perpetuates racial and ethnic divides, gender divides, and the divide between immigrants and non-immigrants. And the interrelationship masks the perpetuation of poverty by couching inequality in the language of morality, choice, and personal responsibility.
Americans associate welfare programs with African Americans, despite the access and use of welfare programs by Americans of all races and ethnicities. 290 As exemplified by the cases discussed in Part III, supra, there is a growing trend of portraying low-income women of color as scheming and thieving. 291 Criminal law is sometimes said to express collective beliefs about morality. It is not clear, however, whether the opprobrium aimed at low-income women who violate welfare rules and the criminalizing policies applied to all welfare recipients are an expression that their behaviors reflect morally unsound choices or, rather, are an expression of the raw emotion of disgust against women who are seen as inherently immoral—as lazy, greedy, libidinous, and overly fertile. It is not clear whether actions or status are being punished.
BACKLASH AGAINST WELFARE MOTHERS 27–29 (2005) (discussing how myths and stereotypes about low-income women have fueled backlash political movements against programs for the poor).
290. Joshua J. Dyck & Laura S. Hussey, The End of Welfare as We Know It? Durable Attitudes in a Changing Information Environment, 72 PUB. OPINION Q. 589, 590, 603 (2008) (finding that opposition to spending on welfare and social programs is predicted by respondents' stereotypes about African Americans' work ethic).
291. The ire also seems to extend to immigrants. Media coverage of welfare fraud involving lawful immigrants tends to mention their immigrant status. See, e.g., Ian Ith, Eight Arrested in 'Blatant' Fraud, Couples Are Target of Federal Task Force, SEATTLE TIMES (Wash.), (Feb. 23, 2001, 12:00 AM), http://community.seattletimes.nwsource.com/archive/?date=20010223&slug=fraud23m.
It is also not clear that the type of disgust generally aroused by criminality is particularly fitting for the crimes women commonly commit. The crimes with which women are charged and convicted tend to be different from the crimes with which men are charged. 292 While men are overrepresented in all felony arrests, women are catching up to men in several types of crimes—fraud, forgery, and larceny—all of them property offenses. 293 The crimes with which women are most often charged—shoplifting, writing bad checks, welfare fraud, and prostitution 294 —could be seen as crimes of economic desperation. Those mothers charged with welfare fraud or possessing stolen infant formula may indeed know that what they are doing violates welfare rules or violates criminal statutes; but they may also be making informed choices and weighing risks, deciding that meeting the immediate material needs of their children outweighs the broader dictates of conforming with the law.
A growing literature indicates that many low-income mothers who engage in activity labeled criminal, such as welfare fraud, are engaged in acts of need. 295 In my research with welfare recipients I found that many of them engaged in activities that would be deemed cheating. 296 They engaged in petty, under-thetable work activities (for example, babysitting, braiding hair, or selling cupcakes) for cash or received economic support from partners that they did not report in the welfare documents. 297 A few also admitted engaging in illicit activity, including prostitution and identity theft. 298 While the people I interviewed often broke the rules, they did so in different ways, with different levels of intent or knowledge, and with different levels of impact on government resources and on other people. 299 Almost all of them were breaking the welfare rules in some way. 300 All of them were having difficulty satisfying the basic needs of food, shelter, and clothing for themselves and their children. 301 Most of the rule breaking was done simply to make ends meet in desperate circumstances. 302
292. Women make up only a quarter of criminal arrests and one-fifth of arrests for violent crimes. MEDA CHESNEY-LIND & LISA PASKO, THE FEMALE OFFENDER: GIRLS, WOMEN, AND CRIME 102 (2012). Women, however, make up almost seventy percent of the arrests for prostitution. Id.
293. THOMAS H. COHEN & TRACEY KYCKELHAHN, BUREAU OF JUSTICE STATISTICS, FELONY DEFENDANTS IN LARGE URBAN COUNTIES, 2006, at 20 (2010).
294. CHESNEY-LIND & PASKO, supra note 292, at 102.
295. JOHN GILLIOM, OVERSEERS OF THE POOR: SURVEILLANCE, RESISTANCE, AND THE LIMITS OF PRIVACY (2001); GUSTAFSON, supra note 1; Kathryn Edin and Christopher Jencks, Welfare, in RETHINKING SOCIAL POLICY (Christopher Jencks ed., 1993); EDIN & LEIN, supra note 42; Kathleen J. Ferraro & Angela M. Moe, Mothering, Crime, and Incarceration, 32 J. CONTEMP. ETHNOGRAPHY 9, 19 (2003).
296. GUSTAFSON, supra note 1, 93–154.
297. Id. at 101–07, 141–42.
298. Id. at 109–10, 121–22, 152.
299. See id. at 118–47.
300. Id. at 118.
301. Id. at 93–97.
302. See id. at 93–110.
Policies shaping the lives of low-income mothers of all backgrounds seem to be shaped by disgust toward low-income women of color. 303 Disgust is an unrefined emotion, a revulsion expressed toward something or someone polluted or sickening. 304 In his book on disgust, William Ian Miller writes that disgust "is an assertion of a claim to superiority that at the same time recognizes the vulnerability of that superiority to the defiling powers of the low." 305 Disgust as an emotion promotes solidarity. Emile Durkheim wrote that criminal punishment expresses passionate emotional responses to behaviors a society considers morally outrageous. 306 He added that "it is shame that doubles most punishments," and that shame often spreads to the innocent, including the family members of the guilty. 307
The justifications proffered by politicians for criminalizing and punishing the poor, namely fiscal integrity and the maintenance of social order, are increasingly thin. The unspoken justifications for criminalization, maintaining the supremacy of current relations of private property and maintaining existing class and racial hierarchies, appear more credible. As many scholars have noted, there are state interests served in penalizing the poor: controlling a marginalized labor force, 308 controlling populations of people who serve as neither producers nor consumers in a capitalist society, 309 controlling sexual reproduction, 310 and controlling populations whose only productive value comes through their role in perpetuating the prison-industrial complex. 311
303. See generally HANCOCK, supra note 3.
304. Kahan & Nussbaum, supra note 280, at 285 ("Disgust usually sees the object as one that threatens or contaminates, one that needs to be kept at a distance from the self.").
305. WILLIAM IAN MILLER, THE ANATOMY OF DISGUST 9 (1997).
306. DURKHEIM, supra note 10, at 44–47.
307. Id. at 44, 47.
308. PIVEN & CLOWARD, supra note 22, at 407–08 ("[T]he dual imperatives of maintaining civil order and regulating labor which shaped the first poor relief systems in the sixteenth century still go far toward explaining the expansion and contraction of relief in the United States."); see also Loïc Wacquant, The Penalisation of Poverty and the Rise of Neo-Liberalism, 9 EUR. J. ON CRIM. POL'Y & RES. 401, 401–02 (2001) (describing the penalization of poverty as practices designed to regulate those "at the lower end of the social structure" in advanced societies, and involving both "the left hand" of the state (such as education and welfare policies) and "the right hand" of the state (including police, courts, and prisons)) (quoting PIERRE BOURDIEU, ACTS OF RESISTANCE: AGAINST THE TYRANNY OF THE MARKET 1–2 (Richard Nice trans., 1998)).
309. Zygmunt Bauman, Collateral Casualties of Consumerism, 7 J. CONSUMER CULTURE 25, 31– 32 (2007).
310. ANNA MARIE SMITH, WELFARE REFORM AND THE SEXUAL REGULATION OF WOMEN 8 (2007) (arguing that state policies are "designed to advance the broader goal of patriarchal and racial population management among the poor").
311. ANGELA Y. DAVIS, ABOLITION DEMOCRACY: BEYOND EMPIRE, PRISONS, AND TORTURE 40–41 (2005) ("[I]mprisonment is the punitive solution to a whole range of social problems that are not being addressed by those social institutions that might help people lead better, more satisfying lives. This is the logic of what has been called the imprisonment binge: Instead of building housing, throw the homeless in prison. Instead of developing the education system, throw the illiterate in prison. Throw people in prison who lose jobs as the result of de-industrialization,
But those state interests have been served by fetishizing the poor, and the degradation ceremonies have become alluring in ways that even state interests cannot explain. The degree of penalization and degradation express something else: the simple desire to dominate and express disgust for human beings who are considered inferior. Nowhere is this truer than with the costly and degrading practice of urine testing welfare recipients.
Punishing low-income mothers of color has become a sadomasochistic ceremony. To say that criminal law serves expressive functions is nothing new. To say that charging low-income women of color with property crimes as an expression of sadomasochism may be new, and yet seems obvious and unexaggerated against the backdrop of current practices. In Sadomasochism and the Colorline, Anthony Farley writes that "White America desires black criminality." 312 He notes that the spectacle of inferiority is produced though neosegregation, 313 and adds that Whites glory in . . . [Blacks'] chains and use their pseudofear of criminality to mask their titillation before the spectacle. The body of the black criminal is produced, in fantasy, in enticing crime drama after drama. In living rooms everywhere we see the counterrevolution televised. Whites luxuriate in the spectacle paradise of television as they gaze upon their Others. 314
I would argue that the spectacle involves not only racial subordination but also class and gender subordination. And at the moment, low-income women of color are central to the sadomasochistic pleasure we as a country take in producing and punishing the inferior "Other." The effects of stark inequality are being politically reframed as issues of criminality. Through reforms of criminal statutes, issues of need are turned into crimes of greed. We take collective pleasure in punishing and humiliating the offenders we have ourselves produced.
What makes the pleasure sadomasochistic rather than simply sadistic is that the majority of Americans are so prone to economic instability and so financially insecure that the risk of future poverty stands as a possibility for most—even to those who are taking pleasure in the spectacle. My interviews with welfare recipients, those who are already the objects of the sadistic gaze, found that even
globalization of capital, and the dismantling of the welfare state . . . . Remove these dispensable populations from society. According to this logic the prison becomes a way of disappearing people in the false hope of disappearing the underlying social problems they represent."); ANGELA Y. DAVIS¸ ARE PRISONS OBSOLETE? 91 (2003) ("The massive prison-building project that began in the 1980s created the means of concentrating and managing what the capitalist system had implicitly declared to be human surplus."); Wacquant, supra note 308, at 402–08 (arguing that prisons are now used to "warehouse" black Americans, whose labor was exploited during periods of slavery, Jim Crow segregation, and ghettoization, but is now difficult to obtain).
312. Anthony Paul Farley, Sadomasochism and the Colorline: Reflections on the Million Man March, in BLACK MEN ON RACE, GENDER, AND SEXUALITY 68, 70 (Devon W. Carbado ed., 1999).
313. Id. at 68.
314. Id. at 70.
they were prone to turning that disgustful gaze upon their similarly situated sisters living below the poverty line. 315
There are even those who deny that poverty is a burden to families. Robert Rector at the Heritage Foundation, for example, publishes a report each year that is released near the publication date of the U.S. Census Bureau's ever-grim statistics on poverty in the United States, ostensibly to delegitimize the notion that poverty is a problem. The argument in the 2011 report was that because most poor people had televisions and microwaves—and eighty-three percent were not hungry—they were not really poor. 316 It is as if the members of the Heritage Foundation are dissatisfied with current deprivation and waiting for the real pain to begin. The report denies that poverty is real. As Anthony Farley notes, "Denial of someone else's pain is a form of torture in itself." 317
Heaping excessive punishment upon or publicly humiliating those convicted of welfare fraud and mandating drug testing of welfare recipients are current examples of deniable degradation. Judges, administrators, and policymakers claim that they are engaging in these acts to deter criminal behavior. At the same time, however much they deny such intent, they are tuning in to deeply resonant cultural symbols of the poor—particularly low-income mothers—as depraved and giving those symbols greater cultural power. In addition, they are deploying those symbols in such a way to further marginalize the poor and fuel greater disgust for low-income women.
Several years ago when I was interviewing welfare recipients about their experiences on aid, one of the women stated it bluntly: "The system makes you cheat." 318 Jeffrey Fagan and Garth Davies have posited a theory of stigma saturation, which holds that when punishment becomes too widespread or too routine, it loses its shaming value and its legitimacy. 319 If the current trend of charging lowincome parents with property crimes continues over the next few years, the United States may serve as a laboratory where social scientists get the opportunity
315. GUSTAFSON, supra note 1, at 170–71; see also Chad Broughton, Reforming Poor Women: The Cultural Politics and Practices of Welfare Reform, 26 QUALITATIVE SOC. 35, 47 (2003) (finding that women in a work training program for welfare recipients were acutely aware of the stigma they faced but "attribute[d] pejorative welfare stereotypes to other recipients, while explaining their own circumstances in contrast to those stereotypes and with reference to the structural determinants of disadvantage"); Kerry Woodward, The Multiple Meanings of Work for Welfare-Reliant Women, 31 QUALITATIVE SOC. 149, 164 (2008) (finding that welfare recipients commonly describe themselves as deserving while opposing welfare recipients whom they view as morally bad or otherwise undeserving).
316. Robert Rector & Rachel Sheffield, Understanding Poverty in the United States: Surprising Facts About America's Poor, 2607 HERITAGE FOUND. BACKGROUNDER, Sept. 13, 2011, at 1, available at http://thf_media.s3.amazonaws.com/2011/pdf/bg2607.pdf.
317. Anthony Paul Farley, The Black Body as Fetish Object, 76 OR. L. REV. 457, 470 (1997).
318. GUSTAFSON, supra note 1, at 169.
319. Jeffrey Fagan & Garth Davies, Policing Guns: Order Maintenance and Crime Control in New York, in GUNS, CRIME, AND PUNISHMENT IN AMERICA 191, 209 (Bernard E. Harcourt ed., 2003).
to examine the interactive effects of stigma saturation and the sadomasochistic pleasures of pillorying the poor.
IV. SUBVERTING DEGRADATION CEREMONIES AND AFFIRMING DIGNITY
Precedent limits my optimism for dramatic change in the near future. Still, to the degree that the fate of low-income families is often left to political will, I have some hope that it will slowly change over time. Below are thoughts on possibilities.
A. Acknowledging Vulnerability as Universal and Poverty as Structural
Many discussions of economic need in the United States begin with the statement that anyone who works a full-time job should be able to meet his or her basic needs—food, shelter, and clothing. In a country of vast wealth, it does not seem entirely radical to suggest that everyone—working or non-working, adult or child, law-abiding or law-breaking—ought to be able to meet their basic needs. In the United States, however, that idea is radical—at least within the law. Legal scholar Martha Fineman has mapped various ways that American legal doctrine has justified inequality. 320 She has argued that legal notions of inequality have become so divorced from justice that those concerned about justice should reframe discussions around vulnerability rather than equality. 321 Fineman describes vulnerability as a "characteristic that positions us in relation to each other as human beings and also suggests a relationship of responsibility between state and individual." 322 Fineman's theory of vulnerability avoids the narrow (abstract, degendered, deracialized) construct of the liberal subject within American law and appeals to human rights values. More importantly, Fineman stresses the universality of vulnerability, noting that every human being experiences vulnerability and dependence upon others during her lifetime. 323
We are now in the midst of an economic downturn in the United States, and more people are receiving nutrition assistance benefits than ever before. 324 The time seems particularly ripe for introducing the concept of vulnerability,
320. Martha Albertson Fineman, The Vulnerable Subject and the Responsive State, 60 EMORY L.J. 251, 251 (2010). Fineman writes, "Increasingly, government is unresponsive to those who are disadvantaged, blaming individuals for their situation and ignoring the inequities woven into the systems in which we all are mired." Id. at 257.
321. See generally id.
322. Id. at 255.
323. Martha Albertson Fineman, Cracking the Foundational Myths: Independence, Autonomy, and SelfSufficiency, 8 AM. U. J. GENDER SOC. POL'Y & L. 13, 17–22 (2000) (discussing different types of vulnerability such as inevitable dependency—experienced by individuals as children, near death, or in periods of illness—and derivative dependency—which befalls those who care for inevitable dependents and is disproportionately experienced by women).
324. Jason DeParle & Robert Gebeloff, Once Stigmatized, Food Stamps Find New Acceptance, N.Y. TIMES, Feb. 10, 2010, at A22 (stating that there is record high enrollment in federal nutrition assistance programs, with one in eight Americans receiving aid).
particularly economic vulnerability, to those who may perceive their vulnerability for the first time. The simple rhetorical transition from using the terms "the poor" to "the vulnerable" may help shift and soften some of the disgust now aimed at the poor. More importantly, engaging with human rights values provides more room for discussion and debate and may prompt individuals to think about the globalization of economic connectedness.
Finally, addressing economic vulnerability requires a material commitment to making sure that grim failures of structural economic risk are not borne disproportionately by the most vulnerable members of society, namely lowincome women of color and their children. The existence of deep poverty in the United States is not a sign of widespread behavioral failures by individuals; it is an expression of political will. Deep poverty can be willed away by divesting government monies from policies that criminalize the poor and investing monies in basic subsistence.
B. Affirming Rights to Dignity and Privacy
For those who place faith in the American legal system, there may still be room to defend the well-being and dignity of low-income families through that system. Diminution of the rights of the poor, if they are to be addressed, need to be addressed at several levels: in the courts, in the legislatures, in bureaucratic offices, and in the popular media.
The Supreme Court has not directly addressed the Fourth Amendment rights of welfare recipients in the context of current policy proposals and state practices. It is possible that a drug testing case will reach the Supreme Court in the near future. Drug testing welfare recipients without individualized suspicion cannot be reconciled with Supreme Court precedent 325 —at least not if the justices are willing to recognize that fundamental privacy rights are universal among adults and not contingent upon income. The Supreme Court has recognized that constitutional rights express widely shared principles in the United States, including "the dignity and integrity" of its citizens. 326 Should a case addressing the Fourth Amendment rights of welfare recipients reach the Supreme Court, it offers the justices an opportunity to reaffirm the fundamental right to be free from government intrusion; to affirm that poverty, while not recognized as a suspect classification, will also not be recognized as an equivalent to individualized
325. See Chandler v. Miller, 520 U.S. 305, 309 (1997).
326. Schmerber v. California, 384 U.S. 757, 762 (1966) (citing Miranda v. Arizona, 384 U.S. 436, 464 (1966)). There are, however, signs that the Supreme Court is giving the principle of individual dignity diminishing value. In a recent 5 to 4 decision, the Supreme Court upheld blanket strip-searching of individuals entering jail, including searches of individuals who have not even been arraigned. Florence v. Bd. of Chosen Freeholders, 132 S. Ct. 1510, 1511–13 (2012). Justice Breyer, writing in dissent, argued that statistics showing low rates of contraband discovery render suspicionless strip searches unjustifiable invasions of privacy. Id. at 1528–31 (Breyer, J., dissenting).
suspicion under the Fourth Amendment; and to signal that disgust-based animus will not be tolerated as a justification for diminishing the privacy rights of unpopular populations. 327
Changes need to happen in the lower courts and among prosecutors as well. Prosecutors and sentencing judges are able to exercise broad discretion. The disgust and anger they direct at low-income women who engage in property crime produces arbitrary outcomes. The criminal penalties imposed upon these women may be disproportionate to the penalties imposed on other lawbreakers, and excessive when weighed against the economic harms of the crimes. Judges, in particular, ought to be attentive to these issues when these cases arise in criminal cases.
In addition, legislators need to be careful not to gamble away the rights of citizens for political gain—and lawyers, scholars, and advocacy groups should hold them accountable when they do. Many candidates for office are aware that they can start the flow of contributions and votes by tapping into widely held negative stereotypes of low-income women of color. And interest groups, including retailers and law enforcement officers, have more money and therefore political influence than the poor. Legislators need to be cautious in weighing the influence of those interest groups against the general welfare and against the wellbeing of low-income Americans. Even if legislators have no empathy for the poor, they should be cognizant of the increased government costs and socials costs associated with criminalizing the poor.
Finally, citizens consuming political rhetoric and making decisions about their role in the state ought to be made conscious of their complicity in producing the criminalized poor and their habits of deriving pleasure from punishing the poor. The spectrum of citizen participation in degradation ceremonies ranges from degrading comments about the poor to making anonymous calls to fraud hotlines. We are all involved in staging the drama.
The rich and the poor alike are entitled to basic dignity, and until that dignity is provided to all, everyone in a society founded upon economic risk has the potential of becoming the object of a degradation ceremony.
C. Resisting the Creep of Criminalization
For most of the cases discussed above—including welfare fraud, enrolling children in out-of-district schools, and drug use while receiving welfare—civil
327. William Eskridge argues that Lawrence v. Texas, 539 U.S. 558 (2003), signaled some of the Supreme Court justices' rejection of disgust (or at least anti-homosexual disgust) as a valid basis for policymaking. Eskridge writes: "Such disgust-based regulatory schemes tend to sacrifice the liberties of the minority in pursuit of goals that are often not linked to the common good." William N. Eskridge, Jr., Body Politics: Lawrence v. Texas and the Constitution of Disgust and Contagion, 57 FLA. L. REV. 1011, 1048 (2005). He adds that the disgust poses another danger: "A politics of disgust and contagion tends to demonize the minority as subhuman, not just mischievous." Id.
penalties were options. In addition, criminal penalties for shoplifting, more organized retail theft, and receiving or possessing stolen property existed in state statutes long before retailers began efforts to increase the criminal penalties for these crimes. There is no evidence that increasing criminal penalties will deter these people, particularly if they are motivated by desperation. In addition, the introduction of practices borrowed from the criminal justice system, such as drug testing, serves no proven deterrent function, inflicts harm on needy children, and imposes additional costs on government.
This Article is not an argument for doing away with property crimes. Nor is this Article an attempt to justify law breaking among low-income individuals. This Article is, however, a plea to lawmakers, voters, lawyers, judges, and members of the media to be attentive to deeper issues influencing what gets defined as criminal and to situate individual cases within the broader context of gross inequality.
We need to be attentive to the interests served by criminalization. We should ask ourselves several questions. First, does proposed legislation promote the general welfare? Second, do the policies promote cost-savings or merely costshifting to the criminal justice system? Third, are there particular groups—for example, retailers, prison guards, welfare fraud investigators—whose interests are served at the cost of the general welfare? Fourth, are there larger structural issues—such as material need, gender inequality, racial and ethnic inequality, and the outsourcing of low-skilled jobs—that are contributing to problematic activity, and are there ways to address those issues before or instead of increasing the number of people under the control of the criminal justice system?
Some of the responsibility for degradation ceremonies lies with legislators, who readily adopt the property-maintaining interests of their contributing constituents and interest groups without considering the social and economic costs of poverty and incarceration. Some of the responsibility for degradation ceremonies rests with attorneys, judges, and members of juries. Bringing criminal charges for property crimes against low-income mothers, particularly when civil penalties are available, exemplifies discretion gone wrong. Also, sacrificing lowincome mothers to the criminal justice system to make examples and deter others strains principles of fairness. The education theft cases in particular highlight the dangers of unfettered prosecutorial discretion and the potential for selective enforcement of laws by race, gender, and socioeconomic class (though the last category triggers no legal protections). 328 Defense lawyers may be pleading out
328. Law professor Angela J. Davis has noted:
At every step of the criminal process, there is evidence that African Americans are not treated as well as whites—both as victims of crime and as criminal defendants. And because prosecutors play such a dominant and commanding role in the criminal justice system through the exercise of broad, unchecked discretion, their role in the complexities of racial inequality in the criminal process is inextricable and profound.
Angela J. Davis, Prosecution and Race: The Power and Privilege of Discretion, 67 FORDHAM L. REV. 13, 16–17 (1998) (citation omitted).
low-income mothers in welfare fraud and education theft cases too easily, fearful that their clients would be unsympathetic before a jury that shares widely held stereotypes of welfare queens. Those lawyers might find, however, that putting a face on poverty and documenting the actual struggles of poor women might not only serve the interests of their clients but also the interests of society. 329 (The jury in Kelley Williams-Bolar's trial for grand theft for enrolling her children in out-ofdistrict schools could not reach agreement on the charge of grand theft.) 330 Judges are in particularly effective positions to recognize the lasting effects of felony convictions on mothers and their children, especially the detrimental effects of felony records on parents' engagement with the mainstream labor market. 331
Paul Butler has famously called upon black jurors to nullify charges in drug cases. 332 Butler has certainly had his critics. 333 Still, Butler's recognition that there
329. Although a doctrinal defense of duress is available to criminal defendants in narrow circumstances, courts have refused to recognized economic need as a basis for the defense. State v. Gann, 244 N.W.2d 746, 752–53 (N.D. 1976) (rejecting a defendant's duress defense in restaurant robberies).
330. Minutes, supra note 171, at 3.
331. See generally PAGER, supra note 86.
332. Paul D. Butler, Race-Based Jury Nullification: Case-in-Chief, 30 J. MARSHALL L. REV. 911, 918 (1997) ("Nullification is a partial cure that I come to reluctantly and for moral reasons."); Paul Butler, Racially Based Jury Nullification: Black Power in the Criminal Justice System, 105 YALE L.J. 677, 715 (1995) ("African-American jurors should approach their work cognizant of its political nature and their prerogative to exercise their power in the best interests of the black community."); Butler, supra note 3, at 149 ("[ J]ury nullification sends the message that American democracy will not: Many blacks no longer will tolerate criminal solutions to problems of racism and poverty."); see also Darryl K. Brown, Jury Nullification Within the Rule of Law, 81 MINN. L. REV. 1149, 1159 (1997) (arguing that jury nullification, where jurors follow "their own political and moral beliefs" rather than the letter of the law, often serves the rule of law rather than subverting it); Rachel E. Barkow, Recharging the Jury: The Criminal Jury's Constitutional Role in an Era of Mandatory Sentencing, 152 U. PA. L. REV. 33, 50–65 (2003) (arguing that juries serve as a check on government power and offering examples in American and British judicial history of doing just that).
333. Andrew D. Leipold, The Dangers of Race-Based Jury Nullification: A Response to Professor Butler, 44 UCLA L. REV. 109, 111–12 (1996) (describing Butler's jury nullification proposal as "foolish and dangerous" because it poses the threat of white backlash that will ultimately leave African Americans worse off). See generally Andrew D. Leipold, Rethinking Jury Nullification, 82 VA. L. REV. 253, 258, 278– 82 (1996) (arguing that nullification's benefits are speculative at best and undermining at worst because of the potentials to produce inconsistent verdicts and to discourage guilty pleas); Long X. Do, Comment, Jury Nullification and Race-Conscious Reasonable Doubt: Overlapping Reifications of Commonsense Justice and the Potential Voir Dire Mistake, 47 UCLA L. REV. 1843, 1844–47 (2000) (noting that Butler's argument may have had the unintended consequence of making judges sensitive to the nullificationprone jurors, more likely to ask nullification related questions during voir dire, and more likely to exclude jurors legitimately employing race-conscious reasonable doubt); Richard St. John, Note, License to Nullify: The Democratic and Constitutional Deficiencies of Authorized Jury Lawmaking, 106 YALE L.J. 2563, 2597 (1997) (arguing that the jury is not the proper site for citizens to change the law and that they should, instead, use the lessons they have learned through jury service to use the democratic process for transformation); Steven M. Warshawsky, Note, Opposing Jury Nullification: Law, Policy, and Prosecutorial Strategy, 85 GEO. L.J. 191, 234–35 (1996) (acknowledging that jurors have the power to nullify but recommending that they not be informed at trial of that power for fear that doing so would undermine the rule of law).
are no effective political processes available to undo problems in the criminal justice system that create bias against black drug offenders stands just as true for low-income mothers of color facing charges for property offenses, often for crimes of need, when the criminal charges are intended as nothing more than degradation ceremonies.
D. Demonstrating Moral Empathy and Moving from Individual to Public Shame
Earlier in this Article, I referenced the concept of deniable degradation—the idea that even when individuals who are subject to these practices describe them as degrading, those who instituted the practices deny that degradation was the intent. It is time to acknowledge that a growing number of state practices to which low-income women of color are subject are experienced as degrading. It is also high time to acknowledge that those practices, even if not openly or consciously motivated by the desire to degrade, are nurtured by desires to express disgust toward those considered inferior "Others" and are widely consumed and enjoyed as spectacles of degradation.
Low-income women of color perceive the degradation. Political scientist Melissa Harris-Perry, interviewing African American women about self-identity, writes:
Though we seldom think of it this way, racism is the act of shaming others based on their identity. Blackness in America is marked by shame. Perhaps more than any other emotion, shame depends on the social context. On an individual level, we feel ashamed because of how we believe people see us or how they would see us if they knew about our hidden transgressions. Shame makes us view our very selves as malignant. But societies also define entire groups as malignant. Historically the United States has done that with African Americans. This collective racial shaming has a disproportionate impact on black women, and black women's attempts to escape or manage shame are part of what motivates their politics. 334
We should not need to be reminded to treat the poor and members of other historically disadvantaged groups as fellow human beings. The fates of the rich, the poor, and everyone in between, are intertwined and interdependent.
Many people in the United States have perceived their long-term economic well-being declining. In a country where wealth, employment status, and dignity are intertwined, the downward economic slide that many have experienced is painful. Examining the relationship that many members of the middle class have with the welfare state, criminologist David Garland writes that, "[w]ith welfare, as with crime, large sections of the middle and working classes see themselves as
334. MELISSA V. HARRIS-PERRY, SISTER CITIZEN: SHAME, STEREOTYPES, AND BLACK WOMEN 109 (2011).
victimized by the poor." 335 In this culture of neoliberalism, the very people who have benefitted from the welfare state do not recognize the benefits they have received and cannot put themselves in the place of those who have not benefited as well from the welfare state. For example, when discussing Fourth Amendment rights of the poor, the students who attend my taxpayer-subsidized state law school classes and who receive taxpayer dollars in the form of student loans often say that (1) anyone who receives public benefits has no right to privacy, and (2) that they do not want people living on their tax dollar. They are invested in distancing themselves from the more desperate beneficiaries of the welfare state, despite being the recipients of public assistance themselves.
There is a collective pleasure in the degradation process. There is a pleasure in the solidarity it creates among those who are not subject to the degradation. There is also the pleasure taken in seeing others subject to the degradation. The benefits of degradation ceremonies are not economic, for marginalizing and punishing a significant portion of the population is costly.
Sociologist Zygmunt Bauman had made a call for moral empathy. He explains that the poor have been banished from the human community and from "the universe of moral empathy." 336 Bauman writes:
This is done by rewriting their stories from the language of deprivation to that of depravity. The poor are portrayed as lax, sinful and devoid of moral standards. The media cheerfully cooperate with the police in presenting to the sensation-greedy public lurid pictures of the crime, drug- and sexual promiscuity-infested 'criminal elements' who seek shelter in the darkness of their forbidding haunts and mean streets. The poor supply the 'usual suspects' rounded up, to the accompaniment of public hue and cry, whenever a fault in the habitual order is detected and publicly disclosed. 337
Developing moral empathy requires us to put ourselves in the place of mothers struggling to house and feed themselves, and often their children. Years ago, Robert Goodin suggested that policy makers err on the side of kindness, 338 which may mean allowing for some degree of fraud in an effort to make sure that the needy have their needs met.
As a nation, we have not engaged in debates about poverty, we have not examined why we have such high rates of poverty and whether we are politically committed to maintaining or transforming our practices of degrading the poor. Nor have we engaged in debates over the minimum level of dignity to which
335. GARLAND, supra note 262, at 197.
336. Bauman, supra note 309, at 34.
337. Id.
338. Robert E. Goodin, Erring on the Side of Kindness in Social Welfare Policy, 18 POL'Y SCI. 141, 141–42 (1985).
everyone in the United States is entitled. 339 These debates, rather than debates over what new state-inflicted horror to impose upon low-income mothers, might prove productive.
Martha Nussbaum has thought deeply and written extensively about shame and disgust in recent years, which she found to be problematic bases for law and legal reasoning. 340 Nussbaum advocates organizing our social order around values of human dignity and mutual respect. 341 Subordination, she warns, "threatens core political values." 342 Nussbaum concludes that the emotion of disgust should never inform law, 343 and that law must serve to protect citizens, particularly those who are vulnerable, from humiliation and stigma. 344
In these degradation ceremonies, we are all—rich and poor—spectators. As spectators, we are all complicit. We do not, however, have to consume the images and meanings uncritically. We can disengage from the sadomasochism of poverty.
CONCLUSION: THE IMPORTANCE OF INTERPRETATION AND EMOTION IN EXPLAINING AND REFRAMING
This Article has attempted to interpret and lay bare the role of state institutions and the media in reinforcing women's poverty and making the degrading treatment of low-income women of color a public spectacle. While the previous Part offered very modest reforms and made a more generalized call for moral empathy, the entire discussion suggests a need for contextualized empirical legal research and deeper interpretive analysis of the empirical work being produced.
There is also a need for scholarly care, particularly among those scholars
339. Martha Minow has considered these issues. See generally MARTHA MINOW, MAKING ALL THE DIFFERENCE: INCLUSION, EXCLUSION, AND AMERICAN LAW (1991).
340. See generally NUSSBAUM, supra note 79. Articulating the functions of disgust, Nussbaum writes that:
[P]roperties pertinent to the subject's own fear of animality and mortality are projected onto a less powerful group, and that group then becomes a vehicle for the dominant group's anxiety about itself. Because they and their bodies are found disgusting, members of the subordinated group typically experience various forms of discrimination.
Id
. at 336. When it comes to the functions of shame
, she writes that:
[A] more general anxiety about helplessness and lack of control inspires the pursuit of invulnerability . . . . An appearance of control is then frequently purchased by the creation of stigmatized subgroups who—whether because they become the focus for social anxieties about disorder and disruption, or because, quite simply, they are different and not "normal," and the comforting fiction of the "normal" allows the dominant group to hide all the more effectively—come to exemplify threats of various types to the secure control of the dominant group.
Id. at 336–37.
341. Id. at 321.
342.
Id.
343. Id. at 171 ("[W]hen [disgust] becomes a constructive criterion of legally regulable conduct, and especially when it conduces to the political subordination and marginalization of vulnerable groups and people, disgust is a dangerous social sentiment. We should be working to contain it, rather than building our legal world on the vision of human beings that it contains.").
344.
Id
. at 282.
engaged in empirical research around low-income people of color. Maia Green and David Hulme have argued that academics need to take greater care in their thinking about poverty. They argue that scholars, to the detriment of social science, "have tended to highlight the precipitating causes of poverty at individual and household levels, while underplaying the social relations and categorizations which can contribute to long-term poverty." 345 Sociologist Beth Richie, who has worked closely with low-income women who have become ensnarled in the criminal justice system, has complained that social scientists who study lowincome women of color focus on (and therefore help construct) pathologies and typically conclude their studies with narrow policy recommendations, often limited to changes in law enforcement policies. 346 As Richie notes, they tend to avoid larger structural issues "such as poverty, racism, inequality, and gender oppression, which are typically outside the domain of study." 347 She writes that focus must shift away from punishment "so that it is reoriented towards the re-distribution of power and resources to meet the goals of justice and equality." 348
Social scientists need to be expansive in their focus on social problems. They must cross-disciplinary boundaries to search for trends and methodologies. Scholars cannot limit themselves to doctrinal holdings or quantitative studies of opinions, attitudes, and perceptions. Moreover, as CRT scholars have stressed, studies cannot treat individual behavior as somehow dislocated from social structures or from emotionally evocative cultural symbols. 349 Moreover, studies cannot treat individual behavior as somehow dislocated from social structures or from cultural symbols; individual behavior, popular beliefs, social structures, and cultural symbols mutually reinforce each other. Thick description of American society and American legal culture needs not only qualitative research, but also media studies, opinion polls, psychological experiments, and other methods that can map the feedback loops involving emotion, stereotypes, and policy. There is a pressing need for broad, interpretive analysis to accompany empirical findings. 350 Law and policy are not purely rational. Emotion drives policy decision, court judgments, and the selection of criminal penalties. Social scientists need to find better approaches to taking emotion into account.
345. Maia Greene & David Hulme, From Correlates and Characteristics to Causes: Thinking About Poverty from a Chronic Poverty Perspective, 33 WORLD DEV. 867, 868 (2005).
346. Beth E. Richie, Women and Drug Use: The Case for a Justice Analysis, 17 WOMEN & CRIM. JUST. 137, 139 (2006).
347. Id.
348. Id. at 139–40.
349. For example, Angela Harris has argued that we should view racism as a cultural phenomenon rather than as characteristics or actions of ignorant or bad people. Harris, supra note 4, at 770–71.
350. Feminist criminologist Amanda Burgess-Proctor urges not only mixed-method research design but also approaches that require scholars "to explore what it is like to 'live as' as victim or offender." Amanda Burgess-Proctor, Intersections of Race, Class, Gender, and Crime: Future Directions for Feminist Criminology, 1 FEMINIST CRIMINOLOGY 27, 41 (2006).
Many CRT scholars have already adopted these approaches. By making race, ethnicity, and racism (and often other axes of privilege and subordination) central to their analyses, they have recognized the power of emotionally resonant symbols and myths in constructing and reconstructing hierarchy and in legitimizing inequality. 351 Indeed, much of the work of critical race scholars engages directly in efforts to expose deniable degradation by demonstrating the biases that inform legal doctrines, by highlighting the unequal effects of these doctrines, and by exposing the effects of degradation on the human psyche. 352
Recent collaborations between empirical social scientists and more theoretical critical scholars (including the authors of the articles in this symposium volume), as well as a growing number of scholars whose work draws upon both scholarly traditions, leave hope that future interpretive work will help dismantle both the understandings and the state structures that promote subordination. In addition, scholars, relatively insulated from the influences of popular public sentiment, are well positioned to call out lawmakers when they participate in myth-laden narratives or when they propose policies driven by outlier cases or motivated by unvarnished disgust for subordinated groups. My hope is that more scholars will make use of their positions to do so, bringing realism to a policy world now dominated by symbolism.
351. See, e.g., Neil Gotanda, A Critique of "Our Constitution is Color-Blind," 44 STAN. L. REV. 1 (1991) (examining the various ways that the non-recognition of race promotes and maintains racial hierarchies); Jerome McCristal Culp, Jr., Colorblind Remedies and the Intersectionality of Oppression: Policy Arguments Masquerading as Moral Claims, 69 N.Y.U. L. REV. 162, 163 (1994) (discussing how Americans "mythologize colorblindness as racial justice" although the myth itself maintains that status quo of racial inequality).
352. Patricia Williams, Spirit-Murdering the Messenger: The Discourse of Fingerpointing as the Law's Response to Racism, 42 U. MIAMI L. REV. 127, 129 (1988) (demonstrating that being the object of racial discrimination and prejudice is so emotionally painful that it amounts to "spirit-murder").
|
<urn:uuid:d669e4cd-0024-4176-bf4d-7fec0ea4e62c>
|
CC-MAIN-2017-39
|
http://scholarship.law.uci.edu/cgi/viewcontent.cgi?article=1141&context=ucilr
|
2017-09-19T22:31:42Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-39/segments/1505818686043.16/warc/CC-MAIN-20170919221032-20170920001032-00452.warc.gz
| 304,278,307
| 45,133
|
eng_Latn
|
eng_Latn
| 0.992344
|
eng_Latn
| 0.993972
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
902,
3012,
4440,
8778,
12016,
14671,
18315,
21776,
25011,
28651,
31767,
34390,
37824,
41293,
45131,
48731,
52334,
55993,
59211,
62428,
65463,
68941,
71975,
74775,
78179,
81216,
84658,
87874,
91384,
94770,
97634,
100826,
104555,
108344,
111659,
114967,
118226,
121611,
124821,
128090,
131227,
134788,
137726,
140644,
144922,
148736,
151888,
155320,
158568,
161677,
165315,
168589,
172041,
175180,
178365,
181469,
184840,
189251,
192008,
194809,
198065,
201376,
203647
] |
EDGE ARTICLE
Fernanda Duarte, Robert S. Paton et al.
Cation–π interactions in protein–ligand binding: theory and data-mining reveal different roles for lysine and arginine
Cation–π interactions in protein–ligand binding: theory and data-mining reveal different roles for lysine and arginine†
Kiran Kumar, Shin M. Woo, Thomas Siu, Wilian A. Cortopassi, Fernanda Duarte and Robert S. Paton*
We have studied the cation–π interactions of neutral aromatic ligands with the cationic amino acid residues arginine, histidine and lysine using ab initio calculations, symmetry adapted perturbation theory (SAPT), and a systematic meta-analysis of all available Protein Data Bank (PDB) X-ray structures. Quantum chemical potential energy surfaces (PES) for these interactions were obtained at the DLPNO-CCSD(T) level of theory and compared against the empirical distribution of 2012 unique protein–ligand cation–π interactions found in X-ray crystal structures. We created a workflow to extract these structures from the PDB, filtering by interaction type and residue pKa. The gas phase cation–π interaction of lysine is the strongest by more than 10 kcal mol⁻¹, but the empirical distribution of 582 X-ray structures lies away from the minimum on the interaction PES. In contrast, 1381 structures involving arginine match the underlying calculated PES with good agreement. SAPT analysis revealed that underlying differences in the balance of electrostatic and dispersion contributions are responsible for this behavior in the context of the protein environment. The lysine–arene interaction, dominated by electrostatics, is greatly weakened by a surrounding dielectric medium and causes it to become essentially negligible in strength and without a well-defined equilibrium separation. The arginine–arene interaction involves a near equal mix of dispersion and electrostatic attraction, which is weakened to a much smaller degree by the surrounding medium. Our results account for the paucity of cation–π interactions involving lysine, even though this is a more common residue than arginine. Aromatic ligands are most likely to interact with cationic arginine residues as this interaction is stronger than for lysine in higher polarity surroundings.
Introduction
Cation–π interactions influence biological structures, molecular recognition and catalysis. They play an important role in determining protein structure and function. X-ray structural analyses and computational studies show that cation–π interactions are prevalent in protein–protein, protein–ligand, and protein–DNA complexes. It is estimated that a “typical” protein contains at least one cation–π interaction for every 77 amino acid residues. The existence of almost 100 000 X-ray crystal structures currently in the Protein Data Bank (PDB), with an average protein length of 802 residues, suggests more than 1 000 000 cation–π interactions may be present in those structures.
Cation–π interactions are vital for several physiological processes. Notable examples include acetylcholine binding, the recognition of post-translationally modified histones by epigenetic proteins and ion selectivity in K⁺ channels. These are examples of positively charged ligands interacting favorably with the aromatic sidechains of histidine, phenylalanine, tryptophan and tyrosine residues. On the other hand, the interaction of aromatic ligands with positively charged residues – arginine, histidine, lysine – can also occur. Given the abundance of aromatic and heteroaromatic rings in the structures of drug-like molecules, this type of cation–π interaction is the focus of this paper. For example, sorafenib, approved for the treatment of liver cancer, forms a cation–π interaction with a positively charged lysine residue of the human p38 MAP kinase (Fig. 1A). Laptinib, approved for breast cancer treatment, forms a cation–π interaction with a lysine residue of ErbB4 kinase (Fig. 1B). Dihydroquinoxalinolone derivatives selectively inhibit the CBP/p300 bromodomain over the closely-related BRD4 receptor, attributed to the formation of a cation–π...
interaction with a positively charged arginine residue close to the active site (Fig. 1C). Predictable structure–activity relationships were established according to the electrostatic interaction strength.
Cation–π interactions are dominated by the electrostatic attraction between an electron-rich arene and electron-deficient cation. Houk and Wheeler showed that ring substituents augment this interaction strength with additional electrostatic interactions between the substituents and cation. Differences in binding strength can be explained quantitatively in terms of these additive, through-space electrostatic interactions, more so than by considering any polarizing effect on the π system. Nevertheless, non-electrostatic effects such as induction feature in accurate physical descriptions of cation–π interaction energies.
Analyses of the structures deposited in the PDB provide information about the occurrence and geometric characteristics of cation–π interactions in biological systems, including protein–DNA complexes, protein–protein interactions, metal cation–π interactions and cation–π–cation interactions. Quantifying the nature and magnitude of these interactions remains a challenge. Combined studies employing both small models and crystal structure analyses have proven useful in understanding these interactions in naturally occurring systems. The aromatic–aromatic interactions of nitroarenes with amino acid side chains of histidine, phenylalanine, tryptophan, and tyrosine have been studied in this way. Wheeler constructed CCSD(T)/aug-cc-pVTZ//B97-D/TZV(2d,2p) theoretical models and compared the computed energies and geometries against nitroarene binding sites from the PDB. Chipot studied model systems of intra-residue cation–π interactions between lysine/arginine and phenylalanine/tyrosine/histidine complexes at the MP2/6-311++G**/MP2/6-31G** level of theory and compared them to results obtained with 1718 cation–π protein–protein complexes found in the PDB.
Over 40% of small molecule drugs launched in clinical trials or under development in 2009 contained a (hetero)-aromatic ring. Given the prevalence of aromatic rings in drug-like molecules, we reasoned there should be many crystallographically characterized cation–π interactions in which aromatic rings of ligands interact with positively-charged amino acids of protein active sites. A large collection of structures provides a statistically significant empirical dataset against which to test the relevance of theoretical model complexes. The foci of previous studies exploring the presence of cation–π interactions in biomolecular databases have centered on cationic ligands interacting with aromatic residues and intra-residue cation–π interactions inside proteins or at protein–protein interfaces. Comparative studies on aromatic ligands are restricted to nucleic acid bases. To the best of our knowledge, a meta-analysis of the interactions between aromatic ligands and cationic residues has not been described previously. Herein, we study the occurrence, geometrical features and magnitude of cation–π interactions between positively charged amino acid sidechains: arginine (Arg), lysine (Lys), and histidine (His), and (non-protein) ligands featuring an aromatic ring. The distance and angular dependence of these interactions has been characterized at the DLPNO-CCSD(T) level of theory and interpreted with symmetry adapted perturbation theory (SAPT). These results are compared to naturally occurring interactions between ligands and proteins found through systematic data-mining of non-redundant protein structures from the PDB.
Methods
Model cation–π complexes
Positively-charged sidechains of lysine, arginine and histidine residues were abbreviated in our quantum chemical studies to ammonium [NH₄]⁺, guanidinium [Gdm]⁺ and imidazolium [Imi]⁺ cations. We used benzene as the archetype aromatic ligand. We explicitly considered two conformations of each complex (Fig. 2). For complex [C₆H₆][NH₄]⁺, these differ by the orientation of the N–H bonds above ring atoms (A) or bonds (B); similarly for [C₆H₆][Gdm]⁺ the NH₂ groups are either above ring atoms (C) or bonds (D). For the [C₆H₆][Imi]⁺ complex, we considered two rotamers with a parallel alignment of the two rings (E and F); and two distinct perpendicular (T-shape) complexes (G and H).
Based on gas phase ab initio calculations, a bidentate orientation of NH₄⁺ above aromatic rings is favored over those...
with one or three N–H atoms facing the aromatic ring.\textsuperscript{41} This binding mode is most prevalent in protein inter-residue interactions.\textsuperscript{42} Guanidinium–benzene complexes can adopt at least two conformations: perpendicular (T-shaped) or parallel. While T-shaped geometries are preferred in gas-phase, parallel-complexes are preferred in solution and have been observed more frequently in protein structures.\textsuperscript{7,43} We studied the parallel configuration, based on its biological relevance.\textsuperscript{7,44} For [C\textsubscript{6}H\textsubscript{6}] [Imi]\textsuperscript{-} complexes, both perpendicular and parallel arrangements are found in protein interactions.\textsuperscript{45} We included both interaction types in our analysis.
We studied the interaction energy ($E_{\text{int}}$) of each model cation–π complex as a function of intermolecular separation and of horizontal displacement parallel to the aromatic plane. Distances were calculated between the center of mass of both species in the complex. Cartesian (x,y) displacements are defined with respect to the benzene ring as shown (Fig. 3).
Potential energy curves (PECs) were generated at the domain-based local pair-natural orbital coupled cluster with perturbative triple excitations, DLPNO-CCSD(T),\textsuperscript{46} level of theory. An augmented, correlation consistent basis set, aug-cc-pVTZ, was used. The convergence of valence DZ, TZ, and QZ quality basis sets was examined for the [benzene][Na]\textsuperscript{-} complex (Fig. S1†). The aug-cc-pVTZ equilibrium separation closely matches that obtained with a larger aug-cc-pVQZ basis, with an interaction energy within 0.5 kcal mol\textsuperscript{-1}. DLPNO-CCSD(T) energies achieve an accuracy of 1 kcal mol\textsuperscript{-1} or better compared to CCSD(T),\textsuperscript{47} while CCSD(T)/CBS values are generally considered benchmark values for intermolecular interaction energies.\textsuperscript{48} DLPNO-CCSD(T) thermochemistry of small organic molecules is accurate to within 3 kJ mol\textsuperscript{-1} against experimental data.\textsuperscript{49} For complexes (A), (C), (E), and (G) CCSD(T) calculations were also carried out using a dielectric constant of 4.2 (diethyl ether) and 78.4 (water).
In relation to the $D_{6h}$ symmetry of benzene, two vectors in the plane of the ring represent extreme scenarios of displacement – one towards a C–H bond (angle displacement) and the other towards a C–C bond (side displacement). These vectors are related by a rotation of $\mu = 30^\circ$ about the $C_6$ axis (Fig. 3). By plotting a potential energy curve (PEC) with vertical distance...
against displacement in each vector, behaviour for 12 planes (360°/30°) about the $C_6$ axis of benzene can be achieved for a minimum of 12 geometries per complex. MP2/aug-cc-pVTZ optimized geometries of monomers were obtained imposing $T_d$, $D_{3h}$, $C_{2v}$ and $D_{6h}$ symmetry restraints for the $\text{NH}_4^+$, Gdm$^+$, Imi$^+$, and benzene monomers, respectively.
$E_{\text{int}}$ was then calculated as a difference between the energy of the complex and the sum of the energies of the optimized monomers (eqn (1)):
$$E_{\text{int}} = E_{\text{complex}} - E_{\text{cation}} - E_{\pi} \quad (1)$$
MP2 optimizations were performed with Gaussian$^{50}$ and DLPNO-CCSD(T) energy calculations with ORCA.$^{51}$ Computed structures and absolute energies are available as ESI (Tables S2–S9†).
The DLPNO-CCSD(T) potential energy curves were interpolated (spline interpolation in 1-d with SciPy) to obtain minimum energy separations and corresponding geometries, on which symmetry adapted perturbation theory computations (SAPT)$^{52}$ were performed with PSI4.$^{53}$ The aug-cc-pVDZ-JKFIT basis set was used for these calculations. Briefly, SAPT provides a rigorous partitioning of the intermonomer interaction energy ($E_{\text{int}}$) into various physical contributions. These include short-range exchange-repulsion ($E_{\text{ex}}$), electrostatics ($E_{\text{ele}}$, e.g. charge–charge, charge–dipole, dipole–dipole, etc.), induction polarization ($E_{\text{ind}}$, e.g. dipole/induced-dipole) and London dispersion forces ($E_{\text{disp}}$, e.g. instantaneous dipole/induced dipole). This approach has been used to analyze non-covalent interactions including $\pi-\pi$ and cation–$\pi$ interactions.$^{54}$ SAPT (at orders above SAPT2) gives interaction energies close to benchmark CCSD(T)/CBS values.$^{55,56}$ Our results are consistent with this (Table S1†), with all SAPT2+3 interaction energies lying within ±0.6 kcal mol$^{-1}$ of corresponding DLPNO-CCSD(T) values (see Fig. S5† for full comparison).
**Meta-analysis of cation–$\pi$ interactions involving aromatic ligands**
An empirical distribution of protein–ligand cation–$\pi$ interactions was sought from the PDB.$^{57}$ The following workflow was implemented in Python to select a high-resolution, non-redundant dataset:
(i) X-ray crystal structures of proteins with non-covalent bound ligands at a resolution of ≤2.0 Å were retained for further analysis. This returned 30 053 structures.
(ii) The Protein–Ligand Interaction Profiler (PLIP)$^{58}$ was used to identify cation–$\pi$ interactions by imposing geometric criteria. OpenBabel was used to identify rings by Smallest Set of Smallest Rings (SSSR) perception and assign aromaticity.$^{59}$ Based on previous works,$^{7,8}$ two thresholds were applied: a 6.0 Å cut-off from the centroid of the aromatic ring and a 2.3 Å horizontal cut-off in the plane of the ring (Fig. S2†).
(iii) PROPKA 3.1 (ref. 60) was used to determine the protonation state of all residues at a physiological pH of 7.4. This considers the local environmental perturbation of sidechain intrinsic pK$_a$ values. This is most pertinent for histidine residues, whose protonation state is influenced by nearby residues, although instances of neutral lysine and arginine residues were also predicted. We removed all interactions where these sidechains were predicted to be neutral. Equally, we found instances initially characterized as a $\pi-\pi$ interaction that were reassigned as cation–$\pi$ interactions once the sidechain was predicted to be protonated.
(iv) Two sources of duplicate records were considered and removed; homologous protein chains within the same protein structure, and polycyclic aromatic ligands that were initially counted as two or more distinct interactions by satisfaction of the geometric cutoffs. To address this, only the first homologous chain containing the cation–$\pi$ interaction was retained. In the case of polycyclic aromatic ligand interactions, these were further classified as either ‘fused’, ‘sandwich’, or ‘bridge’ complexes (Fig. S3†). For fused complexes the shortest distance was used and described as one cation–$\pi$ complex, while sandwich and bridge complexes containing $n$ aromatic rings were treated as $n$ occurrences. Following this automated workflow, we obtained a total of 1827 unique protein structures, with 2012 cation–$\pi$ interactions (Table 1).
**Results and discussion**
We computed DLPNO-CCSD(T)/aug-cc-pVTZ interaction energies for all eight complexes along an intermolecular axis perpendicular to the aromatic plane, as shown in Fig. 4.
The strongest interaction energies occur for complexes in which N–H bonds are oriented towards the aromatic ring: for model complexes (A)/(B) of lysine (−19.2 & −18.7 kcal mol$^{-1}$) and the T-shaped histidine complex G (−14.0 kcal mol$^{-1}$). In the other T-shaped complex a C–H bond is oriented towards the ring, giving a smaller interaction energy of −11.5 kcal mol$^{-1}$. Interaction energies for the stacked complexes, arginine (C)/(D) (−7.5 & −7.4 kcal mol$^{-1}$) and parallel histidine (E)/(F) (−7.7 &
---
**Table 1** PDB protein–ligand search filtration results at each stage
| Stage | Filter | PDBs | His | Arg | Lys | Total |
|-------|------------------------------------------------------------------------|------|-----|-----|-----|-------|
| a | 2.0 ≒ Å resolution, containing ligand | 30 053 | — | — | — | 30 053 |
| b | Geometric thresholds | 3248 | 4959 | 3141 | 930 | 9030 |
| c | Residue pK$_a$ > 7.4 | 1827 | 68 | 2954 | 848 | 3870 |
| d | Non-redundant chain and polycyclic ligand | 1827 | 49 | 1381 | 582 | 2012 |
$-7.7 \text{ kcal mol}^{-1}$) are weaker still. The more strongly interacting complexes ((A), (B), (G) and (H)) have shorter equilibrium intermolecular separations around 2.9–3.0 Å. Correspondingly, the Non-Covalent Interaction (NCI) isosurfaces\textsuperscript{61} (Fig. 4) show focused, strongly attractive regions due to the polar X–H···π contacts and more diffuse, weakly attractive regions associated with the stacked systems. Molecular van der Waals surfaces using Bondi radii (Fig. S4†) show that X–H···π contacts occur at distances less than the sum of atomic van der Waals radii, whereas the stacked complexes are separated by interatomic distances slightly longer than the sum of these radii.
These interactions depend negligibly on the orientation of each complex. Very similar interaction energy profiles (within 0.5 kcal mol$^{-1}$) were obtained for the two rotamers of each of the lysine, arginine, and parallel histidine complexes. For the T-shaped [C$_6$H$_4$][Imi]$^+$ complexes, there is a more pronounced difference, depending on whether an N–H or C–H bond is oriented towards the arene. An N–H···π interaction is 2.5 kcal mol$^{-1}$ (complex (F)) is more stable than C–H···π interaction (complex (G)) and gives a shorter equilibrium separation by 0.25 Å. This is due to the increased polarity of the N–H bond.\textsuperscript{62}
**Fig. 4** Top: DLPNO–CCSD(T)/aug-cc-pVTZ interaction energies (kcal mol$^{-1}$) as a function of intermolecular separation of cation–π complexes. Minimum energies ($E_{\text{min}}$) and equilibrium separations ($R_z$) shown. Bottom: NCI isosurfaces at the minimum energy separations.
Comparison with the available gas-phase experimental thermochemistry is promising. Our DLPNO-CCSD(T) interaction energy for \([C_6H_6][NH_4]^+\) of $-19.2$ kcal mol$^{-1}$ matches the experimental $\Delta H^o$ (380 K) of $-19.3 \pm 1.0$ kcal mol$^{-1}$, $^{41b}$ as well as \([C_6H_6][K]^+$, being $-19$ kcal mol$^{-1}$. $^{54}$ In order to further rationalize these quantitative results, SAPT2+3/aug-cc-pVDZ analysis was used to partition the interaction energy ($E_{\text{int}}$) into various physical contributions (exchange repulsion $E_{ee}$, induction $E_{ind}$, dispersion $E_{disp}$, and electrostatic $E_{elec}$) (Fig. 5) at the equilibrium separation of each complex. In line with previous studies, $^{56}$ the SAPT2+3 $E_{\text{int}}$ methods gave values within $\pm 0.6$ kcal mol$^{-1}$ of the DLPNO-CCSD(T) energies (Fig. S5†).
The SAPT2+3 decomposition shows that \([C_6H_6][NH_4]^+\) complexes (A)/(B) are very different from the others. The dominant favorable terms are electrostatic and induction (polarization). In the remaining complexes the terms are more evenly balanced: for T-shape \([C_6H_6][Imi]^+\) complexes (G)/(H) the electrostatic term is the most favorable, whereas for \([C_6H_6][Gdm]^+\) complexes (C)/(D) and parallel \([C_6H_6][Imi]^+\) complexes (E)/(F) the dispersion term is most favorable. Hobza has proposed that noncovalent complexes can be classified based on the ratio of SAPT $E_{disp}/E_{elec}$ terms. $^{53}$ Empirical observation suggests that dispersion/electrostatics ratio less than 0.59 should be categorized as electrostatic; greater than 1.7 (1/0.59) as dispersion bound; between 0.59 and 1.7 as mixed. Adopting this convention, \([C_6H_6][NH_4]^+\) complexes (A) and (B) are electrostatics dominated ($E_{disp}/E_{elec} = 0.49–0.50$), whereas all others are mixed ($E_{disp}/E_{elec} = 0.82–0.83$ for complexes (G) and (H); $E_{disp}/E_{elec} = 1.13–1.27$ for complexes (C)–(F)).
Finally, the large energy difference between (H) and (G), with the former being 2.5 kcal mol$^{-1}$ more stable, arises from favorable $E_{ee}$, $E_{ind}$, which operate cooperatively. In this case, the N–H bond closest to the ring is more polar, and therefore induces both a stronger electrostatic attraction and a greater polarization response from the $\pi$ system. This brings [Imi]$^+$ closer to the ring of the benzene by 0.18 Å, which increases both $E_{ee}$ and, to a lesser extent, $E_{disp}$. The favorable interactions from this closer contact negate the increase in repulsive $E_{ee}$.
In addition to the magnitude of the interaction strengths, SAPT analysis illustrates a continuum of interaction type. The \([C_6H_6][NH_4]^+\) cation–$\pi$ interactions are dominated by the favorable electrostatic attraction, whereas the other complexes feature a balanced mixture of electrostatic and dispersion interactions. Within this mixed category, the electrostatic term is the most favorable in the \([C_6H_6][Gdm]^+\) T-shape complexed, and is 3–4 kcal mol$^{-1}$ larger in magnitude than those experienced by \([C_6H_6][Gdm]^+\) and \([C_6H_6][Imi]^+\) stacked complexes. The stacked complexes have the smallest electrostatic terms and dispersion is the most favorable attractive term. The distinct nature of this interaction has been additionally classified as a $\pi^–\pi$ interaction. $^{64}$
**Cation–$\pi$ interaction in protein–ligand complexes**
The prevalence of protein–ligand cation–$\pi$ interactions was evaluated in a non-redundant set of PDB structures. An initial search returned 30 053 X-ray crystal structures with resolution $\leq 2$ Å containing unique ligands (Table 1, stage A). Following an implementation of geometric rule-based criteria, 3248 structures were found to contain 9030 active sites with a Lys/Arg/His residue in proximity to an aromatic ligand (Table 1, stage B). Of the complexes identified, 4954 involved histidine, however, these results also contained $\pi-\pi$ interactions involving a neutral residue. The protonation state of each of the residues at physiological pH was computed with PROPKA (Table 1, stage C), drastically reducing the number of interactions involving histidine acting as a cation. In contrast, Arg-ligand and Lys-ligand complexes retained 94% and 92% of their interactions from the previous stage. Finally, 40% of duplicate interactions were removed to yield a final data set of 2012 interactions dominated by Arg (69%), Lys (29%), and to a lesser extent His (2%) residues (Table 1, stage D).
**Empirical vs. calculated cation–$\pi$ potential energy surface**
We compared the distribution of cation–$\pi$ complexes extracted from crystal structures against the DLPNO-CCSD(T)/aug-cc-pVTZ PES. For each interaction the vertical displacement from the aromatic plane ($R_z$) is shown against horizontal displacement from the ring centroid ($R_{x,y}$) (Fig. 6). The underlying color reflects the calculated interaction energy of the model complex for arginine, histidine and lysine.
For arginine, the empirical distribution from X-ray and computed PES agree well. The 1381 geometries are clustered empirically in the minimum energy well of the PES, with a vertical offset of 3.5 Å. Additionally, interplanar angles between the guanidium and aromatic group are predominantly clustered below 30° – i.e. closer to a parallel stacked geometry, as considered by our model calculations, than to a T-shaped conformation (Fig. S6†). The computed PES is relatively flat with respect to horizontal displacement and accordingly the interactions are evenly spread across this range. Additionally, most of the interactions with secondary rings of bicyclic aromatics are found within the potential well. Much fewer (59)
X-ray structures were available for cationic His-aromatic complexes, making statistical inference more difficult. 70% of the complexes are found close to the minimum energy well centered at $R_{x,y} = 1.25$, $R_z = 3.25$. The computed well for lysine is deeper and narrower, however, the empirical distribution of these interactions is scattered widely (Fig. 6). Unlike arginine, the empirical distribution of lysine’s cation–π interactions is more scattered than predicted by theory. A large cluster of interactions occurs at $R_{x,y} = 2.0$, $R_z = 4.0$, far from the PES minimum at (0.0, 3.0).
Why do the X-ray structures of cationic arginine-arene interactions match theory well, whereas cationic lysine-arene interactions do not? Recalling our SAPT results, dispersion interactions prevail for arginine while for lysine, electrostatics interactions dominate. This led us to consider how each interaction type is influenced by the surrounding medium. We compared the empirical distance dependence of each interaction type against the DLPNO-CCSD(T) energy profile calculated in the gas-phase, and with a surrounding conductor-like polarizable continuum model (CPCM)\textsuperscript{55} with dielectric constant of 4.2 and 78.4 (Fig. 7). These values reflect the average
**Fig. 6** Empirical distribution of complexes (points) superimposed on the computed DLPNO-CCSD(T)/aug-cc-pVTZ potential energy surface (in kcal mol$^{-1}$); (left) Arg-aromatic primary (purple) and secondary bicyclic (yellow), (middle) His-aromatic, and (right) Lys-aromatic complexes.
**Fig. 7** Normalized distance dependence of empirical interactions (bars) compared against DLPNO-CCSD(T)/aug-cc-pVTZ computed potential energy curves (kcal mol$^{-1}$) in the gas phase and with a dielectric constant of 4.2 (diethyl ether) and 78.4 (water). Solvation corrections were computed at the CPCM-MP2/cc-pVTZ level of theory.
polarity of the relatively hydrophobic protein interior and that of bulk water.\textsuperscript{66} Solvation corrections were computed at the MP2/cc-pVTZ level of theory.
Each cation–π interaction is weakened by the presence of a surrounding dielectric medium. For lysine, the interaction strength decreases to 19% of its gas-phase value (to 3.6 kcal mol\(^{-1}\)) for \( \varepsilon = 4.2 \), and 7% (1.3 kcal mol\(^{-1}\)) for \( \varepsilon = 78.4 \). For arginine, the decrease is less pronounced at these values of dielectric constant, to 47% (3.2 kcal mol\(^{-1}\)) and 34% (2.3 kcal mol\(^{-1}\)) – in water this interaction is stronger than lysine’s even though it is less favorable by 11.5 kcal mol\(^{-1}\) in the gas-phase. With the SMD solvation model,\textsuperscript{66} arginine’s cation–π interaction is also stronger than lysine’s in water, although the interaction strengths were greater. A previous computational estimate of the lysine–benzene interaction strength in water is larger (5.5 kcal mol\(^{-1}\) with SM5.42R/HF/6-31+G*)\textsuperscript{7b} compared to the values of 1.3/2.8 kcal mol\(^{-1}\) (CPCM/SMD) we have obtained with correlated wavefunction theory and a larger basis set.
The scattered distribution of lysine–arene interactions found empirically is consistent with a small interaction strength. This also explains the relative paucity of this interaction type, in relation to the abundance of lysine residues in proteins. In contrast, the arginine–arene interaction strength is less strongly influenced by the presence of a surrounding polar medium and a clear minimum remains on the PEC. The high frequency of this interaction type and the empirical distribution is consistent with the position of this minimum energy separation. The distinct behavior of lysine’s and arginine’s interactions results from the predominantly electrostatic character of the former interaction and mixed character of the latter, as shown by SAPT analysis. The cation–π interactions of T-shaped histidine are weakened to 21% of the gas-phase value (3.0 kcal mol\(^{-1}\)) for \( \varepsilon = 4.2 \) and 9% (1.3 kcal mol\(^{-1}\)) for \( \varepsilon = 78.4 \). For stacked histidine the reduction is smaller, to 44% (3.4 kcal mol\(^{-1}\)) and 32% (2.5 kcal mol\(^{-1}\)) at these values of dielectric constant. Again, the interaction with a greater electrostatic character (by SAPT) is diminished more severely by the surrounding dielectric medium.
We considered as large a data set possible, but the interactions we found are still biased by the proteins and ligands studied experimentally and crystallized. Few lysine–arene interactions were found empirically above the center of the aromatic ring, although the PES minimum is found at \( R_{x,y} = 0 \). Fig. 8 illustrates how several intermolecular interactions influence ligand position, such that the cation–π interaction itself between lysine–arene ligands is not a determinant of this pose. For example, a high proportion (63%) of the lysine–arene interactions found around \( R_{x,y}, R_z \approx (2.0, 4.0) \) involve GTP/ATP/NAD/FAD related ligands. In such cases, the ligand’s binding position is also influenced by a hydrogen bond interaction involving the ribose ester and the interactions between the phosphate group and the surroundings (Fig. 8A). It is interesting to notice that even when the systems involving these cofactors are removed from the analysis (Fig. S7†), the scattered nature of Lys-aromatic complexes is still evident. This is more likely due to additional interactions, such as salt bridges or hydrogen bonds, that Lysine can establish with nearby residues and solvent molecules. In the case of arginine–arene complexes, some long distance (6 Å) cation–π interactions are observed as a result of a π–π interaction with another aromatic residue (Fig. 8B). Cation–π interactions may also be shortened due to cooperative effects, such as those which occur when an N–H aromatic interaction between Arg101 and His98A inductively enhances the positive charge on arginine, thereby strengthening the electrostatic components of the cation–π interaction and salt bridge (Fig. 8C).
**Conclusions**
We have studied the cation–π interactions of neutral aromatic ligands with the cationic amino acid residues arginine, histidine and lysine. Quantum chemical potential energy surfaces for these interactions were obtained at the DLPNO-CCSD(T) level of theory and compared against the empirical distribution of 2012 unique protein-ligand cation–π interactions found in X-ray crystal structures. We created a workflow to extract these structures from the PDB, filtering by interaction type and residue pK\(_a\).
The gas phase cation–π interaction of lysine is significantly stronger than arginine by more than 10 kcal mol\(^{-1}\). However, the distribution of 582 empirical structures is scattered away
from the minimum on the interaction PES, with a much longer intermolecular separation. In contrast, the 1381 structures involving arginine (69% of the total found) reflect the underlying calculated PES well. This reflects the different electrostatic contributions to each of these residues’ interactions with an aromatic ring, which was established by SAPT analysis. The electrostatics dominated lysine–arene interaction is greatly diminished by a surrounding dielectric medium, such that it becomes essentially negligible in strength and without a well-defined equilibrium separation. The arginine–arene interaction involves a near equal mix of dispersion and electrostatic attraction, which is weakened to a much smaller degree by the surrounding medium.
Our results account for the relative paucity of cation–π interactions involving lysine, despite its prevalence in protein structures. Particularly in protein active sites of medium to high polarity, such as those which are solvent exposed, the lysine–arene interaction is predicted to be weakened to the point that it has a negligible effect on an aromatic ligand binding mode. In contrast, the cation–π interaction made by arginine residues with aromatic ligands is more robust to changes in the surrounding environment. This interaction is the most frequent found empirically and is also computed to be stronger than for lysine in higher polarity surroundings. There are relatively few cation–π interactions involving positively charged histidine residues, although the stacked π–π interaction is predicted to be of similar magnitude to that of arginine.
Systematic analysis of crystal structures showed that other factors, such as competitive hydrogen bonding interactions and solvent accessibility, unconnected to the cation–π interaction may also affect the cation–π interaction geometry. This investigation has characterized the intrinsic properties of biologically relevant cation–π interactions and the effect of the protein environment in an average way using a surrounding polarizable dielectric medium. Future work will consider the inhomogeneous nature of the local environment on these interactions.\textsuperscript{67}
**Conflicts of interest**
There are no conflicts to declare.
**Acknowledgements**
K. K. was supported by a World Bank Education Grant, W. A. C. by a Science Without Borders (CAPES) scholarship, and F. D. through a Royal Society Newton Fellowship. We acknowledge the EPSRC Centre for Doctoral Training in Theory and Modelling in Chemical Sciences (EP/L015722/1) and use of the Dirac cluster at Oxford.
**References**
1. D. A. Dougherty, Cation–π Interactions Involving Aromatic Amino Acids, *J. Nutr.*, 2007, **137**, 1504S–1508S.
2. J. C. Ma and D. A. Dougherty, The Cation–π Interaction, *Chem. Rev.*, 1997, **97**, 1303–1324.
3. A. S. Mahadevi and G. N. Sastry, Cation–π Interaction: Its Role and Relevance in Chemistry, Biology, and Material Science, *Chem. Rev.*, 2013, **113**, 2100–2138.
4. E. A. Meyer, R. K. Castellano and F. Diezrieder, Interactions with Aromatic Rings in Chemical and Biological Recognition, *Angew. Chem., Int. Ed.*, 2003, **42**, 1210–1250.
5. (a) C. R. Kennedy, S. Lin and E. N. Jacobsen, The Cation–π Interaction in Small-Molecule Catalysis, *Angew. Chem., Int. Ed.*, 2016, **55**, 2–31; (b) C. P. Johnston, A. Kothari, T. Sergeieva, S. I. Okowytyy, K. E. Jackson, R. S. Paton and M. D. Smith, Catalytic Enantioselective Synthesis of Indanes by a Cation-Directed 5-endo-trig Cyclization, *Nat. Chem.*, 2015, **7**, 171–177.
6. M. M. Flocco and S. L. Mowbray, Planar Stacking Interactions of Arginine and Aromatic Side-Chains in Proteins, *J. Mol. Biol.*, 1994, **235**, 709–717.
7. (a) J. P. Gallivan and D. A. Dougherty, Cation–π Interactions in Structural Biology, *Proc. Natl. Acad. Sci. U. S. A.*, 1999, **96**, 9459–9464; (b) J. P. Gallivan and D. A. Dougherty, A Computational Study of Cation–π Interactions vs. Salt Bridges in Aqueous Media: Implications for Protein Engineering, *J. Am. Chem. Soc.*, 2000, **122**, 870–874.
8. H. Minoux and C. Chipot, Cation–π Interactions in Proteins: Can Simple Models Provide an Accurate Description?, *J. Am. Chem. Soc.*, 1999, **121**, 10366–10372.
9. P. B. Crowley and A. Golovin, Cation–π Interactions in Protein–Protein Interfaces, *Proteins*, 2005, **59**, 231–239.
10. J. C. Ma and D. A. Dougherty, The Cation–π Interaction, *Chem. Rev.*, 1997, **97**, 1303–1324.
11. C. Biot, E. Buisine and M. Rooman, Free-energy Calculations of Protein–Ligand Cation–π and Amino–π Interactions: from Vacuum to Protein like Environments, *J. Am. Chem. Soc.*, 2003, **125**, 13988–13994.
12. N. Zacharias and D. A. Dougherty, Cation–π interactions in ligand recognition and catalysis, *Trends Pharmacol. Sci.*, 2002, **23**, 281–287.
13. R. Wintjens, J. Lievin, M. Rooman and E. Buisine, Contribution of cation–π interactions to the stability of protein–DNA complexes, *J. Mol. Biol.*, 2000, **302**, 395–410.
14. J. D. Schmitt, C. G. V. Sharples and W. S. Caldwell, Molecular Recognition in Nicotinic Acetylcholine Receptors: The Importance of π–Cation Interactions, *J. Med. Chem.*, 1999, **42**, 3066–3074.
15. D. A. Dougherty and D. A. Stauffer, Acetylcholine Binding by a Synthetic Receptor: Implications for Biological Recognition, *Science*, 1990, **250**, 1558–1560.
16. M. M. Torrice, K. S. Bower, H. A. Lester and D. A. Dougherty, Probing the Role of the Cation–π Interaction in the Binding Sites of GPCRs using Unnatural Amino Acids, *Proc. Natl. Acad. Sci. U. S. A.*, 2009, **106**, 11919–11924.
17. S. Salentin, V. J. Haupt, S. Daminelli and M. Schroeder, Polypharmacology Rescored: Protein-Ligand Interaction Profiles for Remote Binding Site Similarity Assessment, *Prog. Biophys. Mol. Biol.*, 2014, **116**, 174–186.
18. J. F. Flanagan, L. Z. Mi, M. Chruszcz, M. Cymborowski, K. L. Clines, Y. Kim, W. Minor, F. Rastinejad and S. Khorasanizadeh, Double Chromodomains Cooperate to
Recognize the Methylated Histone H3 tail, *Nature*, 2005, **438**, 1181–1185.
19 H. Li, S. Ilin, W. Wang, E. M. Duncan, J. Wysocka, C. D. Allis and D. J. Patel, Molecular Basis for Site-Specific Read-out of Histone H3K4me3 by the BPTF PHD Finger of NURF, *Nature*, 2006, **442**, 91–95.
20 S. A. Jacobs and S. Khorasanizadeh, Structure of HP1 Chromodomain Bound to a Lysine 9-Methylated Histone H3 Tail, *Science*, 2002, **295**, 2080–2083.
21 W. A. Cortopassi, K. Kumar, F. Duarte, A. S. Pimentel and R. S. Paton, Mechanisms of Histone Lysine-Modifying Enzymes: a Computational Perspective on the Role of the Protein Environment, *J. Mol. Graphics Modell.*, 2016, **67**, 69–84.
22 D. A. Dougherty, Cation–π Interactions in Chemistry and Biology: A New View of Benzene, Phe, Tyr, and Trp, *Science*, 1996, **271**, 163–168.
23 J. R. Simard, M. Getlik, C. Grutter, V. Pawar, S. Wulfert, M. Rabiller and D. Rauh, Development of a fluorescent-tagged kinase assay system for the detection and characterization of allosteric kinase inhibitors, *J. Am. Chem. Soc.*, 2009, **131**, 13286–13296.
24 C. Qiu, M. K. Tarrant, S. H. Choi, A. Sathyamurthy, R. Bose, S. Banjade, A. Pal, W. G. Bornmann, M. A. Lemmon, P. A. Cole and D. J. Leahy, Mechanism of activation and inhibition of the HER4/ErbB4 kinase, *Structure*, 2008, **16**, 460–467.
25 T. P. C. Rooney, P. Filippakopoulos, O. Fedorov, S. Picaud, W. A. Cortopassi, D. A. Hay, S. Martin, A. Tumber, C. M. Rogers, M. Philpott, M. Wang, A. L. Thompson, T. D. Heightman, D. C. Pryde, A. Cook, R. S. Paton, S. Müller, S. Knapp, P. E. Brennan and S. J. Conway, A Series of Potent CREBBP Bromodomain Ligands Reveals an Induced-Fit Pocket Stabilized by a Cation–π Interaction, *Angew. Chem., Int. Ed.*, 2014, **126**, 6240–6244.
26 D. A. Hay, O. Fedorov, S. Martin, D. C. Singleton, C. Tallant, C. Wells, S. Picaud, M. Philpott, O. P. Monteiro, C. M. Rogers, S. J. Conway, T. P. C. Rooney, A. Tumber, C. Yapp, P. Filippakopoulos, M. E. Bunnage, S. Müller, S. Knapp, C. J. Schofield and P. E. Brennan, Discovery and Optimization of Small-Molecule Ligands for the CBP/p300 Bromodomains, *J. Am. Chem. Soc.*, 2014, **136**, 9308–9319.
27 W. A. Cortopassi, K. Kumar and R. S. Paton, Cation–π interactions in CREBBP Bromodomain Inhibition: An Electrostatic Model for Small-Molecule Binding Affinity and Selectivity, *Org. Biomol. Chem.*, 2016, **14**, 10926–10938.
28 S. Mecozzi, A. P. West and D. A. Dougherty, Cation–π Interactions in Aromatics of Biological and Medicinal Interest: Electrostatic Potential Surfaces as a Useful Qualitative Guide, *Proc. Natl. Acad. Sci. U. S. A.*, 1996, **93**, 10566–10571.
29 S. Mecozzi, A. P. West and D. A. Dougherty, Cation–π Interactions in Simple Aromatics: Electrostatics Provide a Predictive Tool, *J. Am. Chem. Soc.*, 1996, **118**, 2307–2308.
30 S. E. Wheeler and K. N. Houk, Substituent Effects in Cation/π Interactions and Electrostatic Potentials Above the Centers of Substituted Benzenes are Due Primarily to Through-Space Effects of the Substituents, *J. Am. Chem. Soc.*, 2009, **131**, 3126–3127.
31 R. K. Raju, J. W. Bloom, Y. An and S. E. Wheeler, Substituent Effects on Non-Covalent Interactions with Aromatic Rings: Insights from Computational Chemistry, *ChemPhysChem*, 2011, **12**, 3116–3130.
32 S. E. Wheeler, Understanding Substituent Effects in Noncovalent Interactions Involving Aromatic Rings, *Acc. Chem. Res.*, 2013, **46**, 1029–1038.
33 S. Tsuzuki, M. Yoshida, T. Uchimaru and M. Mikami, The Origin of the Cation/π Interaction: The Significant Importance of the Induction in Li⁺ and Na⁺ Complexes, *J. Phys. Chem. A*, 2001, **105**, 769–773.
34 I. Soteras, M. Orozco and F. J. Luque, Induction Effects in Metal Cation–Benzene Complexes, *Phys. Chem. Chem. Phys.*, 2008, **10**, 2616–2624.
35 R. Sathyapriya and S. Vishweshwara, Interaction of DNA with Clusters of Amino Acids in Proteins, *Nucleic Acids Res.*, 2004, **32**, 4109–4118.
36 A. S. Reddy, D. Vijay, G. M. Sastry and G. N. Sastry, From Subtle to Substantial: Role of Metal Ions on π–π Interactions, *J. Phys. Chem. B*, 2006, **110**, 2479–2481.
37 S. Pinheiro, I. Soteras, J. L. Gelpi, F. Dehez, C. Chipot, F. J. Luque and C. Curutchet, Structural and Energetic Study of Cation–π–Cation Interactions in Proteins, *Phys. Chem. Chem. Phys.*, 2017, **19**, 1463–9076.
38 Y. An, J. W. G. Bloom and S. E. Wheeler, Quantifying the π-Stacking Interactions in Nitroarene Binding Sites of Proteins, *J. Phys. Chem. B*, 2015, **119**, 14441–14450.
39 W. R. Pitt, D. M. Parry, B. G. Perry and C. R. Groom, Heteroaromatic Rings of the Future, *J. Med. Chem.*, 2009, **52**, 2952–2963.
40 (a) Y. Dehouck, C. Biot, D. Gilis, J. M. Kwasigroch and M. Rooman, Sequence-Structure Signals of 3D Domain Swapping in Proteins, *J. Mol. Biol.*, 2003, **330**, 1215–1225; (b) R. Wintjens, J. Liévin, M. Rooman and E. Buuisine, Contribution of Cation–π Interactions to the Stability of Protein-DNA Complexes, *J. Mol. Biol.*, 2000, **302**, 395–410.
41 (a) K. S. Kim, J. Y. Lee, S. J. Lee, T.-K. Ha and D. H. Kim, On Binding Forces between Aromatic Ring and Quaternary Ammonium Compound, *J. Am. Chem. Soc.*, 1994, **116**, 7399–7400; (b) C. A. Deakyne and M. Meotner, Unconventional Ionic Hydrogen-Bonds 2. NH⁺/–π Complexes of Onium Ions with Olefins and Benzene-Derivatives, *J. Am. Chem. Soc.*, 1985, **107**, 474–479.
42 D. A. Dougherty, The Cation–π Interaction, *Acc. Chem. Res.*, 2013, **46**, 885–893.
43 E. M. Duffy, P. J. Kowalczyk and W. L. Jorgensen, Do Denaturants Interact with Aromatic Hydrocarbons in Water?, *J. Am. Chem. Soc.*, 1993, **115**, 9271–9275.
44 J. B. O. Mitchell, C. L. Nandi, I. K. McDonald, J. M. Thornton and S. L. Price, Amino/Aromatic Interactions in Proteins: Is the Evidence Stacked Against Hydrogen Bonding?, *J. Mol. Biol.*, 1994, **239**, 315–331.
45 E. Cauët, M. Rooman, R. Wintjens, J. Liévin and C. Biot, Histidine–Aromatic Interactions in Proteins and ProteinLigand Complexes: Quantum Chemical Study of X-ray and Model Structures, *J. Chem. Theory Comput.*, 2005, 1, 472–483.
46 C. Riplinger and F. Neese, An Efficient and Near Linear Scaling Pair Natural Orbital Based Local Coupled Cluster Method, *J. Chem. Phys.*, 2013, 138, 034106.
47 D. G. Liakos, M. Sparta, M. K. Kesharwani, J. M. L. Martin and F. Neese, Exploring the Accuracy Limits of Local Pair Natural Orbital Coupled-Cluster Theory, *J. Chem. Theory Comput.*, 2015, 11, 1525–1539.
48 (a) P. Hobza, Calculations on Noncovalent Interactions and Databases of Benchmark Interaction Energies, *Acc. Chem. Res.*, 2012, 45, 663–672; (b) J. Pittner and P. Hobza, CCSDT and CCSD(T) calculations on model H-bonded and stacked complexes, *Chem. Phys. Lett.*, 2004, 390, 496–499.
49 E. Paulechka and A. Kazakov, Efficient DLPNO–CCSD(T)-Based Estimation of Formation Enthalpies for C, H, O, and N-Containing Closed-Shell Compounds Validated Against Critically Evaluated Experimental Data, *J. Phys. Chem. A*, 2017, 121, 4379–4387.
50 M. J. Frischet al., *Gaussian 09, Revision D.01*, Gaussian, Inc., Wallingford, CT, 2009.
51 F. Neese, The ORCA Program System, *Wiley Interdiscip. Rev.: Comput. Mol. Sci.*, 2012, 2, 73–78.
52 E. G. Hohenstein and C. D. Sherrill, Wavefunction Methods for Noncovalent Interactions, *Wiley Interdiscip. Rev.: Comput. Mol. Sci.*, 2012, 2, 304–326.
53 J. M. Turney, A. C. Simmonett, R. M. Parrish, E. G. Hohenstein, F. A. Evangelista, J. T. Fermann, B. J. Mintz, L. A. Burns, J. J. Wilke, M. L. Abrams, N. J. Russ, M. L. Leininger, C. L. Janssen, E. T. Seidl, W. D. Allen, H. F. Schaefer, R. A. King, E. F. Valeev, C. D. Sherrill and T. D. Crawford, Psi4: An Open-Source *ab initio* Electronic Structure Program, *Wiley Interdiscip. Rev.: Comput. Mol. Sci.*, 2012, 2, 556–565.
54 C. D. Sherrill, Energy Component Analysis of π Interactions, *Acc. Chem. Res.*, 2013, 46, 1020–1028.
55 K. E. Riley, M. Pitonak, P. Jurecka and P. Hobza, Stabilization and Structure Calculations for Noncovalent Interactions in Extended Molecular Systems Based on Wave Function and Density Functional Theories, *Chem. Rev.*, 2010, 110, 5023–5063.
56 A. Li, H. S. Muddana and M. K. Gilson, Quantum Mechanical Calculation of Noncovalent Interactions: A Large-Scale Evaluation of PMx, DFT, and SAPT Approaches, *J. Chem. Theory Comput.*, 2014, 10, 1563–1575.
57 H. M. Berman, J. Westbrook, Z. Feng, G. Gilliland, T. N. Bhat, H. Weissig, I. N. Shindyalov and P. E. Bourne, The Protein Data Bank, *Nucleic Acids Res.*, 2000, 28, 235–242.
58 S. Salentin, S. Schreiber, V. J. Haupt, M. F. Adasme and M. Schroeder, PLIP: Fully Automated Protein–Ligand Interaction Profiler, *Nucleic Acids Res.*, 2015, 43, 443–447.
59 In cases where no aromaticity is reported by OpenBabel, the ring is checked for planarity. The normals of each atom in the ring to its neighbors are calculated. The angle between each pair of normals has to be less than 5°. If this is true, the ring is also considered as aromatic.
60 C. R. Sondergaard, M. H. Olsson, M. Rostkowski and J. H. Jensen, Improved Treatment of Ligands and Coupling Effects in Empirical Calculation and Rationalization of pK<sub>a</sub> Values, *J. Chem. Theory Comput.*, 2011, 7, 2284–2295.
61 E. R. Johnson, S. Keinan, P. Mori-Sánchez, J. Contreras-García, A. J. Cohen and W. Yang, Revealing Noncovalent Interactions, *J. Am. Chem. Soc.*, 2010, 132, 6498–6506.
62 S. Tsuzuki, K. Honda, T. Uchimaru, M. Mikami and K. Tanabe, Origin of the Attraction and Directionality of the NH/π Interaction: Comparison with OH/π and CH/π Interactions, *J. Am. Chem. Soc.*, 2000, 122, 11450–11458.
63 J. Rezac, K. E. Riley and P. Hobza, S66: A Well-balanced Database of Benchmark Interaction Energies Relevant to Biomolecular Structures, *J. Chem. Theory Comput.*, 2011, 7, 2427–2438.
64 N. J. Singh, S. K. Min, D. Y. Kim and K. S. Kim, Comprehensive Energy Analysis for Various Types of π-Interaction, *J. Chem. Theory Comput.*, 2009, 5, 515–529.
65 CPCM calculations were performed with UAKS radii. The use of atomic radii with either CPCM or SMD solvation models gave rise to a discontinuous PES due to abrupt changes in solute cavity shape along the profile. Nevertheless, the same trend in minimum energy values was found irrespective of the solvation model used: (a) A. Klamt and G. Schüürmann, COSMO: A New Approach to Dielectric Screening in Solvents with Explicit Expressions for the Screening Energy and Its Gradient, *J. Chem. Soc.*, 1993, 799; (b) J. Andzelm, C. Kölmel and A. Klamt, Incorporation of Solvent Effects into Density Functional Calculations of Molecular Energies and Geometries, *J. Chem. Phys.*, 1995, 103, 9312–9320; (c) V. Barone and M. Cossi, Quantum Calculation of Molecular Energies and Energy Gradients in Solution by a Conductor Solvent Model, *J. Phys. Chem. A*, 1998, 102, 1995–2001; (d) M. Cossi, N. Rega, G. Scalmani and V. Barone, Energies, Structures, and Electronic Properties of Molecules in Solution with the C-PCM Solvation Model, *J. Comput. Chem.*, 2003, 24, 669–681; (e) A. V. Marennich, C. J. Cramer and D. G. Truhlar, *J. Phys. Chem. B*, 2009, 113, 4538–4543.
66 The physical meaning of dielectric constant, a macroscopic observable, at the atomic scale is questionable: nonetheless, the representation of an active site as a homogeneous polarizable medium account describes its electrostatic effect in an average way: (a) D. J. Tantillo, J. Chen and K. N. Houk, Theozymes and Compuzymes: Theoretical Models for Biological Catalysis, *Curr. Opin. Chem. Biol.*, 1998, 2, 743–750; (b) K. Hotta, X. Chen, R. S. Paton, A. Minami, H. Li, K. Swaminathan, I. I. Mathews, K. Watanabe, H. Oikawa, K. N. Houk and C.-Y. Kim, Enzymatic Catalysis of Anti-Baldwin Ring Closure in Polyether Biosynthesis, *Nature*, 2012, 483, 355–358; (c) F. Himo, Recent Trends in Quantum Chemical Modeling of Enzymatic Reactions, *J. Am. Chem. Soc.*, 2017, 139, 6780–6786.
67 F. Duarte and R. S. Paton, Molecular Recognition in Asymmetric Counteranion Catalysis: Understanding Chiral Phosphate-Mediated Desymmetrization, *J. Am. Chem. Soc.*, 2017, 139, 8886–8896.
|
<urn:uuid:8aec43aa-d8a7-42f9-b74d-74a59e0233d7>
|
CC-MAIN-2018-09
|
http://pubs.rsc.org/en/content/articlepdf/2018/sc/c7sc04905f
|
2018-02-24T16:27:01Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-09/segments/1518891815843.84/warc/CC-MAIN-20180224152306-20180224172306-00570.warc.gz
| 286,847,161
| 13,540
|
eng_Latn
|
eng_Latn
| 0.845828
|
eng_Latn
| 0.96783
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
171,
4101,
8579,
11262,
17175,
18814,
24528,
26473,
31372,
37332,
43306,
49431
] |
pcMedia is extending our remote support services to students at home.
This is limited to supporting applications students use for school purposes and assisting in connecting the student device to the internet.
For any support requirements:
Please email [email protected] from your school email account.
Please provide your name and a phone number, along with the issue that needs resolving.
If you are unable to email from your school account please add your school name to the subject line of your email.
Upon receiving your email, one of our team will come back to you with the steps we need to take to resolve your issue. We may need to remote into your device, in which case we will need you to download a Teamviewer application from our website. https://www.pcmedia.co.nz/support/ One of our staff will assist with this process.
Please note our hours of service are from 8.30am to 5.00pm, Monday to Friday. We will be with you as soon as staff come available and appreciate your patience.
If required please contact us on 0800 578 1100. If possible, please email our team as described above first.
Please be aware we will not be able to fix non-school related issues as part of our service. All care will be taken in resolving your issues, although pcMedia takes no responsibility for non-school faults or hardware failures.
Kind Regards
The pcMedia team.
|
<urn:uuid:201f639d-3838-4678-823b-5316b397a29e>
|
CC-MAIN-2023-50
|
https://www.pcmedia.co.nz/wp-content/uploads/2020/04/Remote-Student-support-April20.pdf
|
2023-11-29T19:05:35+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00267-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet
| 1,042,484,843
| 285
|
eng_Latn
|
eng_Latn
| 0.999341
|
eng_Latn
| 0.999341
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
1375
] |
Amendment No.
17
SECOND MARSHALLED LIST OF AMENDMENTS TO BE MOVED IN GRAND COMMITTEE
__________________
[Amendments marked * are new or have been altered]
After Clause 35
LORD BERKELEY BARONESS RANDERSON
Insert the following new Clause—
"Restrictions on lorries and road use
Within three months of the start of the scheduled works, the nominated undertaker must publish a plan setting out, for each construction site being used or to be used for the scheduled works, how the number of lorries delivering to or from the site will be limited in order to meet the following restrictions by weight of materials transported by road—
(a) no more than 25% of excavated spoil and demolition material;
(b) no more than 25% of concreting materials; and
(c) no more than 50% of all other materials;
and the remainder in each case must be carried by rail."
After Clause 38
LORD BERKELEY LORD BRADSHAW
18 Insert the following new Clause—
"Establishment of Regional Integrated Command Centre
(1) Within three months of the passing of this Act, the nominated undertaker must establish a Regional Integrated Command Centre to include representatives of Highways England, local highways authorities, emergency services, Transport for the West Midlands, Transport for London, transport operators and the nominated undertaker's contractors.
19
20
21
After Clause 38 - continued
(2) The role of the Regional Integrated Command Centre shall be to ensure that the works authorised by this Act are co-ordinated so as to minimise the adverse effects of the works on other rail or road operations."
After Clause 43
LORD BERKELEY
Insert the following new Clause—
"Application of relevant provisions of Railways Act 1993 to Phase One of High Speed 2
All relevant provisions of the Railways Act 1993 including regulations made under that Act shall apply to the railway operated as Phase One of High Speed 2, including determination of access charges, safety and reporting."
Insert the following new Clause—
"Safety and economic regulation of railway line authorised by this Act
The railway line authorised by this Act is subject to the same safety and economic regulation as the existing network operated by Network Rail."
Insert the following new Clause—
"Control and management of infrastructure
(1) Once constructed, the operation of the infrastructure of Phase One of High Speed 2 shall be controlled by the network system operator.
(2) Once Phase One of High Speed 2 is operational, the infrastructure managers of Phase One of High Speed 2 shall have a duty to seek to work together with infrastructure managers on the rest of the UK rail network, as relevant, in relation to timetabling, temporary closures, enhancements and technical issues in order to seek to provide a reliable, cost effective and convenient structure to support passenger and freight services on the Phase One of High Speed 2 route."
22 Insert the following new Clause—
"Disapplication of regulation 25 of Railways (Access, Management and Licensing of Railway Undertakings) Regulations 2016
Regulation 25 (Declaration of specialised infrastructure) of the Railways (Access, Management and Licensing of Railway Undertakings) Regulations 2016 does not apply to new infrastructure for the use of trains on the Phase One of High Speed 2 route."
23
24
24A
25
After Clause 43 - continued
Insert the following new Clause—
"No financial or managerial link between rail infrastructure owner and train operating company
No owner of the rail infrastructure connected with Phase One of High Speed 2 may have any financial or managerial link with any company with a licence to operate trains on that route."
LORD BERKELEY
BARONESS RANDERSON
Insert the following new Clause—
"High Speed 2 trains to have flexible space
All trains procured to operate passenger services on the Phase One of High Speed 2 route must be provided with flexible space covering at least 10% of the internal floor area of the train for the use of cycles, pushchairs and small items of freight."
LORD BERKELEY
Insert the following new Clause—
"Timetable for new railway and affected existing routes
Within 12 months of the passing of this Act, HS2 Ltd must publish a comprehensive and detailed working timetable for the railway approved by this Act and for all the routes of the existing railway network that will carry through trains or whose services will be affected by the new railway, in order to—
(a) illustrate the offer of service that travellers between any relevant pair of stations can expect at its opening,
(b) identify the paths that will be available for freight trains,
(c) demonstrate the operational practicality and robustness of its plans,
(d) provide data for a reworking of the business case, should the findings require that, and
(e) enable an informed debate about the proposals and their implications."
After Clause 52
VISCOUNT ASTOR
Insert the following new Clause—
"Review: Calvert Sidings
(1) The Secretary of State must commission a review of the proposed construction and route variation required for Calvert Sidings, covering construction and noise impacts which have not hitherto been considered.
(2) The review must also consider impacts—
(a) on affected communities, farms and estates;
(b) of the movement of farm vehicles, works traffic and other traffic;
26
After Clause 52 - continued
(c) on bridle ways and footpaths crossing the railway route.
(3) The review may recommend whether a Transport and Works Act order should be made, under the provisions of section 52, to authorise adjustments relating to Calvert Sidings."
VISCOUNT ASTOR LORD STEVENSON OF BALMACARA
Insert the following new Clause—
"Review: potential benefits of configuring Station Road with Snake Lane Quainton
(1) The Secretary of State must commission a review of the potential benefits of configuring Station Road with Snake Lane Quainton, Buckinghamshire, as the main route to and from Waddesdon.
(2) The review must have regard to possible—
(a) improvements to road and traffic safety;
(b) improvements in travel distances, cost and time for people travelling between Quainton and Waddesdon;
(c) infrastructure savings.
(3) The review may recommend whether a Transport and Works Act order should be made, under the provisions of section 52, to authorise adjustments relating to the main route to and from Waddesdon."
VISCOUNT ASTOR
27 Insert the following new Clause—
"Review: impacts on Twyford, Steeple Claydon, Chetwode, Barton-Hartshorn and Mixbury
(1) The Secretary of State must commission a review of the impacts on the communities of the parishes of Twyford, Steeple Claydon, Chetwode, BartonHartshorn, Buckinghamshire and Mixbury, Oxfordshire, of modifying the High Speed 2 route set out in this Act to follow the High Speed 2 route C alignment for the route section proposed in 2010.
(2) The review must have regard to possible alleviation of High Speed 2 construction impacts and train operational noise, and to alternative methods for such alleviation.
(3) The review shall include estimates of the costs of construction of each route section and all other relevant costs and impacts.
(4) The review may recommend whether a Transport and Works Act order should be made, under the provisions of section 52, to authorise adjustments to the route set out in subsection (1)."
30
31
After Clause 62
BARONESS YOUNG OF OLD SCONE
28 Insert the following new Clause—
"Duty on the nominated undertaker
(1) The nominated undertaker, and their contractors and subcontractors, shall at all times have full regard to the 2016 report by Natural England, "Review of the High Speed 2 No Net Loss in Biodiversity Metric", and shall adhere to all recommendations therein.
(2) The nominated undertaker also has a duty of care to—
(a) adhere to the advice of Natural England or any other nature conservation adviser appointed by the Secretary of State; and
(b) ensure that its contractors and subcontractors also have full regard to advice under paragraph (a)."
Clause 65
LORD AHMAD OF WIMBLEDON
29 Page 32, line 17, at end insert "with 31 March 2018"
After Clause 65
LORD BERKELEY LORD STEVENSON OF BALMACARA BARONESS RANDERSON
Insert the following new Clause—
"Complaints Commissioner
(1) Within three months of the passing of this Act, the Secretary of State must appoint a Complaints Commissioner.
(2) The role of the Complaints Commissioner shall be to receive and deal with complaints about any part of the works authorised by this Act.
(3) Each year, the Complaints Commissioner must prepare and publish a report on the activities of the Commissioner during that year.
(4) Each report must be submitted to the Secretary of State, who must lay the report before each House of Parliament."
BARONESS PIDDING LORD STEVENSON OF BALMACARA
Insert the following new Clause—
"Office of the HS2 Adjudicator
(1) There is to be a body corporate known as the Office of the HS2 Adjudicator hereinafter referred to as "the Adjudicator".
(2) Schedule (Adjudicator: status and funding) has effect.
(3) The Adjudicator has the functions conferred on it by or under any enactment.
(4) Those functions include—
5
33
After Clause 65 - continued
(a) enforcement functions,
(b) inspection functions, and
(c) information functions.
(5) The main objective of the Adjudicator in performing its functions is to protect the natural environment and communities impacted by the construction and operation of Phase One of High Speed 2.
(6) The Adjudicator is to perform its functions for the general purpose of securing—
(a) the minimisation of adverse impacts on communities and the natural environment situated in locations affected by the construction or operation of Phase One of High Speed 2; and
(b) the provision of additional mitigation measures in the event the environmental impacts of the operation of High Speed 2 are worse than as set out in the environmental statement prepared in accordance with section 67(4)."
32 Insert the following new Clause—
"Matters to which the Adjudicator must have regard
(1) In performing its functions, the Adjudicator must have regard to—
(a) the views expressed by or on behalf of the members of the public or organisations about the environmental impacts of constructing Phase One of High Speed 2;
(b) the views expressed by people affected by the construction and operation of Phase One of High Speed 2;
(c) the views expressed by local authorities about the impact of constructing and operating Phase One of High Speed 2 in their areas;
(d) the need to protect the natural environment and minimise environmental impacts arising from the construction and operation of Phase One of High Speed 2;
(e) the need to ensure that any action by the Adjudicator in relation to its areas of responsibility is proportionate to the risks against which it would afford safeguards and is targeted only where it is needed;
(f) any developments in approaches to monitoring and mitigating environmental impacts arising from the construction or operation of Phase One of High Speed 2;
(g) best practice among persons performing functions comparable to those of the Adjudicator (including the principles under which regulatory action should be transparent, accountable and consistent).
(2) In performing its functions, the Adjudicator must also have regard to such aspects of government policy as the Secretary of State may direct."
Insert the following new Clause—
"Statement on stakeholder involvement
(1) The Adjudicator must publish a statement describing how it proposes to7
After Clause 65 - continued
(a) discharge its oversight requirements to ensure environmental outcomes reflect the forecasts set out in the environmental statement referenced in section 67(4);
(b) promote engagement and discussion with the nominated undertaker and impacted communities concerning adequate levels of mitigation;
(c) ensure that proper regard is had to views expressed by nongovernment organisations and local authorities concerning the environmental impacts arising from the construction and operation of Phase One of High Speed 2; and
(d) arrange for accurate regular reporting of environmental impacts arising from the construction of the scheduled works and operation of Phase One of High Speed 2.
(2) The Adjudicator may from time to time revise the statement and must publish any revised statement.
(3) Before publishing the statement (or any revised) statement, the Adjudicator must consult such persons it considers appropriate."
34 Insert the following new Clause—
"Compliance with requirements
(1) The Adjudicator will keep under review compliance by HS2 Ltd, the nominated undertaker and its contractors with the standards detailed in the environmental statement, Environmental Minimum Requirements and the Code of Construction Practice and the assurances and undertakings provided by the Secretary of State on HS2 and Information Papers prepared by HS2 Ltd (collectively the "environmental documents").
(2) If it appears to the Adjudicator that any person has failed or is likely to fail to comply with any requirements for which he is responsible set out in the environmental documents relating to the construction or operation of Phase One of High Speed 2 (hereinafter referred to in this section as the "relevant requirements"), the Adjudicator may address to that person an enforcement notice.
(3) An enforcement notice comes into effect 36 hours after it is published on the website of the Adjudicator.
(4) The Adjudicator must also transmit an electronic version to HS2 Ltd, any nominated undertaker or contractor to the aforementioned, or local authority that has supplied to the Adjudicator an email address for this purpose.
(5) An enforcement notice must also be placed on a hard-copy register maintained at such a location as the Adjudicator may determine.
(6) An enforcement notice is a notice in writing—
(a) specifying the matters which appear to the Adjudicator to constitute a failure to comply with the relevant requirements set out in the environmental documents, and
35
After Clause 65 - continued
(b) prohibiting the recurrence or occurrence of those matters and requiring the person to whom it is addressed to carry out any specified works or take any steps which the Adjudicator considers necessary to ensure compliance with the relevant requirements detailed in the environmental documents.
(7) Where any person suffers loss or damage as a result of any matter specified in an enforcement notice, whether that loss or damage occurs before or after the service of the enforcement notice, he may recover damages for that loss or damage in a civil court from the person on whom the enforcement notice was served.
(8) It shall be a defence to any claim under subsection (7) above to prove that the matters alleged to constitute non-compliance have not occurred or that they do not constitute non-compliance with the relevant requirements.
(9) If any person fails to comply with the requirements of an enforcement notice, he shall be guilty of an offence.
(10) A person guilty of an offence under this section shall be punishable on summary conviction by a fine not exceeding £20,000, and on conviction on indictment to a fine.
(11) It shall be a defence to any criminal proceedings under subsection (9) claim to prove that—
(a) the matters alleged to constitute non-compliance have not occurred,
(b) that they do not constitute non-compliance with the relevant requirements or that any required works or steps were not necessary to achieve compliance with the relevant requirements, or
(c) that despite due diligence he was unaware of the provision of the notice.
(12) Where an offence under any provision of this Act committed by a body corporate is proved to have been committed with the consent or connivance of, or to have been attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or a person who was purporting to act in any such capacity, he as well as the body corporate shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly."
Insert the following new Clause—
"
Inspections and studies
(1) The Adjudicator may for the purposes of its regulatory functions carry out inspections of—
(a) the carrying on of the scheduled works, or
(b) the operation of any train travelling on Phase One of High Speed 2.
(2) The Adjudicator may undertake or promote comparative or other studies designed to enable it to make recommendations—
(a) for improving sustainability and effectiveness in any activity mentioned in subsection (3), or
9
After Clause 65 - continued
(b) for improving the management of environmental outcomes arising from the operation of Phase One of High Speed 2.
(3) Those activities are—
(a) the undertaking of construction activity by HS2 Ltd or a nominated undertaker,
(b) the making of arrangements by HS2 Ltd or a nominated undertaker for the purpose of environmental mitigation.
(4) The Adjudicator may also undertake or promote studies designed to enable it to prepare reports as to the impact of—
(a) the operation of any particular statutory provisions, or
(b) any directions or guidance given by a Minister of the Crown (whether pursuant to any such provisions or otherwise), on economy, efficiency and effectiveness in an activity mentioned in subsection (3)(a) or (b).
(5) The Adjudicator must undertake or promote a study falling within subsection (2) or (4) if the Secretary of State so requests.
(6) The Adjudicator must publish—
(a) any recommendations made by it under subsection (2), and
(b) the result of any studies undertaken or promoted under that section.
(7) The Secretary of State may, after consulting the Adjudicator, by regulations make provisions as to the procedure to be followed in respect of the making of representatives to the Adjudicator before the publication under subsection (2) of any recommendations or the result of any studies."
36 Insert the following new Clause—
"Power to require documents, information returns etc.
(1) The Adjudicator may require any person mentioned in subsection (2) to provide it with any information, documents, records or other items which the Adjudicator considers it necessary or expedient to have for the purposes of any of its regulatory functions.
(2) The persons are—
(a) HS2 Ltd,
(b) a nominated undertaker, and
(c) any contractor appointed by HS2 Ltd or a nominated undertaker.
(3) The power in subsection (1) to require the provision of information, documents or records includes, in relation to information, documents or records kept by means of a computer, power to require the provision of the information, documents or records in legible form.
(4) The Adjudicator may require a nominated undertaker to make a return to the Adjudicator at such intervals as may be prescribed.
(5) Provision may be made in such requirements as to the contents of the return and the period in respect of which and date by which it is to be made."
After Clause 65 - continued
37 Insert the following new Clause—
"Information and advice
(1) The Adjudicator must keep the Secretary of State informed about the following matters—
(a) the environmental impact of constructing Phase One of High Speed 2 and whether such impacts reflect the forecasts detailed in the environmental statement;
(b) the impact on communities and the natural environment arising from the construction and operation of Phase One of High Speed 2; and
(c) the carrying on of regulated activities.
(2) The Adjudicator may at any time give the Secretary of State advice on anything connected with those matters.
(3) When requested to do so by the Secretary of State, the Adjudicator must give the Secretary of State such advice or information in connection with a matter mentioned in subsection (1) as may be specified in the request."
38 Insert the following new Clause—
"Provision of copies of registers
(1) Subject to subsection (3), the Adjudicator must secure that copies of any register kept for the purposes of this Act are available at its offices for inspection at all reasonable times by any person.
(2) Subject to subsections (3) and (4), any person who asks the Adjudicator for a copy of, or an extract from, a register kept for the purposes of this Chapter is entitled to have one.
(3) Regulations may provide that subsections (1) and (2) do not apply—
(a) in such circumstances as may be prescribed, or
(b) to such parts of a register as may be prescribed.
(4) A fee determined by the Adjudicator is payable for the copy or extract except—
(a) in prescribed circumstances, or
(b) in any case where the Adjudicator considers it appropriate to provide the copy or extract free of charge."
Clause 67
LORD AHMAD OF WIMBLEDON
39 Page 33, line 13, at end insert—
""deposited statement" has the meaning given by subsection (5);"
40 Page 34, line 36, leave out "subsection (4)" and insert "this Act"
Schedule 1
VISCOUNT ASTOR
50
Schedule 14 - continued
(i) the acquisition of subsoil or undersurface of land, where the subsoil or undersurface lies more than 9 metres below the surface;
(iii) an easement, restrictive covenant or other right over land; for "3 months" substitute "1 month", and
(ii) the acquisition of airspace over land;
(b) after "11A(4)" insert "or (6) and (7)"."
49 Page 316, line 23, leave out from "entry:" to end of line 29 and insert "further notices of entry)—
(b) in subsection (2), after "land" insert "under that provision, to the extent that the newly identified person is the owner, lessee or occupier of the land,",
(a) in subsection (1)(a), after "land" insert "under that provision",
(c) in subsection (4)(a), for "14 days" substitute "7 days", and
"(5) Subsections (6) and (7) apply for the purposes of determining the period to be specified in the notice of entry under section 11(1) served on the newly identified person in a case where subsection (4) does not apply.
(d) at the end insert—
(6) The period specified in the notice must be—
(i) the acquisition of subsoil or under- surface of land, where the subsoil or undersurface lies more than 9 metres below the surface;
(a) in a case where the notice to treat relates only to one or more of the following—
(ii) the acquisition of airspace over land;
a period that ends no earlier than the end of the period of 7 days beginning with the day on which the notice of entry is served, and
(iii) an easement, restrictive covenant or other right over land;
(b) in any other case, a period that ends no earlier than the end of the period of 28 days beginning with the day on which the notice of entry is served.
(7) The period specified in the notice must end no earlier than the end of the period specified in any previous notice of entry given by the acquiring authority in respect of the land.""
Page 316, line 32, leave out ", omit paragraphs 1(2) and 13(2)" and insert "—
(b) at the end insert—
(a) omit paragraphs 1(2) and 14(2), and
"PART 4 INTERPRETATION
65
Schedule 14 - continued
30 In this Schedule, references to entering on and taking possession of land do not include doing so under Schedule 16 to the High Speed Rail (London - West Midlands) Act 2017 (temporary possession and use of land).""
51 Page 317, line 14, leave out "1" and insert "A1"
52 Page 318, line 17, at end insert "the whole or part of"
53 Page 318, leave out lines 20 to 23
54 Page 318, leave out lines 25 to 30
55 Page 318, line 32, leave out "whole of the land" and insert "house, building or factory"
56 Page 318, line 34, leave out "whole of the land" and insert "house, building or factory"
57 Page 319, line 13, leave out "whole of the land" and insert "house, building or factory"
58 Page 319, line 37, leave out "land to which the counter-notice relates" and insert "house, building or factory"
59 Page 319, line 40, leave out "land" and insert "house, building or factory"
60 Page 319, line 42, leave out second "the" and insert "that"
61 Page 319, line 44, leave out "land" and insert "house, building or factory"
62 Page 319, line 47, leave out "the whole of the" and insert "that"
63 Page 320, line 12, leave out "1" and insert "A1"
64 Page 320, line 22, leave out "1" and insert "A1"
After Schedule 16
LORD STEVENSON OF BALMACARA
Insert the following new Schedule—
"D
UTY OF CARE AND LIABILITY OF
S
ECRETARY OF
S
TATE
1 The Secretary of State and the nominated undertaker, and their contractors and sub-contractors, are, when dealing with persons whose land is subject to the exercise of powers under sections 4 to 19 or whose land is otherwise affected by the construction of the scheduled works, subject to a general duty of care to those persons.
14
After Schedule 16 - continued
2 The general duty of care includes requirements to—
(a) act fairly and in good faith at all times;
(b) minimise so far as reasonably practicable the acquisition and temporary occupation of land of third parties;
(c) minimise so far as reasonably practicable the impact on third parties of the carrying out of the scheduled works;
(d) act transparently;
(e) for not less than five years after the completion of the scheduled works, provide an information and assistance service for those affected by the scheduled works;
(f) pay fair compensation promptly;
(g) consult affected persons before and during any process of compulsory acquisition;
(h) provide accommodation works during the construction of the scheduled works where reasonably required.
3 Notwithstanding any agreement to the contrary between the Secretary of State and the nominated undertaker or any contractor or sub-contractor, the Secretary of State is liable to third parties for the actions of the nominated undertaker and his or its contractors and sub-contractors in exercising the powers conferred by this Act and carrying out the scheduled works.
4 It is the duty of the Complaints Commissioner appointed by the Secretary of State under section (Complaints Commissioner) to determine how the Secretary of State and the nominated undertaker must observe the general duty of care created by this Schedule."
Schedule 17
LORD BERKELEY
66 Page 348, line 24, leave out paragraph (a)
Schedule 21
LORD AHMAD OF WIMBLEDON
67 Page 385, line 2, leave out "2010 (S.I. 2010/675)" and insert "2016 (S.I. 2016/1154)"
68 Page 385, line 4, leave out "23ZA" and insert "25"
After Schedule 24
LORD AHMAD OF WIMBLEDON
69 Insert the following new Schedule—
"TRAFFIC REGULATION
Consultation about proposed traffic regulation order
1 (1) This paragraph applies where(a) the traffic authority for a relevant road is a person other than the Secretary of State,
(b) the authority proposes to make a traffic regulation order in relation to the road, and
(c) it appears to the authority that provision made by the order—
(ii) could otherwise significantly affect the free flow of traffic on the road.
(i) could significantly interfere with the use of the road by heavy commercial vehicles for Phase One purposes, or
(2) Before making the order, the authority must consult the Secretary of State (in addition to any other person the authority is required to consult under or by virtue of Part 3 of Schedule 9 to RTRA 1984).
(3) In this paragraph—
"heavy commercial vehicle" has the same meaning as in RTRA 1984 (see section 138 of that Act);
"relevant road" means a road which falls within one or more of the following paragraphs—
(b) a road which is part of a route in relation to which approval has been given under paragraph 6 of Schedule 17 (routes for transportation by large goods vehicles);
(a) a road which is part of a route identified in a deposited statement as a construction traffic route;
(c) where a request for approval under paragraph 6 of Schedule 17 has been made but not determined, a road which is part of a route to which the request for approval relates;
(d) a road any part of which is within, or within one kilometre of, the Act limits.
Power of Secretary of State to direct traffic authority to make traffic regulation order
2 (1) The Secretary of State may give a direction to a traffic authority requiring the authority to make a traffic regulation order if the Secretary of State considers that such an order is necessary or expedient for Phase One purposes.
(2) Before giving a direction under this paragraph to a traffic authority, the Secretary of State must consult the authority.
(3) The purpose of consultation under sub-paragraph (2) is to ensure public safety and, so far as reasonably practicable, to reduce public inconvenience.
(4) Paragraph 1(2) does not apply (if it otherwise would) to the making of a traffic regulation order in pursuance of a direction under this paragraph.
(5) Where a traffic authority makes a traffic regulation order in pursuance of a direction under this paragraph (a "relevant order"), the authority may not without the Secretary of State's consent make a further traffic regulation order which contains—
(a) provision varying or revoking the relevant order, or
(b) provision as respects any length of road for any purpose where—
(ii) that order has been varied or revoked by the relevant order.
(i) an order has been made as respects that length of road for a similar purpose, and
(6) The power to give a direction under this paragraph includes power to vary or revoke a previous direction given under this paragraph.
3 (1) This paragraph applies where, in pursuance of a direction under paragraph 2, a traffic authority is required to make an order under section 1, 6 or 9 of RTRA 1984.
(2) The order is to be treated for the purposes of Part 3 and paragraph 28 of Schedule 9 to RTRA 1984, and regulations made under Part 3 of that Schedule, as if it were required to be made in pursuance of a direction under paragraph 2 of that Schedule.
(3) The provisions mentioned in sub-paragraph (2) have effect accordingly, but as if—
(a) paragraph 26(1) of Schedule 9 to RTRA 1984 (which requires the Secretary of State to take account of objections) were omitted,
(b) for the purposes of the application of paragraph 28 of Schedule 9 to RTRA 1984 (provision about the variation or revocation of certain orders)—
(ii) any reference in that Part to paragraph 13(1)(e) and (f) of that Schedule were read instead as a reference to paragraph 2(5) of this Schedule, and
(i) the reference in that paragraph to Part 2 of that Schedule included a reference to paragraph 2(5) of this Schedule, and
(c) any provision in regulations made under Part 3 of Schedule 9 to RTRA 1984 relating to the holding of a public inquiry were omitted.
(4) Paragraph 35 of Schedule 9 to RTRA 1984 (provision for questioning validity of orders) has effect, in its application to the order, as if—
(a) the reference in sub-paragraph (a) to the relevant powers were to those powers as they apply in the case of an order made in pursuance of a direction under paragraph 2 above, and
(b) the reference in sub-paragraph (b) to the relevant requirements were to those requirements as modified by sub-paragraph (3) above.
4 (1) This paragraph applies where, in pursuance of a direction under paragraph 2, a traffic authority is required to make an order under section 14 of RTRA 1984.
(2) Section 15 of RTRA 1984 (duration of orders under section 14) does not apply to the order.
(3) The order has effect for the period specified or described in the direction.
Further powers of Secretary of State (including in relation to variation or revocation of orders)
5 (1) The Secretary of State may direct a traffic authority to revoke a traffic regulation order made by the authority in pursuance of a direction under paragraph 2.
(2) The Secretary of State may direct a traffic authority to vary a traffic regulation order made by the authority in pursuance of a direction under paragraph 2, where—
(a) the variation is necessary or expedient for Phase One purposes, or
(b) the effect of the variation is to remove or relax a restriction imposed by the order on the use of any road.
6 (1) Where a traffic authority fails to comply with a direction under paragraph 2, the Secretary of State may make the traffic regulation order required by the direction.
(2) Where a traffic authority fails to comply with a direction under paragraph 5, the Secretary of State may by order vary or revoke the traffic regulation order (as required by the direction).
7 (1) The Secretary of State may by order made by statutory instrument vary or revoke a traffic regulation order (whenever made) if the Secretary of State considers it necessary or expedient to do so for Phase One purposes.
(2) This paragraph has effect without prejudice to the powers conferred on the Secretary of State by paragraphs 5 and 6.
8 (1) This paragraph applies to an order under paragraph 6 or 7.
(2) Before making the order, the Secretary of State must give notice to the traffic authority in question.
(3) Paragraph 4 of Schedule 9 to RTRA 1984 (reserve powers of Secretary of State, including power to recover expenses) applies to the order as it applies to an order made by virtue of paragraph 3 of that Schedule.
(4) Parts 3 and 4 of Schedule 9 to RTRA 1984, and regulations made under paragraph 24 of that Schedule, apply to the order as they apply to an order made by virtue of the relevant paragraph of that Schedule, but as if—
(a) any provision in the regulations relating to the holding of a public inquiry were omitted, and
(b) for the purposes of the application of paragraph 28 of that Schedule (provision about the variation or revocation of certain orders)—
(ii) any reference in that Part to paragraph 13(1)(e) and (f) of that Schedule were read instead as a reference to paragraph 8(6) of this Schedule.
(i) the reference in that paragraph to Part 2 of that Schedule included a reference to paragraph 8(6) of this Schedule, and
(5) For the purposes of sub-paragraph (4), "the relevant paragraph" of Schedule 9 to RTRA 1984 is—
(a) in the case of an order under paragraph 6 of this Schedule, paragraph 3 of that Schedule, and
(b) in the case of an order under paragraph 7 of this Schedule, paragraph 7 of that Schedule.
(6) Where the Secretary of State makes an order to which this paragraph applies, the relevant authority may not without the Secretary of State's consent make a further traffic regulation order which contains—
(a) provision varying or revoking the Secretary of State's order, or
(b) provision as respects any length of road for any purpose where—
(i) an order has been made as respects that length of road for a similar purpose, and
(ii) that order has been varied or revoked by the Secretary of State's order.
(7) Paragraph 16 of Schedule 9 to RTRA 1984 (powers of Secretary of State where an order is submitted for consent) applies for the purposes of sub- paragraph (5) as if the further traffic regulation order had been submitted for consent under Part 2 of that Schedule.
Power to restrict traffic authority from making or implementing traffic regulation order
9 (1) The Secretary of State may give a direction to a traffic authority prohibiting the authority - either generally, or without the Secretary of State's consent, or for a specified period - from making or bringing into operation a traffic regulation order (whenever made) if the Secretary of State considers that such an order could significantly interfere with the use of any road for Phase One purposes.
(2) Before giving a direction under this paragraph to a traffic authority, the Secretary of State must consult the authority.
(3) The purpose of consultation under sub-paragraph (2) is to ensure public safety and, so far as reasonably practicable, to reduce public inconvenience.
(4) The power to give a direction under this paragraph includes power to vary or revoke a previous direction given under this paragraph.
Removal of vehicles
10 (1) An authorised person may remove a vehicle, or arrange for its removal, where conditions 1 and 2 are met.
(2) Condition 1 is that the vehicle has been permitted to remain at rest, or has broken down and remained at rest—
(a) on any road in contravention of a prohibition or restriction imposed by a traffic regulation order, or
(b) on any road which is stopped up under paragraph 2 or 6 of Schedule 4.
(3) Condition 2 is that it appears to the authorised person that the vehicle is likely, if it is not removed—
(a) to obstruct the carrying out of any of the works authorised by this Act, or
(b) to be at risk of being damaged in consequence of the doing of anything for Phase One purposes.
(4) References in sub-paragraphs (1) and (3) to the removal of a vehicle are to its removal to another position on the road in question or to another road.
(5) Before exercising the power under sub-paragraph (1), an authorised person must give notice to—
(a) the local authority (as defined by section 100(5) of RTRA 1984) in whose area the vehicle is situated, and
(b) the chief officer of the police force in whose area the vehicle is situated.
(6) A person removing a vehicle under or by virtue of sub-paragraph (1) may do so—
(a) by towing or driving the vehicle, or
(b) in such other manner as the person thinks necessary,
and may take such measures in relation to the vehicle as the person thinks necessary to enable its removal.
(7) This paragraph is without prejudice to provision made by regulations under section 99 of RTRA 1984.
(8) In this paragraph—
"authorised person" means a person authorised by the nominated undertaker for the purposes of this paragraph;
"vehicle" has the same meaning as in section 99 of RTRA 1984.
Interpretation
11 In this Schedule—
"road" has the same meaning as in RTRA 1984 (see section 142(1) of that Act);
"RTRA 1984" means the Road Traffic Regulation Act 1984;
"traffic authority" has the same meaning as in RTRA 1984 (see section 121A of that Act);
"traffic regulation order" means an order section 1, 6, 9 or 14 of RTRA 1984."
Schedule 25
LORD AHMAD OF WIMBLEDON
70 Page 394, line 7, leave out "or 6" and insert "6, 9 or 14"
Schedule 32
LORD AHMAD OF WIMBLEDON
71 Page 419, line 34, leave out "Energy and Climate Change" and insert "Business, Energy and Industrial Strategy"
72 Page 422, line 20, leave out "Energy and Climate Change" and insert "Business, Energy and Industrial Strategy"
After Schedule 32
BARONESS PIDDING LORD STEVENSON OF BALMACARA
73 Insert the following new Schedule—
"ADJUDICATOR: STATUS AND FUNDING
1 The Adjudicator shall be a body corporate.
2 (1) Subject to sub-paragraph (3), the Adjudicator shall not be regarded as the servant or agent of the Crown or any enjoying any status immunity or privilege of the Crown.
(2) The members of the Adjudicator and of their staff shall not be regarded as civil servants and the Adjudicator's property shall not be regarded as property of, or held on behalf of, the Crown.
(3) In relation to any matter in respect of which the Adjudicator acts by virtue of a direction, the Adjudicator shall enjoy the same privileges, immunities and exemptions as those enjoyed in relation to that matter by the Secretary of State for Transport.
(4) Subject to the provisions of any enactment, the Adjudicator shall not be exempt from any tax, duty, rate, levy or other charge whatever (whether general or local).
(5) The Adjudicator shall receive such funds from the Secretary of State as he considers that it needs to perform its functions expeditiously and efficiently.
Membership
3 (1) The Adjudicator shall consist of not fewer than 8 and not more than 17 members.
(2) The members shall be appointed by the Secretary of State, who shall appoint one of them to be chairman and may appoint another of them to be deputy chairman.
(3) In appointing any member, the Secretary of State shall have regard to the desirability of the members as a whole having knowledge or experience of all the following, namely railway construction and operation, the preservation of cultural heritage, town and country planning, ecology, arboriculture, landscape, and air quality.
(4) In appointing members, the Secretary of State shall have regard to the desirability of at least one of them having knowledge of local government (as well as knowledge or experience of one or more of the subjects mentioned in sub-paragraph (3)).
(5) Subject to the following provisions of this paragraph, a chairman, deputy chairman or other member shall hold and vacate office in accordance with the terms of his appointment, but no member shall be appointed for a period of more than 5 years.
(6) A chairman, deputy chairman or member may resign his office by notice in writing addressed to the Secretary of State.
(7) If the Secretary of State is satisfied that a member—
(a) has been absent from meetings of the Adjudicator for a period longer than 3 consecutive months without the consent of the Adjudicator, or
(b) has become bankrupt or has made an arrangement with his creditors, or
(c) is incapacitated by physical or mental illness, or
(d) is otherwise unable or unfit to discharge the functions of a member,
the Secretary of State may remove him from his office.
(8) If a chairman or deputy chairman ceases to be a member he shall also cease to be chairman or deputy chairman; and if a chairman or deputy chairman ceases to be chairman or deputy chairman he shall also cease to be a member.
(9) A person who ceases to be a member, otherwise than by virtue of subparagraph (7), or ceases to be chairman or deputy chairman, shall be eligible for re-appointment.
Staff
4 (1) There shall be a chief officer of the Adjudicator who shall be appointed by the Adjudicator with the approval of the Secretary of State.
(2) The chief officer shall be responsible to the Adjudicator for the general exercise of the Adjudicator's functions and may, subject to the directions of the Adjudicator, exercise all the powers of the Adjudicator either himself or through nominated staff members.
(3) The Adjudicator may appoint such other employees as the Adjudicator thinks fit.
(4) The Adjudicator shall pay to their employees such remuneration and allowances as the Adjudicator may determine.
(5) The employees shall be appointed on such other terms and conditions as the Adjudicator may determine.
(6) The Adjudicator may pay such pensions, allowances or gratuities as they may determine to or in respect of any of their employees, make such payments as they may determine towards the provision of pensions, allowances or gratuities to or in respect of any of their employees or provide and maintain such schemes as they may determine (whether contributory or not) for the payment of pensions, allowances or gratuities to or in respect of any of their employees.
(7) The references in sub-paragraph (6) to pensions, allowances or gratuities to or in respect of any employees include references to pensions, allowances or gratuities by way of compensation to or in respect of employees who suffer loss of office or employment.
(8) A determination under sub-paragraph (4), (5) or (6) is ineffective unless made with the approval of the Secretary of State given with the Treasury's consent.
(9) The Adjudicator shall make, not later than such date as the Secretary of State may determine, an offer of employment by the Adjudicator to each person employed in the civil service of the State whose name is notified to the Adjudicator by the Secretary of State for the purposes of this paragraph.
(10) The terms of the offer shall be such that they are, taken as a whole, not less favourable to the person to whom the offer is made than the terms on which he is employed on the date on which the offer is made.
(11) In determining whether the terms of the offer are more or less favourable to that person than those enjoyed by him on the date of the offer no account shall be taken of the fact that employment with the Adjudicator is not employment in the service of the Crown.
(12) An offer made in pursuance of this paragraph shall not be revocable during the period of 3 months beginning with the date on which it is made.
(13) Where a person becomes an employee of the Adjudicator in consequence of this paragraph, then, for the purposes of his period of employment in the civil service of the State shall count as a period of employment by the Adjudicator and the change of employment shall not break the continuity of the period of employment.
(14) Any dispute arising under this paragraph as to whether or not the terms of any employment offered by the Adjudicator are, taken as a whole, less favourable than those applying to a person's employment in the civil service of the State shall be referred to and determined by an employment tribunal.
(15) An employment tribunal shall not consider a complaint whereby a dispute mentioned in sub-paragraph (6) is referred to it unless the complaint is presented to the tribunal before the end of the period of 3 months beginning with the date of the offer of employment or within such further period as the tribunal considers reasonable in a case where it is satisfied that it was not reasonably practicable for the complaint to be presented before the end of the period of 3 months.
(16) An appeal shall lie to the Employment Appeal Tribunal on a question of law arising from any decision of, or arising in proceedings before, an employment tribunal under this paragraph; and no appeal shall lie except to the Employment Appeal Tribunal from any decision of an employment tribunal under this paragraph.
Proceedings
5 Subject to the following provisions of this Schedule, the Adjudicator may regulate their own procedure (including quorum).
6 (1) A member of the Adjudicator who is in any way directly or indirectly interested in a contract made or proposed to be made by the Adjudicator or by HS2 Ltd or by any nominated undertaker appointed by the Secretary of State, or in any other matter which falls to be considered by the Adjudicator, shall disclose the nature of his interest at a meeting of the Adjudicator.
(2) The disclosure shall be recorded in the minutes of the meeting.
(3) A member shall not—
(a) where a contract in which the member is interested is under consideration, take part in the deliberations on or decision about the contract; and
(b) where any other matter in which the member is interested is under consideration, take part in the deliberations on or decision about the matter if the Adjudicator decide that the member's interest might prejudicially affect his consideration of the matter.
(4) For the purposes of this paragraph, a notice given by a member at a meeting of the Adjudicator to the effect that he is a member of a specified body corporate or firm and is to be regarded as interested in any contract which is made with the body corporate or firm after the date of the notice, and in any other matter concerning the body corporate or firm which falls to be considered after that date, shall be a sufficient disclosure of his interest.
(5) A member need not attend in person at a meeting of the Adjudicator in order to make a disclosure which he is required to make under this paragraph if he takes reasonable steps to secure that the disclosure is made by a notice which is taken into consideration and read at such a meeting.
(6) The validity of any proceedings of the Adjudicator shall not be affected by any vacancy among the members, or by any defect in the appointment of any person as a member or chairman or deputy chairman, or by a failure to comply with paragraph 6.
Committees
7 (1) The Adjudicator shall constitute at least one committee to advise them on ecology and at least one to advise them on compliance by HS2 Ltd with its obligations under the environmental statement and at least one to advise them on the efficacy of such compensation schemes which are implemented by HS2 Ltd and the Department for Transport and may constitute other committees to advise them on those or other aspects of their functions.
(2) The Adjudicator may include as members of committees persons who are not members of the Adjudicator.
(3) The Adjudicator may regulate the proceedings (including quorum) of committees.
(4) The Adjudicator may pay to the members of any committee such reasonable allowances in respect of expenses or loss of remuneration as the Secretary of State may determine with the Treasury's approval.
Instruments
8 (1) The fixing of the seal of the Adjudicator shall be authenticated by the signature of the chairman of or some other person authorised either generally or specially by the Adjudicator to act for that purpose.
(2) A document purporting to be duly executed under the seal of the Adjudicator, or to be signed on the Adjudicator's behalf, shall be received in evidence and, unless the contrary is proved, be deemed to be so executed or signed.
Members' remuneration
9 (1) The Adjudicator shall pay to members of the Adjudicator such remuneration and such allowances in respect of expenses as the Secretary of State may determine with the Treasury's approval.
(2) In the case of any such member or past member of the Adjudicator as the Secretary of State may with the Treasury's approval determine, the Adjudicator shall pay such pension, allowance or gratuity to or in respect of him, or make such payment towards the provision of such a pension, allowance or gratuity, as the Secretary of State may so determine.
(3) Where a person ceases to be a member of the Adjudicator, and it appears to the Secretary of State that there are special circumstances which make it right for that person to receive compensation, the Secretary of State may, with the Treasury's approval, direct the Adjudicator to make to that person a payment of such amount as the Secretary of State may determine with the Treasury's approval.
Accounts
10 (1) The Adjudicator shall keep proper accounts and proper records in relation to them.
(2) The Adjudicator shall prepare a statement of accounts in respect of each financial year.
(3) The statement shall give a true and fair view of the state of the Adjudicator's affairs at the end of the financial year and of the Adjudicator's income and expenditure in the financial year.
(4) The statement shall—
(a) be prepared within such period as the Secretary of State may direct; and
(b) comply with any directions given by the Secretary of State with the Treasury's consent as to the information to be contained in the statement, the manner in which the information is to be presented or the methods and principles according to which the statement is to be prepared.
(5) The accounts in respect of each financial year ending on or before 31st March 2018 (including any statement of accounts in respect of each such financial year prepared under this paragraph) shall be audited by persons appointed in respect of each financial year by the Secretary of State.
(6) No person shall be appointed auditor under this paragraph unless he is—
(a) eligible for appointment as a statutory auditor under Part 42 of the Companies Act 2006; or
(b) a member of the Chartered Institute of Public Finance and Accountancy; but a firm may be so appointed if each of its members is qualified to be so appointed.
(7) Where the Adjudicator has prepared a statement of accounts in respect of a financial year ending on or after 31st March 2016, it must, as soon as reasonably practicable after the end of the financial year to which the statement relates, send a copy of the statement to the Comptroller and Auditor General.
(8) The Comptroller and Auditor General shall examine, certify and report on any statement of accounts sent to him under sub-paragraph (7).
(9) In this paragraph "financial year" means the period commencing with the day of the Adjudicator's establishment and ending with the second 31 March following that day, and each successive period of 12 months.
Information
11 (1) The Adjudicator shall make to the Secretary of State, as soon as may be practicable after the end of each financial year, a report on the exercise of their functions since the last report was made or (in the case of the first) since the Adjudicator's establishment.
(2) Each report shall include a copy of the statement of accounts prepared and audited under paragraph 10 in respect of the financial year and, where the statement has been audited by the Comptroller and Auditor General, a copy of his report on it.
(3) Each report of the Adjudicator shall include a statement of action taken by the Adjudicator concerning—
(a) the compliance by HS2 Ltd with the commitments made in the Phase One environmental statement,
(b) the adequacy of the mitigation measures undertaken by HS2 Ltd and any nominated undertaker concerning construction of the line,
(c) recommendations concerning any additional mitigation measures required to ensure adequate environmental mitigation, and
(d) the assessment of reasonable practicability undertaken by the nominated undertaker.
(4) The Secretary of State shall lay a copy of each report of the Adjudicator before each House of Parliament.
(5) As soon as may be after receiving any report made by the auditors on any accounts audited under paragraph 10 or, as the case may be, made by the Comptroller and Auditor General on any statement of accounts prepared under that paragraph, the Adjudicator shall send a copy of the report to the Secretary of State.
(6) The Adjudicator shall furnish the Secretary of State with such information relating to their property and the discharge and proposed discharge of their functions as he may require, and for that purpose they shall permit any person authorised by him to inspect and make copies of any accounts or other documents of the Adjudicator and shall give such explanation of them as that person or the Secretary of State may require.
(7) In this paragraph "financial year" has the same meaning as in paragraph 10. House of Commons disqualification
12 In Part III of Schedule 1 to the House of Commons Disqualification Act 1975 (disqualifying offices), there shall be inserted at the appropriate place in alphabetical order—
"Any member, in receipt of remuneration, of the Adjudicator.""
In the Title
BARONESS RANDERSON LORD BRADSHAW
74 Line 2, after "with" insert "a spur from Old Oak Common in the London Borough of Hammersmith and Fulham to a junction with the West London Line south of North Pole Road on the boundary between the London Borough of Hammersmith and Fulham and the Royal Borough of Kensington and Chelsea; and"
High Speed Rail (London - West Midlands) Bill
SECOND MARSHALLED LIST OF AMENDMENTS TO BE MOVED IN GRAND COMMITTEE
____________________
10 January 2017
____________________
|
<urn:uuid:0e071776-df04-41ec-963a-186f01c75cc2>
|
CC-MAIN-2024-38
|
https://publications.parliament.uk/pa/bills/lbill/2016-2017/0083/17083-II.pdf
|
2024-09-09T01:11:32+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-38/subset=warc/part-00292-781f89b0-54ef-4e32-b51d-e5860e733e3a.c000.gz.parquet
| 451,030,556
| 12,026
|
eng_Latn
|
eng_Latn
| 0.968366
|
eng_Latn
| 0.981969
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1337,
3324,
5357,
7371,
9198,
11592,
14109,
16694,
19091,
21027,
21055,
23077,
24773,
26639,
29321,
31965,
34627,
37236,
38715,
41393,
44108,
47012,
49828,
52429,
54532,
54709
] |
GET IN TOUCH
1030 REVENUE DRIVE TELFORD, PA 18969 215-799-0450 [email protected] WWW.HPIPRO.COM
Compact Batch Treatment
For a compact, quick and affordable solution for the treatment of smaller batches of waste water, there is no system better than the CBT system.
With the ability to handle 30,60 or 100 gallon baches the CBT System offers the same top quality of treatment as all HPI machines in a condensed and mobile form.
|
<urn:uuid:86e83e6b-2628-41ca-b16c-80d4bd41347f>
|
CC-MAIN-2023-23
|
https://www.hpipro.com/category/download/cbt
|
2023-06-05T20:34:10+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00052-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet
| 856,762,239
| 111
|
eng_Latn
|
eng_Latn
| 0.954029
|
eng_Latn
| 0.954029
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
429
] |
ADMISSIONS DOCUMENTATION
Please complete all enclosed documentation and return for admission to the wait list for residency
CHECK LIST
HAVE YOU COMPLETED:
APPLICATION FORM
MEDICAL EVALUATION FORM
RESIDENT SOCIAL PROFILE
COPHARMACY – ADMISSION NOTIFICATION
COPHARMACY – DIRECT DEBIT REQUEST (DDR)
PRIVACY CONSENT FORM
ENDURING AUTHORITY TO PUBLISH
DIRECT DEBIT REQUEST
OPTION NOT TO PROVIDE
HAVE YOU INCLUDED:
1) A copy of ACCR (Aged Care Client Record) completed by Aged Care Assessment Team
2) A copy of Enduring Power of Attorney / Power of Attorney
3) A copy of Power of Guardianship
4) A copy of Centrelink/ DVA Income and Asset Assessment Notice
David, Gita and Michael Hoffman Nursing Home Toby and Maurice Zeffert Special Care Centre Carl and Sadie Cohen Hostel Sir Zelman and Lady Cowan Retirement Village Sydney Crownson-Cohen Home Units
119 Cresswell Road, Dianella WA 6059 Phone 9375 4600 Fax 9276 1250 Email: [email protected]
APPLICATION FORM
PERMANENT RESPITE
(FOR ADMISSION INTO RESIDENTIAL AGED CARE)
PLEASE TICK:
HIGH CARE HOSTEL KEREN OR (DEMENTIA SPECIFIC)
SECTION 1
SURNAME:
PREFERRED NAME (TO BE CALLED BY):
LEGAL GIVEN NAMES:
HEBREW NAME:
DATE OF BIRTH :
ADDRESS:
DO YOU:
OWN
RENT
BOARD
OTHER
PHONE (HOME):
PHONE (MOBILE):
COUNTRY OF BIRTH:
DATE OF ARRIVAL IN AUSTRALIA:
NATURALISED:
YES
NO
NATIONALITY:
RELIGION:
JEWISH - ORTHODOX JEWISH-LIBERAL
OTHER
FIRST LANGUAGE:
OTHER LANGUAGES SPOKEN:
MARITAL STATUS:
SINGLE
DE FACTO DIVORCED MARRIED WIDOWED SEPARATED
FATHER'S GIVEN AND SURNAME:
FATHER'S HEBREW NAME:
MOTHER'S GIVEN AND MAIDEN NAME:
MOTHER'S HEBREW NAME:
SECTION 2
PENSION/MEDICAL INSURANCE DETAILS
FULL
PART
CENTERLINK NO:
MEDICARE NO:
EXPIRY DATE:
VETERANS AFFAIRS NO:
CARD TYPE -
GOLD WHITE
EXPIRY DATE:
PHARMACY SAFETY NET ENTITLEMENT CARD NO:
PHARMACY SAFETY NET CONCESSION CARD NO:
REPATRIATION FILE NO:
PRIVATE HEALTH INSURANCE FUND (NAME):
MEMBERSHIP NO:
EXPIRY DATE:
AMBULANCE SUBSCRIPTION NO:
EXPIRY DATE:
MAURICE ZEFFERT HOME (INC) APPLICATION FORM
SECTION 3
POWER OF ATTORNEY
HAVE YOU APPOINTED A POWER OF ATTORNEY:
YES
NO
ENDURING POWER OF ATTORNEY:
YES
NO
IF YES, PLEASE PROVIDE THE FOLLOWING DETAILS:
NAME OF PERSON HOLDING POWER OF ATTORNEY:
ADDRESS:
TELEPHONE NO:
MOBILE NO:
EMAIL:
PLEASE PROVIDE A COPY OF THE POWER OF ATTORNEY DOCUMENTATION
SECTION 4
GUARDIANSHIP
HAVE YOU APPOINTED A GUARDIANSHIP AUTHORITY:
YES
NO
IF YES, PLEASE PROVIDE THE FOLLOWING DETAILS:
NAME OF PERSON HOLDING GUARDIANSHIP AUTHORITY:
ADDRESS:
TELEPHONE NO:
MOBILE NO:
EMAIL:
PLEASE PROVIDE A COPY OF THE POWER OF GUARDIANSHIP DOCUMENTATION
SECTION 5
NEXT-OF-KIN (SPOUSE, CHILDREN OR NEAR RELATIVES) (WHO WILL BE CONTACTED UPON SERIOUS ILLNESS OR SUDDEN DEATH)
STATE FULL NAME, ADDRESS, RELATIONSHIP, TELEPHONE NUMBERS
1. NAME:
RELATIONSHIP:
NAME OF PERSON HOLDING GUARDIANSHIP AUTHORITY:
ADDRESS:
PHONE HOME :
PHONE WORK :
MOBILE NO :
EMAIL :
2. NAME:
RELATIONSHIP:
NAME OF PERSON HOLDING GUARDIANSHIP AUTHORITY:
ADDRESS:
PHONE HOME :
PHONE WORK :
MOBILE NO :
EMAIL :
NAME AND ADDRESS OF PERSON BILLING ACCOUNT WILL BE SENT TO
NAME:
ADDRESS:
PHONE HOME :
PHONE WORK :
MOBILE NO :
EMAIL :
APPLICANT'S SIGNATURE:
DATE:
David, Gita and Michael Hoffman Nursing Home Toby and Maurice Zeffert Special Care Centre Carl and Sadie Cohen Hostel Sir Zelman and Lady Cowan Retirement Village Sydney Crownson-Cohen Home Units
119 Cresswell Road, Dianella WA 6059 Phone 9375 4600 Fax 9276 1250 Email: [email protected]
MEDICAL EVALUATION FORM
TO BE COMPLETED BY MEDICAL PHYSICIAN
APPLICANT'S SURNAME:
FIRST NAMES:
CURRENT ADDRESS:
PHONE:
DATE OF BIRTH:
NAME AND ADDRESS OF DOCTOR COMPLETING FORM:
PHONE:
LENGTH OF TIME HE/SHE HAS BEEN A PATIENT:
REASON FOR SEEKING ADMISSION:
MAJOR CURRENT MEDICAL PROBLEMS:
MAJOR OTHER DIAGNOSED PROBLEMS:
HOSPITALISATION:
HOSPITAL:
CONSULTANT:
CONDITION TREATED:
DATE:
1.
2.
3.
IS APPLICANT CURRENTLY ATTENDING OUTPATIENTS CLINICS OR SPECIALISTS?
YES
NO
IF YES, WHICH ONES?
HAS APPLICANT BEEN ASSESSED BY AN AGED CARE ASSESSMENT TEAM (ACAT)?
YES
NO
IF YES, WHICH ONES?
(Please attach photocopies of Discharge Summaries/Letters/Assessments)
MAURICE ZEFFERT HOME (INC) MEDICAL EVALUATION FORM
SYSTEMS REVIEW PLEASE PROVIDE DIAGNOSIS AND BRIEF SUMMARIES OF HISTORY RESPIRATORY
RELEVANT DETAILS:
DATE OF LAST CHEST X-RAY AND FINDINGS:
PAST SMOKER:
YES NO
STILL SMOKES:
YES
NO HISTORY OF TB:
YES NO
PNEUMOCOCCAL VACCINE GIVEN:
YES NO
YEAR:
FLUVAX GIVEN:
YES NO
DATE:
CARDIOVASCULAR
RELEVANT DETAILS :
PULSE:
B.P.:
ANY POSTURAL CHANGE :
PERIPHERAL PULSES:
E.C.G.
PACEMAKER
YES
NO IF YES, BEING MONITORED BY :
GASTROINTESTINAL
RELEVANT DETAILS:
APERIENT USAGE:
FAECAL INCONTINENCE
YES NO
DENTITION:
ENDOCRINE
RELEVANT DETAILS:
HAEMOPOIETIC
RELEVANT DETAILS:
SKIN
RELEVANT DETAILS:
MEDICAL EVALUATION FORM
SYSTEMS REVIEW PLEASE PROVIDE DIAGNOSIS AND BRIEF SUMMARIES OF HISTORY
GENITOURINARY
RELEVANT DETAILS:
INCONTINENCE
YES NO
CAUSE, IF KNOWN:
MUSCULOSKELETAL
RELEVANT DETAILS:
NEUROLOGICAL
RELEVANT DETAILS:
HAS APPLICANT SUFFERED STROKE(S)?
YES NO
DETAILS (COPY OF CT REPORT WOULD BE HELPFUL):
DESCRIBE DEGREE OF DISABILITY:
DOES APPLICANT SUFFER FROM HEADACHES/FITS/FALLS/DIZZINESS/VERTIGO?
YES NO
DETAILS:
VISION
RELEVANT HISTORY/DIAGNOSIS:
OPTHALMOLOGIST/OPTOMETRIST NAME:
DATE LAST SEEN (APPROX):
SPECTACLES
YES NO
HEARING
RELEVANT HISTORY/DIAGNOSIS:
ENT SPECIALIST/AUDIOLOGIST NAME:
DATE LAST SEEN (APPROX):
HEARING AID
YES NO
MEDICAL EVALUATION FORM
MENTAL STATE AND PSYCHIATRIC HISTORY
PAST HISTORY OF PSYCHIATRIC ILLNESS
YES NO
DETAILS:
IS APPLICANT FULLY ALERT AND WELL ORIENTED?
YES NO
POSSIBLE OR DEFINITE DEMENTIA PRESENT?
YES NO
LIKELY CAUSE OF DEMENTIA: ALZHEIMER TYPE/MULTI-INFARCT/OTHER:
(SPECIFY):
MEMORY/INTELLECTUAL DECLINE FIRST NOTED: DATE
BEHAVIOURAL PROBLEMS OR WANDERING?
YES NO
DETAILS:
DEMENTIA INVESTIGATED?
YES NO
DETAILS (PLEASE INCLUDE CT AND OTHER INVESTIGATIONS AND RESULTS):
CURRENT MEDICATIONS
MENTAL STATE AND PSYCHIATRIC HISTORY
DRUG SENSITIVITY/ADVERSE DRUG REACTIONS:
OTHER RECENT OR RELEVANT INVESTIGATIONS AND REPORTS
PHOTOCOPIES OF KEY RESULTS AND REPORTS WOULD BE APPRECIATED
OTHER DETAILS ABOUT THE APPLICANT'S CONDITION WHICH YOU CONSIDER IMPORTANT (INCLUDE INFECTIONS WITH HIGH RISK OF TRANSMISSION IN THE HEALTH CARE SETTING)
SIGNED
DATED
David, Gita and Michael Hoffman Nursing Home Toby and Maurice Zeffert Special Care Centre Carl and Sadie Cohen Hostel Sir Zelman and Lady Cowan Retirement Village Sydney Crownson-Cohen Home Units
119 Cresswell Road, Dianella WA 6059 Phone 9375 4600 Fax 9276 1250 Email: [email protected]
RESIDENT SOCIAL PROFILE
THANK YOU FOR TAKING THE TIME TO COMPLETE THIS FORM.
The information will be used to develop an individualised activity program and support to meet the residents needs .
RESIDENT NAME:
DATE:
ACTIVITY PREFERENCES (ON ENTRY TO THE HOME):
PLEASE IDENTIFY ( ) THOSE ACTIVITIES THAT WOULD OR HAVE BEEN OF INTEREST
INDOOR BOWLS
SYNAGOGUE
COMMUNITY SINGING/CHOIR
GROUP DISCUSSIONS
NEWSPAPER READINGS
OUTINGS
EXERCISE TO MUSIC
COOKING
WORD GAMES/QUIZZES
CONCERTS/PERFORMANCES
CARDS
VIDEO/FILMS
FLORAL ART
CRAFT
PARLOUR GAMES
JIGSAWS
BINGO
BEAUTY CARE
ART
HAPPY HOUR
GARDENING
CROSSWORDS
GUIDED WALKS
OTHER (PLEASE SPECIFY)
IS THE RESIDENT ON THE ELECTORAL ROLL?
YES NO
IF YES, CURRENT ELECTORATE:
DO YOU WISH THE RESIDENT TO REMAIN ON THE ELECTORAL ROLL?
YES NO
It is the responsibility of the primary carer to change the electoral district. To remove the resident from the electoral role you will require a letter from the medical practitioner.
SPIRITUAL AND CULTURAL DETAILS
DURING THEIR LIFE, HAS THE RESIDENT ATTENDED SYNAGOGUE REGULARLY?
YES NO
WOULD THE RESIDENT LIKE TO ATTEND SYNAGOGUE AT MAURICE ZEFFERT HOME?
YES NO
ANY SPECIFIC CULTURAL PREFERENCES:
E.G. DIET:
FESTIVALS OBSERVED:
CULTURAL PREFERENCES/ PRACTICES (EG, CLOTHING/ SOCIAL CONTACT/ RITUALS):
LIFE PROFILE
CHILDHOOD
LIVED AT:
EDUCATION:
ADULT YEARS
LIVED AT:
EDUCATION:
WORK:
LEISURE INTERESTS:
RETIREMENT
LIVED AT:
LEISURE INTERESTS:
LIST ANY SIGNIFICANT LIFE EXPERIENCES (EG, AWARDS, DISASTERS, ACHIEVEMENTS):
TRAVEL EXPERIENCE:
HOLOCAUST AND WARTIME EXPERIENCES:
SIGNIFICANT EVENTS AND DATES:
WEDDING ANNIVERSARY:
CHILDREN'S BIRTHDAYS:
DEATH OF SIGNIFICANT OTHER:
OTHER:
MAURICE ZEFFERT HOME (INC)
RESIDENT SOCIAL PROFILE
MAURICE ZEFFERT HOME (INC) RESIDENT SOCIAL PROFILE
LIFE PROFILE
FAVOURITES AND FEARS
PREFERRED FOOD:
DRINK:
FLOWER(S):
COLOUR:
ANIMAL:
BOOKS/ MAGAZINES/MOVIES:
MILITARY
ROMANTIC THRILLER
COMEDY LIFESTYLE WESTERNS
CURRENT AFFAIRS GARDENING
HOBBIES/CRAFT
SPORT OTHER (PLEASE SPECIFY):
MUSIC:
CLASSICAL
COUNTRY
ROCK 'N' ROLL JAZZ
MUSICALS
"OLD TIME"
OTHER (PLEASE SPECIFY):
RADIO PROGRAMS:
TELEVISION PROGRAMS:
SPORT:
FEARS/DISLIKES (EG, DARK, HEIGHTS, ANIMALS, BEACH ETC):
MAURICE ZEFFERT HOME (INC) RESIDENT SOCIAL PROFILE
LIFE PROFILE
FAMILY AND SOCIAL NETWORK:
FAMILY AND/OR FRIENDS LIKELY TO BE INVOLVED WITH RESIDENT:
ASSOCIATIONS/VOLUNTARY ORGANISATIONS THAT RESIDENT IS/HAS BEEN INVOLVED IN:
PETS:
NAME(S) OF SIBLINGS:
NAME(S) OF CHILDREN:
NAME(S) OF GRANDCHILDREN:
Maurice Zeffert Home has an arrangement with Co-Pharmacy who provide a full pharmaceutical service. Medication costs are billed directly to the resident by the pharmacy
CO-PHARMACY RESIDENT/RELATIVE INFORMATION
ADMISSION AND DISCHARGE:
* Upon Admission CoPharmacy ask for the following information-
"CoPharmacy Admission form" is completed for each Resident. Please ensure ALL fields are completed. This information is required before CoPhamacy can provide all medication safely, at the correct cost and as soon as possible.
A complete list of medication signed by doctor
All current prescriptions (especially Authority Prescriptions).
Safety Net details.
Prescription Record Form (PRF) for previous pharmacy.
* Unfortunately medication previously supplied from other pharmacies especially multi-dose packs (Webster) can not be used by CoPharmacy. Unfortunately we cannot ensure the safety and integrity of the medication once dispensed and stored.
* If residents are discharged from a facility, Copharmacy can organise for medications and prescriptions to be delivered to a facility prior to discharge or they are welcomed to be collected from our office. Please note CoPharmacy does require accounts to be paid in full.
DISPENSING:
* CoPharmacy dispenses government subsidised medication according to the Pharmaceutical Benefit Scheme (PBS). More information on the PBS can be found at http://www.pbs.gov.au/ html/home
* The PBS Safety Net plays an important role in keeping medications affordable. It is an effective way of helping limit the out of pocket expenses for people who require a large amount of medications. The Safety Net runs from January 1st to December 31st each year. Each January prescription fees will revert back to the standard PBS prescription cost until the safety net is reached again.
* Safety Net thresholds (general)= $1,421.20 Concession holders= $360.00 (60 prescriptions)
* Safety net totals for couples. If your spouse uses another pharmacy, it is important to notify CoPharmacy on what prescriptions have been obtained as their total will be combined with yours, reach the safety net sooner.
* Doctors are required to supply CoPharmacy with prescriptions in a timely manner. In the rare cases this does not happen it may be necessary to reprice those items as private items due to the fact that the PBS denies subsidy. The repricing of the item does not alter the legal requirement of the Doctor to provide the paper prescription.
* In the very rare cases where supply may be interrupted due to prescription not being supplied by Resident Doctor CoPharmacy will always notify Facility Managers.
* If resident is going on Social Leave or Holidays, we can provide medications in advance. Please advise facility with adequate notice to arrange supply.
* Non prescription items – You may hear of these items being on sale or at a lower price than Copharmacy in supermarkets and other pharmacies. CoPharmacy strives to ensure all our products are at the most affordable prices possible whilst also keeping the price consistent to avoid confusion with accounts. Often these sale prices at supermarkets and pharmacies are only for a small time period, they then increase to prices well above the CoPharmacy consistent price. CoPharmacy also delivers to
facilities directly, provide medication trolleys to facilities and offer an after hours service that is not offered at other pharmacies or supermarkets.
MEDICATION CHANGES:
* Doctors often change medications. When this occurs they will inform the pharmacy of the urgency of the medication change, "Urgent next dose", "within 24hrs" or "with next weekly pack". Those medications that are initiated with the following week sachets reduce the amount of medication wastage and impact on the account.
* All regular packed medications are in the form of a sachet. Unfortunately sachets can not be reused or re packed, all replacing medications need to be re-dispensed.
* Medications that have not all been used and stopped due to a doctor making changes unfortunately can not been returned and credited.
OWING PRESCRIPTIONS:
* An Owing prescription is a name given to an item that CoPharmacy dispenses in good faith awaiting a paper prescription being provided by the resident Doctor. These orders are often communicated to Copharmacy via fax or phone order so they can be supplied promptly.
* Paper prescriptions are a legal requirement. If a doctor does not provide a paper prescription with the exact date the medication was supplied as "owing", pharmacy must re-dispense the item. This will then appear on the account on the date dispensed rather than the date the medication was supplied. This may result in a multiple charge for the same item appearing on one month's account, however as above the item may have been supplied earlier (potentially in the month prior). If you have any queries our accounts department are more than happy to help.
ACCOUNTS:
* CoPharmacy offers an account to all residents. The account does have a strict 30 day credit policy. Accounts are required to be paid in full each month to ensure continuous supply.
* Accounts are sent out monthly and can be paid via credit card, direct debit, EFT, cheque, postal order or pay by cash at CoPharmacy. Payments via electronic (direct debit, credit card or EFT) are preferred as they are instant and will reflect on your account immediately unlike cash payments. Electronic payments can be setup by contacting our Accounts Department.
* Account can be kept in credit if so that payments may be infrequent yet still receiving monthly accounts.
* CoPharmacy do reserve the right to apply an Account Management (collection) Fee and in extreme cases where requests for payments have been ignored, in collaboration with Facility Managers, may suspend services until the account is made current.
CONTACTS:
Accounts Manager-
Phone 9am-3pm: (08) 9333 0106 or (08) 93330108
Email: [email protected]
Mail:
Accounts Department, 101 Norma Rd, Myaree, WA 6154
CO-PHARMACY ADMISSION NOTIFICATION
PLEASE PRINT INFORMATION CLEARLY. WHERE APPLICABLE, PLEASE TICK ( ) THE APPROPRIATE BOX.
RESPITE?
YES NO
IF YES UNTIL/ /
FACILITY:
WARD/AREA:
PATIENT NAME:
ROOM NUMBER:
SURNAME
CHRISTIAN NAME/S
DOCTOR:
DATE OF BIRTH:
ALLERGIES:
PHONE NUMBER:
PHARMACEUTICAL BENEFITS DETAILS Please tick ( ) appropriate box after sighting entitlement card. Note this must be complete for the correct entitlement and charging of patient medications.
PENSION / CONCESSION REPAT (GOLD)
REPAT (WHITE)
ENTITLEMENT (SAFETY NET) NONE
PBS ENTITLEMENT NO.
EXPIRY DATE / /
MEDICARE BENEFITS DETAILS Please provide an attached photocopy of the Medicare card
MEDICARE CARD NUMBER
-
-
-
(Note: the final digit refers to the Patient Ref. No. on Card)
EXPIRY DATE / /
PREVIOUS PHARMACY NAME
PRIVATE HEALTH COVER
To claim the gap on some pharmaceuticals resident must phone and confirm membership number and eligibility. Receipts for private scripts will be printed on request.
MEDICATION REVIEWS
As part of our pharmacy service, an accredited pharmacist may find this patient eligible for a comprehensive medication management review. Report findings are sent to their Doctor and Facility.
Does the patient consent to this?
YES
NO
PERSON RESPONSIBLE FOR ACCOUNT PAYMENT
NAME:
SURNAME:
CHRISTIAN NAME/S:
POSTAL ADDRESS:
CONTACT PHONE NUMBER:
I (Patient / Agent) declare that all information provided within this document to be true to the best of my knowledge. Should the provided information be incomplete or insufficient I authorise CoPharmacy to contact Medicare or relevant authorities to obtain the required information.
Maurice Zeffert Home has an arrangement with Co-Pharmacy who provide a full pharmaceutical service. Medication costs are billed directly to the resident by the pharmacy
CO-PHARMACY DIRECT DEBIT REQUEST (DDR)
CUSTOMER'S AUTHORITY:
NAME OF CUSTOMER/S GIVING THE DDR:
I/WE:
NAME OF DEBIT USER:
AUTHORISE AND REQUEST YOU CO-PHARMACY MYAREE APCA USER ID NUMBER 303956
to arrange for funds to be debited from my/our account at the financial institution identified below and as prescribed below through the Bulk Electronic Clearing System or to debit my/our account by any other means.
CLIENT'S NAME:
HOUSE NAME:
COPHARMACY ACCOUNT NUMBER:
This authorisation is to remain in force in accordance with the terms described in the Direct Debit Service Agreement.
CUSTOMER'S ADDRESS
RESIDENTIAL ADDRESS:
POSTCODE:
PHONE NUMBER: ( )
DETAILS OF THE ACCOUNT TO BE DEBITED
NAME AND ADDRESS OF THE FINANCIAL INSTITUTION AT WHICH YOUR ACCOUNT IS HELD
POSTCODE:
ACCOUNT NAME (please insert your name in full):
BSB NUMBER:
ACCOUNT NUMBER:
ABN/ARBN (if applicable)
BRANCH NAME :
DECLARATION(If in joint name/s both signatures may be required)
I/WE ALSO AUTHORISE THE FOLLOWING:
1. The Debit user to verify the details of the abovementioned account with my/our financial institution
2 . The financial institution to release information allowing the Debit User to verify the abovementioned account details.
SIGNATURE
DATE
SIGNATURE
DATE
Please Note Direct Debiting is not available on the full range of accounts, if in doubt please refer to your financial institution.
Maurice Zeffert Home has an arrangement with Co-Pharmacy who provide a full pharmaceutical service. Medication costs are billed directly to the resident by the pharmacy
CO-PHARMACY DIRECT DEBIT REQUEST (DDR)
Please ensure that you have read the following before sending in the Direct Debit Request. Please retain this page for your records.
* We may vary this agreement at any time giving you at least 14 days notice
* By signing a Direct Debit Request, you request us to arrange for funds to be debited from your account according to the agreement we have with you. The amounts drawn will be as due under your account with us.
* We will arrange for funds to be debited to your account.
a) as requested and authorised in the Direct Debit Request; and/or
b) according to any notice sent to you specifying the amount payable and the date the payment is due. The payment will be deducted from your nominated account on the 21st day of the month following the issue of your statement. If the payment date falls on a non-working day or public holiday, the payment will be processed on the next working day.
* It is your responsibility to ensure that you have sufficient funds in the nominated account(s) when the payments are to be drawn. If you do not have sufficient funds, the transaction will be rejected and a dishonour fee may be charged to your account. We treat the payment as if it were never made.
* You should be aware that :
a) Direct Debiting through Bulk Electronic Clearing System is not available on all accounts
b) Account details should be checked against a recent statement from your financial institution. If you are in doubt, you should check with your financial institution before completing the Direct Debit Request; and
c) it is your responsibility to advise us if your nominated account is altered, transferred or closed
* If you believe there has been an error in debiting your account you should contact us on (08) 9333 0106 during business hours as soon as possible so that we can resolve your query quickly
* Your records and account details will be kept private and confidential and will only be disclosed at your request or at the request of the financial institution in connection with a claim made to an alleged incorrect or wrongful debit, or otherwise as required by law.
* For all matters relating to the Direct Debit arrangement on your account, including requests for deferment of debits, alteration of debit arrangements or stopping or cancelling your Direct Debit request, please call us on (08) 9333 0106 between 9am - 3pm, Monday to Friday.
David, Gita and Michael Hoffman Nursing Home Toby and Maurice Zeffert Special Care Centre Carl and Sadie Cohen Hostel Sir Zelman and Lady Cowan Retirement Village Sydney Crownson-Cohen Home Units
119 Cresswell Road, Dianella WA 6059 Phone 9375 4600 Fax 9276 1250 Email: [email protected]
PRIVACY CONSENT FORM
The Maurice Zeffert Home (Inc) requires your authorisation in order to collect your personal information.
Your consent is to protect your rights and prevent confidential information breaches.
The Maurice Zeffert Home (Inc) Privacy Statement and Policy explains the circumstances and conditions of your consent. Further information and explanation is available on request.
I
HEREBY AUTHORISE THE COLLECTION OF PERSONAL INFORMATION
ABOUT
* I have received the Privacy Statement and Policy and have been given opportunity to ask questions.
* My questions have been answered to my satisfaction.
* I understand that I can ask further questions at any time.
RELATIONSHIP TO RESIDENT
PRIVACY STATEMENT
Maurice Zeffert Home acknowledges and respects the privacy of individuals. We support and are committed to complying with the Australian Privacy Principles and Guidelines endorsed by the Office of the Australian Information Commissioner.
information about our services (including new services being offered by us), changes to our organisation, or any benefits that we are made aware of that in good faith we believe may be a benefit to you as a person.
Any personal information we collect about you will only be used for the purposes we have collected it or as allowed under the law.
Types of Information
When we refer to personal information, this can broadly be defined as information that identifies your person. This can include demographic information such as full name, date of birth and address. It can also include sensitive information that may refer to matters relating to health (such as health history, health practitioners, social circumstances, next of kin details; or matters relating to finances (Centrelink or DVA assessments, direct debit details).
Government Related Identifiers
If we collect government identifiers, such as your tax file number or Medicare number, we do not use or disclose this information other than authorised by law.
Why we Collect your Personal Information
We collect personal information for the purposes of:
* Providing quality health or aged care services to you;
* Administering and managing those services;
* Managing our relationship as an approved provider with you as a consumer;
* Assisting your treating health professionals or carers in providing care to you at our facilities or in the community;
* Internal administrative requirements, including information required by our insurers, legal representatives, and bodies related to accreditation; and
* Developing our services through quality review such as clinical audit, planning, and evaluation.
We do not collect your personal information for the purposes of direct marketing and will not offer you other products and services outside the scope of our purpose as an approved provider of residential care, day therapy, or retirement living.
How do we Collect your Personal Information?
Wherever possible and practicable we will collect personal information directly from you and your family/ responsible person. This may happen before admission to our services; at admission; and ongoing while you receive residential care, day therapy, or retirement living provided by us.
We may also collect personal information from health professionals, government departments and agencies, or your family/responsible person. We may also collect information from bona fide third parties who provide services to you.
Why Maurice Zeffert Home may Disclose your Personal Information
For sole purpose of providing quality services to you, there will be times when we will need to disclose your personal information to third parties. These third parties may include:
* Health professionals;
* Our service contractors where such information is essential for provision of care and services;
* State and Commonwealth departments; and
* Your representatives including family, responsible persons, guardians or administrators.
Before any disclosure of personal information to another person or organisation, Maurice Zeffert Home will take all reasonable steps to satisfy our needs that:
* The other person or organisation has a commitment to protecting your personal information which as a minimum is equal to our policy; or
*
You have consented to us making the disclosure.
All information that we have stored is on our IT server and offsite and not stored outside Australia.
Marketing
We will not provide your information to third parties for direct marketing. However, we may use your information to provide you with current
If you do not wish to receive such information, you may at anytime decline to receive such by telephoning us on (08) 9375 4600, by emailing us at [email protected],or by writing to us at 119 Cresswell Road Dianella 6059. We are committed to take all reasonable steps to meet your request at the earliest possible opportunity.
Updating Your Personal Information
It is important that any personal information we hold about you is accurate and up to date. During our relationship of providing services or accommodation, we may ask you to inform us if any of your personal information has changed. We may ask you to inform us of any errors relating to personal information and to keep us informed of any changes relating to personal information.
You may contact us at any time if you wish to make changes to your personal information, as we may rely on you to ensure the information we hold is accurate and /or complete.
Access to Personal Information
We are committed to providing you with access to personal information we hold about you at any time and we will take all reasonable steps to respond within five working days. We aim to respond immediately where we can, however we may need to contact other people or organisations to properly respond to your request.
Please note that we are not required to provide you with access to your personal information in certain circumstances. These include where the information relates to existing or reasonably anticipated legal proceedings or if such request is vexatious. If access is denied, you will be informed why that has occurred.
Correction of Personal Information
If any of the personal information we hold about you is incorrect, inaccurate or out of date you should request that we correct the information. Where possible, we will correct the personal information immediately, although we may require five working days where we need to consult other people or organisations to properly respond to your request.
If for any reason we refuse to correct personal information, you will be informed as to our reasons for not correcting the information.
Safety and Security of Personal Information Held
We may store your personal information in paper and electronic form. Maurice Zeffert Home takes reasonable steps t protect your personal information by storing it in a secure environment. We also ensure we take reasonable steps to protect any personal information from misuse, loss and unauthorised access, modification or disclosure.
Complaints and Feedback
All service users have a right to complain about the service they are receiving without fear of retribution, and can expect complaints to be dealt with fairly, promptly and confidentially by Management.
If you are dissatisfied with how we have dealt with your personal information, you may contact our Chief Executive Officer on (08) 9375 4600, by emailing [email protected] or by writing to:
119 Cresswell Road Dianella WA 6059.
Maurice Zeffert Home will acknowledge your complaint within seven days and provide a decision or feedback on your complaint within 30 days.
If you are dissatisfied with our internal response, you may make a complaint to the Privacy Commissioner who can be contacted via the Office of the Australian Information Commissioner website (www.oaic.gov.au) or on 1300 363 992.
Further Information
You may request further information about the way we manage your personal information by contacting us.
David, Gita and Michael Hoffman Nursing Home Toby and Maurice Zeffert Special Care Centre Carl and Sadie Cohen Hostel Sir Zelman and Lady Cowan Retirement Village Sydney Crownson-Cohen Home Units
119 Cresswell Road, Dianella WA 6059 Phone 9375 4600 Fax 9276 1250 Email: [email protected]
ENDURING AUTHORITY TO PUBLISH
I
GIVE MY PERMISSION FOR PHOTOS OF
attending activities at the Maurice Zeffert Home (Inc) and information and photos in the resident profiles to be used for MZH internal documents, the Maccabean, other Jewish publications and on the Home's website.
If there are any changes to be made to this enduring authority, I will notify the Executive Care Manager in writing.
SIGNED
DATE
RELATIONSHIP TO RESIDENT
THIS PAGE HAS BEEN LEFT BLANK INTENTIONALLY
David, Gita and Michael Hoffman Nursing Home Toby and Maurice Zeffert Special Care Centre Carl and Sadie Cohen Hostel Sir Zelman and Lady Cowan Retirement Village Sydney Crownson-Cohen Home Units
119 Cresswell Road, Dianella WA 6059 Phone 9375 4600 Fax 9276 1250 Email: [email protected]
DIRECT DEBIT REQUEST
CUSTOMERS' AUTHORITY:
NAME OF CUSTOMER(S) GIVING THE DDR:
I/WE:
APCA USER ID NUMBER 301500
AUTHORISE YOU MAURICE ZEFFERT HOME (INC):
to arrange for funds to be debited from my/our account at the financial institution identified below and as prescribed below through the Bulk Electronic Clearing System (BECS).
This authorisation is to remain in force in accordance with the terms described in the RESIDENTIAL CARE AGREEMENT
SIGNATURE:
DATE: / /
SIGNATURE:
DATE: / /
DETAILS OF THE ACCOUNT TO BE DEBITED (ALL DETAILS MUST BE SUPPLIED)
NAME OF THE FINANCIAL INSTITUTION:
BRANCH NAME:
ACCOUNT NAME:
BSB NUMBER:
ACCOUNT NUMBER:
PAYMENT DETAILS
THE PAYMENT IS FOR RESIDENTIAL CARE FEES PER MONTHLY ACCOUNT
IDENTIFIED BY NUMBER:
PLEASE TICK I/WE REQUEST THAT YOU DEBIT MY/OUR ACCOUNT IN ACCORDANCE WITH OUR AGREEMENT
(RESIDENTIAL CARE AGREEMENT AND MONTHLY ACCOUNT)
DIRECT DEBIT REQUEST
DIRECT DEBIT REQUEST SERVICE AGREEMENT
1. The Customer will be advised 14 days in advance of any changes to the Direct Debit arrangements;
2. For all matters relating to the Direct Debit arrangements, the Customer will need to send written correspondence to the address 119 Cresswell Road, Dianella WA 6059 outlining the request/issue and allow for 14 days for the amendments to take effect.
3. The Customer should be aware that:
a Direct debiting through BECS is not available on all accounts; and
b
Account details should be checked against a recent statement from its Financial Institution.
If you are in any doubt, you should check with your Financial Institution before completing the drawing authority.
4. It is your responsibility to ensure sufficient cleared funds are in the nominated debiting account when the payments are to be drawn.
5. If the due date for payment falls on a non-working day or public holiday, the payment will be processed on the previous working day. If the Customer is in any doubt, please refer to the Point 3 for further clarifications.
6. For returned unpaid transactions, the following procedures or policy will apply: We shall proceed to reapply for the funds one week later.
7.
Fees and charges:
Any fees incurred from the bank for unpaid transactions will be reclaimed from your account.
8. All Customer records and account details will be kept private and confidential to be disclosed only on the request of the Customer or Financial Institution in connection with a claim made to an alleged incorrect or wrongful debit.
I/We authorise the following:
1. The Debit User to verify the details of the abovementioned account with my/our Financial Institution
2. The Financial Institution to release information allowing the Debit User to verify the abovementioned account details.
SIGNED BY THE CUSTOMER(S)
David, Gita and Michael Hoffman Nursing Home Toby and Maurice Zeffert Special Care Centre Carl and Sadie Cohen Hostel Sir Zelman and Lady Cowan Retirement Village Sydney Crownson-Cohen Home Units
119 Cresswell Road, Dianella WA 6059 Phone 9375 4600 Fax 9276 1250 Email: [email protected]
OPTION NOT TO PROVIDE
CENTRELINK OR DEPARTMENT OF VETERANS' AFFAIRS (DVA) INCOME AND ASSET ASSESSMENT
The Aged Care Act (1997) permits aged care facilities to charge accommodation payments providing an individual is left with a minimum of 2.5 times the annual Australian aged pension.
Centrelink or the Department of Veterans' Affairs (DVA) will assess a resident's income and assets on behalf of the Department of Health and Ageing, even if the resident does not receive a pension.
Having an Income and Assets Assessment is not compulsory. However, it is a requirement of entry to Maurice Zeffert Home (Inc) that either a Centrelink or DVA Income and Assets Assessment or the "Option Not to Provide" is provided at the time of application.
By electing to complete the "Option Not to Provide" you are confirming that you have sufficient funds to be charged the maximum Residential Fees including the maximum Accommodation Payment and Means Tested Care Fees.
I (FULL NAME):
CONFIRM THAT I DO NOT WISH TO PROVIDE AN INCOME AND ASSET ASSESSMENT FROM CENTRELINK OR DEPARTMENT OF VETERANS' AFFAIRS (DVA).
I understand that by choosing not to undertake an income and assets assessment I am not eligible to receive government assistance with accommodation costs and that I will pay the maximum rate of accommodation payments and means tested care fees.
APPLICANT OR *POA SIGNATURE:
DATE: / /
APPLICANT ADDRESS:
POST CODE.
* If signing under Power of Attorney please ensure a copy of Power Of Attorney or Enduring Power Of Attorney is provided
THIS PAGE HAS BEEN LEFT BLANK INTENTIONALLY
www.mzh.org.au
|
<urn:uuid:237e4e9a-1de2-40c2-8ef6-d2a1ce52f24e>
|
CC-MAIN-2019-04
|
https://www.mzh.org.au/wp-content/uploads/2016/10/MZH-Admissions-NEW-proof-final-print-19.10.16.pdf
|
2019-01-19T19:07:53Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-04/segments/1547583680452.20/warc/CC-MAIN-20190119180834-20190119202834-00604.warc.gz
| 875,900,669
| 8,178
|
eng_Latn
|
eng_Latn
| 0.580706
|
eng_Latn
| 0.969351
|
[
"eng_Latn",
"dan_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"dan_Latn",
"nld_Latn",
"eng_Latn",
"eng_Latn",
"dag_Latn",
"pol_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"unknown"
] | false
|
rolmOCR
|
[
124,
664,
2016,
3275,
4249,
4949,
5634,
6514,
8131,
8585,
9082,
9391,
15423,
17150,
18739,
21336,
22331,
29637,
30366,
30411,
31659,
33540,
35406,
35451,
35467
] |
UEFA UNDER-19 NATIONAL TEAM COEFFICIENTS Calculation for the 2017/18 elite round
2017/18 qualifying round results
| No. | Country | | Pts | M | Coeff. | F | A | GD | DP | CP |
|---|---|---|---|---|---|---|---|---|---|---|
| 1. 2. 3. 4. 5. 6. 7. | Spain Portugal Germany Czech Republic Romania Denmark FYR Macedonia | Seeded Seeded Winners Winners Winners Winners Winners | 9 9 9 9 9 | 3 3 3 3 3 | 3.000 3.000 3.000 3.000 3.000 | 14 11 12 11 10 | 2 0 2 3 2 | 12 11 10 8 8 | | |
| 8. 9. 10. 11. 12. 13. 14. | England Italy Ukraine Austria France Republic of Ireland Netherlands | Winners Winners Winners Winners Winners Winners Winners | 9 9 9 9 7 7 7 | 3 3 3 3 3 3 3 | 3.000 3.000 3.000 3.000 2.333 2.333 2.333 | 9 9 7 5 10 7 7 | 1 3 1 0 2 1 2 | 8 6 6 5 8 6 5 | | |
| 15. 16. 17. 18. 19. 20. 21. | Slovakia Norway Sweden Greece Belgium Hungary Turkey | Winners Runners-up Runners-up Runners-up Runners-up Runners-up Runners-up | 7 6 6 6 6 6 6 | 3 3 3 3 3 3 3 | 2.333 2.000 2.000 2.000 2.000 2.000 2.000 | 5 11 9 8 9 7 7 | 3 3 3 3 5 4 4 | 2 8 6 5 4 3 3 | 6 11 | |
| 22. 23. 24. 25. 26. 27. 28. | Serbia Kosovo Poland Bulgaria Bosnia-Herzegovina Latvia Scotland | Runners-up Runners-up Runners-up Runners-up Runners-up Runners-up Runners-up | 6 6 6 6 6 4 4 | 3 3 3 3 3 3 3 | 2.000 2.000 2.000 2.000 2.000 1.333 1.333 | 6 5 5 4 4 5 6 | 3 2 3 2 3 2 5 | 3 3 2 2 1 3 1 | | |
Legend:
Pts = Points; M = Matches; F = For (goal); A = Against (goal); GD = Goal difference;
DP = Disciplinary points; CP = 2017/18 qualifying round coefficient
Calculation:
Only team's results in the qualifying round 2017/18 have been taken into consideration
Victory = 3 points; Draw = 1 point; Defeat = 0 points
No bonus points
Equal on points:
1) better goal difference;
2) higher number of goals scored;
3) lower number of disciplinary points
4) coefficients used for the 2017/18 qualifying round;
5) drawing of lots.
|
<urn:uuid:88beeb7d-e728-4e9e-9f91-64a67c5367b3>
|
CC-MAIN-2019-09
|
https://es.uefa.com/MultimediaFiles/Download/competitions/Draws/02/51/88/62/2518862_DOWNLOAD.pdf
|
2019-02-21T16:01:26Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247505838.65/warc/CC-MAIN-20190221152543-20190221174543-00387.warc.gz
| 559,469,072
| 827
|
eng_Latn
|
eng_Latn
| 0.536248
|
eng_Latn
| 0.536248
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
1909
] |
Article 74
Quality World Mindfulness: A Counseling Technique Designed for Members of the Community Ex-Offender Population
This paper is based on a program presented at the 2015 American Counseling Association Annual Conference, March 15, 2015, Orlando, FL.
Mark B. Scholl
Scholl, Mark B., is an associate professor at Wake Forest University. He is a past president of the Association for Humanistic Counseling and a past editor of The Journal of Humanistic Counseling. For the past 4 years he has been providing career development services to individuals who are members of the community ex-offender population in the state of North Carolina.
Abstract
The author introduces an original technique designed for use within the context of a career development workshop series for community ex-offenders. The technique blends mindfulness practices and William Glasser's quality world construct. Through the use of a case example, he illustrates the technique's potential for enhancing a client's sense of safety, comfort with personal selfdisclosure, and self-acceptance with regard to details including drug addiction and incarceration. The author presents recommendations, limitations, and directions for future research.
Keywords: career counseling, community ex-offender, mindfulness, choice theory, quality world
Over 30 years of harsh criminal justice policies in the United States have produced a large population of ex-offenders who struggle to find work in spite of the fact that they have paid their debts to society (Barber, 2010). According to one published report (Schmitt & Warner, 2011), in 2008 there were between 12 million and 14 million ex-offenders of federal working age (i.e., at least 16 years old) in the United States. In the same year, about one in 17 men of federal working age was an ex-prisoner (Schmitt, Warner, & Gupta, 2010). Ex-offenders who are unable to secure work find it challenging to desist from repeating prior criminal activities and, as a result, may fail to reintegrate into society. Within five years of release from a state prison, approximately 67% of exoffenders return to prison (Cooper, Durose, & Snyder, 2014). For this reason, the current author designed and implemented a four-workshop career development series to promote the career development of community ex-offenders in Forsyth County, North Carolina.
Developmental Needs of Ex-Offenders
Relative to the general population, ex-offenders as a group tend to be less welleducated and less skilled (Substance Abuse and Mental Health Services Administration [SAMHSA], 2000). Unlike individuals on the outside who are usually rewarded for demonstrating initiative, incarcerated individuals are rewarded for compliance. Consequently, ex-offenders commonly need assistance from a career development professional in order to become more autonomous and proactive in their efforts to secure gainful employment. Career development is positively associated with desistance or a cease in the performance of illegal behaviors (Devers, 2011; Laub & Sampson, 2001). Stable employment is one of the most robust predictors of post-release reintegration into society (Varghese & Cummings, 2012).
Psychological Characteristics of Ex-Offenders
Ex-offender status is significantly associated with forms of mental illness, including substance abuse, depression, and feelings of hopelessness (Varghese, Fitzgerald, Chronister, Cummings, & Forrest, 2013). Ex-offenders commonly have experienced abuse or neglect from primary caregivers (SAMHSA, 2000) and may have been traumatized. The incarceration experience, which frequently includes exposure to violence, can re-traumatize individuals with a history of trauma (DeVeaux, 2013). Symptoms of trauma due to incarceration include emotional numbing, hyperarousal, panic attacks, and inability to trust others (Liem & Kunst, 2013). These symptoms can negatively affect ex-offender career entry skill development and employability.
Promoting the career development of community ex-offenders arguably promotes the overall mental health of workshop series completers. Employment has been reported to be one of the most reliable predictors of several factors, including desistance from criminal behavior (e.g., illegal drug use), development of more positive and supportive relationships, and lower rates of recidivism (Varghese et al., 2013). As a result, provision of a career development intervention can potentially increase participants' resilience, defined by Lewis (2012) as "the human capacity to spring back from risk posed by adversity and the ability to take actions to navigate satisfying life trajectories" (p. 191).
Statement of Purpose
The purpose of this article is to introduce an original intervention that I have found to be effective in my work with community ex-offenders. First, I will discuss the background literature on mindfulness approaches, including evidence of their effectiveness. Second, I will discuss reality therapy, choice theory, and the "quality world" construct. Third, I will discuss the career development workshop series that is the context for the career intervention. Next, I will describe the Quality World Mindfulness intervention, including its application to a client. Finally, I will discuss my recommendations for using this technique, including limitations and future directions for research.
Mindfulness
Definitions. Basic definitions of mindfulness, as cited by Ie, Ngnoumen, and Langer (2014a), include "moment-by-moment awareness" (Germer, Siegel, & Fulton, 2005, p. 6), "keeping one's consciousness alive to the present reality" (Hanh, 1976, p. 11), "a form of self-regulation of attention" (Hassed, 2013, p. 113), "paying attention with purpose, nonjudgmentally, and while in the present moment" (Bishop et al., 2004, p. 230), and "complete attention to one's experience on a moment-to-moment basis" (Marlatt & Kristeller, 1999, p. 68). Murdock (2013) defined mindfulness as "deliberately paying attention to your experience" (p. 526). Curiosity or appreciation of novelty is a quality essential to most conceptions of mindfulness.
Mindfulness scholars (Baer & Krietemeyer, 2006) have asserted that mindfulness entails five primary elements: (1) observing one's inner emotions, (2) acting with hereand-now awareness, (3) nonjudging awareness of one's inner experience, (4) describing or putting one's beliefs, expectations, and opinions into words, and (5) nonreactivity, which denotes the ability to maintain here-and-now awareness of one's inner experience without becoming lost, overwhelmed, or reacting immediately. Nonreactivity denotes the ability to remain calm and aware at the same, even in the face of intense emotional experiences. Baer and Krietemeyer (2006) asserted that all five elements also reflect capacities that can be learned or developed with practice. The Quality World Mindfulness technique promotes these five mindfulness qualities in clients.
History. Mindfulness originated with Buddhism, Hinduism, and other Eastern spiritual traditions (Hick, 2008; Ie et al., 2014a; Shapiro & Carlson, 2009). The Eastern approaches to mindfulness are meditative and emphasize nonjudgmental here-and-now awareness of one's self and experience. (Bhikkhu, 2007). These approaches to mindfulness have undergone numerous transformations following their introduction into Western culture. Western conceptions of mindfulness emerged around the 1970s. The Western conception was significantly influenced by Ellen Langer's seminal body of work, which includes numerous publications on mindfulness and choice (i.e., Alexander, Langer, Newman, Chandler, & Davies, 1989; Langer, 1992; Langer, Beck, JanoffBulman, & Timko, 1984; Langer, Blank, & Chanowitz, 1978; Langer & Moldoveanu, 2000). Whereas Eastern mindfulness practices are rooted in meditation, Western mindfulness practices foster a heightened sense of awareness through remaining open to novel information and forming new categories out of one's experience (Ie et al., 2014a).
Applications. Langer studied the potential benefits of mindfulness in a broad range of areas, including mental and physical health, quality of interpersonal relationships, and creativity (Ie, Ngoumen, & Langer, 2014b). Langer's groundbreaking experiments (Langer, Heffernan, & Kiester, 1988; Langer, Janis, & Wolfer, 1975; Langer & Rodin, 1976) demonstrated the effectiveness of mindfulness for reducing stress and improving sense of well-being. Incorporation of mindfulness into broader systems of treatment suggest that it improves conditions, including trauma (Folette, Palm, & Pearson, 2006), depression (Hoffman, Sawyer, Witt, & Oh, 2010; Segal, Williams, & Teasdale, 2002), anxiety (Hoffman et al., 2010), and addiction relapse (Vallejo & Amaro, 2009). These conditions are all commonly experienced by members of the ex-offender population, including a majority of the clients who participate in our career development workshops.
An individual can be fully present with her or himself or can be fully present with others. Mindfulness enables us to have self-empathy and self-compassion, and, when used in the context of a relationship, mindfulness enables us to have empathy and compassion for others (Germer et al., 2005; Siegel, 2010). Research indicates that mindfulness meditation can be used to teach or train individuals to have a more mindful outlook, contributing to other positive qualities such as optimism, happiness, or hopefulness (Davidson & Scherer, 2001).
The Quality World Construct
Reality therapy and choice theory. The quality world construct is an integral part of William Glasser's reality therapy (Glasser, 1965). Each individual creates and recreates their quality world beginning shortly after birth (Glasser, 1998). The individual's quality world contains a set of specific mental images representing ways they can meet their basic needs. Reality therapy resulted from Glasser's experiences during his psychiatric residency in which he served as a consultant to the Ventura School, a state institution for girls with emotional and behavioral problems (Murdock, 2013). As described by Glasser, reality therapy principles (e.g., do not use punishment, nurture relationships) were the basis for the principles guiding the practices of the Ventura School.
Constructivist elements. Reality therapy contains distinct constructivist elements. For example, it emphasizes the role of the individual in constructing their quality world (Murdock, 2013). Glasser believed that individuals always control what is included in their quality worlds, and they are clearly in control of their behaviors. The conceptual foundation of reality therapy is choice theory (Glasser, 1998, 2000). Glasser (1998) asserted that "we choose everything we do, including the misery we feel" (p. 3). According to choice theory (1998; pp. 332–335) we cannot control other people, and no one can control us. We are driven by five genetic needs: survival, love and belonging, power, freedom, and fun. We can satisfy those needs only by satisfying the pictures in our quality worlds. Glasser (2000) asserted, "Our quality world is the core of our lives because it is our direct motivation—where we always look when we are frustrated. If there is no picture to satisfy a need, we must try to create one" (p. 79).
Applications. A number of diverse individuals (cultural minorities, women, LGBTQIA individuals, and other groups) may perceive "the environment" (meaning the external world as they have perceived it across their entire lives) as oppressive and operating according to what William Glasser termed "external control psychology." Exploring a client's quality world—relationships, things, and beliefs or belief systems that meet their needs (i.e., survival, love and belonging, fun, power, and freedom)—can show respect and support for a client's "internal control." Clients really appreciate the concept of quality world as it communicates that they have control, including the ability to add new possibilities to their quality world (e.g., to open up foreclosed decisions) and to remove items (e.g., alcohol) that are not serving their needs. This constructivist, strength-based approach potentially contributes to a client's sense of empowerment.
In the author's experience, the use of the quality world concept with ex-offenders, including those who are addicted to alcohol and drugs, is an apt match. Glasser (2000) observed that the people, things, and ideas people put into their quality worlds are not selected because they are good or moral. Individuals put criminal behavior and substance abuse into their quality worlds because they represent an attempt to meet their basic needs (e.g., fun, power, love and belonging) in absence of healthier options (e.g., relationships). Sometimes items selected to meet one basic need (e.g., fun) pose a threat to another basic need (e.g., freedom), as occurs when an individual becomes incarcerated for illegal drug use.
Individuals, over the course of their lives, are continually revising their quality worlds in an effort to feel better. According to Glasser (2000), it is more difficult to remove something from one's quality world than it is to add something. He added that it is easier to remove an image when it is simultaneously replaced with an alternative image. The Quality World Mindfulness intervention facilitates the community exoffender's awareness of items that are currently in their quality world. Further, during the activity and subsequent discussion, clients consider the relative value of the things, people, and beliefs in their quality worlds. Which ones are meeting their basic needs? Which ones are limiting or pose barriers? Which things, people, activities, or beliefs might be removed, and what alternative images might replace them?
Rationale for Integrating Mindfulness and Quality World
Choice theory and mindfulness practice are highly compatible as both emphasize the personal agency of the individual. Choice theory and the quality world construct entail the notion that individuals are the architects of a personal world and only they can choose what images are included in that world. However, from the perspective of mindfulness practice, ex-offenders are frequently less aware of their personal agency. Images they have selected for their quality world may have outlived their usefulness, and they may be operating as if on automatic pilot. Mindfulness is the antithesis of operating on automatic pilot, facilitating here-and-now awareness of one's quality world, including feelings and opinions regarding the images included in that world. Mindfulness has been proven effective for relapse prevention (Vallejo & Amaro, 2009). It promotes intentionality and empowers clients to critically examine the images that are in their quality world. These are the images that motivate behavior. Finally, the discussion of their quality world with a counselor and a group of supportive peers empowers clients to decide to make changes that will motivate them to lead more satisfying and rewarding lives.
New Leaf Career Development
Need and Rationale
A criminal record can pose a serious obstacle for a member of the ex-offender population who is seeking employment. Prison records and felony convictions greatly reduce an individual's chances of finding employment (Barber, 2010). A number of authors have affirmed the need and benefits of applying career counseling principles to promote development among members of the ex-offender population (Brown, Lent, & Knoll, 2013; McWhirter, 2013; Morgan, 2000). A key argument for the provision of career support services is the finding that career development and having stable employment are both, as previously mentioned, positive predictors of desistance from criminal behavior (Devers, 2011; Varghese & Cummings, 2012).
Background
The workshop series evolved from an earlier career support group, originally offered in the fall of 2012 at the Department of Public Safety in Washington, North Carolina. The career support group included the same session topics and consisted of approximately six 90-minute sessions. The workshop series presented here was first offered in November of 2014 in Winston-Salem, North Carolina, through a partnership with the Forsyth County Public Library. The series and other related services (e.g., community advocacy) are collectively referred to as New Leaf Career Development for branding purposes. The series began and continues to be offered in a community room located in the public library.
Theoretical Foundations
The workshop series is based on an assimilative integrative model. This integrative model is primarily grounded in solution-focused therapy's (de Shazer, 1994) belief in the power of language to create reality. With regard to the actual practice of therapy, we have adopted some of the important assumptions of solution-focused therapy (O'Hanlon & Weiner-Davis, 2003), including the assumption that there are a variety of different views of a situation that are valid, and it is important to adopt a view (i.e., a solution-oriented view) that is more helpful or more likely to contribute to positive change. Views that are problem-oriented are less helpful as they are less likely to bring about positive change. Thus, solution-focused therapy serves as the primary theoretical orientation in our model, and additional theoretical orientations are integrated with this primary theoretical perspective.
One of these theoretical perspectives is narrative therapy. This perspective is highly compatible with solution-focused therapy as it is also based on a postmodern perspective. Practitioners of narrative therapy encourage individuals to question and challenge dominant narratives that are stigmatizing or pathologizing. In the words of Doan (1998): "Narrative therapy concerns itself with the deliverance of clients from the weights of oppressive and totalizing stories via liberating the client's voice and preferences" (p. 219). For this reason, the techniques and practices in our workshop series emphasize the development of positive, strength-based alternative narratives (e.g., the individual learned from his or her mistakes), which run counter to the dominant narratives (e.g., the ex-offender is a "bad apple"), emphasizing the past and limitations of ex-offenders.
In addition, the integrative model incorporates social cognitive career theory (Lent, Brown, & Hackett, 1994). Our workshops necessarily include modernist elements emphasizing social conventions associated with appropriate behaviors and practices more likely to lead to gainful employment. For example, there are social norms for specific behaviors, such as characteristics of a good handshake, appropriate attire, and information that is appropriate and inappropriate to disclose when answering the question "Tell me about yourself" in an employment interview. Reflective of this theoretical perspective, our intervention includes exercises in which facilitators model appropriate interview behaviors as well as provide constructive feedback pertaining to mock interview performance and how to write a good resume. This approach, like narrative therapy, stresses the importance of emphasizing one's strengths throughout the job search process and, as a result, complements narrative therapy's emphasis on constructing useful alternative narratives.
Description of the Program and Topics
The New Leaf program primarily consists of a four workshop career support series designed to address the career development needs of community ex-offenders (Scholl, 2015; Scholl, Perry, Calhoun, & Robinson, 2016). General topics covered by the four workshops include: assessment, resume writing, interviewing skills, and job search strategies. Each workshop is two hours long, and all four are offered over a six-week time period. The participants in the workshops are all ex-offenders. Workshops range from three to seven participants in size. Participation in the workshop series, or the earlier career support group, is and has always been entirely voluntary. Ex-offenders who qualify for participation are required to be clean and sober, take prescribed psychotropic medications, speak and write fluent English, and be either unemployed or underemployed. Some methods of instruction, compatible with a social cognitive and strengths-based approach, include role modeling, role play, written exercises, transferable skills assessment, peer feedback, and goal identification and planning.
Workshop 1—Assessment. The assessment workshop begins with a guided discussion of participants' metaphors representing how they relate to the future (Gelatt, 1991; Kaufman, 1976). Second, participants identify and discuss their potential future selves (Markus & Nurius, 1986). This activity requires participants to name and rank order three preferred future selves. Third, reflecting the strength-based philosophy of our program, participants complete a transferable skills inventory. The facilitators emphasize that motivating transferable skills are those they are both good at and enjoy using. They deconstruct their preferred future selves and compare them to the motivating transferable skills they selected. Last, the facilitator introduces the Quality World Mindfulness technique, which will be discussed in detail in subsequent sections.
Workshop 2—Resume Writing. In the second workshop, we offer a postmodern approach to resume writing. The workshop participants once again describe their "preferred future self," followed by the identification of characteristics (e.g., transferable skills) that are consistent with the future self. Participants then review past and present work-related activities including volunteer and community work they have performed. They are provided with model resumes and a resume worksheet which they use as a guide in composing their resumes.
Workshop 3—Interviewing Skills. Employers are impressed by strengths that are supported by compelling narratives. In this workshop, the facilitators employ the acronym STAR (Situation/Task/Action/Result) as a form of scaffolding to assist clients in crafting compelling narratives to effectively communicate their strengths to employers. Workshop attendees prepare and share narratives illustrating at least three of their strengths.
Workshop 4—Job Search Strategies. This workshop includes a list of 22 principles for job search success as well as a list of tips for completing application forms (Krannich & Krannich, 2005). Consistent with a strengths-based perspective, the facilitators are careful to present the principles and tips in a manner that is positively worded, emphasizing prosocial, competent, and appropriate behaviors and strategies. In addition to conventional strategies, the workshop includes several strategies that represent thinking outside of the box.
Quality World Mindfulness Technique
In my work with a recent group of three participants completing the workshop series together, I introduced the Quality World Mindfulness technique as the final component of the first workshop on assessment. I introduced the technique at this time for several reasons. First, I wanted to promote the clients' awareness of the people, things, and beliefs in their quality worlds. Second, I wanted to promote their awareness of the fact that these images are powerful motivators. Third, I wanted to emphasize early on that the participants have complete control over the images they decide to include in their quality worlds. Last, I encouraged them to critically evaluate and continually revise their quality world in an attempt to construct a personal quality world representing the ideal ways in which they preferred to meet their needs.
I then reintroduced the Quality World Mindfulness technique at the end of the final Job Search Strategies workshop. A primary reason for this timing was because the technique is a useful and meaningful way of exploring significant changes participants have made with regard to the images they find meaningful and motivating. In addition, this timing is excellent for inviting participants to articulate their goals (e.g., substituting an image such as drug use for a new satisfying image such as a good relationship). Last, the technique stimulates a deepening of the discussion regarding how participants have grown over the course of the workshop series, and their long-term goals and plans.
Procedure and Script
The technique begins with a mindfulness exercise emphasizing here-and-now body awareness and muscle relaxation. After progressively directing each participant to focus on various part of the body (legs, back, shoulders), the script then directs participants to pay attention to their senses (touch, hearing, taste) and simply notice corresponding sensations for a moment. Next, the script instructs participants to pay attention to their breathing in order to promote mindfulness in the present. Participants are told that thoughts will inevitably arise, to notice them, set them aside, and return to focusing on their breathing. Then they are instructed to focus on their breath (e.g., entering and leaving their nostrils or mouth) for about one minute. Scripts facilitating mindfulness based on breath awareness can be obtained from a variety of sources (e.g., Kabat-Zinn, 2009). This phase, based on mindfulness centered on breath awareness, requires about three or four minutes to complete.
Typically, a facilitator then instructs the participants to shift their attention to their surrounding environment and open their eyes. However, for this intervention, rather than doing this, the facilitator next introduces the concept of the quality world using the following script developed by the author and based on Glasser's (1998) concept.
Your quality world is a set of mental images of people, things, activities and beliefs that fulfill your needs. Because they satisfy your needs, these images and the real life objects they represent, make you feel good. Images in your quality world are people you want to be with and things, beliefs, and experiences that make you feel good.
1. Take a minute and visualize your quality world. The mental images you select are the people, things, beliefs, and activities that help you fulfill your needs for love and belonging, power, fun, freedom, and survival. Include existing people, things, beliefs, and activities as well as desired people, things, beliefs, and activities. Include work-related images if you like.
2. Be sure and include an image corresponding to all objects in your life that are required to meet your wants and needs.
3. You have the freedom to choose the images of things, people, beliefs, and activities that fulfill your needs and belong in your quality world. Have there been any recent changes in images in your quality world? That is, have any things, people, activities, or beliefs been recently added or removed? Take a moment now and mentally take inventory of the images in your quality world.
Take just a while longer and visualize your quality world for maybe half a minute, and note any significant changes you've made, any surprises, or new realizations. Now, expand your awareness outside of your body, to the sensations coming from sounds and lights in the room. Sense the world around you as you feel your body again in your chair, and open your eyes when you are ready to return to the room.
Process Questions
Sometimes during mindfulness activities individuals use the activity to dissociate from their real lives. Processing the activity increases the likelihood that participants will use mindfulness in a manner that is related to their real lives and allows them to incorporate the experience.
1. What were your general impressions of this activity?
2. What images in your quality world are currently meeting your needs for survival, love and belonging, freedom, power, or fun?
3. Which images/objects are limiting or pose barriers to meeting your needs?
4. Which things, people, activities or beliefs have you removed or might you consider removing from your quality world?
5. What new objects have you recently added to your quality world or might you consider substituting for a no longer useful object in your quality world?
As an alternative to questions 2 through 5, a facilitator may opt to use the following question instead.
2. I invite you to share something significant that happened for you during this activity. In other words, share something that you would like to take away with you and possibly incorporate into your life.
Case Illustration
The author was the facilitator for all four of the workshops in which the client participated. The author is an experienced career and personal counseling professional who has approximately five years of experience working as a career counselor in college settings, including two years of experience working with students with disabilities. In addition, he has approximately three years of experience providing career development services to ex-offenders in the community. The counselor's work with this client illustrates recommendations for using the Quality World Mindfulness technique with clients who are ex-offenders. The client in this case illustration will be referred to by a pseudonym.
Description of the Client
Johnny is a 34-year-old African American. Approximately one month prior to beginning the workshop series, Johnny had been homeless for a period of approximately five years. During this period, he had a serious drinking problem that he supported by panhandling. One month prior, he was deemed eligible for a government subsidized apartment, and he began attending a substance abuse treatment program. Johnny had a good sense of humor, which he enjoyed sharing with others in the workshop meetings. Although there was some variability in workshop membership, Johnny, two other clients, and the author were present in all four of the workshops
Earlier in his life, Johnny was involved in his community church and still considers himself to be a religious person. As the workshop series progressed, he shared his struggle with giving up alcohol. For years he has used alcohol to help him cope with feelings of emptiness. The New Leaf Career Development program, and the Quality World Mindfulness activity, are not designed to treat substance abuse. However, a significant number of the ex-offenders participating in the program also have substancerelated issues. The process description below primarily focuses on Johnny's responses during the fourth workshop of the series.
Process
Johnny shared that when he had participated in the Quality World Mindfulness activity in the first workshop, due to his struggles with alcohol, he found it difficult to concentrate. After six weeks, he had significantly reduced his daily alcohol consumption, and this time the activity was a much more meaningful experience. With regard to images in his quality world that are currently meeting his needs, he noted small conveniences (e.g., a hot shower, a bed to sleep in) were a source of great satisfaction because very recently he was homeless. He also shared that his relationship with his girlfriend represented how he currently met his need for love and belonging. He spoke of images from his past related to his career development, such as teaching bible school and coaching youth sports teams, that he would like to make a part of his life again. Teaching, coaching, and motivating skills were an important part of his quality world.
With regard to images that pose barriers to meeting his needs, he shared that at one time he had been drinking eight 40-ounce bottles of beer per day and that his doctor had told him that if he continued this pattern he would die within a few months. Although he had reduced his drinking considerably, he needed to abstain entirely, as his drinking was an imminent threat to his survival.
Johnny confided that prior to the workshop series, alcohol was the only thing in his life that had broken pervasive feelings of emptiness and monotony. Alcohol had been the one image representing an object that fulfilled his need for fun. However, that changed when a gentleman who worked for the city had told him he could have his own apartment if he was only willing to give up alcohol. The gentleman had in effect saved his life and was now an indelible fixture in his quality world. He also shared how the career development workshops represented rare times during the week that he did not feel empty and as such were objects that met his needs for belonging and fun. The fact that he had shared many details of his struggles with homelessness, alcoholism, and serious health problems was evidence that he felt safe and accepted by the members of the group.
Outcome and Discussion
Earlier in the workshop series, Johnny had felt a sense of shame regarding his alcoholism and the period of time he was homeless. During the Quality World Mindfulness process, he appeared to have experienced all five of the capacities (i.e., observing, acting, nonjudging, describing, nonreactivity) identified by Baer and Krietemeyer (2006) as essential for mindfulness. The Quality World Mindfulness technique facilitated Johnny's openness and his observing and describing personal details that he had not shared in the workshop setting previously. Perhaps, as a result of the mindfulness activity, and consistent with accounts by Baer and Krietemeyer, he appeared to adopt a nonjudging attitude toward himself that led to his self-disclosure.
He was clearly able to relate to the concept of the quality world and able to identify more recent additions (e.g., his girlfriend, his own apartment, the city worker), reflecting that his quality of life had recently improved. His ability to focus on these details indicates that he was capable of observing and acting (i.e., focusing his attention on the present). In this respect, the activity promoted a here-and-now recognition of a more positive outlook on life.
In addition, Johnny was able to identify alcohol as a both a barrier to his needs and a substitute for healthier ways to meet his needs for belonging and fulfillment. He was able to identify abstinence and some career-related activities as images to add to his quality world. His ability to relate these details in a calm and composed manner resembled Baer and Krietemeyer's (2006) description of nonreactivity as entailing the ability to experience intense feelings without becoming lost or overwhelmed by them. Further, the activity appeared to stimulate a more forward looking, intentional, and proactive stance toward life. The use of the process questions also appeared to promote incorporation of Johnny's insights into a plan for his life.
Finally, the mindfulness element combined with the holistic exploration of his quality world facilitated an increase in Johnny's level of self-disclosure. The technique appeared to promote a sense of safety and self-acceptance that led the client to trust everyone in attendance enough to share his personal struggles. Plausibly, this experience, including the affirmations he received for taking this risk, will generalize to his other relationships. This experience may lead him to trust others and risk revealing more of himself, which may in turn enhance the quality of his relationships. Although not specific to the Quality World Mindfulness activity, Johnny stated that completing the workshop series gave him a confidence that in his words, "flowed over to my girlfriend." He added, that the workshops gave him a newfound confidence and that "she sees a more confident man in me."
Recommendations for Counselors
One recommendation that I have is for counselors to utilize the technique at two disparate points across the course of career counseling. Although early in the course of counseling clients may not feel as comfortable sharing during the processing phase, they may still be actively engaged on an intellectual level. Also, clients may need to participate in the activity more than once in order to become accustomed to adopting a mindful outlook (Davidson & Scherer, 2001; Germer et al., 2005; Siegel, 2010) and exploring their quality worlds.
Providing an environment of safety is paramount when working with exoffenders. Clients who have a history of incarceration have commonly been exposed to harsh conditions that commonly contribute to feelings of vulnerability and mistrust (Liem & Kunst, 2013). As a result, counselors should provide empathy, validation, and encouragement to promote the development of a good therapeutic relationship. In addition, the counselor can also elicit support and encouragement from other participants to promote a greater sense of safety and social support.
The individual in this case illustration, in addition to being an ex-offender, also had a history of substance abuse. As mentioned in the introduction, individuals who are ex-offenders commonly also possess a variety of symptoms associated with mental disorders. The strength-based, solution-focused technique introduced is intended to supplement career development, but is not intended as a treatment for symptoms of mental disorders. I recommend combining it with a larger system of treatment (e.g., solution-focused therapy) that has core components that are solution-focused and strength-based. Solution-focused therapy has demonstrated effectiveness in career counseling (Burwell & Chen, 2006).
Finally, the workshop series described is grounded in an egalitarian conception of the client-counselor relationship. The workshop facilitators consistently communicate that the purpose of the workshops is to empower the participants and that participants should view one another and counselors as allies. I believe that this egalitarian, empowering, and nonjudgmental philosophy is essential to the success of the workshop series and the intervention introduced here.
Advantages, Limitations, and Recommendations for Future Research
Consistent with the assertions of scholars (Baer & Krietemeyer, 2006; Davidson & Scherer, 2001; Germer et al., 2005; Siegel, 2010), mindfulness practice appears to have taught and encouraged the featured client to think in new ways. In the case illustration, the client exhibited a forward-looking, intentional, and proactive stance toward the future. He also appeared to adopt a self-accepting view of himself and a trusting view of fellow workshop participants. Yet another advantage of this approach is that it promotes a holistic critical examination of objects that help clients meet their needs as well as objects that pose barriers. One final advantage is that the activity emphasizes the personal agency of the client with regard to selecting objects and images to include in their quality world.
With regard to limitations, the current account of the technique's effectiveness is based upon observations of and statements made by a single client. Based upon this case based examination, the technique's most significant contributions appear to be related to facilitating attitudes including openness, self-acceptance, and a heightened sense of personal agency with regard to the future. This particular client is unique with respect to the nature of his addiction and his recent acquisition of an apartment following years of homelessness. By contrast, many ex-offenders do not have addictions and do not experience a period of homelessness. Additional research is needed to determine the specific client characteristics that predict if clients will benefit from the implementation of this technique.
Future researchers might more directly assess clients' impressions of the benefits of this technique through the use of one or more survey items or standardized scales. I recommend that researchers employ standardized scales, such as the Hope Scale (Snyder et al., 1991) or the Self-Efficacy Scale (Scherer et al., 1982) to assess ways in which the Quality World Mindfulness technique potentially contributes to changes in clients' selfconcept. In these ways, future research will potentially refine our understanding of the advantages and limitations of this career development technique designed for use with the ex-offender population.
References
Alexander, C., Langer, E., Newman, R., Chandler, H., & Davies, J. (1989). Aging, mindfulness, and meditation. Journal of Personality and Social Psychology, 57, 950–964.
Baer, R. A., & Krietemeyer, J. (2006). Overview of mindfulness and acceptance-based treatment approaches. In R. A Baer (Ed.), Mindfulness-based treatment approaches: Clinician's guide to evidence base and applications (pp. 3–5). New York, NY: Academic Press.
Barber, A. (2010). Growth of ex-offender population in United States is a dramatic drag on economy. Center for Economic and Policy Research. Retrieved from http://cepr.net/press-center/press-releases/growth-of-ex-offender-population-inunited-states-is-a-dramatic-drag-on-economy
Bhikkhu, T. (2007, June 5). Strength training for the mind. Access to insight. Retrieved from http://www.accesstoinsight.org/lib/authors/thanissaro/strengthtraining.html
Bishop, S. R., Lau, M., Shapiro, S., Carlson, L., Anderson, N. D., Carmody, J., . . . Devins, G. (2004). Mindfulness: A proposed operational definition. Clinical Psychology: Science and Practice, 11(3), 230–241.
Brown, S. D., Lent, R. W., & Knoll, M. (2013). Applying social cognitive career theory to criminal justice populations: A commentary. The Counseling Psychologist, 41, 1052–1060. doi:10.1177/0011000013482380
Burwell, R., & Chen, C. P. (2006). Applying the principles and techniques of solutionfocused therapy to career counseling. Counseling Psychology Quarterly, 19(2), 189–203.
Cooper, A. D., Durose, M. R., & Snyder, H. N. (2014). Recidivism of prisoners released in 30 states in 2005: Patterns from 2005 to 2010. Bureau of Justice Certificates. Retrieved from http://www.bjs.gov/index.cfm?ty=pbdetail&iid=4986
Davidson, R. J., & Scherer, K. R. (2001). Editorial. Emotion, 1, 3–4. de Shazer, S. (1994). Words were originally magic. New York, NY: Norton.
DeVeaux, M. (2013). The trauma of the incarceration experience. Harvard Civil Rights – Civil Liberties Law Review, 48, 257–277.
Devers, L. (2011). Desistance and developmental life course theories (Contract No. GS10F0114L, Order No. 2008-F_08151). Washington, DC: Bureau of Justice Assistance, U.S. Department of Justice.
Doan, R. E. (1998). Interviewing fear and love: Implications for narrative therapy. In M. F. Hoyt (Ed.), The handbook of constructive therapies: Innovative approaches from leading practitioners (pp. 219–240). San Francisco, CA: Jossey-Bass
Folette, V., Palm, K. M., & Pearson, A. N. (2006). Mindfulness and trauma: Implications for treatment. Journal of Rational-Emotive and Cognitive-Behavioral Therapy, 24(1), 45–61.
Gelatt, H. B. (1991). Creative decision making using positive uncertainty. Los Altos, CA: Crisp.
Germer, C. K., Siegel, R. D., & Fulton, P. R. (Eds.). (2005). Mindfulness and psychotherapy. New York, NY: Guilford Press.
Glasser, W. (1965). Reality therapy: A new approach to psychiatry. New York, NY: Harper & Row.
Glasser, W. (1998). Choice theory: A new psychology of personal freedom. New York, NY: HarperCollins.
Glasser, W. (2000). Counseling with choice theory: The new reality therapy. New York, NY: HarperCollins.
Hanh, T. N. (1976). The miracle of mindfulness: A manual for meditation. Boston, MA: Beacon.
Hassed, C. (2013). Mind-body therapies: Use in chronic pain management. Australian Family Physician, 42(3), 112–117.
Hick, S. F. (2008). Cultivating therapeutic relationships: The role of mindfulness. New York, NY: Guilford Press.
Hoffman, S. G., Sawyer, A. T., Witt, A. A., & Oh, D. (2010). The effect of mindfulness based therapy on anxiety and depression: A meta-analytic review. Journal of Consulting and Clinical Psychology, 78(2), 169–183.
Ie, A., Ngnoumen, C. T., & Langer, E. J. (Eds.). (2014a). The Wiley Blackwell handbook of mindfulness (Volume I). West Sussex, UK: Wiley Blackwell.
Ie, A., Ngnoumen, C. T., & Langer, E. J. (Eds.). (2014b). The Wiley Blackwell Handbook of Mindfulness (Volume II). West Sussex, UK: Wiley Blackwell.
Kabat-Zinn, J. (2009). Awareness of breath. Guided mindfulness meditation, CD Series 1. New York, NY: Sounds True.
Kaufman, D. (1976). Teaching the future. Palm Springs, CA: ETC Publications.
Krannich, R., & Krannich, C. (2005). The ex-offenders job hunting guide. Manassas Park, VA: Impact Publications.
Langer, E. J. (1992). Interpersonal mindlessness and language. Communication Monographs, 59, 324–327.
Langer, E. J., Beck, P., Janoff-Bulman, R., & Timko, C. (1984). An exploration of relationships among mindfulness, longevity, and senility. Academic Psychology Bulletin, 6(2), 211–226.
Langer, E. J., Blank, A., & Chanowitz, B. (1978). The mindlessness of ostensibly thoughtful action: The role of "placebic" information in interpersonal interaction. Journal of Personality and Social Psychology, 36(6), 635–642. doi:10.1037/00223518.104.22.1685
Langer, E. J., Heffernan, D., & Kiester, M. (1988). Reducing burnout in an institutional setting: An experimental investigation. Unpublished manuscript, Harvard University, Cambridge, MA.
Langer, E. J., Janis, I. L., & Wolfer, J. A. (1975). Reduction of psychological stress in surgical patients. Journal of Experimental Social Psychology, 11(2), 155–165.
Langer, E. J., & Moldoveanu, M. . (2000). Mindfulness research and the future. Journal of Social Issues: A Journal of the Society for the Psychological Study of Social Issues, 56(1), 129–139. doi:10.1111/0022-4537.00155
Langer, E. J., & Rodin, J. (1976). The effects of choice and enhanced personal responsibility for the aged: A field experiment in an institutional setting. Journal of Personality and Social Psychology, 34(2), 191–198.
Laub, J. H., & Sampson, R. J. (2001). Understanding desistance from crime. Chicago, IL: The University of Chicago.
Lent, R. W., Brown, S. D., & Hackett, G. (1994). Toward a unifying social cognitive theory of career and academic interest, choice, and performance. Journal of Vocational Behavior, 45, 79–122.
Lewis, R. E. (2012). Ecohumanism: Integrating humanism and resilience theory. In M. B. Scholl, A. S. McGowan, & J. T. Hansen (Eds.), Humanistic perspectives on contemporary counseling issues (pp. 191–214). New York, NY: Routledge.
Liem, M., & Kunst, M. (2013). Is there a recognizable post-incarceration syndrome? International Journal of Law and Psychiatry, 36, 333–337.
Marlatt, G. A., & Kristeller, J. L. (1999). Mindfulness and meditation. In W. R. Miller (Ed.), Integrating spirituality into treatment (pp. 67–84). Washington, DC: American Psychological Association.
Markus, H., & Nurius, P. (1986). Possible selves. American Psychologist, 41(9), 954– 969.
McWhirter, E. M. (2013). Vocational psychology, offenders and ex-offenders, and social justice: A critical psychology perspective. The Counseling Psychologist, 41, 1040–1051. doi:10.1177/0011000013482379
Morgan, A. (2000). What is narrative therapy? An easy to read introduction. Adelaide, South Australia: Dulwich Centre Publications.
Murdock, N. L. (2013). Theories of counseling and psychotherapy: A case approach. New York, NY: Pearson.
O'Hanlon, B., & Weiner-Davis, M. (2003). In search of solutions (rev. ed.). New York, NY: Norton.
Scherer, M., Maddux, J. E., Mercandante, B., Prentice-Dunn, S., Jacobs, B., & Rogers, R. W. (1982). The self-efficacy scale: Construction and validation. Psychology Reports, 51, 663–671.
Schmitt, J. K., & Warner, K. (2011). Ex-offenders and the labor market. The Journal of Labor & Society, 14(1), 87–109. doi:10/1111/j.1743-4580.2011.00322.x
Schmitt, J. K., Warner, K., & Gupta, S. (2010). The high budgetary cost of incarceration. Washington, DC: Center for Economic and Policy Research. Retrieved from http://www.cepr.net/documents/publications/incarceration-2010-06.pdf
Scholl, M. B. (2015, March). Career support Group: A postmodern approach to providing career counseling to ex-offenders. Presentation at the Annual Conference of the American Counseling Association, Orlando, FL.
Scholl, M. B., Perry, J., Calhoun, B., & Robinson, H. (2016). Career support workshop series: Promoting the resilience of community ex-offenders. Career Planning and Adult Development Journal, 32(1), 169–178.
Segal, Z. V., Williams, J. M., & Teasdale, J. D. (2002). Mindfulness-based cognitive therapy for depression: A new approach to preventing relapse. New York, NY: Guilford Press.
Shapiro, S. L., & Carlson. L. E. (2009). The art and science of mindfulness: Integrating mindfulness into psychology and the helping professions. Washington, DC: American Psychological Association.
Siegel, D. J. (2010). The mindful therapist: A clinician's guide to mindsight and neural integration. New York, NY: Norton.
Snyder, C. R., Harris, C., Anderson, J. R., Holleran, S. A., Irving, L. M., Sigmon, S. T., . . . Harney, P. (1991). The will and the ways: Development and validation of an individual-differences measure of hope. Journal of Personality and Social Psychology, 60, 570–585.
Substance Abuse and Mental Health Services Administration (SAMHSA). (2000). Chapter 8: Working with the ex-offender. In Integrating substance abuse treatment and vocational services. Rockville, MD: Author.
Vallejo, Z., & Amaro, H. (2009). Adaptation of mindfulness-based stress reduction program for addiction relapse prevention. Humanistic Psychology, 37(2), 192– 206.
Varghese, F. P., & Cummings, D. L. (2012). Introduction: Why apply vocational psychology to criminal justice populations? The Counseling Psychologist, 41, 961–989.
Varghese, F. P., Fitzgerald, E. L., Chronister, K. M., Cummings, D. L., & Forrest, L. (2013). Vocational psychology with criminal justice populations: Why not? The Counseling Psychologist, 41(7), 1072–1082.
Note: This paper is part of the annual VISTAS project sponsored by the American Counseling Association. Find more information on the project at: http://www.counseling.org/knowledge-center/vistas
|
<urn:uuid:aafbaadc-c543-48b2-907b-50778cdf6bb9>
|
CC-MAIN-2023-50
|
https://www.counseling.org/docs/default-source/vistas/article_74_2016.pdf?sfvrsn=91e2482c_6
|
2023-12-10T13:54:42+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00015-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet
| 772,422,172
| 10,709
|
eng_Latn
|
eng_Latn
| 0.935914
|
eng_Latn
| 0.997438
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2362,
5379,
8972,
13014,
15899,
19464,
22961,
26241,
29410,
32917,
35796,
39771,
42269,
44961,
47865,
50225
] |
EU Policies on Car Emissions and Fuel Quality
Reducing the Climate Impact from Road Transport
Anne Raaum Christensen and Lars H. Gulbrandsen
EU Policies on Car Emissions and Fuel Quality
Reducing the Climate Impact from Road Transport
Anne Raaum Christensen and
Lars H. Gulbrandsen [email protected]
October 2012
Copyright © Fridtjof Nansen Institute 2012
Title
EU Policies on Car Emissions and Fuel Quality: Reducing the Climate Impact from Road Transport
Publication Type and Number
FNI Report 14/2012
Pages
66
Author
Anne Raaum Christensen and Lars H. Gulbrandsen
ISBN
978-82-7613-656-2
ISSN
1893-5486
Abstract
Transport is the second biggest source of greenhouse gas (GHG) emissions in the EU, and contributes about one-quarter of the EU's total emissions of CO2. Significant reductions in GHG emissions from transport are required if the EU is to achieve its long-term climate goals. This report examines the making and implementation of two of the regulations the EU has put in place to lower emissions from the transport sector: the EU's revised Fuel Quality Directive (Directive 2009/30/EC) and the cars/CO2 regulation (Regulation (EC) 443/2009). It was found that the relevance of various theories of policymaking in the EU varies with different policy phases. A policy-network understanding of EU policymaking is strengthened when assessing the policy-initiation phase. The Commission played a key role in this phase and drafted legislation in close collaboration with the car and oil refining industries. An intergovernmentalist understanding of EU policy-making is strengthened when assessing the decisionmaking phase. In this phase, member states defending the interests of their domestic industries had strong influence, but the European Parliament played an important role in this phase too, employing its power in the co-decision procedure. Finally, the implementation process is best understood as a multi-level governance process in which several actors and institutions - notably the Commission, member states, industries, and NGOs - influenced the process.
Key Words
car emissions, climate change policies, EU, fuel quality directive, transport
Orders to:
Fridtjof Nansen Institute Postboks 326 N-1326 Lysaker, Norway.
Tel: (47) 6711 1900
Fax: (47) 6711 1910
Email: [email protected]
Internet: www.fni.no
Contents
i
1 Introduction
Transport is the second biggest source of EU greenhouse gas emissions (GHG) after energy, representing around one-quarter of EU carbon dioxide (CO2) emissions (Commission 2012a). While GHG emissions in other sectors decreased by 15% between 1990 and 2008, those from transport increased by 36% during the same period (ibid.). Road transport alone account for roughly 70% of EU transport GHG emissions (ibid.).
Significant reductions in GHG emissions from transport are required if the EU is to achieve its long-term climate goals. The EU has put in place a range of policies aiming to lower emissions from the transport sector. For instance, aviation has been included in the EU's emissions trading scheme (EU ETS); legislation is in place to reduce emissions from cars and vans; and a target and a policy have been adopted to reduce the greenhouse gas intensity of fuels. The two latter measures will be the subject of analysis and discussion in this report. Regulations targeting car emissions and fuel quality affect two of the most important and powerful industries in the EU: the car industry and the oil industry.
The EU member states are the world's largest manufacturers of motor vehicles, with the car industry directly employing more than 2.3 million people and supporting more than 12 million jobs across Europe in total (EurActiv, 6/10/08). This equals about 5.5% of all employment in the EU27. The cars produced in the EU are almost exclusively fuelled by oilderived products, and the oil refining industry is therefore inextricably linked to the transport sector – and thus the car industry. In 2008, oil products supplied 90–94% of the energy needed for transport within the EU, and the transport sector accounts for more than half of the oil used worldwide (Europia 2011: 12). Although oil extraction is expected to peak and then decline in coming decades, the shortfall is likely to be compensated with non-conventional oil (such as tar sands) and other fossil resources such as gas-to-liquids and coal-to-liquids (Creutzig et al. 2011:2396). Such fuels tend to be more energy- and carbon-intensive than oil because of significant upstream emissions in the supply chain (ibid.).
To reduce CO2 emissions caused by fuels, the EU has decided to adopt a lifecycle approach, taking into account emissions from the extraction, processing and distribution of fuels. In 2008, EU policymakers agreed on legislation requiring a reduction of GHG intensity of the fuels used in vehicles by up to 10% by 2020, placing the responsibility with oil suppliers. Car emissions were also addressed through agreement on binding legislation in 2008, forcing manufacturers to make cars more CO2efficient. The two pieces of legislation were negotiated and developed in the same period, alongside – but independent of – the 2008 energy and climate package.
The 2008 regulation on car emissions and the revised EU directive on fuel quality (FQD) were the first legally binding measures of their kind in the European transport sector. This was the first time that car manufacturers had to reduce CO2 emissions through improvements in motor technology. Similarly, the revised FQD was the first time the oil refining
1
industry had to contribute to reducing CO2 emissions through improvements in fuel quality, and the first time a fuel was directly subject to lifecycle analysis.
Agreement on these two pieces of legislation represented a milestone in EU efforts to reduce the climate impacts of road transport. This makes it pertinent to examine the following set of interrelated questions. First, why did the EU decide to adopt these legally binding measures, who were the key players in the policy-initiation and decision-making phases, and what was the relative influence of various stakeholders in these phases? Second, how can we assess and explain the 2008 outcomes of the policymaking process? Specifically, has the EU been able to balance the need for ambitious policy in these areas with acceptance among target groups? This question is crucial for goal attainment in the areas of car emissions and fuel quality. Finally, how can we assess and explain the changes introduced in the areas of fuel quality and car emissions introduced after 2008? The focus in this report is thus on the outcomes of policymaking, along two dimensions: level of ambition, and acceptance of policy. To explain the policymaking outcomes, we draw on general theories of EU integration and policymaking.
This report is organized as follows. Section 2 introduces the framework for analysing the making and implementation of the revised FQD, and the regulation on cars and CO2. Section 3 briefly reviews EU strategies for dealing with the climate-change challenge in the transport section. In section 4, we take a closer look at EU policy in the areas of fuel quality and car emissions prior to the efforts to develop binding legislation. In section 5, we turn to the policy-initiation phase for the revised FQD and the cars/CO2 regulation, and examine the first stakeholder consultations and the Commission's proposals for legislation. Section 6 examines the decision-making processes for both pieces of legislation, focusing on how key actors responded to the Commission's proposals and influenced the policy outcomes: the revised FQD, and the regulation on cars and CO2. Section 7 looks at the implementation process, examining how changes introduced after 2009 have influenced the ambitiousness and acceptance of the two pieces of legislation. In section 8, we discuss the policymaking processes in light of the theory perspectives and offer some brief conclusions.
2 Analytical framework
The policy outcomes to be explained in this report are the revised EU fuel quality directive (FQD) and the EU car emissions regulation agreed in 2008. These outcomes are seen in the context of agreed goals: is it ambitious enough to reach the EU goals of a 20% reduction in CO2 emissions by 2020, and the longer-term goal of 80–95% cut by 2050? The 'Effort Sharing Decision' (ESD) establishes annual binding GHG emission targets for member states for the period 2013 to 2020 – for those sectors not included in the EU ETS. One of the most important sectors under the ESD is transportation, where the overall goal for reduction of emissions from non-ETS sectors is 10% (at EU level). Together with the ETS reduction, this adds up to the abovementioned 20%. While each member state is responsible for achieving its part of the effort, the EU has
also introduced several measures to help member states reduce their ESD emissions, such as the policies on car emissions and fuel quality. In this report we therefore attempt to assess how ambitious this legislation has been, as the new EU-wide measures should contribute significantly to reaching the Effort Sharing Goals.
The policy outcomes need to be considered legitimate responses to the challenge of transport emissions, and will therefore also be assessed in terms of different types of actors' actual participation and related transparency in the decision-making process and system. While a relatively ambitious policy is necessary to reach EU's climate policy goals, some degree of acceptance in target groups is needed, to avoid implementation failure. Hence, we expect that the EU will have to combine a relatively ambitious policy with acceptance in target groups to achieve its overarching policy objectives. We examine at the outcome at the stage of adoption, while also making stops along the way, assessing policy at the 'baseline' stage, in the initiation phase, and in the phase following adaptation (proposed or adopted changes until 2012). We expect that the policy outcomes at the various stages can be classified in one of four categories:
- ambitious outcomes based on high acceptance
- ambitious outcomes based on low acceptance
- high acceptance, low level of ambition
- low level of ambition, low acceptance
To analyse the making and implementation of the EU's policy on car emissions and fuel quality, we draw on general theories of EU integration and policymaking. One analytical approach is liberal intergovernmentalism, which regards EU policy outcomes as a result of interstate bargaining among states pursuing national interests. According to liberal intergovernmentalism, it is important to focus on the interests, objectives and negotiation behaviour of the EU member states to understand policy processes and outcomes. The core claim of this approach is that EU policy outcomes are determined primarily by national preferences in the member states and by interstate bargaining among them (Moravcsik 1998). National preferences are complex but reflect the politics, institutions and economics of each member state. From this perspective, we would expect the member states to be the key actors in the establishment of policies on car emissions and fuel quality. Hence, the making and implementation of EU policies on car emissions and fuel quality is compatible with the liberal intergovernmentalism perspective to the extent that policy outcomes are consistent with national preferences in the most powerful member states.
Another approach takes EU institutions and institutional rules as the unit of analysis. Responding to the increasing importance of EU institutions and institutional rules, such as the co-decision procedure, some scholars have argued that intergovernmentalists have underestimated the independent causal importance of institutions and formal rules in influencing policy outcomes (Pollack 2005: 20). The 'historical institutionalists' have focused on how a given set of institutions shape and constrain the
behaviour of actors over time through institutional lock-ins and processes of path dependence (see e.g. Hall 1986; Thelen and Steinmo 1992; Pierson 1996). Sociological institutionalists and constructivist approaches in international relations have defined institutions more broadly to include informal rules, norms and conventions (Pollack 2005: 20). They have argued that such informal institutions could 'constitute' actors, reshaping the preferences and identities of individuals and member states in profound ways (see Sandholtz 1993; Jørgensen 1997).
Also writing in opposition to intergovernmentalists like Moravcsik, but from a somewhat different point of departure than institutionalists, multilevel governance scholars focus on policy networks and policy communities of public and private actors in given issue areas. They have argued that policymaking authority has shifted from central governments to EU institutions (particularly the European Commission and the Parliament) as well as to local and regional governments in each member state (Marks 1992; Hooghe 1996). In other words, central governments are losing control to supranational and subnational actors alike (Hooghe and Marks 2001; Bache and Flinders 2004). Another strand of the multi-level governance tradition focuses on describing and explaining the dynamics of transnational and transgovernmental networks of public and private actors in areas such as research, technological development and environmental regulation (Peterson and Bomberg 1999; Peterson 2004).
This strand of the multi-level governance approach should be particularly relevant for analysing our cases, because it focuses on how the openness and interdependence of such networks of public and private actors substantially determine the content of the policies that are eventually brought before the Council and the European Parliament (EP) for formal adoption. The key issues we must focus on are the access to and influence of various stakeholders in consultations with the Commission as well as the dynamics of interaction within the emerging policy networks. Given the issue areas of car emissions and fuel quality, it will be especially pertinent to focus on the relative influence of the car manufacturers, the oil industry, and environmental NGOs in the making and implementation of EU policies. The positions of member states matter as well, but members states will here be regarded as one type of stakeholder among several others that comprise transnational and transgovernmental policy networks. Because the European Commission has exclusive authority to initiate and draft new EU legislation, it can be expected to play a key role in the phase of policy initiation. From the multi-level governance perspective, we expect that the broad contours of the cars regulation and the revised FQD were determined in the early stages of policymaking, when the Commission drafted policies in consultation with industry associations, environmental NGOs, member states and other stakeholders. Hence, the making and implementation of policies on car emissions and fuel quality is compatible with the multi-level governance perspective to the extent that the Commission and non-state actors – notably the car and oil industries – took the initiative and shaped policy outcomes.
A third analytical approach focuses on issue linkages in the making and implementation of EU policies. The linkage of issues and side payments is a recurrent theme in the history of EU negotiations and has been
identified as the core of the EU's integration success. The study of issue linkages can be traced back to early neo-functionalists theories of European integration. The 'functional spillover' posited by early neofunctional theory (e.g. Haas 1961), in which integration in one sector would produce the unintended effect of promoting further integration in other sectors, is perhaps less relevant for understanding the making of EU policies on car emissions and fuel quality. However, 'political spillover', in which both supranational actors (e.g. the Commission) and subnational actors (e.g. interest groups) create intended and strategic pressures for further integration, could be a relevant example of how actors use issue linkages to achieve certain objectives. A key difference between the neofunctionalist literature and the more recent literature on issue linkages is arguably that the former sought to explain the process of European integration, whereas the latter seek to explain EU policymaking and policy outcomes.
Recent studies have called for more research on issue linkages in order to understand policymaking and policy processes in the EU (e.g. McKibben 2010). We expect that when different issues are linked, the level of ambition can be increased without sacrificing consent among relevant actors. In this report we are thus interested in examining whether the Commission and other actors created intended and strategic linkages between policy issues in order to increase the ambitiousness of policies on car emissions and fuel quality. The issue linkage approach is compatible with both liberal intergovernmentalism and the multi-level governance approach, depending on the questions of how issue linkages were formed, which actors created intended and strategic linkages, and with what consequences. We consider these theories as complementary rather than competing approaches to understanding the making and implementation of the cars regulation and the revised FQD. The validity of these approaches is likely to vary in different phases of policymaking and across the two policy processes to be examined here.
This report is based on data obtained from primary and secondary sources as well as two rounds of interviews with policymakers and key stakeholders in Brussels in December 2011 and April 2012. In total, 15 semi-structured interviews were conducted with representatives from the European Commission, the European Parliament, the car industry, the oil industry and environmental NGOs (see list of interviews). Policy proposals, assessments and other official policy documents as well as industry and NGO responses have informed the analysis. In addition, news services such as ENDS Daily and EurActiv have been particularly valuable sources of information. Secondary sources on EU transport policy and climate policy have provided useful background material for the analysis of regulations targeting car emissions and fuel quality.
3 The climate side of EU transport policy
Transport has always been a big source of pollution and CO2 emissions in the EU; GHG emissions from transport have been gradually increasing and are projected to continue to do so. The EU has policies on air, sea and road transport. The focus of this report is on road transport, as this is the largest transport subsector in terms of GHG emissions, and as policies in
5
this area came to be an important part of the energy and climate package of 2009. Road transport is a major source of greenhouse gas emissions, as well as the principal consumer of oil-based fuels. There are four main ways to cut transport CO2 emissions (Fergusson 2008: 3):
1. Improve vehicle fuel efficiency
2. Reduce fuel carbon intensity
3. Travel by less carbon-intensive modes of travel
4. Travel less
This report offers a discussion and an analysis of the EU's policy in the two first of these approaches. Almost all cars and trucks today are powered by fuel-inefficient internal combustion engines, but there are many technical options to improve the fuel economy within conventional vehicles – like improved engine technology, better aerodynamics, and advanced tyres (Fergusson 2008: 4). It is also possible to introduce even more advanced and fuel-efficient technologies – hybrids, fuel cells, battery vehicles etc. To improve vehicle fuel efficiency is thus the responsibility of the car manufacturer, but the EU can set standards that the manufacturers must live up to. Regarding the second approach, reducing fuel carbon intensity, the best option available at this point is to introduce liquid biofuels, often blended with conventional fuels (Fergusson 2008: 4). Together they make up the 'supply side' of transport policy, while the third and fourth approaches focus on the consumer; the 'demand side'. The EU has also put in place policies to stimulate/influence consumers to travel less and use different modes of transport. This is an important part of an 'integrated approach' to transport sustainability, but it falls outside the scope of this report.
Before going into more detail in these two areas, let us begin with a general overview of EU transport policy.
3.1 From Rome to Maastricht
Already the 1957 Treaty of Rome identified transport as one of the areas where a common policy should be developed so as to enable economic integration. However, for many years very little happened, as the Council was unwilling, or unable, to translate the Commission's proposals into action (Humphreys 2011; Commission 2001: 6). In the 1992 Treaty of Maastricht, the political, budgetary and institutional foundations for EU transport policy were reinforced (Commission 2001: 6). The development of the Single Market, aimed at free movement of goods, people, services and capital, made it necessary to secure a modern and efficient infrastructure. A key point thus became the concept of trans-European networks (TENs). TENs concern three sectors: transport, energy and telecommunications, and give the Community the right to develop guidelines covering objectives, measures and projects of common interest. The European Commission was given the mandate to elaborate plans for transport infrastructure at the EU level, funded partly by Community money. Thus, a Common Transport Policy (CTP) became a reality in 1992. Since then, EU transport policy has developed rapidly, liberalizing the internal transport market and pushing for EU-wide mobility. The
overall objectives of EU transport policy have been the same since 1992: 'a competitive, secure, safe and environmentally friendly mobility' (Commission 2006a: 21).
3.2 Entering: sustainability and climate change concern
In 1990, the EU committed itself to stabilizing CO2 emissions by the year 2000 at 1990 levels (Skjærseth 1994: 26–27). In 1995, in the context of worldwide efforts to combat global warming, the EU reaffirmed this commitment (Commission 1995: 2). Against this background, the increasing CO2 emissions from transport were considered a special cause for concern. Later in 1995, a Community Strategy to reduce CO2 emissions from passenger cars and improve fuel economy was adopted, introducing a package of measures to reduce emissions from road transport (Commission 1995). The strategy included a target of putting new passenger cars on a trajectory towards reducing CO2 emissions to 120 g CO2/km by 2012. With this strategy and target, a shift could be observed in transport policy, as policymakers started to focus more on questions of sustainability in general, as well as the issue of climate change in particular.
At the Gothenburg European Council in 2001, the concept of 'modal shift' – the change of transportation from motor vehicle or air to railway or ship – was placed at the heart of the EU's sustainable transport development strategy. It was recognized as necessary to move the EU away from its heavy dependence on road transport, as this led to both congestion 1 and pollution 2 – problems which in turn threatened economic competitiveness (Bache et al. 2011: 366). In the aftermath of this Council meeting, a White Paper for European Transport Policy for 2010 was adopted (Commission 2001). Here the Commission proposed some 60 measures with the common objective of developing a European transport system capable of shifting the balance between modes of transport. A key aim was to decouple transport demand from transport growth. With this White Paper, the EU focused on revitalizing the railways, improving quality in the road transport sector, promoting transport by sea and inland waterways, controlling the growth in air transport, and building the transEuropean transport network (Commission 2001: 13–14). Other prime concerns in this document were road safety and congestion, which is basically the effect of imbalance between modes (Commission 2001: 15). 'Accordingly, the White Paper proposed policies to adjust the balance between the modes, stressed the need to do away with bottlenecks in the trans-European networks (TENs) and to reduce the number of road acci-
1 'If most of the congestion affects urban areas, the trans-European transport network itself suffers increasingly from chronic congestion: some 7 500 km, i.e. 10% of the road network, is affected daily by traffic jams. And 16 000 km of railways, 20% of the network, are classed as bottlenecks' (Commission 2001: 7).
2 'According to the latest estimates, if nothing is done to reverse the traffic growth trend, CO2 emissions from transport can be expected to increase by around 50% to reach 1 113 billion tonnes in 2010, compared with the 739 million tonnes recorded in 1990. Once again, road transport is the main culprit since it alone accounts for 84% of the CO2 emissions attributable to transport' (Commission 2001: 10).
dents' (Commission 2006: 6). The objectives were linked to the Lisbon Agenda for creation economic growth and jobs, as well as the growing concern about global warming and the need to reduce carbon emissions. However, it is important to note that no objectives/targets were quantified in this White Paper, and so the commitments to environmental improvement were rather loose (interview with N2, 2011).
In 2006, the Commission presented a review of the 2001 White Paper, reaffirming the main guiding principles. This review drew attention to the changes in the context since the 2001 EU enlargement, the acceleration of globalization, international commitments to fighting global warming and rising energy prices – and the need to take these into account (Commission 2006: 4–6). In 2006, climate change was recognized as a prominent issue, and rising GHG emissions from transport threatened the achievement of the Kyoto targets, which had been binding since 2002 for the EU.
The mid-term review stated that the measures envisaged in 2001 were not sufficient '…to contain the negative environmental and other effects of transport growth whilst facilitating mobility as the quintessential purpose of transport policy' (Commission 2006a: 6). Now, a more comprehensive, holistic approach to transport policy was envisaged: '[…] in many areas European intervention will not suffice. Mutually complementary action will be needed at national, regional and local levels of government as well as by citizens and industry themselves […] The future actions, […] will be based on a broad dialogue with all stakeholders concerned' (Commission 2006a: 21). In other words, the responsibility for action was to be spread among several actors; moreover, the 2006 review omitted the key objective from 2001 of decoupling transport demand from economic growth. The concept of 'modal shift' was also removed, and replaced with 'co-modality': 'the efficient use of different modes on their own and in combination will result in an optimal and sustainable utilization of resources' (Commission 2006: 21). According to one interviewee, the changed focus in this Communication was due to massive lobbying from the car industry, which was keen to share the responsibility for emissions reductions but was upset with concept of 'modal shift' (interview with ENGO1, 2011).
3.3 The 2011 White Paper
By 2011, climate change had progressed from being one important issue among many others, to become a core issue in the European Union. In March 2011, the European Commission published a new White Paper – or Roadmap – on transport, in order to promote a single transport market while also seeking to reduce GHG emissions from the sector. Although reducing emissions is central (and 'business as usual' impossible), 'curbing mobility is not an option' (Commission 2011: 5), and this roadmap seeks to conciliate the two goals of growing transport and reduction in emissions. 'The challenge is to break the transport system's dependence on oil without sacrificing its efficiency and compromising mobility' (Commission 2011: 5). Building on the 2001 White Paper's concept of 'modal shift' and the 2006's 'co-modality', the 2011 Roadmap introduces the concept of full modal integration and 'multimodality':
'Better modal choices will result from greater integration of the modal networks: airports, ports, railway, metro and bus stations, should increasingly be linked and transformed into multimodal connection platforms for passengers' (Commission 2011: 6).
The 2011 Roadmap acknowledges that much has been achieved since the 2001 White Paper – however, the transport system is still not sustainable, with oil dependence continuing and CO2 emissions increasing. A business-as-usual path would increase congestion costs by about 50% by 2050 (Commission 2011: 4). The 2011 White Paper thus presents a strategy for reducing GHG emissions from transport by 60% by 2050. Other key goals to be achieved by 2050 include (Commission 2011):
- no more conventionally-fuelled cars in cities
- 40% use of sustainable low-carbon fuels in aviation; at least 40% reduction in emissions from shipping
- a 50% shift of medium-distance intercity passenger and freight journeys from road to rail and waterborne transport
- most passenger journeys between 200 km and 1,000 km to be made by rail
- road-accident fatalities to be reduced to almost zero.
Then the Roadmap proposes 40 specific initiatives in air, rail, road, maritime and inland waterway transport for the next decade. Key measures include a major overhaul of the regulatory framework for rail, proposals for a core European 'multi-modal' network, an airport package, a communication on inland waterway transport, a new approach to transport charges, and an EU Strategic Transport Technology Plan (Commission 2011). The Roadmap is accompanied by a working document which describes in detail all the initiatives and legislative proposals the Commission intends to present in the near future.
The publication of the Roadmap brought critical reactions from various transport interests. 3 ACEA, the European Automobile Manufacturers Association, reacted to the Commission's Roadmap by criticizing the shift away from 'co-modality' acknowledged in the 2006 review: 'ACEA calls for an urgent clarification to the wrong signal sent by the White Paper with regard to the acknowledged principle of 'co-modality' which should have been at the centre of the future European transport policy, not modal shift ones', underlining that '[t]ransport modes do not compete with each other[…]', and '[n]o mode is 'per se' more friendly for the environment' (ACEA 2011). The Roadmap was also criticized by the environmental movement. While they generally supported the move away from the concept of 'co-modality' (interview with ENGO1, 2011), they accused the Commission of putting off action and relying on 'miraculous technological breakthroughs' (T&E 2011b). T&E held that the Roadmap
3 For an overview of reactions to the 2011 Roadmap see: www.euractiv.com/transport/transport-remain-big-polluter-new-eu-plan-news503579
10
totally lacks short-term action, as 'the only concrete action the Commission proposes with its current mandate (2010–2014) is to expand airport capacity, which will make the headline targets even harder to reach' (T&E 2011b). Greenpeace also criticized the Commission for leaving most of the green efforts until after 2030, asserting that the paper '[…] blatantly passes the buck to the next generation. The transport sector will become Europe's biggest source of carbon emissions, but the EU is choosing to look the other way' (Greenpeace 2011). Some NGOs have also stressed that the long-term 60% target is insufficient for reaching the overall EU goals of GHG reductions by 2050 (interviews with ENGO1 and ENGO3, 2011).
The Commission communicated the White Paper to the European Parliament and the Council, expecting them to endorse the document and the list of proposed actions. However, many member states deemed the 60% target too ambitious, and wanted this to be seen as only an indicative target. The EU's 27 transport ministers met in Luxembourg 16 June 2011, dismissing the 60% target, on the grounds that there existed no alternative to fossil fuels that would be competitive in terms of technology and price (EurActiv 17/06/11). The report on the White Paper by the EP's Committee on Transport and Tourism was adopted on 29 November 2011 (European Parliament 2011).
4 Background and baseline
4.1 Fuel quality and the Auto-Oil processes
Much has been written about the EU's Auto-Oil processes in the 1990s (see e.g. Friedrich et al. 2000; Young and Wallace 2000; Wurzel 2002; Wettestad 2006), so here we will only sum up the most important stages in the processes. The aim of this section is to provide a picture of (1) the ambitiousness and legitimacy of the Auto-Oil processes and regulation(s) predating the revised FQD from 2009, and (2) key actors and their positions in the discussions on fuel-quality regulations.
Before Auto-Oil
The EU's concern with car emissions and fuel quality was originally linked to the role of vehicle emissions in deteriorating air quality and acidification problems, as well as the development of the single market. The first relevant directive related to vehicle emissions was adopted in 1970 – Directive 70/220 established vehicle emission limits for carbon monoxide (CO) and unburnt hydrocarbons (HC) (Skjærseth and Wettestad 2003: 6). A few years later, the first fuel directive was adopted, thereby introducing the approach of combining emission limits and fuel requirements (Skjærseth and Wettestad 2003: 6). This fuel directive from 1975 was modelled on ECE (Economic Commission for Europe) standards, as fuel-quality regulations were dealt with on the pan-European level led by the UN between 1970 and 1985 (Friedrich et al. 2000). In this period, EU emission standards were tightened incrementally in line with the Best Available Technology (BAT) and limits already been agreed as ECE regulations.
In the early 1980s, several EFTA members withdrew from the international ECE regime in order to adopt more stringent car emission limits based on/inspired by US standards ('US 83'). In 1983, the West German government also threatened to breach with the other EU members, and move forward unilaterally and adopt more stringent standards. This led to political controversy in the EU, and the Commission replied by setting up the advisory committee Motor Vehicle Emissions Group (MVEG) in 1985 to find a compromise. Several proposals were put forward for further reductions in vehicle emissions. Car emission regulations were created in the EU in both 1989 and 1991, 4 and the consolidated 1991 Directive (91/441/ECC) set mandatory car emission limits (EURO I standards) roughly as strict as the US standards (Skjærseth and Wettestad 2003: 8). The next directive (94/12/EEC) put forward EURO II standards.
Although the 88/89/91/92 directives were a significant step forward, they were not particularly stringent, and far from an adequate political response to the growing problems of air pollution (Skjærseth and Wettestad 2003: 9). It became clear that the regulatory approach followed so far, of incremental BAT development, 'offered too little flexibility and was met with growing hostility in the car industry' (Skjærseth and Wettestad 2003: 9). EU lawmakers and industry alike wanted to find more cost-effective solutions, as became clear at the 1992 Auto-Oil Symposium. In the wake of this Symposium, it was decided to launch the Auto-Oil I Programme.
The Auto-Oil I Programme
The Auto-Oil I Programme has been considered one of the most important environmental policy initiatives launched by the Commission during the 1990s (Friedrich et al. 2000: 593). It was a two-year collaborative research effort aimed at finding the most cost-effective way of reducing road transport pollution. The idea for a European Auto-Oil programme originated from the American Auto-Oil Air Quality Improvement Research Programme (AQIRO), and can be traced back to a letter from the Commission to the automobile and oil industries in November 1991 (Friedrich et al. 2000: 596). The Auto-Oil I Programme started in 1992, and consisted of three independent, but interrelated, projects: urban ambient air quality studies, an emissions and fuels technology programme, and cost-effectiveness studies. The Auto-Oil Programme was designed for heavy industry involvement; and the European Petroleum Industry Association (Europia) and ACEA signed a contract with the Commission for a two-year European Programme on Emissions, Fuels and Engine technologies (EPEFE) on 12 July 1993. Two years of tripartite discussions between the several of the Commission DirectoratesGenerales (DGs) and Europe's automobile and oil industries followed. This meant that member states, NGOs and the European Parliament were excluded from this phase of the policymaking process (Friedrich et al. 2000: 593)
4 Directive 89/456 and Directive 91/441.
The Commission's Auto-Oil I Programme was completed in 1995, and the Commission put forward two legislative proposals on stricter fuel standards and tighter emission limits in June 1996. These directives, to take effect in the year 2000, focused on a proposal on the reformulation of petrol and diesel fuels (with targets for sulphur content); and a proposal to strengthen existing emission limits for passenger cars. It set targets for car emissions and fuel quality in 2000, and 'indicative' lower limits for 2005. The proposals were then discussed among member states and in the European Parliament.
The Environment Council discussed the Auto-Oil Programme for the first time on 15 October 1996 (Friedrich et al. 2000: 599). Perhaps surprisingly, a main reaction among member states was that the proposals were too lax, especially concerning the proposed sulphur content in diesel, as well as the absence of obligatory limits for 2005 (Skjærseth and Wettestad 2003: 12; Wettestad 2006: 3). Moreover, the Commission was criticized for the approach followed within the first phase of the Auto-Oil Programme, as some member states perceived it as closed and too exclusive (Skjærseth and Wettestad 2003: 12). At this point, a North– South divide could be observed among the member states: while Germany, Austria and the Scandinavian countries favoured more stringent limits on vehicle emissions and fuel quality for the year 2000 than those proposed, southern states like Spain, Portugal and Greece described the Commission's proposal as 'too strict' (ENDS, 4/3/97).
The European Parliament discussed the Commission's proposals in the spring of 1997. In March 1997, three draft reports from the EP's Environment Committee were released, condemning the Commission proposals for being too weak (ENDS, 5/2/97). The failure to consult experts outside the industries concerned and the lack of transparency were also criticized in the reports (Skjærseth and Wettestad 2003: 13; Friedrich et al. 2000: 600). With regard to fuel quality, lower allowable sulphur content for diesel was suggested, and regarding emission limit values, binding limit values for the year 2005 were proposed. The Committee's suggestions were accepted by a large majority of the EU's plenary session in April 1997 (Friedrich et al. 2000: 599), when more than 300 of the 400 MEPs present voted in favour of tightening the two draft directives on emission limits and fuel quality (ENDS, 10/4/97). The Auto-Oil process was one of the Parliament's first chances to exert its new powers stemming from the introduction of the co-decision procedure under the 1993 Maastricht Treaty (Friedrich et al. 2000:594).
The car industry reacted to the Parliament's stance. The industry was particularly critical of amendments proposed by Socialist MEP Bern Lange, as the stricter new limit on nitrogen oxide emissions would, according to ACEA, be very hard to achieve (ENDS, 5/2/97). Europia reacted to the proposals of Green MEP Noel Mamre to reduce the sulphur content of petrol from 200ppm to 50 ppm in 2000 and 30 ppm by 2005 (ENDS, 5/2/97). Thus, there was aggressive lobbying by the automobile and the oil industries in the months following the Parliament's first reading.
In its common position in October 1997, the Environmental Council accepted some of the EP's amendments to the FQD. Indeed, it went well beyond the Commission's proposal, 'reflecting how unambitious the Auto-Oil I Programme was overall' (Friedrich et al. 2000: 602). However, the Council decided on a 150 pm sulphur limit by the year 2000, upheld the 350 ppm limit proposed by the Commission, and rejected mandatory standards for 2005 (Skjærseth and Wettestad 2003: 14; Friedrich et al. 2000: 602). The Directives were then sent back to the Parliament for a second reading. In the meantime, in January 1997, the Commission formally launched the Auto-Oil II Programme.
At the plenary session in February 1998, the Parliament voted overwhelmingly for stricter (and mandatory) 2005 fuel standards than those agreed by the EU environmental ministers (ENDS, 18/2/98). That vote set in motion the Conciliation Committee, which can be convened to resolve any disagreement between the Council and Parliament following the second reading of a legislative proposal. 5 Since the Parliament had a huge majority for most of the amendments (400–450 votes out of approx. 550 members present), this put the Council under strong political pressure to make concessions (ENDS, 18/2/97).
To get MEPs from the southern member countries on board, the Parliament had included derogations on fuel-quality standards, under which countries that can show 'severe socio-economic difficulties' in meeting the deadline could get extra time to comply (ENDS, 18/2/97). This angered environmental groups, who argued that the Parliament 'has approved derogations for precisely those countries which should be subject to the toughest controls' (ENDS, 18/2/97).
Directives established under the Auto-Oil programme
The negotiations of the Conciliation Committee had to settle two key questions: whether to set indicative or mandatory fuel and emission standards for 2005; and how strict several specific standards should be, including the issue of sulphur levels. A final result was ready in June 1998, and the Auto-Oil conciliation deal was formally adopted by the Parliament and the Council in mid-September that same year. The Parliament's call for mandatory 2005 standards was largely successful, but the fuel standards remained in line with the Council's 1997 decision (Wettestad 2006: 4). In other words, the EP accepted the standards desired by the Council rather than the more stringent limits it had pushed for. Two main directives were decided on:
- Directive 98/70/EC, the Fuel Quality Directive (FQD), related to the quality of petrol and diesel fuels, established minimum specifications
5 A Conciliation Committee may be set up under the co-decision procedure between the Council and Parliament, as provided for in Article 294 of the Treaty of the Functioning of the European Union (TFEU). Made up of members of the Council (or their representatives) and an equal number of representatives of Parliament, its task is to reach agreement on a text acceptable to both parties. The Commission is to assist the Council and Parliament in the process, helping them to resolve their differences.
for petrol and diesel fuels for use in road and non-road mobile applications. Under this directive, sulphur limits for the year 2000 will be 350 ppm in diesel and 150ppm in petrol; this limit will be tightened to 50ppm for both fuels in 2005. This Directive targeted the oil industry (Europia).
- Directive 98/69, relating to passenger cars and light commercial vehicles, targeted substances like CO, HC, NOx, and, for diesel cars, particulates. This Directive tightened existing emission limits in two stages (2000 and 2005), and targeted the car industry (ACEA).
Together, the new directives required a two-step improvement in exhaust standards and fuel quality by 2000 and 2005. The EU also agreed to phase out leaded petrol by 1 January 2000, with possible derogations from the obligation lasting up to five years for countries able to prove that the measure would cause 'severe socio-economic problems'. According to Friedrich et al. (2000: 504), the Parliament emerged as the clear winner from the Conciliation Committee negotiations; 'the Commission and particularly the oil industry became the biggest losers. The automobile industry found itself in the camp of the winners […]'.
Reactions
Regarding fuel quality, the oil industry and its euro-federation representatives Europia (European Petroleum Industry Association) and Concawe (European Oil Industries' European Organisation for Environmental and Health Protection) are the main target actors. Europia was initially not satisfied with the 1996 Commission proposal, as it was stricter than the organization 'felt justified on the basis of the Auto-Oil Programme's findings' (Skjærseth and Wettestad 2003: 17). Europia had been content that the original proposal had only 'indicative' 2005 fuelquality targets, and was consequently deeply dissatisfied with the Parliament's stance on the issue throughout the process. This issue also highlighted a split within the industry, as ACEA supported stricter fuelquality standards. While ACEA and other car makers (through the 'worldwide fuel charter') wanted a new international harmonization of fuel standards for diesel and petrol (with tight sulphur levels), this led to furious reactions in the oil industries: here the argument was that the overall emissions from vehicles could be reduced more cost-effectively through other means than very stringent sulphur levels (ENDS, 5/6/98). Europia also argued that low-sulphur fuels would increase CO2 emissions at refineries, as such fuels would require more complex and energyconsuming processes (Wettestad 2006: 6).
On the other issue, that of vehicle emission limits, the car industry – with its euro-representative ACEA – was the main target group. ACEA was highly critical at the outset, claiming that the Commission put all the burden on the car makers, while requiring 'very little improvement' in fuel quality. It saw the Auto-Oil programme as an unfair sharing of cost burden between the two industries (Friedrich et al. 2000: 599). However, ACEA became more positive over time.
According to Skjærseth and Wettestad (2003: 19), Europia's influence on the fuel quality context was rather low, and ACEA's impact on the emission limits context was also rather low. This they explain with reference to internal conflicts and rivalries between the two industries, as well as the formidable counterforces facing the industry in this case: 'These forces included a clear majority of the Council and the Parliament, in addition to the usual ENGO opponents' (Skjærseth and Wettestad 2003: 24).
The Auto-Oil process aimed at cutting vehicle exhaust pollution, and upon its finalization, ACEA could resume negotiations with the European Commission on a voluntary commitment to reduce CO2 emissions from new cars. One main reason for this is that sulphur-free levels have often been cited by car makers as a prerequisite for the introduction of advanced engine technologies with lower CO2 emissions.
In the aftermath of Auto-Oil I
The 'tripartite dialogue' used in the Auto-Oil I Programme was criticized by several member-state governments, NGOs and the European Parliament (Friedrich et al. 2000). This was therefore abandoned in later processes on fuel quality and car emissions, in order to promote a broader legitimacy base and in favour of a wider and more transparent consultation process.
The discussion on sulphur levels continued into the new millennium, with several actors demanding that the EU should envisage even lower levels of sulphur in motor fuels than the limits decided on under the 1998 FQD. Germany sought to get the EU to require all petrol and diesel cars to be sulphur-free from 2007, and car makers came with similar demands (ENDS, 25/5/00). The Commission launched a public consultation on the issue in 2000, and in 2001 it became clear that the Commission was ready to propose a further cut to 10ppm (which means sulphur-free fuel). On 11 May 2001, the Commission proposed making sulphur-free petrol and diesel mandatory throughout the EU from 2011. While this was accepted by the car manufacturers, it also put extra pressure on them to cut vehicle CO2 emissions. The industry had by then already signed a controversial voluntary agreement with the EU, and in May 2001 the Commission said that it would now 'explore the possibilities for additional commitments'' (ENDS, 11/05/01). Europia had at this point started to adjust to and accept tighter sulphur standards, and thus welcomed the 2001 Directive (Wettestad 2006: 6).
The EP Environment Committee responded to the draft proposal from the Commission by proposing a more ambitious timetable: all fuels for both road and non-road vehicles should contain less than 10ppm by 2008 (ENDS, 6/11/01). These demands were backed by the full assembly in November 2001. The environmental ministers then decided on a compromise: fuels were to be sulphur-free by 2009 – moving the timing forward from the Commission's original proposal of 2011. This was formally adopted late in 2002, when the EU decided on petrol and diesel with a sulphur content of 10ppm throughout the EU from 2009 – quite significantly improving the environmental ambition-level in the 1998 FQD. The
1998 FQD was thus modified by Directive 2003/17/EC, only affecting the sulphur limits for petrol and diesel set in the Directive.
4.2 CO2 emissions from cars
Voluntary agreements with the car industry
Since the mid-1990s, reducing CO2 emissions from cars has been targeted by the EU authorities as a main solution to the problem of climate change. In 1995, CO2 from passenger cars accounted for about half of CO2 emissions from transport, and about 12% of total CO2 emissions in the EU (Commission 1995: 2). Average CO2 emissions per kilometre from cars were 186g in 1995 (Brink 2010: 181–182). These high figures led the Commission to conclude: 'Against this background [the climate change challenge], developments in CO2 from transport are a special cause for concern' (Commission 1995: 2). After signing of the Kyoto Protocol in 1997, it became clear that the emissions path of the transport sector threatened the EU's ability to meet its commitments under the Protocol.
The Council called for a target of 120g CO2/km as early as 1992, 6 but in the early 1990s, the EU authorities could not agree on various proposals for regulating CO2 emissions from passenger cars (Keay-Bright 2000: 6). In December 1994, the Environment Council more specifically requested the Commission to look into the possibility of substantially lowering the fuel consumption of newly registered cars by 2005 (Commission 1995: 4). In 1995, the European Parliament formally supported the objective that new passenger cars registered in the EU should emit a mean of 120g CO2/km 7 by 2005 (Brink 2010: 181).
Following these early signals from the member states and the Parliament, the Commission adopted the Community Strategy to reduce CO2 emissions from cars in 1995. This CO2 emission reduction plan was based on a 'three-pillar strategy': a voluntary agreement, a fiscal framework and a consumer information scheme (COM (95) 689 final). 8 The goal of 120g/km by 2005 was noted in this strategy, representing a 35% reduction from 1995 levels.
The Environment Council endorsed this target in 1996 – but extended the time frame by specifying that the objective of the strategy should be to
6 Council Directive 91/441 EEC calls for proposals to reduce CO2 from passenger cars.
8 In its Community strategy to reduce CO2 emissions from passenger cars and improve fuel economy from 2005, the Commission proposed that an improved fuel economy should be based on the following elements: 1) an agreement between the Community and the auto industry involving clear objectives and provisions for monitoring, 2) the promotion of fuel efficiency of passenger cars to be incorporated as one of the objectives in a future Community initiative on vehicle taxation arising from the ongoing review of that area, 3) a complementary measure with regard to fuel-economy labelling, 4) an ambitious RTD effort to improve the performance of motor vehicles (Commission 1995).
7 This target equals an average consumption of 5 litres per 100 km for cars with petrol engines and 4.5 litres per 100 km for diesel engines.
achieve an average CO2 emission figure of 120g/km by 2005, or by 2010 at the latest. 9 A voluntary agreement with industry was highlighted as the central feature of the Commission's strategy. This was contested by the European Parliament, which started out by objecting to the principle of a voluntary agreement, and called on the Commission to propose binding CO2 emission limit values for passenger cars in a resolution of 10 April 1997 (Commission 1998: 2). In response, the Commission made the following declaration during the conciliation talks of 29.6.1998 between the Parliament and the Council on the Auto-Oil I FQD: 'In the event of negotiations with ACEA not coming to a successful conclusion, the Commission undertakes to consider the introduction of binding legislation' (Commission 1998: 2).
The use of voluntary agreements (VAs) in the environment field was quite widespread in the EU in the 1990s. Since the development of the EU's Fifth Environmental Action Programme, VAs were increasingly used as a means for effective environmental action, calculated to exceed more than 300 by 1997 (Volpi and Singer 2002: 144). Such agreements set targets, but they are not legally binding; it is left up to the industry how to achieve them. The automobile industry was familiar with voluntary agreements through the experiences of the German sector association, Verband der Automobileindustrie (VDA), which concluded a national, voluntary self-commitment in March 1995. The German manufactures made a commitment for a 25% reduction in the average fuel consumption of their cars produced and sold in Germany between 1990 and 2005 (Commission 1995: 13).
The Commission entered into technical deliberations with ACEA (European Automobile Manufacturers' Association) in early 1996. After months of negotiations on how to design the voluntary agreement, these negotiations stalled in early 1998, when ACEA staunchly held the position of achieving average emissions of 167g/km by 2005 (ENDS, 11/03/98). ACEA had offered this already in June 1997, a proposal which was immediately rejected by the European institutions, as it was considered too low a target. For a while it looked as if the Council would instruct the Commission to draft a directive setting mandatory limits on the CO2 emissions of new cars (ENDS 19/03/98).
9 See Council Conclusions of 25 and 26 June 1996: www.consilium.europa.eu/ueDocs/cms_Data/docs/pressData/en/envir/011a0006. htm
'The Council affirms the medium term objective to reach an average CO2 emission value for newly registered cars in the European Union corresponding to 120g CO2/km which is roughly equivalent to an average consumption of 5 l/100 km for petrol cars and 4,5 l/100 km for diesel cars. This means a significant reduction of the present level of CO2 emissions. The aim is to reach this objective by 2005. The Council is of the opinion that achievement of this will require the immediate establishment of intermediate emission objectives in a phased approach demonstrating substantial progress which should be the subject of close monitoring. Should it appear that it is not possible fully to achieve the objective by 2005, the phasing could be extended, but in no case beyond 2010.'
When the EU institutions 'threatened' legislation in 1997 and kept up the pressure in 1998, ACEA finally submitted to the Commission an offer for a voluntary plan to reduce emissions from new cars to 140g/km by 2008. ACEA said that this target was conditional on a range of commitments from governments. 140 g/km had been signalled as an acceptable level by a Council meeting in March 1998, and the new ACEA offer was considered as 'real advance' by many member states (ENDS, 19/03/98).
In July 1998, a voluntary agreement was signed between the ACEA and the European Commission (Commission 1998). This agreement committed automobile manufacturers to achieving a target of 140 g/km by 2008 (compared with the 1995 new car average of 186 g/km). This would equal a 25% reduction for all new registered passenger cars from 1995 to 2008. 10 ACEA also committed to bringing to the market individual car models with CO2 emissions of 120 g/km or less by the year 2000. In October 1998, the EU Council of Ministers formally approved the commitment. Speaking on behalf of the Austrian EU presidency, Environment Minister Martin Bartenstein called the deal the 'most wide-ranging and most important environmental voluntary agreement with industry the EU had ever concluded' (ENDS 6/10/98). A debate followed in the Council on whether to prepare contingency legislation which could be brought forward if car makers failed to live up to their commitment. Denmark wanted this, but other countries and the Commission objected, as it would undermine the good faith of the agreement (ENDS 6/10/98). In other words, the European Union decided to trust the car manufacturers.
This voluntary target of 140g/km fell short of the EU's target of 120g/km by 2005. To help bridge the gap, the Commission proposed legislation under the two other pillars of the Community Strategy as well: CO2 labelling and (member-state) fiscal measures. 11 Both these instruments were aimed at the demand side and were intended to provide additional reductions below the 140g CO2/km target of the voluntary agreements (Brink 2010: 183). 12
10 At the same time, ACEA said that it would review the potential for further CO2 emission reductions with a view to moving to 120g CO2/km by 2012. 'The original target of 120g CO2/km proposed for 2005, which had already moved to 2010, was thus in the process of being moved to 2012' (Brink 2010: 182–183).
12 Directive 1999/94/EC aims at ensuring that information related to the fuel economy/ CO2 emissions of new passenger cars is made available to consumers. Since 1999, fuel-economy labels for all new cars must be displayed at the point of sale. The Directive was intended to help raise awareness among consumers. Regarding taxation, the aim of the Commission was to encourage sales of vehicles with low fuel consumption via tax measures. However, not much happened before 2005, when the Commission presented a proposal for a Directive that would require member states to restructure their taxation systems for passenger cars.
11 In fact, the 'three-pillar-strategy' was in many ways a concession to the car industry; when the voluntary agreements were accompanied by the two other pillars the strategy became more acceptable to the industry (interviews, anonymous 2011).
As all main US car manufacturers are represented in ACEA, the only major producers left outside the ACEA voluntary agreement were Japanese and Korean. In 1999, the EU pressured Japanese (JAMA – Japan Automobile Manufacturers Association) and Korean (KAMA – Korean Automobile Manufacturers Association) car makers to make voluntary commitments similar to ACEA's (Commission 1999). JAMA and KAMA brought forward a voluntary offer in the summer of 1999, but this was rejected by the Commission, which had expected the Japanese and Korean producers to match the voluntary deal made with ACEA to reduce average 1995 emissions by 25% by 2008 (ENDS, 21/6/99). They finally agreed to this: the aim adopted was to limit average specific emissions from newly registered passenger cars to 140g CO2/km by 2009 – one year later than for ACEA.
In 1999 and 2000, the European Commission 'recognized' these commitments. Scholars have noted that the negotiation of the voluntary agreements suffered a serious democratic deficit, as the European Parliament was bypassed in the process. According to Volpi and Singer (2002: 150), public participation was almost non-existent, and the exclusion of the EP had dramatic consequences: 'Because negotiations have been carried out 'behind closed doors', the danger of regulatory capture materialized and led to the agreement of very weak targets'.
Already in its conclusions in June 1996, the Council had stated the need for a scheme to monitor CO2 emissions from passenger cars in order to assess the effectiveness of the CO2 reduction strategy. The Monitoring Mechanism, 13 adopted in 2000, was therefore an important part of the implementation of the voluntary agreements. This set up a system of annual data collection (on e.g. specific CO2 emissions, the number of vehicles registered and so on). The mechanism was initially based on information provided by the automobile association, but gradually member states provided more impartial information to the data (Brink 2010: 184). According to Article 9 of Decision 1753/2000/EC5, the Commission is to report annually on the effectiveness of the strategy.
Voluntary agreements deemed insufficient
The adoption of the voluntary commitments and the Monitoring Mechanism was followed by a phase of reporting and considerable focus on results. The voluntary agreements proved to have various fundamental shortcomings, in level of ambition as well as acceptance. Weak targets and inadequate enforcement made it hard to reach the EU's goal of 120g/km by 2010, and the agreements were surrounded by a lack of public participation and transparency (Volpi and Singer 2002; KeayBright 2000).
According to the Commission's first annual report on the deal (covering the period 1995–1999), some initial progress towards meeting the targets under the voluntary agreements was achieved – as all the vehicle
13 Decision No 1753/2000/EC of the European Parliament and of the Council of 22 June 2000 establishing a scheme to monitor the average specific emissions of carbon dioxide from new passenger cars
manufacturer associations had reduced the average specific emissions of their vehicles. To reach their target, all three associations (ACEA, JAMA and KAMA) had to cut emissions by 2% per year on average, but ACEA had managed improvement of 1.5%, JAMA 1.15% and KAMA only 0.4% (Volpi and Singer 2002: 151). The emissions cuts achieved were deemed not sufficient: 'in order to meet the final target of 140 g CO2/km additional efforts are necessary and the annual reduction rate needs to be increased' (Commission 2000: 5).
In the 2002 annual report (for reporting year 2001), the Commission reminded car makers that it could draft EU legislation to force down emissions from new cars if the manufacturers failed to reduce levels voluntary (Commission 2002). However, according to the same report, ACEA members were on track towards meeting the goal of a 25% cut in average new-car CO2 emissions by 2008, while the Japanese and Korean producers were lagging behind. 'Further efforts, particularly from KAMA, are needed to reach the final objective of 140 g/km, because the average annual rate of reduction is insufficient in all three associations' (Commission 2002). This picture was confirmed in the annual report published in 2004 (reporting year 2002), where the Commission stated that the intermediate target had been reached early by both ACEA and JAMA, and 'we therefore consider that these associations are on track to meet their long-term targets' (Commission 2004: 4). This was the first time the Commission used data provided by member states, and not data from the associations of automobile manufacturers themselves.
In the reports covering both 2003 and 2004, the Commission underlined that the reduction projections for all three associations remain a 'cause for concern', and the manufacturers 'will therefore need to increase their efforts if they are to achieve the final objective' (Commission 2005; 2006c). All in all, although some progress was made during the first years of the voluntary agreements, the average emissions from new cars sold in the EU-15 fell only from 186g CO2/km (1995) to 163 g CO2/km (2004), and the Commission realized that the voluntary approach had brought limited progress at best (Commission 2007b). Progress also varied considerably across manufacturers (Brink 2010: 187). It became apparent that voluntary agreements were not enough to achieve the reduction target, so binding legislation was now deemed necessary.
4.3 Summing up the baseline before 2006/2007: Auto-Oil (fuel quality) and voluntary agreements (car emissions)
Beginning with fuel quality, the EU's concern originally had to do with the contribution of vehicle emissions to deteriorating air quality and acidification problems, not climate change. The Auto-Oil processes were concerned with exhaust emissions and air quality, and this process had a low level of climate-related ambition in the years before 2006/2007. The two directives established in 1998 under the first Auto-Oil programme were related to the quality of petrol and diesel fuels for use in road and non-road applications and to substances like CO, HC, NOx from passenger cars and light commercial vehicles. Combined, these directives required improvements in exhaust standards and fuel quality in two steps (2000 and 2005).
The 'tripartite dialogue' used in the Auto-Oil programme was criticized by several member states and NGOs as well as the European Parliament. Stakeholders other than the car and oil industries perceived the Auto-Oil programme as being rather closed. Particularly the first phase of the Auto-Oil programme had strong industry involvement, with Europia (representing the oil refining industry) and ACEA (representing the car industry) as main players. The tripartite negotiations among Europe's car and oil industries and the Commission meant that member states, NGOs, and the European Parliament were excluded from the this phase of the policymaking process (1993–1995).
The Environment Council first discussed the Auto-Oil programme in 1996, and the European Parliament discussed the proposals from the Commission in the spring of 1997. The Auto-Oil process was one of the first chances for the Parliament's to exert its new powers stemming from the introduction of the co-decision procedure in the 1993 Maastricht Treaty (Friedrich et al. 2000: 594). The European Parliament succeeded in its call for mandatory 2005 standards in the two directives, but fuel standards remained in line with the Council's 1997 decision (Wettestad 2006: 4). Summing up the negotiations, Friedrich et al. (2000: 504) conclude that the Parliament emerged as the clear winner, whereas 'the Commission and particularly the oil industry became the biggest losers. The automobile industry found itself in the camp of winners.'
Several actors demanded that the EU should enact lower levels of sulphur in motor fuels than the limits determined by the 1998 FQD, and discussions on the limit values of both sulphur levels emission continued into the new century. The environmental ambitiousness of the 1998 FQD was strengthened in 2002/2003 when the EU decided that all fuels for road as well as non-road vehicles should contain less that 10 ppm by 2009 (Directive 2003/17/EC). In this process, the 'tripartite dialogue' used in the Auto-Oil 1 Programme was abandoned in favour of a broader and more inclusive and transparent consultation process. Comparing the process with establishing voluntary agreements between the Commission and the automobile manufacturers with the process for establishing the FQD, we see that both processes were initially rather closed to stakeholders other than the industry. However, we can also note that whereas the European Parliament was excluded from the negotiations on voluntary agreements, it made use of its new powers stemming from the codecision procedure introduced in the Maastricht Treaty to influence the FQD.
Turning to car emissions, the 1998 voluntary agreement between ACEA and the European Commission committed automobile manufacturers to achieve a target of 140g CO2/km by 2008, equal to a reduction of 25% for all new registered passenger cars from 1995 to 2008. Identical agreements were made with the Japanese and Korean Automobile Manufacturers Associations (JAMA and KAMA) in 1999. However, the voluntary agreements proved low in both ambition and acceptance by stakeholders other than the automobile industry. First, the target was weak compared to the 120g CO2/km target by 2005 adopted by the Commission in the 1995 Community Strategy to reduce CO2 emissions from cars. This target was probably not sufficient to stabilize CO2 emissions from passenger
cars at 1999 levels by 2010 (Volpi and Singer 2002: 143; Bondgardt and Kebeck 2006: 47). Second, there was limited progress in meeting the target: the voluntary agreements were deemed insufficient for achieving the 140 g CO2/km target. According to Volpi and Singer (2006: 153), '[t]he ACEA agreement cannot be considered a good example of an effective climate-protection measure.' Third, negotiation of the voluntary targets suffered a serious democratic deficit – the European Parliament was excluded from the process, and public participation was almost nonexistent. The voluntary agreements between the Commission and the car industry thus came to enjoy little acceptance from stakeholders other than the partners.
On the other hand, this was the first time the car industry agreed to voluntary emission reductions, and the voluntary agreements prepared the industry for the binding legislation to come. Specifically, the Monitoring Mechanism was established in 2000 to help implement the voluntary agreements. This mechanism for monitoring and reporting CO2 emissions from cars was initially based on information submitted by the automobile associations, but member states gradually provided more impartial emissions data (Brink 2010: 184).
Summing up, the voluntary agreements with the car industry and the Auto-Oil processes suffered from a relatively low level of ambition in terms of environmental goals, and low acceptance among outside stakeholders (ENGOs, the European Parliament, several member states). However, the agreements with the car industry prepared the industry for binding and more stringent regulations. Similarly, the Auto-Oil processes readied the oil industry for the process of reducing the CO2 emissions from fuel. In this sense, the voluntary agreements and the Auto-Oil processes represented stepping stones on the way towards binding CO2 legislation.
5 Initiation of coordinated policies
In March 2007, the European Council endorsed an integrated approach to climate and energy policy aimed at transforming Europe into a highly energy-efficient, low carbon economy. To meet this challenge, the EU Heads of State and Government established the 20–20–20 targets: a reduction in EU GHG emissions of at least 20% below 1990 levels; 20% of EU energy consumption to come from renewable resources; a 20% reduction in primary energy use compared with projected levels, through improvements in energy efficiency. In December 2008, the EU adopted the 'climate and energy package' to implement these 20–20–20 targets. The package consists of four pieces of complementary legislation: a revision and strengthening of the EU Emissions Trading System (ETS); an 'Effort Sharing Decision' among the member states governing emissions from sectors not covered by the EU ETS; binding national targets for renewable energy; and a legal framework to promote and develop carbon capture and storage (CCS). Although EU policies on fuel quality and car emissions were not part of the climate and energy package, the revised FQD and the car emissions regulation were negotiated at the same time as the package and must be seen in light of the 20–20–20 targets.
This section examines the initiation of a revised FQD and legislation on car emissions, beginning with the former directive.
5.1 A proposal for a revised fuel quality directive
Commission proposal
The 1998 FQD did not regulate CO2 emissions, but by 2007 EU lawmakers wanted to adopt new standards for transport fuels that would reduce the contribution of these fuels to climate change. To prepare for a new FQD was a highly technical exercise, and the Commission organized a stakeholder process with the relevant stakeholders. Two meetings were held and further opportunity was provided for written comments before the Commission presented its presentation in January 2007 (Commission 2007a: 4). 14 To get input on technical details, the Commission used its Joint Research Centre (JCR) to ensure a structured stakeholder process and meetings with stakeholders (Commission 2007a: 4). The work carried out by the JCR also involved the research organization of the European automotive industry (EUCAR) and the research organization of the European oil industry (CONCAWE). The JCR's final advice was received on 28 February 2006 (Commission 2007a: 5).
On 31 January 2007 the Commission presented a proposal for directive on fuel quality, revising Directive 98/70/EC. According to the Commission, the proposed directive '[…] reflects developments in fuel and engine technology, the growing importance of biofuels and the need both to meet the air quality goals set out in the 2005 Thematic Strategy on Air Pollution and to further reduce the greenhouse gas emissions that are causing climate change' (Commission 2007c: 2). The revision of Directive 98/70/EC had two purposes: to improve air quality by reducing emissions of, inter alia, sulphur and PAC; and to help combat climate change. The new Directive was intended to contribute to CO2 emissions being reduced by 500 million tonnes by 2020, to allow for a higher content of biofuel ethanol and to reduce emissions of dangerous dust emissions (Commission 2007c). The Directive was proposed as part of the 'integrated approach' on CO2 and cars, as fuels with lower carbon content are necessary to reduce emissions from the transport sector. The main changes to the directive proposed by the Commission were the following:
- Standards for sulphur dioxide: The mandatory date for a maximum of 10 ppm sulphur in diesel is confirmed as 2009 (Commission 2007a: 7).
- Vapour pressure and ethanol: A separate petrol blend will be established, to enable higher volumes of biofuels to be used in petrol and diesel. For the same reason, the vapour pressure limit is increased for petrol blended with ethanol (Commission 2007a: 8).
- Mandatory monitoring and reporting of 'lifecycle greenhouse emissions' from fuels as of 2009, as well as an obligation on fuel suppliers
14 The Impact Assessment reports the main views of stakeholders – in particular where stakeholders have diverging views (see Commission 2007b).
to reduce the GHG emissions that their fuels cause in the course of their life-cycle (during refining, transport and use). According to Article 7a of the revised FQD, suppliers will have to reduce emissions per unit of energy by 1% a year from 2010 levels in the period 2011–2020. This target – known as the 7a- target – is to result in 10% reductions by 2020.
The last point was of greatest importance for our purposes, as it aimed at supporting the further development of low-carbon fuels and helping to secure that also the fuel sector contributes to achieving the EU's GHG reduction goals (Commission 2007c: 2). This proposal was the first time a specific product – fuels – got a reduction target on the basis of a lifecycle, or 'well-to-wheel', analysis. Fuel suppliers are to meet the objective by cutting emissions from processing the fuels (e.g. reducing venting and flaring and by achieving efficiency gains in refineries) or by promoting the use of lower-carbon fuels such as hydrogen and biofuels.
The proposal also tried to ensure, for the first time, that increased biofuels actually reduce CO2 emissions in practice. Because producers must calculate the lifecycle emissions – or the total carbon footprint – of biofuels used, this will encourage them to seek more efficiently produced biofuels. While the best available biofuels on the market can reduce lifecycle emissions by 90% relative to fossil fuels, the worst ones can actually increase them (ENDS, 1/8/07).
The proposal for a revised FQD also meant that the process of cars and CO2 emissions could continue to the next level, as the Commission sent a clear message that automobile manufacturers were not to assume all the burdens involved in reducing CO2 emissions alone. The revised FQD (as well as the 10% target for biofuels by 2020) would also drive the development towards cuts in CO2 emissions from cars – biofuels are to be counted as a 'complementary measures', thus contributing towards the 120g CO2/km target for cars CO2 emissions.
Nonetheless, the target of a 10% reduction (the 7a-target) in lifecycle GHG emissions of fuels spurred considerable debate, with many questions and considerable uncertainty surrounding the target. Fuel suppliers who would have to reduce such emissions by 1% from 2011 onwards reacted with fury, criticizing the Commission for double legislation due to the EU ETS. Many questions were debated in the months following the proposal: How should efforts made by firms before 2010 be accounted for? Was the 1% per annum target for decreasing emissions too 'rigid'? Is it wise to embark upon a plan before introducing sustainability criteria for producing biofuels and before a method for calculating lifecycle emissions from fuels has been agreed? What about the impact and the coexistence of the regulation with the EU ETS? As we will see below, the various stakeholders had strong, and often diverging, views on these questions.
The 7a-target presented oil companies with a choice: they could either reduce emissions from the fossil fuel chain, or they could switch to biofuels. The oil industry early argued that the most relevant measure would be switching to biofuels, as only 15% of lifecycle emissions are
related to fuel production and distribution. The Commission, on the other hand, maintained that the 7a-target should (and could) also drive emission reductions in the fossil fuel chain: 'CCS and energy efficiency improvements such as flaring use of cogeneration at oil refineries, substituting gas for oil and reducing gas flaring in oilfields are all more cost-effective ways to cut emissions than switching to biofuels' (ENDS, 1/8/07).
Parallel to the Commission's proposal for a revised FQD, EU energy ministers also recommended a mandatory minimum target of 10% of all petrol and diesel consumption to come from biofuels in every member state by 2020. This target was explicitly linked to the FQD, as the target depended on changes in EU fuel-quality laws, to enable greater blending of biofuels into conventional fuels. The target was also conditional on biofuel production being sustainable, as well as on the introduction of second-generation biofuels (ENDS, 15/2/07; T&E et al. 2009: 16). The 10%-biofuels target was proposed as part of the Renewables Energy Directive, and thus also part of the proposed EU climate and energy package. The biofuels target was to spur considerable controversy, as we shall see.
Reactions to the proposal: Demand for sustainability criteria
Following the Commission's proposal, the European Parliament's Environment Committee requested a study. The report Inclusion of sustainability criteria in the Fuel Quality Directive was published in early July 2007, followed by an EP-led stakeholder consultation (European Parliament 2007: 24).
A debate ensued concerning whether the EU should stipulate biofuel sustainability criteria or not. In the EP's Environment Committee in September 2007, the centre–right EPP party held that the revised FQD was the wrong place to decide how biofuels should be produced. Despite the opposition from EPP, the Committee added minimum sustainability criteria for biofuels to the draft revision of the FQD at a meeting on 27 November 2007, when adopting the first-reading report on the Commission's proposal. Such criteria would oblige biofuel producers to protect water and soil resources in order to avoid significant negative indirect land-use change impacts. The Committee stated that only biofuels in accordance with the criteria should be counted towards meeting the 10% target. It also introduced a requirement for biofuels to deliver lifecycle CO2 savings of at least 50% compared to fossil fuels, in order for them to count towards the 10% target – as against the 35% suggested in the Renewables Directive. At the same meeting, the Environment Committee voted in favour of granting a more flexible timeline to industry: CO2 emissions should be reduced by 'at least 2% every 2 years' (as opposed to the more strict 1% per year proposed by the Commission).
Several EU governments were sceptical to the Commission proposal, and in the autumn of 2007 the Portuguese EU Presidency tabled a compromise plan (ENDS, 5/10/07). While some states felt the 10% target was too ambitious, other governments remained unwilling to commit to a target before biofuels sustainability criteria were defined, together with the principles for calculating GHGs (ENDS, 5/10/07). However, when
the EU environment ministers held their first public discussion of the proposal in late October that year, all reaffirmed their support for the goal in principle, but added three conditions which had to be met: 1) sustainability criteria for biofuels, 2) the relationship of the fuel proposal to other pieces of legislation must be clarified (especially as regards the proposed target for biofuels and the EU ETS), and 3) clear, harmonized methods for calculating lifecycle emissions (ENDS, 31/10/07; T&E 2007c). Some countries also questioned whether it would be possible to achieve the 10% by the 2020 target.
Europia stated that it 'shares the EU concerns around GHG emissions' and 'acknowledge[s] the need to take action' (Europia 2007b). The organization argued that the most appropriate measures for addressing CO2 emissions from the transport sector was through a multi-stakeholder approach, 15 and reacted to the energy package by noting that it 'contains only fuel supply-side measures', and considered that 'these should be accompanied by ambitious consumption demand-side measures' (Europia 2007a: 8). Europia also declared that the oil industry was prepared and willing to work for the introduction of biofuels in the market, but that the proposed FQD would 'generate multiple, inconsistent and conflicting regulation when coupled with the proposed 10% biofuels target and the refinery emissions caps set by the ETS' (Europia 2007a: 8).
In addition to these concerns which had been presented in January 2007, following the Commission's proposal, Europia underlined that the EU should differentiate within the fuels pool between fossil fuels biofuels, because there is a 'fundamental difference between the two classes of fuel in terms of GHG savings potential' (Europia 2007b). According to Europia, Wheel-To-Tank emissions in the case of fossil fuels represent only 15% of overall emissions, and the margin for reductions is very limited. In other words, at an early stage Europia signalled that the oil industry wanted to meet the FQD targets through more use of biofuels, and to a lesser extent through efficiency improvements of the fuel production processes. According to a statement issued by Europia in January 2007, the 10% target would translate into a 20–30% volume of biofuels (assuming typical biofuel GHG saving from 40–50%), and this level of biofuels use was 'certainly unrealistic based on purely EU indigenous production and it is questionable whether sufficient imported supplies can be made available within the existing timeframe' (Europia 2007b). Hence, Europia supported biofuels introduction as the best option to reduce GHG emissions of road fuels, but saw the proposed target as unrealistic.
Later in 2007, Europia made it even clearer that the oil industry was against the proposed 7a-target: 'Europia believes that inclusion of Article 7a in the Fuels Quality Directive is premature and should be deferred
15 A multi-stakeholder approach which: 'requires action from the car and truck manufacturers, the vehicle owner (driver), the transport infrastructure operators and the fuel providers. Improvement of vehicle efficiency and freight infrastructure are probably the most effective measures to achieve material and lasting CO2 emission cuts while decreasing energy consumption' (Europia 2007b: 2).
until the issues of concern have been resolved' (Europia 2007c). It also argued that EU requirements for the oil industry to remove sulphur from fuels were exerting upward pressure on carbon emissions.
ACEA, on the other hand, welcomed this proposal as a step on the way towards a more 'integrated approach'. The car industry stressed the importance of the fuel industry's contribution in reducing transport emissions, noting that the focus of the Commission is still 'far too much on vehicle technology' (EurActiv, 29/10/07, review)
The environmental NGO (ENGO) Transport and Environment (T&E) warmly welcomed the Commission's proposal in general, and Article 7a in particular. T&E saw the approach chosen as being very good, as lifecycle GHG emissions reduction targets differentiate between biofuels according to their environmental performance. The approach concentrates on the ends and not the means to the end, and, as noted by T&E, it makes more sense to 'set a climate obligation for fuel suppliers and let them figure out how to meet them in the most cost-effective way, than to prescribe a certain amount of biofuels with highly uncertain environmental effects' (T&E 2007b). In February 2007 T&E director Jos Dings compared the revised FQD with previous EU biofuels policies:
Until now, Europe's approach to alternatives like biofuels has been to promote them regardless of whether they are good or bad for the environment, or whether other renewable energy might work better. If it's designed right, this commitment to reducing carbon emissions will ensure that only the cleanest biofuels are promoted and the production process of fossil fuels is cleaned up. That is a very good approach and we welcome it (T&E 2007a).
This view is based on the previously discussed assumption that not all biofuels perform equally well, making a lifecycle approach necessary to identify the best-performing biofuels. In other words, while T&E supported the approach chosen under the FQD, the organisation was highly critical to the mandatory target proposed for biofuels as part of the energy and climate package. T&E defended the lifecycle approach under the FQD as an alternative to the EU's '10% biofuels target by 2020'. According to T&E, a volume target would not give any indication of the realworld reductions in emissions that would result, while the FQD would actually require fuel suppliers to improve their climate performance.
T&E was therefore very pleased when a large majority of the EU member states supported the idea in principle at the Council meeting in October: 'This is a significant development that the ministers support Article 7a. This is an important measure in efforts to clean up fuel production and avoid dirty fuels produced from tar sands and coal' (T&E 2007c). T&E was also pleased when the Environment Committee supported the idea of sustainability criteria, and the demand that only biofuels that deliver lifecycle emission savings of at least 50% compared with fossil-based fuels should be counted towards the 10% target.
Before examining how the final agreement on the revised FQD was reached, let us first look at the initiation of new policies on CO2 emissions from cars.
5.2 A new strategy on cars and CO2 emissions
Initiation: Time for legislation on cars and CO2 emissions
The early 2000s saw growing support for legislation instead of voluntary agreements with the car industry. The possibility of replacing the voluntary agreement with binding regulations was discussed repeatedly, at the national and EU levels. Governments had increasingly come to believe that the EU would have to legislate in order to limit CO2 from cars. In December 2003, the German Minister of the Environment, Jürgen Trittin, called for EU legislation to force car manufacturers to reduce to 120g CO2/km by 2012 (ENDS, 22/12/03). In 2003, Trittin was alone among European ministers in calling for legislative action – but this changed in 2004 when, after a meeting of environment ministers, several governments said that the Commission should be prepared to legislate (ENDS, 15/10/04).
In January 2005, the European Parliament backed these proposals through a resolution calling on the European Commission 'urgently to put forward proposals for binding CO2 limits for new vehicles'. 16 T&E supported this, arguing that an emissions trading scheme was the best option for achieving faster emission cuts, as well as CO2-based taxes (ENDS, 21/01/05). The June 2005 European Council unanimously reconfirmed that 'in line with the EU strategy on CO2 emissions from light-duty vehicles, the average new car fleet should achieve CO2 emissions of 140g CO2/km (2008/9) and 120g CO2/km (2012)' (Commission 2007a: 2).
Parallel to these discussions, in January 2005, the Commission announced that a new 'high-level' group, called CARS21, 17 had been set up to 'boost the competitiveness' of the European car industry. 18 The Group was established under DG Enterprise, to review the role of environmental policy and CO2 emissions as part of developing an overarching integrated policy framework for the automotive sector (Commission 2007c: 5). The CARS21 group was immediately criticized for its 'unbalanced' membership: 'The group has seven industry representatives but no representatives from either the Parliament's environment committee […] or NGOs with environmental expertise' (T&E 2005). According to Brink (2010: 194) 'CARS21 was (and remains) a process to support the competitiveness of the automotive industry, whilst at the same time working to clarify strategic and practical ways forward […]'. In reality, the views of the CARS21 Group were to become central in the Commission's work on drafting legislation on cars and CO2. 19 The central role of the CARS21
16 European Parliament Resolution 13/01/2004
18 CARS21 was not a Commission exercise as such: it was externally initiated and driven, but it had a strong ally in DG Enterprise and Günter Verheugen (interviews with Com1, Com4 and Com5, 2011).
17 Competitive Automotive Regulatory System for the 21st Century High Level Group
19 Interviewee information – expressing deep concerns over the group and the influence it had: 'This was not really a "broad group", and it was outrageous that an industry group basically was invited to write legislation. The industry gained an entry and an insight in a process which should have been more internal to the Commission' (2011).
Group has by many been criticized as inappropriate: it led to a closed and industry-led process, and finding constructive solutions for emissions reductions was difficult, with the industry presence so prominent (interviews with Com1, 2011 and Com4, 2012). Conversely, the car industry itself has argued that this was a good discussion platform, with the most important stakeholders and policymakers represented – making it easier to find consensus and feasible solutions. 'CARS21 was a real mirror of what you could expect from the actual regulatory process' (interview with ACEA1, 2011).
In early 2006, the Commission – this time DG Environment – launched a public consultation on how best to achieve the EU's more ambitious CO2 reduction target of 120g/km by 2012. A first round of public consultations was carried out by the Commission in 2005–2006 via an internet consultation (Commission 2007c: 5), complemented by a working group established under the European Climate Change Programme (ECCP). 20 It became important for DG Environment to gain control over the process after the establishment of the CARS21 Group, and DG Environment decided to use the ECCP to conduct a proper Impact Assessment on the issue. It was decided that CARS21 could provide input to this Impact Assessment, as DG Environment wanted to limit the influence of the powerful group on the actual policy process (interview with Com1, 2011). DG Environment viewed the ECCP as a more balanced stakeholder forum, and 'more in line with the discussion DG Environment wanted' (interview with Com1, 2011).
The ECCP review concluded that although the voluntary approach had delivered solid reductions in CO2 emissions, it had not been as successful as hoped. Given this slower-than-expected progress to date, the 120g/km target could not be met by 2012 without additional measures (Commission 2007b: 2).
In November 2006, ACEA responded to the ECCP process and the alleged 'failure' of the car industry: 'the European car manufacturers are fully committed to reducing CO2 emissions of passenger cars […]' (ACEA 2006). The car industry asserted that the EU should introduce harmonized carbon dioxide-based taxation and other demand-side measures to cut CO2 from cars, instead of demanding more technology changes from car manufacturers. In other words, the industry fought hard to keep the voluntary agreements, and explained the slow progress by, inter alia, pointing to consumers and their unwillingness to buy CO2efficienct models. The car sector is one of the most competitive markets in the world, and 'if people don't buy CO2 efficient cars, what can you do?' (interview with ACEA1, 2011). ACEA also pointed to EU regulatory developments, concerning for instance safety and air pollution, as factors giving 'counterproductive effects' on emissions reductions (ACEA 2006). The organization urged the EU to take an 'integrated
20 European Climate Change Programme. All documents from this ECCP process can be found here:
http://circa.europa.eu/Public/irc/env/eccp_2/library?l=/light-
duty_vehicles&vm=detailed&sb=Title
30
approach' to further CO2 reductions – as the CARS21 Group also recommended. We return to a discussion of the concept 'integrated approach' below.
A new strategy on cars and CO2 emissions
The early stakeholder consultations and preparations culminated in February 2007, when the Commission presented a revised CO2 and cars strategy, with a proposal for binding legislation as its cornerstone (Commission 2007a). This strategy consisted of a set of measures aimed at influencing both the supply and the demand side of the EU market for cars and vans. The strategy presented in February had been postponed twice, as a result of heavy lobbying and internal divisions in the Commission. Let us take a closer look at the internal discussions and conflict in the Commission, prior to publication of the revised strategy.
When it was decided that some sort of binding legislation was necessary to reduce CO2 emissions from cars, a most central question to be settled was this: How should the emissions-reduction burden be shared? Environment and Industry Commissioners were discussing whether the main responsibility for reducing CO2 emissions should lie with automobile manufacturers (as under the voluntary agreements), or be shared among several stakeholders. While Environment Commissioner Stavros Dimas wanted a 120g CO2/km binding limit on average emissions from new cars from 2012, Enterprise and Industry Commissioner Günter Verhaugen from Germany declared that would unfairly punish manufacturers of large and high-performance vehicles. It would be disadvantageous to the German car industry in particular, and Verhaugen worried that new, binding legislation targeting only the manufacturers would lead the car giants to move out of Europe, costing the continent thousands of jobs (The Guardian 8/2/2007). Verhaugen therefore favoured what became known as the 'integrated approach', which would involve tyre-makers, fuel suppliers, repairers, drivers and public authorities as well as vehicle manufacturers (interview with Com2, 2011). The integrated approach had gained traction through the CARS 21 Group which, as mentioned above, was set up in 2005 by Verhaugen. It is obvious that the Commission took the work of the CARS21 Group into account when creating the CO2 and cars strategy, and the Commission presented a Communication on CARS21 along with the revised CO2 and cars strategy (Commission 2007c); the two were in fact published on the same day.
The internal dispute in the Commission over the actual content of the strategy led to several delays, but the international community put extra pressure to bear on the Commission, as this (January 2007) was the time when the dramatic 2007 report from the Intergovernmental Panel on Climate Change (IPCC) report was published (IPCC 2007). 21
21 The headline findings of the IPCC Fourth Assessment Report, the largest and most detailed summary of the climate change situation to date, were: "warming of the climate system is unequivocal" and "most of the observed increase in global average temperatures since the mid-20th century is very likely due to the observed increase in anthropogenic greenhouse gas concentrations" (IPCC 2007).
Commission President Barroso finally intervened to settle the internal dispute between the Commissioners. According to one of our interviewee, Barosso said that Dimas and Verheugen should work together on this piece of legislation; he did not wish to take sides, and so he did not give the file to any one of the Commissioners (interview with Com1, 2011). On 7 February 2007, the Commission was ready to present the strategy.
The strategy: main content
The strategy envisaged binding EU legislation (not voluntary agreements) to ensure that average emissions from new cars sold in the EU27 would reach the 120g CO2/km target by 2012. It was stated that the Commission would propose a legislative framework by the end of 2007 or by the latest by mid-2008. Improvements in motor technology would have to reduce average emissions to no more than 130g CO2/km, while the remaining 10 gr (in order to reach the 120g CO2/km target) would be left to softer 'complementary measures' (Commission 2007a). This meant that car producers would have to realize new vehicle-technology improvements, but that these measures would be complemented by further use of biofuels, 22 fuel-efficient tyres and air-conditioning, traffic and road-safety management and changes in driver behaviour. The strategy did not contain any longer-term target. The Commission (2007a; 2007b) also proposed the following:
- For vans, the fleet average objectives would be 175g CO2/km by 2012 and 160g CO2/km by 2015, as against 201g CO2/km in 2002;
- Investments in research aimed at reducing emissions to an average of 95g CO2/km by 2020;
- Encouraging member states to promote and stimulate the purchase of fuel-efficient vehicles (via labelling and car taxation);
- Requiring car manufacturers to sign an EU code of good practice on car marketing and advertising to promote more sustainable consumption patterns.
In other words, the final decision of the Commission marked a partial defeat for Stavros Dimas – as the integrated approach weakened the earlier target of 120g CO2/km. It is important to understand that the EU at this point was caught in a zero-sum game: the 120g CO2/km target was taken as a given (nothing else could be introduced at this point) – so if someone else is going to do more, that means that the car industry will do less. The decision to go for an integrated approach can be interpreted as a necessary compromise with the car industry (and Germany) in order to achieve a legislative outcome, but it can also be seen as a major lobbying victory for the car industry (Brink 2010: 194).
22 The contribution of biofuels to the integrated approach is ensured through the fuel quality directive.
Reactions to the strategy on cars and CO2 emissions
Reactions to the Commission's revised CO2 and cars strategy were intense and deeply divided. Various stakeholders and actors disagreed among themselves on how the market-wide average of 130g/km should be split among the manufacturers and models. The Commission had not been clear on this in its strategy, saying only that 'the weight option' was one of many options being considered:
How exactly this will be translated at the level of the manufacturers and vehicles, and how the emissions saving of up to 10g CO2/km to be contributed by complementary measures will be divided amongst the various measures identified, have yet to be decided. The precise definition of the regulatory approach will be established after wide consultation and on the basis of a thorough impact assessment (Commission 2007b: 3).
The strategy also underlined that legislation should be 'nondiscriminatory', meaning that 'legislation should not hurt anyone too much'. 23
ACEA described the 130g/km target as 'arbitrary and too stringent' and said that '[p]utting the burden mainly on the car industry is the most expensive and least cost-effective method possible' (ACEA 2007a). It underlined that CARS21 had endorsed the integrated approach, and said that the Commission had put too much emphasis on vehicle technology, and too little on the 'complementary measures' (like biofuels, eco-driving and infrastructure measures). The automobile industry claimed to support the overall 120g CO2/km target, but felt that the target could be reached in a wiser and more cost-efficient way – by sharing the burden between different stakeholders to a larger extent than proposed in the strategy. In its response to the Commission's CO2/cars consultation, ACEA wrote:
[…] as stated by ACEA during the 2003 potential reduction review under the CO2 Commitment, as recommended in 2005 by the multi-stakeholder group CARS 21, and as adopted in the 2006 Commission's Energy Efficiency Action Plan, an Integrated Approach involving all relevant stakeholders is required to reach the Community target of 120g CO2/km […] The Commission's ECCP consultant had clearly concluded that engine technology was a high-cost measure to reduce CO2 emissions (ACEA 2007b: 2).
The integrated approach chosen in the strategy was, according to the industry, not 'integrated enough' – it was a limited integrated approach, with too much burden placed on the car manufacturers (interview with ACEA1, 2011).
In the discussions during 2007 related to burden-sharing among automobile manufacturers, the industry called for a system with differentiated caps according to vehicle weight, enabling heavier cars – which, according to ACEA, respond to consumer demands – to exceed
23 A point stressed by one of the interviewees: in practice it meant that it should not hurt the Germans too much.
the 130g/km target. However, there was a split in the car lobby at this time. While Germany producers like BMW and Mercedes-Benz make heavier vehicles and had rising emissions, France's Peugeot and Renault, and Fiat of Italy, make lighter cars whose emissions were falling. 'Porsche, the German luxury car maker, recently called it a "war" in the European car industry waged by French and Italian makers of smaller cars against Germany' (The Guardian, 8/2/2007).
From the opposite side of the table, environmental NGOs condemned the Commission's strategy, saying that it weakened an eleven-year-old climate target (EurActiv, 8/2/07). Although the NGOs acknowledged that the strategy did, for the first time, 'say that carmakers will now face binding legislation to improve fuel efficiency', the 'integrated approach' and the 130g CO2/km led to great disappointment (T&E 2007d). The ENGOs did not want the legislation linked to weight, as 'linking emission standards to weight would greatly reduce the main incentive to manufacture and sell lighter cars, because these would be subject to proportionately tougher standards' (ENDS, 29/8/07). The ENGOs linked the new proposal to the recently published IPCC report: 'Following last week's devastating report on the threat of global climate change it is clear that tougher action is required, not weaker' (Friends of the Earth transport campaigner Tony Bosworth to The Guardian, 7/2/2007).
The Council gave overwhelmingly support to the Commission's strategy, underlining the need for an integrated approach (ENDS, 1/7/07). In June 2007, the Environment Council 'urged the European Commission to come forward, as soon as possible and before the end of 2007, with a legislative framework to reduce CO2 emissions from cars […]' (Commission 2007d). The strategy and its targets did, however, arouse fierce opposition in some of the member states, and especially in Germany – with warnings that the new legislation could wipe out premium automobile manufacturers such as Mercedes, Audi, Porsche and BMW.
In the European Parliament, UK Liberal MEP Chris Davies rejected the Commission's strategy as too costly, maintaining that it did not give manufacturers enough time to make the necessary design changes. He proposed that the industry should have three extra years to meet the EU target, but that the full and sole responsibility for meeting the 120g/km mark should rest with the industry (as opposed to the integrated approach). Hence, the industry should be asked to do more, but later. In a resolution adopted in September 2007 the EP's Environment Committee said that automobile manufacturers would have to reach the EU target of an average of120 grams per kilometre by 2012 through improvements in vehicle technology alone, thus rejecting the 'integrated approach' – as well as Davies' phase-in period (ENDS, 13/09/2007). Rapporteur Chris Davies welcomed the decision of the Committee, even though it had rejected by a significant majority his plan to allow manufacturers until 2015 to meet the tougher target (ENDS, 13/09/07).
The Environment Committee failed nonetheless to persuade the full assembly, and when the resolution was up for vote in the Parliament on 10 October 2007, the Commission's proposal was weakened. The EP recommended that the target should be 125g/km, but that manufacturers
34
should have until 2015 to meet it. This recommendation was significantly weaker than the 120g/km by 2012 target proposed by the EP's Environment Committee a month previously. The Parliament also recommended that reduction targets be defined through a footprint-based (track width multiplied by wheelbase) limit value – and not by weight (as discussed above). T&E was very disappointed with the decision, saying that this target was 20% weaker than the Commission proposal, and 40% weaker than that of the Environment Committee (ENDS, 24/10/07). Also Green MEPs were highly displeased with the assembly's decision.
The task of preparing a proposal was handed over to the Commission's General Secretariat (headed by former Environment Directorate head Catherine Day) in order to prevent bickering between the Commission's industry and environment departments (ENDS, 18/12/07). Several issues were hard to decide on – like the level of penalties, what an emissions trading scheme for car emissions could look like, and how to differentiate among classes of cars (ENDS, 18/12/07).
Proposal for legislation on cars and CO2 emissions
The Commission finally proposed the draft regulation on 19 December 2007 (Commission 2007c). Like the strategy launched in February, it was based on an 'integrated approach' where the target of 120 g/km was to be reached through improvements in motor technology accounting for average emissions reductions up to 130g CO2/km (by 2012); and complementary measures contributing to the final cut of up to 10g CO2/km (thus, the Commission was not asking the automobile manufacturers to bear the full responsibility of the reduction). The setting of a binding target of 130g/km marked the end of the voluntary approach, although it weakened the previous 120g/km target.
The average 130g/km target was finally proposed to be implemented according to a utility function based on vehicle weight (mass). A limit curve of permitted emissions of CO2 for new vehicles was defined according to the mass of the vehicle ('sloped line target'). The curve was set in such a way that heavier cars would have to improve more than lighter cars, but in practice the limits for heavier vehicles were quite lax – for instance, cars weighing more than two tonnes, such as the Porsche Cayenne or the Land Rover, would still be allowed to emit more (above the limit value curve) – as long as they were balanced by cars which were below the curve. This was criticized by ENGOs, but according to the Commission, that calculation method ensured that manufacturers of larger cars would still have to make proportionally greater cuts than producers of smaller cars. 24
24 A good explanation of the sloped-line target proposed can be found in Brink (2010): 'It adopted the sloped-line target idea noted above and proposed a somewhat flattened target: a slope at 60 per cent of the best-fit line of CO2 to mass. Manufacturers of heavy vehicles reportedly preferred a slope of nearer 80 per cent, and those of smaller cars a slope of 20-30 per cent. Had there been a 'zero per cent slope', this would have been a horizontal line and hence the same as a common target […] The 60 per cent slope is slightly more favourable towards smaller vehicle manufacturers, and it partly addresses the perverse incentive for
Furthermore, the Commission proposed that penalties should be payable for each g/km of CO2 emitted by the manufacturer's average vehicle above its fleet target, multiplied by the number of vehicles sold. 25 Various flexibility mechanisms were introduced: for instance, manufacturers would have the opportunity to form a 'pool' with other automobile manufacturers to allow them to jointly meet their combined target. The proposal covered all manufacturers selling new cars in Europe – whether European, American, Japanese, Korean, etc.
Both automobile manufacturers and environmentalists immediately reacted by criticizing the plans, and a period of intense lobbying from all sides ensued. An ACEA representative branded the system proposed as 'punitive, repressive and unrealistic' (ENDS, 19/12/07). T&E, on the other hand, raised concerns over the level of the penalties, as well as weight as a parameter for setting CO2 standards. The ENGO said the proposal favoured heavy vehicles, and reduced the incentive to make smaller cars – the best CO2 reduction measure of all (ENDS, 19/12/07).
6 Deciding on policies
6.1 The fuel quality directive
Formal negotiations on the draft proposal started on 6 February 2008. One of the main issues at stake in the decision-making process was whether binding 'sustainability criteria' for biofuels should be included in the Directive. The decision-making process was also influenced by the intensified stream of critical reports and studies on biofuels throughout 2008. In this section we seek to get an overview of the FQD decisionmaking process, from early 2008 until the final agreement was adopted in December that same year. How did key actors work to change the Commission proposal? Which links were introduced in the negotiation process? And how can we assess the final outcome in terms of level of ambition and acceptance (in relation to the Commission's proposal)?
Council and MEPs teaming up
As we have seen, both the Council and MEPs welcomed the Commission's plans, but said that the new directive should include sustainability criteria, to prevent environmentally-harmful biofuel production. The Commission responded that it was developing sustainability criteria, but that these would be best agreed in the proposed directive on renewable energy promotion (the RES directive), which would include the previously discussed 10%-biofuels target. MEPs argued that the criteria planned by the Commission under the RES directive would not be in place sufficiently early to prevent fuel makers from investing in cheap but 'bad' biofuels (EurActiv 30/1/08). This deadlock was partly settled in February 2008, when EU governments created a working group to establish 'core criteria' for biofuel sustainability intended to appear in the
25 €20 per g/km in 2012, €35 in 2013, €60 in 2014, and €95 in 2015
renewables directive as well as in the FQD (ENDS, 25/2/08). According to ENDS (25/2/08), EP rapporteurs on both renewables and fuel quality supported this move, and an alliance of member states and MEPs was thus created to pressure the Commission to include binding sustainability criteria in the FQD.
A draft paper circulated by the Slovenian presidency in late March 2008 showed that governments felt that the Commission proposal requiring all biofuels used in Europe to deliver lifecycle savings of 35% compared to conventional fuels was too weak (EurActiv 01/04/08). When the special working group delivered its final draft sustainability criteria in early May, it became clear that the group recommended 'that the minimum level of carbon dioxide savings that biofuels must yield should be set in two stages'– from an initial savings threshold of 35%, rising to 50% from 2015. The various member-state governments disagreed among themselves on these figures, with some saying they were too high, others too low (ENDS, 8/5/08); thus there emerged a split on where and when to set the second-stage target. The working group also held that the EU should accept imports only from countries that have ratified and implemented international treaties such as the Kyoto Protocol.
Since January 2008 a range of studies had questioned the eco-friendliness of biofuels; during the spring, the stream of critical reports and studies intensified (T&E et al. 2009: 17). In February 2008, the UK review (the 'Gallagher Report') on the indirect impacts of biofuels was published. It concluded: (2008:8) 'the displacement of existing agricultural production, due to biofuel demand, is accelerating land use change and, if left unchecked, will reduce biodiversity and may even cause greenhouse gas emissions rather than savings' (cited in T&E 2009: 17). Even the Commission's in-house scientific department, the Joint Research Centre, concluded that the cost of promoting biofuels would 'almost certainly' outweigh the benefits, with no guarantee of reducing GHG emissions (ENDS, 1/6/08). The increase in biofuels production was also linked to the global food crisis, as well as deforestation taking place around the globe. 'Pressure is mounting on the commission to scrap the new biofuel target as several top EP scientists recently joined in the criticism' (ENDS, 1/6/08). This led the 2008 Spring Council of EU leaders to no longer explicitly include support for biofuels in their target, but merely reiterate the importance of ensuring the sustainability of biofuels (T&E et al. 2009: 16).
In 2008, several NGOs also accused oil firms of erroneously claiming that the 7a-target was unachievable. A report published by Friends of the Earth Europe in April 2008 showed calculations that fuel producers could achieve reductions of between 10.5% and 15.5% by reducing gas flaring and venting, improving energy efficiency and switching to alternative fuels at refineries: thus, the oil industry could reach the target 'without using harmful biofuels at all' (Friends of the Earth 2008).
Final agreement on a revised Fuel Quality Directive
In December 2008, the EP adopted a legislative resolution on the proposal for a revised FQD, with 670 votes to 20 (European Parliament 2008). The report was tabled for plenary consideration by Dorette
Corbey, on behalf of the Committee on Environment, Public Health and Food Safety. The legislative resolution adopted in this first reading was the result of a compromise between Parliament and Council, making it easy to proceed to a first reading deal with the member states.
A final text on the revised EU FQD was then agreed on in November 2008, yielding a 'first-reading agreement' after three months of talks between the EP and the Council. The final directive was presented as part of the climate and energy package containing measures aimed at fighting climate change and promoting renewable energy. It requires fuel suppliers to reduce lifecycle GHG emissions from road fuels by 6% from 2010 to 2020 (Article 7a), and thus introduces for the first time a reduction target for GHG emissions from fuels. The legislation is to apply to all petrol and diesel used in road transport, as well as gasoil used in non-road-mobile machinery. The 6% was presented as part of a bigger 10% reduction target, made up of:
- a 6% reduction in GHG intensity of fuels by 2020, with intermediate indicative targets of 2% by 2014 and 4% by 2017 (Article 7a)
- an additional 2% reduction subject to developments in new technologies such as CCS
- a further 2% reduction to come from the purchase of Clean Development Mechanism (CDM) credits.
Article 7a requires fuel suppliers to cut the carbon footprint of their products, per unit of energy sold, by 6% in 2020, compared to 2010 baseline of fossil- fuel GHG intensity. The greenhouse gas intensity of fuels will be calculated on a lifecycle basis. Thus, from January 2011, distributors of fuel would be obliged to report the emissions per unit of energy from the various fuels they distribute. Combustion CO2 emissions (about 85%) cannot be influenced by the supplier, implying that the remaining 15% would need to be cut to 9%. Every reduction undertaken before the baseline year of 2010 does not count: only improvements between 2010 and 2020 are relevant.
To enable these GHG emission cuts, petrol may have higher biofuel content, and so the revised FQD also facilitates the more widespread blending of biofuels into petrol and diesel. From 2011, petrol may contain up to 10% bioethanol. In order to avoid damage to older cars, however, fuel with 5% ethanol (E5) will continue to be available until 2013, with the possibility of extending this period.
The compromise aims to ensure that only biofuels that fulfil sustainability criteria will be used. For biofuels to count against the GHG emission reduction targets they must meet certain sustainability criteria set out in the FQD (which correspond to those in the Renewables Directive). With effect from 2017, the GHG emissions saving from the use of biofuels is to be 50%; after 2017, it shall be 60% for biofuels produced in installations where production has started from 2017 onwards. This means that the biofuels to be taken into account are not be made from raw material obtained from land with high biodiversity value, raw material obtained from land with high carbon stock, or raw material obtained from land that
was peat land as of January 2008 (European Parliament 2008). The agreement also introduces for the first time a limit on the petrol additive MMT (an organometallic compound) of 6mg from 2011 and 2mg from 2014. Further, the revised FQD requires labelling of other metallic additives. The proposal for relaxing the maximum vapour pressure limit for bioethanol blends was rejected by EU lawmakers (ENDS, 27/11/08).
Europia found the 6% target 'more aligned' with the target expected in the Renewables Directive, and was thus quite content (ENDS, 27/11/08). However, it repeated that 'the reduction target should not apply to fossil fuels and it would not improve refinery efficiency beyond the level already being encouraged by the EU's emission trading system' (ENDS, 27/11/08). The environmental group T&E also welcomed the agreement as a very good step in a highly positive direction. According to one informant, however, the environmental groups were uncertain how to respond to the final agreement – going from a 10% to a 6% target. There had been considerable controversy around biofuels, many critical studies had been published, and debates over indirect land-use change (ILUC) complicated the matter. A 10% target would mean an even greater incentive for more biofuels – so 6% could actually be the best for the environment and the climate. The key question that put the ENGOs in a difficult situation was how to make sure that biofuels would provide significant carbon emission savings compared to fossil fuels. We return to the discussions of this question in section 7.
Parallel to the adoption of the revised FQD, a directive on renewable energy (RES Directive) was also agreed in the EU, on 9 December 2008. It sets an overall target of 20% renewable energy for the EU, to be divided among the member states. Furthermore – and of relevance to this report – the RES Directive sets a 10% mandatory target for the share of renewable energy in road transport fuels for 2020. While the original Commission proposal read 'biofuels', this was changed in the decisionmaking process to the broader term 'renewable energy'. It is still widely assumed that the RES Directive will act as a major driver for increased biofuel production. The directive employs the same sustainability criteria as the FQD, aiming to ensure that only sustainable biofuels count towards the target. The 10% target has to be met individually by each EU member state: states may choose to do this through use of biofuels or renewable electricity in cars and trains.
6.2 Regulation 443/2009 on cars and CO2 emissions
Decision-making: The proposal goes to co-decision
After the Commission had finally proposed the draft regulation on 19 December 2007, the legislation was debated by the European Parliament and the member states, as the proposal was subject to the co-decision procedure by the Council and the EP. This opened up to a full-scale political battle between opponents and supporters of the new measure.
The proposal was widely discussed during both the Slovenian and French EU presidencies in the spring and autumn of 2008, respectively. Within the Council, Germany and France dominated the discussions. Germany led the political opposition to the proposals; at an early point the German
Chancellor Angela Merkel stated: 'We believe this path is not economically favourable […] therefore we think that industry policy is being made here which burdens Germany and German carmakers' (The Guardian, 20/12/2007). The UK and the Netherlands, by contrast, argued against watering down the proposal (Brink 2010: 198).
Several member states argued for a substantial 'phasing-in' of compliance, and attacked the 2012 target date. Prior to a meeting of environment ministers in June 2008, a Slovenian presidency Progress Report revealed that some governments wanted to move the proposed deadline for car makers to reduce CO2 emissions to 130g/km, from 2012 to 2015. Germany signalled that its car manufacturers would not be able to fully meet their share of the proposed target by 2012, and proposed that the binding limit should be phased in gradually (ENDS, 6/6/08).
In a meeting in April 2011 (during the Slovenian Presidency), several things became clear; 'The German official said France now wanted to take the matter out of the hands of the environment ministers and resolve it between heads of government. France takes over the EU presidency for six months in July and wants a deal on its watch' (Reuters, 11/4/2008). A major sticking point between Germany and France was whether a car's weight or the size of its carbon footprint should determine how the curbs were to apply. Since their interests were so divergent, it was widely assumed that any deal that could be agreed by these two countries would form the basis for an EU-wide agreement.
In a joint statement in June 2008, Merkel and Sarkozy gave their backing to the 120g/km by 2012 target, saying that the targets should be based on vehicle weight (in line with the Commission's proposal). This meant that heavier, more-polluting German cars could emit more – as long as the manufacturers balanced this production with smaller, less-polluting models. Both France and Germany called for a 'substantial' phasing-in of the target, the inclusion of eco-innovations, as well as greater flexibility on penalties. No specific proposals for a timetable for a phase-in were included in this June declaration (ENDS, 10/6/08).
Achieving an agreement on cars and CO2 was a priority for the French Presidency, as it wanted to bolster the EU's leadership role in addressing climate change (Brink 2010: 197; interviews with Com1 and N1, 2011). This can to some extent explain why France was ready to yield to German demands (like the weight parameter) – the Presidency wanted to 'close the deal' before the end of 2008. After this, a new, less climateprogressive member state would take over the Presidency (the Czech Republic), and it was important to agree on ambitious climate change policies before the 2009 elections to the European Parliament (interviews with EP1 and ENGO1, 2011).
Reactions to the German–Franco car deal were varied. The German car industry seemed pleased, but ENGOs raged: 'Germany's BDI industry group said Chancellor Angela Merkel had strongly defended German industrial interests in her talks with French President Nicolas Sarkozy […] But Germany's opposition Greens party and pressure group Greenpeace sharply criticized the proposal, accusing Merkel of putting carmakers' interests before environmental concerns' (Reuters, 10/6/08a). Car makers welcomed the transition period until 2015, as well as the inclusion of ecological innovations. 'The proposal is not ideal but better than the one from the European Commission' (Matthias Wissmann, president of the VDA car lobby, quoted in Reuters, 10/6/2008b). Looking back on the decision-making phase, one NGO representative said that the German–Franco deal was the real turning point; this agreement 'ruined the changes of an ambitious agreement' (interview with ENGO1, 2011).
The European Parliament also watered down the Commission's proposal, although there was a major divergence of opinion within the Parliament at this time (interview with EP2, 2012). In early September 2008, the Industry and Energy Committee adopted a resolution saying that car makers should have three years' breathing space to implement CO2 reduction: they would only be required to ensure that 60% of their fleet met the target by 2012, 70% in 2013, 80% by 2014 and 100% by 2015 (EurActiv 02/09/08). It also proposed a penalty of €40 per excess gram of CO2 – less than half of the amount proposed by the Commission. Green groups responded by accusing Industry Committee MEPs of bending to pressure from the car industry (EurActiv, 02/09/08).
Later that same month (September 2008), the EP's Environment Committee said that the Commission's proposal was too soft on car manufacturers, who should be forced to limit average CO2 emissions from new cars in the EU to 130g/km by 2012, as part of an overall 120g/km target. 26 One major change to the Commission's proposal was the inclusion of a longer-term emission limit of at least 95g/km in 2020.
For some time it looked as if the Environment Committee would vote along the same lines as the Industry Committee. Prior to the actual vote, the Italian socialist rapporteur Guido Sacconi had – in collaboration with Martin Callanan from the Conservatives – tabled a set of compromise amendments, including a phase-in period until 2015 and weakened penalties for non-compliance. Many observers had expected that to pass: the two largest party groups had agreed; moreover, the Industry Committee had endorsed a similar phase-in and later date just a few weeks earlier. However, in the final Environment Committee vote on cars and CO2 emissions, all party groups were torn apart along the lines of national interests, with MEPs from both the Socialist and Centre–Right groups breaking ranks to side with Liberal and Greens to defeat the compromise deal. According to one interviewee, the turning point came when the Green group called for a roll-call vote, which is basically a vote where it is recorded who voted what. Normally, only the overall result is recorded in EP Committees, but the Greens insisted that each individual's vote
26 'MEPs in the committee took many by surprise by voting down an "industryfriendly" compromise proposal between the EPP-ED and Socialist groups that would have diluted the Commission's original plans by awarding carmakers a three-year phase-in period, rather than enforcing a strict 2012 deadline' (EurActiv, 01/10/08), and 'The Committee voted 46 in favour and 19 against the more stringent proposal, despite committee members' certainty that it would face considerable resistance' (Brink 2010: 198).
should be publicly visible. Suddenly it would be clear which members supported 'ambitious' climate-friendly policies, and which did not (interview with EP1, 2011). And so, the final result became that the Environment Committee voted against the EP's Industry and Energy Committee, and (basically) in favour of the Commission's original proposal, adding a 2020 target of 95g/km.
Throughout 2008, car makers continued to lobby fiercely against the Commission's December 2007 proposal. In the autumn of 2008, the financial crisis was used as an extra argument. 'You can't pile on regulation on an industry during its worst time in the last ten years' (Fiat CEO Sergio Marchionne, at a Paris Auto Show in October 2008, to Reuters, 3/10/08). The financial crisis was expected to worsen the situation for European and US car manufacturers.
In October, the French Presidency of the EU tabled amendments in the Council that closely mirrored the June deal between France and Germany. The proposal would delay full introduction of the legislation until 2015, reduce the fines to car manufacturers that only narrowly miss their targets, and postpone until 2012 the adoption of a binding emission limit for 2020 (ENDS, 1/10/08). However, France seemed to be open to the long-term goal of 95g/km by 2020 that the EP Environment Committee and many member-state governments had been pushing for (EurActiv, 01/10/08). ENGOs responded by saying that France was clearly putting forward what was essentially a German industry position on this legislation (EurActiv, 01/10/08).
Coming to an agreement on cars and CO2 emissions
On 4 November 2008, negotiations began between the Parliament and the Council, with the Commission acting as a mediator. France, Germany, Italy and the UK – Europe's largest car-manufacturing countries – had worked to water down the targets and give the industry more time and flexibility. The French Presidency was given a mandate to negotiate on behalf of the member states. These approached the negotiations on basis of the French proposal to limit CO2 emissions to 130g/km for 65% of new cars in 2012, gradually rising to 100% by 2015, to a large extent championing the viewpoint of European car makers. In late November, negotiations between the Council and the EP ended without an agreement, apparently due to internal disagreements within the EP, and to EP/Council disagreement on wording of the long-term 95g/km target (ENDS, 25/11/08).
A few days later, however, EU lawmakers reached an agreement whereby they backed the French proposal of gradually limiting CO2 emissions to 130g/km for 65% of new cars in 2012, 75% in 2013, 80% in 2014 and 100% by 2015 – as opposed to the Commission's original proposal of introducing the caps on all new cars sold in the region in 2012. Each car maker was to get an individual annual target based on the average mass of all its new cars registered in the EU in a given year. Manufacturers whose fleet average exceeded the limit from 2012 would have to pay a penalty for each car registered. The 'integrated approach' was decided on: 130g/km was to be achieved by improvements in vehicle motor
technology, with the remaining 10g/km reduction to be obtained by other measures. The deal also reduced the proposed fines, but the long-term target of average emissions at 95g CO2/km by 2020 was agreed – this final point being obvious strengthening of the Commission's original proposal. 27 The European Parliament approved the final text on 17 December 2008 – adopted with 559 votes in favour, 98 against and 60 abstentions (Brink 2010: 198). The legislation was finally published as Regulation (EC) No 443/2009 of the European Parliament and of the Council of 23 April 2009.
ACEA responded by calling this a 'very tough deal for the industry', although acknowledging that there had been changes from the Commission's original proposal that would make it 'more reasonable and achievable' (ENDS, 2/12/08). Socialist and EPP-ED MEPs welcomed the deal, while Green MEPs, ALDE and GUE/NGL criticized its level of ambition. T&E went even further, deploring the compromise:
The car producing countries of Germany, France, Italy, the UK and Sweden have all played a role, by defending the specific interests of their national industries […] The attempts of other countries to stand up in the broader public interest have sadly failed. The story of this law is the story of special interests in industry and national governments preserving the status quo (EurActiv, 02/12/08).
The final agreement proved to be backed by most EU governments and the Parliament's two largest political groups (ENDS, 2/12/08). It was the first piece of legislation ever to introduce limits on CO2 releases from new cars in the EU. The final text of an EU regulation to limit CO2 emissions from new passenger cars was published by the Council of Ministers in March 2009.
7 Implementing policies
7.1 Implementing the revised FQD
In 2009, the job of implementing the revised FQD began. The method for calculating lifecycle GHG emissions from fuels and energy other than biofuels had not been set out in the Directive, and was subsequently taken up for consultations in the Commission. Implementing measures setting the default values for different fuels still had to be agreed. One of the most problematic issues proved to be whether (and when) to add a default value for oil sands distinct from that for conventionally produced oil. Moreover, the sustainability criteria for biofuels had to be specified, spurring debate on how to calculate the impact of indirect land-use change (ILUC). We examine both of these debates below.
27 One Commission interviewee described this target as a 'game-changer': it is very tough, and will have a huge effect on the development of the industry in the years to come.
ILUC criteria
Under the revised FQD it was decided that member states must ensure that biofuels offer at least 35% carbon-emission savings compared to fossil fuels. This figure is to rise to 50% as of 2017 and 60% by 2018. Under both the Renewable Energy Directive (RES) and the revised FQD, it was decided that, following the adoption of the revised FQD, the Commission should publish an assessment of the impact of indirect landuse change (ILUC) on GHG emissions and examine ways to minimize its impact. ILUC relates to the possible unintended consequences of releasing more carbon emissions when replacing large forested areas and food production with energy crops for ethanol or biodiesel production. Emissions from directly converting land to agricultural use for producing biofuels (direct land use change) must be reported under the revised FQD adopted in 2009. However, increased demand for agricultural products for use in biofuel production may lead to more land being converted to agriculture elsewhere, and this indirect land-use change can lead to increased emissions, as when rainforests are converted to cropland. But how should the GHG impact due to ILUC be estimated? Indirect land-use change cannot be observed directly or measured, so modelling is necessary to estimate the degree of ILUC – with the various deficiencies and uncertainties associated with the modelling.
The Commission conducted its consultation on ILUC in 2010, with member states, oil producers, ENGOs and other key stakeholders taking part. The EU member states were divided on the issue. The Danish energy agency recommended applying an ILUC factor to all high-risk biofuels as a precautionary measure, and France made a similar proposal; but countries such as the UK and Spain opposed immediate action (ENDS, 6/1/2011). Oil producers warned against using ILUC factors. In its response to the consultation, Shell maintained that ILUC was a complex concept, caused by the wider agricultural and forestry sector, not just biofuels alone; it felt that EU initiatives to tackle ILUC should aim to mitigate CO2 impacts from across the various sectors (Shell 2010: 1). Furthermore, although Shell recognized ILUC as an issue, it was 'concerned that the incorporation of highly uncertain ILUC factors would do very little to address the underlying problems associated with ILUC' (Shell 2010: 2). BP's submission went along the same lines: 'energy policy is not the appropriate tool to address primarily an agricultural/land use management issue'; further, that the range of outputs from the range of modelling work done so far had provided 'little clarity of consistency regarding the indirect effects from the production of biofuels' (BP 2010: 1; BP 2010: 3). Environmental NGOs, on the other hand, used the consultation to argue that all studies had shown that ILUC was substantial and would lead to an increase in GHG emissions: this must be deal with and properly accounted for in the GHG emissions calculations associated with biofuels feedstocks. Otherwise, 'the Renewable Energy Directive and the Fuel Quality Directive will fail their primary policy target, increasing greenhouse gas emissions from transport rather than reducing them' (Friends of the Earth 2010: 1).
Based on this consultation, the Commission decided to postpone action on ILUC impacts. In a report published on 22 December 2010, it concluded that the EU must conduct further analysis on the risks of ILUC
related to biofuels production before considering appropriate measures to mitigate such risks (Commission 2010a). While acknowledging that ILUC can reduce GHG emissions savings associated with biofuels, the Commission announced that it needed more time to decide what action should be taken. This additional time would be used to prepare an impact assessment with credible proposals based on sound models and data, and 'if appropriate', accompanied by a legislative proposal on ILUC (Commission 2010a: 14).
Both MEPs and green NGOs deplored this delay, charging that the 'balance of evidence of the studies leaves no doubt that ILUC impacts are substantial' (T&E 2010a). Environmental NGOs called for the full environmental impact, including those from ILUC, to be taken into account in the sustainability criteria in the FQD and RES Directives (T&E 2010a). Early in 2011, the EP issued a report stating there was enough scientific evidence to calculate ILUC impacts – thus hinting that the delay was due to political rather than technical reasons (ENDS, 25/5/2011).
In its December 2010 report on ILUC the Commission announced that it would focus on assessing the following policy options (Commission 2010a: 14):
1. do nothing (while continuing to monitor),
2. increase minimum GHG-saving thresholds for biofuels,
3. introduce additional sustainability requirements on certain categories of biofuels,
4. introduce feedstock-specific ILUC factors.
Subsequent discussions between DG Climate and DG Energy have made it clear that the only politically feasible options are (2) and (4): increasing biofuel emission saving thresholds and/or introducing ILUC factors (interviews with Com4 and Com5, 2012). Whereas DG Climate would like to see feedstock-specific ILUC criteria introduced, so as to exclude certain biofuel feedstocks that are environmentally harmful, DG Energy has resisted such a measure. The biofuel industry has lobbied intensively to prevent the introduction of ILUC factors that would penalize biofuels that are more environmentally harmful (interview with Com6, 2012) Being more sympathetic to arguments put forward by biofuel producers, DG Energy prefers biofuel emissions-saving thresholds that exclude ILUC factors. These differences of opinion between the EU executive's energy and climate departments seem to be delaying the impact assessment and the legislative proposal. In an attempt to arbitrate, José Manuel Barroso's cabinet was brought in to ensure the coherence of the forthcoming legislative proposal that will accompany the impact assessment (ENDS, 26/01/12). Sources in Climate Commissioner Connie Hedegaard's cabinet say they are working on a proposal that combines the policy options of biofuel emission-saving thresholds and feedstockspecific ILUC criteria (interview with Com3, 2012). The analysis for the impact assessment has been basically completed, but the Commission has a hard time determining the specifics of the legislative proposal, due to differences of opinion between DG Climate and DG Energy (interviews with Com3 and Com 6, 2012).
Calculating life-cycle GHG intensity
The second major debate following the adoption of the FQD related to how to calculate the lifecycle GHG intensity of fossil fuels, in particular whether there should be a specific default value for calculating lifecycle greenhouse gas emissions from tar sands. Or in other words, whether, and when, to add a default value for tar sands oil that is distinct from that for conventionally produced oil (ENDS, 17/3/11), In practice, this would mean that 'filthier-than-average' sorts of fuels, such as petrol derived from Canadian tar sands, would need mixing with cleaner sorts, like biofuels. The FQD requires fuel suppliers to cut lifecycle GHG emissions by 6% – based on values for different kinds of fuels. The default values were due to be adopted in 2010, but the proposal was delayed until 2011, due mostly to internal wrangling in the Commission.
In July 2009, the Commission published a consultation document inviting stakeholder comments on a methodology for accounting for the GHG intensity of various fossil fuels. Here the Commission proposed that there should be one default value for crude oils, and one for tar sands oil. The GHG value was set at 107 grams of CO2 per megajoule of fuel, reflecting the Commission's estimate that tar sands oil emits 23% more than conventional crude. However, in March 2010, a new consultation paper on the Directive was leaked, with Commission drafts showing that a separate value for tar sands oil had been dropped (Friends of the Earth 2011a: 11). This would imply that oil refineries could buy low-quality crude oil or crude from producers with high extraction emissions and still get the same default value (ENDS, 23/3/10). How did this come about – did the Commission actually change its position?
Environmental groups reacted strongly, demanding that the GHG value for tar sands oil be reinstated. In March 2010, 17 MEPs joined in sending a letter to Climate Commissioner Connie Hedegaard, calling for a specific default value for calculating the lifecycle GHG intensity of the dirtiest fuels (European Parliament 2010). This echoed ENGO concerns that the Commission draft contained only one default GHG value of petrol and one for diesel, 'despite the fact that extraction and processing of different cure oil show substantial variation in carbon intensity' (European Parliament 2010). The letter goes on to say: 'While the imports of [fuel from tar sands] to the EU market may be small at the moment, we are concerned that this might change in the near future due to immense reserves of this dirty source of crude oil in Canada and in several other countries' (ibid). Environmental groups also criticized the Commission on grounds of secrecy, after the Commission had withdrawn from its website a study showing that tar sand oil emits 23% more than conventional fuels. The ENGOs claimed this was because the Commission was under 'enormous pressure' from Canada (ENDS, 3/2/11).
True enough, Canadian government representatives and Canadian oil producers were worried that a default value for tar sands would affect the market value of their oil. Canada does not think that oil sands deserve special treatment, and fears that the EU may set precedent against tar sands with potentially huge international ramifications (Friends of the Earth 2011a: 6). David Plunkett, Canada's EU ambassador-designate,
told EurActiv: '[…] we are opposed to Canadian oil being unfairly discriminated against without scientific justification. Oil sands crude has similar greenhouse gas emissions to many other crude oils imported by Europe' (EurActiv 5/10/11). Between 1990 and 2009, oil sands GHG emissions per barrel were reduced by 29%. According to a report prepared by Friends of the Earth Europe, Canadian interests organized over 110 lobbying event on tar sands and the FQD between September 2009 and July 2011 (Friends of the Earth Europe 2011a: 3). According to the same report, Canadian lobbying seemed to have paid off in March, when the Commission changed its position and proposed one default value per fuel or energy and feedstock type (Friends of the Earth 2011a: 11). However, the Commission denied that it was working on such a proposal, and the confusion and the delays continued.
In October 2011, the Commission finally decided to set a specific GHG emissions value for tar sands oil, ending months of speculation and internal Commission negotiations: the value of 107 grams of CO2 per megajoule of fuel was reinstated. Environmental NGOs were pleased with the Commission's final decision. As Friends of the Earth Europe stated in a press release: 'The EU Commission has sent a clear message to Canadian and US policy makers that Europe does not want dirty fossil fuels. This is a bold step towards climate protection and is in defiance of unprecedented lobbying by the Canadian government and by the oil industry' (Friends of the Earth 2011b). Similar praise was forthcoming from Transport & Environment, whose Director Jos Dings declared:
With this decision the EU is sending a signal to the oil industry that dirty fuels should clean up or stay away. If member states give this proposal the green light, producers will have a real incentive to invest in cleaner technologies and to stop dirty habits such as flaring. The Commission, and in particular, the climate commissioner Connie Hedegaard should be applauded for not backing down in the face of huge pressure from Canada and the oil industry (T&E 2011b).
On 23 February 2012, EU member-state officials voted over the proposal from the Commission. A qualified majority was needed for it to be adopted, but the vote ended in a deadlock. Austria, Denmark, Finland, Greece, Ireland, Latvia, Luxembourg, Malta, Romania, Slovakia and Sweden voted for the proposal, while Bulgaria, the Czech Republic, Estonia, Hungary, Lithuania, Italy, Poland and Spain voted against, with Belgium, Cyprus, France, Germany, France, the Netherlands, Portugal and the UK abstaining (The Guardian 23/02/12). 'With all the lobbying against the proposal, I feared member states would reject the proposal', said Connie Hedegaard. 'I am glad this was not the case. I hope ministers will realize that unconventional fuels need to account for their considerably higher emissions through separate values' (quoted in The Guardian, 23/02/12). But environmental groups were disappointed. Darek Urbaniak, a campaigner from Friends of the Earth Europe said: 'Intense pressure from the Canadians and oil lobbies means we have missed a chance to keep high-polluting sources of fuels out of Europe' (ENDS, 23/02/12).
Indeed, Canada has continued to lobby hard against the proposal. In letters that have been leaked, Canada's ambassador to the EU and its oil minister warned the Commission that Canada was considering legal action through the World Trade Organization, should the EU adopt the proposal. 'Canada will not hesitate to defend its interests, including at the World Trade Organization', it was stated letters sent to European commissioners prior to the vote in February (The Guardian 20/02/12). The unveiling of Canada's threats followed a series of revelations of secret meetings and strategies by the Canadian government and oil lobby to prevent the EU from labelling oil sands as highly polluting. In December 2011, The Guardian revealed that the UK government had been giving secret support at the very highest levels to Canada's campaign: at least 15 high-level meetings and frequent communications had taken place since September 2011, which included UK Prime Minister David Cameron discussing the issue with his Canadian counterpart Stephen Harper during a visit to Canada (The Guardian 27/11/11). At a secret meeting in London, high-level officials met representatives of the Canadian Associations of Petroleum Producers and Shell, Total and Statoil – oil companies with huge investments in the vast tar sands of the Canadian province of Alberta (The Guardian 20/02/12).
The European Council – the EU body that represents the member states – was set to vote on the proposal in June 2012, but delayed the decision, in order to allow the Commission to conduct an impact assessment for the proposal. A decision on the revised FQD is expected in early 2013.
7.2 Implementing car CO2 standards
Implementing the cars and CO2 regulation
Regulation (EC) 443/2009 setting emission performance standards for new passenger cars requires a fleet average emission of 130g/km for new passenger cars to be fully achieved by 2015 – through a phase-in period. After the regulation was adopted, the Commission set about preparing the implementation measures:
detailed rules on the monitoring and reporting of data; detailed rules on the application for a derogation from the specific CO2 emission target for small volume and niche manufacturers; detailed rules on the procedure for approving innovative technologies (eco-innovations), and detailed rules on the methods for the allocation of excess emissions premiums (Commission 2010b: 5) [emphasis added]
All these matters were taken to comitology (committees of representatives of member states, 'national experts') for further discussion/detailed planning.
Regarding monitoring and reporting of data, the Commission adopted new rules and guidance for monitoring CO2 emissions from cars in 2010 – as part of implementing the 2009 regulation. These rules were updated in 2011, but will still be subject to further improvement (interview with Com1, 2011). The regulation requires the relevant national authorities in each member state to record information for each new passenger car
registered in its territory, and submit this information to the Commission every year (manufacturers will be invited to check the accuracy of this information). Data to be collected include manufacturer name, type, variant, version, specific emissions of CO2, mass, wheel and track width, as well as fuel type, fuel mode and engine capacity. The Commission uses this information both for calculating the average specific emissions of CO2 from new passenger cars (a list showing the performance of each manufacturer); and for setting the specific emissions target to be met by each car manufacturer for a given year. The information is also used to calculate fines, so it is essential that the information be collected and interpreted correctly. By the end of October each year (from 2011) the Commission will give each car manufacturer a specific emissions target for its fleet in the coming calendar year. From 2012 car manufactures that fail to meet their target will be fined.
The monitoring and reporting mechanism is thus central to making Regulation (EC) 443/2009 work. This has remained a weak point: According to DG Climate Action, the quality of the data collected is not good enough (interview with Com1, 2011). In order to secure confidence in the Regulation, this issue must be resolved, as it challenges the functioning and credibility of the entire system (interview with Com1, 2011). The monitoring mechanism is being evaluated, and is likely to be changed and improved in parallel with the implementation of the 95g CO2/km-target (see below).
Regarding eco-innovations, the regulation provides car makers with the possibility of applying for the approval of certain innovative technologies that contribute to reducing CO2 emissions from passenger cars. These eco-innovation credits will help the industry meet the 130g CO2/km target, and eco-innovations can count for up to 7g CO2/km towards the target. But then, once the regulation had been adopted, the discussion started: Which technologies, assessed under which criteria, should be eligible as eco-innovations? In July 2011, the EU finally agreed on accounting rules for eco-innovations. It was decided that a regulation can qualify as an 'eco-innovation' if it is new to the market, it contributes to significant CO2 savings, and is not otherwise taken into account in determining the level of CO2 emissions from vehicles (Commission 2011). This provision aims at giving the automotive sector greater incentives to invest in new CO2-reducing technologies, but ENGOs have argued that the entire mechanism is an unnecessary concession to industry lobbying (interviews with Com1 and ENGO1, 2011). However, ACEA is not satisfied, maintaining that the final provision makes it very hard to prove that something is an eco-innovation, in turn making it more challenging to comply with the Regulation (interview with ACEA1, 2011). DG Climate Action was content with how the final provision on eco-innovations turned out (interview with Com1, 2011).
Long-term targets on cars and CO2 emissions
Reports in 2010 showed that car makers are on track to meet the binding target of 130g/km by 2015 as per the 2009 legislation. ACEA claims this is due mainly to the financial crisis (interview with ACEA 2, 2012), whereas T&E insists that the 2009 legislation finally forced the manufacturers to improve their technology performance (ENDS, 10/11/10). Some studies have also showed that they probably exaggerated the time needed for complying with the CO2 limits, as much evidence points towards car makers in Europe heading for significant 'over-compliance' with the regulation. Some key findings from the latest report from T&E on CO2 progress in the car industry (T&E 2011c):
- The industry as a whole reduced average CO2 emissions by 3.7% in 2010, continuing the trend of much faster reductions since adoption of the EU's mandatory CO2 targets for cars. The industry reached an average CO2 emission of 140 g/km.
- Progress was more evenly spread across automobile manufacturers than before: Europe's eight largest automobile manufacturers (measured in terms of sales) all reduced CO2 within 2% of the average, between 2% and 6%. Volvo was a positive outlier with a 9% reduction; Mazda and Honda were both negative outliers, with slight increases in emissions.
- The top four in terms of fleet-average CO2 emissions remain unchanged: Fiat leads with 126 g/km, followed by Toyota, PSA and Renault; and Daimler remains last on the list, having reduced CO2 in 2010 by a below-average 3%.
- The industry as a whole is only 7% away from achieving its 130 g/km target for 2015, as of 2010 it still had a 11% gap to close.
- Toyota is again closest to achieving regulatory CO2 targets: the company is virtually there, five years ahead of time. Also PSA and Fiat are very close, with, respectively, 3% and 5% cuts left to make. Daimler is still furthest away, with a 15% gap yet to close.
- The distance-to-target figures do not allow for loopholes such as 'eco-innovations', 'supercredits' and provisions for car makers below 300,000 sales. In fact, the manufacturers are even closer to meeting targets than these figures suggest.
Regarding the long-term target for 95g CO2/km in 2020 already decided on, a stakeholder process has been conducted by the Commission. In July 2020, the Commission proposed legislation setting out the modalities of how this target is to be reached (Commission 2012b). This proposal requires approval by the European Parliament and Council to become legally binding. It seems that the long-term target is welcomed by all key stakeholders – ACEA welcomes targets which can deliver certainty in product planning and allow for long development cycles in the industry. However, as before, ACEA wants this target to be met through an integrated approach, sharing the burden between different stakeholders – in the most cost-effective way (interview with ACEA1, 2011). There seems to be some sort of mind-change in the car industry: they did not fight the 95g-target to the same extent as they did with the 120g-target; and, with similar performance standards being set all over the world, some companies are beginning to see 'this push for technological improvement as something which could strengthen their competitiveness, rather than the opposite' (interview with Com1, 2011).
Similar proposals
After finishing the work with Regulation 443/2009, the Commission went on to work on emissions from light commercial vehicles (vans). The Commission draft proposal was similar to the one agreed on CO2 emissions from passenger cars, and proposed a fleet average emission for all new vans of 175g/km as of 2013, with no phase-in. Reactions were similar to the case of cars/ CO2: the French, German and Italian governments wrote to the Commission to get the target phased in over several years. The final proposal was thus delayed because of internal disagreement in the Commission, and the final draft regulation tabled by the Commission in October 2009 proved less ambitious than the earlier version: European manufacturers of light commercial vehicles (LCV) such as vans would have to reduce average emissions from new vehicles to 175g/km from 2014, phased in to 2016 under the proposed regulation. The Commission also proposed a long-term emission reduction target of 135g/km by 2020. Average van emissions were 203g/km in 2007 (ENDS, 28/10/09).
The Council generally supported the proposed limit of 175g/km, but disagreed on when it should be introduced. Sweden want the 175-target to apply from 2014, while Germany and France held that the phase-in should be extended to end 2017 (ENDS, 16/03/10). Member states were also split on whether the proposed limit of 135g/km by 2020 should be weakened or made tougher (ENDS, 22/12/09). (For European Parliament opinions, see ENDS, 17/03/10) – The EP Environment Committee finally called for a softening of the 135-target to 140g/km. In November 2010 the member states watered down the proposal even further: by 2020, CO2 emissions from vans should be limited to 155g/km. Member states also agreed to extend the interim target of 175g/km from 2016 to 2017 (ENDS, 12/11/10). EU lawmakers finally agreed to 147g/km by 2020, with the interim target of 175g/km to be phased in between 2014 and 2017 (ENDS, 21/12/10).
8 Comparative analysis and conclusions
This report has examined the making and implementation of the EU's revised FQD (Directive 2009/30/EC) and the cars/CO2 regulation (Regulation (EC) 443/2009). These two pieces of legislation represent a milestone in EU efforts to reduce the climate impact from road transport. The EU's concern originally had to do with the contribution of vehicle emissions to deteriorating air quality and acidification problems, not climate change. The Auto-Oil processes were concerned with exhaust emissions and air quality, and this process had low climate-related ambitiousness in the years before 2006/2007. The two directives established in 1998 under the first Auto-Oil programme were related to the quality of petrol and diesel fuels for use in road and non-road applications and to substances like CO, HC, and NOx from passenger cars and light commercial vehicles. Combined, these directives required improvements in exhaust standards and fuel quality in two steps (2000 and 2005).
The Commission's proposal for a revised FQD on 31 January 2007 was the first time ever that the oil industry had to contribute to reducing CO2
emissions, and the first time a fuel was directly subject to lifecycle analysis. The '7a-target' was welcomed by ENGOs and proactive member states. The Commission's proposal for a revised FQD can be seen as quite ambitious, taking into account that criteria for sustainable biofuels must be developed. This report has shown how the Commission played a key role in the policy processes – which is not surprising, given the exclusive authority of the Commission to initiate and draft new EU legislation. It did not act on the request of the member states, but the proposals for binding legislation must be seen in relation to the integrated approach to climate and energy policy and the 20–20–20 targets established by the EU Heads of State and Government. The Commission abandoned the 'tripartite' dialogue procedure used in the Auto-Oil processes, instead organizing a structured stakeholder process and several meetings with stakeholders. That made the process more inclusive that the earlier 'tripartite' dialogue between the Commission and the car and oil industries in Auto-Oil process.
Our analysis shows that the process and legislative proposal resulted in a spilt between the car and oil industries. While ACEA stated that the car industry welcomed the proposal and highlighted the importance of the oil industry's contribution in reducing transport emissions, Europia made it clear that the oil industry opposed the 7a-target. In this way, the Commission succeeded in splitting the powerful alliance between the car and the oil industries. Despite the protest from Europia, we must conclude that the initiation process was relatively inclusive and that the oil industry as well as environmental NGOs and other stakeholders being heard and in part heeded.
Regarding car emissions, we have seen that the voluntary agreements with the car industry suffered from low climate ambitiousness, slow progress towards the reduction targets, and low acceptance among outside stakeholders (ENGOs, the European Parliament, several progressive member states). First, the 140 g CO2/km target was weak, compared to the 120g CO2/km target by 2005 adopted by the Commission in the 1995 Community Strategy to reduce CO2 emissions from cars. Second, there was limited progress in meeting the target; the voluntary agreements were deemed insufficient in order to achieve the 140 g CO2/km target. Third, negotiation of the voluntary targets suffered from a serious democratic deficit, with the European Parliament excluded from the process and public participation almost non-existent. The voluntary agreements between the Commission and the car industry gained little acceptance from other stakeholders than the partners themselves. However, these voluntary agreements prepared the car industry for binding and more stringent regulations. In this sense, the voluntary agreements represented a stepping stone on the way towards binding CO2 legislation.
In the early 2000s, support for legislation in place of voluntary agreements grew. The CARS21 group, established under DG Enterprise in 2005 to boost the competitiveness of the European car industry, was tasked with reviewing the role of environmental policy and CO2 emissions as part of developing an overarching integrated policy framework for the automotive sector. In early 2006, the Commission – this time DG Environment – launched a public consultation on how best to achieve the
EU's more ambitious CO2 reduction target of 120g/km by 2012. A first round of public consultations was carried out by the Commission in 2005–2006, complemented by a working group established under the ECCP. It became important for DG Environment to gain control over the process after the establishment of the CARS21 group, and DG Environment decided to use the ECCP to conduct a proper Impact Assessment on the issue. The CARS21 group could only provide input to this Impact Assessment, as DG Environment wanted to limit the influence of that powerful group on the policy process. DG Environment viewed the ECCP as a more balanced stakeholder forum, and more consistent with the discussion DG Environment wanted. The ECCP review concluded that, although the voluntary approach had delivered significant CO2 reductions, it had not been as successful as hoped. With the slower progress to date, the 120g/km target would not be met by 2012 without additional measures.
In February 2007, the Commission presented a revised CO2 and cars strategy, with a proposal for binding legislation as the cornerstone (Commission 2007a). There were not many important changes from the revised CO2 and cars strategy of February 2007, to the final proposal for legislation presented on 19 December 2007. As both the revised strategy and the final proposal came from the Commission, they can be said to mark the beginning and end of the 'initiation' phase. The car emissions regulation can be said to have been ambitious in the sense that, for the first time, binding legislation was proposed in order to reduce CO2 emissions from cars. However, the strategy and the proposal were centred on an integrated approach, representing a watering down of the 120g CO2/km target. The average CO2 emissions of any new car fleet were to be 130g CO2/km, with the remaining 10g CO/km to be achieved by other means. This represented a defeat for DG Environment and a victory for CARS21 and DG Enterprise. Several stakeholders criticized the linking of weight to emission standards in the proposal, as this would reduce the incentives to make smaller cars. This linkage was dropped in the revised CO2 and cars strategy, but it was included in the final proposal for legislation following intense lobbying from some member states and manufacturers, especially premium car makers in Germany. Several flexibility mechanisms were also introduced in the proposal as a result of the lobbying from manufacturers and concerned member states. In October 2007 came a further weakening of the Regulation's ambitiousness, when the European Parliament voted that 2015, and not 2012, should be the end-date of the commitment.
As with the revised FQD, the Commission played a key role in the initiation of legislation to reduce CO2 emissions from cars. However, many have questioned the role of the CARS21 Group, and the influence this industry group had in the process of drafting the proposal. The CARS21 group comprised seven industry representatives, with no representatives from either the EP Environment Committee or NGOs with environmental expertise. This was an industry-dominated group where the industry, according to some observers, was 'invited to write legislation'. The industry gained an entry to and insights into a process that, according to some observers, ought to have been much more balanced in terms of stakeholder participation. DG Environment was critical to the
heavy representation of the car industry in the preparations for a legislative proposal, which can explain why it decided to use the ECCP to conduct assessments of various policy tools. The ECCP process, by contrast, was 'standard EU procedure' where all stakeholders had the possibility of being heard.
However, DG Environment never managed to get the upper hand in the process. Although DG Environment sought to influence the process at an early stage through the ECCP review, it did not succeed in reducing the strong influence of the CARS21 Group, or the watering-down of the 120g CO2/km target by the car makers and member states where the manufacturers concerned are based. DG Environment opposed the linking of weight to emission standards in the proposal, but CARS21 and DG Enterprise insisted on making this linkage. Although heavier cars would still have to improve more than lighter cars, the emission limits for heavier cars were quite lax in the end. The CARS 21 group and DG Enterprise also got their way with the integrated approach, which reduced the pressure on car manufacturers to make lighter cars and/or improve engine technology to reduce emissions. We can conclude that DG Enterprise, the car industry, and member states concerned with the competitiveness of their own car industries were pleased with the final legislative proposal as well as the policy process leading up to it, viewing the process as legitimate and the outcome as acceptable.
As to decision-making, the inclusion of sustainability criteria in the final agreement on the revised FQD must be said to increase the environmental ambitiousness of the final agreement, compared to the Commission's proposal. The definition of sustainability criteria was also strengthened, as the European Parliament and member states called for biofuels to deliver life-cycle CO2 savings of at least 50% compared to conventional fuels. However, the target for a 10% reduction in the GHG intensity of fuels by 2020 was reduced to 6%. Not many NGOs reacted strongly to this, as the debate shifted considerably in 2008, as the stream of critical reports towards biofuels intensified. It should also be noted that the final ambitiousness of the Directive hinges on a series of specifications deferred to the implementation process. The final agreement seemed acceptable to both Europia and the environmental NGOs, given the uncertainty surrounding biofuels. Had there been fewer critical reports about biofuels when the final agreement on the FQD was reached, the environmental NGOs would surely have been more critical to the weakening of the ambition level of the GHG intensity target.
Regarding the cars/CO2 regulation, both the Council and the European Parliament watered down the Commission's original proposal: a phase-in period was introduced, fines were reduced, and several 'flexibility mechanisms' – or loopholes – were introduced. From a problem-solving perspective, the Regulation is far from ambitious enough for dealing with the enormous challenge of CO2 emissions from passenger cars. On the upside, the EU legislation now offers a legally binding framework for CO2 reductions from new passenger cars. In this sense, the final agreement on the cars/CO2 Regulation represented a milestone. The long-term target of 95g CO2/km can also be seen as significantly increasing the level of ambition in this policy area.
54
As to the legitimacy of this piece of legislation, the role of the CARS21 Group led many to question the legitimacy of the initial work of the Commission, as this group gave powerful industry interests very direct influence on Commission-internal processes. Moreover, the car industries also spent considerable resources and time on lobbying this piece of legislation, and had strong influence on the process all along. Finally, this regulation is a story of powerful national interests in which the major EU car-manufacturing countries all played a role and defended their national interests. Concerning legitimacy, we may also ask whether the process was too fast and whether the French Presidency's rush to achieve an agreement affected the outcome. The ENGOs and other supporters of strong climate action claimed that in its hurry to get a deal, France handed out too many concessions to the car industry, in order to fend off objections from Germany, Italy, Poland and many other East European states.
Finally, how did the specification of policies affect the ambitiousness and acceptance of the revised FQD and the cars/CO2 regulation? Taking into account the latest developments of the FQD, we must say that the picture is somewhat mixed. As long as the Commission is not able to provide a methodology for accounting for ILUC, it is hard to say how the ambition levels of the FQD will be affected in the end. Regarding legitimacy, this seemed for a long time to be a dark chapter of intense lobbying by the Canadian government and the oil industry, but several voices were heard in the consultation processes on both ILUC and tar sands. The final outcome of the process will certainly affect the legitimacy of the Directive. The highly controversial issue of tar sands will make it hard to find a solution acceptable to both the oil industry and the ENGOs. Moreover, the discussions took place – and continue to take place – largely behind closed doors, an approach that threatens the legitimacy of the sustainability criteria as well as the tar sand issue.
Turning to the cars/CO2 regulation, the ambitiousness of the regulation was strengthened (or at least not weakened) with the final provision on eco-innovations. However, the level of ambition and credibility of the Regulation will remain threatened as long as a good system for monitoring and reporting is lacking. Currently, the quality of the data is not good enough. The long-term target of 95g CO2/km is ambitious, but it remains to be seen whether a new regulation encompassing this target will be implemented, or what it will look like. The stakeholder process has just begun, and there seems to be sort of a mind-change underway in the car companies, in a more progressive direction – but this must be examined in future work. The Commission has also started discussing the possibilities for a 2025 target. Regarding the acceptance of the cars/ CO2 regulation, the implementing measures are decided on by comitology, which makes the process less open and transparent, with possible lower legitimacy among stakeholders. In particular, we note that ACEA was not happy with the provision on eco-innovation decided on in the committee.
To conclude, then, this study lends support to several established theories of policymaking in the EU. We have observed that the Commission collaborated closely with the oil and car industries in the initiation and drafting of new EU legislation on both car emissions and fuel quality.
However, in the fuel quality process it became clear that the two industries had differing interests: the car industry was pleased with the Commission's proposal, whereas the oil industry strongly opposed it. There was also divergence of opinion within the Commission, with DG Environment fighting to defend the stringency of the original car regulation proposal. Environmental NGOs and other stakeholders were being heard too, but member states concerned about the competitiveness of their industries proved more influential, particularly in weakening the proposed cars/CO2 regulation. On the other hand, the final proposals for new EU legislation on car emissions and fuel quality cannot be seen as a result of interstate bargaining. This phase of the policymaking process has been more compatible with the multi-level governance perspective, given that the Commission, in close consultations with the car and oil industries and other stakeholders, drafted the legislative proposals. The idea of a policy network comprising DG Enterprise of the Commission, the car and fuel industries represented by industry associations based in Brussels (ACEA and Europia), and national industry associations, accurately captures how the legislation on car emissions and fuel quality was drafted.
Turning to the decision-making phases, we see that powerful member states have exerted strong influence on the policy outcomes. In particular, the car-manufacturing countries of France, Germany, Italy, Sweden and the UK have all played a role in influencing the cars/CO2 regulation, by defending the specific interests of their national industries. This observation strengthens an intergovernmentalist understanding of policymaking as the outcome of interstate bargaining among member states defending their national interests. However, we have also seen that the European Parliament has used its powers stemming from the introduction of the co-decision procedure in the 1993 Maastricht Treaty to influence both the cars/CO2 regulation and the revised FQD. This observation lends support to theoretical approaches that take EU institutions and institutional rules, such as the co-decision procedure, as the unit of analysis. The evidence thus shows the independent causal importance of institutions and decision-making procedures in influencing policy outcomes.
Finally, in the implementation phase, we have seen that various issues were taken to comitology –committees of representatives of member states comprising national experts – for further discussion and detailed planning. The fact that several implementing measures are to be decided in comitology makes the process less open and transparent, with possible lower legitimacy among stakeholders. It also shows that the member states continue to play an important role in the implementation phase. While this observation lends support to an intergovernmentalist understanding of EU policy-making, we have also highlighted how both the Commission and industry interests have influenced the specification of the revised FQD and the cars/CO2 regulation.
We can thus conclude that the relevance of the various theories of policymaking in the EU varies with the different policy phases. A policynetwork understanding of EU policymaking is strengthened when we look at the policy-initiation phase. We have seen that the Commission played a key role in this phase and drafted legislation in close collaboration with the car and oil refining industries. The policy proposals could be seen as the result of informal politics within policy networks in which the Commission and the industry had particularly strong influence. An intergovernmentalist understanding of EU policy-making is strengthened when we look at the decision-making phase and the strong influence of member states defending the interests of their domestic industries. However, we also see that the European Parliament has played an important role in this process, employing its power in the co-decision procedure. Finally, the implementation process is best understood as a multi-level governance process in which several actors and institutions – notably the Commission, member states, industries, and NGOs – influence the specification of policies.
We do not find strong support for the proposition that issues have been linked in order to obtain agreement or to increase the ambitiousness of policies on car emissions and fuel quality. Our main observation is that negotiations on car emissions and fuel quality took place in separate processes, with little contact among policymakers and stakeholder across the two processes. However, this report has examined only whether policies on car emissions and fuel quality were linked, not whether such policies were linked with the EU energy and climate package. Policies on car emissions and fuel quality were negotiated at the same time as the package, but separately. Future research should examine whether linkages between these transport-related policies and the EU energy and climate package were created in order to achieve a compromise or increase the level of ambition.
Tackling transport emissions has remained a headache and a priority for the Commission. Despite several attempts to address problems in the transportation sector, emissions are still going up. Since 1990 transport emissions have risen by 36%. The 2011 White Paper set an agenda for the EU transport sector up to 2020, but longer-term objectives are also needed. If current transport trends continue, the goal of 80–95% emissions reductions by 2050 is not within reach. The revised FQD and the cars/CO2 regulation represent only a first step in addressing the enormity of the challenge of reducing CO2 emissions from passenger cars and fuels.
Interviews
Com1: Policy officer, DG Climate Action, Transport and Ozone, Brussels, 8 December 2011.
Com2: Policy officer, DG Enterprise, Automotive Industry, Brussels, 7 December 2011.
Com3: Policy officer, DG Climate Action, Member of Commissioner Connie Hedegaard's Cabinet, Brussels, 24 April 2012.
Com4: Policy officer, DG Climate Action, Transport and Ozone, Brussels, 24 April 2012.
Com5: Policy officer, DG Climate Action, Transport and Ozone, Brussels, 26 April 2012.
Com6: Policy officer, DG Climate Action, Biofuels and Low Carbon
Technologies, Brussels, 26 April 2012.
EP1: Policy advisor, the Greens in the European Parliament, Brussels, 5 December 2011.
EP2: Policy advisor, the Greens in the European Parliament, Brussels, 24 April 2012.
ENGO1: Policy campaigner, Greenpeace, Brussels, 8 December 2011.
ENGO2: Policy campaigner, Transport and Environment, Brussels, 5 December 2011.
ENGO3: Policy campaigner with Friends of the Earth, Brussels, 6 December 2011.
ACEA1: Policy officer, ACEA (European Automobile Manufacturers Association), Brussels, 7 December 2011.
ACEA2: Policy officer, ACEA (European Automobile Manufacturers Association), Brussels, 6 December 2011 and 25 April 2012.
N1, Counsellor for Environment, Mission of Norway to the EU, Brussels, 5 December 2011.
N2, Counsellor for Transport and Communications, Mission of Norway to the EU, Brussels, 5 December 2011.
References
ACEA (2006) European car industry opposes recent statements of Environment Commissioner Stavros Dimas regarding CO2 commitment, Press release, Brussels 5 November 2006.
ACEA (2007a) Proposed CO2 emission targets are arbitrary and too severe, Press release, Brussels 7 February 2007.
ACEA (2007b) ACEA answer to Commission consultation on CO2/cars Communication, Final 13 July 2007.
ACEA (2011) Roadmap to a Single European Transport Area: Towards a competitive and resource efficient transport system ACEA comments. Available online:
www.acea.be/images/uploads/files/20110908_White_Paper_on_Transpor t_Policy_ACEA_comments.pdf [Accessed January 2012]
Bache, I. and M. Flinders (2004) Themes and issues in multi-level governance, in I. Bache and M. Flinders (eds.), Multi-Level Governance, 1–11. Oxford: Oxford University Press.
Bache, I., S. George and S. Bulmer (2011) Politics in the European Union, third edition. Oxford: Oxford University Press.
Bowyer, C., M. Fergusson, C. Erickson and M. Nakagawa (2008) Transatlantic platform for action on the global environment: biofuels for transport. London: Institute for European Environmental Policy and NRDC.
BP (2010), European Commission Indirect Land Use Change (ILUC) public consultation – BP submission. Brussels: BP.
Brink, P. ten (2010) Mitigating CO2 emissions from cars in the EU (Regulation (EC) No 443/2009, in S. Oberthür and M. Pallemaerts (eds.), The New Climate Policies of the European Union – Internal Legislation and Climate Diplomacy, 179–209. Brussels: Brussels University Press.
Brink, P. ten (2002) (ed.) Voluntary Environmental Agreements: Process and Practice, and Future Trends. Sheffield: Greenleaf Publishing
Commission (1995) A Community Strategy to Reduce CO2 Emissions from Passenger Cars and Improve Fuel Economy. Communication from the Commission to the Council and the European Parliament. COM (1995) 689 final. Brussels: European Commission.
Commission (1998) Implementing the Community Strategy to Reduce CO2 emissions from cars: an environmental agreement with the European Automobile Industry, Communication from the Commission to the Council and the European Parliament. COM (1998) 495 final. Brussels: European Commission
Commission (1999), Implementing the Community Strategy to Reduce CO2 emissions from cars: Outcome of the negotiations with the Japanese
and Korean Automobile Industries, Communication from the Commission to the Council and the European Parliament. COM (1999) 446 final. Brussels: European Commission.
Commission (2000), Communication from the Commission to the Council and the European Parliament, Implementing the Community Strategy to Reduce CO2 Emissions from Cars. First annual report on the effectiveness of the strategy, COM (2000) 615 final, Brussels, 04.10.2000.
Commission (2001), European transport policy for 2010: time to decide, White Paper, Brussels, 12.9.2001 COM(2001) 370 final.
Commission (2002) Communication from the Commission to the Council and the European Parliament of 9 December 2002 on implementing the Community strategy to reduce CO2 emissions from cars: Third annual report on the effectiveness of the strategy (Reporting year 2001), SEC(2002) 1338, COM/2002/0694 final.
Commission (2004) Communication from the Commission to the Council and the European Parliament of 11 February 2004 on Implementing the Community Strategy to Reduce CO2 Emissions from Cars, fourth annual report on the effectiveness of the strategy (Reporting year 2002) COM(2004) 78 final, Brussels, European Commission.
Commission (2005) Communication from the Commission to the Council and the European Parliament of 22 June 2005 on implementing the Community strategy to reduce CO2 emissions from cars: Fifth annual Communication on the effectiveness of the strategy [COM(2005) 269 – Official Journal C 172 of 12 July 2005].
Commission (2006a) Keep Europe Moving – Sustainable mobility for our continent. Mid-term review of the European Commission's 2001 Transport White Paper, Communication from the Commission to the Council and the European Parliament, Brussels 22.06.2006, COM(2006) 314 final.
Commission (2006b), Review of the EU strategy to reduce CO2 emissions and improve fuel efficiency from cars, Report on the public consultation June–August 2006, European Commission, Directorate-General Environment. Brussels: European Commission.
Commission (2006c) Communication from the Commission to the Council and the European Parliament of 24 August 2006 on implementing the Community strategy to reduce CO2 emissions from cars: Sixth annual report on the effectiveness of the strategy. COM(2006) 463 final. Brussels: European Commission.
Commission (2007a) Results of the review of the Community Strategy to reduce CO2 emissions from passenger cars and light-commercial vehicles, Communication from the Commission to the Council and the European Parliament. COM (2007) 19 final. Brussels: European Commission.
Commission (2007b), Questions and Answers on the EU strategy to reduce CO2 emissions from cars, MEMO 07/46, Brussels 7 February 2007. Available online at http://europa.eu/rapid/pressReleasesAction.do?reference=MEMO/07/46
Commission (2007c), Communication from the Commission to the Council and the European Parliament of 7 February 2007 on a Competitive Automotive Regulatory Framework for the 21st Century: Commission's position on the CARS 21 High Level Group Final Report. COM(2007) 22 final. Brussels: European Commission.
Commission (2007c), stricter fuel standards to combat climate change and reduce air pollution, Brussels 31 January 2007, IP/07/120.
Commission (2007d), Proposal for a Regulation of the European Parliament and of the Council Setting Emission Performance Standards for New Passenger Cars as Part of the Community's Integrated Approach to Reduce CO2 Emissions from Light-Duty Vehicles, COM(2007) 856 final. Brussels: European Commission.
Commission (2010a) Report from the Commission to the European Parliament, the Council, and the European Economic and Social Committee – Progress report on implementation of the Community's integrated approach to reduce CO2 emissions from light-duty vehicles. COM (2010)656 Final, 10.11.2010.
Commission (2010a), Biofuels: Commission adopts Report on indirect land use change, Press release, IP/10/1772, Brussels 22 December 2010
Commission (2010b) Communication from the Commission to the European Parliament, the Council, and the European Economic and Social Committee: A European strategy on clean and energy efficient vehicles. COM (2010) 186 Final, 28.4.2010
Commission (2011) Reducing CO2 emissions from cars through ecoinnovation, Press Release. Memo/11/539, 25.7.2011. Available online at http://europa.eu/rapid/pressReleasesAction.do?reference=MEMO/11/539
Commission (2012a) EU Transport in Figures 2012.
Commission (2012b) Proposal for a Regulation of the European Parliament and of the Council Amending Regulation (EC) No 443/2009 to Define the Modalities for Reaching the 2020 Target to Reduce CO2 Emissions from New Passenger Cars, COM(2012) 393 final. Brussels: European Commission.
Creutzig, F., E. McGlynn, J. Minx and O. Edenhofer (2011) Climate policies for road transport revisited (I): Evaluation of the current framework, Energy Policy 29: 2396–2406.
EEA (European Environment Agency) (2011), CO2 emissions performance of car manufacturers in 2010. Brussels: European Environment Agency.
ENDS (5/2/97), 'Industry slams Parliament Auto/Oil reports' ENDS (4/3/97), 'EU split on Auto/Oil continues' ENDS (10/4/97), 'Parliament strengthens Auto/Oil requirements' ENDS (18/2/98), 'EU Parliament pledges battle on Auto/Oil' ENDS (11/3/98), 'EU car firms make new fuel efficiency offer' ENDS (19/3/98), 'EU ministers to back car CO2 emissions talks' ENDS (5/6/98), 'Car industry "fuel charter" stokes sulphur row' ENDS (6/10/98), 'EU ministers approve CO2 from cars deal' ENDS (25/1/99), 'EU oil, car, firms move closer on fuel quality' ENDS (21/6/99), 'EU to reject Japanese car makers' CO2 offer' ENDS (25/5/00), 'EU consults on sulphur-free fuels' ENDS (11/5/01/), 'EU road fuels 'to be sulphur free by 2011'' ENDS (6/11/01), 'MEPs back earlier switch to sulphur-free fuels' ENDS (22/12/03), 'Germany urges curbs on car CO2 emissions' ENDS (15/10/04), 'EU ministers "impatient for vehicle CO2 cuts"' ENDS (21/01/05), 'New pressure for EU curbs on carbon from cars' ENDS (15/2/07), 'Ministers support binding EU biofuel target' ENDS (1/7/07), 'Reducing car CO2 emissions' ENDS (1/8/07), 'Row looms over plan to cut road fuel carbon' ENDS (29/8/07), ''T&E fears weight-based approach to car CO2 cuts' ENDS (13/9/07), 'MEPs demand more CO2 cuts from carmakers' ENDS (5/10/07), 'Governments still wary of EU fuel carbon target' ENDS (24/10/07), 'Euro-MPs urge dilution of car CO2 target' ENDS (31/10/07), 'Ministerial misgivings over EU fuel emission plan' ENDS (18/12/07), 'Uncertainty surrounds EU car CO2 proposal launch' ENDS (19/12/07), 'Commission's EU car emission plans in detail' ENDS (25/2/08), 'EU governments break biofuel criteria deadlock'
ENDS (8/5/08), 'EU green biofuel criteria move a step closer'
ENDS (1/6/08), 'EU biofuel target rides wave of swelling criticism'
ENDS (6/6/08), 'Germany lays down tough line on car CO2 law delay'
ENDS (10/6/08), 'France and Germany unite to delay car CO2 curbs'
ENDS (1/10/08), 'Paris proposes to weaken plan to cut car emissions'
ENDS (27/11/08), 'EU in final stretch on green biofuel criteria'
ENDS (2/12/08), 'EU strikes deal to delay car CO2 curbs'
ENDS (28/10/09), 'EU tables weakened plan to cut emissions from vans'
ENDS (22/12/09), 'Climate accord 'must be adopted to unblock funds''
ENDS (16/3/10), 'States voice their differences over van emissions'
ENDS (17/3/10), 'Plans to cut van CO2 too ambitious – MEP'
ENDS (23/3/10), 'Green concerns over EU fuel quality legislation'
ENDS (10/11/10), 'New targets on the horizon as carmakers' CO2 progress dissected'
ENDS (12/11/10), 'Member states weaken EU van CO2 targets'
ENDS (21/12/10), 'Ministers back EU agreement on van emissions'
ENDS (6/1/11), 'EU executive postpones action on ILUC impacts'
ENDS (3/2/11), 'Tar sands emit more CO2 than other fuels – study'
ENDS (17/3/11), 'Pressure mounts on EU as oil sands debate stalls'
ENDS (25/5/11), 'EC defends decision to delay ILUC proposal)
ENDS (4/10/11), 'EC finally agrees on GHG value for oil sands'
EurActiv (8/2/07), 'Commission wants binding cuts on car emissions'
EurActiv (2/9/08), 'MEPs side with carmakers on CO2 cuts'
EurActiv (1/10/08), 'Carmakers gear up for tough carbon emission targets'
EurActiv (2/12/08), 'EU clinches deal on CO2 emissions from cars'
EurActiv (29/10/07), 'The review of the EU's Fuel Quality Directive'
EurActiv (30/1/08), 'MEPs seek tougher standards and higher taxes for fuels'
EurActiv (1/4/08), 'EU members set to demand tougher biofuel standard'
EurActiv (5/10/11), 'EU faces down tar sands industry'
European Parliament (2007), Draft Report on the proposal for a directive of the European Parliament and of the Council amending Directive 98/70/EC as regards the specification of petrol, diesel and gas-oil and introducing a mechanism to monitor and reduce greenhouse gas emissions from the use of road transport fuels and amending Council Directive 1999/32/EC, as regards the specification of fuel used by inland waterway vessels and repealing Directive 93/12/EEC (COM(2007)0018 – C6-0061/2007 – 2007/0019(COD), Committee on the Environment, Public Health and Food Safety.
European Parliament (2008) EP: Position, 1st or single reading (the summary found in the procedure file).
European Parliament (2010), letter to Commissioner Hedegaard, 20 April 2010.
European Parliament (2011) Report on the Roadmap to a Single European Transport Area – Towards a competitive and resource efficient transport system (2011/2086(INI)). Committee on Transport and Tourism.
Europia (2007a) Europia comments on the Commission Energy Package: Energy Policy for Europe and a package of communications issued on 10th January 2007, 30 January 2007
Europia (2007b), Europia's comments on the Commission's Fuels Quality Directive Review issued on 31st January 2007, Position Paper, 31 January 2007
Europia (2007c) Europia position on the fuel quality directive proposal to regulate GHG emissions from road fuels, position paper, 4 September 2007
Europia (2011) Europia White Paper on fuelling EU Transport – a contribution from the EU refining industry to the debate on the future of transport, Europia, April 2011
Fergusson, M. (2008) Transport and Climate Change: the Policy Challenges, Transatlantic platform for action on the global environment. London: Institute for European Environmental Policy, April 2008
Friedrich, A., M. Tappe and R. K.W. Wurzel (2000) A new approach to EU environmental policy-making? The Auto-Oil I Programme, Journal of European Public Policy 7 (4): 593–612
Friends of the Earth (2010), 'Friends of the Earth Europe's response to the EU consultation on Indirect Land Use Change from biofuels', 29 October 2010
64
Friends of the Earth (2007), 'Extracting the truth: oil industry attempts to undermine the Fuel Quality Directive', prepared by Daren Urbaniak.
Friends of the Earth Europe (2011a), 'Canada's dirty lobby diary – Undermining the EU Fuel Quality Directive' July 2011
Friends of the Earth Europe (2011b), 'Europe defies Canadian pressure on tar sands', press release 4 October 2011, www.foeeurope.org/press/2011/Oct04_Europe_defies_Canadian_pressur e_tarsands.html
Greenpeace (2011), 'European Commission white paper on transport delays meaningful climate action for a generation, Press release – March 28, 2011, www.greenpeace.org/eu-unit/en/News/2011/Commission--white-paper-transport/
Haas, E.B. (1961) European integration: the European and universal process, International Organization 4: 607–646.
Hall, P.A. (1986) Governing the Economy: The Politics of State Intervention in Britain and France. Oxford: Oxford University Press.
Hooghe, L. (1996) (ed.) Cohesion Policy and European Integration: Building Multi-Level Governance. Oxford: Oxford University Press.
Hooghe, L. and G. Marks (2001) Multi-Level Governance and European Integration. Lanham, MD: Rowman & Littlefield.
Jørgensen, K.E. (1997) Introduction: approaching European governance, in K.E. Jørgensen (ed.), Reflective Approaches to European Governance, 1–12. New York: St Martin's Press.
Keay-Bright, S. (2000) A critical analysis of the voluntary fuel economy agreement, established between the European automobile manufacturers and the European Commission, with regard for its capacity to protect the environment, Report prepared for EEB (European Environmental Bureau), Brussels: European Environmental Bureau.
Londo, M. and E. Deurwaarder (2007) Developments in EU biofuels policy related to sustainability issues: overview and outlook, Biofuels, Bioproducts and Biorefining 1 (4): 292–302
Marks, G. (1992) Structural policy in the European Community, in A.B. Sbraiga (ed.), Europolitics: Institutions and Policy-Making in the 'New' European Community, 191–224. Washington, DC: Brookings Institution.
McKibben, H.E. (2010) Issue characteristics, issue linkage, and states' choice of bargaining strategies in the European Union, Journal of European Public Policy 17 (5): 694–707.
Moravcsik, A. (1998) The Choice for Europe: Social Purpose and State Power from Messina to Maastricht. Ithaca, NY: Cornell University Press.
Peterson, J. (2004) Policy networks, in Wiener and Diez (eds.), European Integration Theory, 117–135. Oxford: Oxford University Press.
Peterson, J. and E. Bomberg (1999) Decision-Making in the European Union. London: Palgrave Macmillan.
Pierson, P. (1996) The path to European integration: a historical institutionalist analysis, Comparative Political Studies 29 (2): 123–163.
Pollack, M.A. (2005) Theorizing EU policy-making, in H. Wallace, W. Wallace and M. Pollack (eds.), Policy-Making in the European Union, 13–48. Oxford: Oxford University Press.
Sandholtz, W. (1993) Choosing union: monetary politics and Maastricht, International Organization 47: 1–40.
Shell (2010) Shell response to the European Commission consultation on Indirect Land Use Change Impacts of Biofuels, October 2010.
Skinner, I. and B. Krettschmer (2010) The interactions between European policy drivers for increasing the use of biofuels in transport, Biomass Futures, Intelligent Energy Europe, December 2010. London: Institute for European Environmental Policy
Skjærseth, J.B. (1994) The climate policy of the EU: too hot to handle? Journal of Common Market Studies 32 (1): 25–45.
Skjærseth, J.B. and J. Wettestad (2003) The effectiveness of EU environmental policy: some preliminary notes on the case of Auto-Oil. Paper presented at the Annual Convention of the International Studies Association, Portland, 26 February – 1 March.
The Guardian (2012) 'EU tar sands pollution vote ends in deadlock'.
Thelen, K. and S. Steinmo (1992) Introduction, in K. Thelen and S. Steinmo (eds.), Structuring Politics: Historical Institutionalism in Comparative Politics, 1–32. Cambridge: Cambridge University Press.
T&E (Transport and Environment) (2005), 'Car industry failing on Climate Change Commitments', News release, 20/01/2005, Brussels.
T&E (Transport and Environment) (2007a), 'Carbon reduction targets for fuel as Europe follows Schwarzenegger's California', News, February 13 2007.
T&E (Transport and Environment) (2007b), 'Telling fuel producers what's needed is gaining acceptance', Editorial by Jos Dings, November 12 2007.
T&E (Transport and Environment) (2007c), 'Support for life-cycle criteria in fuel directive', News, November 12, 2007.
T&E (Transport and Environment) (2007d), 'Europe set to weaken key climate target for new cars', February 07, 2007.
T&E (Transport and Environment) (2010a), 'EU postpones cleanup of biofuels policy again', Press release, 22. December 2010.
T&E (Transport and Environment) (2011a), 'EU takes important step towards cleaner fossil fuels', press release, 4 October 2011.
T&E (Transport and Environment) (2011b), 'Transport & Environment – Comments on the European Commission Transport 2050 Strategy', 28 March 2011, Available online:
www.transportenvironment.org/News/2011/3/Transport--EnvironmentComments-on-the-European-Commission-Transport-2050-Strategy/
T&E (Transport and Environment), Birdlife International, BEE, FERN, Friends of the Earth Europe and Oxfam (2009), 'Biofuels – Handle with care – An analysis of EU biofuel policy with recommendations for action', November 2009.
Volpi, G. and S. Singer (2002) EU-level agreements: a successful tool? Lessons from the agreement with the automotive industry, in P. ten Brink (ed.), Voluntary Environmental Agreements: Process and Practice, and Future Trends. Sheffield: Greenleaf Publishing
Wettestad, J. (2006) The Effectiveness of EU Auto-Oil: A Slippery Business?, FNI Report 10/2006.
Whitmarsh, L. and J. Köhler (2010) Climate change and cars in the EU: the role of auto firms, consumers, and policy in responding to global environmental change, Cambridge Journal of Regions, Economy and Society, 3(3): 427–441
Wurzel, R. (2002), Environmental Policy-Making in Britain, Germany and the European Union, Manchester: Manchester University Press.
Young, A.R. and H. Wallace (2000) Curbing vehicle pollution: 'end-ofpipe' and end of the road?, chapter 2 in Regulatory Politics in the Enlarging European Union, 30–61. Manchester: Manchester University Press.
The Fridtjof Nansen Institute is a non-profit, independent research institute focusing on international environmental, energy, and resource management. The institute has a multi-disciplinary approach, with main emphasis on political science, economics, and international law. It collaborates extensively with other research institutions in Norway and abroad.
FRIDTJOF NANSENS INSTITUTT FRIDTJOF NANSEN INSTITUTE
Fridtjof Nansens vei 17, P.O. Box 326, NO-1326 Lysaker, Norway
Phone: (47) 67 11 19 00 – Fax: (47) 67 11 19 10 – E-mail: [email protected]
|
<urn:uuid:62a71891-8cbf-40d3-bbe2-e243f26da6a3>
|
CC-MAIN-2019-22
|
https://www.fni.no/getfile.php/132080-1469870093/Filer/Publikasjoner/FNI-R1412.pdf
|
2019-05-26T01:15:36Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-22/segments/1558232258620.81/warc/CC-MAIN-20190526004917-20190526030917-00257.warc.gz
| 803,450,031
| 43,423
|
eng_Latn
|
eng_Latn
| 0.949051
|
eng_Latn
| 0.996658
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
142,
312,
2341,
2354,
5583,
8890,
12058,
15589,
18972,
22042,
25385,
28662,
31510,
34475,
37482,
40717,
43887,
46936,
50094,
53175,
56408,
59691,
62766,
66075,
69462,
72635,
75594,
78822,
82075,
85419,
88633,
91876,
94975,
98176,
100864,
103755,
107108,
110422,
113276,
116607,
119727,
123008,
126263,
129608,
132760,
135444,
138912,
141999,
145395,
148632,
151657,
155003,
158019,
161160,
164590,
168032,
171430,
174928,
178375,
180704,
182116,
184488,
187079,
189561,
191220,
192970,
195228,
197635,
199872,
201691,
202240
] |
1. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
2. OMR ಬ್ರೂ ಅಧಿಕೃತವಾಗಿ ಮತ್ತು ಕ್ರಮ ಮುಖ್ಯವಾಗಿ ರಚಿಸಲಾಗಿದೆ. ಪ್ರತಿಯೊಂದು ಪ್ರಶ್ನೆಗೆ ಒಂದು ಪ್ರತೀಕವನ್ನು ನೀಡಿದ್ದರೆ, ತುಂಬಾ ಪ್ರಶ್ನೆಗಳಿಗೆ ಒಂದು ಪ್ರತೀಕವನ್ನು ನೀಡಿದ್ದರೆ, ತುಂಬಾ ಪ್ರಶ್ನೆಗಳಿಗೆ ಒಂದು ಪ್ರತೀಕವನ್ನು ನೀಡಿದ್ದರೆ.
3. ಪ್ರತಿಯೊಂದು ಪ್ರಶ್ನೆಗೆ ಒಂದು ಪ್ರತೀಕವನ್ನು ನೀಡಿದ್ದರೆ, ತುಂಬಾ ಪ್ರಶ್ನೆಗಳಿಗೆ ಒಂದು ಪ್ರತೀಕವನ್ನು ನೀಡಿದ್ದರೆ, ತುಂಬಾ ಪ್ರಶ್ನೆಗಳಿಗೆ ಒಂದು ಪ್ರತೀಕವನ್ನು ನೀಡಿದ್ದರೆ.
4. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
5. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
6. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
7. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
8. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
9. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
10. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
11. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
12. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
13. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
14. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
15. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
16. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
17. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
18. ಈ ಪತ್ರಿಕೆಯಲ್ಲಿ ಹೇಗೆ ಮತ್ತು ಕೆಲವು ವಿಷಯಗಳನ್ನು ಸೂಚಿಸಲಾಗಿದೆ.
Note: English version of the instructions is printed on the back cover of this booklet.
| Question Number | Key Answer | Question Number | Key Answer | Question Number | Key Answer | Question Number | Key Answer |
|-----------------|------------|-----------------|------------|-----------------|------------|-----------------|------------|
| 1 | 3 | 26 | 3 | 51 | 4 | 76 | 2 |
| 2 | 1 | 27 | 4 | 52 | 3 | 77 | 2 |
| 3 | 4 | 28 | 2 | 53 | 2 | 78 | 3 |
| 4 | 3 | 29 | 2 | 54 | 2 | 79 | 4 |
| 5 | 1 | 30 | 4 | 55 | 3 | 80 | 1 |
| 6 | 4 | 31 | 2 | 56 | 2 | 81 | 3 |
| 7 | 3 | 32 | 1 | 57 | 2 | 82 | 3 |
| 8 | 1 | 33 | 3 | 58 | 4 | 83 | 1 |
| 9 | 2 | 34 | 1 | 59 | 3 | 84 | 4 |
| 10 | 4 | 35 | 3 | 60 | 4 | 85 | 1 |
| 11 | 2 | 36 | 1 | 61 | 4 | 86 | 3 |
| 12 | 1 | 37 | 1 | 62 | 1 | 87 | 2 |
| 13 | 1 | 38 | 3 | 63 | 3 | 88 | 3 |
| 14 | 3 | 39 | 4 | 64 | 2 | 89 | 1 |
| 15 | 2 | 40 | 3 | 65 | 1 | 90 | 4 |
| 16 | 1 | 41 | 4 | 66 | 2 | 91 | 2 |
| 17 | 2 | 42 | 1 | 67 | 1 | 92 | 3 |
| 18 | 3 | 43 | 4 | 68 | 3 | 93 | 2 |
| 19 | 1 | 44 | 2 | 69 | 1 | 94 | 1 |
| 20 | 2 | 45 | 3 | 70 | 3 | 95 | 3 |
| 21 | 2 | 46 | 4 | 71 | 1 | 96 | 4 |
| 22 | 4 | 47 | 1 | 72 | 2 | 97 | 2 |
| 23 | 3 | 48 | 4 | 73 | 3 | 98 | 4 |
| 24 | 1 | 49 | 1 | 74 | 2 | 99 | 4 |
| 25 | 3 | 50 | 2 | 75 | 4 | 100 | 3 |
Note: Every question for which wrong answer has been given by the candidate, \( \frac{1}{4} \)th of the marks assigned for that question will be deducted.
Sd/-
Controller of Examination
Karnataka Public Service Commission
Bengaluru.
1. According to Karnataka Industrial Policy 2020 - 25, which are the correct categories of the following:
(1) Zone 1 and 2: Industrially developed districts
Zone 3 and 4: Industrially backward districts
(2) Zone 1 and 2: Industrially developed districts
Zone 3 and 4: Agro-based districts
(3) Zone 1 and 2: Industrially backward districts
Zone 3 and 4: Industrially developed districts
(4) Zone 1 and 2: Agro-based districts
Zone 3 and 4: Industrially backward districts
2. Which of the following is related to Karnataka Yeshasvini Health Insurance Scheme?
(1) Co-operative Farmers healthcare scheme
(2) Private Hospital healthcare scheme
(3) State Government healthcare scheme
(4) Central Government healthcare scheme
3. Which one of the following is the longest inland waterway of Karnataka?
(1) Ghataprabha
(2) Malaprabha
(3) Bhima
(4) Tungabhadra
4. Where is Karnataka’s chemical and petrochemical industry hub located?
(1) Karwar
(2) Bengaluru
(3) Mangaluru
(4) Belagavi
5. With reference to Judicial Review, which of the following statements are true?
A. The right of the Judiciary to advise the President in Constitutional matters.
B. The power of the Judiciary to pronounce upon the constitutionality of law passed by the Legislature.
C. The right of the Parliament to ask the Judiciary to review its own judgements.
D. The right of the Judiciary to quash the amendment to the Constitution when it affects the basic features of the Constitution.
Select the correct answer by using the codes given below:
(1) B and D
(2) A, B, C and D
(3) C and D
(4) A and D
6. With reference to the Citizenship Amendment Act, 2019, the following migrants from Afghanistan, Pakistan and Bangladesh were eligible to apply for Indian citizenship who arrived in India before 31st December, 2014:
A. Hindus and Sikhs
B. Buddhists and Jains
C. Parsis and Christians
D. Muslims
Select the correct answer using the codes given below:
(1) A, B and D
(2) A, B, C and D
(3) A and B
(4) A, B and C
7. ಭಾರತದ ಸಂವೀಕ್ಷಣೆಯು ನಾಗಿಯಲ್ಲಿ ವಾಹನಾಧಿಸ್ಥಾನವನ್ನು ಕೈ ಹಾಕಿದರೆ ತಮ್ಮುಗಳನ್ನು ಸಂವೀಕ್ಷಣೆ 21 ನೇ ಅನ್ನು ದೇಶದ ಅನ್ನು ಮಾಡುತ್ತಾರೆ:
A. ಮಾಸಿಕವಾಗಿ ಮಾಡು
B. ದಿನಾಂಕವಾಗಿ ಕೊಂಡಬೇಕು ಮಾಡು
C. ವಾರಕ್ಕೆ ಮಾಡು
D. ರಷ್ಟುಕ್ಕೆ ಮಾಡು
E. ಪ್ರತಿ ನಾರ್ತು ಸಂವೀಕ್ಷಣೆ ಮಾಡು
8. ಭಾರತದ ಸಂವೀಕ್ಷಣೆಯ ಅನ್ನು ದೇಶದ ಸಂವೀಕ್ಷಣೆಯ ಕೈ ಹಾಕಿದರೆ ಮುಂದೆ ಕೆಳಗಿನವು ಸಿದ್ಧವಾಗಿ?
A. ಮಾಸಿಕವಾಗಿ ಸಂವೀಕ್ಷಣೆ ಮಾಡುತ್ತಾರೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ ಮಾಡಿಸಿಕೊಳ್ಳುತ್ತಾರೆ.
B. ಮಾಡುತ್ತಾರೆ ಸಂವೀಕ್ಷಣೆ ಮಾಡುತ್ತಾರೆ ಸಂವೀಕ್ಷಣೆಯ ಜಾಗೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ ಮಾಡಿಸಿಕೊಳ್ಳುತ್ತಾರೆ.
C. ಅನ್ನು ದೇಶದ ಸಂವೀಕ್ಷಣೆ ಮಾಡುತ್ತಾರೆ ಸಂವೀಕ್ಷಣೆಯ ಜಾಗೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ ಮಾಡಿಸಿಕೊಳ್ಳುತ್ತಾರೆ.
D. ಸಂವೀಕ್ಷಣೆಯ ಮುಂದೆ ಭಾರತದ ಅನ್ನು ದೇಶದ ಸಂವೀಕ್ಷಣೆಯ ಜಾಗೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ ಮಾಡಿಸಿಕೊಳ್ಳುತ್ತಾರೆ.
9. ರಾಜ್ಯ ಪ್ರದೇಶದ ಅನ್ನು ದೇಶದ (ಸಂಪ್ರದಾಯ I ರೋಧ) ಅನ್ನು ದೇಶದ (ಸಂಪ್ರದಾಯ II ರೋಧ) ಅನ್ನು ದೇಶದ ಕೈ ಹಾಕಿದರೆ ಸಿದ್ಧವಾಗಿ?
| ಸಂಪ್ರದಾಯ I | ಸಂಪ್ರದಾಯ II |
|---------------|----------------|
| A. ಕೆಳಗಿನವು ನಾಗಿಯಲ್ಲಿ I. ಅನ್ನು ದೇಶದ ಮಾಡುತ್ತಾರೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ 48A ಮಾಡಿಸಿಕೊಳ್ಳುತ್ತಾರೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ |
| B. ಭಾರತ ಹೆಚ್ಚಿನ ಮಾಡು II. ಅನ್ನು ದೇಶದ 42 ಲಾಭಕ್ಕೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ |
| C. ತಮ್ಮುಗಳ ಸಂವೀಕ್ಷಣೆಯ ಮಾಡು III. ಅನ್ನು ದೇಶದ 40 ಲಾಭಕ್ಕೆ ಕಾಲದ ಸಂವೀಕ್ಷಣೆಯ ಲಾಭಕ್ಕೆ |
| D. ಗಾಮು ಮಾಡಿಸಿಕೊಳ್ಳುತ್ತಾರೆ IV. ಅನ್ನು ದೇಶದ 38 ಲಾಭಕ್ಕೆ |
10. ಸಂವೀಕ್ಷಣೆಯ ವಾಹನಾಧಿಸ್ಥಾನದ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ?
(1) ಸಂಪ್ರದಾಯ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ
(2) ಅನ್ನು ದೇಶದ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ
(3) ಸಂಪ್ರದಾಯ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ
(4) ಅನ್ನು ದೇಶದ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ
ಸಂಪ್ರದಾಯ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ
ಸಂಪ್ರದಾಯ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ
ಸಂಪ್ರದಾಯ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ
ಸಂಪ್ರದಾಯ ಅನ್ನು ದೇಶದ ಸಿದ್ಧವಾಗಿ
7. With reference to the Supreme Courts' interpretation, the following Rights are listed in Article 21:
A. Right to Privacy
B. Right to Reputation
C. Right to Information
D. Right to Security
E. Right to Doctor's Assistance
Select the correct answer using the codes given below:
(1) A, B and C
(2) C, D and E
(3) A, B, C and E
(4) B, C, D and E
8. Regarding the Amendment of the Indian Constitution, which of the following are true?
A. Bills can be initiated in either House of the Parliament.
B. No joint sitting in case of deadlock between the two Houses.
C. President shall give his assent to the Bill.
D. The State Legislature's assent is required to amend any part of the Constitution.
Select the correct answer using the codes given below:
(1) A, B and C
(2) A, B and D
(3) A, C and D
(4) A and B only
9. Match the provisions of Directive Principles of State Policy (List I) with their correct Articles (List II):
| List I | List II |
|---------------------------------------------|---------|
| A. Just and humane conditions of work and maternity relief | I. Article 48A |
| B. To secure a social order which stands for the welfare of the people | II. Article 42 |
| C. Protect the environment and safeguard the forests and wildlife | III. Article 40 |
| D. Organisation of village panchayats | IV. Article 38 |
Choose the correct answer from the options given below:
A B C D
(1) IV II III I
(2) II IV I III
(3) IV II I III
(4) II I III IV
10. The following is the meaning of 'Span of control':
(1) Tenure on a post
(2) Geographical jurisdiction
(3) The number of people being controlled
(4) The number of subordinates or units of work that an officer can personally direct, control and supervise
11. ಕೆ ಹಾಗು ಮೇಲೆ ವ್ಯಾಪಾರ ವಿಭಾಗದ ರಾಜಕೀಯ ಸಂಸ್ಥೆಯ ಅಧಿಕೃತ ನಿಯಮ ಪ್ರಕಾರ ಚಿಕ್ಕನ್ನು ಪ್ರತಿಬಿಂಬಿಸಿದ್ದು?
(1) ಲಿಂಗಾಯತ
(2) ವೈದ್ಯಕೀಯ ವೈದ್ಯ
(3) ಕಾರ್ಯ ಮಂಡಲ
(4) ಮುಖ್ಯಸ್ಥ
12. ಸಂಸ್ಥೆಯು ನಾಯಾಯಾಲಯದ ಅಧಿಕೃತವಾಗಿ, ಕೊನೆಯ ದಿನ ತಾಣದ ಅಧಿಕೃತವಾಗಿ ಪ್ರತಿಬಿಂಬಿಸಿ ಕೆ ಹಾಗು ಮೇಲೆ ಸಂಸ್ಥೆಯನ್ನು ಪ್ರತಿಬಿಂಬಿಸಿದ್ದು ಸಂಸ್ಥೆಯ ಮೇಲೆ:
(1) ರಾಜ್ಯ ಸಂಸ್ಥೆ ಸಂಪ್ರದಾಯ
(2) ಬೀ ಎ ಮಂಡಲ ಸಂಪ್ರದಾಯ
(3) ಕಾರ್ಯ ಮಂಡಲ ಸಂಪ್ರದಾಯ
(4) ಸಂಸ್ಥೆಯ ಸುತ್ತು ಸಂಪ್ರದಾಯ
13. ಭಾರತದ ಸಂಸ್ಥೆಯು 19 ನೇ ಏಪ್ರಿಲ್ ಸುತ್ತು, ಸಂಸ್ಥೆಯು ಕಾರ್ಯ ಮಂಡಲ ಕೆ ಹಾಗು ಮೇಲೆ ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯವನ್ನು ಪ್ರತಿಬಿಂಬಿಸಿದ್ದು ಸಂಸ್ಥೆಯ ಮೇಲೆ ಸಂಪ್ರದಾಯವನ್ನು?
(1) ರಾಜ್ಯ ಸಂಪ್ರದಾಯ
(2) ರಾಜ್ಯ ಮಂಡಲ ಮಂಡಲ ಸಂಪ್ರದಾಯ
(3) ರಾಜ್ಯ ಮಂಡಲ ಮಂಡಲ ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ
(4) ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ
14. ಭಾರತದ ರಾಜ್ಯ ಸಂಸ್ಥೆಯು ಮಂಡಲ ಪ್ರದೇಶದಲ್ಲಿ ಸಂಸ್ಥೆಯಿಂದ ಕೆ ಹಾಗು ಮೇಲೆ ಸಂಪ್ರದಾಯ ತಾಣುಗು?
(1) ಸಂಸ್ಥೆಯ ಮಂಡಲ ಸಂಸ್ಥೆಯ ಅಧಿಕೃತವಾಗಿ
(2) 14 ಮಿಸಾರ್ ವ್ಯಾಪಾರ ಸಂಸ್ಥೆಯ ಅಧಿಕೃತವಾಗಿ
(3) ಸಂಸ್ಥೆಯಿಂದ ಸಂಸ್ಥೆಯ ಸುತ್ತು ಸಂಪ್ರದಾಯ ವಾಳಿಸಿದ್ದು
(4) "ಸಂಸ್ಥೆಯ ಸುತ್ತು ಸಂಪ್ರದಾಯ" ನ ಮೇಲೆ
15. ಸಂಸ್ಥೆಯು ಅಕ್ಟೋಬರ್ ತಾಣುವಿನಲ್ಲಿ ಸಂಸ್ಥೆಯ ಮೇಲೆ ಆಯ್ಕೆ:
(1) ಕಾರ್ಯ ಮಂಡಲ (ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ)
(2) ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ
(3) ಕಾರ್ಯ ಮಂಡಲ ಸಂಪ್ರದಾಯ
(4) ಸಂಪ್ರದಾಯ
16. ವಾಳಿಸಿದ್ದು ಅಧಿಕೃತವಾಗಿ ಸಂಸ್ಥೆಯ ಮೇಲೆ ಸಂಪ್ರದಾಯವನ್ನು ಪ್ರತಿಬಿಂಬಿಸಿದ್ದು?
(1) ಗುಂಪು ಸಂಪ್ರದಾಯ
(2) ಸಂಪ್ರದಾಯ
(3) ಮಂಡಲ ಸಂಪ್ರದಾಯ
(4) ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ
17. ಪ್ರತಿಬಿಂಬಿಸಿದ್ದು ಸಂಪ್ರದಾಯವನ್ನು?
(1) ವಾಳಿಸಿದ್ದು ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ
(2) ಸಂಸ್ಥೆಯ ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ
(3) ಸಂಸ್ಥೆಯ ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ
(4) ಸಂಸ್ಥೆಯ ಸಂಪ್ರದಾಯ ಸಂಪ್ರದಾಯವನ್ನು
11. The following was the first to propound the concept of separation between Politics and Public Administration:
(1) Aristotle
(2) Woodrow Wilson
(3) Karl Marx
(4) Machiavelli
12. With regard to the ruling of the Supreme Court, the Government of India appointed the following Committee to identify the creamy layer among the OBCs:
(1) Ram Nandan Committee
(2) B.P. Mandal Commission
(3) Kaka Kalelkar Commission
(4) Sardar Swaran Singh Commission
13. According to Article 19 of the Constitution of India, right to freedom is protected against only
(1) State action
(2) State and private individual action
(3) State and private company action
(4) Individual action
14. Regarding impeachment of the President of India, which of the following is not true:
(1) Initiates in either House of the Parliament
(2) 14 days notice should be given
(3) Nominated member cannot participate in the process
(4) Only for 'Violation of the Constitution'
15. The source of energy for the synthesis of food in plants is
(1) Chloroplast
(2) Sunlight
(3) Carbon dioxide
(4) Water
16. Excess glucose in animals is stored as
(1) Glycogen
(2) Starch
(3) Maltose
(4) Sucrose
17. Radioactive decay follows
(1) Second order kinetics
(2) First order kinetics
(3) Zero order kinetics
(4) None of the above
18. Nylon is a polyamide of ________.
(1) vinyl chloride and formaldehyde
(2) adipic acid and methyl amine
(3) adipic acid and hexamethylene diamine
(4) formaldehyde and melamine
19. The Central Drug Research Institute (CDRI) is situated at
(1) Lucknow
(2) New Delhi
(3) Mumbai
(4) Bengaluru
20. Gundappa Gowda Committee was formed with the following objectives regarding land reforms:
A. Abolition of Inam holdings from the general public for abolition of intermediaries in the year 1947
B. Revision of land revenue system
C. To examine the need for tenancy law
D. To recommend principles as to payment of compensation to the Inam holders
Select the correct answer using the codes given below:
(1) A, B and C
(2) A, C and D
(3) B, C and D
(4) A, B and D
21. Given below are two statements, one labelled as Assertion (A) and the other labelled as Reason (R).
**Assertion (A):**
In the 1995 Karnataka Land Reforms Amendment Act, "Public Interest" is the main motto.
**Reason (R):**
1995's Amendment Act amended that revenue land can be rented for 20 years.
Select the correct answer using the codes given below:
(1) Both (A) and (R) are correct, but (R) is not the correct explanation of (A).
(2) Both (A) and (R) are correct and (R) is the correct explanation of (A).
(3) (A) is correct, but (R) is not correct.
(4) (A) is not correct, but (R) is correct.
22. According to the Karnataka Land Reforms Act 1961, a family (of five people) was allowed to own
(1) 10 acres of fertile land or 171 acres of dry land
(2) 18 acres of fertile land or 150 acres of dry land
(3) 15 acres of fertile land or 186 acres of dry land
(4) 27 acres of fertile land or 216 acres of dry land
23. ಕೆಲವು ಮೇಲಿನ ಪ್ರಶ್ನೆಗಳನ್ನು ತುಂಬಾ ಅಸಮಾನವಾದ ವಿವರಗಳನ್ನು ನೀಡಿದ್ದು ಪ್ರಶ್ನೆಗಳನ್ನು ಹೊಂದಿದೆ?
(1) ಭಾರ್ಯ ದುಂಡಾಗಿಸಿದ್ದಾನೆ
(2) ಜೀವನಚರಿತ್ರೆ ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
(3) ಮುಖ್ಯವಾಗಿ ಮೇಲಿನ ಸ್ವಾಧೀನ
(4) ಕೆಲವು ಪ್ರಶ್ನೆಗಳು ಹೊಂದಿದ್ದಾನೆ
24. ಮೈಕ್ರೋಸ್ಕೋಪ್ ಕಾರ್ಯಾಚರಣೆಯನ್ನು ಸುಂದರವಾಗಿ ಗುರುತಿಸಿದ್ದಾನೆ
(1) ಸ್ವಲ್ಪ
(2) ಚೆನ್ನಾಗಿ
(3) ಸುಮಾರು www.shikarat.com
(4) ಅಧಿಕ
25. ಎಂದು ವ್ಯಾಪ್ತವಾಗಿ ಸ್ವಲ್ಪ ಸಂಬಂಧವಿರುವ ಪ್ರಶ್ನೆಗಳನ್ನು ಮೇಲಿನ ಪ್ರಶ್ನೆಗಳು ಹೊಂದಿದ್ದಾನೆ
(1) ವಿಷಯ ದೃಢೀಕರಣ
(2) ಜೀವನಚರಿತ್ರೆ
(3) ಜೀವನಚರಿತ್ರೆ
(4) ವಿಷಯ ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
26. ಸಂಬಂಧವಿರುವ ಪ್ರಶ್ನೆಗಳು ವಿಷಯದ ವಾಸ್ತವಿಕವಾದ ಕೆಲವು ಪ್ರಶ್ನೆಗಳು
(1) ಕೆಲವು ಪ್ರಶ್ನೆಗಳು
(2) ಸಂಬಂಧವಿರುವ ಪ್ರಶ್ನೆಗಳು
(3) ವಿಷಯ ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
(4) ವಿಷಯ ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
27. ಮುಂದೆ ಕಾರ್ಯಾಚರಣೆಯನ್ನು ಸುಂದರವಾಗಿ ಗುರುತಿಸಿದ್ದಾನೆ
(1) ELISA
(2) ASLT
(3) VDRL ಸ್ವಲ್ಪ
(4) ವಿಷಯ ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
28. 20 kHz ಹೊಂದಿದ್ದು ಅಧಿಕವಾಗಿ ಕೆಲವು ಪ್ರಶ್ನೆಗಳು ಹೊಂದಿದ್ದಾನೆ
(1) ಚೆನ್ನಾಗಿ (ಸ್ವಲ್ಪ)
(2) ಚೆನ್ನಾಗಿ (ಅಧಿಕ ಸ್ವಲ್ಪ)
(3) ಅಧಿಕ (ಸ್ವಲ್ಪ ಸ್ವಲ್ಪ)
(4) ಅಧಿಕ (ಅಧಿಕ ಸ್ವಲ್ಪ)
29. ವಿಷಯವಾದ ಸಂಬಂಧವಿರುವ ಪ್ರಶ್ನೆಗಳು ಕಾರ್ಯಾಚರಣೆಯನ್ನು ಸುಂದರವಾಗಿ ಗುರುತಿಸಿದ್ದಾನೆ
(1) ಅಧಿಕ ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
(2) ಅಧಿಕ ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
(3) ಅಧಿಕ ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
(4) ಕೆಲವು ಪ್ರಶ್ನೆಗಳು ಹೊಂದಿದ್ದಾನೆ
30. ________ ಅಂದಿನ ಕಾರ್ಯಾಚರಣೆಯನ್ನು ಸುಂದರವಾಗಿ ಗುರುತಿಸಿದ್ದಾನೆ (ಬಾರ್ ಬಾರ್) ಸುಂದರವಾಗಿ ಗುರುತಿಸಿದ್ದಾನೆ.
(1) ಸ್ವಲ್ಪ ಸ್ವಲ್ಪ
(2) ಪ್ರತಿಬಿಂಬಿಸಿದ್ದಾನೆ
(3) ಸುಂದರವಾಗಿ ಗುರುತಿಸಿದ್ದಾನೆ
(4) ಸುಂದರವಾಗಿ ಗುರುತಿಸಿದ್ದಾನೆ
23. The pace of implementation of which of the following land reforms measures has been particularly slow and full of loopholes?
(1) Land consolidation
(2) Abolition of zamindari
(3) Ceiling on land holdings
(4) Protection of tenants
24. Melatonin hormone is secreted by the ________ gland.
(1) Pineal
(2) Thyroid
(3) Pituitary
(4) Adrenal
25. The place where two major biological communities meet and blend is called an
(1) Ecosystem
(2) Ecotype
(3) Ecotone
(4) Ecology
26. Animals living at the bottom of the sea are called
(1) Plankton
(2) Nekton
(3) Benthos
(4) Pelagic
27. The test conducted to identify causative agent of Tuberculosis is
(1) ELISA
(2) ASLT
(3) VDRL test
(4) Mantoux test
28. Mechanical waves having frequencies greater than 20 kHz are called
(1) Sonics
(2) Ultrasonics
(3) Supersonics
(4) Infrasonics
29. Roofs of huts being blown off during stormy days can be explained by using
(1) Archimedes’ principle
(2) Bernoulli’s principle
(3) Pascal’s principle
(4) None of the above
30. An athlete runs before he takes a long jump to gain __________.
(1) frictional force
(2) inertia of rest
(3) potential energy
(4) inertia of motion
31. Which of the following mirror is used by a dentist to examine a small cavity?
(1) Convex mirror
(2) Concave mirror
(3) Combination of convex and concave mirrors
(4) None of the above
32. Jajmani system is a special form of _______ exchange.
(1) economic
(2) social
(3) political
(4) religious
33. The concepts of little traditions and great traditions are formulated by __________.
(1) McKim Marriott
(2) Milton Singer
(3) Robert Redfield
(4) Louis Dumont
34. Match List I with List II:
| List I | List II |
|---------------------------------------------|------------------|
| (Book) | (Author) |
| A. Tribal Heritage of India | I. F.G. Bailey |
| B. Tribal Development in India | II. S.C. Dube |
| C. Tribe, Caste and Nation | III. B. Chaudhuri|
| D. Himalayan Polyandry | IV. D.N. Majumdar|
Choose the correct answer from the options given below:
A B C D
(1) II III I IV
(2) I III II IV
(3) II I III IV
(4) IV I III II
35. Who were the national level socialist leaders who entered the Kagodu Satyagraha?
(1) Shanthaveri Gopala Gowda and Garuda Sharma
(2) Khadri Shamanna and Eshwarappa
(3) Ram Manohar Lohia and Jayaprakash Narayan
(4) Ram Manohar Lohia and Shanthaveri Gopala Gowda
36. In which places did the Karnataka Land Reforms Act 1974 establish the land tribunals?
(1) Taluks
(2) Districts
(3) Hoblis
(4) Villages
37. The Mysore Tenancy and Agricultural Land Laws Committee was headed by
(1) B.D. Jatti
(2) Kadidal Manjappa
(3) S. Nijalingappa
(4) D. Devaraj Urs
Directions: For questions 38 and 39. These questions are based on the following information:
Each of the five persons – Arnav, Khushi, Anjali, Payal and Aakash has to speak once on the five different topics – Trade Policies, Politics, Business Ethics, Startup Economy and Fin-Tech, not necessarily in the same order, conforming to the following constraints:
(i) Payal is to be the second to speak after the speech on Trade Policies.
(ii) Anjali must speak before Aakash.
(iii) The speech on Business Ethics is to be given before the speech by Arnav.
(iv) Khushi has to speak on Startup Economy and the fourth speech is to be on Fin-Tech.
(v) Two speeches are to be given in between the speeches on Business Ethics and Politics.
38. Who has to give the third speech?
(1) Arnav
(2) Khushi
(3) Aakash
(4) Anjali
39. The last speech is on which topic?
(1) Trade Policies
(2) Fin-Tech
(3) Business Ethics
(4) Politics
40. If ₹ 500 amounts to ₹ 725 @ 9% simple interest in some time, what will ₹ 800 amount to @ 11% in the same time?
(1) ₹ 1200
(2) ₹ 1225
(3) ₹ 1240
(4) ₹ 1300
41. Find the incorrect number in the given series:
3, 10, 31, 94, 284
(1) 10
(2) 31
(3) 94
(4) 284
42. The sum of the ages of 5 children born at an interval of 3 years each is 50 years. What is the age of the youngest child?
(1) 4 years
(2) 7 years
(3) 6 years
(4) 10 years
43. Which of the following is not a food chain?
(1) Grass – Goat – Lion
(2) Grass – Frog – Snake
(3) Grass – Sheep – Man
(4) Grass – Snake – Deer
44. The discipline of Phytogeography deals with
(1) Animal life
(2) Plant life
(3) Study of Tribes
(4) Ancient Civilisations
45. What is ecological niche?
(1) Interdependence of man and plant
(2) Interrelation between man and environment
(3) Role that an organism plays in the ecosystem
(4) Relationship between man and other organisms
46. The functioning of an ecosystem involves
(1) Increasing of animal population
(2) Planting of trees and bushes
(3) An increasing simplicity of relations
(4) Flow of energy and circulation of nutrients
47. Find out the correct sequence of natural vegetation starting from Trivandrum to Kolkata:
(1) Tropical Evergreen – Deciduous – Dry Savanna – Wet Deciduous
(2) Deciduous – Dry Deciduous – Wet Deciduous – Tropical Evergreen
(3) Wet Deciduous – Deciduous – Dry Savanna – Tropical Evergreen
(4) Dry Savanna – Deciduous – Tropical Evergreen – Wet Deciduous
48. The seasonal movement of people with their animal flocks between highlands and lowlands is known as
(1) Nomadism
(2) Shifting
(3) Ranching
(4) Transhumance
49. The species which are restricted to be present in one region are called
(1) Endemic species
(2) Edge species
(3) Keystone species
(4) Endangered species
50. Which of the following states has the highest percentage of tank irrigation?
(1) Kerala
(2) Karnataka
(3) Himachal Pradesh
(4) Punjab
51. Conservation of natural resources aims at one of the following:
(1) Complete ban on the use of resources
(2) Some restriction on the use of resources
(3) Dependency on natural resources
(4) Rational use of natural resources
52. ಹಾರ್ಡ್ವೇರ್ ಮತ್ತು ಸಿಸ್ಟಮ್ ವಿಜ್ಞಾನದಲ್ಲಿ ಸ್ವೀಕಾರಣಾತ್ಮಕ ಪ್ರಬಂಧಗಳು ಪ್ರಸಿದ್ಧವಾಗಿದೆ?
(1) ಮುಖ್ಯವಾಗಿ ಹಾರ್ಡ್ವೇರ್
(2) ರಾಷ್ಟ್ರೀಯ ಪ್ರಬಂಧಗಳು
(3) ಸಂಪರ್ಕ ವಾಸ್ತವ
(4) ವಿದ್ಯುನ್ ತೊಡಗೆ
53. ಅಂತರಿಕ್ಷ ಮತ್ತು ಭೂಮಿಯಲ್ಲಿ, ಪ್ರಾಣಿಗಳ ಸಂಘಟನೆ ನೈಸ್ಕಾರಿಕ ಸ್ವೀಕಾರಣಾತ್ಮಕ ಪ್ರಬಂಧಗಳು ಆದ (N₂-fixing)
(1) ರೂಪೀಕರಣವನ್ನು
(2) ಅಂತರಿಕ್ಷ ಮತ್ತು ಭೂಮಿಯಲ್ಲಿ
(3) ಪ್ರಾಣಿಗಳ ಸಂಘಟನೆ
(4) ಸುಂದರವಾದ
54. ಪ್ರಾಣಿಗಳ ಸಂಘಟನೆಯ ಅಂದಾಜು ಅನುಭವ ಮತ್ತು ಮುಖ್ಯವಾಗಿದೆ?
(1) ಅಂತರಿಕ್ಷ ಮತ್ತು ಭೂಮಿಯಲ್ಲಿ
(2) ಪ್ರಾಣಿಗಳ ಸಂಘಟನೆ
(3) ಪ್ರಾಣಿಗಳ ಸಂಘಟನೆ
(4) ಸುಂದರವಾದ
55. ಪ್ರಾಣಿಗಳ ಸಂಘಟನೆ ಪ್ರಬಂಧಗಳು ಅಂದಾಜು ಅನುಭವ ಮತ್ತು ಮುಖ್ಯವಾಗಿದೆ?
(1) PCR ಅಂತರಿಕ್ಷ
(2) ರಾಷ್ಟ್ರೀಯ ಪ್ರಬಂಧಗಳು
(3) ಹಾರ್ಡ್ವೇರ್ ಸಿಸ್ಟಮ್
(4) ಮುಖ್ಯವಾಗಿ
56. ಒಂದು ಕಾಲೇಜು 70% ವಿದ್ಯಾರ್ಥಿಗಳು ಸಾಧಿಸುತ್ತಿದ್ದರು. ಮತ್ತು 65% ವಿದ್ಯಾರ್ಥಿಗಳು ಗಾಳಿಸಿದ್ದರು ಸಾಧಿಸುತ್ತಿದ್ದರು. ಕಾಲೇಜು 25% ರಾಷ್ಟ್ರೀಯ ವಿದ್ಯಾರ್ಥಿಗಳು ಲಭಿಸಿದ್ದರು. ಪ್ರಾಣಿಗಳು 250 ವಿದ್ಯಾರ್ಥಿಗಳು ಸಾಧಿಸುತ್ತಿದ್ದರು ಸಾಧಿಸುತ್ತಿದ್ದರು. ಕಾಲೇಜು ಸಾಧಿಸುತ್ತಿದ್ದರು ಸಾಧಿಸುತ್ತಿದ್ದರು ಸಾಧಿಸುತ್ತಿದ್ದರು.
(1) 500
(2) 417
(3) 450
(4) 325
57. ಸಂಘಟನೆ ಪ್ರಬಂಧಗಳು ಅಂದಾಜು ಅನುಭವ ಮತ್ತು ಮುಖ್ಯವಾಗಿದೆ?
(1) SXU
(2) RPV
(3) RXW
(4) QYV
58. 'A' ಮತ್ತು 'B' ಅಂತರಿಕ್ಷ ಸಂಘಟನೆಯ ಅಂದಾಜು ಸಂಘಟನೆ ರೂ 20,000 ಅಂತರಿಕ್ಷ. ಅಂತರಿಕ್ಷ 'A' ಮತ್ತು ಸಂಘಟನೆ ರೂ 95 ರಾಷ್ಟ್ರೀಯ ಮತ್ತು ಮುಖ್ಯವಾಗಿದೆ. 'B' ಮತ್ತು ಸಂಘಟನೆ ರೂ 85 ರಾಷ್ಟ್ರೀಯ ಮತ್ತು ಮುಖ್ಯವಾಗಿದೆ. ಅಂತರಿಕ್ಷ ಸಂಘಟನೆ ರೂ 100 ಅಂತರಿಕ್ಷ. ಕಾಲೇಜು 'A' ಮತ್ತು ಸಂಘಟನೆ ರೂ 5,000
(1) ರೂ 5,000
(2) ರೂ 7,500
(3) ರೂ 12,500
(4) ರೂ 15,000
52. Mangrove vegetation in India is most extensively found in the region of
(1) Malabar Coast
(2) Rajmahal Hills
(3) Sundarban
(4) Vindhya Range
53. Recently discovered non-leguminous N\textsubscript{2}-fixing bacteria is
(1) Rhizobium
(2) Azotobacter
(3) Rhodospirillum
(4) Spirulina
54. Etiology includes the study of
(1) Host
(2) Pathogen
(3) Parasite
(4) Disease
55. Genomic library can be prepared by
(1) PCR technique
(2) Colony hybridization
(3) Shotgun experiment
(4) All of the above
56. In an examination, 70% of the students passed in English and 65% in Mathematics and 25% students failed in both English and Mathematics. The total number of students who passed in the examination are 250. What is the number of students who appeared in the examination?
(1) 500
(2) 417
(3) 450
(4) 325
57. Choose the missing term as shown by (?) out of the given alternatives from the series:
BXJ FVM JTP NRS ?
(1) SXU
(2) RPV
(3) RXW
(4) QYV
58. A and B's salaries together amount to ₹ 20,000. A spends 95% of his salary and B spends 85% of his. If now their savings are the same, what is A's salary?
(1) ₹ 5,000
(2) ₹ 7,500
(3) ₹ 12,500
(4) ₹ 15,000
59. The sum of the ages of a father and son is 45 years. Five years ago, the product of their ages was four times the father's age at that time. The present ages (in years) of the father and son are
(1) 34, 11
(2) 35, 10
(3) 36, 9
(4) 40, 15
60. A society that celebrates the harvest festival of Huttari in Karnataka is
(1) Kadu Kuruba
(2) Koragaru
(3) Soliga
(4) Kodava
61. The temple built by Vishnuvardhana to commemorate the defeat of Cholas in Talakadu is
(1) Keerthi Narayana of Talakadu
(2) Kappe Chennigaraya
(3) Veeranarayana of Belavadi
(4) Chennakeshava of Beluru
62. Haridasa who wrote Krishna Charitra is
(1) Kanakadasa
(2) Vijayadasa
(3) Purandaradasa
(4) Jagannathadasa
63. Pietro Della Valle, the Italian traveller, visited whose court in Ikkeri?
(1) Sadashiva Nayaka
(2) Chikkasankanna Nayaka
(3) Venkatappa Nayaka
(4) Shivappa Nayaka
64. A bag contains 2 Red, 3 Green and 2 Blue balls. 2 balls are to be drawn randomly. What is the probability that the balls drawn contain no blue ball?
(1) \(\frac{5}{7}\)
(2) \(\frac{10}{21}\)
(3) \(\frac{2}{7}\)
(4) \(\frac{11}{21}\)
65. Which of the following is a measure of central value?
(1) Median
(2) Standard Deviation
(3) Mean Deviation
(4) Quartile Deviation
66. Presently the base year used for National Income estimation in India is
(1) 2005 – 06
(2) 2011 – 12
(3) 2014 – 15
(4) 2019 – 20
67. Under the recommendation of which of the following committees, RBI decided to transfer its surplus reserves to the Government of India?
(1) Bimal Jalan Committee
(2) Urjit Patel Committee
(3) Raghuram Rajan Committee
(4) Arvind Subramanian Committee
68. In which of the following year was Effective Revenue Deficit introduced?
(1) 2008
(2) 2015
(3) 2012
(4) 2010
72. Who is the founder of Institute for Social and Economic Change in Bengaluru?
(1) Dr. M. Vishweshwaraih
(2) Dr. V.K.R.V. Rao
(3) Devaraj Arasu
(4) Ramakrishna Hegde
69. The sector least impacted by pandemic-related disruptions was
(1) Agriculture sector
(2) Industry sector
(3) Service sector
(4) Tertiary sector
73. Which Bill was proposed to be passed to solve problems in infrastructure contracts, PPP and Public Utilities?
(1) Skill Development Programme Bill
(2) Companies (Amendment) Bill
(3) Public Utility (Resolution of Disputes) Bill
(4) Goods and Services Tax Bill
70. "An inflation that shows price rise in all goods and services excluding food and energy" is known as
(1) Shrinkflation
(2) Skewflation
(3) Core Inflation
(4) Structural Inflation
74. Arrange the following stages in the enactment of budget in proper order:
I. General discussion
II. Passing of the Appropriation Bill
III. Passing of the Finance Bill
IV. Voting of Demands for Grants
V. Presentation to legislature
Select the correct answer using the codes given below:
(1) I, II, III, IV, V
(2) V, I, II, III, IV
(3) V, I, IV, III, II
(4) V, I, IV, II, III
71. Who has developed the "HASIRU" software in Karnataka?
(1) Horticulture Department
(2) Forest Department
(3) Panchayati Raj Department
(4) Land Reforms Department
75. Which cess is/are levied 0.5 per cent on all services?
(1) Swachh Bharat
(2) Krishi Kalyan
(3) Kaushal Vikas
(4) Both (1) and (2)
76. The Kannada and Culture Department, Government of Karnataka ordered to celebrate “Onake Obavva Jayanti” on ______ in memory of Onake Obavva in Karnataka.
(1) October 5th
(2) November 11th
(3) December 6th
(4) November 14th
77. Consider the following statements:
**Assertion (A):**
Public health, public sanitation and public utility services are maintained by Gram Panchayats.
**Reason (R):**
Maintenance of law and order does not come under the purview of Gram Panchayats.
Choose the correct answer from the options given below:
(1) Both (A) and (R) are true and (R) is the correct explanation of (A)
(2) Both (A) and (R) are true, but (R) is not the correct explanation of (A)
(3) (A) is true, but (R) is false
(4) Both (A) and (R) are false
78. Consider the following statements:
**Assertion (A):**
A co-operative organisation shall have voluntary and open membership.
**Reason (R):**
The main objective of a co-operative organisation is to make profit.
Choose the correct answer from the options given below.
(1) Both (A) and (R) are true and (R) is the correct explanation of (A)
(2) Both (A) and (R) are true, but (R) is not the correct explanation of (A)
(3) (A) is true, but (R) is false
(4) Both (A) and (R) are false
79. Match List I with List II:
| List I | List II |
|-----------------|--------------------------|
| A. Narasimham | I. Tax reforms in India |
| Committee | |
| B. Balawant Rai | II. Agricultural credit system |
| Mehta Committee | |
| C. Raja Chelliah| III. Banking reforms |
| Committee | |
| D. Khusro | IV. Panchayati raj reforms |
| Committee | V. Public distribution system |
Choose the correct answer from the options given below:
A B C D
(1) I III II IV
(2) IV II I III
(3) III I II V
(4) III IV I II
80. Match List I with List II:
| List I | List II |
|-------------------------|----------------------------------------------|
| A. 52nd Amendment I. | Panchayati Raj |
| of the Constitution | |
| B. 73rd Amendment II. | Reservation for Scheduled Castes/Tribes |
| of the Constitution | |
| C. 77th Amendment III. | Free and compulsory education for children aged 6 to 14 years |
| of the Constitution | |
| D. 86th Amendment IV. | Prohibition of Defection |
| of the Constitution | |
| V. Internal Emergency | |
Choose the correct answer from the options given below:
- A B C D
- (1) IV I II III
- (2) I V III IV
- (3) II III I V
- (4) IV II V I
81. Which Indian organisation conducts a training programme named 'Yuvika' for school children?
(1) Defence Research and Development Organisation
(2) Bhabha Atomic Research Centre
(3) Indian Space Research Organisation
(4) Council of Scientific and Industrial Research
82. Name the scheme introduced by the Government of India for survey and mapping of villages with improved technology:
(1) e-Governance Scheme
(2) Gramodaya Scheme
(3) SVAMITVA Scheme
(4) e-Village Scheme
83. After which movement was the name 'Gandhi Province' given to Karnataka?
(1) The Civil Disobedience Movement in (1930)
(2) The Quit India Movement (1942)
(3) The Swadeshi Movement (1905)
(4) Non-Cooperation Movement (1920)
84. 1924 Belgaum Session of the Indian National Congress was presided over by
(1) Moti Lal Nehru
(2) C.R. Das
(3) Jawahar Lal Nehru
(4) Mahatma Gandhi
85. The English East India Company established their first factory in India in
(1) Surat
(2) Balasore
(3) Madras
(4) Calcutta
86. Who was the Mughal Emperor at the time of Ahmad Shah Abdali's invasion of India?
(1) Muhammad Shah
(2) Ahmad Shah
(3) Shah Alam I
(4) Shah Alam II
87. ಬಾರೆದು ಕನ್ನಡದ ರಾಜ್ಯದಲ್ಲಿ ಅನ್ನು ವಿದ್ಯಾಭ್ಯಾಸವನ್ನು ಸಾಗಿಸುವ ಮಹಿಳೆಯರು ಅನೇಕರು ತುಂಬಾದುದು. ಈ ಕಾಲದಲ್ಲಿ ಅನೇಕ ಪ್ರಾಣಿಗಳು ಹೊಂದಿದೆ. ಈ ಕಾಲದಲ್ಲಿ ಅನೇಕ ಪ್ರಾಣಿಗಳು ಹೊಂದಿದೆ.
(1) 40.0%
(2) 38.6%
(3) 36.6%
(4) 35.6%
88. ಸಮಾಜವಿಷಯ ವಿಷಯಗಳು ಎಂದರೆ ಸಂಪರ್ಕವು?
(1) ದೃಢ ವಿಷಯಗಳು
(2) ಮುಖ್ಯವಾದ ವಿಷಯಗಳು
(3) ದೃಢ ವಿಷಯಗಳು ವಿಷಯಗಳು
(4) ಅಧಿಕೇಂದ್ರಿಯ ವಿಷಯಗಳು
89. 2024 ರ ಬಾರೆದು ಶ್ರೀಮಂತಿಕೆಯನ್ನು ಮುಂದೆ ನಿರ್ವಹಿಸಲು ಅವಶೇಷವಿದೆ?
(1) ಅಂತಿಮ
(2) ಲಾಂಛನ
(3) ಲಾಂಛನ ಮಾಡಿದೆ
(4) ದೇಶದ
90. ಕಾಲಿನ ಮುಂದೆ ಪ್ರಾಣಿಗಳು ಅಧಿಕೇಂದ್ರಿಯದ ಕಾರಣ ಪ್ರಾಣಿಗಳು ಮಾಡಿದೆ?
(1) S ಮಾಡಿದೆ
(2) P ಮಾಡಿದೆ
(3) R ಮಾಡಿದೆ
(4) L ಮಾಡಿದೆ
91. ತಾಣ I ಮತ್ತು ತಾಣ II ನ ಮುಂದೆ ಪ್ರಾಣಿಗಳು ಮಾಡಿದೆ:
| ತಾಣ I | ತಾಣ II |
|---------|---------|
| ಮುಂದೆ ಪ್ರಾಣಿಗಳು | ಸಾವಿರಕ್ಕಿಗಳು |
A. ಮುಂದೆ (ಸಾವಿರಕ್ಕಿ)
I. ಸಾವಿರಕ್ಕಿಗಳು
ಮಾಡಿದೆ
B. ಮುಂದೆ ಮತ್ತು II. ಸಾವಿರಕ್ಕಿಗಳು
ಮಾಡಿದೆ
C. ಕಾಲಿನ ಮತ್ತು III. ಸಾವಿರಕ್ಕಿಗಳು
ಮಾಡಿದೆ
D. ಮುಂದೆ ಮತ್ತು IV. ಸಾವಿರಕ್ಕಿಗಳು
(ಸಾವಿರಕ್ಕಿಗಳು) ಮಾಡಿದೆ
ಮಾಡಿದೆ
92. ಈ ಕಾಲದಲ್ಲಿ ಮುಂದೆ ಮತ್ತು ಮಾಡಿದೆ ಅಧಿಕೇಂದ್ರಿಯದ ಕಾರಣ ಪ್ರಾಣಿಗಳು ಮಾಡಿದೆ?
A. ಮುಂದೆ
B. ಮುಂದೆ-I - ಮಾಡಿದೆ
C. ಸಾವಿರಕ್ಕಿಗಳು ಮಾಡಿದೆ
D. ಮುಂದೆ ಮತ್ತು
93. ಈ ಕಾಲದಲ್ಲಿ ಮುಂದೆ ಮತ್ತು ಮಾಡಿದೆ ಅಧಿಕೇಂದ್ರಿಯದ ಕಾರಣ ಪ್ರಾಣಿಗಳು ಮಾಡಿದೆ:
(1) A ಮತ್ತು B
(2) A, B ಮತ್ತು C
(3) A, B ಮತ್ತು D
(4) B, C ಮತ್ತು D
87. Karnataka has the 8\textsuperscript{th} position in terms of percentage of urban population to total population of the states in India. Considering the following options, identify the correct percentage of urban population of Karnataka as per 2011 census:
(1) 40.0%
(2) 38.6%
(3) 36.6%
(4) 35.6%
88. Boreal biome refers to
(1) Taiga biome
(2) Monsoon biome
(3) Laurentian biome
(4) Ethiopian biome
89. Which city will host the 2024 Olympic Games?
(1) Paris
(2) London
(3) Los Angeles
(4) Doha
90. Which of the following earthquake waves are more destructive at the epicentre?
(1) S waves
(2) P waves
(3) R waves
(4) L waves
91. Match List I with List II:
| List I | List II |
|-------------------------|-----------------------|
| Types of Mountain | Examples |
| A. Folded Mountain | I. Cotopaxi |
| B. Volcanic Mountain | II. Adirondack of New York |
| C. Fault Block Mountain | III. Himalayas |
| D. Upwarped (Domed) Mountain | IV. Sierra Nevada of California |
Choose the correct answer from the options given below:
A B C D
(1) II III I IV
(2) III I IV II
(3) I IV III II
(4) III I II IV
92. Which of the following regions are known for coal and petroleum production in the world?
A. Donbas
B. Masjid-e-Sulaiman
C. Lake Superior
D. Gulf of Maracaibo
Choose the correct answer from the options given below:
(1) A and B
(2) A, B and C
(3) A, B and D
(4) B, C and D
Match List I with List II:
| List I | List II |
|-----------------|---------------|
| Avalanche Zone | Characteristics |
A. Red Zone I. Where snow avalanches are most frequent
B. Yellow Zone II. Where living and other activities may be permitted with connection of safe designs
C. Blue Zone III. Where snow avalanches occur only occasionally
IV. Snow avalanche-free zone
Choose the correct answer from the options given below:
94. Match List I with List II:
| List I (Tribals) | List II (State/Union Territory of their distribution) |
|------------------|--------------------------------------------------------|
| A. Gaddis | I. Himachal Pradesh |
| B. Gujjars | II. Jammu and Kashmir |
| C. Bhotia | III. Manipur |
| D. Kuki | IV. Uttarakhand |
Choose the correct answer from the options given below:
A B C D
(1) II I IV III
(2) III II I IV
(3) III I II IV
(4) II IV III I
95. Consider the following statements:
I. In 2011, India had 17.64% of decadal growth of population.
II. The 2011 Indian census was the 15th census.
III. In India, census has been conducted since 1872.
Which of the above is/are correct?
(1) Only I
(2) Only II
(3) I, II and III
(4) I and II only
96. ಕಾರ್ಯವನ್ನು ಪ್ರತಿಷ್ಠಿಸಲು ಮೂಲಕ ಸಮರ್ಪಿಸಿದೆ?
(1) ಸಂಸ್ಥೆ ಸಮರ್ಪಿಸಿದೆ
(2) ರಾಜ್ಯ ಮತ್ತು ಸಮರ್ಪಿಸಿದೆ
(3) ಭಾರತ ಸಮರ್ಪಿಸಿದೆ
(4) ದೇಶ ಸಮರ್ಪಿಸಿದೆ
97. ವಿಷಯ I ಮತ್ತು ವಿಷಯ II ನೆ ಕೊಡುಗೆಗಳನ್ನು ಅರ್ಥವಾಗಿ:
| ವಿಷಯ I | ವಿಷಯ II |
|----------|-----------|
| (ವಿಷಯವುಗಳು) | (ಅರ್ಥವುಗಳು) |
A. ವಸ್ತುಸಂಸ್ಥೆ I. ಗ್ರಾಹಕರು
B. ಪ್ರಾರ್ಥನೆ II. ಕಾರ್ಯವನ್ನು ಪ್ರತಿಷ್ಠಿಸಿದೆ
C. ಹೆಸರು III. ಅಧಿಕಾರ ಪ್ರತಿಷ್ಠಿಸಿದೆ
D. ವಿಷಯ IV. ಸಂಸ್ಥೆ
ಈ ಕ್ರಮದಲ್ಲಿ ವಿಷಯವನ್ನು ಸಂಸ್ಥೆಯು ಪ್ರತಿಷ್ಠಿಸಿದೆ:
| A | B | C | D |
|---|---|---|---|
| (1) | I | II | III | IV |
| (2) | IV | III | II | I |
| (3) | II | III | IV | I |
| (4) | IV | II | III | I |
98. NO₂ ನೆ ಸಂಸ್ಥೆಯು ಅಧಿಕಾರವನ್ನು ಪ್ರತಿಷ್ಠಿಸಿದೆ.
(1) + 3
(2) + 2
(3) + 1
(4) + 4
99. ಕಾರ್ಯವನ್ನು ಸಮರ್ಪಿಸಿದೆ 2022 - 2023 ನೆ ಸಂಸ್ಥೆ ಪ್ರತಿಷ್ಠಿಸಿದೆ.
(1) GSDP ಮೀ ರೇ 4-5%
(2) GSDP ಮೀ ರೇ 5-25%
(3) GSDP ಮೀ ರೇ 2-41%
(4) GSDP ಮೀ ರೇ 3-26%
96. Which sea is located to the south of Ukraine?
(1) Red Sea
(2) Caspian Sea
(3) Baltic Sea
(4) Black Sea
97. Match List I with List II:
List I List II
(Tribes) (Habitat)
A. Bushmen I. Greenland
B. Bora II. Congo Basin
C. Pygmy III. Amazon Basin
D. Eskimo IV. Kalahari
Choose the correct answer from the options given below:
A B C D
(1) I II III IV
(2) IV III II I
(3) II III IV I
(4) IV II III I
98. Oxidation state of nitrogen in NO₂ is
(1) +3
(2) +2
(3) +1
(4) +4
99. Karnataka Government's fiscal deficit for 2022-2023 was targeted at
(1) 4.5% of GSDP
(2) 5.25% of GSDP
(3) 2.41% of GSDP
(4) 3.26% of GSDP
100. Measuring backwardness of taluks in the State of Karnataka, the High Powered Committee for Redressal of Regional Imbalances (HPCRRI) - 2000 recommended which of the following indicators?
(1) All the indicators considered pertained to 4 main sectors, which include
a. Agriculture
b. Industry
c. Economic Infrastructure
d. Population Characteristics
(2) All the indicators considered pertained to 5 main sectors, which include
a. Agriculture
b. Industry
c. Economic Infrastructure
d. Information Technology
e. Education
(3) The 35 indicators considered pertained to 5 main sectors which include
a. Agriculture
b. Industry
c. Economic Infrastructure
d. Social Infrastructure
e. Population Characteristics
(4) The 30 indicators considered pertained to 5 main sectors which include
a. Agriculture
b. Industry
c. Economic Infrastructure
d. Population Characteristics
e. Social Infrastructure
|
738e0a2f-4fc3-4292-bc2e-93ef4d3b4471
|
CC-MAIN-2024-30
|
https://www.shikarat.com/wp-content/uploads/CTI-Paper-1-GK-Question-Paper-pdf-07-01-2024.pdf
|
2024-07-16T12:22:35+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-30/subset=warc/part-00046-65338ae2-db7f-48fa-a620-71777c40d854.c000.gz.parquet
| 862,129,790
| 21,853
|
eng_Latn
|
eng_Latn
| 0.630481
|
kan_Knda
| 0.405209
|
[
"kan_Knda",
"eng_Latn",
"eng_Latn",
"kan_Knda",
"eng_Latn",
"kan_Knda",
"eng_Latn",
"eng_Latn",
"kan_Knda",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"kan_Knda",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"kan_Knda",
"eng_Latn",
"eng_Latn",
"kan_Knda",
"eng_Latn"
] | true
|
docling
|
[
1403,
5041,
7041,
8545,
10326,
11667,
12979,
14665,
15984,
17152,
18665,
20370,
21964,
23290,
24453,
26080,
27564,
29615,
31780,
32935,
34415,
35799,
36611,
38354
] |
Séminaire du CIRRELT Seminar
Burcu Balcik
Ozyegin University, Istanbul, Turquie/Turkey
SITE SELECTION AND ROUTE PLANNING FOR HUMANITARIAN RAPID NEEDS ASSESSMENT OPERATIONS
Abstract: In this talk, we focus on humanitarian rapid needs assessment operations, which are conducted immediately after a disaster to investigate the effects of the disaster on the affected community groups. We address the problem of selecting the sites to be visited by the assessment teams during a fixed assessment period and constructing assessment routes under travel time uncertainty. We represent uncertain travel times by specifying a range of values and propose a robust optimization approach, which ensures that each constructed route is feasible for all realizations of the uncertain parameters that lie in a predetermined uncertainty set. We present tractable formulations that are robust with respect to different uncertainty sets and propose using the robust formulation with a co-axial box uncertainty set for rapid assessment planning. We develop an efficient tabu search heuristic to solve the proposed model. We present computational results to test our solution method and illustrate our approach on a case study, which is based on data from Van (a southeastern province of Turkey) earthquake in October 2011. This study is joint work with Ihsan Yanikoglu, and was funded by the Scientific and Technological Research Council of Turkey (TUBITAK) Career Award [#213M414].
Note: Burcu Balcik is an Associate Professor in Industrial Engineering Department at Ozyegin University, Istanbul, Turkey. She got her Ph.D. in Industrial and Systems Engineering from University of Washington in 2008. She worked as a Postdoctoral researcher at Industrial Engineering and Management Sciences Department at Northwestern University and as a visiting researcher at HUMLOG Institute. She is currently a visiting researcher at HEC Montreal and Interuniversity Research Centre on Enterprise Networks, Logistics and Transportation (CIRRELT). Dr. Balcik's research focuses on the design and management of humanitarian supply chain networks and logistics operations. Her work has addressed distribution network design, last mile distribution, supplier selection, vehicle routing, and resource allocation problems that arise in various humanitarian and nonprofit settings. Currently, she is a visiting researcher at HEC Montreal and CIRRELT (until August 2018). [email protected] and https://faculty.ozyegin.edu.tr/burcub/
JEUDI / THURSDAY
22 mars 2018 / March 22nd, 2017 15h30
Salle / Room 5441 Pavillon André-Aisenstadt Université de Montréal
Ouvert à tous / Open to all
Organisatrice / Organizer Marie-Ève Rancourt
|
<urn:uuid:793d9f61-3f28-40b9-8e8c-a110746273de>
|
CC-MAIN-2024-10
|
https://www.cirrelt.ca/cirrelt/images/file/seminaire-2018-03-22_burcubalcik.1.pdf
|
2024-02-28T16:56:39+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-10/subset=warc/part-00210-d9675c6d-5c8d-45bb-9c98-c56e42022a4d.c000.gz.parquet
| 708,791,180
| 566
|
eng_Latn
|
eng_Latn
| 0.970745
|
eng_Latn
| 0.970745
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
2702
] |
Infection Prevention and Control
Temporary PPE Cart – Restocking, Cleaning & Disinfection
PPE cart to be cleaned and disinfected twice per shift on evenings and days
- Ensure someone is assigned this task for each shift
- Days to restock PPE cart
- Evening and nights to clean & disinfect and restock PPE cart
Restocking:
Replace gloves on top of cart and supplies in cart
- Additional masks are stored in the top drawer
- Gowns are available in the second & third drawers
- Bottom drawer will contain additional garbage bags (Crothall will supply garbage bags) and linen bags
Cleaning and disinfection:
- Clean hands
- Remove supplies from top of cart
- Clean (using rub & scrub motion) the PPE cart (top, outside and handles) with wipe
- Disinfect using a new wipe
Ensure PPE cart is placed on outside of utility table (see picture)
Wipe top of trolley used to carry in supplies, repeated using a new wipe
Clean hands, move to next cart
|
<urn:uuid:d60690e4-c664-4728-8dc5-1e7b1e78e6db>
|
CC-MAIN-2022-27
|
http://ipac.vch.ca/Documents/COVID-19/COVID-19-LTC-Toolkit/PPE%20Carts_restocking_cleaning_disinfection.docx.pdf
|
2022-06-26T02:12:11+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-27/subset=warc/part-00102-48f675b2-7fd4-43af-adb3-2a4ea7f82193.c000.gz.parquet
| 25,846,137
| 222
|
eng_Latn
|
eng_Latn
| 0.989687
|
eng_Latn
| 0.989687
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
949
] |
Shirley Germond - Reflection and Tribute
Part one: Reflection
Read by Lucy Symons (Celebrant)
Part two: Tribute
Read by Peter and Richard Germond
Reflection
Read by Lucy Symons (Celebrant)
It's been a delight to get to know Shirley in such a brief time, and I really feel I have got to know her, having been given the opportunity to read about her life from her own personal recollections. Over the last year of her life Shirley hand-wrote her life story, to ensure she left her family her own personal recollections, and to give those to follow to have something to get to know her by.
Shirley was born at home in a small council house in Barnet in 1934, a younger sister for Jean who was then nearly five. With their age difference as children they didn't have too much in common but later in life became great pals
The family lived half-way down the hill that ran between Barnet General Hospital at the top and the primary school at the bottom. Well Road was the very edge of the current development at that time, so the back garden led on to the cornfields where many happy days were spent playing amongst the corn stalks with the other local children when they weren't making a go-cart out of pram parts or pushing their fixed wheel bike up the hill to freewheel down, their feet far from the pedals which sped so fast as to make it impossible to keep up, or stop. Scary, and exhilarating for a small person who wasn't even five yet, nearly as exciting as the penny a jar the girls received for capturing the caterpillars from the garden cabbages.
When their mother left the house, Shirley and Jean's dad would create a swing from the sewing machine box or arrange the furniture in the sitting room and challenge them with the task of clambering from one side to the other without touching the floor culminating in a whizz down the ironing board which doubled as a slide. As soon as mum came home – everything was back where it should have been.
The war broke out when Shirley was five and she started school at Underhill Primary. It was a long walk downhill all the way to be terrified at the hands of her strict teachers and then a tiring plod back up again to home. Grandma Fitch, her paternal grandmother was staying with the family, and became the self-appointed Minister of
security, insisting the entire family take to the Anderson shelter as soon as war was declared and then every time there was a whiff of a bomb. Shirley hated it down there – in the dark and damp – the only redeeming feature was the emergency rations she was bribed with, which included a delicious Horlicks tablet which took the edge off the whole experience.
In 1939 Shirley's dad was moved from working in the canteen of the local police station in Barnet to a new job as manager of an off-licence in Chiswick – the family made the move with him, with Shirley, Jean and her mum all travelling to the new house wrapped in blankets seated on their settee, strapped to the back of the removals lorry. A passer-by, assuming they had been bombed out waved a Christmas turkey at them as he returned home from the butcher and wished them well.
Wartime meant a huge number of the brewery personnel were called up, so the whole family were in turn enlisted to assist with deliveries – hefting up crates of beer to deliver them on the trade bike.
However, the new house was large and without furniture in several rooms, and Shirley missed the cosy house on Wall Road, as she sat marvelling from her bedroom window at the night-time skies over London, lit up red from the frequent blazing fires
The family were allocated space in the brewery during air raids, and spent many nights perched on the slatted wooden shelves beside huge vats halfway up the domed cellar wall. Men, women and children all slept together hoping the brewery avoided a direct hit as death by drowning in beer would have been impossible to avoid.
There was a direct hit diagonally across from the family home, resulting in windows and plaster being blown out – there was no possibility for serious repairs (beyond replacing the windows) during the war, so the family made the most of it, living with exposed walls.
Infant and junior school under her belt, Shirley left school at 15 ½ not really sure what she wanted to do but determined not to work in an office. Her mother arranged a successful interview for her as a lab technician at UCL's physiology department. Not even sure what she had let herself in for before she started the job, she clearly thrived and stayed for the next 14 years rising to the vaulted heights of Senior Technician. Whilst officially employed in the labs, Shirley and her compatriots were sent on day release to learn various auxiliary skills including workshop practice in various materials, glass blowing and electronics which gave her the basic skills to develop and make equipment imperative for her research projects.
Whilst she loved being in the workshop, at the ripe old age of 29 (and, as she put it, considered well past it) Shirley decided she should probably look for a more worthwhile career and so decided to train as a speech therapist. She won a place on a three-year training programme and a grant as a mature student. She started seeing patients in various London hospitals and qualified in July 1967 and then promptly got engaged to JP, a Civil Engineer from South Africa, and they swiftly married in early September of the same year.
About to embark on her first "proper job" in the school health system in Ealing, Shirley had to rethink her plans when she realised she was pregnant with David and so took a "sitting down" job in a local Kew Gardens taxi office. Four babies in six years, meant that Shirley had to put her burgeoning career hopes on the back burner, but as soon as Peter turned 8, she was encouraged to apply for a job by her sister Jean in the Great Ormond Street hospital assisting a consultant, John Pritchard, in charting the treatment of various cancer patients – pre-computers this involved plotting, by hand, all the variables (blood test results and chemo treatments) for the clinics. (this was still hand drawn until the 1980s)
Shirley was also seconded to become the administrative leader for the European Clinical Trial for neuroblastoma (a particularly pernicious children's cancer) and was asked to present her data to the semi-annual meetings of the European Neuroblastoma Group. This involved international travel to Paris, Amsterdam, Rome, Brussels, Oslo and Dublin, and each trip had sightseeing time built in for Shirley to make the most of this opportunity. Although on the very first trip, though they managed to miss the plane back and had to sleep at the airport overnight!
JP sadly died on 18th February 1986, soon after, when Shirley was due back at work, Jean suggested she take a bit of time off. She simply said "no, life must go on." Shirley continued to work for the GOSH for the following three years – computerisation was now becoming part of the clinical world so her charting days were coming to a close.
Her mother came to live with the family after managing on her own for several years after the death of her husband, Shirley and Jean's dad in 1984. Needing a bit of extra care, she moved in to 7 Twyford Avenue in Acton taking up JP's former office. Shirley initially worked three days a week and eventually felt the need to leave to care for her mother full-time.
Realising the need to supplement her pension and showing great foresight she took the decision to sell the family home and rent a property Teddington to ride out the mad property market prevailing at the time and when she was ready to purchase, found a 3
bed Edwardian semi on St Winifred's Road where she moved with her mother and younger children.
Once again, she picked up her satchel and headed back to school part-time as a mature student – this time to train to teach students with dyslexia. She gained a distinction (one of only two awarded) which at the age of 59 says a great deal about her characteristic tenacity and determination. Shirley joined a team at a training centre near Farnham and began helping students at Newland House prep and Surbiton High Junior School – and had a side-line in home tuition for several more students through word of mouth. This she juggled whilst caring for her mother – ensuring she had only scheduled work sporadically throughout the day to fit in around the meals she needed to be on-hand to provide.
Within three years, Shirley had been recruited to do some assessments for teachers for the pupils they were hoping to help which was gratifying but time consuming– mostly for Becky who became her mother's typist. It was through these assessments that Shirley collected a gaggle of delightful quirky, often naughty kids, sadly mostly very bright but hugely challenged by their learning difficulties – she marvelled at their ability to think outside the box and how they managed to design their own strategies to cope with the challenges of a classroom scenario and appreciated their consequent work ethic. Shirley followed a number of them through their schooling to university and marvelled at their creative and amazing study skills vital for their success – the whole world of teaching kids with learning difficulties has moved on in leaps and bounds as the use of technology to help has increased their ability to better learn in a mainstream environment.
Jean and Shirley's own mother finally died in hospital aged 96 after a fall resulted in a broken hip. Shirley moved to a flat in Teddington for several years before aged 76 making another move to Epsom. There she continued to assist three pupils, and had a few terms of teaching with a friend's home school set up but finally dusted the chalk off her hands in her early 80s."
Several of her former pupils and their families are still in touch and have sent condolences at hearing of her passing.
Shirley had a long and fulfilling life. It has been wonderful to share her story based on her own words. In the tribute later we will hear about the positive impact of her life on so many people.
Tribute to Shirley
Part 1 (Read by Peter Germond)
When we sat down (virtually), as Shirley's children, to plan for today we were blessed with two things. First, ever practical, Mum had already given us a list of what she wanted! And second, we received a great many amazing messages from friends and family giving tribute to how much Mum meant to them and the impact she had on their lives.
We thought we would start with two of these messages - which beautifully give a measure of who Mum was and speak to her many wonderful qualities. The first is from her great friend Verity:
"Shirley was a seeker of wisdom. Though she was shy to speak - often a silent member of a gathering, when she did her words were always full of insight, knowledge, integrity and a depth of understanding.
On our travels, we were known as OATS - old age travellers. Shirley was the practical one. Before the Sat-Nav days she would precisely map out our route with bullet points and clear directions. If anything went wrong in cottage or car it was Shirley who would mend it.
Shirley did not like driving down hills and I did not like driving up hills so there was quite a lot of driving exchange on our trips. On arrival at our cottages it was Shirley who always set up the bar!
A wonderful teacher with instinctive knowledge of how to help those with difficulties and set them on the path to success - I have seen letters of gratitude from many.
Always searching for understanding of life, Shirley faced her physical difficulties with enormous courage and fortitude.
I will miss her comfort, guidance and friendship enormously."
The second is from Dad's sister Maddy:
"The first time I met Shirley, my sister-in-law, was in 1979 when Dave, Andrew, Kim and I visited her, my brother JP (who I hadn't seen for 20 years) and her children David, Richard, Becky and Peter.
How well I remember the warm welcome we received when our boisterous family descended on their quiet, well behaved household (not quite sure who she is describing there!) and shattered the peace with shrieks of laughter and lots of hugs! Shirley bless her, took it all in her stride with a big smile and twinkles in her eyes. We all fell in love with her and I have always thought of Shirley as the sister I never had.
Two years ago I had a rush of blood to my head and decided to renew my passport for no particular reason. But suddenly one day I thought I would love to visit Shirley as I also had not seen her for 20 years. The time we spent together was filled with laughter - and the memories of that happy time will always be close to my heart. I am so very grateful that we had that special time together."
These two wonderful messages sum up so much of who Mum was. Through these and all the other messages the same words come up again and again when describing her:
Intelligent, strong and resilient, warm and caring, generous, graceful, patient and positive, with a sunny disposition and a great sense of humour.
We would like to share with you some reflections on some of Mum's characteristics; Mum was inquisitive, Mum was artistic and creative, Mum was wise, and Mum was caring.
Mum was always inquisitive; curious about faith, about nature and about the world. She had an enquiring mind and was a seeker of knowledge and learning throughout her life.
Her curiosity about life and its purpose led her on different journeys of faith. She shared this outlook with Dad. They both joined and for a time followed the teachings of the School of Economic Science. Whilst Mum left the School, she retained a strong faith and philosophy in which she found meaning. It is a mark of who she was that she understood that we must all travel our own journey – she knew what was right and of value to her but never sought to impose her views on us, her children, or on others.
In later years she took great inspiration, comfort and companionship from her regular bible study group as she explored her faith.
Mum's spiritual inquisitiveness was matched by her desire to explore and appreciate nature. She found enjoyment and happiness through her appreciation of the natural world. She loved nature and spent many happy times looking out over her friends Heather and Trevor's beautiful garden.
As part of her love of nature she loved gardening: she loved visiting Wisely and Kew Gardens for horticultural inspiration – as much as the local garden centre, navigating the aisles in a wheelchair pushed at speed by her grandson Daniel.
Mum was also an explorer and adventurer who appreciated the world through her travels. She shared with us many a story of adventures during her early life and we certainly had some adventures with her. With the passage of time and retelling, some details may have become a bit hazy, but many adventures seemed to revolve around her love of unusual motor vehicles and love of the open road.
Her nephew Jon described his earliest memory of being the:
"sheer excitement her visits created, arriving from London to Kent in various dodgy cars, and once l think, on a shiny Lambretta scooter."
Mum shared a wonderful description of driving (in her early twenties) all the way to Italy in an open top sports car. The previous owner, having been a Spitfire pilot, had installed an impressive collection of dials and displays more often found in a WW2 fighter plane. She loved it! It was perfectly suited to mum's appreciation of the unusual, and her love of engineering and tinkering with all things mechanical. We were always struck by how out of the ordinary undertaking trips like that must have been back in the 1950s, and how fearless and adventurous she was.
Her favourite vehicle seems to have been an old Triumph which she owned with a friend. They decided that a convertible would be much more fun and so, ever practical, Mum cut the roof off herself. This wasn't a complete success, as the sides tended to bow and doors swing open when cornering – something that was not entirely solved by tying the whole thing together with a rope and having to climb over the sides to get in!
Mum's approach to Health and Safety was in keeping with the times, trips to school included travelling with the tail gate down on our old Austin Cambridge; with on one occasion a child rolling out the car whilst going along the A4; and seeing just how many children could fit in the car on school runs with a couple in the passenger footwell and one getting stuck under the break pedal.
Our family holidays as children were also always a source of adventure – often unintentionally!
We were often to be found on a windswept beach; a campsite swarming with wasps and on one memorable occasion camping on a clifftop in a howling gale. On another trip etched in our memory we ended up completely lost, and unable to find a campsite, the six of us spent an uncomfortable night squeezed together in the little VW camper. We woke, disappointed to discover my birthday cake - completely squashed by Richard's feet which had been in the food cupboard for the duration of the night.
Once her children had flown the nest, mum continued to travel, and as Verity said shared many wonderful adventures as the OATs. She liked nothing more than a game of scrabble, relaxing on the beach and climbing the odd fence as well as the more cultural elements of travel.
Beyond her vehicular adventures mum also loved the sea - in fact she said she always wanted to be a sailor and so loved that her middle name was Marina. It seems fitting that Mums last outing with her children and grandsons was a lovely summers boat trip up the Thames – needless to say we broke down on the water and were towed home.
Section 2 (Read by Richard Germond)
Mum had a wonderful combination of being creative being practical.
Mum loved and appreciated art which was often a focus on her travels. She was an artist herself, she particularly loved painting and drawing and took classes to develop her skills.
She appreciated the artistic talents in others – talents which clearly run in the Fitch family. She always encouraged us in our artistic endeavours. She loved that Joseph took GCSE art last year and spent many an hour looking through his sketchbook and sharing superlatives! He particularly remembers her message to him through these conversations of how important it is to have an artistic view and to keep looking at the world around you and finding joy in nature.
Whilst we've heard about Mums inventive but cavalier approach to modifying cars, she was also creative in many other ways. She made her own clothes (and ours!), she
took an upholstery course and reupholstered our aging chairs. In our household she was as much the one with the toolkit as Dad.
Throughout her life, whilst traditional in some ways, Mum was always open to new ideas and particularly embraced new technology. We helped set her up with her first computer and introduced her to the internet, only to discover on the next visit she had brought a new car online without any discussion with any of us.
Mobile technology was a boon to her and us. She would happily text away on a tiny press button phone and there was no stopping her once she had been introduced to an iPhone and iPad. Our family WhatsApp group became a great way to keep in touch particularly in this last year. It really was a two-way street with Mum demanding ever more photos and updates from us all, but once she had discovered animated Gifs or 'Grifs' as she liked to call them, there really was no stopping her.
Mum was thoughtful, considered and wise.
She was a source of guidance and wisdom for many.
As her children we have all benefitted from Mums wise counsel throughout or lives. And as if four children were not enough Mum then fully embraced her role as 'the wise one' with the next generation with her four grandchildren. A careful listener, never judgemental and always deeply loving.
These same qualities we know were appreciated by her many friends who valued her insight and integrity.
Mum was a passionate teacher. She particularly loved supporting children with dyslexia, many during her time at New Land House School.
As Verity described so beautifully she had an "instinctive knowledge of how to help those with difficulties and set them on the path to success". Verity is right, Mum was a natural teacher. She made learning fun, and was extraordinarily creative in her teaching. Not only did her students love being taught by her but they knew she loved teaching them.
Mum stayed in touch with many of her students and their parents over the years and continued to follow their lives and share in their achievements. . It has been so lovely to receive words of appreciation from some of the now adult children she taught and their parents.
Lucy, a parent Mum stayed in touch with, wrote
"Dear Mrs G, our Shirl! She was a legend and changed our eldest son George's life forever ... she gave him so much time and care, and gave him the belief in himself. She genuinely loved and cared for George, and untrapped his potential when he was young and battling. He is now 30 and getting married in July. Mrs G would be proud of him! She was amazing"
So a wonderful part of Mums legacy lives on in all the lives she touched with her wisdom, guidance and through her teaching.
Mum was always caring: a home maker, a devoted sister, often a surrogate mother, and a deeply valued friend to many
A homemaker in every sense of the word, Mum created a safe harbour for her children to return to throughout her life. She extended this to all: family and friends alike. She also lovingly cared for her own mother for the last decade of her life.
When Mum and Dad had a very young family they shared a house with the McGuinness – the growing Germond family upstairs and the McGuiness's downstairs. Her friendship with Jane survived three of us being in the bath together and flooding their kitchen! Mum and Jane went on to have a long, deep and enduring friendship and Mum cared deeply for her children Jon, Sarah and Andrew, viewing them as her own.
During our childhood friends would often come to stay, and for some of mine the fear of having to join me in sharing a room with David and Richard was more than made up for by Mum with her care, compassion and sunny disposition.
If we are honest her approach to cooking cuisine was heavily influenced by her experience of wartime rationing which meant a fair bit of boiling, a lot of salting and a love of rich puddings. But all prepared with love.
Her resilience was brought to the fore and truly tested when Dad died in 1986 leaving Mum with four kids under 18. She seemingly effortlessly managed this burden, working full time, making wise financial decisions and planning for all our futures. Whilst at the same time creating a loving home for us all, always putting our interests ahead of her own.
Whilst her heart was full of love for all her children, it seemed to burst even more when her adored grandsons, Josh, James, Joseph and Daniel arrived. Her face would literally light up when they arrived, arms thrown open wide. Her children were then definitely relegated from then on!!
In Becci's house 'nana spreads' were legendary. She could lay on a party tea effortlessly and the kids would love coming home from school knowing nana was over and all the extra treats they'd be getting. She was also a great support to Josh and James as they grew, offering her guidance and wisdom in many a lengthy email!
Mum was a surrogate mother to many. Our cousin Kim, reflecting on how Mum supported her when she moved from South Africa to London, said:
"Shirley became our London Mum - hence the name Mum shirl. Mum shirl Always offered a yummy meal, a warm hug, big smiles and sharp sense of humour. Always the same - her arms wide open. Mum shirl thank you for being a beautiful surrogate Mum, friend and human being."
Mum was also a devoted sister. She loved her sister Jean dearly and valued their companionship. She always looked forward to visiting Jean and they took many holidays together. The beautiful beaches of Dorset were one of their favourite places, and held many memories of trips with her mum too that always ended with a 'nice cream tea'.
She also had a great love for her nephews Nick and John and John's wife and their three children. As Jon recalled:
"When l first moved to work in London, a little lost, Shirley was, as ever, very kind. She always had time to chat things over. Immensely kind, patient and brave in her own life, she had a verve and vitality which never seemed to dim."
The friendships Mum made in her life were profoundly important to her, once made, many sustained to the end of her life. Her friendships helped her cope with raising a young family alone after Dad's untimely death and supported her in times of need throughout her life.
As Mum's life progressed she continued to make friends through work, socially and as she moved home. When Mum finally moved to Epsom she made friends with all her neighbours and in particular formed a lovely friendship with Jane and Claire which she valued so much.
We know that mum was hugely comforted and took great strength from the support she received from friends as she faced increasing ill-health. At this stage she also needed in home care, these carers provided wonderful care for Mum and many become firm friends in a very short space of time.
All of her friends were very much in her mind as she prepared for the end.
We are so pleased some of you have been able to join us today. We would like to thank you all not only for your comfort and support at the end of her life but for the joy, happiness and love you brought throughout Mum's life.
Mum had a twinkle in her eye and a real sense of mischief. She kept this right to the end of her life, while the last years were particularly challenging, she remained resilient and kept her sense of humour. We only realised after the event that had engineered her own escape from the care home that she called 'Stalag Beaumont', contravening her own signed medical wishes, and after a brief hospital stay spent her last month at home with her family, which we will always be grateful for.
She was our rock, the glue which held our family together. She was humble and loyal, always putting others before herself. She was much loved and full of love for friends and family.
We will miss her, but above all we will remember her love and her beautiful smile.
|
<urn:uuid:c6df6b44-1103-424f-98ce-306ebce31445>
|
CC-MAIN-2021-49
|
https://whiterosefuneralnotices.co.uk/wp-content/uploads/2021/04/Reflections-and-Tribute-Shirley-Germond.pdf
|
2021-12-09T01:50:16+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00026-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet
| 666,797,516
| 5,560
|
eng_Latn
|
eng_Latn
| 0.998914
|
eng_Latn
| 0.999061
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2295,
4918,
7696,
10146,
12005,
14124,
16626,
18748,
20932,
23038,
25288,
26641
] |
Proceedings of the Society for Computation in Linguistics
Volume 4
2021
Deep neural networks easily learn unnatural infixation and reduplication patterns
Coleman Haley [email protected]
Colin Wilson Johns Hopkins University, [email protected]
Follow this and additional works at: https://scholarworks.umass.edu/scil
Part of the Computational Linguistics Commons, and the Morphology Commons
Recommended Citation
Haley, Coleman and Wilson, Colin (2021) "Deep neural networks easily learn unnatural infixation and reduplication patterns," Proceedings of the Society for Computation in Linguistics: Vol. 4 , Article 52. DOI: https://doi.org/10.7275/kg38-sc40
Available at: https://scholarworks.umass.edu/scil/vol4/iss1/52
This Extended Abstract is brought to you for free and open access by ScholarWorks@UMass Amherst. It has been accepted for inclusion in Proceedings of the Society for Computation in Linguistics by an authorized editor of ScholarWorks@UMass Amherst. For more information, please contact [email protected].
Article 52
Deep neural networks easily learn unnatural infixation and reduplication patterns
Coleman Haley
Colin Wilson
Johns Hopkins University [email protected]
Independent Researcher [email protected]
1 Introduction
Morphological patterns can involve simple concatenation of fixed strings (e.g., unkind, kindness) or 'nonconcatenative' processes such as infixation (e.g., Chamorro lumiPeP 'saw (actor-focus)', Topping, 1973) and reduplication (e.g., Amele babagawen 'as he came out', Roberts, 1987), among many others (e.g., Anderson, 1992; Inkelas, 2014). Recent work has established that deep neural networks are capable of inducing both concatenative and nonconatenative patterns (e.g., Kann and Sch¨ utze, 2017; Nelson et al., 2020). In this paper, we verify that encoder-decoder networks can learn and generalize attested types of infixation and reduplication from modest training sets. We show further that the same networks readily learn many infixation and reduplication patterns that are unattested in natural languages, raising questions about their relationship to linguistic theory and viability as models of human learning.
2 Infixation
Broad cross-linguistic surveys have identified a small number of edge-anchored positions at which infixes can be located (e.g., before the first vowel of the word; Yu, 2007). No known language places an infix such as -um- consistently after the second or third segment, or after the second or third vowel — patterns that are trivial to describe formally and that involve limited counting or memory — and no language places a non-reduplicative infix such as -muafter the first Onsetless syllable (McCarthy and Prince, 1993). We implemented a generic encoderdecoder network with OpenNMT-py (Klein et al., 2017) and tested its ability to learn and generalize two attested infixation patterns and eight unattested patterns (see Table 1).
Because data is scarce for many languages with infixation and most of the patterns are hypothetical, we implemented the patterns using the phonological forms of 7000+ Spanish lemmas. From a larger set of lemmas ( Sagot , 2018 ), we eliminated those that contained triconsonantal clusters, non-initial onset clusters, word-final coda clusters, or glidevowel sequences. This made the syllable structure of the remaining lemmas somewhat simpler than that of Spanish, streamlining the definition and implementation of infixation (and reduplication) patterns. The remaining lemmas were randomly partitioned into 1000 train and 6000+ test inputs. For each infixation pattern, a custom regular expression was used to create outputs from the inputs.
There is some ambiguity in how unattested patterns that reference the second or third vowel (or consonant) should apply to inputs that do not contain the designated pivot. On one interpretation, the infix should 'back off' to the immediately preceding unit of the same type (e.g., appearing after the first vowel in a monosyllabic form). This is analogous to a stress pattern that typically targets the penultimate syllable but assigns final stress in monosyllables. Alternatively, the infix could default to a suffix. Under this interpretation, the infix necessarily 'skips' all elements until reaching its pivot, landing at the rightmost position when the pivot is absent. 1 Table 1 represents the results for the back-off interpretation while results for the skipping interpretation are provided in the appendix.
The model had an embedding dimension of 50 (approximately twice the number of unique phonological segments that appeared in the lemmas), a single-layer bidirectional LSTM or GRU encoder with 100 units, and a single-layer attention-based decoder with 100 units and copy attention. Ten simulations were conducted for each of several resource conditions (1000, 500, 100, or 50 of the
1This ambiguity is negligible for patterns referencing the first vowel or consonant, or one of the first three segments, which are essentially always present in the input.
Table 1: Average held-out test accuracy for attested (top) and unattested (bottom) infixation patterns
| Pattern Train size: | LSTM 1000 500 100 50 | | | | | | |
|---|---|---|---|---|---|---|---|
| Before first V (e.g., Chamorro lumiPeP) After first C (e.g., Tagalog gumradwet) | 1.0 1.0 | 1.0 1.0 | .98 1.0 | .95 .99 | 1.0 1.0 | 1.0 1.0 | .98 1.0 |
| Before second V C∗VC∗umV... Before third V C∗VC∗VC∗umV... After second C V∗CV∗Cum... After third C V∗CV∗CV∗Cum... After second segment XXum... After third segment XXXum... After fourth segment XXXXum... After initial Onsetless syll. (VC∗)muCV... | .93 .89 .99 .97 1.0 1.0 1.0 .96 | .96 .89 .99 .97 1.0 1.0 1.0 .95 | .87 .82 .98 .93 1.0 1.0 1.0 .90 | .73 .79 .94 .78 1.0 .99 .98 .90 | .98 .92 .99 .97 1.0 1.0 1.0 1.0 | .97 .91 .99 .98 1.0 1.0 1.0 1.0 | .90 .85 .98 .93 1.0 1.0 1.0 .95 |
input/output training pairs sampled without replacement). In each simulation, the model was trained for 1000 epochs using Adagrad with an initial learning rate of 0.01. Most of the average test accuracies were above .95; bold cells identify the others.
With LSTM units, the model performed very highly on almost all of the infixation patterns when given at least 500 examples in training. The principal exception was infixation before the third vowel. For this pattern, the model nearly always produced an output that contained the infix (more than 99% of responses), but erred by placing the infix in the wrong position (either too early or to late in the output) or making spurious changes to the base of infixation (primarily deletion of one or two segments).
Ilokano respectively, and Foot reduplication as in Yidiñ. We also considered patterns in which the reduplicant is reduced relative to the base, either by Onset simplification as in one pattern of lightsyllable reduplication in Tagalog or by omission of any Foot-final Coda as in Dyirbal. The unattested patterns included copying of an initial string of segments, regardless of its prosodic composition (e.g., Marantz, 1982; McCarthy and Prince, 1993), and Foot reduplication patterns that differ minimally from Dyirbal in omitting internal or both internal and final Codas (e.g., McCarthy et al., 2012).
Performance degraded for many patterns in the very low resource conditions of 100 or 50 training examples, but not in a way that cleanly observed the attested vs. unattested divide. Counting patterns that depend on the distinction between consonants and vowels (e.g., after the third consonant) were difficult to learn from 50 examples, but unattested segment-counting infixation were learned at least as well as the Chamorro pattern. The results were overall similar with GRU units, notwithstanding their relatively limited counting abilities (Weiss et al., 2018).
3 Reduplication
We also compared learning performance for five attested reduplication patterns and five patterns that have been discussed in the theoretical literature as unattested and putatively impossible (see Table 2). The attested patterns included both light and heavy syllable reduplication, as in Amele and
The same set of Spanish lemmas described above, split into 1000 train and 6000+ test inputs, was used to implement the reduplication patterns. As before, a custom regular expression was written for each pattern; when the base was shorter than the target reduplicant size, the default was always full copy (i.e., complete reduplication). Simulations were performed in the same way as for infixation.
The results indicate that unattested segmentcounting patterns, such as reduplication of the first four segments, are at least as easy for the model to learn as attested syllable- and Foot- based patterns. Indeed, the average accuracy for segment counting was higher than for attested patterns in the lowresource conditions. While model performance on Foot reduplication with deletion of internal Codas was numerically lower than that of the two attested Foot-reduplication patterns, accuracy on Foot reduplication with omission of all Codas was higher than for intact Foot reduplication as in Yidiñ.
4 Ultra-low resource experiments
To better understand which patterns are easiest for the model to learn, we ran additional simulations
Table 2: Average held-out test accuracy for attested (top) and unattested (bottom) reduplication patterns
| Pattern Train size: | LSTM 1000 500 100 50 | | | | GRU 1000 500 100 50 | | | |
|---|---|---|---|---|---|---|---|---|
| Initial σ (e.g., Amele babagawen) µ Initial σ with Onset simplification µ (e.g., Tagalog tatrabaho) Initial σ (e.g., Ilokano kalkaldiN) µµ Initial Foot with deletion of final Coda (e.g., Dyirbal balgabalgan) Initial Foot (e.g., Yidiñ NalalNalal) | 1.0 1.0 .92 .99 .94 | 1.0 1.0 .94 .99 .94 | .96 .96 .90 .98 .89 | .95 .92 .84 .91 .75 | 1.0 1.0 .95 1.0 .99 | 1.0 1.0 .95 .99 .99 | .97 .97 .93 .99 .88 | .92 .92 .81 .93 .71 |
| Initial 2 segments X X X X ... 1 2 1 2 Initial 3 segments X X X X X X ... 1 2 3 1 2 3 Initial 4 segments X X X X X X X X ... 1 2 3 4 1 2 3 4 Initial Foot with deletion of internal Coda (e.g., pseudo-Dyirbal baganbalgan) Initial Foot with deletion of all Codas (e.g., pseudo-Dyirbal bagabalgan) | 1.0 1.0 1.0 .90 .99 | 1.0 1.0 1.0 .89 .99 | 1.0 1.0 .98 .85 .97 | .99 1.0 .98 .73 .84 | 1.0 1.0 .98 .98 .99 | 1.0 1.0 .98 .99 .99 | 1.0 1.0 .98 .90 .98 | 1.0 1.0 .97 .70 .86 |
using LSTMs only on extremely low-resource settings of 5, 10, 25, 50, 75, or 100 examples, with 10 simulation runs each. Otherwise, identical settings to the previous experiments were used. Results on the held-out test set are summarized in Figure 1.
These results largely confirm the patterns observed in the previous experiments. While the spread of accuracies is quite wide for all patterns for 25 or fewer examples, the spread is typically small with higher amounts of training data, varying by about 10% or less. Notably, the unattested segment-counting patterns (e.g., infixation after the first two segments), are learned reliably with the least data for both infixation and reduplications, with average model accuracy above 0.8 with just 25 example. All other types of patterns (involving prosodic feet, syllables, consonants, or vowels), require at least 50 examples for this type of accuracy, suggesting that these patterns are in fact easier for the model to learn than those which are attested. No patterns could be learned reliably with fewer than 25 examples.
the early C/V skeleton approach (Marantz, 1982) and for the even more restrictive framework of Prosodic Morphology (e.g., McCarthy and Prince, 1993). From the perspective of language acquisition, the principles of such theories can be considered as limits on the implicit hypothesis space considered by human learners.
5 Discussion
A large body of research in theoretical linguistics has sought to develop restrictive approaches to infixation and reduplication (e.g., Moravcsik, 1978; Marantz, 1982; Steriade, 1988; McCarthy and Prince, 1986/1996, 1993; Raimy, 2000; Yu, 2007; McCarthy et al., 2012). For example, the nonexistence of reduplication patterns that consistently copy the first k segments provided motivation for
Our results suggest that such limits may be unnecessary for successful learning of infixation and reduplication, as long as a relatively modest amount of input data is available to the learner, and that networks of the kind considered here do not have soft biases that systematically favor natural over unnatural patterns. This could provide support for theories that eschew strong synchronic restrictions on morphophonological patterns, and which therefore presuppose robust learning mechanisms (e.g., ble). Alternatively, artificial-grammar or other experiments may reveal that human pattern learning is limited or biased in ways that generic deep neural networks cannot explain. For example, the networks show a preference for learning segment-counting patterns over patterns that take prosodic structure into account, despite these patterns being unattested. As such, these models do not provide an account of this apparent bias in human language.
Acknowledgments
We are grateful to the anonymous SCiL reviewers for useful feedback on this work.
(a) Infixation pattern accuracy
(b) Reduplication pattern accuracy
Figure 1: Held out test set accuracies in an ultra-low resource context (less than 100 examples). Each point represents a simulation run.
References
Evolutionary Phonology. New York.
pages 67–72, Vancouver, Canada. Association for Computational Linguistics.
Steven Anderson. 1992. A-Morphous morphology. Cambridge University Press, Cambridge.
Sharon Inkelas. 2014. The interplay of morphology and phonology. Oxford University Press, Oxford.
Katharina Kann and Hinrich Sch¨utze. 2017. The LMU system for the CoNLL-SIGMORPHON 2017 shared task on universal morphological reinflection. In Proceedings of the CoNLL SIGMORPHON 2017 Shared Task: Universal Morphological Reinflection, pages 40–48, Vancouver. Association for Computational Linguistics.
Guillaume Klein, Yoon Kim, Yuntian Deng, Jean Senellart, and Alexander Rush. 2017. OpenNMT: Opensource toolkit for neural machine translation. In Proceedings of ACL 2017, System Demonstrations,
Alec Marantz. 1982. Re reduplication. Linguistic Inquiry, 13(3):435–482.
John J McCarthy, Wendell Kimper, and Kevin Mullin. 2012. Reduplication in harmonic serialism. Morphology, 22(2):173–232.
John J McCarthy and Alan Prince. 1986/1996. Prosodic Morphology 1986. Linguistics Department Faculty Publication Series, 14.
John J. McCarthy and Alan Prince. 1993. Prosodic morphology I: Constraint interaction and satisfaction. Rutgers University Center for Cognitive Science, New Brunswick.
Edith Moravcsik. 1978. Reduplicative constructions. In Joseph Greenberg, editor, Universals of Human Language, pages 297–334 (vol. 3). Stanford University Press, Stanford.
Max Nelson, Hossep Dolatian, Jonathan Rawski, and Brandon Prickett. 2020. Probing RNN encoderdecoder generalization of subregular functions using reduplication. In Proceedings of the Society for Computation in Linguistics 2020, pages 167– 178, New York, New York. Association for Computational Linguistics.
Eric Raimy. 2000. The phonology and morphology of reduplication, volume 52. Walter de Gruyter, Berlin.
John R Roberts. 1987. Amele. Croom Helm, London.
Benoˆıt Sagot. 2018. A multilingual collection of CoNLL-U-compatible morphological lexicons. In Proceedings of the Eleventh International Conference on Language Resources and Evaluation (LREC 2018), Miyazaki, Japan. European Language Resources Association (ELRA).
Donca Steriade. 1988. Reduplication and syllable transfer in Sanskrit and elsewhere. Phonology, 5(1):73–155.
D. Topping. 1973. Chamorro Reference Grammar. University Press of Hawaii, Honolulu.
Gail Weiss, Yoav Goldberg, and Eran Yahav. 2018. On the practical computational power of finite precision RNNs for language recognition. In Proceedings of the 56th Annual Meeting of the Association for Computational Linguistics (Volume 2: Short Papers), pages 740–745, Melbourne, Australia. Association for Computational Linguistics.
Alan C. L. Yu. 2007. A natural history of infixation. Oxford University Press, Oxford.
A Appendix A: Additional infixation results
Table 3: Average held-out test accuracy for unattested infixation patterns
| Pattern Train size: | LSTM 1000 500 100 50 | | | | | | |
|---|---|---|---|---|---|---|---|
| Before second V Before third V After second C After third C | .90 .83 1.0 .98 | .93 .88 .99 .98 | .89 .80 .96 .92 | .64 .62 .95 .79 | .98 .85 1.0 .97 | .97 .85 1.0 .98 | .80 .83 .97 .94 |
|
<urn:uuid:9c649d13-63bd-4c8b-b353-ddf845276314>
|
CC-MAIN-2021-17
|
https://scholarworks.umass.edu/cgi/viewcontent.cgi?article=1219&context=scil
|
2021-04-15T05:28:38+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-17/subset=warc/part-00097-74237c22-0523-49c6-9e5a-6b4aa471a042.c000.gz.parquet
| 614,332,265
| 4,461
|
eng_Latn
|
eng_Latn
| 0.87896
|
eng_Latn
| 0.984782
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn"
] | false
|
rolmOCR
|
[
1068,
5053,
9276,
13258,
14934,
16270,
16314,
16679
] |
Extended Profile Counts
Student:
1. Number of students admitted in the First Year Only.
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| Number of applications received | | | | |
| Number of Seats available/ Intake | 606 | 441 | 545 | 765 |
| Number of students admitted | 449 | 540 | 449 | 640 |
2.Number of students Class wise during the last five years
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | 449 | 541 | 449 | 645 |
| II year | 356 | 459 | 544 | 444 |
| III year | 266 | 319 | 446 | 536 |
| IV Year | 244 | 237 | 223 | 309 |
| Total | 1315 | 1556 | 1662 | 1934 |
For all programs offered by the school count should be class wise Please enclose list of the student year wise as per count mentioned.
Number of students from other state and countries during the last five years Other State allied UG/PG
UG
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | 2 | 11 | 11 | 19 |
| II year | 5 | 2 | 11 | 11 |
| III year | 2 | 5 | 2 | 11 |
| IV Year | | | | |
PG
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 | 2020-21 |
|---|---|---|---|---|---|
| I year | 1 | 1 | 5 | 2 | 2 |
| II year | - | 1 | 1 | 5 | 2 |
| III year | | | | | |
| IV Year | | | | | |
| Total | | | | | |
Other State PG
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | 55 | 44 | 52 | 55 |
| II year | 39 | 48 | 46 | 52 |
| III year | 31 | 29 | 37 | 37 |
| IV Year | | | | |
| Total | | | | |
Other State UG MBBS
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | 66 | 143 | 87 | 144 |
| II year | 74 | 65 | 143 | 87 |
| III year | 55 | 64 | 65 | 143 |
| IV Year | 60 | 55 | 75 | 65 |
| Total | 254 | 327 | 370 | 439 |
Other State Exercise Science
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | 0 | 02 | 0 | 08 |
| II year | 0 | 0 | 02 | 0 |
| III year | 0 | 00 | 00 | 02 |
| IV Year | 0 | 0 | 0 | 0 |
| Total | | | | |
Other Country Exercise Science
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | 0 | 0 | 0 | 0 |
| II year | 0 | 0 | 0 | 0 |
| III year | 0 | 0 | 0 | 0 |
| IV Year | 0 | 0 | 0 | 0 |
| Total | | | | |
Other Country -ALLIED
UG+PG
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | 3 | 3 | 2 | - |
| II year | - | - | 1 | 1 |
| III year | - | - | - | 1 |
| IV Year |
|---|
| Total |
PG
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | - | - | - | 2 |
| II year | - | - | 1 | 1 |
| III year | - | - | - | - |
| IV Year | | | | |
| Total | | | | |
Other Country- MBBS
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| I year | 2 | 5 | 2 | 1 |
| II year | | | | 2 |
| III year | | | | |
| IV Year | | | | |
Number of graduated students' year-wise during the last five years MBBS
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 | 2020-21 |
|---|---|---|---|---|---|
| Number | 141 | 142 | 147 | 148 | 235 |
Allied
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 | 2020-21 |
|---|---|---|---|---|---|
| Number | 44 | 82 | 84 | 175 | 193 |
Exercise Science
PG
Please put count of graduated/ passed students in the academic year.
Please enclose list of the student year wise as per count mentioned of graduated students.
Academic:
Number of full time teachers year-wise during the last five years
Please put count of teachers year wise submitted to AISHE/ Statutory Authority Please enclose list of the full time teachers (Anyone serving school for period of 11 Months and salary is credited to him though he/she is adhoc/ permanent should be counted as full time teacher for NAAC) with mention of Date of Joining.
Number of full time teachers with Ph.D/ D.Sc/ D.Lit/DM/MCh/DNB during the last five years
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 | 2020-21 |
|---|---|---|---|---|---|
| Number | 13 | 14 | 18 | 26 | 28 |
Please enclose list of the full time teachers with Ph.D/ D.Sc/ D.Lit/DM/MCh/DNB
Number of full time teachers with PG Degrees like MD/ MS/ MDS during the last five years
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| Number | 243 | 245 | 245 | 283 |
Please enclose list of the full time teachers with PG Degrees like MD/ MS/ MDSduring
Number of full time teachers as Ph.D Guides
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 | 2020-21 |
|---|---|---|---|---|---|
| Number | | | | | |
Please enclose list
Number of full time teachers as PG Guides
Please enclose list
Number of sanctioned posts year wise during the last five years
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| Number | | | | |
Please put count of sanctioned posts year wise as per SRA. Please provide supporting document for sanctioned post.
Examination- PG Examination end date and result date
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| Exam end date | 03.05.2021 | 13.06.2017 | 19.06.2018 | 04.06.2019 |
| Result Date | 11.05.2021 | 04.04.2017 | 05.07.2018 | 21.06.2019 |
Examination- MBBS Examination end date and result date
| Ex am end dat e | Res ult Dat e | Year 2017- 18 | Exa m end dat e | Re sul t Da te | Year 2018 -19 | Exa m end dat e | Res ult Dat e | Yea r 201 9- 20 | Exa m end dat e | Res ult Dat e | Year 2020 -21 | Ex am end dat e |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 01- 04- 201 6 | 20. 05. 201 6 | Ist Year (Regul ar Batch) | Oct - Nov - 201 7 | 22. 12. 20 17 | Ist Year (Reg ular Batc h) | Ma y- Jun e 201 8 | 31. 07. 201 8 | Ist Yea r (Re gul ar Bat ch) | 30- Jul y20 19 | 30- 08- 201 9 | Ist Year (Reg ular Batc h) | 12t h Mar ch 202 1 |
| 01- 12- 201 6 | 07. 01. 201 7 | IInd Year (Regul ar Batch ) | 01- 12- 201 7 | 21. 02. 20 18 | IInd Year (Regu lar Batch ) | Nov - Dec - 201 8 | 13. 02. 201 9 | IIn d Yea r (Re gul ar Bat ch ) | 19- 12- 201 9 | 24- 01- 202 0 | IInd Year (Reg ular Batc h ) | 9th Ap ril 202 1 |
| 01- 11- 201 6 | 05. 01. 201 7 | IIIrd (PART -I) Year (Regul ar Batch) | 01- 12- 201 7 | 10. 02. 20 18 | IIIrd (PA RT- I) Year (Reg ular Batc h) | 01- 12- 201 8 | 06. 02. 201 9 | IIIr d (PA RT- I) Yea r (Re gul ar Bat | 19- 12- 201 9 | 14- 01- 2020 | IIIrd (PA RT- I) Year (Reg ular Batc h) | 8th Ma rch 202 1 |
Examination- Exercise Science Examination end date and result date
| 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|
| | | Sep. 2019 | Nov. 2020 |
| | | Nov. 2019 | Jan. 2021 |
Examination- ALLIED
Examination end date and result date
UG
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| Exam end date | 13-05-2016 | 30-05-2017 | 04-05-2018 | 04-05-2019 |
| Result Date | 19-09-2016 01-10-2016 | 28-07-2017 11-09-2017 | 02-06-2018 22-06-2018 11-07-2018 | 03-06-2019 25-06-2019 |
PG
| Year | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|---|---|---|---|---|
| Exam end date | - | | 29-09-2018 | 23-09-2019 |
| Result Date | - | 06-03-2018 | 04-01-2019 21-01-2019 | 07-11-2019 13-11-2019 |
Result-PG
| Year | 2016-17 | | 2017-18 | | 2018-19 | | 2019-20 | | |
|---|---|---|---|---|---|---|---|---|---|
| | App | Passed | App | Passed | App | Passed | App | Passed | App |
| I year | NA | NA | NA | NA | NA | NA | NA | NA | NA |
| II year | NA | NA | NA | NA | NA | NA | NA | NA | NA |
| III year | 94 | 91 | 99 | 87 | 92 | 87 | 103 | 101 | 84 |
| IV Year | | | | | | | | | |
Result- MBBS
| Year | 2016-17 | | 2017-18 | | 2018-19 | | 2019-20 | | |
|---|---|---|---|---|---|---|---|---|---|
| | App | Passed | App | Passed | App | Passed | App | Passed | App |
| I year | 158 | 145 | 237 | 227 | 254 | 214 | 151 | 145 | 250 |
| II year | 150 | 121 | 153 | 142 | 235 | 221 | 252 | 233 | 150 |
| III year | 157 | 152 | 149 | 143 | 151 | 140 | 236 | 225 | 253 |
| IV Year | 144 | 130 | 156 | 140 | 148 | 138 | 148 | 136 | 235 |
Result - Exercise Science
| Year | 2016-17 | | 2017-18 | | 2018-19 | | 2019-20 | | |
|---|---|---|---|---|---|---|---|---|---|
| | App | Passed | App | Passed | App | Passed | App | Passed | App |
| I year | 06 | 05 | 09 | 09 | 18 | 13 | 36 | 34 | 39 |
| II year | 0 | 0 | 05 | 05 | 09 | 08 | 13 | 13 | 34 |
| III year | 0 | 0 | 0 | 0 | 05 | 03 | 08 | 08 | 11 |
Result- Allied UG
| Year | 2016-17 | | 2017-18 | | 2018-19 | | 2019-20 | | 2020-21 | |
|---|---|---|---|---|---|---|---|---|---|---|
| | App | Passed | App | Passed | App | Passed | App | Passed | App | Passed |
| I year | 117 | 117 | 188 | 188 | 179 | 179 | 252 | 252 | 310 | 196 |
| II year | 82 | 82 | 116 | 116 | 188 | 188 | 179 | 179 | 270 | 143 |
| III year | 44 | 44 | 80 | 80 | 116 | 116 | 175 | 175 | 170 | |
| IV Year | | | | | | | | | | |
ALLIED PG
| Year | 2016-17 | | 2017-18 | | 2018-19 | | 2019-20 | | |
|---|---|---|---|---|---|---|---|---|---|
| | App | Passed | App | Passed | App | Passed | App | Passed | App |
| I year | | | 2 | 2 | 5 | 3 | 12 | 12 | 6 |
| II year | | | - | - | 2 | 2 | 4 | 3 | 12 |
| III year | | | | | | | | | |
| IV Year | | | | | | | | | |
|
<urn:uuid:c9c4eaf2-38b3-4ffb-92fe-b0989dcb49d4>
|
CC-MAIN-2023-06
|
http://dypatil.edu/medicine/pdf/Students%20count%20sheet.pdf
|
2023-02-02T07:24:46+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-06/subset=warc/part-00178-b5ddf469-bf28-43c4-9c36-5b5ccc3b2bf1.c000.gz.parquet
| 10,854,017
| 4,203
|
eng_Latn
|
eng_Latn
| 0.751618
|
eng_Latn
| 0.989509
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"ekk_Latn",
"unknown"
] | false
|
rolmOCR
|
[
1303,
2458,
3311,
4895,
6361,
7090,
8786,
9148
] |
WHAT DO WE PUT ON OUR Christmas Trees?
TINSEL OR NO TINSEL?
Tinsel: 10% No Tinsel: 90%
STAR OR ANGEL?
Star: 40% Angel: 60%
What’s Inside
2013 YEAR REVIEW
A Remarkable Year for Historic Restorations
HOME FOR THE HOLIDAYS
Get To Know Our Staff’s Holiday Traditions
Betsy Wetsy
- Blows hot Music
- Drinks hot Milk
- Sleeps
- Drinks … and Wets.
Do you remember BETSY WETSY?
Staff Favorite HOLIDAY RECIPES
Did you ever NAIL THE CHRISTMAS TREE TO THE FLOOR?
Historic Restorations
A traditional approach to whole house restoration
341 East Liberty Street, Building #2, Lancaster, PA 17602
(717) 291-4688 • www.Historic-Restorations.com
LEAD-SAFE CERTIFIED FIRM
NAT-61549-1
AWI
CERTIFIED
QUALITY WOODWORK
Welcome
Amelia
Greetings & News
One of the most festive times of the year has arrived and we are providing you a peek into how we celebrate the holidays. You will read about our favorite memories and traditions as well as what we look forward to most. We had a lot of fun learning how everyone celebrates and we even are sharing a few of our favorite recipes with you; I hope you’ll try them!
Happy Holidays,
Danielle
Home For The Holidays... Danielle
When I married Jonathan over 13 years ago, I was given a Mennonite Cookbook by his Grandmother with the understanding that every “good” wife in Lancaster County has this cookbook in her kitchen. There is also a family connection with this cookbook’s author — she was a friend with Jonathan’s Great-Great Aunt and had even made Jonathan’s Grandmother doll clothes when she would visit the farm. Since I am about as far removed from Lancaster County cuisine education as you can get (they don’t teach that in culinary school), I needed that book to learn how to make brown butter noodles, pig’s stomach (Jonathan’s favorite), and the cookie recipes. Although I haven’t used the food for barn raising guidelines… yet.
Christmas as a newly married couple involved some, sometimes tricky, negotiations. Jonathan was raised with a star on the top of his family’s Christmas tree and I was raised with an Angel topping the tree. The Angel and the Star didn’t have to duke it out though – we found a great compromise with a topper of an angel putting a star on the tree. That wasn’t the only conflict, though. There was the question of “Tinsel or No Tinsel”, “Prime Rib or Ham”, “Presents under the tree before Christmas Eve or The Big Reveal”…. Now that I think about it, we do most of those the way I did growing up. Apparently I am a master negotiator!
Events
Come visit us at...
GREATER PHILADELPHIA HISTORIC HOME SHOW
www.HistoricHomeShows.com
LOCATION: Valley Forge Convention Center, Valley Forge
February 28 | 6–9 pm
March 1 | 10 am – 5 pm
March 2 | 11 am – 4 pm
For more events please visit www.historic-restorations.com
Lois
The very first doll I was ever given was gifted to me at Christmas. I named her Susie and she was a Betsy Wetsy doll. And just like the ads all said she would do, Susie did indeed blow her nose, cry, drink, and wet her diaper.
Growing up we were encouraged to write letters to Santa. We would get our Christmas tree just a day or two before Christmas and decorate it on Christmas Eve so Santa could leave his presents under the tree. Before going to bed we would always leave a thank-you note for Santa, along with cookies and milk.
After marrying and having Danielle, I continued this same tradition, although I would get our Christmas tree at the beginning of the month and Danielle’s Santa preferred hot buttered rum instead of milk.
The Christmas after Danielle turned one we gave her Bucky the Wonder Horse. She rode Bucky for several years straight until he faded into the shadow of a new tricycle. I always enjoy shopping for Danielle, but I especially loved shopping for her when she was little because I loved buying all the toys!
Chuck
My Dad always picked a monochromatic theme for our Christmas tree – one year it was blue, another year it was red, etc. But every year, no matter the color, he hosed the thing down with snow-in-a-can. He also nailed the tree stand to the floor. Because we had eleven kids in our family, the tree still went over a couple of times each year.
When Lois and I first married, we would go to our parents for Christmases. Lois’ Mom made a really good eggnog with whipped cream on top, it was simply decadent.
When Danielle was young, Christmases were a lot more fun. I’ll never forget the year we bought her a bike. I loved teaching her how to ride it without training wheels.
Lois and I don’t serve turkey on Christmas. That’s too traditional for us. Every year Lois makes angels on horseback (broiled bacon-wrapped oysters), and I make prime rib. My recipe is listed on the back!
Curt
Christmas is about being with family and great company. It’s also about the good food and being warm in the house while it’s snowy outside.
Caleb
The holidays represent a time to give thanks for what life has given, a time to remember traditions and a time to honor my ancestors.
Karri
My childhood Christmases were unique. My Father’s family is Puerto Rican so we served empanadas, Spanish rice, and pork on Christmas Eve. My Mother’s family is Mennonite so we served ham, mashed potatoes, browned-butter noodles, corn, and the whole nine-yards of Mennonite food on Christmas Day. I loved every bite of both meals.
Andy
I look forward to watching all the old Christmas movies. The Christmas Story and any of the old Rankin/Bass claymation movies are what make the season for me.
Justin
We always take the kids to pick out a douglas fir Christmas tree and cut it down ourselves with a hand saw. Then our family decorates the tree with a hodge-podge of ornaments that were hand-made or collected over the years.
Dan
When I was a child, Christmas was all about the toys. I loved getting bike parts and putting my bike together. Now, Christmas is about family gatherings, good food, the yummy desserts and the lights on that one crazy house that goes way overboard.
The four things that make Christmas so special to me are Grace, wearing purple; Tucker, wearing camouflage; Mason, wearing stripes; and Sawyer, wearing sharks.
Chad
The Christmas I was seven years old I got a puppy. It was a big deal to me because we had dogs, but this puppy was my very own. She was a friendly, cuddly cocker spaniel I named Candy.
Glenn
My favorite Christmas memory is putting up our tree a week or two before Christmas and then setting up the train under it and building a Lincoln Log town around it. My favorite thing about Christmas now is shopping on Christmas Eve – it is a fun night to be out. I love giving gifts, sledding, ice-skating, and being with family.
2013 — A REMARKABLE YEAR FOR HISTORIC RESTORATIONS
- Our project at the Thaddeus Kosciuszko National Monument in Philadelphia won a Preservation Achievement Award from the Preservation Alliance of Greater Philadelphia
- We released our Preservation Primer, Volume #1: Avoid Common Mistakes That Cause Irreversible & Costly Damage to Your Historical Building’s Architectural Integrity
- We restored the porch at the Cameron/Harris Mansion in Harrisburg
- Our project at the Franklin Street Train Station in Reading won the Architectural Woodwork Institute’s “Award of Excellence” and was featured in their Fall 2013 issue of Design Solutions
- The Franklin Street Train Station also won the Pennsylvania Historic Preservation award from Preservation Pennsylvania
- We finished up our project at the Steamtown National Historic Site in Scranton restoring 124 clerestory windows
- Our project at the Mylin House in Willow Street received the C. Emlen Urban Preservation Leadership Award from the Historic Preservation Trust of Lancaster County
- We completed several private projects in Society Hill, Philadelphia—a neighborhood we are truly beginning to love
- Danielle was awarded 2013 Nancy J. Haubert Award for “Outstanding Volunteer Service” from the Historic Preservation Trust of Lancaster County
LOIS’S ROCKY MOUNTAIN TOFFEE BARS
INGREDIENTS:
1 C. butter or margarine; 1 C. brown sugar, firmly packed; 1 egg yolk; 1 t. vanilla; 2 C. all-purpose flour, sifted; ½ t. salt; 1 six-ounce pkg. chocolate bits; ground nuts
DIRECTIONS:
1. Preheat oven to 350
2. Cream butter or margarine with brown sugar until fluffy
3. Beat in egg yolk; add vanilla
4. Sift flour once before measuring; mix and sift flour and salt together
5. Add dry ingredients to creamed mixture a little at a time, mixing thoroughly after each addition.
6. Spread batter on greased cookie sheet to depth of ¼ inch
7. Bake at 350 for 15-20 minutes
8. Melt chocolate bits over simmering water
9. Remove baked toffee mixture from oven; spread top with melted chocolate bits and sprinkle with ground nuts
10. When cooled, cut in desired size squares
|
<urn:uuid:d5b83822-ffd8-4c4d-aed4-35b86385f815>
|
CC-MAIN-2021-10
|
https://practicalpreservationservices.com/wp-content/uploads/2016/11/2013DecemberNewsletter.pdf
|
2021-03-03T15:15:26+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-10/subset=warc/part-00184-dbb5a216-bcb2-4bff-b117-e812a7981d21.c000.gz.parquet
| 464,466,874
| 2,053
|
eng_Latn
|
eng_Latn
| 0.931896
|
eng_Latn
| 0.997228
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
docling
|
[
727,
6706,
8826
] |
Animal Dental Training Center 2017 Course Listings
Dates: Friday, Saturday, and Sunday August 26-28, 2016
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates: Saturday, and Sunday September 10-11, 2016
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 16 veterinary continuing education credits
The participants at the end of this course will understand their integral role in the dental team and will be well versed in the following lecture topics:
Normal Dental Anatomy
Eruption schedules
Tooth development
Dental formulas of domestic animals
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
Oral radiographic pathology
Periodontal disease: etiology, symptoms, stages and treatment options
Radiographic theory of shooting
The laboratory component is 11 hours on cadavers and skulls and will include:
Complete Dental Prophylaxis
Instrument Care and Sharpening Techniques
Dental Charting
Radiology: Taking, Developing and Interpreting
Dates: Friday, Saturday, and Sunday October 7-9, 2016
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates:
Friday, Saturday, and Sunday November 4-6, 2016
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hour laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #'s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Indications for radiology Normal vs. Abnormal
Developing and ID of normal vs. abnormal structures.
Day#2-3 - Saturday & Sunday - Oral Surgery 1: Day 2: There will be 3 hours of lecture followed by a 5-hour laboratory. Day 3: 2 hours of lecture followed by 6 hours of Lab. The lecture and laboratory notes will be provided. The laboratory portion will be conducted on both cat and dog cadaver heads. They will cover the following topics for a Veterinarian audience only:
Indications for Exodontia
Instrumentation and Materials for Exodontia
Retained teeth, Interceptive Ortho, Impactions, Disarming, Treatment for LPGS in cats
Procedures for surgical extractions
Maxillary Oronasal Fistula Closures
Dealing with Complications of Surgery
Techniques for Muco-gingival Pedicle Flaps
Jaw Fracture Repair
Rostral Mandibulectomies & Maxillectomies
Dates: Friday, Saturday, and Sunday December 2-4, 2016
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates: Saturday, and Sunday January 28-29, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 16 veterinary continuing education credits
The participants at the end of this course will understand their integral role in the dental team and will be well versed in the following lecture topics:
Normal Dental Anatomy
Eruption schedules
Tooth development
Dental formulas of domestic animals
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
Oral radiographic pathology
Periodontal disease: etiology, symptoms, stages and treatment options
Radiographic theory of shooting
The laboratory component is 11 hours on cadavers and skulls and will include:
Complete Dental Prophylaxis
Instrument Care and Sharpening Techniques
Dental Charting
Radiology: Taking, Developing and Interpreting
Dates: Friday, Saturday, and Sunday February 24-26, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates: Friday, Saturday, and Sunday March 17-19, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates: Saturday, and Sunday April 8-9, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 16 veterinary continuing education credits
The participants at the end of this course will understand their integral role in the dental team and will be well versed in the following lecture topics:
Normal Dental Anatomy
Eruption schedules
Tooth development
Dental formulas of domestic animals
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
Oral radiographic pathology
Periodontal disease: etiology, symptoms, stages and treatment options
Radiographic theory of shooting
The laboratory component is 11 hours on cadavers and skulls and will include:
Complete Dental Prophylaxis
Instrument Care and Sharpening Techniques
Dental Charting
Radiology: Taking, Developing and Interpreting
Dates:
Friday, Saturday, and Sunday April 21-23, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hour laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #'s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Indications for radiology Normal vs. Abnormal
Developing and ID of normal vs. abnormal structures.
Day#2-3 - Saturday & Sunday - Oral Surgery 1: Day 2: There will be 3 hours of lecture followed by a 5-hour laboratory. Day 3: 2 hours of lecture followed by 6 hours of Lab. The lecture and laboratory notes will be provided. The laboratory portion will be conducted on both cat and dog cadaver heads. They will cover the following topics for a Veterinarian audience only:
Indications for Exodontia
Instrumentation and Materials for Exodontia
Retained teeth, Interceptive Ortho, Impactions, Disarming, Treatment for LPGS in cats
Procedures for surgical extractions
Maxillary Oronasal Fistula Closures
Dealing with Complications of Surgery
Techniques for Muco-gingival Pedicle Flaps
Jaw Fracture Repair
Rostral Mandibulectomies & Maxillectomies
Dates: Friday, Saturday, and Sunday May 5-7, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates: Friday, Saturday, and Sunday June 9-11, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates:
Friday, Saturday, and Sunday July 21-23, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hour laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #'s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Indications for radiology Normal vs. Abnormal
Developing and ID of normal vs. abnormal structures.
Day#2-3 - Saturday & Sunday - Oral Surgery 1: Day 2: There will be 3 hours of lecture followed by a 5-hour laboratory. Day 3: 2 hours of lecture followed by 6 hours of Lab. The lecture and laboratory notes will be provided. The laboratory portion will be conducted on both cat and dog cadaver heads. They will cover the following topics for a Veterinarian audience only:
Indications for Exodontia
Instrumentation and Materials for Exodontia
Retained teeth, Interceptive Ortho, Impactions, Disarming, Treatment for LPGS in cats
Procedures for surgical extractions
Maxillary Oronasal Fistula Closures
Dealing with Complications of Surgery
Techniques for Muco-gingival Pedicle Flaps
Jaw Fracture Repair
Rostral Mandibulectomies & Maxillectomies
Dates: Saturday, and Sunday August 5-6, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 16 veterinary continuing education credits
The participants at the end of this course will understand their integral role in the dental team and will be well versed in the following lecture topics:
Normal Dental Anatomy
Eruption schedules
Tooth development
Dental formulas of domestic animals
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
Oral radiographic pathology
Periodontal disease: etiology, symptoms, stages and treatment options
Radiographic theory of shooting
The laboratory component is 11 hours on cadavers and skulls and will include:
Complete Dental Prophylaxis
Instrument Care and Sharpening Techniques
Dental Charting
Radiology: Taking, Developing and Interpreting
Dates: Friday, Saturday, and Sunday September 8-10, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates: Friday, Saturday, and Sunday October 13-15, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
Dates: Friday, Saturday, and Sunday November 10-12, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hour laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #'s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Indications for radiology Normal vs. Abnormal
Developing and ID of normal vs. abnormal structures.
Day#2-3 - Saturday & Sunday - Oral Surgery 1: Day 2: There will be 3 hours of lecture followed by a 5-hour laboratory. Day 3: 2 hours of lecture followed by 6 hours of Lab. The lecture and laboratory notes will be provided. The laboratory portion will be conducted on both cat and dog cadaver heads. They will cover the following topics for a Veterinarian audience only:
Indications for Exodontia
Instrumentation and Materials for Exodontia
Retained teeth, Interceptive Ortho, Impactions, Disarming, Treatment for LPGS in cats
Procedures for surgical extractions
Maxillary Oronasal Fistula Closures
Dealing with Complications of Surgery
Techniques for Muco-gingival Pedicle Flaps
Jaw Fracture Repair
Rostral Mandibulectomies & Maxillectomies
Dates: Friday, Saturday, and Sunday December 1-3, 2017
Instructors: Dr. Ira Luskin Dipl. AVDC/EVDC, Dr. Mary Volker Dipl. AVDC
Dr. Sam Babbitt, Dr. Mike Wiegand, Dr. Jason Hutt, Dr. Inshil Kim
Credits Earned: 24 RACE-APPROVED veterinary continuing education credits
Day#1 - Friday - Periodontics: The interactive morning lecture will cover clinical anatomy as it relates to oral health, disease and its treatment. The foundations of the dental exam, and oral prophylaxis for the treatment of periodontal disease will be thoroughly covered. In the afternoon the 4 hour wet lab will be on cadavers and will deal with the treatment of periodontal disease both conservatively and surgically:
Normal dental anatomy
Positional terminology
Dental numbering system: Anatomic Vs. Triadan
Malocclusions
The thorough prophylaxis
Periodontal disease: etiology, symptoms, stages and treatment options
Proper use of Doxyrobe
Surgical gingivectomies
Bone augmentation and open currettage
Day#2 - Saturday - Oral Pathology and Radiology: There will be 3.5 hours of lecture followed by a 4.5-hours laboratory. Lecture and Laboratory notes will be provided. The laboratory will be both on skulls and cadavers. The lecture will cover the following topics for both Veterinarian and Technician audiences:
Origins of Oral Dental Disease Familial vs. Acquired Lesions
Jaw Growth Abnormalities & Classification of Malocclusions
Pathology of Tooth #s, Form & Position
Oral Soft Tissue Acquired Abnormalities
Congenital and Neoplastic Disease
Periodontal Disease, Trauma, Endodontic Disease
The Radiology laboratory section will cover:
Dental radiology in your practice. Equipment / Materials
Positioning for all standard views
Radiographic interpretation of Pathology
Identification of normal vs. abnormal structures
Day#3 - Sunday - Oral Surgery 1: There will be 3 hours of lecture followed by a 5-hour laboratory. The laboratory portion will be conducted on both cat and dog cadavers. They will cover the following topics:
Indications for exodontia which include: Retained teeth, Interceptive Ortho, Impactions Disarming, Treatment for caudal mucositis or LPGS in cats
Techniques for surgical extractions (flap design and mobilization)
Instrumentation and materials for exodontia
Dealing with difficult surgical extractions
Oro-nasal fistula closures single and double flap closures
2017 Course Tuition Rates
Clinical Advantage: Technician's Workshop - 16 credits - $875.00
Fundamentals of Dentistry | 3-Day Course - 24 credits - $1975.00
Oral Surgery 1+2, Oral Pathology, and Radiology | 3-Day Course - 24 credits - $1975.00
Endodontics 1- 16 credits
Exclusively Feline: Oral Surgery and Dentistry | 3-Day Course- 24 credits
Mock Practical Exam | 2-Day Course- 0 credits
Oral Surgery 1, Oral Pathology, and Radiology- 16 credits
Animal Dental Training Center [ADTC] Cancellation policy
In the event of a cancellation you may also send a substitute from your practice. Due to the limited number of spaces available requests for full refunds will be honored only if received at least 21 calendar days prior to the start of the program. A partial 75% refund will be issued for all requests received 8-20 days before the beginning of the course. No refunds will be granted for cancellations made less than 8 days prior to the course onset. All requests must be received in writing. In the unlikely event that a program is cancelled or postponed due to insufficient enrollments or unforeseen circumstances, the ADTC will fully refund registration fees but cannot be held responsible for any other expenses, including cancellation or change charges assessed by airlines, hotels, travel agencies, or other organizations.
Program Registration
All courses are limited enrollment; they include breakfast, lunch, refreshments and handouts. A minimum of 12 registrants is required in order for the classes to be held. Enrollment in a particular course is based on a first come first receipt of payment. If a payment is received and the course is already filled the applicant will be immediately notified. We accept MasterCard / Visa payments in addition to hospital checks made payable to the ADTC at our mailing address:
Animal Dental Training Center C/O Animal Dental Center 1209 Cromwell Bridge Rd. Towson, MD 21286-2206
Register For Courses Online | Hotel Information
For more information contact our offices at
Phone: (410) 828-1001| Email: TRAINING
Last Update:
Wed August 24, 2016
|
<urn:uuid:986466f5-598b-4c84-97ad-8451514a9d6d>
|
CC-MAIN-2017-30
|
http://animaldentalcenter.com/html/ADTC/mainframes/ADTC_Course_Schedule.pdf
|
2017-07-23T14:38:20Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549424564.72/warc/CC-MAIN-20170723142634-20170723162634-00401.warc.gz
| 22,080,363
| 8,942
|
eng_Latn
|
eng_Latn
| 0.954337
|
eng_Latn
| 0.962655
|
[
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
50,
2436,
3365,
5750,
7548,
9934,
10861,
13249,
15634,
16557,
18354,
20736,
23119,
24917,
25841,
28229,
30616,
32415,
34801,
36913
] |
Dr K. Wright: Review of Project 13 Statements
1. The concerns raised by me about Project 13 prior to the Inquiry were:
I believed QHFSS:
a) knew the method was not properly recovering DNA prior to its implementation;
b) knew the implementation of the method would result in crime scene samples failing;
c) despite the above, made a decision to implement the failed method in October 2007; and
d) concealed the failures of the method to other scientists, the police, the courts, and the government.
2. I believed the method (including further iterations of it) was not fixed after its implementation and subsequent re-implementation, and the poor DNA recovery continued for many years.
3. I believed that scientists who knew about the poor DNA recovery should have disclosed this when they were asked to testify at the 2002 Inquiry. Specifically, Mr Thomas Nurthen (Senior Scientist of the Automation Project) and Mr Allan McNevin (Manager of the Analytical Section).
4. Based on my observations from the Project 13 statements, supporting documents, and documents I have previously reviewed, my opinions of these concerns are as follows.
5. It appears the progression of events for the implementation, and ongoing use of the failed DNA method are:
i. There are external pressures on the lab to clear the backlog by the end of 2007.
ii. The robotic extraction method was key to enabling this, however, by October 2007 the method had poor DNA recovery (Project 13) and was not ready for implementation.
iii. A decision was made, despite concerns raised about the DNA yield failure and knowledge it would fail on crime scene evidence, to implement the method anyway and then fix the yield issues after it was implemented.
iv. Within months of implementation, there was widespread contamination caused by the robot, and in July 2008 the robots are taken off-line to fix the contamination.
v. The contamination issues were fixed, however, the yield failure was not, and appears to have gone unnoticed.
vi. The Re-implementation Report in 2009 included a false experiment that used already extracted DNA to test how well the robot was extracting DNA. The results of the report incorrectly indicated there were no further issues with the robots and they were re-introduced (without the yield issue being fixed).
vii. Project 70 (2011) showed up to eight times lower in DNA recovery between the failed robotic method, compared to a new robotic method. Authors documented the MulitPROBE II method recovered significantly less DNA than it ought to, but did not make recommendations to fix it.
viii. In 2012 and 2013 there is evidence the method was still not sufficiently recovering DNA (my analysis during the CoI).
ix. Knowledge of the failed method was not disclosed by Mr Nurthen or Mr McNevin at the 2022 CoI when they were asked to discuss issues with the robotic method.
I believe QHFSS knew the method would fail, but decided to implement it regardless, knew this would cause evidence to fail, and concealed the failings.
6. The following information supports this concern.
7. Tom Nurthen's statement (paragraph 89):
"The draft recommendations do not accord with the view I expressed to Vanessa Ientile prior to Project 13 going live. My view was that we were not ready to go live because the yields from the Automated DNA IQ Protocol were too low at that time. My concern was that the yields would not be as sensitive to extract lower amounts of DNA. Based on my review of my records, I expressed my view to Vanessa Ientile at our weekly project update meetings, including on 9 October 2007 and 16 October 2007."
8. Mr Nurthen refers to two attachments (TN-29 and TN-30) which are minutes from weekly automation project meetings he had with Vanessa Ientile.
9. 9 October 2007: "Lower yield-auto to manual. Manual working well." Action status"Impact on going live"
10. 16 October 2007 (less than 2 weeks prior to implementation): "Yield expts 50% lower on auto process than manual". "Action/Status implementation then optimisation".
11. Mr Hlinka discusses that the recommendation in the 2008 report "were most likely made by management staff like Thomas Nurthen…particularly in pressure and
response to get the Automated NDA IQ method up and running as soon as possible to clear the immense backlog of forensic samples 1 ".
12. This is consistent with media statements in 2007 about the backlog pressures, and in my opinion, indicates the backlog was the driver for the decision to implement the failed method. An article from the Courier Mail dated 2 September 2007 2 states:
"Queensland Health insists the minister's pledge still stands and that the remaining 8894 cases will be cleared by New Year."
"QHSS is on track to clear the backlog of DNA cases by the end of the year,'' said an official from the department."
"Cathie Allen, acting managing scientist of forensic biology at the centre, has backed the department's claims, saying she is ``100 per cent'' certain they will hit their targets."
"But the long induction process for the machines means only one of the four robotic platforms is in use. s Allen said two more of the platforms were expected to come on-line next month."
13. Mr Nurthen believes the Project 13 report was never distributed internally or externally 3 . In my opinion, it is very unusual for a verification report to not be distributed prior to, or after implementation of a new method in a forensic laboratory.
14. In the 2009 Re-implementation Report (TN-32) 4 the authors stated the range of DNA tested in the sensitivity study "reflect those observed in forensic samples, ie, approximately 78% of casework samples generate quantitation values of less than 0.1ng/ul". In my opinion, this demonstrates an awareness that the DNA recovery failure would affect a large number of crime scene evidence.
15. Given their positions at QHFSS I would expect Mr McNevin, Mr Muharam, and Mr Hlinka 5 would also have known the method was failing to recover sufficient DNA at the time of the decision on 29 October 2007 to implement the robots. However, Mr McNevin and Mr Muharam have not disclosed any knowledge of the yield failure in their statements.
16. A junior scientist in the Automation Team, Ms Gallagher was aware, so it seems impossible that the Manager of the Analytical Team was not. Information in Ms Gallagher's statement indicates she had knowledge of the DNA recovery failures related to Project 13. "I recall issues with the yield of DNA extraction arose when we proceeded with extraction with the pre-set temperatures for the heating device
1 Mr Hlinka statement, p26, paragraph 1.
2
'Still a big freezer-Delay of justice in DNA. The Courier Mail. Edmund Burke.
3 Mr Nurthen statement, page 16, paragraph 82.
4 TN-32, page 14, paragraph 4.
5 Mr Hlinka states he reviewed the report (paragraphs 8 and 9).
outlined in the manufacturer's protocol because the samples would not increase to the necessary temperature." 6
17. Information in Mr Hlinka's statement indicates he had knowledge of the DNA recovery failures "Yield and sensitivity appeared significantly lower for the automated method." 7
18. Documents exist from Ms Ientile 8 , Mr Nurthen 9 , Mr McNevin 10 , and Mr Muharam 11 that discuss the implementation of the method, the subsequent contamination issue, but fail to disclose the DNA recovery issue when they should have.
19. In my opinion, the above information demonstrates that:
i. it was known the method was not recovering sufficient DNA prior to its implementation;
ii. those who knew about the DNA recovery failings knew that a wide range of crime scene evidence would fail as a result of the implementation of the method;
iii. Despite knowing of the method failures, a decision was made regardless to implement the failed method. There are documents that show Ms Ientile and Mr Nurthen were involved in a meeting where this decision was made.
iv. There is no evidence in any QHFSS documents I received that anyone who was aware of the poor DNA recovery and the expected failure of crime scene evidence it could cause, conveyed this to QHFSS staff, police, or the courts.
6 Ms Gallagher's statement, page 11, paragraph 68-e)
7 Mr Hlinka's statement, page 25, paragraph 5.
8 AM-06 E-mail from Ms Ientile to Forensic Biology 24 October 2007. This e-mail informs QHFSS staff of the method implementation. It also states that a briefing session will be provided by the Automation Team who will go through "in detail the validation report" including "verification of the automated process". The attendance was mandatory. EXH 129.65 Memo from Ms Ientile to Forensic Biology 14 July 2008 about contamination issue. Reassures staff the method had undergone an "extensive validation".
9 TN-32 'Re-implementing the Automated DNA IQ extraction protocol on the MultiPROBE II PLUS HT EX Forensic Workstation platforms and associated processes' dated April 2009.
10 AM-07 E-mail from Mr McNevin to Forensic Biology 6 November 2007. This e-mail advises staff of changeover processes, but does not disclose any mention of the recovery failure. He presents an upbeat and reassuring attitude. "Thank-you all for your help with the change-over today, and I'm sure your will join me in the excitement of seeing these extraction platforms coming on-line, really ushering the final stages of the beginnings of a new era in Forensic Biology ( DNA Analysis) . Woo-hoo"
11 EXH 129.67, EXH 129.68, EXH 129.69. Various presentations of method audits and enhancements relating to contamination issue. Nothing is included about DNA recovery failure.
I believe the method (including further iterations of it) was not fixed, and the poor DNA recovery continued for years.
20. In opinion QHFSS data supports the method was not fixed, and it continued to fail over many years. I have not reviewed any documents that demonstrates the method was fixed or performing optimally. This is based on:
i. The 2009 Re-implementation Report which includes a false experiment to test the sensitivity of the automated method, but does this by testing the method on already extracted DNA;
ii. None of the changes to the method were designed to increase DNA recovery, they were to address the contamination issues;
iii. Table 1 in my statement provides quantitative data of the method's different iterations, and there is no improvement;
iv. My analysis of data from 2012 to 2013 during the CoI shows the method was recovering four times less DNA than a second method;
v. My analysis of the Blackburn positive controls during the CoI shows a four-fold difference in DNA recovery compared to a second method;
vi. Project 70 (2011) shows the MultiPROBE II method recovered up to eight time less DNA than a second method on trace samples.
21. Mr Nurthen states the DNA recovery issue was fixed in 2009 (paragraph 97-b). He refers to a report titled 'Re-implementing the Automated DNA IQ extraction protocol on the MultiPROBE II PLUS HT EX Forensic Workstation platforms and associated processes' dated April 2009 (TN-32).
In Mr Nurthen's statement he specifically refers to the results within the 2009 report in Figure 8 to demonstrate why he did not disclose the DNA failure to the 2022 CoI. He then explains the procedure is 'very sensitive and able to isolate low copy number DNA samples at a very high recovery rate that is close to 100%. Therefore I did not consider yields to be a DNA Q 'problem' from reimplementation onwards." 12 At first glance of the graph, it appears the method is working exceptionally well.
22. In my opinion, the conclusions drawn from Figure 8 are incorrect. The project used human genomic DNA of quantities between 2ng to 100ng in a solution of 300ul of water to test the sensitivity of the method (to test if it was recovering sufficient DNA from samples including trace samples). 13
23. 'Human genomic DNA' is a liquid sample of DNA that has already been extracted and purified. QHFSS purchased this pre-extracted DNA from a company. In all
12 Thomas Nurthen statement, page 19, paragraph 97-b).
13 See Section 6.2, page 7 of the TN-32 report.
other DNA extraction projects (9, 11, and 13) QHFSS used blood dried on swabs to test the DNA extraction method. In my opinion, it makes no scientific sense to test a DNA extraction method, using DNA that is already extracted. That is, the 2009 project put already extracted DNA into the robot, to see if it could extract DNA.
24. In my opinion, this experiment does not prove the method was working, and does not prove the method was fixed. I believe any forensic biologist would agree. I question why QHFSS used genomic DNA for this project. Could it be they knew this report was going to be widely distributed and scrutinised, and they did not want the yield failure to be revealed? In my opinion, the experiment for 'Sensitivity and efficiency as assessed by percent recovery' 14 was designed to reach a desired outcome of successfully recovering DNA and to falsely convey there were no DNA recovery issues.
25. None of the changes to the method appear to address the yield failure (they appear to address the contamination issue).
26. Project 70 shows the method was still failing in 2011 (it recovered up to 8 times less DNA than another method for trace samples).
27. The data I analysed from 2012-2013 for the 2022 CoI 15 shows the method was still failing also.
28. The data I analysed for the Blackburn matter for the 2022 CoI 16
29. The data I analysed to compare the performance of Project 13 with Project 21 and 21 (the introduction of the 'off-deck lysis') 17 show the DNA recovery did not improve.
I believe that scientists who knew about the poor DNA recovery should have revealed this when they were asked to testify at the 2022 Inquiry.
30. I believe both Mr Nurthen and Mr NcNevin knew about the DNA recovery failings, knew the issue was not fixed, and appear to have avoided answering questions they were required to by the CoI in their statements, or have provided misleading answers. In my opinion, Mr Nurthen and Mr McNevin misled the 2022 Inquiry. This is based on:
i. The absence of any mention of the DNA yield issues in Mr Nurthen's and Mr McNevin's statements to the 2022 CoI.
ii. The failure to disclose Project 13 to the 2022 CoI.
14 See section 7.3 of TN-32 report.
15 Dr Kirsty Wright Statement dated 23 October 2023, Figure 3, p7.
16 Dr Kirsty Wright Statement dated 23 October 2023, Figure 3, p6.
17 Dr Kirsty Wright Statement dated 23 October 2023, Figure 4 and Table 1.
iii. There are no documents that show experiments were conducted to specifically fix the yield failure.
iv. In my opinion the 2009 Re-implementation trial is a false experiment and provides false conclusions and reassurances that the method is sufficiently recovering DNA. I believe this is not evidence to support the method was fixed.
v. The authors of Project 70 in 2011 (Mr McNevin is lead author) stated there was a significant yield drop in the MulitPROBE II method compared to the manual method from 2007 (see paragraph 62 to 73 of my statement). This demonstrates empirical awareness of the yield failure by Mr McNevin.
vi. Mr McNevin's 2023 statement includes an e-mail (AM-05) that suggests he was part of an e-mail group called 'MultiPROBE II'. If so, this indicates Mr McNevin would have received regular updates from the Automation Team about the progress of Project 13, including any issues, and causes for delays.
vii. It is also difficult to understand how Mr McNevin, as Manager of the Analytical section, did not know about the yield failure in 2007. I would expect Mr Nurthen would have told Mr McNevin of his concerns about implementing a method into his section that he knew would fail.
viii. Ms Ientile states in her statement: "It is possible that Allan McNevin as the Senior Scientist of the Analytical Section may also have had input into the development of the testing performed as part of the validation projects" 18 .
ix. Ms Gallagher states in her statement that: "The Automation/LIMS Implementation Project Team occasionally had conversations with the following people in relation to the [automated] protocol being developed as part of the Project: (a) Allan McNevin, who I believe was the head of the analytical lab." 19
x. Mr Muharam's statement states (paragraph 23) "I primarily worked with Allan McNevin, who was a member of the Analytical Team but often supported the Automation Team." This suggests Mr McNevin had some involvement with the automation project and the automation team. Given Mr McNevin was also later the Manager of the Analytical Team, it would be expected he would take responsibility to maintain awareness of issues and address them if required.
xi. In Mr Nurthen's statement he offers three excuses for why he did not disclose his knowledge of the yield failure to the CoI. 1) He claims the method was fixed in 2009; and 2) he states "It did not occur to me in giving my written statement to the Sofronoff Inquiry to mention or explain the 2008 report because the laboratory's focus in 2008 was determining the cause of, and taking action in response to, contamination issues"; and c) the 2008 report was a draft.
18 M Ientile statement, page 10, paragraph 29.
19 Ms Gallagher's statement, page 9, paragraph 59.
31. I believe these are not valid reasons not to disclose a serious and systemic DNA failure to a CoI that arose from a method when he was specifically asked to:
"Explain what problems with DNA IQ were experienced in approximately 2008." 20
32. The poor DNA recovery was still an issue, and not resolved in 2008 and Mr Nurthen knew this. In my opinion, the method was not fixed and Mr Nurthen knew this.
33. Although Project 13 was still a draft document, it was the most relevant document QHFSS had which explained the DNA recovery problems they were having in 2008 with the method. In my opinion, Mr Nurthen should have disclosed the Project 13 report to the CoI.
34. Mr McNevin offers the explanation below as to why he did not disclose the Project 13 report to the 2022 CoI 21 :
"I recall that on review of the questions that were asked in the request for statement 2022-00181, the Commission of Inquiry was seeking information as to the contamination events onwards, for which I had a role in. I understood the request for the statement to be centred around DNA IQ and the resulting contamination events, including issues as to the systems and processes."
"I was not a part of the Automation Team and did not have a role in the devising of the Manual Method or Automated Protocol, and did not have a role in the validation of the protocols."
35. In my opinion, this is incorrect. The CoI question clearly does not restrict the answer to the contamination issue.
36. Mr McNevin does not state in his explanation that he had no awareness of the 2008 report at the time of the CoI. In my opinion it is likely Mr McNevin would have been aware of the report in 2008 given the method was implemented in the section he was managing at the time, and it would be expected that the manager would review all validation and verification reports of new methods.
37. Mr McNevin states: 22
"The role of the Analytical Team was the implementation of the completed protocols and updating SOPs for routine use."
38. In my opinion, this demonstrates a significant level of knowledge by Mr McNevin of new methods that were implemented in the Analytical Team, including the MultiPROBE II method.
39. Mr McNevin was also responsible for ensuring methods implemented in the Analytical Section were appropriately monitored to ensure they provided accurate
20 Mr Nurthen's 2023 statement, p18. Refers to CoI question 6 (see paragraph 94-a).
21
Mr McNevin's 2023 statement, page 12, paragraphs 95 and 97.
22 Mr McNevin's 2023 statement, page 5, paragraph 31.
and reliable results. Given the method was failing significantly from the time it was implemented and for many years thereafter, in my opinion, this shows a complete failure of McNevin to carry out his duties as Manager of the Analytical Section for several years until he left the position in 2014.
40. If Mr McNevin had properly monitored the DNA extraction processes, any DNA recovery failings should have been immediately detected, and testing by that method on crime scene evidence immediately stopped.
41. I believe the questions the CoI asked Mr Nurthen and Mr McNevin were broad enough in scope for them to include the DNA recovery issues, and even if they were not, they should have offered this information regardless given its significance.
42. Their failure to disclose this key information led to the systemic DNA recovery issue being missed by the CoI when it should have been disclosed.
43. Mr McNevin and Mr Nurthen are both are Reporting Scientists for QHFSS, and are therefore aware of their responsibilities as expert witnesses. They have many years of experience in providing written and oral expert evidence. In my opinion, they would also have been aware that by not disclosing the DNA recovery failure, it would mean thousands of cases may not be re-tested.
44. In my opinion, none of the explanations provided by Mr Nurthen or Mr McNevin are sufficient, and I beliove they misled the 2022 CoI by omission.
Dr Kirsty Wright 28 October 2023
|
<urn:uuid:62db28bb-0d01-4cc3-9f25-233b9d638844>
|
CC-MAIN-2024-10
|
https://dnaproject13inquiry.qld.gov.au/assets/exhibits/thursday/Report%20of%20Dr%20Kirsty%20Wright%20%E2%80%93%20Review%20of%20Project%2013%20Statements%20(Wright%203).pdf
|
2024-02-26T00:27:59+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-10/subset=warc/part-00272-d9675c6d-5c8d-45bb-9c98-c56e42022a4d.c000.gz.parquet
| 206,773,780
| 4,742
|
eng_Latn
|
eng_Latn
| 0.998521
|
eng_Latn
| 0.998735
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1888,
4201,
6870,
9623,
12141,
14561,
17338,
19891,
21359
] |
Appearance Review Commission
Meeting Minutes
February 28, 2022
A meeting of the Appearance Review Commission was held on Monday, February 28, 2022 at 7:30 p.m. via Zoom. Chairperson Lisa Dunn called the meeting to order at 7:30 p.m.
Present:
Beth Chaitman Lisa Dunn, Chairperson Sherry Flores Daniel Moons Amy Schneider
Absent:
Jason Golub Troy Mock
Also Present:
Liz Delevitt, Planning & Design Specialist (Present at Village Hall) Jeri Cotton, Secretary
Public Comment:
There was no Public Comment on non-agenda items on email, via Zoom or in person.
Document Approval
Ms. Chaitman moved to approve the minutes from the January 24, 2022 Appearance Review Commission meeting. Ms. Flores seconded the motion. The motion passed by the following vote:
AYES: Chaitman, Flores, Moons, Schneider, Dunn (5)
NAYS: None (0)
Business:
1. Old National Bank (continued), 725 Waukegan Road - Signage
Bill Holley with Bright Light Sign Company was representing Old National Bank. They propose a new signage package that would repurpose two (2) existing monument signs with new cabinets, replace a non-illuminated letterset on the east elevation, and replace an illuminated box sign on the west elevation.
Appearance Review Commission February 28, 2022 Page 2 of 5
The structure inside the two (2) monument signs would remain as is with new cabinets added to each side of the double-faced signs. The proposed signs are painted silver to match the existing aluminum bases. They have small blue and yellow logos with blue lettering reading "Old National Bank". The proposed signs are 4' wide x 6' tall x 23½" deep. Ch. Dunn noted the depth is greater than the 12 inches restricted by the Zoning Ordinance. Mr. Holley explained they need the additional depth, because they are leaving the existing structures and adding Lexan faces to each side. The current signs have depths of 20", which are greater than permitted. Mr. Holley explained they are trying to repurpose the signs by using the original structure. Ch. Dunn noted the existing signs were installed without Board approval. Ms. Delevitt confirmed that First National Bank installed the existing signs illegally. Ch. Dunn questioned why the proposed signs do not comply with the Zoning Ordinance requirements. Mr. Holley explained they would have to replace the entire sign structure including the footings. The bank would prefer to repurpose the existing signs. Ms. Delevitt noted the Commission will discuss a possible text amendment regarding sign depths later on the agenda. Mr. Moons and Ms. Schneider are okay with the sign depths as they are recycling the signs.
Ms. Flores prefers this sign package to the previous sign package. Ms. Chaitman questioned the readability of the signs. Ms. Delevitt suggested stacking the words on three (3) lines and making the letters larger. Mr. Holley explained the bank's brand guidelines only allow the stacked copy inside the larger version of the logo. He noted only the letters and logo will illuminate. Ms. Flores does not mind the smaller copy.
Mr. Holley discussed the non-illuminated sign on the east elevation. The blue aluminum letters will be 8" high x ¼" deep. The logo is 16" high x ¼" deep. The proposed sign is in the same location as the existing sign and would be pin-mounted to the masonry wall. Ch. Dunn ensured the wall would be cleaned before the new letters are installed. Mr. Holley explained the holes would be caulked in a similar color to the brick before the new letters are installed. Ms. Delevitt noted the wall is currently full of holes from previous signage. Mr. Holley indicated it is their standard procedure to clean the brick and caulk the holes to make the old sign disappear. The Commissioners were okay with this sign.
Mr. Holley discussed the proposed box sign replacement on the west elevation. The proposed sign is a 2' x 26' aluminum sign, which is the same as the existing sign. The only difference is the new logo and bank name. The sign will be installed in the same location. Ch. Dunn inquired as to why this sign is different than the east elevation. Mr. Holley believes the signs were created differently because one was illuminated and the other was not. The Commissioners were okay with this sign.
Ms. Schneider moved to approve the Old National Bank signage as presented, pending Board approval for the zoning exception for the monument sign depths greater than 12 inches. Ms. Chaitman seconded the motion. The motion passed by the following vote:
AYES: Chaitman, Flores, Moons, Schneider, Dunn (5)
Appearance Review Commission February 28, 2022 Page 3 of 5
NAYS: None (0)
2. Starbucks, 675 Deerfield Road – Outdoor Patio
Keelan Collins, District Manager and Cloteal LaBroi, Senior Manager for Government Relations representing Starbucks were present. Ch. Dunn noted the changes have already been completed, without Village approval. Mr. Collins explained they enhanced the patio to provide a space that the customers have been requesting. They removed the railing enclosure and added planter boxes. They replaced the outdoor furniture and umbrellas with new furniture to better serve the customers. Mr. Collins explained they propose adding string lights to provide soft illumination and to further define the space. The proposed lights will be attached to six (6) poles that are 10 feet high and grounded with concrete blocks. Ms. Schneider asked if the concrete was patched or repaired when the railing was removed. Mr. Collins explained that was part of the scope of work. Ms. Schneider noted the concrete was not patched when the railings were first removed. Mr. Collins will check on the concrete patching. Ms. Delevitt noted the planters may have been moved to cover the holes. Ms. Flores asked if they want additional umbrellas for the summer. Mr. Collins explained the fourth umbrella is on back order. Ms. Delevitt noted the Fire Department and Code Enforcement Supervisor need to sign off on the accessibility of the patio. She believes it will be difficult to maintain the required 3 feet wide clearance with an additional umbrella. Ms. Flores suggested doing a canopy like they installed at Bobby's Deerfield. Ch. Dunn noted the current request is for three (3) umbrellas, so the petitioner would have to come back before adding any additional furniture. The petitioners were okay with the furniture in the proposal.
The Commissioners discussed the proposed string lights, with the exposed bulbs. Ch. Dunn questioned whether the exposed bulbs are desirable as they are outside of the Appearance Code. She asked about the hours of operation. Mr. Collins explained they are open until 8 pm. Ch. Dunn questioned the need for the lights if they close before dark during the outdoor dining season. Ms. Chaitman believes the lights look nice and define the space. Mr. Moons believes the lights provide a nice ambience. Ms. Flores expressed concern about the appearance of the poles. Ch. Dunn questioned how the petitioner would ensure the string lights do not sag too low. Mr. Collins explained they will work with facilities to ensure the lights are placed and maintained appropriately. Ms. Delevitt noted the proposed lighting will only go around the perimeter of the patio. Mr. Collins noted the bulbs give off a clear, warm light. Ch. Dunn suggested the lights be turned on 30 minutes before sundown and turned off at the close of business. She questioned the number of bulbs and the distance between bulbs. Ms. Delevitt noted there would be 24 bulbs per 48-inch string. The patio space is 36'-8" x 16'-1" and approximately 60 linear feet. The 10' tall poles will be placed on movable concrete bases with the lighting height of about 9 feet from the ground. Ms. Delevitt questioned how the power source would work. Ch. Dunn noted the first pole is 5' from the building (outlet). Ms. Schneider believes there will be a wire. She questioned whether the electrical box would be visible as the awning is lower than the panel and believes the electrical box needs to be concealed.
Appearance Review Commission February 28, 2022 Page 4 of 5
Ms. Schneider asked about the storage boxes inside the building that are visible through the windows. Mr. Collins explained they have addressed this issue at the store level.
Mr. Moons moved to approve the Starbucks outdoor patio furniture and lighting as presented with the electrical box concealed. Ms. Flores seconded the motion. The motion passed by the following vote:
AYES: Chaitman, Flores, Moons, Schneider, Dunn (5)
NAYS: None (0)
Items from Staff
Ground Sign Depth – preliminary discussion
Ms. Delevitt explained the existing Deerfield Zoning Ordinance restricts the sign depth for ground and monument signs to 12 inches. In 2018, the ARC had discussed increasing the sign depth maximum to 20 inches to accommodate the sign's structural elements and space out the LED fixtures to avoid hotspots. Several petitioners have come through requesting deeper signs. Changing the Code would require a text amendment to the Deerfield Zoning Ordinance. The ARC would come up with parameters and Ms. Delevitt would write a report for the Plan Commission to make a recommendation to the Village Board for approval. Mr. Moons noted sign companies have mentioned it is both a structural and hotspot issue. Ms. Delevitt explained many other municipalities do not limit sign depths. They only limit the number of signs and the size of the faces. Ms. Delevitt noted that the current Code has a condition that when a variation is approved to permit a greater sign depth, the area of the two (2) sides are also included in the gross surface area of the sign. This helps prevent the signs from getting too wide. Ms. Schneider asked if there have been specific requirements given by sign manufacturers for LED lights. Mr. Moons believes there should be a depth limit but wants to allow modern technology to dictate the maximum. Ms. Flores suggested allowing a maximum range that would not exceed 20 inches. Ch. Dunn noted Portillo's and Northwestern Medicine signs both have an 18-inch depth. Mr. Moons would like to change the depth to what the professionals state is the minimum necessary for ground signs. Ms. Schneider wants to ensure the sign does not inhibit visibility. Ms. Delevitt explained the Village has to maintain the clear sight triangle for safety reasons. Ch. Dunn would like additional information from lighting professionals. Ms. Delevitt will survey sign companies for guidance before continuing the discussion on ground sign depths.
Ms. Delevitt reported the animal hospital has removed their holiday lights. Sweetgreen installed their last window vinyl. She noted the rooftop screening is still in process. Dollar Tree will remove the excess paper on their windows. City Barbeque's trash doors are broken and she will address that with the Deerbrook Mall property manager. McDonald's and Portillo's had banners. Ms. Delevitt reached out to both businesses.
February 28, 2022 Page 5 of 5
Ms. Delevitt noted that next month they will have a Final Review for the 728 Building in Deerfield Square. They will also see a couple of new businesses coming to Deerfield Square and a new pylon panel for Deerbrook Mall. She also noted she attended a meeting with Deerbrook Mall about the road between the mall and the residential project.
Items from the Commission
Mr. Moons noted the conduit for the Joe Donut sign is still visible. He thinks it looks fine, but it wasn't handled exactly how they had discussed in the meeting. Ms. Flores noted Sweetgreen looks very nice. She likes how they painted the interior elements green to match the opaque windows. Ms. Schneider reported Kay's Foot Spa has holiday lights and flashing twinkle lights in their windows. River Trails Animal Hospital has not installed the approved blinds and the kennels are visible. Ms. Delevitt noted they were looking at other options. She will look into what is considered an unsightly view.
Ms. Flores inquired about the Covid-19 testing site that has a sign across from JewelOsco on Lake Cook Road. Ms. Delevitt noted it came through the Village as a temporary sign and will be removed once their permit expires, or they will ask for a permanent sign.
Ch. Dunn asked if any businesses are planning to take part in the Business Façade Rebate Program. Ms. Delevitt noted that several businesses have asked about eligibility for their improvements. She is hopeful some will move forward with the program.
Public Comment:
There was no Public Comment on non-agenda items on email, via Zoom or in person.
Adjournment:
There being no further business or discussion, Ms. Flores moved to adjourn the meeting. Ms. Schneider seconded the motion. The motion passed by the following vote:
AYES: Chaitman, Flores, Moons, Schneider, Dunn (5)
NAYS: None (0)
The meeting was adjourned at 9:13 p.m. The next regular meeting of the Appearance Review Commission will be held on March 28, 2022 at 7:30 p.m.
Respectfully submitted,
Jeri Cotton Secretary
|
<urn:uuid:3ec1517c-3d64-400b-aff5-8a96997d6f9e>
|
CC-MAIN-2022-40
|
http://www.deerfield.il.us/AgendaCenter/ViewFile/Minutes/_02282022-841
|
2022-10-03T11:34:12+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00285-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet
| 65,196,196
| 2,906
|
eng_Latn
|
eng_Latn
| 0.99644
|
eng_Latn
| 0.999159
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1214,
4599,
8130,
11092,
13163
] |
All Saints Church 5501 Third Street Verona, PA 15147
www.allsaintspittsburgh.org
APR IL 2012
| Sun | Mon | Tue | Wed | Thu | Fri | Sat |
|---|---|---|---|---|---|---|
| 1 Palm Sunday | 2 Intercessory Prayer 6 pm Choir practice 7 pm | 3 Wednesday Night Group 6:30 pm | 4 . | 5 Maundy Thursday 7 pm | 6 Good Friday 7 pm “The Passion” show- ing in Boyd Hall following service | 7 |
| 8 Easter Sunday | 9 Choir practice 7 pm | 10 Wednesday Night Group 6:30 pm | 11 | 12 | 13 | 14 |
| 15 Newsletter info. deadline | 16 Choir practice 7 pm | 17 Wednesday Night Group 6:30 pm | 18 | 19 | 20 | 21 |
| 22 | 23 Choir practice 7 pm | 24 Wedneday Night Group 6:30 pm | 25 | 26 | 27 | 28 |
| 29 Healing Service 10:30 a.m. | 30 Choir practice 7 pm | | | | | |
If you received your newsletter in the U.S. mail and have an email address, we would like to ask you to please send it to us at [email protected]. Next month we will send your newsletter via email. This helps to save on costs for printing and postage and you get the newsletter in pdf format and in color.
Thank you for helping us to reduce our costs.
Saints Alive
Worshipping in the Anglican Tradition
"Your Will be Done..."
Part I Being Available
Now the LORD said to Abram "Go from your country and your kindred and your father's house to the land that I will show you.... So Abram went...Genesis 12:1-4
By faith Abraham obeyed when he was called to go out to a place that he was to receive as an inheritance. And he went out, not knowing where he was going. Hebrews 11:8
"Go and stand in the temple and speak to the people all the words of this Life." Acts 5:20
"Truly, truly, I say to you, whoever believes in me will also do the works that I do..."
John 14:12
And this is the testimony, that God gave us eternal life, and this life is in his Son. Whoever has the Son has life; whoever does not have the Son of God does not have life. I write these things to you who believe in the name of the Son of God that you may know that you have eternal life. 1 John 5:11-13
"And this is the testimony"....
For any of you that have been reading along for the past year and more we have come to a point where a decision was to be made. Will we become part of the great ministry of Jesus, the same ministry that has led to our promised salvation (if indeed we have received such a great salvation) or will I leave it for someone else? Please know that there is not a single "works righteousness" bone in my body, meaning we don't come to this point out of some sense of "I must now do my part or else Jesus will not save me".
Works righteousness is impossible – there is not one thing you can do to add to the perfect completed work of Christ in His life and on the cross. Salvation comes from FAITH in Christ Jesus, faith alone. PERIOD. Let know one ever make you think otherwise. (Ephesians 2:8-9 For by grace you have been saved through faith. And this is not your own doing; it is the gift of God, not a result of works, so that no one may boast.)
Yet we are called to participate in His work. In a real sense, Jesus was a tiler, sower, nurturer and harvester. That was his work. But it was not agriculture that he was concerned with, but a dying humanity. In multiple places in Scripture Jesus makes it clear that He did not come to heal here on earth (although He did do so), but to heal for eternity. Jesus' most important means of doing so was through teaching or preaching. (Luke 4:43 "I must preach the good news of the kingdom of God to the other towns as well; for I was sent for this purpose.")
Jesus' preaching was accomplished in many ways, most commonly in the form of questions from a person or a crowd. Few of us are going to be called to be a preacher. But if we are willing we can expect to simply share, to share "The Testimony". Seen in this light, perhaps the fear of sharing our faith can be controlled a bit.
As we end one series last month I begin a new this month. This series will focus on those that have said "YES send me Lord" (or perhaps you said, "gulp! Well eh, if you think so, I guess send me Lord"). This series will focus on two ideas: 1) first being available; and, 2) knowing out story so that we can share the testimony. I don't know long long Ambassadors for Christ (Continued on page 3)
(Continued from page 2) Ambassadors for Christ it will run or even where it's going exactly. It's all new to me as well. We'll walk through discovery together.
Being available is the beginning point. It doesn't mean having a clear calender, but instead a spiritual attitude that when the Lord calls, I will go. We can be sure that the Lord will call you within appropriate contexts of your life. If a brain surgeon is in the middle of a lobotomy it is exceedingly unlikely God will suddenly call the doc out of surgery to meet someone at McDonald's (or the golf course). But there may be a word said in the middle of surgery that is obvious an opening from God. Being spiritually available might simply mean one perfect word shared in the moment.
Being available will mean being attuned to the voice of God, the prompting of the Spirit. Do we make our selves available? Do we look and listen to what God might be saying to us for His ministry? It is learning to walk knowingly in God's presence and developing His eyes and ears.
When we share, it is His testimony we share, always shaped for the context of the situation. We might have the opportunity to share the Gospel story, but more likely we will have the opportunity to share a simple personal word about our lives; the testimony becomes personal. Someone says "I don't know if I can keep going" and we respond "I understand, I could but for God's personal help."
As we go forward, God's testimony wrapped up in our stories will be one of the most powerful tools you will every posses, for others and your self. Knowing your story matters, and we will consider this at length.
We are at a truly important, almost impossible, place at AS. We are already shaping the ministry we will offer to Rosedale. Specifics are bring prayed over; calenders set. We are on the verge of going out and inviting in. The Second Chapter is coming to life and it offers an entirely new day for AS, for Rosedale, and all of us that make our selves available.
We have a great testimony to share, a real life to offer.
Many of us have absolutely no doubt God is desiring to do the impossible through us. Will we be eager to join Him in the tiling, sowing, nurturering, and harvesting?
Will we make ourselves available to Him in the middle of a busy day? I promise you, he will not call you out of brain surgery to go see someone at McDonald's. But he will challenge you, and us.
Journey with me over the coming months are we consider this call. And know this – AS, Rosedale, and God is looking for you to be available to help us in our part of Christ's ministry. Please make yourself available.
Blessings
David
Why Rwanda?
As many of you know, I have become a supporter of Arlene Brown's Urukundo Home for Children and now the school she operates called the Urukundo Learning Center located at Binunga on a mountain in the heart of Rwanda.
Jesus told us that the two great commandments are to "Love the Lord your God with all your heart…" He said that the second is like unto it, "Love thy neighbor as thy self".
One Light Bulb at a Time
Contributed by Lee Mackie
This might not work for all products, but every thing we buy that is made in USA helps to keep jobs here.
I didn't know Hallmark cards were made in China! That is also why I don't buy cards at Hallmark anymore. They are made in China and are more expensive! I buy them at Dollar Tree - 50 cents each and made in USA
I have been looking at the blenders available on the Internet. Kitchen Aid is made in the US. Top of my list already.
Yesterday I was in WalMart looking for a wastebasket. I found some made in China for $6.99. I didn't want to pay that much so I asked the lady if they had any others. She took me to another department and they had some at $2.50 made in USA. They are just as good. Same as a kitchen rug I needed. I had to look, but I found some made in the USA - what a concept! - and they were $3.00 cheaper .
We are being brainwashed to believe that everything that comes from China and Mexico is cheaper. Not so.
One Light Bulb at a Time...
I was in Lowe's the other day and just out of curiosity, I looked at the hose attachments. They were all made in China. The next day I was in Ace Hardware and just for the heck of it I checked the hose attachments there. They were made in USA.
Start looking, people . . ...In our current economic situation, every little thing we buy or do affects someone else - most often, their job.
My grandson likes Hershey's candy . I noticed, though, that it is now marked "made in Mexico." I don't buy it anymore .
My favorite toothpaste Colgate is made in Mexico, now I have switched to Crest .
You have to read the labels on everything.
This past weekend I was at Kroger . . . I needed 60W light bulbs and Bounce dryer sheets. I was in the light bulb aisle, and right next to the GE brand I normally buy -- was an off-brand labeled, "Everyday Value ." I picked up both types of bulbs and compared them: they were the same except for the price - the GE bulbs cost more than the Everyday Value brand, but the thing that surprised me the most was that GE was made in Mexico and the Everyday Value brand was made in - you guessed it - the USA at a company in Cleveland, Ohio.
It's Way past time to start finding and buying products you use every day that are made right here.
So, on to the next aisle: Bounce Dryer Sheets - yep, you guessed it, Bounce cost more money and is made in Canada . The Everyday Value brand cost less, and was made in the USA! I did laundry yesterday and the dryer sheets performed just like the Bounce Free I have been using for years, at almost half the price .
My challenge to you is to start reading the labels when you shop for everyday things and see what you can find that is made in the USA - the job you save may be your own or your neighbors! Start buying American, one light bulb at a time! Stop buying from overseas companies - you're sending the jobs there. (We should have awakened a decade ago.) Let's get with the program and help our fellow Americans keep their jobs and create more jobs here in the USA . I passed this on .. .. . will you?
Editors Note: While I don't usually publish articles such as these, I have now found myself checking labels. Many of our parish family are out of work, taking jobs just to make ends meet. I hope this article gives us something to think about the next time we are shopping. Thanks Lee.
(Continued from page 3) Why Rwanda
It is easy to love your neighbor who loves you and lives the type of lifestyle you do. It is much tougher to love a stranger, especially those in trouble or who have needs. We can always make excuses that we do not have enough money or time to help, but is that really true?
The people of Africa are not in our conscious thoughts, but they are among those who need the most help. They live in poverty or under the oppression of selfish and tyrannical tribal lords or the corrupt governments that provide a luxurious living for the leaders, but spend almost nothing improving the conditions of the people of the country. Often, the leaders will squander the resources of the country rather than use these resources for education, health, or job creation needs of the public. Thus, the people remain illiterate and hungry and without hope.
We, as Christians, should yearn do everything in our power to help these people (and others around the world) improve their chances for survival and happiness. We should do more than pitch a few dollars into the plate or to a charity. We should be very generous, as we have been given so very much. Are we going to love our neighbor as our self or are we going to husband our resources for ourselves? Only you and God know this answer for you.
But why, with all the need in Africa, would I focus on Rwanda?. First, I cannot do everything for so many all over Africa, so I concentrate on one place
Why Rwanda (Continued on page 5)
All Saints Prayer List
April 2012
Parish: Joanne Calderone, The McMarlin Family, Barbara Slattery, The Keller Family, The Tendick Family, Karen Rucker and Family, Shelby Rushmore, Kathy Swan and Family, Greg Jazwindki (Heidi's dad), Phoebe (Godline's mother), Charles (Godline's brother), Dolores Oliver, Jo Clapperton (Barb Harman's mother), Apollo Ogut (Moses's father)
For Moses's discernment process and Carolyn's ministry
For All Saints, for our being open to God's vision for us, and for our leaders.
For our African students: Margaret Kiconco, Kennedy Gondwe, and Emmanuel Mukeshimana. For Mission in Africa: Gisele Umotoni, Arlene Brown's Ministry (Hope Made Real)
Friends of the Parish: Bobby Nogaret (Pat's cousin), Rusty Colaianne and Family, Frank Iusi, Kathy Lockheart, Mike Theiss and Family (friend of Jes Iusi/cancer), Jack Miller, Connor and family (Dylan Arend's friend), Marge Colaianne (John C.'s sister-in -law/eye surgery), Jeff Freeman, Sarah Sydlick, Patty Palo (cancer), Debbie Ramsey, Debbie Varrati, Kathy Sozynski, Caprice Serafini (Pat's niece), Sophie Frederick (Joan's granddaughter), Mike Herold, (Ray's Brother)
For victims of human trafficking, that they may know God's loving presence in the midst of their suffering.
Armed Services: Pray for the safety of those in the armed services and the peace of mind of their families, especially those known by this congregation: Jason Biehl, Paul Burger, Dustin Churchel, Anthony Iusi, Marcus Levering, Jeff Muir.
Friends of the parish will be listed for 1 month. If you would like to add a name, remove a name, or have a name stay on the prayer list longer than 1 month, please contact Pat Serafini at 412-247-0617 or [email protected]
ULTRA DEEP FIELD
Contributed by Tom Nunnally
Several weeks ago at WNG, David showed a clip about the Hubble telescope and the incredible findings when they pointed the telescope toward the ULTRA Deep Field, a sliver of space where scientists thought nothing existed.
What they found were billions of galaxies each containing billions of stars. David's point in showcasing this was, if God could create this awesome universe, then nothing in heaven or on earth is beyond His power and that we, through Him, can do what we think would be beyond our capabilities.
Here is a link to the Ultra Deep Field, so see for yourself.
http://www.flixxy.com/hubble-ultra-deep-field-3d.htm
13 billion light years are about equal to 80,000,000,000,000,000,000,000 (880 sextillion) miles.
where I can make a small difference. (Continued from page 4) Why Rwanda
Rwanda suffered from one of the most horrendous atrocities in the history of man's inhumane treatment of his fellow man when tribal factions slaughtered 800,000 innocent human beings in 100 days back in the late 1900s. There might have been some root causes of this, such as the land being too scarce to support the rising population. But, truthfully it was really more an act of evil (indiscriminant killing for personal gain). And it still could happen in many more places.
But to their credit, Rwanda has become the model for a stable and just government in Africa.
However, they still have problems. The people are poor and the government is not wealthy.
Rwanda does not have resources to export (such as oil) and they are land locked, so there is no easy way for to import capital goods (which have to come by air instead of overland through
corrupt nations). 80% of the population is illiterate and must subsist off the land.
Arlene Brown is doing much more than her share of improving the lot of Rwandans. She is taking in orphans that no one else wants and that the government can't afford to help. She gives these throw away babies a new life and a good life. She is also educating them to become some of the
20% who will be able to better themselves (and Rwanda). And she is providing jobs and food and water to the people of Binunga village. She is certainly worthy of our support, as are others working in Africa or in other parts of the world.
I wear a bracelet that says "WWJHMD" That means "What would Jesus have me do"? I am guided by that bracelet whenever I have to make a hard choice between personal security and giving.. Tom Nunnally
Urukundo Learning Center
At the Urukundo Home for Children in Rwanda, there are 47 orphans. Some are infants, below the school years and some are at the high school level. Arlene Brown sends the older kids to study at a nearby high school, but teaches the lower and middle level kids at a school held in the guest house. She also invites some of the poorer children from the village to study there, which is their only access to a school.
The space at the guest house has been the limiting factor to helping more students, as they have the material and teachers to educate them. She has for years planned on a separate school house, but the funds were needed elsewhere in taking care of her children.
In January, construction started on the school house and it is now complete, with furniture for all classrooms except one. They plan on having the kids studying there at the next term, which starts in April.
Arlene plans to have a stone path to the school called "The Path to the Future". A donation of $100US will buy a stone with the donor's name. If the members and friends of All Saints donate five of these stones, the furniture will be purchased for the remaining classroom and All Saints will have a plaque there in. Checks can be made out to Hope Made Real marked "Path to the Future" from All Saints. Your personal name will go on the stones.
What Easter Do You Share?
Can we be perfectly honest? Not all Easters are equal.
For example, there is the Easter where we celebrate spring. Another celebrates family get togethers. Another honors tradition. In most of these Easters going to church is still part of the day. This is already changing and within a generation most people that have included church attendance out of tradition will have abandoned the church.
Of course there is another Easter. The only one that matters. It is the Easter of Jesus Christ. If celebrates the (literally) most important event in all of history. It also celebrates the reality that Easters are still happening.
Family gatherings are important, so are traditions. But Easter is important because on one malicious day nearly 2000 years ago a dead man rose up and walked out of the tomb. It is the reason we have a Christian faith, it is the reason we have hope.
It turns our death really does have limitations. Death came into the world as a result of sin. But in the face of perfect righteousness death no longer exists.
Jesus lived for and through His Father, our God. In the course of His life He accomplished what we could not – righteousness. The story of Easter is all the more powerful because the sinfulness of world attempted to kill this innocent man. The world did indeed hang Him on a cross where he experienced excruciating suffering. He died, in the flesh, he was as dead as any of us will ever be.
But the story does not end there. We don't know what happened between Jesus' proclamation "it is finished!" and the moment of resurrection. Perhaps unseen spiritual battles were being faught. What we do know is that at some time in the early hours of that most important of Sunday's, the resurrection took place. Jesus was alive.
I said above that Easter celebrates this most important day in all of history (honestly, nothing else is even remotely close), and it celebrates the reality that Easter is not just a historical event.
Today, whenever someone comes to know Jesus Christ as Lord and Savior another Easter takes place. It is still righteousness that over comes death – becoming a Christian means we take on His righteousness where there is no death. All around the world, at this very moment, someone else, destined for death, is being saved for eternity. Maybe someone you know? Maybe you?
Easter is about the risen Lord. It is also about any of us that are "in Christ Jesus" walking away from our own tomb.
Halleluiah, the Lord is risen! The Lord is risen indeed! And so are all of those whose lives have been offered up to God through Jesus Christ!
Halleluiah indeed.
May the truth of Easter forever change your life.
David
Important Dates
Choir Practice, Monday Evenings, 7:00 pm
Wednesday Night Group that meets on Tuesday Every Tuesday 6:30pm
Chinese and Discipleship every Thursday 6:30 p.m.
Newsletter Deadline, April 15th
Healing Prayer in Boyd Hall Following the Service on April 29th.
ALL SAINTS CHURCH
Worshipping in the Anglican Tradition 5501 Third Street Verona, PA 15147
Address Services Requested
WORSHIP SERVICE SUNDAYS
9:00 A.M.
Holy Eucharist Rite II How to contact The Rev. David Rucker (412) 828-1126 Home (412) 251-8474 Cell [email protected]
Label
|
<urn:uuid:bb7fe31c-422f-4924-82bb-8b60aa931c98>
|
CC-MAIN-2017-34
|
http://www.allsaintspittsburgh.org/newsletter/SA_April_2012.pdf
|
2017-08-17T05:42:24Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-34/segments/1502886102967.65/warc/CC-MAIN-20170817053725-20170817073725-00079.warc.gz
| 467,928,181
| 5,044
|
eng_Latn
|
eng_Latn
| 0.98799
|
eng_Latn
| 0.999349
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1168,
4332,
7414,
12324,
16578,
17943,
20678,
21238
] |
Performance Evaluation
For Use by All Full-time Employees
This instrument aims to measure an employee's aptitude and performance. Your careful evaluation provides insight to needed improvements that fulfill both department and overall objectives of SBTS.
Employee Name:
Title:
Dept.
Supervisor Name:
Title:
Time Under Current Supervisor:
PERFORMANCE RATING SCALE
Performs with Excellence
Performs Satisfactorily
3 Exceeds expectations. Contributions impact the entire institution and community. Deserving of superior recognition.
2 Meets expectations for position requirements and standards. Viewed as a reliable and meaningful contributor.
JOB KNOWLEDGE AND DEVELOPMENT:
Demonstrates technical and professional knowledge and ability. Acquires and integrates new skills and knowledge to enhance SBTS operations and image.
3 2 1
QUALITY OF WORK:
Accomplishes tasks and concerns for all areas involved; vigilant and accurately checks processes and tasks. Strives to increase efficiency, and create professional deliverables.
QUANTITY OF WORK:
Uses systematic methods to accomplish more in less time. Consistently meets all deadlines. Avoids confusing activity and organizes effectively to achieve greater results.
COMMUNICATON:
Leading others to a clear understanding and desired outcomes. Ensures timely delivery of the right information to the right audience. Prudently handles sensitive and confidential information.
RELIABILITY:
Dependable, completing projects on time. Trustworthy, persistent, resilient, and effectively handles the right information to the right audience. Prudently handles sensitive and confidential information.
INITITIATIVE AND CREATIVITY:
The ability to plan work and to go ahead with a task without being told every detail; demonstrates ability to make constructive suggestions.
Needs Improvement
1 Does not meet expectations, performance is less than required. Must take corrective action to improve their contribution. Support any "4" ratings on the back of this form.
3 2 1
3 2 1
3 2 1
3 2 1
3 2 1
3
2
1
DECISION MAKING AND JUDGMENT:
Makes sound decisions. Bases decisions on fact rather than emotion. Takes into consideration impact of decisions on others, SBTS resources and values.
CUSTOMER SERVICE ORIENTATION:
Delivers an outstanding customer experience by satisfying customer needs and harmoniously building long-term relationships. Makes good things happen for others.
Please support any ratings of "4" (Needs Improvement) with an itemized plan for improvement in the specific area of weakness – using the back of this form.
ATTENDANCE AND PUNCTUALITY:
Demonstrates faithfulness with scheduled hours of operation. Represents one's self in a positive and professional manner consistent with SBTS core values.
3 2 1
3 2 1
3 2 1
SUPERVISOR: Please provide additional comments on performance, accomplishments and objectives
Performance Evaluation
Employee Acknowledgement
I understand that this performance evaluation is not an employment agreement or contract. As an employee of The Southern Baptist Theological Seminary, I am expected to participate in various activities; to interact and work cooperatively to assist students, staff and faculty and the community in the accomplishment of various goals; to represent myself and SBTS in a positive, professional manner consistent with the core values; and to safeguard sensitive and confidential information from intentional and unintentional disclosure.
I am expected to maintain a current working knowledge of policies, procedures and guidelines necessary to answer work-related questions and to provide assistance to students, staff and faculty and the general public in a timely and courteous manner. I am also expected to perform other duties as may be assigned by my supervisor and to contribute to the team efforts of the department and to assist SBTS in achieving its strategic goals. I must abide by all laws, SBTS policies and guidelines. Further, I understand that I may request a copy of such policies, procedures and guidelines from my supervisor, area Vice President, Department Head or the Office of Human Resources, or access such information on Inside Southern.
My signature indicates that I and my rating supervisor have reviewed the contents of this evaluation and that I have received a copy.
Employee Printed Name
Employee Signature
Date
Supervisor Printed Name
Supervisor Signature
Date
Reviewer Printed Name
Reviewer Signature
Date
|
<urn:uuid:477e5c45-69ea-4cfe-bde8-b074b6410e7b>
|
CC-MAIN-2018-13
|
http://inside.sbts.edu/wp-content/uploads/2009/05/Performance-Eval-1314.pdf
|
2018-03-18T04:00:42Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-13/segments/1521257645513.14/warc/CC-MAIN-20180318032649-20180318052649-00556.warc.gz
| 144,175,856
| 891
|
eng_Latn
|
eng_Latn
| 0.988248
|
eng_Latn
| 0.988608
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2081,
2919,
4519
] |
Natural Resources Conservation Service P.O. Box 2890 Washington, D.C. 20013
_________________________________________________________________________________________________________
NATIONAL HANDBOOK OF CONSERVATION PRACTICES 450 − NHCP NOTICE 163
September 1, 2015
Purpose. This notice transmits new or revised national Conservation Practice Standards (CPSs), along with an updated index, for insertion into the National Handbook of Conservation Practices (NHCP). In addition, notes are included to highlight key changes made to each document.
Effective Date. This notice is effective upon receipt.
Explanation of Changes. New or revised national CPSs are as follows:
Animal Mortality Facility (Code 316) - Criteria for catastrophic animal mortality has been removed and place in new standard Emergency Animal Mortality Management (368). The information provided on composting has been expanded. Language was changed to improve the readability of the standard.
Channel Bed Stabilization (Code 584) - The proposed changes provide additional clarification regarding the conditions where the practice applies, general criteria, considerations, and technical references.
Contour Orchards and Other Perennial Crops (Code 331) - Removed wind erosion as one of the purposes and the technology addresses only sheet and rill erosion from water. Provided edits to the purposes to align with the NRCS list of natural resource concerns. Added the criteria for additional temporary erosion control measures on sites that are disturbed. Reduced the allowable contour row grade from 10% to 4%. Added criteria for inward sloping benches to improve sediment trapping on the slopes. Added minor edits throughout the standard to improve clarity.
Controlled Traffic Farming (Code 334) - This is a new conservation practice where heavy axle loads are confined to designated lanes or tramlines that will cover no more than 33% of the surface area of the field. The primary purpose is to reduce soil compaction.
Denitrifying Bioreactor (Code 605) - This proposed National Standard is based on the Interim Standards from Illinois and Iowa. These States have been using and refining this interim standard
DIST: S, R, L, and National Center Director
since 2009. As the Interim Standards are revised each year that new data are available, this summary of changes is brief.
Emergency Animal Mortality Management (Code 368) - This is a new conservation practice standard defined as a means or method for the management of animal carcasses from catastrophic mortality events.
Field Operations Emissions Reduction (Code 376) - This is a new conservation practice standard to address air particulate emissions (PM10 and smaller), especially in designated air quality impaired zones. The standard provides criteria to reduce emission of particulate matter from field operations primarily from tillage and harvest operations.
Forest Stand Improvement (Code 666) - The agency added new language to the definition: "…to achieve a desired future condition or obtain ecosystem services." Two purposes that refer to forest products are deleted because they do not refer to an environmental benefit. Purposes that refer to renewable energy systems and aesthetics and recreation are moved to "Considerations" because they are not primary purposes for this practice. NRCS changed "Conditions where Practice Applies" from "All Forest land", with exceptions for some agroforestry practices to "All land where the quantity and quality of trees can be enhanced." Under "General Criteria Applicable to All Purposes" NRCS changed the emphasis from silvicultural systems to achieving desired future conditions by altering the species composition or tree density. "Additional Criteria to Improve and Sustain Forest Health and Productivity" are added. Several new "Considerations" were added including descriptions of silvicultural and carbon sequestration options. Several new references were added.
Herbaceous Wind Barriers (Code 603) - The purpose and criteria to enhance snow deposition was removed because the vegetation during the winter period is not conducive to uniform snow deposition. Minor edits were made throughout the standard to improve clarity. Increased the criteria for barrier height for wind erosion period to 1.5 feet from 0.5 feet.
Irrigation System, Microirrigation (Code 441) - The purpose of reduced energy use has been removed. It would not be the primary purpose of planning a microirrigation system. There are some minor editing changes.
Karst Sinkhole Treatment (Code 527) - The proposed changes provide additional clarification regarding the conditions where the practice applies, general criteria, sinkhole treatment/closing and considerations.
Open Channel (Code 582) - The agency refined the definition, modified criteria, added considerations, updated requirements for plans and specifications, and updated requirements for operation and maintenance.
Pond (Code 378) - The agency refined the definition, modified criteria, updated considerations, updated requirements for plans and specifications, and updated requirements for operation and maintenance.
Roofs and Covers (Code 367) - The definition for the Roofs and Covers practice added agrichemical handling facilities to the waste management facilities specified. Criteria was added to include treated wood products and the type of associated fasteners and a table for geomembrane materials specified by cover purpose. Criteria was also added for appurtenant equipment associated with a cover over liquid manure storage facilities for the safe collection, conveyance, treatment or utilization of biogases.
Sprinkler System (Code 442) – Added "in absence of manufacturer's recommendations for pressure regulator operation, ensure line pressure upstream of regulators is at least 5 psi above rated regulator pressure". There are also some minor editing changes.
Surface Drain, Field Ditch (Code 607) – The agency changed the definition for clarity, along with a purpose and criteria added to allow use of this practice to collect irrigation tailwater for reuse.
Surface Drain, Main or Lateral (Code 608) – The agency removed the reference to the ambiguous phrase 'water management system' in the purpose to improve clarity. Criteria was added allowing the use of this practice as a component to collect irrigation tailwater, for use in a Tailwater Recovery System, (Code 447) along with a reference to the two-stage channel design process in NRCS National Engineering Handbook, Part 654.1005 in areas where increased channel stability is required.
Vegetated Treatment Area (Code 635) - This standard was edited to improve clarity. Additionally criteria was added to address pretreatment and erosion control measures and remove minimum flow length which affected design of small facilities.
Vegetative Barrier (Code 601) - The purpose and the criteria to use the vegetative barrier to control concentrated flow erosion was removed due to poor performance. Added minor edits throughout the standard to improve clarity.
Vertical Drain (Code 630) – The agency incorporated plain language into this practice standard by adding verbiage to address potential negative effects on underground habitat, in conditions
where practice applies. NRCS also added a statement in plans and specifications, focusing on documenting specific site characteristics, in relation to potential contamination sources. Finally, the agency added a references section with National Engineering Handbook 633, Chapter 26, gradation Design of Sand and Gravel Filters.
Filing Instructions. If a hardcopy of the NHCP is maintained, replace the "Contents" (pages i through vi, dated June 2015) with the revised pages found at http://directives.sc.egov.usda.gov/viewerFS.aspx?hid=22299
Remove and archive, as appropriate, the following existing practice standards:
Animal Mortality Facility (Code 316), dated September 2010
Channel Bed Stabilization (Code 584), dated, September 2010 Contour Orchards and Other Perennial Crops (Code 331), dated January 2010 Forest Stand Improvement (Code 666), dated May 2011 Herbaceous Wind Barriers (Code 603), dated January 2010 Irrigation System, Microirrigation (Code 441), dated May 2011 Karst Sinkhole Treatment (Code 527), dated September 2010 Open Channel (Code 582), dated October 1987 Pond (Code 378), dated May 2011 Roofs and Covers (Code 367), dated September 2010 Sprinkler System (Code 442), dated April 2013 Surface Drain, Field Ditch (Code 607), dated September 2011 Surface Drain, Main or Lateral (Code 608), dated September 2009 Vegetated Treatment Area (Code 635), dated May 2008 Vegetative Barrier (Code 601), dated January 2010 Vertical Drain (Code 630), dated September 2010
This notice, and each of the conservation practice standards included with this notice, can be
6849
accessed electronically through the NRCS Web site at http://www.nrcs.usda.gov/wps/portal/nrcs/detailfull/national/technical/cp/ncps/?cid=nrcs143_02
Federal RegisterNotice.
NRCS published two notices to solicit public comments about how to improve specific agency conservation practice standards in the Federal Register on May 5, 2015, and July 21, 2015, for a 30-day comment periods. Comments from the public were accepted during the comment period.
Guidance to the States and the Pacific Islands and Caribbean Areas for complying with the provisions of the 1996 Farm Bill that require advertising for public comment prior to revising NRCS State-level technical guides can be found in Title 450, General Manual, Part 401, Subpart B, Section 401.19.
NOLLER P. HERBERT
Director
Conservation Engineering Division
TERRELL ERICKSON
Director
Ecological Sciences Division
|
<urn:uuid:004247e7-9980-4577-829d-5ad9b268aca8>
|
CC-MAIN-2022-49
|
https://directives.sc.egov.usda.gov/OpenNonWebContent.aspx?content=37702.wba
|
2022-12-04T09:01:00+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-49/subset=warc/part-00289-a0906200-461b-4808-9b94-6c53daf73f61.c000.gz.parquet
| 254,063,060
| 1,996
|
eng_Latn
|
eng_Latn
| 0.81486
|
eng_Latn
| 0.98695
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2246,
4764,
7294,
9647,
9769
] |
DOF Daily WildFire Update
June 28, 2021
Quick Hits
* Division of Forestry fire program managers are reviewing the DOF workforce to determine what positions are essential to continue operations in the event of a temporary government shutdown on July 1 due to not having a budget in place for FY22. Division leadership is formulating a continuity of operations plan in the event of a shutdown.
* Biggest news of the weekend was the Brock Road Fire in a residential area about 8 ½ miles southeast of Fairbanks. The fire grew from one-half acre to an estimated 50 acres in 2 hours. An aggressive aerail assault ensued with multiple aircraft – 2 air tankers, 4 water scoopers and 2 helicopters – dropping retardant and water around and on the fire. The heavy aerial attack knocked the fire down and more than 70 firefighters were mobilized on the ground to contain the fire. The fire was 95% contained as of Monday morning. See below for more details.
* The intensity with which the Brock Road fire burned and spread was a bit of a surprise to fire managers, especially considering the lack of wind to push the fire. The fire's tenacity is indicative of how things are drying out in the Interior following several days of hot, dry weather. Fire indices are ramping up and deeper fuels are beginning to dry out, making fires more resistant to control. This trend will likely continue until weather moderates.
*
The Brock Road Fire was reported by a private drone operator flying a drone in the area. The drone pilot reported the fire and then grounded his drone to allow firefighting aircraft to work safely in the area. The DOF information office is trying to track down the drone operator to use him as a model example of what drone operators should do in the event of a wildfire. Stay tuned.
* The lack of lightning in recent days has reduced the number of new wildfires being reported. There have been only 108 lightning strikes recorded across Alaska in the last three days and only about 2,700 since June 23. Very little lightning is expected across the Interior in the next few days, leaving humans as the primary ignition source for any new fires.
* The area of biggest concern for new starts is in the upper Yukon Flats and central and eastern Interior. Those areas have the highest current indices and warm, dry weather is expected to continue in those areas through this week before cooler, wetter weather potentially moves in this weekend.
* Alaska surpassed the 70,000-acre mark for number of acres burned this fire season on Sunday, still a very low number for this late in the season but it is climbing. Sunday's increase of more than 11,000 acres was the largest one-day increase so far this season.
* The 29,818-acre Dry Creek Fire south of Manley Hot Springs is a large reason for the increase in acreage. The fire has been much more active with the recent warm, dry weather. Winds pushed smoke from the Dry Creek Fire into Fairbanks over the weekend and on Monday, prompting calls to the DOF information office. The Dry Creek Fire is in the BLM Alaska Fire Service protection area and is being staffed by 52 personnel as of Monday morning. The main management emphasis is point protection of Native allotments and any cabins in the fire area.
* Heavy rain in northwest Alaska has tempered fire danger and active fires burning in that part of Alaska. Likewise, cooler, cloudier conditions and occasional precipitation has reduced fire danger in much of Southcentral Alaska.
* Burn suspensions remain in effect for Delta Junction, Fairbanks and Tok today due to the hot, dry and windy conditions, and limited firefighting resource availability.
* Once again, DOF did a good job of sharing resources between Areas and incidents to support initial attack efforts on the Brock Road Fire outside Fairbanks. The White Mountain Crew that was working on the Haystack Fire north of Fairbanks was peeled off that fire and sent to the Brock Road Fire. The Baker River Hotshots, who were pre-positioned in Delta Junction, were also sent to the new incident. Tanker540 from Palmer was also brought in to assist with retardant drops.
* There are currently 262 firefighting personnel from the Lower 48 working in Alaska. That number will drop by about 100 today as the five Lower 48 Type 1 and Type 2 initial attack crews that were brought up on June 17 return home. The five crews are scheduled to fly back to the Lower 48 on Tuesday due to increasing demand for crews in the Lower 48 and decreasing fire activity in Alaska. The crews had originally been scheduled for a 30-day assignment in Alaska but increasing activity in the western U.S. and decreasing activity in Alaska prompted the decision to reel them back to the Lower 48.
* The Alberta (Canada) scooper group consisting of four water-scooping aircraft and a lead plane that came to Alaska a week ago to assist with wildfire activity here were released and headed back to Canada on Saturday due to increasing fire potential in their home region. The scooper group was ordered through the NW Compact and we were able to work out some of the mobilization bugs so the process should run smoother next time.
* As of this morning, the Division of Forestry is at a Preparedness Level of PL3 (out of 5), the BLM Alaska Fire Service is at PL3, the U.S. Forest Service is at a PL2 and the Alaska Interagency Coordination Center is at PL3.
* The National Preparedness Level remains at PL 4 with more than 7,800 firefighting personnel assigned to incidents across the western U.S. The Pacific Northwest is in the throes of a record-breaking heat wave with triple digit temperatures recorded in northern California, Washington, Oregon and Idaho. The hot, dry weather could lead to new fire starts that could increase competition for resources nationwide.
Brock Road Fire (#294)
Acres: 21
Containment: 95%
Personnel assigned: 39 (will increase by 20 today with
Fairbanks #1 crew mobilizing).
Resources assigned: 3 crews – 1 Type 2IA; 2 Type 2.
Location: 8.5 miles SE of Fairbanks
Weather: Continued dry. Cloudy and slightly cooler with highs in the high 60s to low 70s.
* Fire reported by private drone operator flying a drone in the area.
* Crews have a saw/dozer line and hose line around the entire fire and are working to mop it up. Crews conducted a grid 200 feet out from the perimeter in the unburned area to check for hot spots and found one hot spot outside the line that had previously been identified.
* Fire was 95% contained as of Monday morning.
* Fire grew rapidly even without much wind on it, a sign that things are drying out. Fire reportedly grew from one-half acre to 50 acres in two hours, prompting the heavy air attack. Acreage was later reduced to 21 acres.
* Quick, aerial response with multiple aircraft dropping retardant and water helped keep fire from growing more than it did. Two air tankers, four water
Top photo taken during initial attack around 3:45
following the aerial assault. Photos by Tim p.m. and bottom photo taken at around 6:30 p.m.
scoopers and two helicopters were dropping retardant and water.
* Fire was human-caused and is under investigation.
* Alaska State Troopers responded and closed off roads in the area for public and firefighter safety within 1 ½ hours of fire being reported.
* Will be trying to track down drone pilot who reported fire to illustrate how he called in the fire and then got his drone out of the way so firefighting aircraft could operate safely. He was a model drone operator and this is a good way to illustrate to the public how drones can be a benefit if used wisely.
Haystack Fire (#196)
924
Acres:
Containment: 100%
Personnel assigned: 227 (will be dropping dramatically in next 2 days)
Resources assigned:
Location: 18 miles N of Fairbanks
Weather: Continued dry. Cloudy and slightly cooler with highs in the high 60s to low 70s.
* Fire was declared 100% contained on Friday night but several days of mop up remain to ensure it doesn't flare up and threaten to cross containment lines.
* Alaska Type 2 incident management team will turn fire back over to Fairbanks Area Forestry on Thursday morning and fire will be placed in Monitor status.
* A drone equipped with infrared technology is being used to fly over the fire area to search for hot spots so crews can focus their attention on extinguishing those sources of heat. Use of the drone helps reduce expensive helicopter time and reduces risk to firefighters on the ground and in the air.
* Alaska IMT is having a strategic planning meeting today with agency administrators about the end state of the fire and recommendations to the Fairbanks Area for monitoring the fire.
* Estimated cost to date is $3,916,433.
* Between June 18 and 26, an estimated 155,000 pounds of cargo and 451 passengers have been transported in 40.5 hours of flight time to support Haystack Fire suppression efforts.
Munson Creek Fire (#235)
Acres: Estimated 329
Containment: 0%
Personnel assigned: 20
Resources assigned: Type 3 incident commander, Yukon Crew (18 persons) and one engine from Fairbanks Area Forestry.
Location: In a Limited protection area 50 miles NE of Fairbanks and 4 miles south of Chena Hot Springs in Chena River State Recreation Area.
Weather: Continued dry. Cloudy and slightly cooler with highs in the high 60s to low 70s.
* Warmer temperatures and sunshine perked up fire activity this weekend as unburned pockets of spruce trees within the perimeter burned. More smoke was produced, but the perimeter of the fire did not expand significantly. Cool temperatures and higher humidity reduced fire activity overnight.
* Firefighters continue to monitor fire activity from a hill behind Chena Hot Springs and from the Angel Rocks to Chena Hot Springs Trail.
* As the fire creeps northward it will likely reach an adjoining Full Management zone that encompasses cabins, homes and the Chena Hot Springs Resort. At that time firefighters will actively employ fire management measures to minimize the spread of fire further into the Full Protection zone. Fire managers don't anticipate the fire threatening the hot springs or cabins at the end of Chena Hot Springs Road.
* Public information officer was assigned on Friday to help with messaging to the public. PIO reported talking to XXX people at Angel Rocks trailhead and Chena Hot Springs over the weekend to provide them information about the fire. Information boards have been set up at the Angel Rocks trailhead and Chena Hot Springs to provide info for the public.
* Estimated cost of the fire to date is $46,245.
About Mountain Fire #193
Acres: 2,179
Containment: 100%
Personnel assigned: 35.
Location: 6 miles south of McGrath along the east bank of Kuskokwim River.
Resources assigned: Pioneer Peak Hotshot Crew, local boat operators, 1 finance section chief, 2 plans section chief.
Weather:
* Fire was declared 100% contained at end of shift on Friday, June 25.
* A drone with infrared technology was used Saturday and Sunday to fly over the fire to identify and map any remaining hot spots.
* Fire will transition from Type 3 team to Type 4 team today with Pioneer Peak Hotshots remaining in place to seek out and destroy any hot spots found by the drone flights where it is safe to do so.
* Eight smokejumpers demobilized at the end of shift Sunday.
* Estimated cost to date is approximately $1,500,000.
Fire Information Resources
* www.akfireinfo.com – Word Press blog with daily fire updates and other information
* https://blm-egis.maps.arcgis.com/apps/dashboards/index.html#/a23a625f4d18412ea13cffeefcbe7f5e - Alaska Interagency Coordination Center dashboard with all sorts of nifty fire information.
* https://fire.ak.blm.gov/content/aicc/sitreport/AICC%20Situation%20Report.pdf – Daily Alaska wildfire situation report from Alaska Interagency Coordination Center with daily rundown of fire activity in Alaska.
* https://fire.ak.blm.gov/ - Alaska Interagency Coordination Center
* https://www.facebook.com/AK.Forestry - Division of Forestry Facebook page. All info that is posted to akfireinfo is posted here as well, along with other fire information. Info from both DOF and AFS is posted here.
* https://www.facebook.com/BLMAFS -BLM Alaska Fire Service Facebook page. All info that is posted to akfireinfo is posted here as well, along with other fire information. Info from both DOF and AFS is posted here.
* https://www.nifc.gov/nicc/sitreprt.pdf - Daily national situation report from the National Interagency Coordination Center with a rundown of fire activity in all regions of the United States and Canada.
|
<urn:uuid:d8812b64-fbbf-4333-92e3-f84630d98c91>
|
CC-MAIN-2021-39
|
http://forestry.alaska.gov/Assets/pdfs/dailywildfireupdates/DOF%20daily%20wildfire%20update%20for%20June%2028.pdf
|
2021-09-21T18:10:21+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-39/subset=warc/part-00141-f465d820-0362-4c4c-a396-c69f5fd24cc4.c000.gz.parquet
| 25,512,049
| 2,729
|
eng_Latn
|
eng_Latn
| 0.998833
|
eng_Latn
| 0.999111
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1405,
5806,
7038,
9339,
12604
] |
Sul Ross State University
International Business
Department of Business Administration
GBA 4355:001
Spring 2017
MW 11:00-12:15, BAB 305
Course Title: International Business
Professor: Dr. Pamela Marett
Phone: (432) 837-8071
Email: [email protected]
Office Hours: Office Hours: MWF Noon to 4
Also available at other times by drop-in or appointment
Course Text:
International Economics by Robert J. Carbaugh. Cengage, 13 th ed. or any other edition.
Course Description:
The aim of this course is to familiarize the student with business issues especially germane to international business. The goal is to alert and awaken the student to the types of issues they are likely to encounter as domestic managers (subsidiary or HQ) in an organization with international interests, as expatriate managers, and/or as third country national managers.
Student Learning Outcomes:
SLO 2 Communicate business information through written, oral and other delivery processes
SLO1 Analyze and solve business problems across major business functions, using fundamental business principles and strategies
SLO 3 Identify and discuss the impact of ethical and social responsibility issues in business
Student Learning Objectives – upon completion of the course, the student shall:
Acquire an ability to assess a country's political, economic, and legal systems and interpret the significance of these systems for business.
Learn the foundations of modern trade theory.
Appreciate the benefits of international free trade.
Know the political and economic arguments of intervention in free trade.
Be fluent with regard to the reasons for and the rise of regional economic integration.
Understand the implications of the balance of payments.
Possess the ability to evaluate foreign exchange and exchange rate systems.
Three Tests
Three tests are scheduled. The dates and material covered appear in the course calendar. A student's highest two test grades are averaged for the final grade in the course.
This means if a student misses a test, for whatever reason, this test will be entered as a 0. As the lowest (hopefully) test score it will not be included in the final two.
If a student knows that he/she will be absent on test day due to a sanctioned University activity, the student must let me know at least a week prior to the test date so that alternate arrangements can be made.
University Policies
All are applicable.
Students seeking accessibility services or other accommodations, per the Americans with Disabilities Act, are urged to contact Mary Schwartze, M. Ed., L.P.C., in Counseling and Accessibility Services, Ferguson Hall, Room 112. Mailing address is P.O. Box C-122, Sul Ross State University, Alpine, Texas - Telephone: 432-837-8691. Email [email protected] .
Week Date
GBA 4355 International Spring 2017*
| 1 2 3 4 5 6 7 8 | | 18-Jan | | Introduction | |
|---|---|---|---|---|---|
| | | | 23-Jan | | Exercise Treasure Island |
| | | | 25-Jan | | Exercise Treasure Island |
| | | 30-Jan 1-Feb | | Ch 3 Comparative Advantage Ch 3 Comparative Advantage | |
| | | 6-Feb 8-Feb | | Ch 4 Tariffs Ch 4 Tariffs | |
| | | 13-Feb 15-Feb | | Ch 5 Nontariff Barriers Ch 5 Nontariff Barriers | |
| | | | 20-Feb | | Test 1 Chs 3,4,5 |
| | | 22-Feb | | Ch 6 Trade Regulations | |
| | | 27-Feb | | Ch 6 Trade Regulations | |
| | | | 1-Mar | | Exercises Trade Agreements and Climate Change |
| | | 6-Mar 8-Mar | | Ch 8 Trade Agreements Ch 8 Trade Agreements | |
| | 9 | | Spring Break | | |
| 10 11 12 13 | | 20-Mar 22-Mar | | Ch 10 Balance of Payments Ch 10 Balance of Payments | |
| | | | 27-Mar | | Test 2 Chs 6,8,10 |
| | | 29-Mar | | Ch 11 Foreign Exchange | |
| | | 3-Apr 5-Apr | | Ch 11 Foreign Exchange Ch 11 Foreign Exchange | |
| | | 10-Apr 12-Apr | | Ch 12 Exchange-Rate Determination Ch 12 Exchange-Rate Determination | |
| | | | Good Friday | | |
| 14 | | 17-Apr 19-Apr | | Ch 15 Exchange-Rate Systems Ch 15 Exchange-Rate Systems | |
Topics, Text Assignments, and Test Dates
| 21-Apr | | | |
|---|---|---|---|
| 24-Apr | | Ch 15 Exchange-Rate Systems | |
| | 26-Apr | | Test 3 Chs 11,12, 15 |
|
<urn:uuid:04d9dad5-c444-4774-86ba-0b0c3a2a57fc>
|
CC-MAIN-2017-30
|
http://srinfo.sulross.edu/syllabi/2017/2/PS_BA_GBA_4355_001.pdf
|
2017-07-20T14:37:59Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549423222.65/warc/CC-MAIN-20170720141821-20170720161821-00525.warc.gz
| 301,839,969
| 1,174
|
eng_Latn
|
eng_Latn
| 0.733136
|
eng_Latn
| 0.990359
|
[
"eng_Latn",
"eng_Latn",
"dag_Latn",
"unknown"
] | false
|
rolmOCR
|
[
1912,
2877,
4167,
4293
] |
Barry Lawrence Ruderman Antique Maps Inc.
7407 La Jolla Boulevard La Jolla, CA 92037
(858) 551-8500
www.raremaps.com [email protected]
(First Geological Map of America) Carte minéralogique ou l'on voit la nature des terreins du Canada et de la Louisiane [included in] Premieres suite des memoires de mathematique et de physique, tirés des registres de l'academie royale des sciences, de l'année MDCCLII
Stock#: 61433
Map Maker: Schreuder / Mortier Jr.
Date:
1756
Place:
Amsterdam
Color:
Uncolored
Condition: Good
Size:
12 x 10.5 inches
Price:
SOLD
Description:
"The Earliest Geological Map of America" - Roy Porter
This book comprises the memoirs of Jean-Étienne Guettard presented before the National Academy of Sciences 1752 regarding the geology of Canada, as well as maps by Philippe Buache based on this work, printed in 1756. The main text compares the geologies of Canada and Switzerland and is remarkable for showing possibly the earliest example of global stratigraphic correlation. Interestingly, neither Guettard nor Buache visited North America before publishing this work. While the ideas behind the text would become outdated as soon as half a century later, they represent a critical step in the geological scientific process.
The text describes the mineral and resource riches of Canada. It would have been an important text in Europe to show how important the North American colonies could be in helping to further enrich their colonizers. Published two years before the onset of the French and Indian War, it is likely that colonial powers would have seen these mineral riches as a reason for expansion.
This work includes a rare example of the oldest geological map of North America as accepted by historians. While rudimentary, it has all the hallmarks of a geological map. This map represents an
Stock#: 61433
Barry Lawrence Ruderman Antique Maps Inc.
7407 La Jolla Boulevard La Jolla, CA 92037
(858) 551-8500 [email protected] www.raremaps.com
(First Geological Map of America) Carte minéralogique ou l'on voit la nature des terreins du Canada et de la Louisiane [included in] Premieres suite des memoires de mathematique et de physique, tirés des registres de l'academie royale des sciences, de l'année MDCCLII
alternative way of mapping geology than that popularized by William Smith and accepted to the present day, with this version being more akin to how drift lithologies are presently mapped. In addition, the work includes the earliest engravings of North American Ordovician fossils. As such, this work is a key text in the progress of science in North America and throughout the world.
The oldest geological map of North America
Historians of science define the key criterion of a geological map as one which extrapolates the position of strata (rock types, or "earths" in this work) without having seen them at surface. This is in contrast to maps of resource distribution, which may show the positions of certain quarries or outcrops, but make no inference as to what lies between them. While earlier maps of North America do the latter, as in Lewis Evan's maps of 1749, 1751, and 1755, they make no claims to extrapolate the positions of rocks not seen at the surface. As such, Guettard and Buache's map is considered the oldest geological map of North America.
The different rock types mapped in this work are: a "bande sabloneuse," a "bande marneuse," and a "bande schiteuse métallique." Respectively, these cover: sands, marls and sandstones from the continental shelf; limestones with no metal other than iron from coastal areas; and finally shales, slates, sandstones, schists, granites, etc. in inland areas poor in fossils but rich in metallic deposits and hot springs. While we now know that such strata are unlikely to represent cogenetic groupings, one could imagine where Guettard got this idea. His only resources for the offshore areas were Caribbean islands rich in sand and marls. Along the North American coast, limestones are very common, and fossils abundant though ore deposits rare. Inland, orogenies and other processes have resulted in highly variable rock types, abundant ore deposits, and hot springs. In addition, the samples which Guettard worked with were limited and generally conformed to the above groupings when classed according to location. As this data seemed to match Guettard's theory of rock formation (discussed in the next paragraph) he extrapolated these bands to large areas in a way we now know to be incorrect.
This map includes representations of the theory of "Neptunism," now attributed to Abraham Werner, which seeks to explain the deposition of different rock types through a shrinking ocean. In this theory, a global ocean with a heterogeneous seafloor precipitated certain rocks at different stages. The differences in the three main periods of rocks deposited correspond to changing conditions of the ocean, which is taking to influence a wide variety of factors, such as the crystallinity of rocks or their fossil contents. Attributing this map to a version of that theory, the "bande schiteuse métallique" would be from the
Barry Lawrence Ruderman Antique Maps Inc.
7407 La Jolla Boulevard La Jolla, CA 92037
(858) 551-8500 [email protected] www.raremaps.com
(First Geological Map of America) Carte minéralogique ou l'on voit la nature des terreins du Canada et de la Louisiane [included in] Premieres suite des memoires de mathematique et de physique, tirés des registres de l'academie royale des sciences, de l'année MDCCLII
primary (first) period, and represent the oldest rocks deposited during calm seas. The "bande marneuse" would represent a transitional (second) period, in which some of the properties of both the primary and the floetz (third) period are preserved. Floetz refers to the conditions of the modern oceans, responsible for the "bande sabloneuse" and deposited in chaotic modern oceans.
In addition to the three bands of lithologies, the map shows the locations of 39 different types of rocks, ores, and geological processes. These reflect some key resources of the period, such as copper-bearing rocks, as well as more general observations, such as the location of hot springs. One label, "tierre tremblante," may even record the position of earthquakes.
Canada and Switzerland: An unusual comparison
Guettard's memoir centers on comparing the mineralogies found in Canada and Switzerland. He commences by praising the riches of Canada, and then suggests that these riches may not be that different from those found in Switzerland. This latter country is only chosen as it is where he has the most personal geological experience. While at first a comparison between these two areas might appear preposterous without the benefits of modern geology, Guettard presents compelling reasons for why he thinks they are alike. The memoir notes that the samples of rocks and fossils that he had been sent were not dissimilar to those he has collected in Europe. In particular, Guettard uses fossil evidence to try and correlate stratigraphies, a method that was well ahead of his time.
While Guettard's underlaying theory on these rocks may have been very incorrect, his case for similar stratigraphies on either side of the Atlantic was very important in showing uniformitarianism of processes in space. He made the connection that since he was observing the same products, whether they be ore deposits, sedimentary rocks, or fossils in both areas, they must have been deposited by similar processes. This was an important proof of an idea held in various forms since Greek philosophers.
Guettard even hints at trying to correlate specific stratigraphies across the ocean. He suggested that the "bande marneouse" might extend through Greenland to Europe, basing this idea off his theory and fossil evidence. While the reasoning behind this idea was weakly founded, it is notable that this band would nearly follow the global outcrop of Caledonides. As such, this is likely the first example of intercontinental stratigraphic correlation.
Guettard structures his text by first presenting the mineralogies of the specific rocks he has been sent
Barry Lawrence Ruderman Antique Maps Inc.
7407 La Jolla Boulevard La Jolla, CA 92037
(858) 551-8500 [email protected] www.raremaps.com
(First Geological Map of America) Carte minéralogique ou l'on voit la nature des terreins du Canada et de la Louisiane [included in] Premieres suite des memoires de mathematique et de physique, tirés des registres de l'academie royale des sciences, de l'année MDCCLII
from North America, followed by his observations from Switzerland. He then compares the two, showing that the rock types and fossils in the two regions are similar. As such, this work is not that different than modern research which covers the same topics. This is not the first work by Guettard which seeks to compare the geologies of disparate regions; in a previous text he compared the granites of Egypt and France and shows that they are similar .
Early fossil lithographs from North America
This work includes several lithographs, which have been attributed by Wells to be the earliest fossil lithographs showing North American Ordovician fossils. Included are lithographs of two fish skeletons, a variety of bivalves, and two other structures which evade initial explanation. While these could be biogenic, further research would be needed to identify what exactly these final two sketches seek to represent.
Detailed Condition:
Main map: Staining around fold line. Book: 12mo. Modern maroon cloth. Title supplied in facsimile. 6 folding engraved plates and maps. Text excerpted from Premiere Suite des Memoires de Mathematique et de Physique... 1761.
|
<urn:uuid:f6c0d80f-bd3e-4c38-a00b-f7046a8294b1>
|
CC-MAIN-2021-17
|
https://www.raremaps.com/gallery/print/61433
|
2021-04-23T02:34:41+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-17/subset=warc/part-00155-74237c22-0523-49c6-9e5a-6b4aa471a042.c000.gz.parquet
| 1,064,987,316
| 2,166
|
eng_Latn
|
eng_Latn
| 0.976961
|
eng_Latn
| 0.987786
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1852,
5142,
8186,
9756
] |
Sociological Realms of Emotional Experience
Kathryn J. Lively
*Dartmouth College*
David R. Heise
*Indiana University*
Follow this and additional works at: [https://digitalcommons.dartmouth.edu/facoa](https://digitalcommons.dartmouth.edu/facoa)
Part of the Social Psychology Commons, and the Sociology Commons
**Dartmouth Digital Commons Citation**
Lively, Kathryn J. and Heise, David R., "Sociological Realms of Emotional Experience" (2004). *Open Dartmouth: Published works by Dartmouth faculty*. 424.
[https://digitalcommons.dartmouth.edu/facoa/424](https://digitalcommons.dartmouth.edu/facoa/424)
Sociological Realms of Emotional Experience
Author(s): Kathryn J. Lively and David R. Heise
Reviewed work(s):
Source: American Journal of Sociology, Vol. 109, No. 5 (March 2004), pp. 1109-1136
Published by: The University of Chicago Press
Stable URL: http://www.jstor.org/stable/10.1086/381915
Accessed: 17/02/2012 14:12
Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at http://www.jstor.org/page/info/about/policies/terms.jsp
JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected].
The University of Chicago Press is collaborating with JSTOR to digitize, preserve and extend access to American Journal of Sociology.
Sociological Realms of Emotional Experience
Kathryn J. Lively
*Dartmouth College*
David R. Heise
*Indiana University*
The authors examine self-reported emotional experiences of individuals in a large probability sample of Americans, using two theories in the sociology of emotions as lenses to apprehend social order in emotional processes. Viewing emotions as indicators of individuals’ positions in a three-dimensional affective space (e.g., Heise, Smith-Lovin, MacKinnon), the authors find emotional station correlates with a variety of social structural, circumstantial, and individual-level variables. Viewing emotions as the focus of emotion norms and emotion management efforts (e.g., Hochschild), the authors arrive at new postulates about how transformations of emotions can be achieved in social support groups and other types of social institutions. A further demonstration that emotions reflect multiple sociological realities develops through the examination of sex differences in emotional experience. The authors find that there are concrete though subtle sex differences in the experience, structure, transformation, and contextual significance of emotions. The analyses suggest complementarities between affect control and emotion management that may have been overlooked in other studies.
Concluding a review of societal evolution, Douglas Massey said, “Emotionality remains a strong and independent force in human affairs, influ-
---
1 The authors would like to thank Peggy Thoits, Brian Powell, Robert Sokol, and the participants of the social psychology seminar at Indiana University, Bloomington, as well as the participants of the first annual conference on research agendas in affect control theory. The authors would also like to thank the sponsors of the GSS (1996) Emotions Module and the *AJS* reviewers. This project was funded, in part, by the National Institute of Mental Health’s Training Program in Identity, Self, Role, and Mental Health (grant T32 MH14588) and by the Rockefeller Center at Dartmouth College.
© 2004 by The University of Chicago. All rights reserved.
0002-9602/2004/10905-0003$10.00
encing perceptions, coloring memories, binding people together through attraction, keeping them apart through hatred, and regulating their behavior through guilt, shame, and pride” (Massey 2002, p. 20). Massey called for increasing attention to emotionality in sociological theory and research, especially through the use of scientific approaches based on proven facts. In this article we advance that kind of program by examining self-reports of emotional experiences from individuals in a probability sample from the 1996 General Social Survey (GSS). We provide sociologists with new ways of thinking about emotion and how emotion can inform studies of social stratification, social conditions, and social trends. We also provide insight into how organizations transform emotions to motivate the behavior of individual participants.
Two theories from the sociology of emotions guide our analyses. Affect control theory (Heise 1979, 2002; Smith-Lovin 1990; MacKinnon 1994) posits that sentiments about role identities, behaviors, settings, and individual attributes and emotions interrelate through three dimensions of affect. As individuals seek experiences confirming their sentiments, they construct behavioral expectations for role identities, label or attribute character traits to people in order to comprehend deviance, and experience emotions that reflect successes and failures of the confirmation process.
The second theory—Arlie Hochschild’s (1979, 1983) delineation of how emotions reflect status hierarchies—proposes that individuals work to bring their feelings in line with culturally shared emotion norms. Organizations use this capacity by hiring individuals to do emotion work in order to market emotional displays that confirm particular status relationships. Emotion management also occurs in social support groups and psychotherapy.
These two theories (elaborated below) do not exhaust the important theoretical contributions within the sociology of emotions. However, they are among the cornerstones of this subdiscipline, and they both focus on relations between social structure and emotionality, offering complementary perspectives for scrutinizing data on individuals’ emotional experiences. We conduct multiple analyses with the GSS data in order to strengthen each theory individually and to explore complementarities that may have been previously overlooked. We then suggest a broader framework that unifies the theories in part.
**AFFECT CONTROL THEORY**
Emotions—along with identities, behaviors, settings, and attributes—theoretically are distinguished in terms of three universal dimensions of affective meaning (Osgood, May, and Miron 1975). *Evaluation* assesses the
individual’s sense that something is good versus bad, *Activity* indexes whether an entity seems lively versus quiet, and *Potency* indexes whether something is powerful versus powerless. Evaluation and activity constitute a standard two-dimensional model of emotionality (pleasantness and activation). The potency dimension arguably becomes a dimension of dominance-vulnerability in matters of emotion—Kemper (1978), for example, proposes that *gains versus losses* in relational power trigger feelings of *security versus fear* or anxiety.
Morgan and Heise (1988, p. 29) analyze the affective meanings of emotion words, find three dimensions, and conclude that “the circumplex [two-dimensional] model provides a poor differentiation between anger and fear, offering no framework that accounts for the difference between the emotions of fight and flight. A three-dimensional model provides this differentiation and offers an immediate and sensible explanation of the difference: the emergence of fury as opposed to terror depends on one’s sense of potency or dominance.” MacKinnon and Keating’s (1989) replication using Canadian data confirms that a three-dimensional structure underlies the meanings of emotion words.
Fisher et al. (1985) ascertain that the evaluation and activity dimensions are bases for distinguishing emotions and moods that actually are experienced, but the importance of the potency dimension in experienced emotion still requires verification. We will examine this matter.
Affect control theory’s empirically validated model of emotion (Heise and Weir 1999; Robinson 2002) posits that emotions reveal how an individual is faring in an interaction, both absolutely and relative to the individual’s role identity. For example, someone who realizes he looks foolish in an interaction will experience an unpleasant emotion, but the emotion will be even more unpleasant if the person has an esteemed role. Recurrent emotions reflect an individual’s station in life in terms of prevailing roles (like being a spouse) and ongoing processes (like getting a divorce).
Emotional stations might correlate with social structural variables and with circumstantial variables. For example, the pleasantness of predominant emotions might correlate with socioeconomic indicators that reflect individuals’ customary status and power (Kemper and Collins 1990; MacKinnon and Langford 1994). We will examine this possibility.
**EMOTION MANAGEMENT THEORY**
Demands to shape both the feeling and the expression of emotions operate in every kind of social venue. Hochschild’s (1983) classic analysis revealed that the airlines industry establishes and enforces corporate feeling norms
that reify status and gender stratification in order to market the resulting emotion product. Hochschild pioneered the idea that service workers have to engage in emotion labor; in doing so, they must suppress their genuine emotions in order to display corporately mandated feelings that are sold for profit. Romantic partners also downgrade or upgrade each other’s emotions in order to negotiate the structure of their relationship (Staske 1996, 1998, 1999). Specific kinds of transitions involved in emotion work have been studied: for example, changing contentment to happiness (Pierce 1995), calmness or embarrassment to anger (Sutton 1991), or shame to pride (Scheff 2001; Britt and Heise 2000).
Emotions can be managed by adjusting the emotion label, the situation in which the emotion occurs, the facial and gestural expressions associated with the emotion, or the emotion’s visceral component (Thoits 1990). Francis (1997), Thoits (1996), and Lively (2000) each demonstrate that management strategies may turn collaborative when private management fails because emotions are too extreme or too enduring or too remote from norms. Scheff (2001) discussed the importance of instigating intervening emotions—in particular, of generating anger when transforming shame to pride.
Some emotions are close, allowing easy transitions, while other emotions are distant, so that a transition requires social support and guidance. The correlation of emotion experiences over a short period, like a week, provides an empirical indicator of how much work individuals must do to move between feelings. If experiences with two emotions correlate positively across individuals, then the two emotions must be relatively accessible to one another. On the other hand, zero or negative correlations imply an absence of natural segueing, so that transition from one emotion to another may require movement through intervening feelings and social support. We will analyze correlations between primary emotions in order to see how movement between distant, mutually inhibiting emotions can be expedited by passage through transitional emotions.\(^2\)
**DATA**
The 1996 GSS (Davis and Smith 1996) employed a probability sample of 2,904 English-speaking adults residing freely in the United States. A random subset of 1,460 respondents was asked questions from an “emotions
---
\(^2\) Inferring transitions over time from cross-sectional correlations is similar to making causal inferences from cross-sectional data (see Heise 1975). However, we are not proposing that emotions cause one another; it is rather our position that an emotion can facilitate the experience of some emotions and inhibit others and that because of this relation some strings of emotions should occur more frequently than others.
module,” which consists of 90 questions regarding emotion, including experiences in the last week with 19 different emotion states, details of anger episodes, and methods of emotion management. We deal solely with the respondents who received the emotion module.
*Restless* was included as one of the 19 emotion states in the GSS questionnaire, but Ortony, Clore, and Foss (1987) categorize *restlessness* as a cognitive-behavioral state rather than as an emotion, so we removed that state from our analyses and focus on the 18 remaining emotions. These sample the populated regions of the three-dimensional emotion space ascertained by both Morgan and Heise (1988) and MacKinnon and Keating (1989), with the exception of the unpleasant-dominant-quiescent region containing emotions like bitter and disgusted. The 18 states also correspond to items in the Center for Epidemiological Studies Depression Scale (see Mirowsky and Ross 2003, 1995).
Respondents receiving the emotion module were given the following instruction for assessing recent emotional experiences:³ “Now I’m going to read a list of different feelings that people sometimes have. After each one, I would like you to tell me on how many days you have felt this way during the past seven days.” Appendix A lists the 18 phrases for emotions in this study, in order of presentation to respondents, and also gives the mean reported frequencies of the emotions for males and females,⁴ along with the standard deviations and skews of the distributions.
The table in appendix A (table A1) reveals that only positive emotions are reported to occur frequently.⁵ The standard deviations around 2.0 suggest that an interval of about four days is required to account for the reports of two-thirds of the respondents. For example, even though the male and female means for feeling contented both are just over 4.5, one has to consider answers of four, five, six, or seven days in order to include two-thirds of the respondents. The less frequent emotions have smaller
---
³ Some future surveys should try a shorter unit of time than a week for recalling emotions. The GSS 1996 data deal mainly with memorable emotions, because short flashes of feelings that respondents experienced six or seven days prior to being interviewed most likely were forgotten. Asking respondents to report on the emotions experienced in, say, the last 24 hours would reduce the recall problem, and the resulting data might yield somewhat different insights than those contained in the data on memorable emotions that we analyzed.
⁴ Many social scientists have theorized about temperamental differences between sexes (e.g., Mirowsky and Ross 1995; Simon and Nath 2004) but not about temperamental differences between races or classes. Therefore, in keeping with the existing literature, we report sex differences throughout this article, but do not systematically examine emotion variations for other forms of social stratification.
⁵ Respondents conceivably might be biased against admitting negative emotional experiences. Pending a methodological experiment to examine the issue, we assume the bias is small and proceed with our analyses.
standard deviations because answers of one day or no days were common with negative emotions. The skews indicate that nearly all of the distributions are asymmetrical, with distributions for frequent emotions compressed at the upper end because respondents could not report frequencies greater than once a day and distributions for infrequent emotions compressed at the lower end because respondents could not report frequencies with time units longer than a week.
Appendix B (table B1) provides the correlation matrix of the 18 emotions. Correlations for females are in the upper triangle and correlations for males in the lower triangle. Twenty-nine of the male-female differences in correlation are significant, which is about four times more than would be expected by chance.
RESULTS
Study 1: Affect Control Theory
We begin by examining the emotion items as elements distributed in a multidimensional emotion space in which individuals also have positions that are close to the emotions that they experience frequently and far from emotions that they experience infrequently. We use nonmetric multidimensional scaling (MDS; see Young and Hamer 1987) to unfold the emotion space, positioning the set of emotions in such a way as to best reproduce individuals’ reports regarding relative frequencies of their experiences with various emotions. Subsequently we create indexes to translate individuals’ reports about emotional experiences into measurements of the individuals’ positions in the affective space in order to examine how the individuals’ positions relate to social variables.
Identifying the dimensions of emotions.—MDS analysis finds the smallest space that can maintain the relative ordering of a set of distances between elements. We obtained Euclidean distances between emotions in a hyperspace where each respondent constitutes a separate dimension,\(^6\) separately for 600 males and 766 females with complete data on emotions.\(^7\) Then we computed MDS solutions for reductions to one, two, three, and
\(^6\) Our Euclidean distances between emotions, computed with standardized scores, are inversely related to correlations between the emotions. In particular, for both sexes, the set of correlations among emotions correlates $-0.995$ with the set of Euclidean distances, the slight difference between the two arising from curvilinearity in the relation.
\(^7\) Seven percent of males and of females—those with some missing data concerning their emotion experiences—were not included in any of the distance computations; the included and excluded respondents do not differ notably in age, race, or kinds of emotions reported.
four dimensional spaces. A two-dimension solution maintains the distances between emotions much better than a one-dimension solution, and a three-dimension solution is substantially better than a two-dimension solution. A four-dimension solution does not offer enough improvement to justify the additional complexity.\(^8\)
We obtained an overall three-dimension solution by treating the male and female distances as data from two individuals in an individual difference multidimensional scaling analysis (INDSCAL; see Schiffman, Yaing, and Reynolds 1981).\(^9\) The analysis produced a single solution applying to both sexes and functions under the assumption that any dimension might be expanded more for one sex than for the other.\(^{10}\)
An important theoretical question is: Do these three dimensions correspond to the emotion structure emerging from measurements of emotion meanings—the evaluation, potency, and activity (EPA) values given on the right side of table 1? The answer could not be obtained by simply comparing the INDSCAL results with the right side of table 1 because the INDSCAL results might be rotated away from the meaning structure, and the metric of the INDSCAL structure could be different than the metric of the meaning structure.
We determined the extent to which the two numerical structures correspond through a canonical correlation analysis relating the EPA values on the right side of table 1 to the MDS coordinates from the INDSCAL analysis. The canonical analysis produced three variates from the EPA values and three from the MDS coordinates; correlations between the EPA and MDS canonical variates were 0.97, 0.90, and 0.61, and all three canonical correlations were significant \((P < .05)\). The canonical correlation analysis thereby indicates that the experiential dimensions of emotion are largely the same as the meaning dimensions of emotion.
We used the canonical analysis to rotate and rescale the MDS results so as to optimally match EPA ratings, and these results are shown in the first three numeric columns of table 1. Comparing these numbers with the EPA values on the right side of table 1 reveals how the experiential structure of emotions agrees with, and differs from, the meaning structure of emotions.
---
\(^8\) Stress for one-, two-, three-, and four-dimensional solutions can be computed with Kruskal’s formula 1: males = 0.128, 0.083, 0.055, 0.053; females = 0.100, 0.060, 0.046, 0.042.
\(^9\) The male and female Euclidean distances correlate 0.967.
\(^{10}\) All three dimensions are important for both sexes, but females emphasize the first MDS dimension more than males do. Male weights are 0.90, 0.32, 0.25, and female weights are 0.97, 0.18, 0.13 for dimensions 1, 2, and 3, respectively.
The points of agreement are major, when one compares dimensions 1, 2, and 3 of experienced emotions to the EPA values.
1. Pleasant and unpleasant emotions are separated by a gap, suggesting that emotionality intrinsically is valenced (as argued previously by Ortony et al. [1987], Morgan and Heise [1988], and MacKinnon and Keating [1989]).
2. Pleasant emotions are distinguished by differing levels of activation (e.g., calm vs. excited) and so are unpleasant emotions (blues vs. outraged), which replicates a previous finding that pleasantness and activation are important dimensions of experienced emotions (Fisher et al. 1985).
3. Pleasant emotions involve only small differences in domination (proud versus calm), and no pleasant emotion intimates vulnerability, the same as was found previously in studies of emotion semantics (Morgan and Heise 1988; MacKinnon and Keating 1989).
4. Unpleasant emotions include both dominant states (outraged, angry)
and states of vulnerability (lonely, ashamed, fearful), as found previously in studies of emotion semantics (Morgan and Heise 1988; MacKinnon and Keating 1989).\(^{11}\)
The largest difference between the experiential structure of emotions and the meaning structure of emotions relates to having the blues, which seems to be experienced as much more unpleasant, inactive, and vulnerable than suggested by EPA ratings of feeling blue.\(^{12}\) Also, the experience of being outraged is substantially less unpleasant than ratings of the word “outraged” suggest (and a smaller difference of the same sort arises with regard to being angry), so experiencing rage may be less distasteful than thinking about the experience.
*Correlates of emotional station.*—The dimensions of emotional experience that are identified in table 1 can be used to distil an individual’s emotional station during the prior week by characterizing the individual’s overall emotionality as pleasant or unpleasant, activated or quiescent, dominating or vulnerable. Specifically, indices were created by converting an individual’s reported frequency with each emotion to a \(Z\) score and then summing or subtracting the \(Z\) scores in ways suggested by columns 1, 2, and 3 in table 1.
\[
E = \text{at-ease} + \text{contented} + \text{overjoyed} + \text{proud} - \text{worried} - \text{sad} \\
- \text{outraged} - \text{angry},
\]
\[
P = \text{outraged} + \text{angry} + \text{mad} - \text{fearful} - \text{sad} - \text{embarrassed} \\
- \text{ashamed},
\]
\[
A = \text{excited} + \text{overjoyed} + \text{outraged} + \text{angry} - \text{calm} - \text{at-ease} \\
- \text{sad} - \text{lonely},
\]
\(^{11}\) While data from the 1996 General Social Survey was adequate for our scaling analysis, future surveys of emotion experience could be improved by including additional emotions that were missing in the 1996 survey. In particular, emotions that are unpleasant, quiescent, and dominant—like bitter or disgusted—need to be included in emotion surveys in order to better sample the range of potential emotions and to provide a counterpoint to the unpleasant, quiescent, and vulnerable emotion of distress.
\(^{12}\) In reference to the term “the largest difference,” we should point out that some of the moderate differences between the experiential structure of emotions and the meaning structure of emotions may arise from problems in measuring emotion meanings. In particular, *anxious* is rated as more active and less unpleasant than the experience of anxiety seems to be, probably because some raters think of the sense conveyed in “she was anxious to go.” The word *mad* is rated as more unpleasant, livelier, and weaker than the experience of being mad seems to be, perhaps because some raters respond to senses of the word relating to insanity. *Feeling happy* is rated as more active than the emotion is experienced, perhaps because the word evokes connotations of pleasure when presented as a stimulus.
where E, P, and A refer to indices for Evaluation (experienced pleasantness versus unpleasantness), Potency (experienced dominance versus vulnerability), and Activity (experienced activation versus quiescence), respectively.\textsuperscript{13}
Table 2 shows correlations of the emotionality indices with some other variables in the 1996 GSS, the computations being carried out across males and females combined.\textsuperscript{14} Overall, nearly two-thirds of the displayed correlations are statistically significant. On the other hand, the correlations are modest in size, as is typical in social structure and personality research based on sample surveys.\textsuperscript{15}
We expected age to relate to emotional quiescence because old and young are adjectives used sometimes to rate Activity connotations of concepts. As shown in table 2, age does indeed predict emotional quiescence, and the effect is substantial, with age accounting for more than 6% of the variance in emotional quiescence. Moreover, it turns out that not only do older people experience more quiescent emotions, they also experience more pleasant emotionality and more vulnerable emotionality. Age accounts for 4% of the variance in pleasantness of emotionality—a greater effect than from any other structural variable considered here. Age accounts for somewhat less than 1% of the variance in emotional dominance—a small effect but statistically significant.
We examined correlations of emotional station with socioeconomic variables to see if emotional station reflects general structural position.\textsuperscript{16} Statistically significant correlations do occur. More education predicts greater
\textsuperscript{13} Exclusion of emotions from each equation is methodical. For example, embarrassment is a valid indicator of unpleasant emotionality, but it is excluded from the E formula because it also is an indicator of vulnerable emotionality, with no pleasant vulnerable emotion to pair with it, so including it would build in a correlation between the pleasantness and dominance indices. Scores on the indices correlate significantly, notwithstanding our methodological precautions. For females E and P correlate $-0.19$; E and A correlate $-0.24$; and P and A correlate 0.39. The corresponding correlations among males are $-0.12$, $-0.26$, and 0.45.
\textsuperscript{14} We computed the correlations in table 3 separately by sex, and none of the male correlations was significantly different from the corresponding female correlation ($P < .05$), when tested by Student’s $t$ after Fisher’s $r$ to $z$ transformation (Winkler and Hays 1975, p. 653).
\textsuperscript{15} Kessler’s (1982) article on socioeconomic status and mental health, e.g., reports average bivariate $R^2$s of about .02 for the associations of education, income, and occupation with measures of depression, with slightly higher values (closer to .03) for homemakers.
\textsuperscript{16} Past research suggests a relationship between roles and emotion (Heise 1979, 2002; Robinson, Smith-Lovin, and Tsouliis 1994; Smith-Lovin 1990) and between role occupancy and distress (Simon 2002; Thoits 1987, 1986). Examining the emotional entailments of particular roles is a complex problem, constituting another research study, and is beyond the scope of this article.
TABLE 2
Correlations of Emotional Station with Some Other Respondent Characteristics
| High Scoring Respondent | E | P | A |
|-------------------------|-----|-----|-----|
| Is older | .20** | −.09** | −.26** |
| Is more highly educated | .04 | −.01 | .09** |
| Is in more prestigious occupation | .07* | −.01 | .02 |
| Has higher family income | .05 | .08** | .04 |
| Is American Indian | .02 | .07* | .01 |
| Is unhealthy | −.14** | −.03 | −.07* |
| Lives with many people | −.08** | .12** | .17** |
| Has frequent sex | .03 | .08** | .14** |
| Prays frequently | .12** | −.11** | −.07* |
| Believes people are fair| .17** | −.13** | −.11** |
Note.—The GSS 1996 respondent variables are, respectively: AGE, EDUC, PRESTG80, INCOME91, ETHNIC = 30, HEALTH, HOMPOP, SEXFREQ, PRAY (reflected), FAIR. With pairwise deletion of missing data, Ns vary from 1,242 to 1,427, except for PRAY and FAIR where Ns vary from 917 to 944.
* $P < .05$, two-tailed tests.
** $P < .01$.
emotional activation, higher occupational prestige predicts more emotional pleasantness, and larger family income predicts more emotional dominance. In all cases the variances accounted for are less than 1%.
Familiar race-ethnicity variables do not correlate with emotional station. For example, the correlations of the EPA variables with being white or being black all are within 0.03 of zero. However, being a Native American does predict emotional dominance to a small degree, as shown in table 2.
Poor health might be expected to result in unpleasant, vulnerable, and quiescent emotionality. Significant correlations of health with emotional unpleasantness and with emotional quiescence do appear. However, health is not related to emotional dominance.
The GSS includes a count of the number of people living in the same dwelling as the respondent, and we correlated this with emotional station because studies have shown that high social density has affective impacts (e.g., Lepore, Evans, and Palsane 1991), as do related factors such as marriage (Simon 2002) and active childrearing (Ross and Van Willigen 1996; Scheiman 2000). The correlations indicate that living with more people produces emotional activation, emotional domination, and emotional unpleasantness. Ignoring the possible diversity of feelings that these correlations might indicate, the central effect of household density seems to be increased anger (also see Scheiman 2000).
Finally we wanted to see if emotion station relates to behavior and
opinion variables. We were able to confirm that there are numerous such correlates by computing correlations between the emotion variables and large blocks of GSS variables. (Such “data dredging” is a poor way to build theory, but it served our more modest purpose of verifying the research usefulness of the emotion measures.) Table 2 presents three of the more intriguing findings. High sexual activity correlates with emotional activation and with emotional dominance. Praying is associated with pleasant emotionality and also with emotional vulnerability. Believing that people are fair (i.e., that they do not take advantage of you) is associated with pleasant, vulnerable, and quiescent emotionality.
Sex differences.—The INDSCAL analysis revealed that men weight the second and third unrotated MDS dimensions somewhat greater than women do, which means that emotions are separated on these dimensions more for men than for women. The implications are hard to divine from the coordinates of the emotions on the unrotated dimensions. However, we regressed distances between pairs of emotions entailed by women’s MDS solution on distances entailed by men’s MDS solution, and the residuals from predictions revealed a major sex difference in the solutions: women have less distance than men between the emotions angry-mad-outraged and the emotions blues-lonely-sad. Anticipating the results of study 2, it might be said that women move between anger and distress more easily than men do.
Sex is a structural correlate of emotional station,\(^{17}\) and all three correlations \((-0.09, -0.06, -0.06\) for E, P, and A, respectively) are significantly different from zero at the .05 levels. These figures indicate that being a woman involves a propensity to unpleasant, vulnerable, and quiescent emotionality. The correlations are small, however, such that sex accounts for less than 1% of the variance on any of these emotionality dimensions.
Study 2: Emotion Management
In the second study, we identify primary emotions through confirmatory factor analysis (Joreskog and Sorbom 1993). Our initial model derives from an especially systematic and inclusive classification of emotions proposed by psychologists Ortony, Clore, and Collins (1988),\(^{18}\) who distinguish
\(^{17}\) We withheld the variable *sex* from table 2 in order to focus on it here.
\(^{18}\) The Ortony-Clore-Collins (1988) definition of distress focuses only on depression as reflected in the Center for Epidemiological Studies Depression Scale (Mirovsky and Ross 1995), without incorporating feelings associated with anxiety. While we realize that most sociologists and epidemiologists would disagree with Ortony, Clore, and Collins’s (1988) use of the term *distress*, we have nonetheless adopted this term in order to implement their classification system.
emotional reactions to events, agents, or objects, and propose that each kind of reaction might be characterized by different emotion tokens. For example, being pleased about a desirable event produces an affective condition (joy) that might be recognized as feeling contented, happy, cheerful, delighted, ecstatic, and so on. Since experiencing a primary emotion leads to correlated reports of specific emotions, the primary emotion can be revealed by subjecting the reports of specific emotions to factor analysis.
We allow that primary emotional states also may be interrelated, and we suppose that difficulties in moving between emotions are related to these correlations. We develop this idea by applying shortest-path analyses (Rosen 1988, pp. 401–10) to the correlations among factors.
Identifying primary emotions.—The emotion indicators available in GSS 1996 limit our analysis to Ortony et al.’s (1988) event-based emotional conditions (specifically joy, hope, distress, and fear) and agent-based conditions (specifically pride, self-reproach, and anger). Table 3 provides additional details concerning these primary emotional conditions, including our initial assignments of tokens from the GSS.
While the Ortony et al.’s (1988) scheme serves us as a theoretically principled starting point, we do not try to fulfill it exactly. So, for example, hope in the Ortony-Clore-Collins classification refers to “being happy about an event” while the GSS question that we use as an indicator of hope asks if one is excited “about something.” Additionally, Ortony et al. (1988) did not mention the tokens of calm and at ease that were included in the GSS and that were identified as emotions by Ortony et al. (1987), so we established a supplementary emotional condition, tranquility, to include these two tokens.\(^{19}\)
Table 4 shows the specifications and results of our final confirmatory factor analysis.\(^{20}\) This model is several steps removed from the initial model based on Ortony et al. (1988), which fit the data poorly \((\chi^2: df = 4.57)\). The final model achieves dramatic improvement in the ratio (2.57) by treating only overjoyed as an indicator of the joy factor, by
\(^{19}\) Combining the tranquility factor and the joy factor into a single factor decreases the fit of the initial model: \(\chi^2/df = 4.72\) vs. 4.57.
\(^{20}\) One item was used as the scale-defining item for each latent variable by setting its factor coefficient to 1.0, and the factor coefficients for other items were estimated from the data. Latent factors were allowed to covary freely. Errors for individual items were assumed to be uncorrelated. Given that all of our indicators were highly skewed, we estimated the model using asymptotically distribution free (ADF) estimation in AMOS 4.0. Unlike maximum-likelihood (ML) estimation, which assumes a normal distribution, ADF does not impose an assumption of normality and typically generates reliable estimates in large samples (Browne and Cudeck 1993). We also ran the model using ML estimation. While the latent variable correlations generated by the ML were just marginally different than those generated using ADF estimation, the overall fit of the model was reduced.
TABLE 3
EMOTIONS IN THE ORTONY, CLORE, AND COLLINS CLASSIFICATION SYSTEM
| Type | Specification | Tokens in GSS 1996 |
|---------------|-------------------------------------------------------------------------------|-------------------------------------|
| Anger | Disapproving of someone’s blameworthy action and being displeased about the related undesirable event | angry, [mad], outraged |
| Distress | Displeased about an undesirable event | [blues], lonely, sad |
| Fear | Displeased about the prospect of an event | anxious-tense, fearful, worried |
| Hope | Pleased about the prospect of a desirable event | excited |
| Joy | Pleased about a desirable event | contented, happy, [overjoyed] |
| Pride | Approving of one’s own praiseworthy action | proud |
| Self-reproach | Disapproving of one’s own blameworthy action | embarrassed, ashamed |
Note.—Bracketed tokens were not mentioned explicitly by Ortony et al. (1988), but we believe our assignments fit their classification system. Some of the tokens we list are slight modifications of the tokens explicitly mentioned by Ortony et al.—e.g., “excited” in place of “excitement.”
moving contented and happy to the tranquility factor, and by separating outraged into its own factor, called rage. Our analyses suggest that the Ortony et al.’s (1988) classificatory system may conceal some important distinctions in emotion, particularly with regard to levels of activation, which they treat merely as intensity variation.\(^{21}\)
Paths of transformation.—Correlations among the emotion factors are presented in the lower triangle of table 5.\(^{22}\) As one might expect, correlations within unpleasant emotions and correlations within pleasant emotions generally are higher than the correlations between pleasant and unpleasant emotions. However, correlations between pleasant and unpleasant emotions are not simply negative. Joy and pride correlate positively to a small degree with each of the unpleasant emotions, and hope also is positively correlated with some of the unpleasant emotions.
The positive correlations between pleasant and unpleasant emotions provide paths for segueing between unpleasant feelings and pleasant feelings according to the theoretical proposal that we offered earlier. Emotions correlating positively during a weeklong period may be relatively acces-
\(^{21}\) Ortony et al. (1988) assert that factor analytic and multidimensional scaling studies of emotion are “uninformative” (p. 7). That reflects their commitment solely to theoretical considerations, as opposed to our commitment to improving classifications of emotion through empirical studies.
\(^{22}\) AMOS yields correlations that are sometimes higher than zero-order correlations among indices, a standard result when creating latent-trait models. We used AMOS estimates for the correlations rather than computing actual scores and correlating them.
### TABLE 4
**Factor Coefficients of Emotion Items in Final Model**
| Emotion Item | Factor | Loading |
|--------------------|------------|---------|
| Calm | Tranquility| 1.00 |
| At ease | Tranquility| 1.20 |
| Contented | Tranquility| 1.20 |
| Happy | Tranquility| 1.06 |
| Overjoyed | Joy | 1.00 |
| Excited | Hope | 1.00 |
| Proud | Pride | 1.00 |
| Embarrassed | Self-reproach | 1.00 |
| Ashamed | Self-reproach | 1.21 |
| Fearful | Fear | 1.00 |
| Worried | Fear | 1.65 |
| Anxious-tense | Fear | 1.42 |
| Sad | Distress | 1.00 |
| Blues | Distress | 1.05 |
| Lonely | Distress | .91 |
| Angry | Angry | 1.00 |
| Mad | Angry | 1.07 |
| Outraged | Rage | 1.00 |
**Fit statistics:**
- $\chi^2/df$ ................. 2.57
- Incremental fit index ..... .91
- Comparative fit index .... .91
- Root mean square error of approximation .......... .04
*Note.*—$N = 1,361$ after listwise deletion of missing data cases.
---
sible from each other, and emotions correlating negatively may be relatively inaccessible from each other. Building upon this assumption, we offer an index of remoteness based on correlation coefficients to quantify this notion more exactly (see the note of table 5 for the formula). If two emotions correlate 1.0 then they have a remoteness of 0; if they correlate 0.0 then they have a remoteness of 10; and if they correlate $-1.0$ then they have a remoteness of 20. In-between correlations are curvilinearly related to remotenesses; for example, a correlation of 0.5 gives a remoteness of 3. Our choice of transformation function is pragmatic in that it yields results corresponding to some observations in the sociology of emotions.
Qualitative studies of emotion management support the usefulness of our model. Thoits’s (1996) field notes from a psychodrama group devoted to dealing with emotional problems contain a number of examples in which participants were led from one emotional state to another. Although each individual had his or her own set of issues (ranging from problematic
| | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |
|-------|-------|-------|-------|-------|-------|-------|-------|-------|-------|
| 1. Tranquility | . . . | 4 | 5 | 5 | 15 | 16 | 16 | 18 | 18 |
| 2. Hope | .38 | . . | 3 | 4 | 7 | 9 | 11 | 6 | 13 |
| 3. Joy | .23 | .45 | . . | 4 | 6 | 8 | 7 | 7 | 9 |
| 4. Pride | .21 | .40 | .37 | . . | 7 | 6 | 7 | 6 | 8 |
| 5. Self-reproach | −.23 | .08 | .15 | .10 | . . | 6 | 6 | 3 | 4 |
| 6. Anger | −.35 | .01 | .05 | .14 | .19 | . . | 2 | 2 | 3 |
| 7. Rage | −.32 | −.01 | .07 | .10 | .20 | .68 | . . | 3 | 3 |
| 8. Fear | −.64 | .13 | .10 | .13 | .48 | .63 | .52 | . . | 1 |
| 9. Distress | −.69 | −.12 | .02 | .03 | .40 | .49 | .46 | .82 | . . |
Note.—Each remoteness is computed from its corresponding correlation (r) by the formula $10 \times (1 - (\text{sign}(r) \times \sqrt{\text{abs}(r)}))$, where $\text{sign}(r)$ is 1 if $r$ is positive, −1 if $r$ is negative, and 0 if $r$ is zero. Shortest paths were determined with a Javascript program provided at Dijkstra’s Algorithm (n.d.). Retrieved March 23, 2002 from http://www.tutor.ms.unimelb.edu.au/dijkstra/dp_frame.html. Lower triangle shows correlations; upper triangle shows remoteness plus shortest paths through intervening emotions.
relationship with parents to fear of sex), the preferred outcome of such work was to replace distress, fear, or anger with some form of emotional well-being (e.g., contentment, happiness, or joy). The psychodrama group leaders often tried to move participants from more subdued to more heightened feeling states (e.g., from anger to rage or from fear to panic), and then to feelings of pride, which provided a relatively simple pathway to well-being.
Francis (1997) documented identity transformations that group leaders tried to create among participants in emotion management groups. For example, participants entered the Discovery Divorce Group because of feelings of distress, fear, anger, and self-reproach, and the leader made an effort to normalize their feelings by changing sentiments about three designated actors in divorce—self, others (mainly the ex-spouse), and God. While Francis focused on identity work, our complementary perspective emphasizes that scripted transactions among the specified actors offer emotional pathways between distress and tranquility. Moreover, remoteness indexes in table 5 suggest that a given script will be differentially successful: for example, achieving tranquility through hope works for those who are distressed, afraid, or guilty, while those who come into the group angry would be helped more by engendering pride.
Francis’s (1997) study of the Rebirth Grief Group for surviving spouses found that many participants entered the group with a perception of the deceased as a good person who had been torn away involuntarily. The bereaved also tended to see themselves as having watched the death helplessly or having failed the deceased in some way. “From her therapeutic perspective, Lydia [the leader] attempts to move the bereaved out of this perception and into the more empowering (but problematic) stage of anger” (Francis 1997, p. 161). According to our remoteness indices, the pathway from distress to anger and then to tranquility is much shorter than the direct pathway from distress to tranquility, and that fact justifies the leader’s strategy. The leader also attempted to transform the deceased from victim to abandoner, but this seemed a less successful strategy than getting participants to ameliorate guilt over having failed the deceased (Francis 1997, p. 162). This accords with remoteness indices showing that the direct pathways between self-reproach and tranquility are shorter than those between distress and tranquility.
Britt and Heise (2000), focusing on stigmatized social identities of being black and gay or lesbian, found that social movement organizations (SMOs) routinely generate intervening states of fear and anger in order to transform shame into pride. Our measures of remoteness suggest that the SMOs’ strategy is superfluous since shame readily can be turned to pride without moving through fear and anger first. Thus Britt and Heise (2000) may have misinterpreted the significance of the shame-fear-angerpride sequence that they discovered. The sequence of emotions may be necessary to accomplish the collective social action that changes the cultural meaning of the stigmatized identity. It is anger that gets individuals into the streets. Then, marching en masse does engender pride. But additionally—and of equal importance to SMOs—collective demonstrations socially empower and legitimate the symbol that the marchers represent. Our remoteness index may also reveal why SMOs bother with the seemingly self-defeating creation of fear. The path from self-reproach to fear to anger is shorter (a remoteness of “5”), and easier to accomplish, than is the direct path from self-reproach to anger (a remoteness of “6”).
Although existing literature on emotion management concentrates on the creation of pleasant emotions, there is a small body of qualitative and experimental studies that suggest individuals may use similar strategies to invoke anger or rage in themselves (Hochschild 1983; Stenross and Kleinman 1989; Sutton 1991)—in other words to move purposely from pleasant emotional states to unpleasant ones. Moreover, Goffman’s studies of asylums (1961) revealed that institutional actors induce compliance in inmates by evoking anger, fear, and shame. Zimbardo’s Stanford Prison experiment (Haney and Zimbardo 1976) showed that college students merely pretending to be prison guards created anger, fear, and ultimately distress in their prisoners in order to engender docility.
Thus, emotional shortcuts between negative and positive emotions can be, should be, and in fact are utilized in individual, therapeutic, and institutional attempts at emotion management. Scheff’s (1979, 1988, 2001) detailed examination of the intertwining of pride and self-reproach (shame in particular) also is buttressed by our measure of remoteness—a value of 7—indicating that these two emotions are experientially close.
Sex differences.—We separated the sexes in a multiple-group confirmatory factor analysis and found a significant drop in chi-square ($P < .001$), indicating that the factor loadings or factor correlations differ for men ($N = 597$) and women ($N = 764$). The structure of factor loadings is basically the same across sexes. The factor loadings for women in the multiple-group analysis are all within 0.10 of those shown in table 4, and the factor loadings for men are all within 0.20 with just one exception: the factor loading of ashamed on the *self-reproach* factor is 0.58 for men, as opposed to the loading for women of 1.21. Notwithstanding the difference, the structure is the same because shame is a substantial component of the self-reproach factor for both sexes.
The difference between the factor models for men and women comes predominately from correlations among factors. The self-reproach factor is especially interesting in this respect because of its more positive correlations with other emotion factors for men compared to women. For instance, the correlation of *self-reproach* with *anger* is 0.53 for men, and
0.19 for women; and with *pride* the correlation is 0.19 for men, 0.04 for women. Some other sex differences in correlations of emotion factors also are notable. Pride correlates positively with distress for men (0.18) but there is zero correlation for women. Hope (measured by feeling excited) correlates positively with rage for men (0.08), but negatively for women \((-0.06)\).
These sex differences in emotion correlations suggest that emotional segueing differs for men and women—an idea that might have important implications for practitioners of social support and emotion therapy. For example, transformations between self-reproach and anger appear to be easier for men than for women; a direct path evidently exists from distress to pride for men, but not for women. And rage can turn into hope-excitement for men, though that is less likely for women. Such differences suggest that social support and emotion therapy must be sex specific, or at least gender conscious, in order to be effective.
**SUMMARY AND DISCUSSION**
Three dimensions emerged in our multidimensional scaling of emotion experiences, interpretable as pleasantness versus unpleasantness, dominance versus vulnerability, and activation versus quiescence. These three experiential dimensions parallel the EPA dimensions of affective meaning that are foundational in affect control theory, and specific emotions have approximately the same relative positions in the experiential space as in the meaning space. This isomorphism favors a motif in affect control theory—and in symbolic interactionism generally—that symbolic processes index embodied performances. At least we know now that the meaning space underlying emotion norms corresponds to the experiential space for tracking actual emotionality.
We scored individuals’ recent emotional experiences on the three dimensions to explore correlates of recurrent emotionality, or emotional station. As expected, all three dimensions of emotional station relate both to structural position—assessed in terms of age, sex, and socioeconomic status—and to variable circumstances such as illness or crowding. We also found that emotional station correlates with a variety of individualistic behaviors and opinions. The correlations are modest in size, but they support viewing emotionailities as observable phenomena that register social structure, social conditions, and social trends.
Our confirmatory factor analysis turned up nine primary kinds of experienced emotion—tranquility, hope, joy, pride, self-reproach, anger, rage, fear, distress—and varying levels of correlation among these emotions. For example, tranquility correlates positively with joy, hope, and
pride, and correlates negatively with the unpleasant emotions of distress, fear, anger, rage, and self-reproach, a finding that is consistent with the notion that negative and positive emotions are associated with different regions of the brain (Davidson and Irwin 2000; Davidson et al. 2000; Schaefer et al. 2002). Some opposite emotions, however, correlate positively—for example, self-reproach with pride—and we construe these seemingly anomalous correlations as identifying shortcuts from negative to positive emotionality.\footnote{In the burgeoning field of brain science, scholars have begun exploring the neural pathways implicated in emotion regulation; to date, these studies have focused primarily on \textit{reducing} negative affect in laboratory settings (Gross 1999; Ochsner et al. 2002).}
Our segueing index, based on the correlations, allows optimal paths for emotion change to be identified—sequences of emotion that are easier to accomplish than going directly from the beginning emotion to the end emotion.
Reviewing some qualitative studies revealed that therapists routinely use optimal paths in their interpersonal emotion management efforts, even to the point of instigating negative emotions in order to push clients through the shortest transitional paths. Identity transformations instigated by social support groups and social movement organizations parallel emotion pathways that are relatively easy to achieve. Authorities in custodial institutions and in resocialization programs (like military basic training) also use optimal paths for emotion management, such as from pride to shame, in order to hasten their charges’ progression toward docility.
Our analyses contribute both to affect control theory and to emotion management theory using the same data and in the process raise a new question. Are the analyses, the results, and the theories somehow interrelated?
The two methodologies employed—multidimensional scaling and confirmatory factor analysis—have an important parallelism in our analyses. Both methods analyze the correlations between the emotion variables,\footnote{See n. 5 above.} with each method providing its own tactic for dealing with knots of particularly large correlations. Multidimensional scaling loosens such knots by taking account of just the relative magnitudes of correlations in order to infer distances within a multidimensional space. Confirmatory factor analysis aggregates knotted variables into new latent variables whose correlations with other variables are relatively low. Understanding the methodologies thusly implies that their results must be comparable to some degree.
To check for comparability, we regressed the segueing indices in table 5 (which are mathematical transformations of the factor-analysis results)
on distances between primary emotions in the three-dimensional space defined by the first three numerical columns of table 1.\textsuperscript{25} Allowing for curvilinearity, the regressions reveal very strong relationships, with $R^2 = 0.88$ for the regression of segueing indices on male emotion distances, and $R^2 = 0.90$ for the regression on female emotion distances.\textsuperscript{26} The implications are that the three-dimensions of affect control theory can be used to derive segueing indices for emotion management theory and that emotion management processes must be accountable in affect control theory, even though affect control theory currently does not deal with emotion management. Thus these two important theories in the sociology of emotions evidently can be integrated.
Hochschild’s analyses focus on the relationship between emotion and social position as a function of adherence to social norms regarding emotion. Integration with affect control theory suggests that emotion norms relate to identity processes, perhaps as described by Heise and Calhan (1995). Affect control theorists argue that individuals occupy identities, participate in events, and experience consequent emotions. Integration with emotion management theory suggests that emotion whirlpools sometimes arise in these processes, and that emerging from the whirlpools often is a difficult task that has to be achieved by focusing on emotions rather than identities. Elaboration of such prospects for theoretical integration must be deferred to future work.
Sex differences exist in the degree to which pairs of emotions are experienced concurrently,\textsuperscript{27} and these differences influenced our scaling and factor analyses, with the two different methods providing somewhat different emphases. Our scaling analyses revealed that distress and anger are closer for women than for men, while our factor analyses indicated that men can move between self-reproach and anger more easily than women can. Thus optimal paths of emotion transition evidently differ for men and women, and optimal strategies of emotion management might be somewhat different for the sexes, too.
Substantial theoretical developments occurred in the sociology of emotions over the past few decades, and in this article we employed two of the resulting theories as sociological lenses for analyzing survey data on
\textsuperscript{25} The highest loading indicator of each primary emotion in the last column of table 5 served as the marker of each primary emotion in the three-dimensional space. For example, the distance between \textit{tranquillity} and \textit{fear} was measured as the distance between \textit{at-ease} and \textit{worried}.
\textsuperscript{26} The transformation equations are $S = 3.47 - 2.43D + 2.64D^2$ for men, $S = 2.52 - 0.64D + 2.36D^2$ for women, where $S$ represents segueing indices and $D$ represents emotion distances.
\textsuperscript{27} Also app. A shows that females are prone to significantly lower frequencies of pleasant emotional experiences than males.
emotion experiences. By approaching the data repeatedly, each time from a different theoretical perspective, we showed that a single body of data on emotions tells multiple stories about social life—for example, about the correlation of emotional station with a variety of structural, circumstantial, and personal variables and about ways to provide social support to individuals in emotional traps. Additionally, we provide insight into the strategies that organizations use in order to facilitate member behavior; specifically, our analysis illustrates that social movement organizations may purposefully instill the seemingly self-defeating emotion of fear in individual members so that they may more easily reap the collective made possible through anger and pride. Finally, this article has developed multiple measures for survey data on emotions that can help advance other research agendas within the sociology of emotions, as well as research focusing on the integration of micro- and macrosociological processes more broadly.
| Emotion | N | Mean | SD | Skew* |
|----------------------------------------------|-----|------|-----|-------|
| Felt that you couldn’t shake the *blues*? | | | | |
| Men | 631 | 1.06 | 1.77| 1.95 |
| Women | 813 | 1.33 | 1.89| 1.66 |
| Felt *calm*? | | | | |
| Men | 632 | 4.80 | 2.31| −.66 |
| Women | 817 | 4.39 | 2.37| −.41 |
| Felt *outraged* at something somebody had done? | | | | |
| Men | 633 | 1.48 | 1.85| 1.59 |
| Women | 815 | 1.52 | 1.89| 1.50 |
| Felt *happy*? | | | | |
| Men | 636 | 5.34 | 2.02| −1.03 |
| Women | 815 | 5.21 | 2.07| −.94 |
| Felt *sad*? | | | | |
| Men | 633 | 1.42 | 1.83| 1.56 |
| Women | 816 | 1.81 | 1.98| 1.29 |
| Felt *ashamed* of something you’d done? | | | | |
| Men | 634 | 0.47 | 1.11| 3.83 |
| Women | 816 | 0.47 | 1.17| 3.63 |
| Felt *excited* about or interested in something? | | | | |
| Men | 636 | 3.80 | 2.25| .05 |
| Women | 813 | 3.45 | 2.36| .19 |
| Felt *lonely*? | | | | |
| Men | 634 | 1.28 | 2.06| 1.69 |
| Women | 816 | 1.67 | 2.30| 1.30 |
| Felt *fearful* about something that might happen to you? | | | | |
| Men | 632 | 1.06 | 1.80| 2.07 |
| Women | 815 | 1.26 | 2.05| 1.77 |
| Felt *overjoyed* about something? | | | | |
| Men | 631 | 1.91 | 2.28| 1.07 |
| Women | 813 | 1.68 | 2.02| 1.30 |
| Worried a lot about little things? | | | | |
| Men | 634 | 2.43 | 2.59| .69 |
| Women | 816 | 3.12 | 2.78| .32 |
| Felt *contented*? | | | | |
| Men | 629 | 4.51 | 2.54| −.56 |
| Women | 809 | 4.59 | 2.40| −.62 |
| Felt *anxious and tense*? | | | | |
| Men | 631 | 2.20 | 2.22| .90 |
| Women | 809 | 2.30 | 2.29| .83 |
| Felt *mad* at something or someone? | | | | |
| Men | 633 | 1.76 | 1.99| 1.31 |
| Women | 816 | 1.60 | 1.87| 1.41 |
| | N | Mean | SD | Skew* |
|--------------------------------|----|------|------|-------|
| Felt at ease? | | | | |
| Men | 634| 4.67 | 2.37 | −.58 |
| Women | 809| 4.46 | 2.37 | −.48 |
| Felt angry at someone? | | | | |
| Men | 634| 1.52 | 1.82 | 1.56 |
| Women | 817| 1.46 | 1.77 | 1.59 |
| Felt embarrassed about something? | | | | |
| Men | 635| .63 | 1.28 | 3.12 |
| Women | 815| .57 | 1.17 | 3.35 |
| Felt proud of something you’d done?† | | | | |
| Men | 633| 3.21 | 2.35 | .32 |
| Women | 809| 2.81 | 2.34 | .58 |
* All absolute values of skew are double their SEs, except for the skew of excited for men.
† Probability that men’s and women’s means are equal is less than .05 in the Mann-Whitney U test.
## TABLE B1
**Correlations among Frequencies of Emotional Experiences**
| | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 |
|-------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| 1. Calm | . | .49 | .45 | .43 | .10 | .15 | .11 | -.09| -.08| -.16| -.38*| -.45*| -.31*| -.32| -.24*| -.24*| -.29*| -.26*|
| 2. At ease | .48 | . | .58 | .50 | .19 | .31 | .15 | -.13| -.09| -.19| -.32 | -.36 | -.25 | -.39 | -.29*| -.24 | -.25 | -.23 |
| 3. Contented | .37 | .53 | . | .54 | .19 | .26 | .19 | -.11| -.10| -.18 | -.33 | -.31 | -.32 | -.39 | -.30*| -.26*| -.27 | -.23 |
| 4. Happy | .44 | .52 | .48 | . | .20 | .36 | .20 | -.05| -.07| -.20 | -.28 | -.25 | -.39 | -.52 | -.35*| -.25*| -.22 | -.21 |
| 5. Overjoyed | .17 | .16 | .15 | .26 | . | .43 | .36 | .10 | .14 | .13 | .01 | .06 | .02 | -.02 | -.01 | .07 | .02 | .06 |
| 6. Excited | .21 | .24 | .25 | .32 | .45 | . | .35*| .05 | .07 | .06 | -.06 | .00 | -.02 | -.15 | -.04 | -.01 | -.04*| -.01*|
| 7. Proud | .07 | .14 | .15 | .20 | .39 | .44*| . | .06 | .08 | .14 | .02* | .07 | .01 | -.01 | .00 | .11 | .11 | .08 |
| 8. Embarrassed | -.16| -.12| -.08| -.13| .11 | .10 | .11 | . | .48 | .21 | .16 | .23 | .18* | .22 | .17 | .20* | .21* | -.12*|
| 9. Ashamed | -.03| -.12| -.15| -.10| .09 | .06 | .03 | .45 | . | .26 | .13 | .20 | .21* | .19 | .11 | .13 | .17* | .13 |
| 10. Fearful | -.26| -.25| -.23| -.24| .06 | -.01| .09 | .28 | .26 | . | .31 | .35 | .26 | .33 | .29 | .23 | .26 | .27* |
| 11. Worried | -.22*| -.27| -.30| -.23| .10 | .00 | .13*| .23 | .19 | .33 | . | .52* | .35 | .40 | .28 | .37 | .38 | .32 |
| 12. Anxious-tense | -.31*| -.31| -.29| -.25| .10 | .10 | .15 | .26 | .24 | .42 | .42* | . | .36 | .41 | .28 | .39 | .41 | .34 |
| 13. Sad | -.17*| -.26| -.28| -.32| .08 | .01 | .05 | .33*| .32*| .34 | .31 | .41 | . | .54 | .46 | .42* | .36 | .37 |
| 14. Blues | -.26| -.35| -.37| -.50| -.06| -.21| .00 | .24 | .25 | .38 | .36 | .52 | . | .48 | .34* | .35 | . | .31 |
| 15. Lonely | -.09*| -.15*| -.15*| -.20*| .02 | -.04| .08 | .23 | .20 | .22 | .21 | .26 | .41 | .44 | . | .28 | .28 | .22 |
| 16. Angry | -.12*| -.17| -.13*| -.11*| .11 | .09 | .16 | .32*| .18 | .29 | .30 | .39 | .33*| .19* | .18 | . | .81* | .57* |
| 17. Mad | -.18*| -.26| -.21| -.17| .06 | .10*| .12 | .32*| .28*| .32 | .35 | .46 | .35 | .27 | .21 | .74* | . | .57* |
| 18. Outraged | -.15*| -.16| -.16| -.13| .16 | .12*| .16 | .23*| .14 | .38*| .26 | .39 | .30 | .21 | .21 | .68* | .66* | . |
**Note.**—Correlations are significantly different from zero at the .05 level if the absolute value is .07 or more for women and .08 for men. Men are in lower triangle \((N = 600)\); women, in upper triangle \((N = 766)\).
* Differ significantly by sex at the .05 level in a two-tail test based on Student’s \(t\) after Fisher’s \(r\) to \(z\) transformation (Winkler and Hays 1975, p. 653).
REFERENCES
Britt, L., and D. Heise. 2000. “From Shame to Pride in Identity Politics.” Pp. 22–268 in *Self, Identity, and Social Movements*, edited by S. Stryker, T. J. Owens, and R. W. White. Minneapolis: University of Minnesota Press.
Browne, Michael W., and Robert Cudeck. 1993. “Alternative Ways of Assessing Model Fit.” *Sociological Methods and Research* 21:230–58.
Davidson, R. J., and W. Irwin. 2000. “The Functional Neuroanatomy of Emotion and Affective Style.” *Trends in Cognitive Science* 3:11–21.
Davidson, R. J., D. C. Jackson, and N. H. Kalin. 2000. “Emotion, Plasticity, Context and Regulation: Perspectives from Affective Neuroscience.” *Psychological Bulletin* 126:890–906.
Davis, James, and Tom Smith. 1996. *General Social Surveys, 1972–1996, Cumulative Codebook and Data File*. Chicago: NORC and University of Chicago.
Fisher, Gene, D. Heise, G. Bohrnstedt, and J. Lucke. 1985. “Evidence for Extending the Circumplex Model of Personality Trait Language to Self-Reported Moods.” *Journal of Personality and Social Psychology* 49:233–42.
Francis, Linda E. 1997. “Ideology and Interpersonal Emotion Management: Redefining Identity in Two Support Groups.” *Social Psychology Quarterly* 60 (2): 153–71.
Goffman, Erving. 1961. *Asylums: Essays on the Social Situation of Mental Patients and Other Inmates*. Garden City, N.Y.: Anchor Books.
Gross, James J. 1999. “Emotion Regulation: Past, Present, Future.” *Cognition and Emotion* 13:551–73.
Haney, Craig, and Phillip G. Zimbardo. 1976. “Social Roles and Role-Playing: Observations from the Stanford Prison Study.” Pp. 266–74 in *Current Perspectives in Social Psychology*, 4th ed. Edited by E. P. Hollander and R. G. Hunt. New York: Oxford University Press.
Heise, David. 1975. *Causal Analysis*. New York: Wiley Interscience.
———. 1979. *Understanding Events: Affect and the Construction of Social Action*. New York: Cambridge University Press.
———. 2002. “Understanding Social Interaction with Affect Control Theory. Chap. 2 in *New Directions in Sociological Theory: Growth of Contemporary Theories*, edited by Joseph Berger and Morris Zelditch, Jr. Rowman & Littlefield.
Heise, David, and Cassandra Calhan. 1995. “Emotion Norms in Interpersonal Events.” *Social Psychology Quarterly* 58:223–40.
Heise, David, and Brian Weir. 1999. “A Test of Symbolic Interactionist Predictions about Emotions in Imagined Situations.” *Symbolic Interaction* 22:129–61.
Hochschild, A. R. 1979. “Emotion Work, Feeling Rules, and Social Structure.” *American Journal of Sociology* 85:551–75.
———. 1983. *The Managed Heart: The Commercialization of Human Feeling*. Berkeley and Los Angeles: University of California Press.
Joreskog, Karl G., and Dag Sorbom. 1993. *LISREL 9: Structural Equation Modeling with the SIMPLIS Command Language*. Chicago: Scientific Software International.
Kemper, Theodore. 1978. *A Social Interactional Theory of Emotion*. New York: Wiley.
Kemper, Theodore, and Randall Collins. 1990. “Dimensions of Microinteraction.” *American Journal of Sociology* 96:32–68.
Kessler, Ronald C. 1982. “A Disaggregation of the Relationship between Socioeconomic Status and Psychological Distress.” *American Sociological Review* 47:752–64.
Lepore, Stephen J., Gary W. Evans, and M. N. Palsane. 1991. “Social Hassles and Psychological Health in the Context of Chronic Crowding.” *Journal of Health and Social Behavior* 32:357–67.
Lively, Kathryn J. 2000. “Reciprocal Emotion Management: Working Together to Maintain Stratification in Private Law Firms.” *Work and Occupations* 27:32–63.
MacKinnon, Neil J. 1994. *Symbolic Interactionism as Affect Control*. Albany: State University of New York Press.
MacKinnon, Neil, and Leo Keating. 1989. “The Structure of Emotion: A Review of the Problem and a Cross-Cultural Analysis.” *Social Psychology Quarterly* 52:70–83.
MacKinnon, Neil, and Tom Langford. 1994. “The Meaning of Occupational Prestige Scores: A Social Psychological Analysis and Interpretation.” *Sociological Quarterly* 35:215–45.
Massey, Douglas. 2002. “Emotion and the History of Human Society.” *American Sociological Review* 64:1–29.
Mirowsky, John, and Catherine E. Ross. 1995. “Sex Differences in Distress: Real or Artifact?” *American Sociological Review* 60:449–68.
Mirowsky, John, Catherine E. Ross, and Suzanne E. Thouvenell. 2003. *Social Causes of Psychological Distress*, 2d ed. New York: de Gruyter.
Morgan, Rick, and D. R. Heise. 1988. “Structure of Emotions.” *Social Psychology Quarterly* 51:19–31.
Ochsner, Kevin N., Silvia A. Bunge, James J. Gross, and John D. E. Gabrieli. 2002. “Rethinking Feelings: An fMRI Study of the Cognitive Regulation of Emotion.” *Journal of Cognitive Neuroscience* 14:1215–29.
Ortony, Andrew, Gerald L. Clore, and Allan Collins. 1988. *The Cognitive Structure of Emotions*. New York: Cambridge University Press.
Ortony, Andrew, Gerald L. Clore, and Michael A. Foss. 1987. “The Referential Structure of the Affective Lexicon.” *Cognitive Science* 11:341–64.
Osgood, Charles E., W. H. May, and M. S. Miron. 1975. *Cross-Cultural Universals of Affective Meaning*. Urbana: University of Illinois Press.
Pierce, Jennifer. 1995. *Gender Trials: Emotional Lives in Contemporary Law Firms*. Berkeley and Los Angeles: University of California Press.
Robinson, Dawn T. 2002. “ACT and the Competition: Some Alternative Models of Emotion and Identity.” Paper given at the conference Research Agendas in Affect Control Theory. Highland Beach, Fla.
Robinson, Dawn T., Lynn Smith-Lovin, and Olga Tsoudis. 1994. “Heinous Crime or Unfortunate Accident? The Effects of Remorse on Responses to Mock Criminal Confessions.” *Social Forces* 73:175–90.
Rosen, Kenneth H. 1988. *Discrete Mathematics and Its Applications*. New York: Random House.
Ross, Catherine E., and Marieke Van Willigen. 1996. “Gender, Parenthood, and Anger.” *Journal of Marriage and the Family* 58:572–84.
Schaefer, Stacey M., Daren C. Jackson, Richard J. Davidson, Geoffrey K. Aguirre, Daniel Y. Kimberg, and Sharon L. Thompson-Schill. 2002. “Modulation of Amygdalar Activity by the Conscious Regulation of Negative Emotion.” *Journal of Cognitive Neuroscience* 14:913–21.
Scheff, Thomas J. 1979. *Calharris in Healing, Ritual and Drama*. Berkeley and Los Angeles: University of California Press.
———. 1988. “Shame and Conformity: The Deference-Emotion System.” *American Sociological Review* 53:395–406.
———. 2001. “Male Emotions and Violence.” *Journal of Mundane Behavior* 2:9–11.
Scheiman, Scott. 2000. “Education and the Activation, Course, and Management of Anger.” *Journal of Health and Social Behavior* 41:20–39.
Schiffman, Susan S., Forrest W. Young, and M. Lance Reynolds. 1981. *Introduction to Multidimensional Scaling: Theory, Methods and Applications*. New York: Academic Press.
Simon, Robin. 2002. “Revisiting the Relationships among Gender, Marital Status, and Mental Health.” *American Journal of Sociology* 107:1065–96.
Simon, Robin, and Leda E. K. Nath. 2004. “Examining Emotion Culture in the U.S.:
Is There Any Truth to Gender Stereotypes in Affective Experience and Expression in the GSS?” *American Journal of Sociology* 109, in this issue.
Smith-Lovin, Lynn. 1987. “Impressions from Events.” *Journal of Mathematical Sociology* 13:35–70.
———. 1990. “Emotion as the Confirmation and Disconfirmation of Identity: An Affect Control Model.” Chap. 9 in *Research Agendas in the Sociology of Emotions*, edited by Theodore D. Kemper. Albany: State University of New York Press.
Staske, S. A. 1996. “Talking Feelings: The Collaborative Construction of Emotion in Talk between Close Relational Partners.” *Symbolic Interaction* 19:111–42.
———. 1998. “The Normalization of Problematic Emotion in Conversations between Close Relational Partners: Interpersonal Emotion Work.” *Symbolic Interaction* 21:59–92.
———. 1999. “Creating Relational Ties in Talk: The Collaborative Construction of Relational Jealousy.” *Symbolic Interaction* 22:213–37.
Stenross, Barbara, and Sherryl Kleinman. 1989. “The Highs and Lows of Emotional Labor: Detectives’ Encounters with Criminals and Victims.” *Journal of Contemporary Ethnography* 17:435–52.
Sutton, Robert. 1991. “Maintaining Norms about Expressed Emotion: The Case of Bill Collectors.” *Administrative Science Quarterly* 36:245–68.
Thoits, Peggy A. 1986. “Multiple Identities: Examining Gender and Marital Status Differences in Distress.” *American Sociological Review* 51:259–72.
———. 1987. “Gender and Marital Status Differences in Control and Distress: Common Stress versus Unique Stress Explanation.” *Journal of Health and Social Behavior* 28:7–22.
———. 1990. “Emotional Deviance: Research Agendas.” Pp. 180–206 in *Research Agendas in the Sociology of Emotion*, edited by Theodore Kemper. Albany: State University of New York Press.
———. 1996. “Managing the Emotions of Others.” *Symbolic Interaction* 19:85–109.
Winkler, Robert L., and Hays, William L. 1975. *Statistics: Probability, Inference, and Decision*. New York: Holt, Rinehart & Winston.
Young, Forrest W., and R. M. Hamer. 1987. *Multidimensional Scaling: History, Theory and Applications*. Hillsdale, N.J.: Erlbaum Associates.
|
<urn:uuid:d34b481a-02dc-4639-88d2-cabce89e4894>
|
CC-MAIN-2023-06
|
https://digitalcommons.dartmouth.edu/cgi/viewcontent.cgi?article=1426&context=facoa
|
2023-02-01T18:35:03+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-06/subset=warc/part-00178-b5ddf469-bf28-43c4-9c36-5b5ccc3b2bf1.c000.gz.parquet
| 225,998,753
| 17,890
|
eng_Latn
|
eng_Latn
| 0.941566
|
eng_Latn
| 0.994717
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
docling
|
[
611,
1568,
3716,
6425,
9119,
11913,
15093,
17749,
20517,
21478,
24471,
27802,
30370,
33211,
36445,
39826,
42172,
43667,
46666,
49709,
52404,
55202,
58281,
59317,
62687,
63757,
66869,
70440,
73904,
76049
] |
Carbohydrates
Carbohydrates (also sugars, Latin saccharum, Greek sákcharon) are basic component of all living organism and at the same time the largest group of organic substances, making up the largest proportion of organic matter on Earth. Animal tissues and their cells contain less carbohydrates than proteins and lipids (e.g. the human body contains about 2% carbohydrates in dry matter), plants contain 85 to 90% carbohydrates in dry matter.
Knowing the structure and properties of physiologically important carbohydrates is necessary to understand their role in the human body, where sugars are the most important energy source for cells. The daily intake of carbohydrates in humans is 300-500g, the body obtains them mainly in the form of polysaccharides (60% is starch), disaccharides (30% is (sucrose), the rest is made up of other disaccharides and monosaccharides.
Biomedical significance
Carbohydrates are an important and fastest source of energy.
Carbohydrates are metabolic intermediates for synthetic processes.
They are part of nucleotides, RNA a DNA.
They form the structural elements of the membranes of lower organisms and in the form of complex liposaccharides and glykoproteins or proteoglycans are part of membranes and tissues of animals and humans.
They play an important role in internal and intercellular communication and immunity.
Humans can synthesize carbohydrates (with the exception of vitamin C) mainly from amino acids. And therfore a low-carbohydrate and high-carbohydrate diet leads to nitrogen loss or metabolic acidosis.
Composition and distribution of carbohydrates
From a chemical point of view, carbohydrates are polyhydroxyaldehydes , polyhydroxyketones and polyhydroxyalcohols, which are divided into monosaccharides, oligosaccharides and polysaccharides.
1. Monosaccharides – represent the simplest sugars, which are aldehyde or ketone derivatives of polyhydroxyalcohols with an unbranched chain. They contain at least 3 carbon atoms and at most 9 carbon atoms. These substances cannot be hydrolyzed into simpler carbohydrates.
2. Oligosaccharides contain 2–10 monosaccharide units in the molecule covalently bound by an O-glycosidic bond. They are an important part of complex lipids and proteins, where as glycolipids or glycoproteins, perform a structural and regulatory function.
Formation of hemiacetals and hemiketals
3. Polysaccharides (glykans) - are formed by a large number of covalently bound monosaccharide units, reaching a molecular weight of up to several million daltons (Da). They are also a basic component of the cell walls of plants and bacteria (e.g. cellulose, chitin), where they fulfill a supporting function. Starch in plants and glycogen in animals serve as storage substances.
Carbohydrate structure
Fischer's formulas describe the typical reactions of the carbonyl group of monosaccharides, but they cannot explain the formation of so-called hemiacetals or hemiketals and the associated formation of a glycosidic bond. The carbonyl group is very reactive, so with a sufficient length of the carbon chain (pentose, hexose), the hydroxyl group of the given molecule can be added to it, i.e. intramolecularly, creating a cyclic hemiacetal or hemiketal form. The configuration of substituents on each carbon of carbohydrates in the cyclic form is conveniently shown by Haworth conformational formulas .
Pyranoses
Carbohydrates with a six-membered ring that are derived from pyran are referred to as pyranoses , (the simplest compounds containing such a ring) by adding the suffix -ose . Similar saccharides with a five-membered ring are referred to as furanoses after the furan. Thus, the cyclic forms of glucose and fructose are glucopyranose and fructofuranose - the furanose rings are smaller than the pyranose rings.
The pyranose ring is six-membered, and therefore can have two basic conformations in space, stool and tub.
In nature, molar conformation prevails. The conformational structures show that the β-isomer is more stable because it has a bulkier –OH group in the equatorial position. Therefore, both anomers are not equally stable in solutions, and the α-anomer can change to the β-anomer. Cyclization of monosaccharides creates a new center of asymmetry at carbon C1 . The resulting two diastereoisomers are referred to as anomers and the hemiacetal or hemiketal carbon as anomeric .
In the anomer, the –OH group
on the anomeric
carbon is in the opposite
position (below the plane)
relative to the saccharide ring
than the CH 2
OH group of the chiral center, determining the D or L- configuration (for hexoses on C
Furanosis
5 ). The second anomer is referred to as the β-form. For each ring form, there is a possibility of the formation of two α- and β- anomers, which are in equilibrium with each other. Each of the two anomers of D-glucose, like each pair of diastereomers, has different physical and chemical properties. The interconversion of tautomeric forms in solution to establish a dynamic equilibrium between them is referred to as mutarotation .
Carbohydrate reactions
Carbohydrate oxidation
Carbohydrates whose anomeric carbon atom is not part of a glycosidic bond are called reducing carbohydrates , because they retain the ability to oxidize to the corresponding acid and reduce mild oxidizing agents. The most common test (evidence) for the presence of reducing carbohydrates is the Fehling test (reduction of Cu 2+ with Fehling's solution). The presence of an aldehyde group in aldoses and the primary hydroxyl groups of aldoses and ketoses enables their further oxidation. By chemical or enzymatic oxidation of aldoses, the aldehyde group changes to a carboxyl one and so-called aldonic acids are formed (e.g. gluconic acid is formed by the oxidation of glucose ). The name aldonic acids of carbohydrates is a combination of the word acid and endings -onic to the root of the name of the corresponding saccharide.
Specific oxidation of the primary alcohol group of aldoses produces uronic acids; the names of which consist of the word acid and the -uronic ending of the name of the corresponding saccharide. An important component of polysaccharides are D-glucuronic, D-galacturonic and D-mannuronic acids.
Glucuronic acid is used in the detoxification of many harmful substances in the liver (it binds phenols, alcohols , benzoic acid and other toxic substances, creating less toxic glucuronides) and as a component of glycoproteins (mucoitinsulfuric acid, chondroitinsulfuric acid). Galacturonic acid is a component of pectin.
Both aldonic and uronic acids have a strong propensity for intramolecular esterification, which leads to cyclization and the formation of the respective lactones.
Ascorbic acid ( vitamin C ) is an α-lactone, synthesized by plants and most animals (except primates and guinea pigs). Reduction of glucuronic acid produces gulonic acid, which provides gulonolactone, an intermediate in the biosynthesis of ascorbic acid. Aldaric acids (e.g. glucaric acid) are formed by simultaneous oxidation of the aldehyde group and the primary alcohol group.
Oxidation reactios of glucose
By oxidizing the aldehyde group to a carboxyl group, the newly formed compound loses its ability to form cyclic (semi-acetal) forms. Of the mentioned oxidation products of monosaccharides, the ability to form hemiacetals is therefore preserved only in the case of uronic acids.
Carbohydrate derivates
Formation of glykosides
A special group of monosaccharide ethers consists of ethers that are formed by esterification to hemiacetal hydroxyl group (i.e. on the C1 carbon of aldoses and the C2 carbon of ketoses), forming so-called glycosides, and their bond is called a glycosidic bond.
Many carbohydrates do not occur free in nature, but the hemiacetal hydroxyl group can be replaced by an organic component (e.g. alcohol, phenol, sterols, terpenic alcohols, hydroxy derivatives of heterocycles) and heteroglycosides are formed. As the hemiacetal hydroxyl group of a saccharide condenses with another monosaccharide, a
homoglycoside (glycan) of the α- and β-glycoside type is formed.
The type of glycosidic bond is very important because enzymes distinguish it very strictly. Glycosides (glykys Greek - sweet) do not have a free hemiacetal hydroxyl and therefore do not have reducing effects. According to the type of connecting atom, they are divided into O-glycosides, S-glycosides (the non-sugar residue is bound to the sugar molecule via the S atom) and N-glycosides (this includes nucleosides - part of nucleic acids, ATP). The glycosidic bond connecting the monosaccharide units of polysaccharides is actually similar to the peptide bond of proteins. Hydrolysis of glycosidic bonds is catalyzed by glycosidase enzymes, or starch and glycogen by α-amylase.
Formation of esters
Hydroxyl groups in monosaccharide molecules are also esterified (e.g. by organic acids, H3PO4 , CH3COOH). Carbohydrate esters with sulfuric acid are part of polysaccharides, especially glycosaminoglycans.
The most biologically significant are esters of monosaccharides with phosphoric acid. They represent activated forms of carbohydrates and are important intermediates of metabolic pathways, e.g. glyceraldehyde-3phosphate and dihydroxyacetone phosphate occur in the metabolism of carbohydrates in every cell. Other important esters include, for example, glucose-1-phosphate (Glc-1-P) – Cori's ester, glucose-6-phosphate (Glc-6-P) – Robinson's ester, fructose-6-phosphate (Fru-6-P ) – Neuberg ester and, last but not least, fructose-1,6-bisphosphate (Fru-1,6-PP) – Harden-Young ester.
Deoxysaccharides
Reduction (deoxygenation) of the hydroxyl group of a monosaccharide produces a deoxysaccharide.
The most biologically significant representative of this group is D-2-deoxyribose, the sugar component of DNA.
6-deoxysaccharides (also called methylpentoses), L-rhamnose (6-deoxy-Lmannose) and L-fucose (6-deoxy-L-galactose) are also found in living nature, which are important components of bacterial cell walls and some polysaccharides, especially proteoglycans.
Aminosaccharides
By replacing one or more hydroxyl groups with an amino group (–NH 2 ), which is often acetylated, amino sugars or aminosaccharides. D-glucosamine (e.g. in chitin, some antibiotics) and D-galactosamine (e.g. in chondroitin sulfate of some cartilages and tendons) are components of many biologically important polysaccharides.
Ketoses under the action of strong oxidizing agents give hydroxydicarboxylic acids with a smaller number of carbons, because the carbon chain between the first carbon and the carbon of the keto group is split. L-ascorbic acid (L-gulonic ketocarboxylic acid dehydrolactone, vitamin C) can be oxidized to biologically inactive dehydroascorbic acid.
Carbohydrate reduction
Aldoses and ketoses can also be enzymatically reduced to polyhydroxyalcohols, the so-called alcoholic sugars - alditols , by the action of mild reducing conditions . Their names are formed by adding the ending -tol to the root of the name of the corresponding aldose. During the oxidation of ketoses, the carbon of the oxo group becomes asymmetric, which is why a mixture of two alcoholic sugars differing in the position of the hydrogen and the –OH group on this carbon is formed (D-glucitol and D-mannitol are formed from D-fructose).
Oligosaccharides
Apart from glucose, the most common disaccharides and trisaccharides are found in nature. They are colorless, crystalline and sweet substances that are well soluble in water. Oligosaccharides occur in nature primarily as components of glycolipids and glycoproteins. Disaccharides are formed from two molecules of monosaccharides linked by an α- or β-glycosidic bond. It is cleaved by acid hydrolysis or enzymatically to release the corresponding monosaccharides. Nonreducing saccharides (sucrose and trehalose) are formed by joining monosaccharide units via hemiketal hydroxyls, and thus the possibility of oxidation of the carbonyl group is lost. The so-called reducing disaccharides (maltose, cellobiose, lactose) are formed by combining the hemiacetal hydroxyl of one monosaccharide molecule with an alcohol hydroxyl of the other monosaccharide.
Only 3 disaccharides occur freely in nature: sucrose, lactose and trehalose. Others are formed during the hydrolysis of polysaccharides and heteroglycosides.
The most widespread disaccharide is sucrose - O-α-D-glucopyranosyl-(1→2)-β-Dfructofuranoside (beet or cane sugar), composed of α-D-glucopyranose and β-Dfructofuranose, with an O-glycosidic bond (1 →2) connects C1 on the glucose residue with C2 on the fructose residue. By binding, it loses its reducing power, which is indicated by the ending -id in the systematic name. Sucrose is found in all plant fruits and plant juices. It is used to sweeten food and drinks and as an ingredient in various liqueurs. Hydrolysis (in an acidic environment) of sucrose into glucose and fructose is accompanied by a change in optical rotation from dextrorotatory to levorotatory, as a result of the influence of strong levorotatory D-fructose. Consequently, sucrose hydrolyzate is sometimes referred to as invert sugar. Hydrolysis of sucrose can be carried out not only with the help of acids, but also enzymatically (with sucrose).
Polysaccharides
Polysaccharides, referred to as glycans, are composed of monosaccharides (more than 10) linked by glycosidic bonds. According to their structure, we divide them into homopolysaccharides (e.g. starch, glycogen, cellulose, fructan, inulin) and heteropolysaccharides (e.g. hemicelluloses, mucilages) based on whether they are composed of one or more types of monosaccharides. Although the sequence of monosaccharides in heteropolysaccharides can be variable, usually polysaccharides are composed of only a few types of monosaccharides that are linked in a repeating sequence. Thus, polysaccharides form both linear and branched polymers, since the glycosidic bond can originate from any hydroxyl group.
According to the biological function, we distinguish structural (e.g. cellulose, chitin) and storage polysaccharides (e.g. glycogen, starch, inulin).
According to their occurrence, polysaccharides can be divided into zoopolysaccharides (e.g. glycogen, chitin), phytopolysaccharides (e.g. cellulose, pectin substances) and polysaccharides of microorganisms (dextrans).
Carbohydrate metabolism
Carbohydrates enter the body in food. They serve as a necessary source of energy and are also a source for the biosynthesis of other non-sugar compounds. Most tissues of a living organism have at least a minimal consumption of glucose. The need for glucose in the brain and in erythrocytes is unavoidable.
Glucose
Sources of glucose
Glucose is the most important monosaccharide involved in cell metabolism. It is used both as a source of energy and as a starting material for the synthesis of glycogen and other metabolites.
Blood glucose
The uniqueness of glucose as an energy substrate lies in the fact that glucose:
1. it is the only substance from which it is possible to obtain energy even in the absence of oxygen (hypoxia) and without mitochondria; precisely because of the absence of mitochondria, erythrocytes are dependent on glucose;
2. it is a source of acetylCoA, as a substrate for the citrate cycle, for some tissues - e.g. the CNS
3. it cannot be synthesized from fatty acids due to the irreversibility of the pyruvate dehydrogenase reaction. On the contrary, when there is an excess of glucose, fatty acids and subsequently triacylglycerols (TAG) can be synthesized from it.
For the above reasons, it is inevitable that a constant concentration of glucose in the blood - glycemia
- is maintained in the body .
Determination of the concentration of glucose in the blood, i.e. glycemia, is one of the most common examinations in the clinical-biochemical laboratory. The average fasting blood glucose concentration of healthy people is 3.6–6.1 mmol/l. Elevated values can indicate the possibility of diabetes mellitus, acidosis, infection, acute inflammation, CO poisoning, etc. Reduced values can be a manifestation of starvation, glycogenosis, arsenic, phosphorus poisoning, etc.
Selected methods of examination of glucose metabolism
Blood glucose determination
Determination of glycosuria
Oral glucose tolerance test
Determination of glycated hemoglobin
Glycogen
Glycogen is a storage form of carbohydrates for animals and humans. It is synthesized from glucose that has been ingested with food at a time when it was not needed as an energy source. When blood glucose levels drop, glucose is released from glycogen into the blood. The entire complex of reactions of glycogen synthesis and glycogen breakdown is catalyzed and regulated by the enzymes of glucose metabolism, glycogen synthesis and glycogen breakdown. The activities of these enzymes are in turn controlled by hormones – adrenaline, glucagon, insulin and allosteric effectors such as ATP , AMP, Glc-6-P and glucose. A comparison of the metabolism and function of glycogen in the liver and in the muscles is on the following pictures.
Glycogen metabolism
Disorders of glycogen metabolism are caused by a genetically determined lack of certain enzymes involved in this metabolism. Under pathological conditions, glycogen can be excessively stored in tissues (in the liver, heart and muscles), which impairs their function. Such diseases are called glycogenoses . The most serious are the forms in which the heart muscle is affected.
Glycoproteins
Distribution of glycoproteins
Synthesis, transport and function of glykoproteins
The first stage of oligosaccharide biosynthesis takes place in the cytosol and is completed in the lumen of the endoplasmic reticulum after the flip of dolichol-P with the bound oligosaccharide. The dolichol molecule is localized in the ER membrane.
Transport and function of glycoproteins:
1. lysosomes (obr. 9) – hydrolases
2. cytoplasmatic membrane – receptors, antigenic determinants, enzymes, structural and protective function
3. extracellular space (exocytosis) – transport glycoproteins, enzymes
4.
Clinically significant carbohydrates
Glucose
Examination of the level of glucose in the blood is not only among the most frequent examinations of carbohydrates in medical practice, but glucose is also one of the most frequently examined substances. It tells about the current state and proper regulation of carbohydrate metabolism.
The most common disease related to a violation of the regulation of glucose metabolism is diabetes mellitus . The cause of impaired glucose metabolism in diabetes is an insufficient amount of insulin to move glucose from the blood into the cells (1. low or no secretion of insulin by the pancreas, 2. sufficient insulin, but a malfunction of the insulin receptors). This results in:
long-lasting elevated blood glucose level and with it associated:
unwanted glycosylation of proteins and hemoglobin associated with organ damage (retina, kidneys, nerves, blood vessels, etc.)
glycosuria (when the blood glucose concentration exceeds 10 mmol/l - poor resorption of glucose in the proximal tubule is not enough). Because glucose is osmotically active, its transfer into the urine causes excessive urination and dehydration.
insufficient supply of glucose to the cells with the subsequent replacement use of fats as the main source of energy. Increased oxidation of fatty acids results in excessive formation of ketone bodies (acetone, acetoacetic acid, β-hydroxybutyric acid) associated with a drop in blood pH - ketoacidosis.
In addition to diabetes mellitus, examination of the blood glucose level is also used in the diagnosis of many pathological conditions that are associated with changes in carbohydrate (energy) metabolism (e.g. liver disease, hormonal disorders, some tumors, congenital metabolic disorders, poisoning).
Other monosaccharides
Defects in various enzymes of carbohydrate metabolism lead to congenital diseases. They are autosomal recessive (that is, one functional allele is enough to preserve the functionality of the enzyme) and are not frequent. The pathophysiology of these diseases can be derived from knowledge of biochemistry.
Fructose disorders of fructose metabolism can have varying medical severity. The following enzyme defects, which are inherited in an autosomal recessive manner, have been described:
lack of fructokinase – essential fructosuria, in which increased excretion of fructose in the urine occurs after ingestion of fructose. It has no other manifestations.
lack of fructose-1-phosphate aldolase – congenital intolerance of fructose, associated with the accumulation of fructose-1-phosphate. After the administration of fructose (even in the form of sucrose) it rises significantly in the blood, severe hypoglycemia occurs (convulsions and coma may also accompany it). Untreated, it has serious consequences on the central nervous system and can lead to death. People with this disorder must not consume anything containing fructose (sucrose, fruit, honey, etc.).
lack of fructose-1,6-bisphosphatase – manifests itself after administration of fructose by hypoglycemia and lactic acidosis. The conversion of fructose-1-bisphosphate to fructose-6-phosphate is impaired, thereby blocking gluconeogenesis.
Galactose
After resorption, galactose is used for the synthesis of various substances (glycoproteins, glycolipids, proteoglycans, lactose) or is converted into glucose. Pathological conditions in which this conversion is disturbed and galactose or one of the intermediate products of galactose metabolism accumulates in the body, their concentration in the blood increases and passes into the urine are called galactosemia. Galactosemias are enzyme defects with autosomal recessive inheritance. The function of the following enzymes may be impaired:
galactokinase – galactose is not phosphorylated on galactose-1-phosphate and accumulates in the blood. Within a few months after birth, it causes serious vision damage - cataract . With early diagnosis and exclusion of galactose (including breast milk ) from food, the damage can be prevented.
galactose-1-phosphate-uridyltransferases – there is no conversion of galactose-1-phosphate + UDPglucose to glucose-1-phosphate+ UDP-galactose. The result is the accumulation of galactose-1-phosphate, galactose and galactitol in various organs (eye, liver, kidney, heart, brain, intestine) and in erythrocytes, which is associated with their damage. If milk is not eliminated from the diet as soon as possible, the disorder of this enzyme manifests itself in mild forms of diarrhea and jaundice, in severe forms of severe hypoglycemia, diarrhea, mental retardation, blindness, metabolic disorders, severe liver damage and even death.
4-epimerase – the disorder of this enzyme has a benign clinical manifestation compared to the previous disorders. It is associated with a slightly increased level of galactose in the blood. The conversion of UDPgalactose to UDP-glucose is impaired.
Disaccharides
Under normal conditions, disaccharides from food are broken down into absorbable monosaccharides in the intestine. Disaccharidases found in enterocytes - lactase, maltase , isomaltase, sucrase - are responsible for this cleavage . A decrease in their activity is inherited in an autosomal recessive manner, and the number and activity of impaired enzymes can fluctuate. Either all disaccharides are missing and it is necessary to completely exclude disaccharides from the food, or the defect is isolated and only some disaccharide should be omitted from the food. Clinical manifestations of disaccharidases deficiency are usually osmotic diarrhea, abdominal discomfort (bloating, pain) and, in children, failure to thrive.
Glycogen
Glycogenoses – disorders of glycogen metabolism are again enzymatic disorders that are inherited in an autosomal recessive manner. Depending on whether it is due to a synthesis disorder or glycogen degradation as a result of damage to only one organ or several organs, it is divided into organ and generalized forms. With gradual discovery, the number of glycogenoses increases. Table 3.2 provides an overview of the most well-known types of glycogenases and their basic characteristics.
Non-enzymatic glycation of proteins
Glucose is capable to a certain extent of non-enzymatically binding to free amino groups of lysine to form a Schiff base. In this way, for example, < 6% of hemoglobin is glycated. This process is reversible and the glycation is directly proportional to blood glucose levels over the past month or so. Therefore, the % of glycated hemoglobin is determined in diabetics to assess the quality of their long-term compensation.
The consequences of non-enzymatic glycation of proteins are, for example, inactivation of enzymes, inhibition of the formation of regulatory molecules, cross-linking of glycoproteins, reduced sensitivity to proteolysis, abnormalities in function.
Tabulka 1 Poruchy metabolizmu glykogenu
Links
Related articles
Carbohydrates in Human Nutrition
Lipids (1. LF UK, NT) • Lipids in Human Nutrition • Lipids as an energy source • Fatty acids
Proteins in the diet • Amino Acids
Diabetes Mellitus • Glycogenosis
Used literature: Lekárska biochémia , Dušan Dobrota a kolektív
|
<urn:uuid:a8b57704-dd0f-4385-ae21-ccf335b08d52>
|
CC-MAIN-2023-50
|
https://webservices3.lf1.cuni.cz/printbook-render/data/Sh8kaI3AmJH7nBv0UFDWLNo49sQKyr1VMZjTuxdq/Article.pdf
|
2023-12-09T01:06:05+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00050-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet
| 688,607,137
| 5,904
|
eng_Latn
|
eng_Latn
| 0.988657
|
eng_Latn
| 0.992194
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
4384,
7416,
11353,
15037,
17557,
18870,
24308,
25342
] |
Samsung's reputation on the line
Men
Em
BUSINESS
Samsung's reputation on the line
By
Mitchell Hartman
October 06, 2016 | 4:33 PM
Samsung, the South Korean electronics company, faces new scrutiny and potential damage to its reputation, after a Samsung smartphone overheated and began smoking https://www.marketplace.org/2016/10/06/world/samsungs-reputation-line[10/6/2016 8:47:29 PM]
on an airplane waiting on the tarmac in Louisville, Kentucky, causing the passengers to be evacuated.
The owner of the phone told news organizations that it was a Samsung Galaxy Note 7 that had been replaced by the company several weeks ago, as part of the company's recall of its phones worldwide. There is a risk that the phone's lithium-ion battery can overheat and melt elements of the phone.
Samsung emailed a statement to Marketplace stating: "Until we are able to retrieve the device, we cannot confirm that this incident involves the new Note 7. We are working with the authorities to recover the device and confirm the cause. Once we have examined the device we will have more information to share."
Samsung was already reeling from the recall last month of the new Galaxy Note 7, which is meant to compete with Apple's just-launched iPhone 7.
The recent incident, if it is confirmed to involve a replacement Galaxy Note 7, could be disastrous for the company's reputation, said business professor David Ross at the University of Florida, by creating "a general sense in the public that, 'Oh my god, this is the most dangerous phone ever.' That's why it's so important for them to try do deal with this—'We made a mistake, it's never going to happen again.'"
Troy Stangarone at the Korea Economic Institute said that until now, Samsung has been dealing fairly well with the widely-documented battery problems with its Galaxy Note 7. He said the company got ahead of the story by announcing a global recall quickly, issuing software patches and getting replacement phones out right away.
"I think they've tried to be as customer-friendly and efficient as possible," said Stangarone. "But the longer the story goes on, the more questions people will have about Samsung's phone, and whether they should consider it or consider an alternative."
West Virginia University management professor Usha Haley said Samsung has already lost too much ground in its competition with Apple to salvage the Galaxy Note 7 with further repairs and replacements.
"When government agencies in the United States flag it as a danger," said Haley, "that's a huge hit to the brand name. Samsung should just get to the next generation, the next item, the next model."
https://www.marketplace.org/2016/10/06/world/samsungs-reputation-line[10/6/2016 8:47:29 PM]
Haley said Samsung is already trailing Apple in its reputation for innovation, and she said the company needs to shift focus to its next major challenge: competing for new customers in China, the world's biggest smartphone market.
Follow Mitchell Hartman at@entrepreneurguy.
Mitchell Hartman is the senior reporter forMarketplace's Entrepreneurship Desk and also covers employment. A veteranMarketplacereporter, he was hired in 1994 as an assistant producer on theMarketplace Morning Report, hosted that program in 1996 and 1997...
Read More
Twitter: entrepreneurguy
F TW
ADD A COMMENT
Subscribe to the Marketplace newsletter.
support us
[email protected]
SUBSCRIBE
Follow the Podcast https://www.marketplace.org/2016/10/06/world/samsungs-reputation-line[10/6/2016 8:47:29 PM]
Business • World • Life • Tech • Sustainability • Education • Wealth & Poverty • Entertainment • Money
ACCESS: Marketplace Apps • Newsletters • Podcasts • Stations • Contact • Submissions
© 2016Minnesota Public Radio. All Rights Reserved.
FOLLOW US ON:
About | Contact | Terms of Use | Privacy Policy | Feedback
FACEBOOK facebook TWITTER twitter instagram
https://www.marketplace.org/2016/10/06/world/samsungs-reputation-line[10/6/2016 8:47:29 PM]
|
<urn:uuid:f3efe864-23c8-49ba-8f56-9c8d9e885b01>
|
CC-MAIN-2017-39
|
http://newasianemperors.com/Marketplace-NPR-Oct2016.pdf
|
2017-09-19T22:18:35Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-39/segments/1505818686043.16/warc/CC-MAIN-20170919221032-20170920001032-00460.warc.gz
| 240,563,608
| 901
|
eng_Latn
|
eng_Latn
| 0.839113
|
eng_Latn
| 0.997474
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
390,
2743,
3534,
3989
] |
ORIENTALMATIK 1500
Locatelli Macchine S.r.l.
Via Maestri del Lavoro, 21-27C
24048 Treviolo, BG - Italy
Tel. +39 - 035 541318
www.locmac.it
[email protected]
Automatic sanding machine for turned pieces. It is fitted with 2 axis with sanding belts controlled by CNC and 2 sets of adjustable oscillating sanding brushes, suitable for sanding pieces with a maximum length of 1500mm, max. diameter 170mm and 120x120mm maximum square.
Details
- The course and fine belts are used for sanding the simple contours of the turning.
- The adjustable oscillating and stroking brushes are used for sanding the more complicated sections of the turnings.
- There are six stations with a rotating drums and the machining process goes through the following stages:
- Turned piece is loaded from hopper and clamped
- Course profile sanding with belt
- Fine profile sanding with belt
- Course brush back sanding
- Fine brush back sanding
- Ejection of sanded piece.
- The machine will sand:
- On either the forward or the return stroke only
- Both in the forward and return strokes.
Safety
Machine complies with CE standards to guarantee highest operator safety.
Decibel
The total noise of the plants is less than 85 decibels.
Weight
Weight Kgs:3890
Excellence policy
Deep knowledge of detailed customer needs is a true passion at Locatelli Macchine, empowering Research and Development efforts in the design of high performance, versatile machines, which are extremely reliable and easy to use. In order to meet all regulatory standards and to ensure maximum quality of processing, only components which satisfy the highest market standards are taken into consideration for Locatelli Machine products. Our technical assistance service provides an immediate response to technical inquiries arising from our wide range of international customers.
|
f79f8803-2943-4485-a0dc-26cec38c5e45
|
CC-MAIN-2021-21
|
https://www.locmac.it/wp-content/uploads/2020/12/Brochure-Orientalmatik-Eng.pdf
|
2021-05-17T12:26:26+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-21/subset=warc/part-00065-2bb1ba05-1421-4b90-a3f4-bbc46b4a29a5.c000.gz.parquet
| 888,463,289
| 417
|
eng_Latn
|
eng_Latn
| 0.499621
|
eng_Latn
| 0.992975
|
[
"mlt_Latn",
"eng_Latn"
] | true
|
docling
|
[
155,
1849
] |
Florida Law Review
Volume 60 Issue 4 September 2008
Article 8
11-18-2012
Distilling Minimum Due Process Requirements for Punitive Damages Awards
Benjamin J. Robinson
Follow this and additional works at: http://scholarship.law.ufl.edu/flr
Part of the Civil Procedure Commons
Recommended Citation
Benjamin J. Robinson, Distilling Minimum Due Process Requirements for Punitive Damages Awards, 60 Fla. L. Rev. 991 (2008). Available at: http://scholarship.law.ufl.edu/flr/vol60/iss4/8
This Case Comment is brought to you for free and open access by UF Law Scholarship Repository. It has been accepted for inclusion in Florida Law Review by an authorized administrator of UF Law Scholarship Repository. For more information, please contact [email protected].
DISTILLING MINIMUM DUE PROCESS REQUIREMENTS FOR PUNITIVE DAMAGES AWARDS
Philip Morris USA v. Williams, 127 S. Ct. 1057 (2007)
Benjamin J. Robinson *
An Oregon jury found that Jesse Williams, a long time consumer of Petitioner's Marlboro cigarettes, died because he consumed those cigarettes. The jury was convinced that Williams consumed Petitioner's 1 cigarettes because he believed they were safe to use, and that Petitioner knowingly and falsely led Williams to believe that its cigarettes were safe to consume. As a consequence, the jury awarded Respondent, Williams' 2 widow and personal representative, compensatory damages and imposed 3 punitive damages of $79.5 million—roughly equivalent to Petitioner's profits during any two-and-a-half-week period for the year in which the judgment was awarded. The trial judge found the punitive damages award 4 excessive and reduced it by approximately sixty percent. Petitioner and 5 Respondent appealed. An Oregon Court of Appeals restored the jury's 6 punitive damages award and the Oregon Supreme Court denied Petitioner 7 further review. The United States Supreme Court granted certiorari and 8 remanded the case in light of its recent punitive damages jurisprudence. 9 The Oregon Court of Appeals once again upheld the jury's punitive damages award, and Petitioner sought review in the Oregon Supreme Court. That court granted review and held that the punitive damages 10 award was not grossly excessive in light of Petitioner's reprehensible conduct. The United States Supreme Court again granted certiorari and, 11
* A.B. Wabash College; J.D. University of Florida Levin College of Law. For my wife, Debra L. Rosenbluth, and for Professor Sharon E. Rush.
1. Philip Morris USA v. Williams, 127 S. Ct. 1057, 1060–61 (2007).
2. Id. at 1061.
3. Id. at 1060–61.
4. Williams v. Philip Morris Inc., 48 P.3d 824, 841 (Or. Ct. App. 2002), vacated, Philip Morris USA Inc. v. Williams, 540 U.S. 801 (2003).
5. Philip Morris, 127 S. Ct. at 1061.
6. Id.
7. Id.
8. Id.
9. See Philip Morris, 540 U.S. at 801 (granting certiorari). The Supreme Court remanded the case in light of State Farm Mutual Automobile Insurance Co. v. Campbell, 538 U.S. 408 (2003). Id. State Farm invalidated a $145-million punitive damages award as excessive under the Due Process Clause. State Farm, 538 U.S. at 429.
10. Philip Morris, 127 S. Ct. at 1061.
11. Id. at 1062.
Published by UF Law Scholarship Repository, 2008
992
[Vol. 60
in vacating and remanding the case, HELD that a punitive damages award based in part upon the desire to punish a defendant for harming persons not before the court amounts to a taking of property from the defendant without due process of law. 12
Punitive damages awards serve three primary functions. They 13 (1) punish a defendant's wrongdoing; (2) deter the defendant and others from similar misconduct; and (3) aid in recovering litigation expenses. 14 15 Philip Morris USA v. Williams is the latest in a series of recent cases in 16 which the Supreme Court has confronted whether and to what extent the Constitution imposes procedural requirements and substantive limits on punitive damages awards. 17
12. Id. at 1060, 1062. In Mathews v. Eldridge, 424 U.S. 319 (1976), the Supreme Court summarized the factors a court will generally consider when determining whether a liberty or property deprivation was unconstitutionally effected:
[D]ue process generally requires consideration of three distinct factors: First, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government's interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.
Id. at 335.
13. See generally 1 LINDA L. SCHLUETER, PUNITIVE DAMAGES §§ 2.0–2.2 (5th ed. 2005) (addressing the nature and purposes of punitive damages).
14. Philip Morris, 127 S. Ct. at 1068 (Ginsburg, J., dissenting) ("The purpose of punitive damages . . . is not to compensate, but to punish."); see also BMW of N. Am., Inc. v. Gore, 517 U.S. 559, 568 (1996); Pac. Mut. Life Ins. Co. v. Haslip, 499 U.S. 1, 19 (1991) ("[P]unitive damages are imposed for purposes of retribution and deterrence."); SCHLUETER, supra note 13, at 29.
15. SCHLUETER, supra note 13, at 34.
16. 127 S. Ct. 1057 (2007).
17. The Supreme Court commented on the propriety of punitive damages as far back as 1851. Day v. Woodworth, 54 U.S. (13 How.) 363, 371 (1851) (acknowledging more than one hundred years of punitive damages awards and concluding that "a jury may inflict . . . exemplary, punitive, or vindictive damages upon a defendant, having in view the enormity of his offence rather than the measure of compensation to the plaintiff"). Yet, the Court has more recently constrained punitive damages awards under the principles of procedural due process, substantive due process, the dormant commerce clause, and horizontal federalism. See State Farm Mut. Auto. Ins. Co. v. Campbell, 538 U.S. 408, 416 (2003) (holding that there are substantive due process limitations on punitive damages awards that proscribe "grossly excessive" and "arbitrary" punishment); Cooper Indus., Inc. v. Leatherman Tool Group, Inc., 532 U.S. 424, 436 (2001) (holding that appellate courts must review the constitutional propriety of punitive damage awards de novo); BMW, 517 U.S. at 568 (holding that the Constitution prohibits grossly excessive punishment of tortfeasors); Honda Motor Co. v. Oberg, 512 U.S. 415, 434–35 (1994) (holding that due process requires judicial review of punitive damages awards); TXO Prod. Corp. v. Alliance Res. Corp., 509 U.S. 443, 453–54 (1993) (announcing that the Due Process Clause "imposes substantive limits 'beyond which penalties may not go'") (quoting Seaboard Air Line Ry. v. Seegers, 207 U.S. 73, 78 (1907));
http://scholarship.law.ufl.edu/flr/vol60/iss4/8
993
In Honda Motor Co. v. Oberg, the Court considered whether a state 18 could prohibit judicial review of the size of a punitive damages award. 19 The defendant had manufactured and sold an all-terrain vehicle that overturned and severely injured the plaintiff. The plaintiff sued alleging 20 that the manufacturer knew or should have known that the vehicle's design was unreasonably dangerous. The jury found the defendant liable and 21 awarded the plaintiff nearly $1 million in compensatory damages and 22 punitive damages of $5 million. The defendant appealed, arguing that the 23 punitive damages award violated the Due Process Clause of the Fourteenth Amendment because the amount was excessive and because the state court lacked the power to review excessive verdicts. Both an Oregon court of 24 appeals and the Oregon Supreme Court upheld the $5-million award. The 25 Supreme Court granted certiorari and held that a state cannot deny 26 judicial review of the size of a punitive damages award in a manner inconsistent with the common law without violating the Fourteenth Amendment's Due Process Clause. Significantly, before addressing the 27
Haslip, 499 U.S. at 23 n.11 (noting that the Due Process Clause imposes both a procedural and a substantive limit on the size of punitive damages awards).
18. 512 U.S. 415 (1994).
19. The Oregon Constitution prohibited review of the punitive damages amount awarded by a jury unless the reviewing court could positively say there was no evidence to support the verdict. Id. at 418.
20. Id.
21. Id.
22. Id. The jury awarded $919,390.39 in compensatory damages. Id. The compensatory damages were reduced by 20%, to $735,512.31, because the plaintiff's own negligent conduct contributed to the accident. Id.
23. Id.
24. Honda Motor, 512 U.S. at 415.
25. Id. The standard for post-verdict review applied by the Oregon Supreme Court required that:
A jury's award of punitive damages shall not be disturbed when it is within the range that a rational juror would be entitled to award in the light of the record as a whole; the range that a rational juror would be entitled to award depends, in turn, on the statutory and common law factors that allow an award of punitive damages for the specific kind of claim at issue.
Oberg v. Honda Motor Co., 888 P.2d 8, 10 (1995). An amendment to the Oregon Constitution prohibited judicial review of an amount of punitive damages awarded by a jury "unless the court can affirmatively say there is no evidence to support the verdict." Honda Motor, 512 U.S. at 427 n.5 (quoting OR. CONST. art. VII, § 3).
26. Honda Motor Co. v. Oberg, 510 U.S. 1068 (1994).
27. Honda Motor, 512 U.S. at 418. The Court granted review specifically to consider whether Oregon's limited judicial review complied with the Court's decision in Haslip, 499 U.S. 1 (1991). Id. at 420. The defendant relied on Haslip before the Oregon Court of Appeals and argued that the punitive damages award violated due process because the award was excessive and because Oregon
Published by UF Law Scholarship Repository, 2008
994
[Vol. 60
procedural due process issue, Justice Stevens, writing for the majority of the Court, endorsed the use of substantive due process for the judicial review of punitive damages awards. 28
The Court reasoned that Oregon's abrogation of a well-established common law protection against arbitrary deprivations of property presumptively violated procedural due process. The Court observed that 29 an Oregon court could only overturn a punitive damages award if it could not find any substantial evidence to support any punitive damages award. While Oregon law ensured that punitive damages would not be awarded against defendants entirely innocent of conduct warranting exemplary damages, the Court said that the Oregon procedure provided no assurance that those whose conduct is sanctionable will be protected from punitive damages of arbitrary amounts. The Court also reasoned that "evidence 30 of culpability warranting some punishment is not a substitute for evidence providing at least a rational basis for the particular deprivation of property imposed by the State to deter future wrongdoing." The Court recognized 31 that a jury's power to award punitive damages poses an acute danger of the arbitrary deprivation of property and furthermore, that Oregon removed a judicial safeguard against such risk without providing an adequate substitute procedure. By restricting the ability of the judiciary to review 32 the size of punitive damage awards, the Supreme Court concluded that the Oregon Constitution violated a defendant's right to due process. 33
Yet, the ruling in Honda Motor was not based merely on the presumption of unconstitutionality that arose from Oregon's procedural defects. Justice Stevens explained that jury discretion regarding the amount of punitive damages created a danger that defendants would be arbitrarily deprived of property through excessive jury awards. However, 34 the majority opinion did not set forth standards for determining when a punitive damages award was so excessive that it violated substantive due process even if the trial and appellate courts had provided the defendant with fair procedures. 35
courts lacked the power to correct excessive verdicts. Id. at 418.
28. The Honda majority noted that its "recent cases have recognized that the Constitution imposes a substantive limit on the size of punitive damages awards . . . [a]lthough they fail to 'draw a mathematical bright line between the constitutionally acceptable and the constitutionally unacceptable.'" Id. at 420 (quoting TXO Prod. Corp. v. Alliance Res. Corp., 509 U.S. 443, 458 (1993)).
29. Id. at 430.
30. Honda Motor, 512 U.S. at 429.
31. Id.
32. Id. at 432.
33. Id.
34. Id.
35. See id. at 432 n.10 (indicating that a proper standard might be akin to the standard that
http://scholarship.law.ufl.edu/flr/vol60/iss4/8
995
Only two years later, in BMW of North America, Inc. v. Gore, the 36 Court for the first time reversed an award of punitive damages on the grounds that it was unconstitutionally excessive under the Due Process Clause. In Gore, the plaintiff purchased an automobile that defendant 37 misrepresented as new, when in fact the vehicle had been damaged and repaired prior to its sale. The plaintiff prevailed at trial, and the Alabama 38 Supreme Court imposed a $2-million punitive damages award. The 39 Supreme Court reversed, holding that although a state may impose punitive damages to deter unlawful conduct, the Fourteenth Amendment's Due Process Clause prohibits states from imposing grossly excessive punishments on tortfeasors. Additionally, the Court held that a state 40 cannot allow recovery of punitive damages sought to either deter future conduct in another state where such conduct is lawful, or to recover for past conduct in another state when such conduct did not have an impact upon the forum state. 41
Writing for the majority, Justice Stevens first addressed the scope of harmful conduct that a state may legitimately seek to punish through punitive damages. According to the Court, the jury in BMW had 42 improperly calculated the punitive damages award on the basis of harm to every purchaser nationwide whom BMW failed to inform of the pre-sale the Court used to determine whether there was a sufficient factual basis to justify a finding of guilt in a criminal case). Significantly, the Court also rejected a contention that an adoption of a statutory clear-and-convincing standard for an award of punitive damages was adequate because the adoption of such a standard did not provide any assurance that those whose conduct was sanctionable by punitive damages would not be subjected to punitive damages for arbitrary amounts. Id. at 433. Finally, the Court rejected a contention that proper jury instructions provided an adequate safeguard because of the risk that juries may choose not to follow such instructions and thereafter render lawless, biased, or arbitrary verdicts. Id. at 433 & n.11. Hence, in the absence of an available review of the size of the punitive damage award, the Court ruled that the defendant had been denied due process of law. See supra text accompanying note 31.
36. 517 U.S. 559 (1996).
37. Id. at 585–86.
38. Id. at 563. The jury found that the defendant did not disclose the repair. Id. at 579–80.
39. BMW of N. Am., Inc. v. Gore, 646 So. 2d 619, 629 (Ala. 1994). The Supreme Court of Alabama found the jury's award of $4 million excessive and reduced it to $2 million. Id.
40. BMW, 517 U.S. at 585–86. But see TXO Prod. Corp. v. Alliance Res. Corp., 509 U.S. 443, 451–53 (1993) (upholding a $10-million punitive damages award where plaintiff recovered $19,000 in compensatory damages).
41. BMW, 517 U.S. at 572–73. The Court reasoned that while punitive damages may properly be imposed to further a state's legitimate interests in punishing unlawful conduct and deterring its repetition within its jurisdiction, the principles of state sovereignty and comity preclude imposing punitive damages for extraterritorial conduct that does not affect its consumers. Id. at 572. It said that while each state has the power to protect its own consumers, none may use the deterrent of punitive damages as a means of imposing its regulatory policies on an entire nation. Id. at 585.
42.
Id
. at 568–69.
Published by UF Law Scholarship Repository, 2008
996
[Vol. 60
repainting. BMW established three "guideposts" to determine whether 43 punitive damages awards are grossly excessive and therefore violate due process. First, a court must consider the degree of reprehensibility of the 44 defendant's misconduct. Second, a court must evaluate the disparity 45 between the actual or potential harm suffered by the plaintiff and the punitive damages award. Third, a court must reconcile the difference 46 between the punitive damages awarded by the jury and the civil penalties authorized or imposed in comparable cases. 47
Applying these guideposts, the Court invalidated the punitive damages award under review. The defendant's misconduct—failing to inform a 48 customer that the new car he purchased had been repainted—was dismissed as "purely economic" and "not sufficiently reprehensible to warrant imposition of a $2 million exemplary damages award." 49 Regarding the relationship between the punitive award and the harm inflicted on the plaintiff, the Court concluded that the 500:1 ratio was "breathtaking" and "'raise[d] a suspicious judicial eyebrow'" placing the award beyond the acceptable range. Finally, the Court noted that the 50 maximum civil penalty for the defendant's misconduct in Alabama, the plaintiff's home state, would have been $2,000, with other states authorizing up to $10,000. Such an amount was clearly less than the 51 $2-million punitive award imposed by the Alabama jury, was grossly
43. Id. at 573; see also, Laura J. Hines, Due Process Limitations on Punitive Damages: Why State Farm Won't Be the Last Word, 37 AKRON L. REV. 779, 785 (2004) ("The Court left for another day, however, the question of whether a state may base a punitive damages award on unlawful conduct in other states."). Significantly, the nondisclosure of manufacturer repainting was expressly lawful in many states. Id. at 785.
44. BMW, 517 U.S. at 574–75. Justice Scalia dissented, criticizing what he regarded as the illegitimate federalization of "yet another aspect of our Nation's legal culture (no matter how much in need of correction it may be)." BMW, 517 U.S. at 599 (Scalia, J., dissenting); see also Hines, supra note 43, at 782–89 (discussing the Supreme Court's punitive damages jurisprudence before State Farm). Justice Scalia observed that the Due Process Clause only guarantees "an opportunity to contest the reasonableness of a damages judgment in state court; but there is no federal guarantee a damages award actually be reasonable." BMW, 517 U.S. at 599 (Scalia, J., dissenting). Justice Ginsburg also dissented, arguing that the Court "unnecessarily and unwisely ventures [further] into territory traditionally within the States' domain." Id. at 607 (Ginsburg, J., dissenting).
45. Id. at 575 (suggesting that the degree of reprehensibility is "[p]erhaps the most important indicium of the reasonableness of a punitive damages award").
46. Id. at 580.
47. Id. at 575. The Court reasoned that under judicial precedent, it was more appropriate to apply such a standard than to draw a bright line based upon a ratio between compensatory and punitive damages. Id. at 582–83, 585.
48. Id. at 585–86.
49. Id. at 576, 580.
50. BMW, 517 U.S. at 583 (quoting TXO Prod. Corp. v. Alliance Res. Corp., 509 U.S. 443, 481 (1993) (O'Connor, J., dissenting)).
51. Id. at 584.
http://scholarship.law.ufl.edu/flr/vol60/iss4/8
997
excessive, and "transcend[ed] the constitutional limit." 52
Any unwillingness to advocate a tolerable ratio of compensatory to punitive damages quickly faded when the Court considered State Farm Mutual Automobile Insurance Co. v. Campbell. In State Farm, the Court 53 again invalidated a punitive damages award as excessive under the Due Process Clause. The plaintiffs sued the defendant for bad-faith failure to 54 settle an insurance claim within policy limits. A jury awarded $145 55 million in punitive damages, but the trial court reduced that award to $25 million. The Utah Supreme Court applied BMW's three guideposts and 56 reinstated the jury's punitive damages award. The U.S. Supreme Court 57 granted certiorari, believing it neither close nor difficult that a $145-million punitive damages award was excessive under each of BMW's guideposts. 58
Under the first guidepost, the Court said there was some reprehensibility associated with the defendant's refusal to settle a third-party claim where the liability appeared to be clear and the damages exceeded the plaintiffs' policy limits. The Court reasoned, however, that 59 the lower court erred in accepting extensive evidence of misconduct that lacked a nexus to the insured's third-party claim. Expanding on the 60
52. Id. at 586; see also A. Benjamin Spencer, Due Process and Punitive Damages: The Error of Federal Excessiveness Jurisprudence, 79 S. CAL. L. REV. 1085, 1096–99 (2006) (reviewing the raised-eyebrow test, among others).
53. 538 U.S. 408 (2003).
54. Id. at 429.
55. Id. at 413–14.
56. Id. at 415. The jury also awarded $2.6 million in compensatory damages. Id. The trial court reduced the compensatory damages to $1 million. Id.
57.
Id.
58. Id. at 416, 418. In Cooper Industries, Inc. v. Leatherman Tool Group, Inc., 532 U.S. 424 (2001), the Supreme Court held that an appellate court must review, de novo, a trial court's application of the BMW guideposts. Id. at 431. Justice Ginsburg, however, advocated applying an abuse of discretion standard. Id. at 444 (Ginsburg, J., dissenting). In State Farm, the Court reaffirmed Cooper's mandate of de novo review to ensure that punitive damages awards were based on law and not the decision-maker's caprice. State Farm, 538 U.S. at 418.
59. State Farm, 538 U.S. at 419–20. The Court asserted that BMW's reprehensibility guidepost required courts to consider five factors, including whether:
[T]he harm caused was physical as opposed to economic; the tortious conduct evinced an indifference to or a reckless disregard of the health or safety of others; the target of the conduct had financial vulnerability; the conduct involved repeated actions or was an isolated incident; and the harm was the result of intentional malice, trickery, or deceit, or mere accident.
Id
. (citing BMW of N. Am. v. Gore, 517 U.S. 559, 576–77 (1996)).
60. See id. at 422 ("Lawful out-of-state conduct may be probative when it demonstrates the deliberateness and culpability of the defendant's action in the State where it is tortious, but that
Published by UF Law Scholarship Repository, 2008
998
Florida Law Review
[Vol. 60
federalism and procedural due process concerns it raised in BMW, the Court held that the state had impermissibly infringed upon the sovereignty of its sister states by punishing the defendant for conduct that occurred outside its jurisdiction. Regardless of whether other states would regard 61 the defendant's conduct as lawful or unlawful, the Court ruled that no state has a legitimate interest in punishing conduct outside its borders. Yet, the 62 Court acknowledged that its prior cases established that a plaintiff could introduce out-of-state conduct to demonstrate the relative reprehensibility of a defendant's in-state conduct. It concluded, however, that the punitive 63 damages award upheld by the Utah Supreme Court violated due process because it punished the defendant for conduct "independent from the acts upon which liability was premised . . . ." Thus, the Court signaled that 64 any assessment of reprehensibility under the BMW guidepost must be limited to the conduct that caused harm to the plaintiff.
The Court considered BMW's second excessiveness guidepost—the disparity between harm and the damages—and again refused to impose a bright-line ratio of punitive to compensatory damages. However, the 65 Court suggested that reviewing courts apply a significantly narrowed range for assessing the excessiveness of a punitive damages award. The Court 66 rejected State Farm's 145:1 ratio as excessive and discussed a host of 67 factors justifying ratios of 1:1 or 4:1, before concluding that "few awards exceeding a single-digit ratio" between punitive and compensatory damages will satisfy due process. The Court briefly considered the third 68 guidepost, and concluded that in light of the $2.6 million in compensatory damages awarded to the plaintiffs, a punitive award near the amount of conduct must have a nexus to the specific harm suffered by the plaintiff.").
61. Id. The Court emphasized as fundamental principles of federalism that each state may determine what conduct is permitted and proscribed within its borders and what measure of punishment, if any, to impose on wrongdoers within its jurisdiction. Id.
62. Id. at 421.
63. First, the Court reasoned that such conduct might reveal the deliberateness and culpability of a defendant's actions. Id. at 422. Second, prior misconduct, whether inside or out of the court's jurisdiction, may be relevant because a recidivist may be punished more harshly than a first offender, if the conduct in question is similar to prior transgressions. Id. at 423.
64. Id. at 422.
65. Id. at 424–25.
66. See id. at 425 ("Single-digit multipliers are more likely to comport with due process, while still achieving the State's goals of deterrence and retribution, than awards with ratios in range of 500 to 1 . . . .").
67. Id. at 425, 429. The Court reasoned that this conclusion was especially true in a case where compensatory damages are substantial. Id. at 429. Because the punitive damage award in the instant case was excessive, the lower court was instructed to determine the proper amount of punitive damages on remand. Id.
68. Id. at 425. The Court pointed to a "long legislative history, dating back over 700 years . . . providing for sanctions of double, treble, or quadruple damages to deter and punish." Id.
http://scholarship.law.ufl.edu/flr/vol60/iss4/8
999
compensatory damages was appropriate. 69
In vacating the Oregon Supreme Court's judgment, the Philip Morris Court again signaled its reluctance to articulate a concrete constitutional limit on the ratio between harm to the plaintiff and the punitive damages award. Instead, the Philip Morris Court focused on a threshold procedural due process requirement to invalidate a jury award based partly on a jury's desire to punish the defendant for harming nonparties. The Philip Morris 70 Court reiterated BMW's reasoning that states may impose punitive damages to further their legitimate interests in punishing and deterring unlawful conduct. Yet those interests, the Philip Morris Court reasoned, 71 could not be accomplished by assessing arbitrary punishments. Arbitrary 72 punishments are avoided when states insist on standards that delineate the jury's discretionary authority. Without those proper standards, states' 73 punitive damages systems compromise State Farm's assurance of fair notice concerning the severity of a penalty a state may impose. 74
Further, the Philip Morris Court found that where punitive damages amounts are significant, a punitive damages system that lacks proper standards may impose the public policy preferences of one state—or one jury—upon sister states with different policies. Thus, as in Honda, the 75 Philip Morris Court found that the Constitution imposes limits on both the procedures related to punitive damages awards and on grossly excessive amounts. The Philip Morris Court's inquiry focused on Oregon's 76 procedural defects. 77
For three reasons, the Philip Morris Court held that the Due Process Clause forbids a state from using a punitive damages award to punish a defendant for harm inflicted on "strangers" to the litigation. First, a 78 defendant threatened with punishment for injury inflicted upon strangers has no opportunity to defend against the charge. Second, permitting such 79
69. Id. at 428–29. The Court evaluated the difference between the punitive damages awarded by the jury and the civil penalties authorized or imposed in comparable cases. Id. at 428. The Court noted that the most relevant civil sanction under Utah state law appeared to be a $10,000 fine for an act of fraud. Id.
```
70. Philip Morris USA v. Williams, 127 S. Ct. 1057, 1060 (2007). 71. Id. at 1062 (citing BMW of N. Am. v. Gore, 517 U.S. 559, 568 (1996)). 72. Id. 73. Id. 74. Id. (citing BMW, 517 U.S. at 574). 75. Id. (citing BMW, 517 U.S. at 571–72).
```
76. Philip Morris, 127 S. Ct. at 1062. The Philip Morris Court considered only whether Oregon had unconstitutionally permitted the Petitioner to be punished for harming nonparty victims and avoided the question whether the punitive damages award was "grossly excessive" and therefore constitutionally defective. Id.
77.
Id
. at 1063.
78.
Id.
79. Id. The Philip Morris Court reasoned that allowing a jury to punish a defendant for harm
Published by UF Law Scholarship Repository, 2008
1000
Florida Law Review
[Vol. 60
punishment would add a "near standardless dimension to the punitive damages equation" and would magnify the fundamental due process concerns—namely arbitrariness, uncertainty, and lack of notice—that the Court has wrestled with throughout its punitive damages jurisprudence. 80 Third, the Philip Morris Court found no authority to support the use of punitive damages awards to punish a defendant for harming others. 81
The Court, however, sympathized with Respondent's argument that demonstrating harm to others is relevant to reprehensibility. The Court 82 observed that evidence of actual harm to nonparties can help show that the conduct that harmed a plaintiff posed additional, substantial risk to the general public and was, therefore, particularly reprehensible. However, 83 the Court noted that a jury must not take the additional leap forward to use a punitive damages award to punish a defendant directly for harms to the nonparty public. Because imprecise procedure risks unfairness, the Court 84 found it constitutionally important for a court to ensure that each jury is "ask[ing] the right question." Similarly, because of the risks of 85 arbitrariness, inadequate notice, and imposing one state's policies on other states, the Court found it particularly important that states avoid procedures that unnecessarily deprive juries of proper legal guidance. 86
The Philip Morris Court then examined the Oregon Supreme Court's opinion. It observed that Oregon focused on more than the defendant's 87 reprehensible conduct. In particular, the Court focused on three 88 statements the state's high court made in rejecting Petitioner's claim that the Constitution prohibits using punitive damages to punish a defendant for harm to nonparties. First, the Court noted that the state supreme court 89 correctly concluded that State Farm held that only a jury could not base an award on dissimilar acts of a defendant. Second, the Court criticized the 90 Oregon Supreme Court's conclusion that if a jury cannot punish for the reprehensible conduct, there could be no reason to consider such conduct. 91 Instead, the Court reasoned that the Due Process Clause prohibits a state to nonparties was said to deprive such defendant of its right "'to present every available defense'" to the claims at issue. Id. (quoting Lindsey v. Normet, 405 U.S. 56, 66 (1972)).
```
80. Id. 81. Id. 82. Philip Morris, 127 S. Ct. at 1063–65. 83. Id. at 1064. 84. Id. 85. Id. 86. Id. 87. Id. at 1064–65. 88. Philip Morris, 127 S. Ct. at 1064. 89. Id. at 1064–65. 90. Id. The Court then explicitly held that a jury may not punish for harm to others. Id. at 1065. 91. Id.
```
http://scholarship.law.ufl.edu/flr/vol60/iss4/8
10
1001
from inflicting punishment for harm to nonparties, but permits a jury to consider such harm in determining reprehensibility. Finally, the Court 92 considered whether a jury could consider harm to nonparties and nevertheless withhold that consideration from the "punishment calculus." 93 The Court said that "state courts cannot authorize procedures that create an unreasonable and unnecessary risk of any such confusion occurring" when juries factor nonparty harm in the punishment calculus. The Court 94 concluded that while substantial procedural flexibility exists for states to determine what kind of procedures to implement to protect against that risk, federal constitutional law obligates the states to provide some form of protection where the risk of misunderstanding is significant. 95
Justice Stevens, who had written for the Court in both BMW and 96 Honda, dissented. He reiterated the importance of substantive and 97 98 procedural constraints on states's power to impose punitive damages, but 99 strongly criticized the majority's effort to distinguish between: (1) taking third-party harm into account for assessing the reprehensibility of the defendant's conduct, which the majority permitted; and (2) assessing thirdparty harm in order to punish the defendant directly, which the majority proscribed. 100
In his dissent, Justice Thomas argued that the Constitution does not limit the size of punitive damages awards. Justice Thomas criticized the 101
92. Id. As discussed, infra, this passage alone may keep due process scholars occupied for years.
93. Id. The Court remarked that this question raises the practical problem of knowing whether a jury punished a defendant for causing injury to others or simply considered such injury during its reprehensibility analysis. Id.
94. Philip Morris, 127 S. Ct. at 1065.
95. Id. Because the Oregon Supreme Court's application of the Philip Morris Court's standards could result in a significant change in the level of the punitive damages award, the Court did not consider whether the vacated award was constitutionally "grossly excessive." Id.; see also BMW of N. Am. v. Gore, 517 U.S. 559, 562 (1996) (noting that while a state may impose punitive damages to further its interest in deterring unlawful conduct, the Fourteenth Amendment's Due Process Clause prohibits states from imposing grossly excessive punishments on tortfeasors).
96. BMW of N. Am. v. Gore, 517 U.S. 559, 562 (1996).
97. Honda Motor Co. v. Oberg, 512 U.S. 415, 418 (1994).
98. Philip Morris, 127 S. Ct. at 1067 (Stevens, J., dissenting). Justice Stevens also authored the majority opinion in Cooper Industries and TXO (where a majority of Justices, in separate opinions, endorsed the use of substantive and procedural due process principles to limit punitive damages awards). Cooper Indus., Inc. v. Leatherman Tool Group, Inc., 532 U.S. 424, 426 (2001); TXO Prod. Corp. v. Alliance Res. Corp., 509 U.S. 443, 446 (1993). In TXO, Justice Stevens wrote that "'grossly excessive'" punitive damages awards amounted to "'a deprivation of property without due process of law.'" TXO, 509 U.S. at 454 (quoting Waters-Pierce Oil Co. v. Texas, 212 U.S. 86, 111 (1909)).
99. Philip Morris, 127 S. Ct. at 1065 (Stevens, J., dissenting).
100.
Id
. at 1066–67.
101. Id. at 1067 (Thomas, J., dissenting); see also State Farm Mut. Auto. Ins. Co. v. Campbell,
538 U.S. 408, 429–30 (2003) (Thomas, J., dissenting); Cooper, 532 U.S. at 443 (Thomas, J.,
Published by UF Law Scholarship Repository, 2008
11
1002
[Vol. 60
classification of the Philip Morris holding as procedural, arguing that the majority instead expands the Court's "substantive due process regime" and shows again that the Court's punitive damages jurisprudence is "'insusceptible of principled application.'" 102
Justice Ginsburg delivered a third dissent, joined by Justices Scalia and Thomas, insisting that the Oregon courts' rulings did not conflict with the majority's opinion. Justice Ginsburg further argued that the Petitioner 103 had failed to preserve any objection regarding the charges delivered to the jury, the evidence introduced at trial, or the Respondent's closing argument. Thus, Justice Ginsburg concluded that the majority ventured 104 beyond the bounds of the case as set by the trial court. 105
Philip Morris, while important in developing the constitutional law on punitive damages, left unresolved several important questions. The case 106 is clear in holding that it is unconstitutional for a jury to award punitive damages to punish a company for harming "strangers to the litigation," 107 but it does not tell courts how to comply with its holding. Philip Morris 108 says little about how trial judges seeking "diligently to adhere to [the Court's] changing, less than crystalline precedent" should instruct their juries to consider a defendant's harmful conduct to third parties. And the 109 Philip Morris dissents illustrate that it will be difficult to predict how juries will be able to weigh the evidence of harm to others to determine the reprehensibility of the defendant's conduct, without punishing the defendant for that conduct. If four justices fail to understand this formula, it may be difficult to find a jury that can understand it. So, how might a trial court charge its jury through the high-wire act of applying an concurring).
102. Philip Morris, 127 S. Ct. at 1067–68 (Thomas, J., dissenting) (quoting BMW of N. Am., Inc. v. Gore, 517 U.S. 559, 599 (1996) (Scalia, J., dissenting)).
103. Id. at 1068 (Ginsburg, J., dissenting). Justice Ginsburg argued that the Oregon courts endeavored to follow the Supreme Court's decisions and had not deprived the jury of proper legal guidance. Id.
104. Id. Justice Ginsburg did recognize Respondent's valid objection to the trial court's refusal to give one requested charge. Id. at 1068–69. Justice Ginsburg then analyzed the proposed instruction before concluding that any judge seeking to "enlighten rather than confuse" would resist such a proposed charge. Id. at 1069.
105.
Id.
106. Perhaps the broadest recurring question the Philip Morris decision raises is what deference the Supreme Court owes state legislatures and state courts as branches of a coordinate sovereign. See generally ERWIN CHEMERINSKY, FEDERAL JURISDICTION § 1.5 (5th ed. 2007) (discussing comity as a central theme in the law and study of federal jurisdiction).
107. Philip Morris, 127 S. Ct. at 1063.
108. For a general introduction to how this process operates and how the question of punitive damages is presented to a jury, see generally CASS R. SUNSTEIN ET AL., PUNITIVE DAMAGES: HOW JURIES DECIDE 6–16 (2002).
109. Philip Morris, 127 S. Ct. at 1069 (Ginsburg, J., dissenting).
http://scholarship.law.ufl.edu/flr/vol60/iss4/8
12
1003
instruction that insists that a jury consider harm to other victims, but forbids them from punishing a defendant for that harm? Perhaps Justice 110 Stevens expressed the thoughts of scores of trial judges when he concluded "[t]his nuance eludes me." 111
Trial courts will likely meet Philip Morris's charge by changing existing jury instructions, and then releasing the panel to perform 112 whatever mental gymnastics are needed to return a constitutional punitive damages award. On the other hand, this path may encourage lower courts to simply say nothing about the function of a punitive judgment. Arguably, the surest method for a court to avoid review under Philip Morris is to say nothing more than the punitive award it has imposed is a proper response to the defendant's reprehensible conduct toward the victim. Either way, the practical effect of any additional jury instructions will be de minimis and the immediate effect will be to muddy the waters until the Court revisits this issue again.
In BMW, the Court limited to a states's borders the conduct a state could constitutionally punish or deter. Yet, remarkably large punitive 113 damages awards persisted. Then, in State Farm, the Court expanded its holding in BMW by eliminating a state's ability to deter and punish even unlawful conduct outside its jurisdiction, and large punitive damages 114 awards still persisted. The Philip Morris Court now prohibits a jury from punishing reprehensible conduct to people other than the plaintiff, but nevertheless permits that jury to consider the conduct when it is sufficiently analogous to the cause of harm suffered by the plaintiff. 115 Should we now expect a sea of change in punitive damages recoveries? Arguably, no. Justice Ginsburg, in her dissenting BMW opinion, rightly pointed out that it would be impossible for the Supreme Court to review all state cases in which the defendant sought Supreme Court review on the basis of an allegedly excessive punitive damages award. Since BMW and 116 State Farm have clearly failed to confine punitive damages awards to the magical 9:1 ratio, the Supreme Court will need to confront the bounds of substantive due process before its constitutionalization of punitive damages can proceed much further.
The decision is similarly significant for its impact on the ability of
110. Id. at 1063–64 (majority opinion).
111. Id. at 1067 (Stevens, J., dissenting); see also id. at 1069 (Ginsburg, J., dissenting) (concluding that what the jury must do "slips from my grasp").
112. That instruction forbids "punish[ing] a defendant directly on account of harms it is alleged to have visited on nonparties." Id. at 1064 (majority opinion).
113. BMW of N. Am., Inc. v. Gore, 517 U.S. 559, 572 (1996).
114. State Farm Mut. Auto. Ins. Co. v. Campbell, 538 U.S. 408, 421 (2003).
115. Philip Morris, 127 S. Ct. at 1063–64.
116. BMW, 517 U.S. at 613–14 (Ginsburg, J., joined by Rehnquist, C.J., dissenting).
Published by UF Law Scholarship Repository, 2008
13
1004
[Vol. 60
states to regulate the conduct at issue. Philip Morris, along with BMW and State Farm, suggests that the Court will continue to protect large corporations' economic substantive due process rights from excessive state punishment. However, critics will argue that the states' objectives and 117 expertise deserve greater judicial deference compared to the court's treatment of substantive due process issues. In State Farm, the Court explained that a basic principle of federalism presumes that "each State may make its own reasoned judgment about what conduct is permitted or proscribed within its borders, and each State alone can determine what measure of punishment, if any, to impose on a defendant who acts within its jurisdiction." These "horizontal" federalism concerns play a critical 118 role in the BMW and State Farm holdings, yet the Court has largely ignored the consistent "vertical" federalism objections of Justices Scalia and Thomas. Perhaps the extent to which each state may make its own 119 reasoned judgment about what conduct is permitted within its borders shifts depending on the type of federalism invoked.
To be sure, punitive damages are intended to punish. But Philip 120 Morris resurrects the fundamental question of whether punitive damages exist solely to punish wrongdoing that harms parties before the court. The
117. For a powerful indictment of Philip Morris' logic, see Comment, Punitive Damages, 121 HARV. L. REV. 275 (2007), which assesses the history and culture of the Fourteenth Amendment and argues generally that the Court used the Amendment to reaffirm and enrich procedural and substantive due process protections for corporations sued for punitive damages. See also F. Patrick Hubbard, Substantive Due Process Limits on Punitive Damages Awards: "Morals Without Technique"?, 60 FLA. L. REV. 349, 351 (2008) (criticizing the requirement for a jury instruction that is either incomprensible, or formalistic); see generally Rosalie Berger Levinson, Reigning in Abuses of Executive Power Through Substantive Due Process, 60 FLA. L. REV. 519, 523 & nn. 1213 (2008) (putting punitive damages in the context of due process jurisprudence).
118.
State Farm
, 538 U.S. at 422.
119. Justice Scalia, for example, has argued that the Supreme Court has "no business in this area, except to assure that due process . . . has been observed." TXO Prod. Corp. v. Alliance Res. Corp., 509 U.S. 443, 472 (1993) (Scalia, J., concurring). But see BMW, 517 U.S. at 571 (noting that a state's power to award punitive damages may, in an appropriate case be "subordinate to the federal power over interstate commerce"). Clearly, the Philip Morris majority would assert that assuring due process had been observed was precisely what the Court considered. Yet, Justice Field provided a powerfully contrary suggestion, in an effort to make clear the scope of protection provided by the Due Process Clause:
If the laws enacted by a state be within the legitimate sphere of legislative power, and their enforcement be attended with the observance of those general rules which our system of jurisprudence prescribes for the security of private rights, the harshness, injustice, and oppressive character of such laws will not invalidate them as affecting life, liberty, or property without due process of law.
Mo. Pac. Ry. Co. v. Humes, 115 U.S. 512, 520 (1885). 120. See supra notes 13–14 and accompanying text.
http://scholarship.law.ufl.edu/flr/vol60/iss4/8
14
1005
Court's holding suggests an affirmative answer. Yet, a historically significant argument remains that punitive damages should also serve to deter against future conduct involving other parties. The majority opinion ignores the deterrent function of punitive damages. Instead of grappling with deterrence, the Court adopted a theory of procedural due process under which it is unconstitutional to do precisely what deterrence theory indicates one should do in the case of a recidivist, infrequently punished wrongdoer. At the very least, it must be admitted that there is a distinction between awarding one plaintiff punitive damages because the defendant's action actually harmed others and awarding a plaintiff punitive damages based on the reprehensibility of an action that had the potential to cause harm to many others. Thus, there should be a distinction between permitting the Respondent from collecting extraordinary damages on behalf of all statewide victims (e.g., all of Oregon's dead smokers) and permitting those damages based on the additional deaths Petitioner's conduct may have inflicted.
A final question is whether permitting a jury to consider harms to others as part of the reprehensibility analysis, but not as part of the actual calculation of a punitive judgment, will ultimately provide any tangible benefit to defendants. Perhaps Philip Morris will prove to be only a slight jurisprudential addition. The BMW majority, for example, believed that using its standards would give enough guidance to lower courts so that the Court should not have to consider many petitions for certiorari where a case involved only an issue of the excessive amount of punitive damages.
Regardless, there seems to be little practical benefit to corporations. 121 First, defendants are already equipped to insure against punitive damages awards in many states. Second, lawyers will be able to offer evidence of 122 the impact of corporate wrongdoing. Clearly, BMW allows juries to consider the reprehensibility of the defendant's conduct. Although the jury cannot punish for imposing harm on others, Philip Morris provides that the jury can consider the actual or potential harm suffered by others in determining reprehensibility. It will be up to the lower courts to sort out just how they can do this, and how the jury should weigh the evidence, consistent with the Supreme Court's confusing standards.
Philip Morris purports to create a new standard to protect defendants
121. But see Insurers Hail Supreme Court's Curtailing of Punitive Damages, INS. J., Feb. 21, 2007, available at http://www.insurancejournal.com/news/national/2007/02/21/77076.htm (arguing that the Philip Morris decision is important for restraining abusive litigation costs and reducing the threat of punitive damages as leverage to extract higher settlements).
122. Here, the major debate concerns the intersection of deterrence and the insurability of punitive damages. Arguably, allowing punitive damages to be insured frustrates the very purpose of the award and therefore contravenes established public policy. See ROBERT H. JERRY, UNDERSTANDING INSURANCE LAW 576 (3d ed. 2002).
Published by UF Law Scholarship Repository, 2008
15
1006
Florida Law Review
[Vol. 60
from unconstitutional punishment for perceived harm to nonparties. Yet, the standard is one that even some of the Court's own members do not understand. Little, if any, guidance is provided to the lower courts that will have to implement it. However, Philip Morris illustrates that the Court is content to tread deeper into fields traditionally tended by the states, without tilling any meaningful lines to define the boundaries of economic substantive due process. It is difficult to forecast whether the Supreme Court would need to continue its active review of state punitive damages awards in light of Philip Morris. The next case will likely involve a tort action with no federal issue apart from the size of the damages award. BMW and State Farm arguably restrict the Court's substantive due process approach, if only implicitly. Philip Morris itself seems to place the capstone on procedural due process defects. Continued scrutiny of state awards, under the rubric of procedural due process, would waste the Court's limited resources and signal a retreat from the Rehnquist Court's expansive deference to the states based on federalism principles. Thus, the remaining choice is whether the Court will invoke substantive due process concerns to draw a bright line protection for defendants facing large punitive damages awards. Presumably then, the only question left to answer will be: "How much is too much?" 123
123. The Court recently answered this question, but only as it pertains to maritime cases. See Exxon Shipping Co. v. Baker, 128 S. Ct. 2605 (2008) (holding federal statutory law does not bar a punitive award on top compensatory damages, but limiting such awards to an amount equal to compensatory damages). The Court specifically declined to consider Exxon's challenge to the size of a punitive damages verdict based on due process principles. While the Supreme Court's reasoning in a federal maritime case will not bind state court judges, it may prove persuasive. Nevertheless, Justice Ginsburg again dissented and asked whether the Court would, at the next opportunity, overule State Farm and hold "definitively, that 1:1 is the ceiling due process requires in all of the states, and for all federal claims?" Exxon, 128 S. Ct. at 2639 (Ginsburg, J., dissenting).
http://scholarship.law.ufl.edu/flr/vol60/iss4/8
16
|
<urn:uuid:023e3508-7998-428f-8093-7781e0642d2d>
|
CC-MAIN-2018-26
|
https://scholarship.law.ufl.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1058&context=flr
|
2018-06-23T18:00:07Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-26/segments/1529267865145.53/warc/CC-MAIN-20180623171526-20180623191526-00448.warc.gz
| 701,743,874
| 11,600
|
eng_Latn
|
eng_Latn
| 0.988916
|
eng_Latn
| 0.993909
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
763,
3224,
6852,
9942,
12804,
16314,
19714,
22840,
26230,
29235,
31991,
35538,
38814,
41837,
45339,
48568,
50947
] |
INAUGURAL FALL CONVOCATION ADDRESS
Chancellor Ronald L. Elsenbaumer Purdue University Fort Wayne August 20, 2018
Good afternoon. Thank you all for being here today.
Jim Spaniolo, thank you so much for joining us. You have been a mentor, a colleague, and a tremendous role model. I am humbled and inspired by your depth of knowledge, your integrity, and your wisdom. Indeed, I learned so much from you over the nine years I had the privilege of working for you. And, for that, I am most grateful.
But most importantly, I am proud to call you a friend. And it means so much to me that you and Sue are here to share this inaugural convocation of Purdue University Fort Wayne.
And thank you, Purdue Trustee Gary Lehman, for being here with us today, and for your kind and encouraging words as well.
I would also like to take a moment to recognize and thank a few friends from Texas and South Carolina, who are here today to help us celebrate this wonderful event.
My wife Linda, Pam and Craig Taylor, Dan Casto, and Jim and Sue Spaniolo—all from Texas— and Torrey and Kathy Glass from South Carolina. Thank you for sharing this event with me.
And, of course, I want to welcome all of our students, faculty, staff, and friends. Thank you for being here. And a very special acknowledgement to all of our new students, faculty, and staff joining us this fall. Welcome to Purdue University Fort Wayne!
I also wish to congratulate our faculty members who have received promotions and tenure. We're very proud of all of you, as this represents an incredible milestone in your lives.
We are off to a fantastic start in this inaugural academic year as Purdue Fort Wayne.
Enrollment is up, both at the undergraduate and graduate levels. We have more students living on campus than ever before. And we had our largest New Student Orientation in a very long time—1,900 students total. This room was flled to overfowing, with students having to go to the recital hall to participate.
Oh, and by the way, we have successfully completed a realignment process that has left absolutely no stone unturned and no process or system unchanged for the better.
I have been here at Purdue Fort Wayne for 10 months now, and I have learned a great deal during a very signifcant period in the university's development.
As an institution, we have just been through an historic transformation. And while the realignment is behind us, the transformation of this institution continues.
Today, we celebrate the beginning of a new legacy that we will build together.
During the past several months, we have changed our name. We have a new university logo that has national and international recognition. We have proudly adopted the Purdue University colors and identity. We have rebranded our Mastodons athletics program with gold and black and a little bit of blue to honor our legacy. We have new signage and banners everywhere, and more to come. We have a new website. And we have a new spirit mark that will be a symbol of campus pride.
As we have worked through these changes, we have had some very important conversations and have explored the very essence of our institution as part of our extensive rebranding process. We have achieved more clarity in who we are and how we want to convey that to our expanding world of infuence.
We have dedicated ourselves to a singular idea—"Empowering Every Student, Every Day." And you're now seeing that commitment expressed in Fort Wayne, across Indiana, and beyond as "Education with Purpose." It is being infused into our recruitment materials, on billboards, at airports, in print, and in social media. And it's capturing people's attention.
But, make no mistake about it, this realignment and this transition have been difficult for many. I understand that. Some thought it spelled the end of a signifcant part of our academic world. But, really, we all knew better. So many people on this campus and in the community have worked hard to ensure that we emerged stronger and more vibrant than ever before!
And, indeed, there is already much evidence of that, as we have seen across campus, in the community, and in the headlines.
However, some new challenges have emerged.
As a matter of fact, a recent newspaper headline proclaimed:
Purdue Fort Wayne Hoping to Find Fix for Student Housing Havoc
Now, when the word "havoc" turns up that prominently on the front page, above the fold, it tends to get your attention. It certainly sent a ripple among some of our staff.
But, you know, it got me thinking. And then it hit me that "havoc" was being used to describe a really great problem that any university would want to have—campus student housing that is fully occupied!
So, maybe what we need now is a little more havoc here at Purdue Fort Wayne. There is enormous opportunity that exists in creating some disruption, challenging the status quo, and breaking down institutionalized barriers to success.
We don't have to look far for examples. Amazon disrupted shopping and retail. Uber disrupted the taxi industry. Netfix disrupted the cable TV industry.
Regardless of what we've called it, creating and managing havoc is exactly what we have been doing together here during the past 10 months.
Ladies and gentlemen, I'd like to create a little more havoc, in a good way. And I need your help.
Let's create havoc by recruiting more and more undergraduate students—not just from Indiana, but across the Midwest and beyond. For the frst time in many years, our enrollment numbers are up this fall. Total credit hours are up 1.6 percent, and graduate credit hours are up 9.5 percent. We will have fnal numbers by the end of the week.
We accomplished this by working as a team to rethink how we engage and enroll prospective students. We created a war room of sorts—meeting weekly to develop strategy and implement tactics. And it's working.
I would like to recognize the individuals and their teams who worked so hard to make this happen. Carl recognized them earlier. A big thank you to all.
Let's create havoc by hiring more faculty who are at the top of their feld. If students are the heart of the university, then our faculty members are the soul of this institution. We are now actively working to fll 19 faculty positions this year, and we will be pursuing another 15 new faculty positions next year with the Indiana Legislature—with Purdue President Mitch Daniels effectively leading the charge.
Likewise, we will value and nourish our current faculty by creating a supportive intellectual environment where they can teach and mentor students, pursue their research and scholarly activity, and engage in meaningful service to the community.
Let's also create havoc by signifcantly expanding our graduate programs. Having robust graduate programs helps enhance the intellectual life of the university, helps advance our research enterprise, helps create benefcial connections with business and industry, and helps us educate and train the next generation of faculty members.
We will also actively step up our recruitment of international students and give them every reason to choose Purdue Fort Wayne. We will provide a welcoming environment, and we will offer the programs and infrastructure they seek. Make no mistake—a college degree from a respected American university continues to be one of this nation's most sought-after commodities.
Let's create havoc by positioning the institution as a national university—while delivering squarely on every aspect of our mission. Purdue Fort Wayne is this region's fagship public university. We fulfll a need and occupy a realm that no other institution can achieve. We contribute in signifcant ways to economic development and regional impact. It's up to us to defne what that means and where it can take us.
We will create new academic programs and ensure that all of our programs are of the highest quality. This year alone, we created three new schools—the School of Education, the School of Music, and the School of Polytechnic.
Last Monday, for instance, we opened the new Purdue Fort Wayne Sweetwater Music Center out at the Sweetwater corporate campus. The frst class of students is benefting from that fantastic new facility, beginning today. We will continue to create novel public-private partnerships—such as that one—that are in the best interests of our students.
Let's create havoc by providing a campus experience for our students that is second to none. We will provide the services, amenities, and support that students need and demand, and we will continue to develop an environment that is welcoming, stimulating, and sustaining. We will give our students every reason to be proud to be a student at Purdue Fort Wayne. And we will give them bragging rights with their friends that may be attending some of those other universities.
We are already taking a deep dive into how we provide career development services that serve both our students and the employers in the region. We have been working on this all summer, and about a week ago, we conducted a day-long design session that included about 40 of our faculty, staff, students, and community members who are involved in multiple aspects of career services. During the coming months, our new approach will take shape and come to life. This will be transformational for our students and will address a critical need for a highly educated work force that is in high demand.
Let's create havoc by engaging in campus-wide strategic planning that will help us develop our roadmap to success. A comprehensive strategic plan will guide every aspect of how we move forward as Purdue Fort Wayne—from academic planning to budgeting to philanthropy to capital expansion. With a clarity of mission and purpose, this institution will become a force to be reckoned with. And we will be launching that process early this fall.
Let's create havoc by valuing our faculty and staff and by compensating them for work well done. I realize the past few years have been challenging. At an institution so heavily dependent on tuition revenue, declining enrollment affects every aspect of the organization. Therefore, I am very pleased to announce today that, having met and exceeded our
enrollment projections, we will be in a position to offer a merit program for eligible faculty and staff late this fall. Stay tuned. More details will be provided in the coming weeks.
Let's create havoc by leveraging the prestigious Purdue University brand to advance our institution and add luster to all that we do. Purdue is a well-recognized and respected name— an amazing calling card—that has now gone truly international with the launch of Purdue Global.
We will leverage being a signifcant part of that constellation of entrepreneurial Purdue institutions, while retaining all of the elements that make Purdue Fort Wayne unique.
And yes, let's create havoc by keeping our student housing running at full capacity—and then some. As we attract more and more students from Indiana, the Midwest, nationally, and internationally, the demand will only increase. And we will need to build even more housing as word spreads that our campus is such a wonderful place to call home.
Colleagues, students, and friends, if this is havoc, then I say, let's bring it on.
Let's work together to create the Purdue University Fort Wayne that is uniquely ours. A university that has found a path to its destiny. A university that is defned and bolstered by its enormous potential. A university whose future is very bright.
Let's envision it. Let's build it. Let's own it. Together.
It will be messy at times. But I think we have proven we're up to the task. We've just been through a realignment—a very successful realignment—that has challenged us to be creative and resourceful in ways few could have imagined. And we have emerged stronger than ever.
We are bold. We are relentless. We are ready. We are Purdue University Fort Wayne.
Let's roll up our sleeves. Let's get to work. And let's create more havoc!
Thank you. And Go Dons!
# # # #
|
<urn:uuid:4d28b06c-d0f3-4679-98a2-eadd2bc9435f>
|
CC-MAIN-2023-14
|
https://www.pfw.edu/chancellor/docs/inaugural-fall-convocation-address-2018-08-20.pdf
|
2023-03-23T18:11:31+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-14/subset=warc/part-00187-39c03058-7d78-443d-9984-102329513e3d.c000.gz.parquet
| 1,000,865,110
| 2,503
|
eng_Latn
|
eng_Latn
| 0.901941
|
eng_Latn
| 0.99951
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
113,
2542,
4939,
7391,
10237,
12079
] |
BACHELOR OF ARTS CLASSICS MINOR
2014/15 Academic Year
MINOR REQUIREMENTS
18 senior-level, non-duplicative credits
A maximum of 6CR in senior LATN can be used toward a Classic minor
At least 6CR CLAS at the 300- or 400-level 3 – CLAS 355 (6CR) does not satisfy this requirement
REQUIRED SENIOR LEVEL COURSES 1
6 CREDITS
6 CREDITS
CLAS 270: Greek Civilization
CLAS 271: Roman Civilization
GENERAL SENIOR LEVEL COURSES 1,2
12 CREDITS
CLAS/LATN ________________ (200-, 300- or 400-level)
CLAS/LATN ________________ (200-, 300- or 400-level)
CLAS________________ (300- or 400-level) 3
CLAS ________________ (300- or 400-level)
3
IMPORTANT PLANNING NOTES
1. Students are required to research and meet the prerequisites for every senior-level CLAS or LATN course they take as part of their degree. Junior-level courses cannot be used to meet minor requirements but may meet a student's Core Requirements or Options.
2. Student can use a maximum of 6CR of senior-level LATN toward the Classics minor. Students may also use PHIL 230 toward the Classics minor. However, at least 12CR of the Classics minor must be filled with senior-level CLAS courses.
3. CLAS 355 (6CR) cannot be used to satisfy the 300- or 400-level requirements of this minor.
This planning sheet should be used only as a guide for course planning and it should be used in conjunction with the Bachelor of Arts or Bachelor of Science degree planner. Remember: not all courses listed are offered each year and course offerings are subject to change. In the event of a discrepancy between the information presented on this sheet and that available on myStudentSystem, the information on myStudentSystem will be considered accurate.
CLASSICS AND LATIN COURSE OFFERINGS
CLAS 102: Greek and Roman Mythology
CLAS 110: Early World History
CLAS 210: Greek and Roman History
CLAS 221: Literature of Greece and Rome
CLAS 252: Ancient Art and Architecture
CLAS 261: Women in the Ancient World
CLAS 270: Greek Civilization
CLAS 271: Roman Civilization
CLAS 272: Byzantine Civilization
CLAS 305: Comparative Mythology
CLAS 314: Topics in Greek History
CLAS 315: Topics in Roman History
CLAS 320: Greek Literature in Translation
CLAS 321: Latin Literature
CLAS 333: Greek and Roman Religion
CLAS 352: Art of Periclean Athens
CLAS 353: Art of Augustan Rome
CLAS 355: Leisure, Work and Death in Ancient Rome (6CR)
CLAS 356: Myth in Classical Art
CLAS 361: Ancient Family
LATN 101: Introductory Latin I
LATN 102: Introductory Latin II
LATN 301: Intermediate Latin I
LATN 302: Intermediate Latin II
|
<urn:uuid:d96ff086-ba13-4201-92d1-ec7fe3a2eddc>
|
CC-MAIN-2024-33
|
https://www.macewan.ca/c/documents/classics_minor_1415.pdf
|
2024-08-09T05:58:57+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-33/subset=warc/part-00222-4f628544-3cdf-4526-86aa-bdfa0b33cdc9.c000.gz.parquet
| 660,515,699
| 740
|
eng_Latn
|
eng_Latn
| 0.540116
|
eng_Latn
| 0.928176
|
[
"eng_Latn",
"hat_Latn"
] | false
|
rolmOCR
|
[
1718,
2618
] |
B. P. 8t CO. LTD.
STAFF SERVICE RECORD
NAME
HALL, Marjorie Elizabeth
WHERE EMPLOYED
MELBOURNE
DATE JOINED
13.11.37.
DATELEFT
12.5.1950.
REMARK!s) Jnr. Typi s te - £1.2.6 per week.
Resigned to be married. Record - Excellent.
|
<urn:uuid:97f7955a-6e69-43cb-bd1f-75a6d2d6f36a>
|
CC-MAIN-2022-21
|
https://openresearch-repository.anu.edu.au/bitstream/1885/169059/2/N145_191_0053_Hall%2C%20Marjorie%20Elizabeth.pdf
|
2022-05-22T05:43:45+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-21/subset=warc/part-00001-bd7ecbba-8e15-4123-ae07-d9c98ad96845.c000.gz.parquet
| 494,524,202
| 89
|
eng_Latn
|
eng_Latn
| 0.510667
|
eng_Latn
| 0.510667
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
234
] |
Barn 3
Consigned by Odalie A. Sebreth
Shift It
Hip No.
Habitat
Courteous Lady
Bel Bolide
Ubetido
Deputy Minister
Mitterand
Manila
Her Silver
Habitony (IRE) ..................
Devine Pet ........................
French Deputy ..................
Time for a Wedding ..........
Richter Scale ....................
Madam Hattie....................
(1998)
Shift It
Bay Mare; foaled 2005
By RICHTER SCALE (1994). Black-type winner of $1,139,958, Frank J. De Francis Memorial Dash S. [G1]-ntr, etc. Sire of 12 crops of racing age, 400 foals, 302 starters, 7 black-type winners, 1 champion, 198 winners of 648 Rich Fantasy ($323,514, Showtime Deb S.-R (HAW, $53,730), etc.), Leonides ($303,516, Captain Squire H. [L] (HOL, $45,945), etc.), Quite a Ruckus ($219,650, My Dear S. [L] (WO, $82,575(CAN)), etc.), Tenpointfive (7 wins, $201,721). Sire of dam of black-type winner Bluegrass Angus.
RACE RECORD: At 2, unraced; at 3, once 3rd in 2 starts; at 4, one win, 3 times 2nd, once 3rd; at 5, two wins, once 2nd, once 3rd; at 6, once 3rd; at 7, three times 2nd, twice 3rd; at 8, twice 2nd, once 3rd; at 9, two wins. Totals: 5 wins, 9 times 2nd, 7 times 3rd. Earned $83,513. Not pregnant.
1st dam
MADAM HATTIE, by French Deputy. Placed at 3. Dam of 3 other registered foals, 3 of racing age, 1 to race-Jake the Snake (g. by Twining). 3 wins at 5, $43,395.
2nd dam
TIME FOR A WEDDING, by Manila. Sister to STAR OF MANILA. Dam of 3 winners, including--
SARATOGA BLUES (g. by Twining). 9 wins, 2 to 4, $161,641, Whirlaway S. [L] (AQU, $49,515). Cold Feet. 13 wins, 3 to 8, placed at 9, 2015, $146,744.
Racetothealtar. Unraced. Dam of 2 foals, both winners, including-BLUEGRASS PRIDE (g. by Bluegrass Cat). 3 wins at 3, placed at 5, 2015, $92,326, in Canada, Richmond Derby Trial H. (HST, $30,000),
2nd Chris Loseth H. (HST, $10,000). (Total: $89,101).
3rd dam
HER SILVER, by *Herbager. Unraced. Half-sister to STATE DINNER ($537,859, sire), BANQUET TABLE ($235,090, sire). Dam of 6 winners, incl.-STAR OF MANILA. 7 wins to 3, $315,742, W. L. McKnight H. [G2], etc. Sire. MIO ROBERTINO. Winner at 2, €34,606, in France, 3rd Prix d'Avilly Saint Leonard; 3 wins, $117,930, in N.A./U.S., Tidal H. [G2]. (Total: $157,110). Hot Silver. Winner at 2 in France, 2nd Prix des Lilas, etc. Dam of BLACK QUESTION [L] ($186,293), HILL SILVER (Total: $83,068). Granddam of HIGH ROCK [G3] (Total: $272,620, sire), HOMELAND (FR) [G3] (Total: $128,103), HIDEAWAY, High Flash (Total: $97,471). Great-granddam of SILVER FROST [G1] (Total: $616,803), SPIRITJIM [G2] (Total: $312,241). Brett's Quack. Unraced. Dam of SILVER AND JADE ($90,398, dam of Silver Echo; granddam of NOTROIOUSLY [L], Total: $241,915; CHEROKEE ECHO [L]; Smarty's Echo [G1], $127,363), Silver Tower [G2] ($115,515). Silver Reflet. Unraced. Dam of ANTEQUERA (in India), Royal Force.
293
|
<urn:uuid:239352ce-6152-46b8-986f-fd8dfdc1b13d>
|
CC-MAIN-2021-43
|
https://www.obssales.com/octcatalog/2015/293.PDF
|
2021-10-19T19:32:48+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-43/subset=warc/part-00179-16202947-a809-4711-8221-79ab0a79d5b1.c000.gz.parquet
| 1,131,349,254
| 1,067
|
eng_Latn
|
eng_Latn
| 0.873347
|
eng_Latn
| 0.873347
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
2853
] |
2016 ASPIRE Nomination
CREATIVE INNOVATION VISION AWARDS (CIVA)
AWARD INTENT:
To recognise outstanding creative achievement by an individual whose innovation, vision, creativity and enterprise exemplifies the Academy Vision.
AWARD FORMAT:
Four recipients will receive this award. All four will be announced at ASPIRE with a citation.
The QACI CIVA recipient will be recognised by:
* A trophy presented to the recipient at ASPIRE.
* A personalised certificate presented to the recipient at ASPIRE.
NOMINATION PROCESS:
* The award will cover performances or projects completed between Term 4, 2015 and Term 3, 2016
* This is an open nomination – a student may nominate themself, be nominated by another student, teacher or member of the wider Academy community.
* Each project or performance must have a separate nomination.
* Nominations will close in 2016 on MONDAY 29 August.
SELECTION PROCESS:
[x] The QACI Awards Committee will determine the recipient following recommendations from a Selection Panel
o Head of Department Creative Identity.
* The Awards Committee will consist of:
o A teacher representative from each of the four group 6 subjects and design.
* A nomination form will be available on the Academy website and will be made available to students and staff via the intranet.
* A call for nominations will be made annually in Term 3.
* Nominations, in the form of a signed hard copy, must be submitted to Client Services.
* The Awards Committee may, in an endeavour to determine the student shortlist, seek further information through interview of the nominated student, request of written referee reports or other evidence gathering deemed necessary..
* Any conflict of interest perceived or otherwise, will be disclosed prior to the Selection Panel convening for deliberation.
* The decision of the Awards Committee will be final and any deliberation and written materials related to the award selection process will remain confidential.
AWARD CRITERIA:
The award recipients will be the individuals who through the nomination and application process best and most clearly represents the intent of the award and in the judgement and determination of the Selection Panel best fulfils the criteria of the award based on the information and evidence provided to the Selection Panel as part of the nomination documentation (or further approved evidence gathered).
SCORING KEY:
5 – exemplary / outstanding
3 – satisfactory / adequate
4 – high
2 – marginal
0 – failed to address criteria
1 – inadequate
Nomination Form – CIVA Award
10
Nominee: __________________________________
Performance, Project / work reference name: _______________________________________________
How have the criteria been met?
Criterion 1
Describe the body of work or piece for which the individual is being nominated under two or more of the necessary organisers. The best two will contribute to a score of 10.
Creativity
Vision
Innovation
Enterprise
/
How does the individual's role within the work enhance the experience, self-perception and aspiration of other Academy students?
5
Criterion 2
Criterion 3
How is the individual's way of working within the context of this project or body of work, consistent with the Academy character ideals?
Attach any supporting evidence (refer to the conditions overleaf of being awarded a CIVA based on a body of work or single piece of work developed, presented or performed for a specific context or purpose. This may include DVDs, presentations and artworks.
Nominated by: ___________________________ …………………………………..
Full Name Signature
Relationship to applicant: _______________________________________________
Seconded by: ___________________________ …………………………………..
Full Name Signature
/5
/
Relationship to applicant: _______________________________________________
Conditions
* Applicants base their submission on a body or work or single piece of work developed, presented or performed for a specific context or purpose which is nominated for exemplifying one or more of the following:
[x] Creativity
[x] Vision
[x] Innovation
[x] Enterprise
* The work should not only demonstrate the talent and ability of the individual but, along with the associated outlook and way of working of the individual, should also enhance the experience, self perception and aspirations of other Academy students.
* The work must have a direct connection to the Academy.
* Each work and context will be considered separately. Eg: a student may be nominated for two projects / works (in a manner similar to being an actor nominated for Best Actor in two different movies).
|
<urn:uuid:12cfb71f-75b6-430f-aebb-173955fd42ac>
|
CC-MAIN-2017-22
|
https://qaci.eq.edu.au/wp-content/uploads/2016-CIVA-Award-Nomination-.pdf
|
2017-05-27T21:30:45Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-22/segments/1495463609061.61/warc/CC-MAIN-20170527210417-20170527230417-00301.warc.gz
| 993,019,701
| 915
|
eng_Latn
|
eng_Latn
| 0.99438
|
eng_Latn
| 0.997345
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1965,
2527,
2969,
4025,
4816
] |
WALLPAPER HANGING GUIDE
WWW.FERMLIVING.COM
WALLPAPER HANGING GUIDE
- HOW TO WALLPAPER WITH WALLSMART
BEFORE
* Always use paste suitable for non-woven wallpaper
* Remember to account for pattern repeat
* Check that all rolls of wallpaper have the same batch number. Be sure to buy enough rolls with matching batch numbers in order to get the same colour on all rolls (the batch number is printed on the label).
* If you have large colour differences on wall, the wall must be primed before hanging the wallpaper (primarily when using bright wallpaper).
TOOLS
Following tools are good too have
Scissors
A bowl of water
Pencil
Sponge
Roller
Spatula
Paint brush
Scraper
Tray
A sharp knife
GUIDE
A. Apply paste onto the wall with a roller. Put on paste for about 2-3 lengths at a time. Use a brush to apply paste by ceiling, floor and edges.
B. Pull up one length of wallpaper directly from the roll/floor, and hang it on the pas ted wall. Make sure you have a few extra centimeters of wallpaper at the ceiling and floor and make sure that the wallpaper hangs straight.
C. Make sure that the wallpaper hangs correctly by hanging a pair of scissors on a string from the ceiling.
D. Smooth the section of wallpaper from the top down and from the centre outwards. Use a wallpaper brush or spatula and make sure that all air bubbles are removed.
E. Trim excess wallpaper using a sharp wallpaper knife.
F. Hang the next section by butting the edges together. Make sure that the pattern matches across the two sections. Wash away excess paste with a damp, soft sponge. Do not rub.
AFTER
* The wallpaper is washable. If needed, wipe off with a damp sponge.
* Make sure to ventilate the room well to make the wallpaper dry.
* Wipe off vertically and do not rub.
|
<urn:uuid:18b92c72-7b18-47c2-955c-bc94dff28540>
|
CC-MAIN-2018-51
|
https://www.fermliving.com/Admin/Public/Download.aspx?file=Files%2FFiler%2FWallpaper+Hanging+guide_UK.pdf
|
2018-12-12T04:18:57Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-51/segments/1544376823712.21/warc/CC-MAIN-20181212022517-20181212044017-00020.warc.gz
| 870,650,227
| 414
|
eng_Latn
|
eng_Latn
| 0.997177
|
eng_Latn
| 0.996724
|
[
"unknown",
"eng_Latn"
] | false
|
rolmOCR
|
[
43,
1764
] |
MINUTES OF THE BOARD OF TRUSTEES MEETING
VILLAGE OF EAST WILLISTON March 11, 2024
A business meeting of the Board of Trustees of the Incorporated Village of East Williston was held on Monday, March 11, 2024, at 7:00 pm at the Village Hall, 2 Prospect Street, East Williston, New York. All Board members were present.
At 7:30pm the mayor opened the Budget Workshop. Several members of the public were present including Taylor Herzlich (Blank Slate Media), Henry Yeun (Tzu Chi), Mitch Pitnick, Mike Guglielmo, Rushi Vaidya, Jack Solemani. The Village Treasurer, Mike Delury, summarized the budget and opened it up to questions.
At the conclusion of the Budget Workshop, the Regular meeting of the Board of Trustees commenced at approximately 8:04pm. All Board members were present.
Mayor Parente verified a quorum of the Board, and Trustee Gallo lead the audience in the Pledge of Allegiance.
MOTIONS
A motion to approve the minutes of the February 12, 2024 regular meeting of the Board of Trustees was made by Mayor Parente and seconded by Deputy Mayor Iannone. The motion was passed unanimously.
A motion to approve the minutes of the February 26, 2024 business meeting of Board of Trustees was made by Mayor Parente and seconded by Trustee Gallo. The motion was passed unanimously.
A motion to approve the Vouchers/Check by Date report dated March 11, 2024, was made by Deputy Mayor Iannone and seconded by Trustee Lark. The motion was passed unanimously.
A motion that the Board of Trustees appoint Thomas Blennau as Village Associate Justice was made by Mayor Parente and seconded by Trustee Dunne. The motion was passed unanimously.
A motion that the Board of Trustee authorize amendments to the defined benefit fire service award program for the East Williston fire department and calling for a referendum on March 19, 2024, and directing publication of notices in connection therewith was made by Trustee Gallo and seconded by Trustee Lark. The motion was passed unanimously.
A motion that the Board of Trustees determine that the action taken was a Type II action for the purposes of SEQRA having no significant impact on the environment was made by Trustee Gallo and seconded by Trustee Lark. The motion was passed unanimously.
REPORTS
MAYOR BONNIE PARENTE
Mayor Parente announced that the Village Election will be held March 19, 2024 for two Trustees and the Village Justice. She also announced that the Village is hosting a Building Department Forum with the Building Inspector, Jared Mandel on Wednesday March 20 at 7:30pm. The purpose of this forum is to learn about the operations of the building department, and to have the building inspector answer any questions residents might have pertaining to projects they are looking to start or inquiries about closing open permits. The mayor also announced that the launch of the Village Court Experience program was a great success. Six students attended the first session on March 7 th and the guest speaker, Thomas Blennau, was informational and interesting. The next session is April 4 th, and anyone interested should apply to the Village office. The program is open to high school juniors and seniors and any college or law students. The program is designed to allow students pursuing a career in law to see how the court system works at the community level and will include interesting and relevant guest speakers. (Applications can be found on the Village website. Court which is held the first Thursday of every month.)
DEPUTY MAYOR JAMES IANNONE
Deputy Mayor Iannone reported that the East Williston Senior Group will meet on Thursday March 21 , and he encouraged all seniors to attend or to invite friends and family to participate.
TRUSTEE JAMES LARK
Trustee Lark reported that the East Williston Little League practices are starting this month. He also reported that the Department of Public Works responded to a few minor incidents of branches down during the recent wind events. He also reported that with the spring weather brings spring beautification and volunteers are needed to assist planting and decorating, if anyone is interested, please call the Village Office.
TRUSTEE ANTHONY GALLO
Trustee Gallo reported that the East Williston Fire Department responded to a total of 8 calls in March, which included 1 fire, 3 medical calls and 4 general alarms.
VILLAGE CLERK JOANNA E. PALUMBO
Village Clerk Palumbo presented the Nassau County Police Department crime report for East Williston for the month of February 2023, which included nine (9) aided cases. She also reported that there were 7 new applications received, 8 permits were issued, and 66 building permits were closed by the Village Building Department in February 2023. She also reported that the Village was awarded almost $6,000.00 from the Justice Court Assistance Program (JCAP) grant which was approved for furniture and supplies. The next regular meeting of the Board of Trustees is scheduled for April 1, 2024, and will be the annual reorganizational meeting. She noted the day change of the April meeting, which is a state mandated date.
A motion to adjourn the meeting was made at 8:17pm by Trustee Dunne, seconded by Trustee Gallo. The motion was passed unanimously.
Minutes prepared by:
Joanna E. Palumbo, Village Clerk on March 12, 2024
Approved by the BOT on: 4/1/2024
|
<urn:uuid:726e588f-4217-47d8-9b6b-2063dde22102>
|
CC-MAIN-2024-38
|
https://www.eastwilliston.org/vertical/sites/%7B7C366AF0-422F-40F1-8244-709DAB48A0EF%7D/uploads/3-11-2024_minutes.pdf
|
2024-09-16T20:35:53+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-38/subset=warc/part-00173-781f89b0-54ef-4e32-b51d-e5860e733e3a.c000.gz.parquet
| 661,530,181
| 1,193
|
eng_Latn
|
eng_Latn
| 0.997737
|
eng_Latn
| 0.998559
|
[
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2251,
5359
] |
Copyright is owned by the Author of the thesis. Permission is given for a copy to be downloaded by an individual for the purpose of research and private study only. The thesis may not be reproduced elsewhere without the permission of the Author.
In what ways does principal leadership impact on whānau engagement in a mainstream secondary school?
A thesis presented in fulfilment of the requirements for the degree of Master of Philosophy Māori at Massey University, Palmerston North, New Zealand
Dianne Lynette Wilson
2007
ABSTRACT
In what ways does principal leadership impact on whānau engagement in a mainstream secondary school?
Principal leadership is an integral dimension in the schooling process. The principal ideally leads a team of professionals, guiding, supporting, and nurturing their development toward positive outcomes for Māori students including whānau engagement, to achieve this goal. In addition, s/he will ideally provide a framework of expectations, these being based on a theoretical and practical knowledge base as well as values that inform decision making.
Within the framework of Māori education, the dimension of whānau participation continues to be a dimension needing further exploration in terms of its potential contribution to positive academic, social and cultural achievements of students.
The focus of this thesis is to explore the role of the principal as both the leader of staff and the wider school community to support and enhance Māori student achievement in mainstream schooling. Principals lead from their knowledge base and their underpinning attitudes. It is the interweaving of these two elements, how attitudes inform behaviours and how these discrete set of skills required for leadership foster successful whānau participation which will be developed.
A role of the principal is to empower staff to take a leadership role. In terms of whānau participation, an area of the schooling process that continually needs fostering, principals set the direction for staff to develop relationships with the Māori community. The set of skills required to achieve this will be explored, expanded and reflected upon.
This thesis is a case study of one inner city secondary school which is a lead school in the Ministry of Education’s Te Kauhua professional development project. Data will be collected from the principal, staff and whānau within this school community.
ACKNOWLEDGEMENTS
There are a number of people who assisted and supported the development and completion of this thesis and while publicly acknowledging a few, there are many more that provided guidance and assistance throughout this journey.
To the principal, staff and whānau that willingly entered into this study, your input into this thesis is very much appreciated. To Dr. Ruth Gorinski, your feedback always provided challenges for further investigation. To my supervisor, Dr. Taiarahia Black, thank-you for your patience, support and encouragement throughout this process.
To my own whānau and friends, thank-you.
# TABLE OF CONTENTS
| Section | Page |
|----------------------------------------------|------|
| ABSTRACT | ii |
| ACKNOWLEDGEMENTS | iii |
| TABLE OF CONTENTS | iv |
| LIST OF FIGURES | viii |
| LIST OF TABLES | ix |
| Chapter One | 1 |
| 1 Background | 1 |
| 2 Design of the Study | 8 |
| 3 Development of the Research Questions | 9 |
| 4 Structure of the thesis | 9 |
| 4.1 Chapter 1 | 9 |
| 4.2 Chapter 2 | 9 |
| 4.3 Chapter 3 | 10 |
| 4.4 Chapter 4 | 10 |
| 4.5 Chapter 5 | 10 |
| 4.6 Chapter 6 | 10 |
| 4.7 Chapter 7 | 10 |
| 5 Summary | 11 |
| Chapter Two | 12 |
| 1 Introduction | 12 |
| 2 Historical Perspective | 12 |
| 3 The Educational Journey | 13 |
| 4 Summary | 17 |
| Chapter Three | 19 |
| 1 Introduction | 19 |
| 1.1 Servant-Leadership | 21 |
| 1.2 Situational Theory | 22 |
| 1.3 Transactional and Transformational Leadership | 22 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 1.4 Distributive Leadership | 23 |
| 1.5 Kanohi Kitea | 24 |
| 1.6 Charismatic Leadership | 24 |
| **2 Principal Leadership** | 24 |
| 2.1 Pedagogical Leader | 25 |
| 2.2 Moral Leadership | 26 |
| 2.3 Relationships | 27 |
| 2.4 Systems | 27 |
| 2.5 Culture | 28 |
| **3 Effective Leadership Styles** | 30 |
| **4 Summary** | 31 |
| **Chapter Four** | 33 |
| 1 Introduction | 33 |
| 2 Whānau | 34 |
| 3 Engagement | 36 |
| 4 Engaging, Productive, Participatory Partnerships | 40 |
| 5 Hui Taumata Matauranga 2006 | 41 |
| 6 Community Partnership | 42 |
| 7 Summary | 53 |
| **Chapter Five** | 54 |
| 1 Introduction | 54 |
| 2 Specific Context | 54 |
| 2.1 Sample | 56 |
| 3 Māori Research | 57 |
| 4 Qualitative Research | 59 |
| 5 Case Study Research | 60 |
| 5.1 The Central Research Question | 60 |
| 6 Ethical Concerns | 61 |
| 7 Selection of Data Collection Methods | 62 |
| 7.1 Selection of Respondents | 62 |
| 8 Limitations of the Study | 63 |
| 9 Summary | 64 |
Chapter Six
1 The Principal
1.1 Values 65
1.2 Leadership Style 66
1.3 External Factors 66
1.4 Leadership of Staff 67
1.5 Pedagogical Leadership 67
1.6 Terminology 67
1.7 Observations 68
1.8 Documentation 71
2 Staff Responses 72
2.1 Values 72
2.2 Leadership Style 73
2.3 External Factors 74
2.4 Leadership of Staff 75
2.5 Pedagogical Leadership 75
2.6 Terminology 76
3 Whānau Responses 78
3.1 Values 78
3.2 Leadership Style 79
3.3 External Factors 79
3.4 Leadership of Staff 79
3.5 Pedagogical Leadership 79
3.6 Terminology 79
4 Summary 81
Chapter Seven
1 Values 82
1.1 Outcomes 84
2 Leadership Style 85
2.1 Outcomes 86
3 External factors 87
4 Leadership of Staff 89
5 Pedagogical Leadership 90
6 Terminology 92
7 Model of Whānau Engagement 92
| Chapter | Title | Page |
|---------|------------------------|------|
| 8 | Summary | 94 |
| 9 | Conclusion | 95 |
| | Appendix 1 | 97 |
| | Appendix 2 | 98 |
| | Appendix 3 | 99 |
| | Appendix 4 | 100 |
| | Appendix 5 | 103 |
| | Appendix 6 | 104 |
| | Appendix 7 | 105 |
| | Bibliography | 125 |
LIST OF FIGURES
Figure 1: Te Whānau Harakeke .................................................................35
Figure 2: Overlapping Spheres of Influence – Epstein ..........................43
Figure 3: Overlapping Spheres of Influence Adapted .............................45
Figure 4: Tamaiti/Rangatahi in relationship to iwi ................................6
Figure 5: Whānau Partnership Model for Mainstream Schools ............52
Figure 6: Whānau Partnership Model for Mainstream Schools Revised ....72
Figure 7: Staff Visual Model of Engagement ...........................................77
LIST OF TABLES
Table 1: Tahuri’s Sites of Engagement .................................................................47
Table 2: Sites of Engagement adapted .................................................................48
Table 3: Target Template ..................................................................................69
Table 4: Target Template ..................................................................................85
Table 5: Triangulation of External Factors .......................................................87
Table 6: Triangulation of Pedagogical Leadership ...........................................90
Chapter One
Introduction
This chapter introduces the research study. It explores the key concepts that will be considered within the research and the rationale for pursuing this course of study. It will identify the thinking behind the questions. Within the context of this framework the contents of each chapter will be outlined.
1 Background
Whānau engagement\(^1\) is a key area of interest in today’s educational climate. It is also an area where there is a dearth of New Zealand research to assist, support and guide schools, principals and whānau in how to achieve positive, meaningful and productive whānau engagement (Centre for Comprehensive School Reform and Improvement, 2005; Graham, 2003; Johnston, 1998). An aspect of the research is whether the interchangeable terminology; engagement, participation and partnership, encountered within educational fields, affect whānau engagement. The premise being taken being that the terms used are interpreted differently and have no standardised or institutionalised meaning. Timperley and Robinson (2002, p.41) state that “part of the problem is that “partnership” means very different things to different people” while educational documentation within the public arena uses different terms between and within publications:
**The New Zealand Curriculum**
... will help schools give effect to the **partnership** that is at the core of our nations founding document, Te Tiriti o Waitangi / the Treaty of Waitangi
*(Ministry of Education, 2007a, p.6)*
**Principles:** High expectations, Treaty of Waitangi, Cultural diversity, Inclusion, Learning to learn, Community **engagement**, Coherence, Future focus
*(Ministry of Education, 2007a, p.7)*
---
\(^1\) Interaction by families with learning institutions. This term is critically explored in Chapter 4.
Ngā Haeata Mātauranga Report
Engaging Whānau, Hapū, Iwi and the wider Community
(Ministry of Education, 2007f, p.17)
One of the ministry’s main strategic goals is to help increase the participation of family and community in the education system at all levels.
(Ministry of Education, 2007f, p.18)
It [ibid] relies on a system where partnerships flourish among schools and communities and where whānau, hapū and iwi are engaged in the education system, playing a variety of important roles.
(Ministry of Education, 2007f, p.19)
Better Relationships for Better Learning
Striving for partnership as a commitment to the Treaty of Waitangi is a key aspect of developing and maintaining relationships with Māori communities.
(Ministry of Education, 2000, p.7)
The guidelines focus on school governance, consultation, and encouraging parent participation in school activities.
(Ministry of Education, 2000, p.9)
The guidelines cover eight aspects of consultation and parental engagement.
(Ministry of Education, 2000, p.9)
The understanding of these terms by the research participants will be explored during the data gathering phase of the research but for the discussion purposes of this thesis, they will be used as interchangeable terms.
The literature informs us that home/school partnerships enhance student academic and social outcomes (Alton-Lee, 2003; Comer, 2005; Epstein, 2002).
However, in the Aotearoa/New Zealand context, and afforded under the Treaty of Waitangi, greater engagement/participation by whānau with education is a pivotal concern in today’s educational climate. While trying to address this concern, mainstream schooling continues to struggle with what this partnership looks like.
and the forces that impact, impede, support and encourage it.
There are many situational variables that impact upon whānau engagement including rural, urban, primary school through to secondary school, high Māori student population to low Māori student population, Māori students who are brought up by non Māori parents, Māori parents who do not identify as Māori and Māori who no longer have contact with iwi or hapū. Despite all of these variables, in the school setting there continues to be one constant factor in the whānau engagement debate – the principal as leader. Key areas of consideration are; the characteristics, qualities and values that Māori whānau recognise or value in a principal and the impact of these on whānau engagement. The term ‘whānau engagement’ is in itself a term that challenges thinking and understanding across and within institutions, this will be explored later in chapter four.
The topic of this thesis arose out of the Te Kauhua Māori in Mainstream Project – a Ministry of Education professional development programme for teachers. This project was initiated as a response to improving educational outcomes for Māori (Shortland-Nuku, 2000). Te Kauhua means:
*Supports on a waka that support the steering of the waka forward. It is a metaphor expressing the need for all those working to improve Māori student outcomes to have a shared understanding of what is required to work together for that purpose.*
(http://www.minedu.govt.nz/index.cfm?layout=document&documentid=8992&data=1)
Te Kauhua Phase One was introduced in 2001, being exploratory in nature addressing teacher professional development with an aim to improving educational outcomes for Māori students. There were seventeen schools in the pilot phase.
Phase two consisted of six schools that were contracted from 2003 to 2005. Phase three began in 2006, consisting of four lead schools and four cluster schools. At the beginning of 2007, this consisted of five lead schools, five cluster schools though this number grew throughout the course of the 2007 school year.
Te Kauhua is a professional learning model that aims to develop simultaneously, three key sites of engagement: teacher practice, Māori student social and academic achievement outcomes and whānau community – school relationships and interactions.
Te Kauhua Contract 2006
The case study site selected for this research was contracted to Phase Three and had previously been contracted in Phase Two of this project. A key dimension of the Te Kauhua project was Whānau Engagement and had been written into the contract (Appendix 1).
Programme Objectives:
To involve Māori parents and whānau in decision making that informs teaching and learning;
Te Kauhua Contract 2006
Despite the objective being well designed and succinct, the challenge remained to achieve this goal. Specifically, the facilitators, in the first instance needed to obtain from whānau what they considered to be a productive partnership within mainstream education and from this, how would the principal respond to the challenges and responses that were obtained?
The concept of whānau engagement continued to challenge the thinking of the Te Kauhua team, constantly being aware that this project was centered in mainstream schooling. The basis of this whakaaro\(^2\) was that the āhua\(^3\) of whānau participation, whānau engagement or the term productive partnership may be different to that of Kura Kaupapa Māori (Māori immersion school) or bilingual education.
This conclusion was drawn from the understanding that Kura Kaupapa Māori and Bilingual schools / classes have been established by Māori (predominantly) for language revitalisation and as such are driven from the philosophical understandings of Te Aho Matua. This philosophy incorporates a range of beliefs and values inherent in Māori society including knowledge, skills and attitudes. See Appendix 2 for the principles of Te Aho Matua.
\(^2\) Thinking, thought processes
\(^3\) Objective
Within the philosophical underpinnings of Te Aho Matua (guiding principles of Kura Kaupapa Māori), whānau and a strong sense of Māori identity plays a vital role in this style of schooling. Whānau, and expectations of them, are identified in the six principles of Te Aho Matua. These principles provide clear guidelines of expectations to whānau who choose for their children to be schooled in this pathway. Another key aspect to this form of schooling is the need for whānau to tono\(^4\) for the acceptance and inclusion of their child. As part of this tono process;
*Parents are required to provide a statement of aims, purposes, and objectives which explain the ways, other than language, in which the character of the school will differ from ordinary state schools.*
*(Te Puni Kokiri, 1993, p.6-7)*
Within the tono process, whānau are acknowledging and supporting the principles of Te Aho Matua, recognising the significant role they play in the education of their child. Smith, G. (1997) states that in the schooling process specific to Kura Kaupapa Māori, the whānau structure provides reciprocal roles and responsibilities. The conclusion being drawn is that kaupapa Māori learning environments, by their character, have embraced learning as a community and in so doing, are strengthening the kura’s social capital with a strong reference to and expectation of whānau, albeit, in a formal approach. Hence, there is a fundamental difference in how Kura Kaupapa Māori and mainstream schools approach whānau engagement.
The parallel whakaaro to this thesis is that of the role of the principal in this partnership. This review forms the basis of the study on principal leadership and the impact leadership has on forming a productive partnership with whānau. This literature review examines leadership styles and the values that sit within these styles. It goes further to explain and develop a framework for home/school partnerships to critique and modify for an Aotearoa/New Zealand context in an attempt to understand and explain whānau engagement at a working macro and micro level.
The questions were never ending and the discussions were always long and thought provoking. One constant was, ‘what were the key elements to successful whānau engagement? Are we comfortable with the terms engagement, participation and partnership? Where is the delineation of the macro and micro
\(^4\) Apply for admission and inclusion into this form of schooling for their child
properties? How is this progressed or inhibited by the principal and their leadership?' What would a working model look like in an urban secondary mainstream school?
Having previously worked in a primary school bilingual environment for eight years, I had my own understanding of the term whānau engagement in the primary school bilingual setting. Whānau were often available and visible, being present at hui, assisting with classroom programmes, attending interviews, informal gatherings, class trips and other such events. Staff had a presence at sporting and cultural events which enhanced the partnership.
From this prior experience there were two major fundamental practices that were now different from my current employment situation that could not be transferred to the learning environment that the Te Kauhua project was being implemented in. Firstly, the setting was a secondary school and secondly the situation was a mainstream school setting and the students were in a different stage of human growth and development to those of primary aged students. That is, in the primary school setting, students are younger and more attached through need to their parents and caregivers than students in the secondary school. In the secondary school setting, students are becoming more autonomous with friendships becoming important to develop the self as a whole (Drewery and Bird, 2004; Erikson, 1995). Correspondingly, parents are prepared to give adolescents more independence (Muller 1998; Steinberg, Brown & Dornbush, 1996) and parent participation declines over time as students’ ages increase (Crosnoe, 2001a).
Despite this documented decline, moving into a mainstream secondary school highlighted for me that those parents that were present at hui were for the most part, parents of students who were taking Te Reo Māori, (though there was still a large proportion of the Te Reo Māori whānau that did not attend hui) as an option or were participating in Kapa Haka. This is consistent with McKinely, S. (2000) findings (Appendix 3) and evidenced by determining the number of Māori whānau recorded on the school roll, the number of students participating in Te Reo Māori and Kapa Haka and those whānau who participated in hui. Hence, this was one of my major concerns for a number of reasons. Firstly, the number of students studying Te Reo Māori or involved in Kapa Haka was not a representative population of Māori students enrolled in the college and secondly, I was not confident that as a college we were adequately accessing Māori parent input into the education process. When seeking to find answers as to why parents of students not studying Te Reo Māori or involved in Kapa Haka were absent
from the this process, I always came back to the following questions:
- As a school, do we need to change our understanding of what a productive partnership looks like?
- Is the terminology engagement, participation, partnership a barrier in our understanding of what we are aiming to achieve?
- Do whānau have complete faith in the principal?
- What expectations does the principal have for all staff to develop home/school partnerships?
- How are we going to get all these parents, not just some Te Reo Māori or Kapa Haka parents involved in this home/school partnership?
The second aspect of the task was to determine where the school, as a learning institution fitted into the big picture. This proved to be a difficult task within a mainstream secondary school. Different departments operate in many different ways and the expectations of the Heads of Departments on communicating with home is not standardised. Essentially though, the principal is responsible for the direction of the school. The decision was made to focus on the leadership of the principal. The rationale being that of the Te Kauhua metaphor, Te Kauhua being the bow of the waka that forges or leads the way forward and as such, it is the principal that leads a school learning community. For without the principal guiding and setting the direction of the school, the provision for engagement by whānau could become disjointed and irregular or even discouraged. It also takes into account that the principal, as leader needs to be more aware of how the school is perceived by and relates with, the Māori community in terms of iwi and hapū than teachers who have less responsibility.
Once the topics had been identified, the journey began. The principal of the secondary school site was approached and the concept was discussed. Acknowledgement must be given to the willingness of this non-Māori principal to have her leadership style examined. It is important to remember that for the purposes of this thesis, the focus was purely on how the principal’s leadership impacted in either an inclusive or exclusive way on whānau participation.
This study concentrates on two major themes within the model of Principal Leadership – understanding of and proactive demonstration of a productive partnership, and leadership style. While the purpose of the thesis is to examine how these aspects impact on a productive partnership with whānau, this cannot be achieved without compartmentalising the concepts into manageable subtopics for
critiquing. The sections which will be discussed in this thesis are:
**Historical Tracing of Education in Aotearoa/New Zealand**
This is indirectly linked to the research by identifying the elements that have contributed to today’s educational climate.
**Principal Leadership**
This is directly linked to the research in order to identify leadership philosophies which impact on progressing a partnership with whānau.
**Whānau Engagement**
This is directly linked to the research by examining the term to provide a working definition for the purposes of this thesis. Progressing from this is the exploration of a framework for home/school partnerships, the place of culturally responsive schooling practices, concluding with a suggested model for the Aotearoa/New Zealand context.
2 **Design of the Study**
Whilst this study is exploratory, it is also contextual in that this is the story of one urban secondary school with a heterogenous student population, including 26% Māori. The research design was guided by a qualitative case study approach that examined the leadership style of one urban secondary school principal in a co-educational, decile 5 school setting.
Qualitative methods of data collection were employed. A methodology was applied to the project with 11 interviews completed, field notes and pictorial diagrams of engagement from the participants. As previously stated, the school roll was 26% Māori, encompassing 187 whānau. In discussion with my supervisor, five whānau, five staff and the principal were included in the research phase.
A secondary but complimentary research aspect was the trialling of a model of whānau engagement within the college.
3 Development of the Research Questions
From the outset, it was apparent that there needed to be specific questions designed that would elicit the information from the participants which would inform the study. The questions needed to examine the values and leadership style the principal operated from and whether this style was recognised by whānau and staff. The questions were designed to elicit from the participants whether the leadership style of the principal impacted on whānau to engage with the school in a productive partnership. The main research question formulated was:
“In what ways does principal leadership impact on whānau engagement in a mainstream secondary school?”
4 Structure of the thesis
This thesis endeavours to explore the impact principal leadership has on creating a productive partnership with whānau in a mainstream context, more specifically, an urban co-educational secondary school setting.
4.1 Chapter 1
This chapter has provided an overview of the research study and the rationale for such a case study. It has identified that the terminology used in the field of whānau engagement is inconsistently used in documents and suggests that the terminology could be a concern for mainstream schools when assessing the level of participation by whānau. It has identified that student age may impact on whānau engagement and, that there is a philosophical difference between mainstream schooling and Kura Kaupapa Māori schooling which also contributes to whānau engagement.
4.2 Chapter 2
This chapter sets the scene for this thesis, for without having an understanding of the context with which the study is centered in, one cannot truly understand the positioning of ‘whānau engagement’ as it relates to the educational context. The journey of education in Aotearoa/New Zealand from pre European times to the present day is explained to justify the claims being presented in this thesis. It highlights the key philosophies behind policies that have been implemented, in doing so it provides an understanding of the historical perspectives that have impacted on the whānau/school relationship for Māori.
4.3 Chapter 3
This chapter explores leadership styles and the values that sit within the differing models of leadership. It identifies that the principals who develop positive home/school partnerships with their communities need to be highly skilled in a number of areas including emotional intelligence – core values and belief systems, pedagogy and culturally responsive.
4.4 Chapter 4
This chapter critiques the terminology of whānau engagement. It explores the meanings behind the words from an historical perspective and a more contemporary perspective, from this, a working definition of ‘whānau engagement’ is presented for the purposes of this thesis. Models of home/school partnerships are critiqued, concluding with an alternative framework for the Aotearoa/New Zealand context.
4.5 Chapter 5
The specific context and demographics for this study are identified. It identifies the participants and discusses the methodology and design of this study. It presents the research question and the interview questions, providing a rationale for these. Māori, qualitative and case study research methodology are explained and explored. Ethical issues are explored, including those specific to conducting research with Māori and the limitations of the study are highlighted.
4.6 Chapter 6
The results of the research are presented in this chapter. These are presented under the headings principal, staff and whānau. Subheadings which encompass leadership are further used to critique the strands being researched and for ease of triangulation of data.
4.7 Chapter 7
This chapter discusses and interprets the results from chapter seven, referencing the findings to the literature review and collating the participants data within the strand used in this research. Each strand concludes with recommendations to enhance further whānau engagement. It concludes by providing commentary on the parameters required by principal leadership to progress whānau engagement within the models presented.
5 Summary
This chapter has provided the rationale behind the research topic. It has identified a key area of difference between Kura Kaupapa Māori and mainstream education. This factor, that of Te Aho Matua and the process of tono, may provide a rationale as to why whānau appear to be more engaged in Kura Kaupapa Māori and bilingual settings, yet it does not provide the answer for how to forge the pathway for increased participation in mainstream schools. It has identified that key to this issue is the interpretation and subsequent meanings of the terminology used within education – engagement, participation and partnership, highlighting that this needs to be examined further as well as how principal leadership impacts on whānau engagement.
Chapter Two
Education in New Zealand
Chapter Outline
This chapter highlights the historical background of the colonisation of New Zealand. It provides a brief overview of pre-colonisation schooling and an overview of the emergence of schooling for Māori in New Zealand. It identifies key points of interest that have resulted in challenges for Māori advancement in education. The chapter concludes with critical comment regarding why whānau engagement has become an area of interest in New Zealand mainstream schooling.
1 Introduction
This chapter explores learning and schooling in Aotearoa/New Zealand. It identifies key stages of these from learning and teaching pre-colonisation, the introduction of formal schooling up to the present day models. It highlights their inceptions, philosophies, power base and organisation.
When embarking on the study of Principal Leadership and how this impacts on engagement, partnership and participation with whānau in mainstream schools, the first point of interest is to explain the evolution of the schooling process in Aotearoa/New Zealand. This will identify the shifting philosophy of schooling and the changing power base from which these have emerged.
2 Historical Perspective
Aotearoa/New Zealand was colonised by European immigrants in the 1800’s and the impact of European immigration impacted on the infrastructure of Māori society. In this time of change, Māori society had to adapt the variety of long-held cultural institutions they adhered to. These included their economic structure, education systems, spiritual belief systems and sense of tribal, hapū way of living. In effect, European colonisation determined that Māori underwent an upheaval in their cultural existence.
To survive and adapt to this colonisation process that was occurring, Māori had to enter into discourse with settlers and representatives of the British monarchy for reasons of trade, protection, an ever increasing rate of crime by settlers, land alienation and confiscation as well as the advancement of economic, social, educational and cultural development. Despite this interest, there was also concern that any formal arrangement with Britain would result in a loss of power and self determination (Belich, 1996).
However, on the 28th October, 1835, the Declaration of Independence was signed by the chiefs of the Northern tribes and the Treaty of Waitangi was signed in 1840. The English and Māori texts were in effect conveying differing meanings and as a consequence, continue to impact on New Zealand society today. Despite this, colonisation ensued and Māori became disengaged and excluded from policy and decision making. As a consequence, Māori students continue to underachieve (Alton-Lee, 2003; Ministry of Education, 2005) and the introduction of various initiatives, including Te Kauhua Māori in Mainstream Education project and Te Kotahitanga which are specifically aimed at improving Māori educational outcomes in mainstream schools.
3 The Educational Journey
Pre European Māori society had established practices for the transfer of knowledge, the traditional concept of ako\(^5\). Ako was not dependent on age, gender or social status within traditional Māori society. Despite being a traditional concept, ako is a term which is gaining wide use within the educational arena (Ministry of Education, 2007c; Pihama, Smith, Taki and Lee, 2004), with an increasing understanding that all participants in the learning process can be both learner and/or teacher (Ministry of Education, 2007c; Bishop, Berryman, Tiakwai and Richardson, 2003). Smith and Smith (in Pihama et al, 2004) progress the concept of ako further, arguing that akongā is a term that can be used to describe both formal and informal education.
Informal education consisted of the teaching and learning of the fundamentals skills
\(^5\) Learning and teaching. The premise being that everyone is can be both a learner and a teacher
necessary for daily living and survival. These were learnt through observation and practical experience. However, the more complex knowledge, the formal knowledge was referred to as *tapu*⁶ and was accessed through the Whare Wānanga⁷ and Whare Kura⁸ (Belich, 1996; Smith, 1986; Buck, 1952).
Admission to these forms of institutions were through whakapapa⁹, those of high ranking or those identified as having the skills or aptitude to undertake these roles (Mead, 2003; Buck, 1952). It is here where the higher forms of learning took place. These included whakapapa, whakairo¹⁰, warfare, to name a few. These skills were cognitive endeavours. It is in these institutions that history was preserved and passed on to those chosen to carry the mantel for future generations. Mastery was paramount (Belich, 1996).
Post European schooling was first established by Thomas Kendall in 1816 (http://www.teara.govt.nz/1966/K/KendallThomas/KendallThomas). The first mission school was established in 1818 by the Church Missionary Society and in 1849, Bishop Selwyn founded Hato Tipene. Roman Catholic, Anglican and Methodist denominations also provided education for Māori up until the land wars of 1861. Māori church schools continue to provide education for students today.
The educating of Māori was viewed by Government as a means of social control and enabled the policies of assimilation to be enforced (Waitangi Tribunal, 1999; Smith, L. 1986). The Education Ordinance Act 1847 formalised schooling and in doing so, provided economic support for Missionary schooling (Barrington & Beaglehole, 1974). This equated to one twentieth of the colony’s revenue to be used for education (McLintock, 1966). Despite this revenue being available, Governor Grey preferred to support the already established mission schools, to provide education for Māori (Simon, 1990). This support was conditional that the instruction be delivered in
---
⁶ Sacred
⁷ Higher place of learning
⁸ Higher place of learning
⁹ Genealogy
¹⁰ Carving
English and would be subject to Government inspection. This support advanced the assimilation process which was the current thinking of the era and imposed non-Māori world views onto Māori within the schooling system. Education continued to advance and in 1852, the Constitution Act enabled Provincial Councils to be responsible for European education while Māori education remained to be controlled by the Government.
By 1867, The Native Schools Act was introduced and advanced the provision for native schools to be erected. These schools were established to provide education for Māori. Land and monetary contribution for these schools was provided by the community (Simon, 1990). In 1879, the administration of these schools came under the control of the Department of Education.
By 1903, Māori were compelled to attend public schools if there were no native schools in close proximity. The face of education in Aotearoa/New Zealand continued to change to reflect European aspirations. The syllabus for Native schools became to reflect that of public schools and by 1928, both public and Native schools shared the same syllabus. Education for Māori continued to be minimised as evidenced by the knowledge that School Certificate was not introduced into native district high schools until 1945 (Waitangi Tribunal, 1999). In 1969, native schools were discontinued.
As stated above, assimilation was seen as a key outcome of Māori education. There was a deliberate agenda to guide Māori into labouring and domiciliary employment. This is evidenced by Te Aute College being discouraged from preparing students for tertiary study and being reinforced in 1931 by the Director General in declaring that;
\begin{quote}
a Māori aptitude for maths was interesting but not relevant to their present or future needs as agriculturalists
(Waitangi Tribunal, *The Wānanga Capital Establishment Report 1999* Wai 718, Judge Kearney (presiding officer), J Anderson, K Walker)
\end{quote}
A further statement reinforcing the conscious thinking of the period follows. These words were spoken by a Member of Parliament
"The object of a good Native policy should be the Europeanising of the Māori"
(Hutton, 1998, p. 32)
The motivation for the funding of schools was due to the 'native policy'. This policy had Māori land acquisition as a key objective (Rokx, 1998). It was also a vehicle to restrict Māori educational achievement, supported by the following examples:
1862 by Henry Taylor, Government school inspector:
*I do not advocate for the Natives under present circumstances a refined education or high mental culture; it would be inconsistent if we take account of the position they are likely to hold for many years to come in the social scale, and inappropriate if we remember that they are better calculated by nature to get their living by manual than by mental labour.*
(AJHR, 1862, E-4 p.38)
*Otaki Māori pupils aged between 8 and 15, in the mid 1850's spending two and a half hours daily in lessons, and up to eight hours in hard labour on the land*
(AJHR, 1858, E-1 p.54-55)
Paora Tuhaere of Orakei’s dialogue with W. Rolleston that Māori children
*were set out to work as servants*
(AJHR, 1867: A-3 p.1)
From these early beginnings, the face of mainstream education has continued to evolve. One such aspect that has come under scrutiny is the inclusion of Taha Māori in schools. This first appeared in 1950, when provisions were made for Taha Māori to be included in the curriculum. This however, was provided from within a Pākehā construct.
More recently within our educational journey, the provision for Taha Māori surfaced again. The admission of this component was included in the School Curriculum in 1980 to assist in raising Māori student achievement. Smith (1986) argues that the inclusion of this component does no more than reinforce the educational dominance of Pākehā in educational governance and provision by maintaining the status quo and my in fact be ‘actively promoting the acculturation of Māori culture’ (Smith, 1986 p.1).
From these educational journeys, Māori have taken more control of their educational choices. The first Kōhanga Reo (Māori immersion pre-school) was established in 1981 in response to the revitalisation of te reo Māori and as a progression from this, Kura Kaupapa Māori and Whare Kura (Māori immersion secondary schools) have been established to continue the language development of students and the ability to be schooled in te Reo Māori and guaranteed by international law (Hastings, 1996).
Despite these advances in Māori education, over ninety percent of Māori students aged 12 – 15 years of age are schooled in mainstream education. While in 1994, over one quarter of students schooled in New Zealand were Māori, the projection is that by 2040, the majority of students will be Māori (Alton-Lee, 2003). The need to address the disparities of achievement for Māori within education needs to be investigated further and from a variety of viewpoints. The area of concern in this thesis is that of partnership between school and whānau and more specifically, the leadership role of the principal.
4 Summary
The journey of education for Māori in Aotearoa/New Zealand has had major transformations over the centuries. Pre European times saw Māori being educated by Māori in daily life and Whare Wānanga. Knowledge was transmitted and transferred to others according to need and hierarchy. Tribal existence relied extensively on trust that knowledge and skills would be passed on from one generation to the next. Māori participated in and had ownership of educational practices.
With the arrival of the European and the consequent settlement and colonisation of Aotearoa/New Zealand, tribal life was transformed, taking with it traditional forms of education. Education was manipulated by service providers, each with their own agenda. The missionaries, with their own agenda, established missionary schools with the belief that assimilation was a positive component of colonisation. Settlers, through governance, were motivated to gain and then retain power by limiting the type of knowledge Māori had access to as well as initiating and maintaining policies of assimilation.
It wasn’t until 1981 that Māori started regaining control of education with the emergence of the first Kōhanga Reo, while the first Kura Kaupapa Māori was established in 1985 and in 1993 the first Whare Kura was opened. Despite this emergence, Māori continue to be predominantly schooled in mainstream schools correlating with over representation in underachievement. Post European schooling policies have been in the control of non-Māori. School curriculum have historically been written and reinforced by non-Māori denying Māori of partnership or participation as guaranteed under the Treaty of Waitangi. This practise has evolved with time and there is now a specific silo within the Ministry of Education devoted to Māori Education. The Ministry of Education has published guidelines for Boards of Trustees and schools on the topic of consulting effectively with Māori. Yet the question of trust, that non-Māori had the interest of Māori aspirations and social advancement as part of their philosophical underpinnings must be questioned.
I hypothesise that one key approach to developing a trusting relationship to enhance whānau engagement is by a school being culturally responsive to the needs of Māori. This approach is explained in the following chapter, identifying the leadership role of the principal as well as what is meant by culturally responsive schooling.
Chapter Three
Leadership
Chapter Outline
This chapter begins by explaining the difference between leadership style and management. In doing so, it sets the parameters by which leadership will be examined. It provides an overview of what is meant by the term leadership and for the purposes of this study, identifies the progression of some traditional leadership styles and theories. It then moves into the domain of ‘Principal Leadership’, examining the literature and concluding with a framework that is hypothesised to exemplify the face of effective principal leadership to facilitate ‘whānau engagement’.
1 Introduction
*Leader, the word itself is more than a thousand years old. It stems from the Anglo-Saxon root laedare, which means to lead people on a journey.*
*(Bolman, 1991, p.404)*
Before embarking into the leadership domain, a point of reference that needs to be identified is the difference between the terms leadership and management. These terms as will be shown, are not interchangeable but mutually exclusive, requiring a different set of skills. Management is concerned with the ways things operate. It is outputs and target driven. West-Burnham (2003) describes management as the technical or functional components of the task. These tasks can be undertaken without the involvement of others.
As it applies to principals within the Aotearoa/New Zealand context and self managing schools, principals need to exhibit a balance of both qualities (Billot, 2003; Day, Harris, Hadfield and Beresford, 2000; Thew, 2002). This belief continues to be supported in the draft Kiwi Leadership for Principals 2007 document which states that systems and structures are important school mechanisms for managing student success (Southworth, 2004).
Principal leadership is a field that has attracted much attention and research. As with the teachings from the business sector (MacNeill, Cavanagh & Sicox, 2005), principal leadership is an important position within any educational institution. It has been evidenced that principal leadership is key in student achievement (Leithwood, Seashore-Louis, Anderson & Wahlstrom, 2004; Marzano, Walters & McNulty, 2005) and in supporting home/school partnerships (Leithwood & Riehl, 2003; Kilpatrick, Johnston & Mulford, 2003).
When investigating principal leadership, one needs to be aware of the specific working conditions of the principal. The principal’s role is positioned within the education field, serving the needs of the students, parents, wider community and the directives of education policy as determined by government policy. As well as these domains, there are subsets of cultures, beliefs, political beliefs, professional development pressures current of the time and financial constraints in respect of budget requirements, to name a few. In effect, schools are unique in that they not only have to respond to the learning needs of students, they must also respond to other stakeholders that have interests in the student while continuing to operate within the boundaries and expectations of government policy.
The skill level of a principal as leader operating within these parameters must be high in order to be successful (Sergivanni, 2007) or conversely, the effectiveness of the schooling process could be greater “if principals could provide strong instructional leadership” (Bolman & Deal, p. 405). Leadership style is dependent on the belief system a principal adheres to and on their own personal philosophy of what leadership looks like. This philosophy is shaped and moulded from the experiences the principal has accrued over time (Murphy, Elliot, Goldring & Porter, 2007). It can be argued, therefore, that leadership is a social construct which is also influenced by social variables (Crotty, 1998; Kezar, Carducci & Contreras-McGavin, 2006). These variables include race, gender and socio economic status.
Qualitative studies completed on ‘good leadership’, identify one common characteristic of effective leadership – vision (Kilpatrick et al, 2003; Leithwood et al, 2004). Effective leaders are able to create a vision, share the vision and gather support from those around them to drive and implement the vision. It is paramount that the
effective leader is a good communicator in order to share the vision (Leithwood & Riehl, 2003). Other character qualities found in effective leaders are the ability to build and maintain trust in a relationship, commitment, integrity and honesty (Bolman & Deal, 1991).
In this chapter, the traditional models of leadership, common to the business community are explained to provide an understanding of the complexities required by principals to fulfil their roles as leaders. Sergiovanni has explored the domains of principal leadership and has identified qualities that he argues are necessary components of effective principal leadership while Fullen (2002a) provides direction on attaining good leadership. Most research that applies to principal leadership is international in context, while in 2007 the draft Kiwi Leadership for Principals document was released. This document has provided a backdrop for the unique Aotearoa/New Zealand context, identifying key elements of the research and placing it into a framework specific to Aotearoa/New Zealand.
1.1 Servant-Leadership
What can be argued is that principal leadership can be described as a form of servant leadership in that the principal is serving a whole school community. Following is a definition by Robert K. Greenleaf. Center for Servent Leadership, Indiana, United States of America:
*The servant-leader is servant first. It begins with the natural desire of the leader to serve others. Then conscious choice brings one to aspire to lead. The best test is: do those served grow as persons: do they, while being served, become healthier, wiser, freer, more autonomous, more likely themselves to become servants? And, what is the effect on the least privileged in society; will they benefit, or, at least, not be further deprived?*
(The Servant as Leader, Robert K. Greenleaf, 1970)
http://www.greenleaf.org/leadership/read-about-it/articles/On-Character-and-Servant-Leadership-Ten-Characteristics.htm
Apart from having the desire to serve others first, this style of leadership operates from within a clear set of character qualities (Appendix 4). These qualities operate from a values base with community building, empathy and communication featuring significantly in its style of leadership.
1.2 Situational Theory
As the theory implies, leadership is dependent on the situation. There are many variables that may affect the style of leadership to be used. These include the relationship between leader and followers, motivation, situation and affective factors which include leader self awareness and their perception of the followers. Thus, situational variables are identified to determine leadership behaviour. It is recognised that the effectiveness of the leadership is determined by the situation, and that leadership behaviour is diverse (Yukl, 1998).
1.3 Transactional and Transformational Leadership
According to Cox (2001), leadership can be organised into two basic categories, transactional and transformational. Transactional leadership, introduced by Weber (1941) establishes clearly defined expectations for followers. This style is dependent on the relationship that is established within the contract between leader and follower (Burns, 1978). It is a style whereby the leader provides benefits upon the completion of the task. The task is expected to be undertaken and completed, regardless of whether the follower has the capability, expertise or resourcing to complete the task.
Transformational leadership is concerned with appealing to the follower’s intrinsic sense of motivation, moral development and values base, it also recognises that transformational leadership is concerned with relationships. It acknowledges the role that the leader has in building a rapport with stakeholders and in developing a commitment towards a shared goal, as Sergiovanni states, ‘people respond to work with increased motivation and commitment’ (1987, p,17). He also suggests that there is a moral and ethical basis to effective leadership and that the attitudes and values of leaders are influenced by a range of experiences encountered politically, culturally, educationally, through community and through the self, (Sergiovanni, 2005). Transformational leadership serves to empower others to become leaders. It encourages and supports people to pursue goals and aspirations for the good of the many.
The difference between these two styles was first introduced by Downtown (1973, as cited in Barnett, McCormick & Conners, 2001) while Burns (1978) progressed further this concept in his work focussing on political leaders. He identified that transactional
leaders exchanged rewards for work undertaken by followers and that transformational leaders operated from a different perspective, appealing to intrinsic motivation, vision and problem solving (Barnett, McCormick & Conners, 2001; Griffin, 2003; Judge & Piccolo, 2004). However Bass (1997) in contrast to Burns (1994), developed further this understanding of transactional and transformational leadership to state that these leadership styles are at the opposite end of the spectrum. He makes the point that “they are separate concepts and that good leaders use dimensions of both these styles” (Judge & Piccolo, 2004, p:755).
1.4 Distributive Leadership
Distributive leadership, a relatively new concept in the leadership domain involves others in decision making. It is a team approach whereby leadership of others is celebrated and utilised for the good of the many. This form of leadership is currently being progressed in the educational arena as a conduit of sustainable change. By principal’s sharing the vision and leadership, others are able to take ownership and it is not therefore principal dependent (Spillane, Halverson, Diamond, 2001). The premise of this style of leadership is not for principals to cede leadership, but rather to distribute tasks in order for them to lead more effectively (O’Connor, 2006).
Central to the success of distributed leadership is trust (Abzug & Phelps, 1998), having the confidence in personnel to perform tasks entrusted upon them is necessary. It includes inclusive leadership and collegial practices.
In today’s highly complex educational climate, no one leader is able to take control of all activity generated within the organisation or institution (Fullen, 2001). Hence, open communication between the parties and trust in hierarchical subordinates are central themes to distributed leadership.
Positioned within this leadership style is the ability of the principal to distribute leadership of whānau engagement to other staff members. This is particularly important when the principal recognises their own cultural limitations and dearth of skills in this area. This enables a collaborative leadership approach whereby other staff members assume greater responsibility, building a broader depth of capacity in the school (O’Connor, 2006). It is here where Māori leadership is able to be progressed by staff and in a Māori context, Kanohi Kitea.
1.5 Kanohi Kitea
Kanohi Kitea or the seen face (Te Awekotuku in Smith, 1999) refers to meeting people face to face, kanohi ki te kanohi. It is embedded in Māori epistemology and a mode for developing trust (Graham, 2003). It is an expectation of the social group or in terms of whānau within education, that there is a representative at events specific or important to Māori. Having a presence in the community demonstrates to whānau, the commitment the college has to kaupapa Māori and it’s responsiveness to the needs and aspirations of Māori. Persons charged with this responsibility are identified by the community as upholding tikanga for the college and whānau. These people provide the link between whānau and school.
1.6 Charismatic Leadership
Charismatic leadership has evolved from the paradigms of transformational leadership. Charismatic leaders can often be found in situations where there is a process of change occurring. The qualities these leaders possess, enables them to act as change agents (Harvey, 2001; Conger & Kanungo, 1998) though this change is not sustainable once the charismatic personality has left.
2 Principal Leadership
As identified at the beginning of this chapter, there is a difference between leadership and management and these positions are delineated in the business world. Yet within the domain of principal leadership and the advent of self managing schools, the principal’s role incorporates both responsibilities (OECD, 2007; Marzano et al, 2005; Day et al, 2000). The principal’s role has become complex with a range of responsibilities and tasks required to fulfil the designated requirements of operating a school community.
Contained within each leadership style there are specific skill sets pertaining to the philosophical underpinnings of these styles. Commentators in the principal leadership arena have identified a variety of skills required by a principal to be effective (Murphy et al, 2007; Ministry of Education, 2007c; Dinham, 2005; Leithwood & Reihl, 2003;), in enabling change and to provide direction for the schooling process to meet the demands for the 21st century.
More recently and in response to the unique Aotearoa/New Zealand the draft Kiwi Leadership for Principals (draft 18/06/2007) was released. This document, produced in response to the Ministry of Education’s Statement of Intent (2007d), provides
direction for principals in the domain of strong professional leadership. It highlights factors that Aotearoa/New Zealand principals need to display in response to the demanding and evolving role of principalship in this country. These discrete set of skills are outlined below.
2.1 Pedagogical Leader
Pedogogy is derived from the Greek word paidagogos meaning:
*The principles, practice or profession of teaching*
While pedagogical leadership is defined as;
*Pedagogic leadership is predicated on informed teacher practice and reflection. Teachers are empowered to exercise professional responsibility and supportive judgements by principals who are pedagogic leaders. The pedagogic leader demonstrates credible knowledge of learning and teaching in conjunction with knowledge of the processes for improving school-wide learning.*
*(MacNeill, Cavanagh & Silcox, 2005, p.1)*
The concept and intent of this term pedagogical leader takes on an holistic approach for the provision of leadership. MacNeill, Cavanagh & Silcox (2005) sate that within the literature, there appears to be five inter-related specific areas of meaning that connect together to inform the practice of pedagogical leadership; epistemological, socio-ideological, social, the pedagogic act and pedagogy separated from didactics (Appendix 5). While (Fullen) 2001 argues that pedagogical leaders understand the change process within education and are effective change agents. They are capable of leading schools through complex change which is a reflection of the education process in the 21st Century. Encompassed in this leadership skill, effective principals ensure that change is sustainable (Lambert, 2005).
The pedagogical leader is one that values learning in the self and others, keeping abreast of latest research and ideologies. Though not being specialist in all fields, they are aware of teaching and learning pedagogy and new trends in education, demonstrating a commitment to life long learning and enabling others to regard them as intellectual leaders (Ministry of Education, 2007c). Pedagogical leaders have a focus and commitment to student learning. Consistent with this philosophy, the principal encourages, supports and enables staff professional development
(Leithwood & Riehl, 2003) for the betterment of both student and teacher. The parallel philosophy of this aspect is that of ‘ako’. All participants within the learning community are both teachers and learners.
Pedagogical leaders invest energy into developing positive school networks and are committed to relationship building. The pedagogical leader operates from a highly developed social conscience and moral value which is explored in-depth later in this chapter.
In order to facilitate these leadership skills, the pedagogical leader operates from a distributive leadership style.
2.2 Moral Leadership
Sergiovanni describes the role of principal as operating from The Heart, the Head and the Hand.
The heart of leadership: What do we value?
The head of leadership: What are our theories?
The hand of leadership: How do we behave?
*Sergiovanni Strengthening the Heartbeat 2005*
He also states that Moral leadership needs to be included into the framework for effective principal leadership (Sergivanni, 2007) arguing that values play a role within this framework. Day et al (2000) found that principal decisions are driven from their own personal value system, supporting Sergiovanni’s claim.
Moral leadership is the ability to merge the heart, the head and the hand concept. Through the sheer nature of the position, the principal holds the power base by default, in that they have access to information that others do not. It is through this information that power is derived. Yet to yield this power autonomously is not to provide leadership but to lead by dictatorship. As Sergiovanni (2007) states, “whenever there is an unequal distribution of power between two people, the relationship becomes a moral one” (Sergiovanni, 2007, p.23). The art of moral leadership is to instil trust in the follower that this power will not be abused or exploited. The ideal is that the leader will use this power for the betterment of the school and its followers, not for the advancement of their own personal gain.
Operating from a moral leadership component is values laden, with research indicating that values leadership plays an important role in principal leadership in successful schools (Day et al, 2000; Hallinger, 2003a), with a sense of purpose that every student is provided with quality learning and teaching, that are responsive to their needs, engages them in learning and is culturally responsive (Ministry of Education, 2007c).
2.3 Relationships
Inherent from operating from a strong sense of values, is the core personal belief that relationships matter (Branson, 2005). Principals need to be able to forge positive, meaningful relationships with their learning community (Fullen, 2002a; Kilpatrick, 2003). The stakeholders consist of students, whānau/parents, staff, colleagues, other principals, Board of Trustees members and Ministry of Education officials to name but a few.
Building positive relationships with the school community is a vital and crucial aspect for advancing home/school partnerships (Carlsmith & Railsback, 2001). In order to develop a relationship with the school community, the principal must develop a sense of trust and caring, culminating in a sense of respect (Gorinski & Fraser, 2006; Leithwood & Riehl, 2003). The concept of caring is a characteristic identified by Epstein (2002) to further progress the home/school relationship as expressed in chapter four. It is argued, therefore, that trust and caring are necessary requirements for the advancement of whānau engagement. In order to develop a trusting relationship, communication is an important aspect to consider. Effective principals are able to build positive communication with diverse groups (Murphy et al, 2007) to enhance home/school partnerships.
Having an attuned sense of values and moral purpose, an understanding of leadership styles and change implementation, are the skills required to be able to manage or lead staff through change.
Inherent in this aspect of change, is building strong community relationships, based on trust and integrity, the principal is confident and committed to improvements (Gorinski & Fraser, 2006; Leithwood & Riehl, 2003; Timperley & Robinson, 2002).
2.4 Systems
The ability for principals to understand, implement, change and use systems effectively and efficiently has become a necessary requirement in today’s educational climate. The use of systems by the principal to progress whānau engagement is
beyond the scope of this thesis.
2.5 Culture
Creating a positive culture not only refers to classroom practice but also to classroom climate and the culture surrounding relationships and values espoused by the school. It is being culturally responsive to Māori, providing culturally responsive teaching programmes and acknowledging that students learn best when their culture is reflected in the curriculum (Banks 2005, Gay 2002, Valdez 1999). Within the Aotearoa/New Zealand context, it is ensuring that ‘ako’ or ‘culture counts’ and is reflected in programme delivery. Research states that students are able to engage more with learning when they see their culture and world view reflected in the schools values (Bishop et al, 2003; Nash, 2004; Bishop and Glynn, 1999).
2.5.1 Culturally Responsive Teaching
Culturally responsive schooling or multicultural teaching takes into account the needs and aspirations of those ethnicities that are different to that of the dominant culture. This is fundamentally different to assimilation whereby the dominant culture endeavours to negate the minority culture. As identified in chapter 2, the advent of colonisation and early schooling in Aotearoa/New Zealand positioned itself on policies of assimilation. According to Banks and Banks (2001), multicultural education is crucially important in the 21st century as we are living in a global community and as Durie (2001) states, the New Zealand education system needs to support Māori student success which:
enable Māori to live as Māori
facilitates participation as citizens of the world
contributes towards good health and a high standard of living
Within the schooling structure this allows for the recognition that culture counts – or in a Māori context, the concept of ako. The concept of ako was identified in chapter 2 as being a traditional concept of learning and teaching and forms part of the draft Kiwi Principal Leadership model.
2.5.2 Definitions
In the Aotearoa/New Zealand context, colonisation has determined that the dominant culture is Pākehā and that schooling institutions need to be responsive to the needs of minority or indigenous groupings. For the purposes of this thesis, this refers specifically to Māori as the indigenous culture.
There is a vast amount of literature on culturally responsive education. A precise and succinct definition being:
*Culturally responsive teaching is defined as using the cultural characteristics, experiences, and perspectives of ethnically diverse students as conduits for teaching them more effectively*
*Gay, 2004b, p. 106*
Culturally responsive teaching or multicultural education, are terms that are often interchangeable. For the purposes of this thesis, the meaning and principles underlying these terms are the same. Culturally responsive teaching is the term used in the body of this thesis.
### 2.5.3 Rationale for Cultural Responsive Teaching
Culturally responsive teaching acknowledges that culture plays an important role in defining the individual. Life experiences are influenced by cultural bias determining how one views the world and within the learning environment, how one interprets the contexts of learning. By being culturally responsive, educators and schools need to acknowledge that differences do exist between student’s ethnicity and as Gay states “multicultural education argues against the melting pot, colour blindness, cultural deprivation, and uniformity ideologies as acceptable standards for how to interact with diverse students.” (Gay, 2004a, p.209).
Students learning environments and contexts for learning are as important as the relationships that occur within the confines of the schooling environment. Hence, the formal curriculum is an area that is easiest to address. The physical materials presented to students in curriculum delivery can be critiqued and responded to. The physical buildings and displays within them can reflect the cultural diversity of the learning community (Hoerr, 2007). It is the informal curriculum that presents itself with the most difficulty and one which communicates strong messages as to the celebrating and acknowledgement of diversity (Hoerr, 2007). By recognising and responding to the challenges of creating culturally responsive formal and informal curriculum would create a transformative learning community (Banks & Banks, 2001).
Culturally responsive teachers are aware of the diverse lense students bring to the learning environment Sheets (2005) and respond accordingly to their students. In the Aotearoa/New Zealand context, this reinforces the concept of ‘ako’.
Being responsive to the needs of ethnicities posits itself within the underlying principle that students will experience greater success with learning. This learning encompasses social, emotional and academic domains. When learners see that their own personal experiences and global understanding of the world are included in the learning and teaching process, education, learning and achievement is enhanced (Banks 2005, Gay 2002, Valdez 1999).
In effect, a culturally responsive school can be seen as a change agent, a school with a social conscience and one that affirms the ethnic diversity of its learning community. Yet to be able to implement such change, school leaders must build trust in the community. Community in this instance refers to all stakeholders in the learning community, including students, whānau and staff (Howard, 2007).
The question this poses is:
Can principals build trust within the Māori community for the advancement of whānau engagement by advancing culturally responsive schools? Or alternatively, can Māori trust principals to respond to the needs of Māori by creating culturally responsive schools by setting the direction for their staff in this respect?
Principals that are able to lead staff through this cultural change, understanding that culture counts and culturally responsive teaching and learning is an inherent aspect for the schooling process for indigenous students to be successful, operate from a keen sense of justice and moral purpose. An attribute that enables strong principal leadership is their inherent sense of values or manaakitanga.
Consistent with pedagogical leadership skills identified previously, the pedagogical leader supports staff and provides professional learning opportunities to understand the complexities of the role of whānau, hapū and iwi within education.
3 Effective Leadership Styles
Progressing from the description of the demanding role of the principal, the challenge is to best describe the most effective styles of principal leadership as it applies to developing, enhancing and maintaining whānau engagement.
Transformational and distributive leadership serves to empower others to become leaders. It encourages and supports people to pursue goals and aspirations for the
good of the many. This, in an educational setting, would see principals setting a vision or a direction for the learning institution, generating interest and support from other members based on a high ethical and moral understanding and through positive relationship building, fulfilling the vision. Transformational leadership supports a collaborative school culture and as such posits itself as an effective principal leadership style (Leithwood & Riehl, 2003; Silins & Mulford, 2002).
Sergiovanni, though supporting transformational leadership, also argues that moral leadership is an important aspect of leadership, due in part, to the position of power the principal receives by default, while stewardship, a characteristic of servant leadership is supported by Goodan (2002).
Yet new to the realm of leadership is that of distributive leadership. Fullen (2001) argues that for any change to be sustainable, the vision and the leadership must be distributed throughout the learning community. Whereby O’Connor (2006) and MacNeill & Silcox (2006) argue that this form of leadership includes collegial and inclusive leadership practises but goes further in developing leadership amongst others.
Regardless of the terminology used to describe leadership styles, the key emerging themes that are fundamental to leadership are having a vision, effective communication, relationship building, a strong values base and pedagogical leadership.
4 Summary
This chapter has outlined the complexity of the principal’s position. It has identified and summarised leadership styles that research has nominated as being effective for the development of whānau engagement. It has also highlighted that due to the complexity of the principal’s position; there may not be one specific style to develop this relationship, but rather a melding together of key aspects from transformational leadership, distributive leadership, moral leadership and the characteristic of stewardship from the servant leader model. The literature evidences that building trusting relationships, caring, effective communication and being visionary are key qualities present in principals that have established strong partnerships with their communities.
The definitions as identified and explained in this chapter provide explanations of leadership theories. Within any relationship, there is more than one key player. In the leadership relationship, this equates to the follower. Despite not being formally researched within this chapter, there is a common understanding amongst researchers that the success of any leader is dependent on the acceptance and response of the follower/s or those being led. Although effective ‘in-school’ leadership is required to support ‘whānau engagement’, the question to be answered is, what does the principal’s role look like in a relationship which progresses whānau engagement?
Chapter Four
Whānau Engagement Explained
Chapter Outline
This chapter examines the terminology ‘whānau engagement’. It critiques the meanings behind the kupu\(^{11}\) from a historical and contemporary viewpoint. It explores the journey of change for the concept of whānau engagement and the current thinking within Aotearoa/New Zealand today. This chapter will explore the underpinning concepts of the term ‘whānau engagement’ and identify the meanings that this term implies. It will provide an alternative phrase which will be used as the thesis working definition of ‘whānau engagement’. Current discourse on the topic on school, family and community partnerships will be explored as well as critiquing frameworks.
1 Introduction
To be able to understand the scope of this thesis, the phrase ‘whānau engagement’ has to be teased out and critiqued. The necessity and rationale for determining this aspect of the thesis is as follows. Firstly, the question surrounding the difference between a ‘productive partnership’ and ‘whānau engagement’ needed to be explored. Many discussions took place between colleagues, Te Kauhua Facilitators and the Project Director, Ministry of Education Managers, academics, whānau, friends and anyone that would be obliging to enter into dialogue. The thinking became diverse and ever more challenging. Essentially, a key component of the thinking was that schools can engage in some form with whānau and vice versa. However, this does not always have to be a partnership, it may be one way dialogue and it may not always be positive from a whānau or school point of view.
For example: teachers discussing behavioural issues with whānau
schools determining the use and situations of powhiri
To clarify the understanding and direction of the thesis, the interchangeable use of the two terms ‘whānau engagement’ and ‘productive partnership’ need to be explored.
\(^{11}\) Word/s
2 Whānau
By dictionary definition, whānau is explained as:
whānau I te atapō tonu ka whānau tana pēpi.
born Her child was born before dawn.
whānau Ko te whānau te hungā tūturu, ko te kaupapa hoki o te iwi.
family The family is the natural and fundamental unit of society
whānau He whero ngā makawe o ōna uri katoa.
offspring Every one of his [sic] offspring had red hair.
whānau Te Kīngi me āna pori
people She longed to return to her people.
English-Māori dictionary H.M. Ngāta (Ngāta, H. M. 1989)
whānau I muri tonu mai tenei o tona whānautanga
be born Ka rite ngā ra e whānau ai (te wahine)
Be in childbed Ka rangona e Rata e karakia haere ana mai a Tane
Offspring, family group It is questionable whether the Māori had any real conception of the family as a unit
Family A familiar term of address to a number of people
Engari, e te whānau, kei aroha tatou ki tona auetanga
Dictionary of the Māori Language H.W. Williams
According to The Ministry of Health (cited in Pihama & Penehira, 2005), whānau is aligned with the notion of ‘pā harakeke’. This refers to the flax plant and the symbolism with which Māori affords this plant. The flax plant is recognised in Māori society as symbolising the whānau and the ways in which whānau protects itself. This is identified in the rituals surrounding the harvesting of flax as well as the names afforded to the structure of the flax plant. It is also apparent in whakatauki as outlined below.
Hutia te rito o te harkeke If you were to pluck out the centre of the flax bush,
Kei hea te komako e ko? Where would the bell bird sing?
Ki mai nei ki ahu. If you were to ask me,
He aha te mea nui o te ae? What is the most important thing in the world?
Maku e ki atu I would reply,
He tangāta, It is people
He tangāta, It is people,
He tangāta It is people.
Ehara taku toa, i te toa takitahi engari he toa taku tini
My strength is not from myself alone, but from the strength of the group
Figure 1: Te Whānau Harakeke
As the diagram above depicts, the rito (child) is in the centre of the plant, the new growth, the awhi rito (parent) embrace and protect the child while the tupuna (grandparents) support the whānau unit, providing strength and stability as well as teaching and sharing knowledge to the whānau. It is these outer leaves that are harvested for use, with the rito being protected and nurtured to grow strong and healthy.
Metge (1995) states that the fan affect of the awhi rito symbolises that each tamaiti\(^{12}\) inherits two lines of descent, whakapapa, which come from a collective, hapū and iwi. She argues that the flax bush exemplifies the cyclic concept of life and death.
Durie, M. (2001) acknowledges the complexities of the concept of whānau, stating that as Māori society has changed, so too has the understanding, description and explanation of whānau. He identifies the following whānau types:
Whānau as kin: those who descend from a common ancestor
\(^{12}\) Child
Whānau as shareholders-in-common: those who are common stakeholders in land
Whānau as friends: those who share a common purpose
Whānau as a model of interaction: as seen in the school environment
Whānau as neighbours: a shared locality
Whānau as households: family residing in the house
The virtual whānau: geographic separation determines that meetings occur through technology
Alternatively, kaupapa whānau is a term used to convey the concept of whānau drawn together through purpose or circumstances (Smith, G., 2003a, Durie, M., 2004a).
Taking a conservative approach to defining the term, in its purest sense means those connected by blood ties and descended from one common ancestor. Taking a more contemporary approach, whānau can mean membership by a group of people through common interest and most often with culture as a base.
Yet Durie, M. (2004) goes further to identify the complexity of the issue of whānau by identifying that in the 1996 consensus, 579 714 respondents stated they were of Māori descent but only 523 374 respondents identified themselves as Māori while in the 2006 consensus, these figures changed to 643 980 respondents stating they were of Māori descent but only 565326 respondents identified themselves as Māori (http://www.stats.govt.nz/default.htm). This is an important point in that on enrolment, parents may identify students as being of Māori descent, but may not wish to be included in anything kaupapa Māori within the school or alternatively, parents and students may appear Māori on the basis of physical features and skin colour, or other personnel within the school setting may know them to be of Māori descent, yet may choose not to identify as Māori.
3 Engagement
The dictionary definition of engage is:
Engage
To involve (a person or his [sic] attention) intensely
To draw (somebody) into conversation
To take part, participate
*The New Collins Concise English Dictionary*
And engagement is
Engagement the act of engaging or condition of being engaged
A promise, obligation or other condition that binds
The New Collins Concise English Dictionary
The dictionary definition of partnership is
Productive yielding favourable results
The New Collins Concise English Dictionary
Partnership a contractual relationship between two or more persons carrying on a joint business venture
The New Collins Concise English Dictionary
Pihama and Penehira (2005) identify a number of domains where engagement is used as a tool for the advancement of Māoridom. They state that from their review, the term ‘engagement’ is a recent addition to the discourse of the New Zealand Crown and other agencies. It goes further to state that this has “become increasingly more apparent in the last 5 years” (Pihama and Penehira, 2005, p.26). Key areas of engagement identified in the report are presented to support and compare the dictionary meanings provided.
Research published in 2004 for the Department of Labour, Government-Community Engagement: Key learning and emerging principles used the Privy Council (2000) definition to underpin its philosophy:
Citizen engagement refers to processes through which government seeks to encourage deliberation, reflection and learning on issues at preliminary stages of a policy process often when the focus is more on the values and principles that will frame the way an issue is considered. Citizen engagement processes are used to consider policy directions that are expected to have a major impact on citizens; address issues that involve conflicts in values or require difficult policy choices or tradeoffs; explore emerging issues that require considerable learning, both on the part of the government and citizens; and build common ground by reconciling competing interests.
Citizen engagement differs qualitatively from consultation in a number of ways including an emphasis on in-depth deliberation and dialogue, the
focus on finding common ground, greater time commitments and its potential to build civic capacity. In this regard, citizen engagement should be used selectively. (2004, p.5)
The Ministry of Education in its efforts to engage with Māori at a government level state that;
Engagement is more then just sending out information and gathering feedback. It involves a greater degree of dialogue and debate to build stronger relationships and partnerships.
Consultation and Engagement with Māori: Guidelines for the Ministry of Education 1999
Although the Ministry of Education suggests that engagement is the basis of building a relationship with whānau to establish stronger relationships, it does not provide working guidelines for principals on how to achieve this dimension (Graham, J. 2002).
Furthermore, by its very nature, the term engagement suggests that whānau are not engaged with education. The dictionary meaning provided includes a definition of ‘participation’. Once again, there is an assumption that whānau are not participating with either the education system, school or with their child in terms of education. These assumptions for the most part will be unfounded unless embedded by individual school gathered data from staff and whānau. This aspect is beyond the scope of this thesis.
For schools, the progression of these terms without clearly defined Aotearoa/New Zealand contextual meanings and examples does not assist schools in developing a shared understanding of the parameters and expectations of this concept. What it has historically suggested is that the appearance of ‘engagement’ is whānau attending hui as can be evidenced by the number of whānau hui held in schools and largely unattended, supported by the experiences of hui in schools within Phases 2 and 3 of Te Kauhua schools.
These investigations are posited at the macro level of engagement and it is how these parameters translate to the micro level that are important when determining the face of engagement at this level. By cross referencing to the definition posited for whānau at the micro level of the school environment, one must look deeper as to who this is
targeted at. As identified in this chapter, on the surface, it appears that few whānau are truly represented in the engagement process. Once again, the issue of trust in the process and the historical nature of education in Aotearoa/New Zealand in excluding Māori from the decision process, appears to be central to the process or as Pihama (2001) suggests, that engagement has been used to the detriment of whānau.
Durie, M. (2006) provides a working definition that a ‘productive partnership’ implicitly implies that there is a partnership and it is productive. In terms of education, an outcome of a productive partnership would include greater educational achievement of Māori in the mainstream school domain.
The dictionary meaning of ‘partnership’ states that it is contractual, suggesting it is legally binding. It would be binding at government, school, iwi, hapū and whānau levels.
From the above definitions and for the purposes of this thesis, the term ‘whānau engagement’ is used within the construct of the following parameters:
**Whānau**
*Immediate and extended family, including caregivers with or without a blood relationship through whakapapa who have identified their child as being of Māori descent as recorded from their enrolment card. It includes social workers and any significant others that have as their care business, the interests of the child or young person. In response to the National Education Guidelines and the National Administration Guidelines, to provide a physically and emotionally safe environment, it excludes those persons for whom there is a custody order or protection order against.*
**Engagement**
*A relationship between whānau and school that is productive and provides opportunities for participation by both partners.*
In effect, this definition is in line with Durie’s ‘productive partnership’ definition whilst including as part of the definition the aspect of participation. As stated earlier, the concept of this term will be investigated in the data gathering phase of this thesis.
4 Engaging, Productive, Participatory Partnerships
Research into the benefits of home, school partnerships has established that there are positive effects for students academically, attitudinally and behaviourally (Beveridge, 2005; Epstein, 2002), while Domina (2005) argues that the academic benefits are a secondary response from positive behavioural shifts, ‘the effect of each of these involvement activities on children’s academic achievement is negative or nonsignificant’ p. 245.
A key point of interest is the acknowledgement that home/school relationship looks different at the changing school levels. Hence age/stage development theories are an inbuilt facility in the examples that Epstein provides, a point supported by Ellis and Hughes (2002) and identified in chapter one.
Muller (1998) suggests that parental involvement during adolescence is context specific, responding to need and adjusting their involvement accordingly while Crosnoe (2001a) identified that the downward trend of participation is linked to academic ability and that the drop off rate is higher for those parents of students performing academically well though this is not necessarily true for ethnic minority students.
The premise that effective home/school relationship improves Māori student outcomes is now widely accepted within the educational arena today, what continues to cause angst amongst the educational fraternity is what this effectively translates to within the Aotearoa/New Zealand context.
The philosophy of strengthening relationships and fostering improved relationship between mainstream schools and the Māori community is in direct contrast to the historic establishment of schooling in Aotearoa/New Zealand and the policies of assimilation of the era, and consequent underachievement of Māori within the education system as identified in chapter 2.
The Treaty of Waitangi affords Māori rights of participation and partnership in the education process. This is in Ministry of Education documents including:
- Better relationships for Better Learning
- The New Zealand Curriculum
and there are specific areas targeted at improving the participation of Māori in the schooling process. These include:
- The provision for Māori to be co-opted on to the Board of Trustees
This is at a governance level and is dependent on the good will of the elected Board of Trustees
- National Educational Guidelines 1v. reporting of targets set for Māori student achievement
These provisions are aimed at the governance layer. It is the deeper understanding of whānau engagement which will be explored further in the Community Partnership section of this chapter.
As stated, the term engagement encompasses the understanding that there is a partnership. The literature also refers to the relationship between the home and school as a partnership. Yet to further develop the partnership, their needs to be a shared understanding of the commonly held meaning of a partnership within the confines of education. As identified in chapter one, the terminology used in this arena and the understanding of the terms by stakeholders is inconsistent and in the absences of a global educationally succinct direction, the whānau, along with the principal need to enter into a partnership to develop a working definition for their context.
5 Hui Taumata Matauranga 2006
The 2006 Hui Taumata Matauranga focussed on the ‘whānau participation’. As identified in the discussion between the differing terms ‘whānau engagement’ and ‘whānau participation’, these terms for the purposes of this thesis are deemed interchangeable. This hui gleaned information from youth, whānau and educators.
Areas that are pertinent to this study are as follows
- Tikanga Māori be a valued part of the core curriculum and school environment (Culturally Responsive Schooling)
- Teachers and other office holders commit to correct pronunciation of te reo Māori (Culturally Responsive Schooling, Social Conscience)
- That methods for engaging whānau used by Kōhanga Reo and Kura Kaupapa Māori are shared and implemented (Te Aho Matua, Epstein’s Pact Agreement)
- That a joint understanding of partnership is developed and recorded between the Ministry of Education, schools and whānau (Policy)
6 Community Partnership
Epstein has progressed a working model of home/school partnership for the American context. This work is both informative and detailed, providing guidelines for school administrators.
Epstein has worked extensively on school, family and community partnership developments, developing a framework from research. It identifies six areas of engagement to develop and build home/school relationships. An area of note is that within this framework, is the provision for and appointment of, a member of staff whose specific job description is that of community liaison person. This position is funded and supports the schools contractual obligations under the No Child Left Behind policy. The framework also works from a team approach, with specific designated positions.
Although Epstein provides a coherent framework, the key component in the success of such a philosophy is the leadership of the principal to be able to implement, support and maintain this. Again, at the core of this approach, is the principal’s underlying belief system about the role of community partnerships.
Epstein’s framework positions itself from the ‘overlapping spheres of influence’.
**Figure 2: Overlapping Spheres of Influence – Epstein**
The very nature of the diagram identifies that there is an overlapping of support by the three spheres and at the centre of the sphere is the child. It also acknowledges that there are some instances where only two of the spheres intersect and at in other instances whereby each sphere is a separate entity.
Epstein also makes the distinction between the terminology ‘student’ and ‘child’, stating that by using the term student, schools see families as being separate to the school. The reverse applies when ‘student’ is replaced with ‘child’ (Epstein, 2002). This creates an atmosphere and philosophy of caring.
Within the model, key areas of involvement are identified. These areas encompass six distinct themes to assist and guide schools with the partnership process.
**The Six Types of Involvement**
| Type 1 Parenting | Help all families establish home environments to support children as students |
|------------------|--------------------------------------------------------------------------------|
| Type 2 Communicating | Design effective forms of school-to-home and home-to-school communications about school programmes and their children’s progress |
| Type 3 Volunteering | Recruit and organise parent help and support |
Type 4 Learning At Home Provide information and ideas to families about how to help students at home with homework and other curriculum-related activities, decisions and planning
Type 5 Decision Making Include parents in decisions, developing parent leaders and representatives
Type 6 Collaborating With the Community Identify and integrate resources and services from the community to strengthen school programmes, family practices, and student learning and development
These six types of involvement can be used by schools to guide their programmes of home/school partnerships. She has gone further to develop examples, challenges and results to compliment her model of involvement, taking into account differing needs across the schooling spectrum consistent with differing needs according to student age and development.
As stated earlier, a critical factor in this process is the designated position within a school to develop home/school partnerships, this person does not work in isolation, but develops a team approach which Epstein refers to as ‘Action Teams for Partnership’. Having a dedicated position of responsibility is supported by The Knowledge Loom, part of the Education Alliance at Brown University in the United States.
These teams do not need to work from an empty slate as research and development has identified five steps for schools to take to develop strong home/school partnerships.
**Action Team for Partnership Approach**
| Step | Description |
|------|-------------|
| 1 | Create an Action Team |
| 2 | Obtain Funds and Other Support |
| 3 | Identify Starting Points |
| 4 | Develop a Three-Year Outline and a One-Year Action Plan |
| 5 | Continue Planning and Working |
Epstein’s work is comprehensive, taking account of the differing needs of students through the life span process. This model was developed within the United States of America and trailed amongst diverse populations. Despite this, the challenge is how this would look when applied to the Aotearoa/New Zealand context.
The positioning of whānau, kura, tamaiti and rangatahi\textsuperscript{13} are self explanatory. The rationale behind grouping iwi, hapū and whānau whanui together centres on the position that within many urban situations, community not only encompasses mana whenua\textsuperscript{14}, but also tauiwi (those residing in a community but have no tribal affiliations to that community). In essence, the community relationship in this context is specific to iwi and hapū in the first instance and is in accordance with Ministry of Education policy which refers to consulting with iwi and hapū and in the second instance to the more immediate community connected to whānau. This is represented in the following diagram.
\textsuperscript{13} Young person
\textsuperscript{14} Local iwi status
Moving into the organisational structures of schools and applying the Action Team for Partnership approach without a designated paid position of responsibility for the implementation is problematic. The principal, through their belief system (moral leadership) will determine the direction this can take. One such approach is:
| Step 1 | A designated position of responsibility established |
|--------|---------------------------------------------------|
| Step 2 | Apply funds from within the schools operating budget to create a position |
| Step 3 | Identify Starting Points (unchanged from Epstein’s framework) |
| Step 4 | Develop a Three-Year Outline and a One-Year Action Plan (unchanged from Epstein’s framework) |
| Step 5 | Continue Planning and Working (unchanged from Epstein’s framework) |
A necessary component of this approach is for staff professional development (pedagogical leadership), ensuring that all staff are committed to the further development of, and strengthening of home/school partnerships. Another key dimension in the success of Epstein’s model, is the signing of a pledge between parents/caregivers, students, teachers and administrators (Epstein & Sheldon, 2006). This is contained in the Epstein model and the No Child Left Behind Policy which
requires all schools to develop a School-Parent Compact, being more detailed and documenting specifically what each partner will do to support student learning. The cementing of this relationship formally corresponds with the Kura Kaupapa Māori approach whereby whānau applyo for the acceptance of students into the kura with very clearly defined guidelines of parental involvement in the education of their child. This formalisation of the home/school partnership is not a requirement or prerequisite in mainstream schooling.
The continuing challenge in adapting this resource is the shape the six types of involvement may take and the degree of acceptance the principal affords each type. This acceptance will be impacted upon by the principal’s belief system and demonstrated in their leadership style and acceptance of and belief in the philosophical underpinnings of a true partnership with whānau.
Tahuri’s (2007) model, set in the Aotearoa/New Zealand context, compliments the work of Epstein and adapts Epstein’s key sites of engagement. Tahuri’s work is transformational in that it explores Māori concepts and philosophies to progress whānau engagement.
Table 1: Tahuri’s Sites of Engagement
| Mana Whenua | Whakawhānaungātangā | Tikanga | Mahi Tika | Ma te mahi tahi ka ea | Ma te katoa te mahi |
|-------------|---------------------|---------|-----------|----------------------|--------------------|
| Māori unique status and right as an equal partner | Nurturing sustainable relationships | Validate Māori Culture and Language | Getting it right | Collaboration leading to realised potential | Shared Responsibility |
| Treaty of Waitangi | Relationships crucial – compounded by importance of whānaungātangā in Māori culture | Māori culture and language-being valued | Trust, Respect | Shared vision | Shared learning responsibility - School, whānau and student all taking responsibility for their part of the learning journey |
| Whānau, hapū, iwi aspirations reflected and expressed | Manaaki tangātā communication | Tikanga | Open transparent practice | Collaboration | |
| Power sharing | nurturing, caring relationships | Validation – Māori ways of knowing and being utilised and implemented | Celebrating the success, celebrate the whānau | | |
Source: Tahuri, 2007
Moving further into providing a working model and guidelines is pivotal to this thesis to tie together the emerging themes of principal leadership and whānau engagement within the schooling context.
To achieve this end, a further model incorporating Epstein’s and Tahuri’s frameworks is developed at a micro level for this research phase. This model will be evaluated in terms of the principal’s responsiveness, whānau engagement and its effectiveness in melding the micro and the macro levels into a comprehensive framework.
**Table 2: Sites of Engagement adapted**
| Model | Parenting | Communicating | Volunteering | Learning | Decision Making | Collaborating with the Community |
|--------------------------------------------|--------------------|---------------------|---------------------|------------------|-----------------|----------------------------------|
| Epstein | | | | | | |
| Tahuri Underpinned by Mahi Tika | Ma te Katoa te Mahi| Whanaungatanga | Ma te Mahi Tahi ka ea| Tikanga | Mana Whenua | Ma te Mahi Tahi ka ea Whanaungatanga |
| Working Model Underpinned by Leadership | Manaakitanga | Whakawhitikōrero | Mahi Tahi | Ako | Mana Whenua | Mahi Tahi Whanaungatanga |
**The Six Types of Involvement Explained**
**Type 1 Parenting**
Manaakitanga / Whanaungatanga
To foster, assist and include whānau in the wide area of parenting. In the wider context, these areas can include the importance of attendance, nutrition, career pathways, reading at home to name a few. The shape of this will be age dependent.
**Type 2 Communicating**
Whakawhitikōrero
Communicating covers both listening and speaking. As a roopu, the voice of Māori must be taken into consideration. This area also includes kanohi ki te kanohi, the sending and receiving of information as well as enabling the consultation process to be adhered to.
**Type 3 Volunteering**
Mahi Tahi
This can take the form of parent help in the classroom, sports coaches, tutoring and other extra curricular activities to name a few. On enrolment, whānau will be asked what they have to offer or are there ways they can support the school. From this, a data base will be updated which will be available to staff to use.
Type 4 Learning Ako
Learning includes both learning and teaching. At times the teacher is the learner and the student is the teacher. At other times, whānau are the teachers. It is situational and context dependent.
Type 5 Decision Making Mana Whenua
Education is a partnership between student, home and school. Open dialogue needs to occur between home and school with the interests of the student/s as its main focus. On other matters of interest, specifically kaupapa Māori topics, whānau must have input in the decision as part of the partnership. It incorporates culturally responsive schooling practices.
Type 6 Collaborating Whanaungatanga / Mahi Tahi
With the Community
The pouwhakataki provides the link with iwi and hapū. Accessing other community involvement will be the responsibility of the committee and subcommittee although the pouwhakataki may be used in the first instance.
The following template is that which is anticipated it will look like in the Aotearoa/New Zealand context and that which will be critiqued within the research phase of this thesis to further inform the impact principal leadership has on progressing whānau engagement.
Strategic Plan Key Points
Once the team has been finalised, targets will be identified from data and key roles and responsibilities will be assigned to the specific ‘types of involvement’ areas. In some instances, these areas may overlap with each other and/or other targets. The template is provided in Appendix 6.
Role Responsibilities
Iwi, Hapū
As mana whenua, iwi have a direct interest in the education of students. As such they need to be included in and consulted about the education of students in their region.
Pouwhakataki
Ministry of Education liaison position created to forge links with and consult with iwi/hapū and schools in their designated region. These positions provide the link between schools and iwi.
In School Facilitator
This is a coordination role. The holder of this position liaises between school and pouwhakataki. They provide reports to the principal, Board of Trustees and whānau (through panui and hui) on the targets set by the Whānau Partnership Working Committee. They co-ordinate the sub committees, researching, data collecting, support and assist, liaise with whānau whanui (wider community) and are accountable to pouwhakataki and principal.
Whānau Partnership Working Committee
This committee is comprised of the Principal, Senior Management Liaison Person, 3x Staff, 3 x Whānau, 2 x students, HoD Māori, Māori BoT Rep, Māori Student Support Teacher. The general role of this committee is to make known to the Māori community, targets set for Māori student achievement, to monitor and assist the school in any planning or support to meet the targets set. In the secondary school setting, the academic targets are set by the Heads of Departments and Teachers in Charge of subject areas. Other targets specific to Māori students, have been agreed upon under the Te Kauhua Strategic plan. Other targets may be set as deemed necessary by the committee. It is the committee’s job to develop a 3 year strategic plan and a 1 year working strategic plan. All participants on this committee have equal voice, hence the term partnership.
Principal
The Principal’s position is pivotal in the success of such a partnership, requiring a diverse set of skills, personal qualities and leadership styles. They need to be able to set the tone of the school as it relates to Māori education and the partnership process. This requires the principal to understand the historic issues which have resulted in the shape of education today. They need to understand the issues from an educational perspective as well as an employment perspective culminating in the ability to lead a diverse learning community. The principal’s position is to convey to staff the targets set and agreed upon by the Whānau Partnership Working Committee as well as ensuring that staff are supported to meet the targets set. The principal is required to provide leadership on issues or concerns outside of the professional understandings of the committee, including legal obligations as determined by the Ministry of Education. It is the principal’s responsibility (or a person designated by the principal) to liaise with Heads of Departments and Teachers in charge of subject areas, on matters arising from the working committee.
Senior Management Liaison
In smaller schools, this position may not be necessary. Dependent on individual school situation, this position may be used to replace the principal. The holder of this position is aware and knowledgeable about school systems and will be able to provide systems based knowledge on key areas of interest that may arise.
Staff
Staff representative may be a mix of both senior and junior staff members.
Whānau
These position will be available to any whānau and or caregivers with students enrolled in the school.
Students
As with the philosophy of the Board of Trustees, the student voice is an important role in the secondary school system. One junior student and one senior student position will be available.
Head of Department Māori
Required to uphold tikanga, manaakitanga, whanaungatanga and in keeping with kaupapa Māori philosophy.
Māori Student Support Teacher
Required to uphold tikanga, manaakitanga, whanaungatanga and in keeping with kaupapa Māori philosophy. They are aware of and understand student perspective and liaises with whānau as part of their position.
Māori Board of Trustees representative
Their role is to maintain links to the Board of Trustees in representing kaupapa Māori initiatives and voice.
Steps to Implementation
Step 1
A team is created consisting of some or all of the members as outlined previously. The team leader by default is the ‘In school facilitator Māori’. All other positions are available to any other staff and whānau.
Step 2
Obtain Funds
This is the role of the principal to obtain funds from within school funds or other contracts in order to be able to create a funded position for an ‘In school facilitator Māori’.
Step 3
Collect baseline data from which to set targets. Within the secondary school system, these should be goal-orientated consisting of targets for academic achievement, behaviour and social (Epstein, 2002).
Step 4
From the baseline data collected, develop a 3 year strategic plan and a 1 year strategic plan.
Step 5
All targets must be cyclic and evaluated.
Moving from the micro to the macro level, the following model was developed.
**WHANAU PARTNERSHIP MODEL MAINSTREAM SCHOOLS**
```
Iwi
Hapū
Pouwhakataki
Board of Trustees
Ministry of Education
In School Facilitator Māori
Working Party Comprising of Some or All of the Following
Principal Senior Management Liaison 3x Staff 3x Whānau 2x Students HoD Maori Maori BoT Rep Maori Student Support Teacher
Other personnel may be co-opted onto sub committees
```
Source: Research School
**Figure 5: Whānau Partnership Model for Mainstream Schools**
Clearly, there is a paradigm shift in the area of families, schools and education (Pleet, 2000). It is dependent on relationship building and the basis of a strong relationship is trust, the reoccurring theme within this thesis and supported by (Epstein 2002; Ellis and Hughes, 2002). The frameworks also point to the need for a clear direction, hence, leadership must play an important role in developing a school vision, strengthening the capacity of school personnel to fulfil the vision and maintaining positive relationships with the community. In terms of the role of the principal, partnerships can progress when principals set a clear vision and display transformational leadership (Kilpatrick et al, 2003).
7 Summary
This chapter has identified the terms whānau and engagement. It has identified how the term whānau has evolved over the course of time and various meanings that can be applied to the term. It can be seen that the concept of whānau is situational as well as being drawn from whakapapa. It has also explored research within the realm of engagement at the macro level, including that from government departments. The challenge remains as to what the intent from a situational (school) perspective may entail from a whānau perspective though one key area of intent is to raise Māori student achievement in a mainstream school. This chapter has provided a working definition for the purposes of this thesis of whānau engagement. It has explained Epstein’s framework for School, Family and Community Partnership, identified Tahuri’s framework and provides a working adaptation of both to be evaluated as part of the research. It concludes with the identification that a component of the leadership style required to support and strengthen whānau engagement comes from the principal’s personal belief system, this being their responsiveness and commitment to engaging in partnerships with whānau at both the micro and macro levels.
Chapter Five
Research Design
Chapter Outline
This chapter identifies the methodology and research design used to answer the research question of this thesis. It rationalises the sample used for the research and the ethical considerations.
1 Introduction
The purpose of this chapter is to identify the chosen method of research used for this thesis, why this method was chosen and how the research was conducted. This chapter describes the research site and the selection process used to determine the site and the respondents. It goes on to discuss the research design and its implementation. This thesis uses a qualitative case study approach, including interviews and field notes with the methodology being discussed further in this chapter. It explains the data collection process, data analysis, limitations of the research and ethical concerns of research of this nature.
2 Specific Context
The research site was an inner city, co-educational, decile 5 secondary school with a heterogonous population. The student population consisted of 26% Māori on average across the whole school, 212 students in total. It is higher in the junior school (years 9 and 10), being 34% Māori student population. This figure was extracted from the school’s student manager data base. Ethnicity is a specific question on Aotearoa/New Zealand school enrolment forms, also being mandatory from government for statistical purposes. Whānau/parents/caregivers indicate the student’s ethnicity during the enrolment process and record this on the enrolment form. According to Durie, M. (2004b) and supported by Census statistics 2006, there is a disparity between being of Māori descent and that of identifying as Māori. The enrolment form does not consider this discrepancy afforded whānau/parents/caregivers, but rather, others a choice of ethnic origins. As a school site consists of a cross section of the population, it is within expectation that there will be students recorded as Māori who, they themselves or their parents do not identify as Māori. This aspect though being aware of, did not
impact on the selection process of whānau. Tangata whenua\textsuperscript{15} students are 7% of the Māori student population at the college, 15 students.
The college serves the western side of the city and surrounding rural areas. The decile range of the contributing schools is 1 - 8, and reflects the socio economic range of our surrounding suburbs. From 2008, the decile rating of the college will change from 6 to 5, reflecting the diversity in the college’s student population. The school is in demographic change. In the last five years, the school roll has decreased from 927 to 750 student population while the ethnic composition of the college has changed from 17% Māori to 26% Māori. The principal is a non-Māori woman in her fifties. The ethnic composition of the staff is 6 Māori and 80 non-Māori. There has been an average of a 12.7% staff turnover over the last 5 years.
The college has previously and continues to be involved in a professional development project with a focus on raising Māori student achievement as outlined in chapter one. Staff have been provided with professional development in learning and teaching practises, the use of data, classroom climates, deficit theorising, whānau partnerships/engagement and some staff have undertaken Te Reo Māori lessons. There are other whole staff and department professional development contracts and foci operating within the college.
The school is located on a historical iwi site and located in close proximity to iwi. Until late 2007, there had been no relationship with this iwi, but rather a limited relationship with another hapū. There is no obvious explanation for this. The kawa\textsuperscript{16} of the school until 2007 was not that of tangata whenua, again, there was no obvious reason for this. This aspect is significant in terms of establishing partnerships with iwi within the geographical setting which the college is situated in.
The Board of trustees is comprised of 6 elected members, 1 staff representative, 1 student representative and the principal. Of the elected parent representatives, 3 are male and 3 are female, the staff representative is female, the student representative is female and the principal is female. Despite standing for election, there were no Māori representatives elected. The Board of Trustees did co-opt the highest polling Māori candidate. This representative is not tangata whenua but has resided in the region for six years. The college is supported by the school’s Educational Trust, Parent Teacher
\textsuperscript{15} connected to an area through tribal affiliations – whakapapa
\textsuperscript{16} Māori protocols and processes used within the college
Association and the Whānau Tautoko group\textsuperscript{17}.
2.1 Sample
The research consisted of data gathering from three distinct groups from the research site chosen so as to triangulate the information as it relates to the research topic. The participants included the principal, members of staff and whānau.
The principal is a female of non-Māori descent. The principal has had 30 years teaching experience and 5 years principalship experience. The principal had been involved with 5 major educational projects since being appointed as principal in the research school.
In the first instance, the principal was approached by me to see if she would be willing to participate in such a study. During this initial discussion, areas that could be of concern were aired by both myself and the principal. The research was explicit in that this would not be an opportunity for other research participants to vent a personal attack on the principal and that this research was on leadership style, exploratory in nature, to inform further practice in the domain of whānau engagement. The full scope of the research was discussed kanohi ki te kanohi with the principal in keeping with a kaupapa Māori approach to research. At the outset, the principal was aware that staff and whānau would also be included in the research gathering phase. On acceptance of the principal to participate in this study, the Board of Trustees was approached to allow this study to be undertaken.
In consultation with the principal, ensuring that staff anonymity was of utmost importance and keeping with the principles of Māori research methodology, staff were approached, kanohi ki te kanohi. All staff approached, accepted the offer to participate in the research. Five staff were interviewed in offices that ensured that their anonymity was maintained. The staff interviewed provided a cross section of gender, length of teaching experience, including teaching and other designated positions of responsibilities and age. No staff members interviewed, identified as Māori. In order to maintain anonymity, more specific details of the responsibilities of the staff members interviewed will not be disclosed for the purposes of this research. All staff members had been employed in the college for at least the last 3 years.
\textsuperscript{17} Support group
A list of whānau was accessed from the college’s data base. Whānau were approached kanohi ki te kanohi and invited to participate in the research. Five whānau were interviewed, representing all five year levels in a secondary school. The children of the whānau participants were not involved in Kapa Haka or Te Reo Māori and the whānau had not been to a whānau hui in the previous 12 months as confirmed by the Whānau Minutes, the rationale for this being explained in chapter one. No whānau were tangata whenua. This was not a deliberate undertaking and there is no underlying premise associated with this occurrence. Iwi affiliations for the interview phase of the research were not a contributing factor during the selection process.
3 Māori Research
Māori research has gained a lot of momentum in the last 20 years (Matamua, 2006) with the inadequacies of western research methods being questioned by Māori. This has prompted the progression of kaupapa Māori research methodologies being applied to Māori research.
Research is the ability to discover new ideas or new knowledge (Durie, M. 2005). It is the ability to look at the puzzle and untangle the whakapapa that sits behind it from within a Māori world view. Christensen (2001, p.94) states:
*While western scientific inquiry is based on breaking down areas of study to ever smaller and narrower fields, Māori would be more likely to look at the ways the pieces of the whole picture relate to each other.*
In response to addressing the educational developments occurring in Kura Kaupapa Māori, Smith, G. (1991) identified six integral kaupapa Māori themes that were occurring in Kaupapa Māori sites, forging pathways for the further development of Kaupapa Māori principles for research.
**Kaupapa Māori Themes**
Tino Rangatiratanga - self determination principal
Taonga Tuku iho - cultural aspirations principle
Ako Māori - culturally preferred pedagogy principle
Kia Piki Ake i ngā Raruraru o te Kāinga – strengthen the family economics principle
Whānau - extended family structure principle
Kaupapa - collective philosophy principle
Te Awekotuku (in Smith, 1999, p.120) identified responsibilities for researchers while conducting research in Māori communities:
Aroha ki te tangata - respect for people
Kanohi Kitea - the seen face, face to face dialogue and communication
Titiro, whakarongo…. Korero - look, listen …..speak
Manaaki ki te tangata - share and host people, be generous
Kia tupato - be cautious
Kaua e takahia te mana o te tangata - do not trample over the mana of people
Kaua e whakahihī - do not flaunt your knowledge
While Bishop (1998) identifies the concept of **whanaungatanga** as a foundation of Māori research.
This research supports the whakapapa concept by providing an historical commentary on the evolution of schooling in Aotearoa/New Zealand. It has provided the context and explored the reasons behind the position we are faced with so that this research and topic are grounded in history, providing an explanation and understanding of the issue.
The principal of Tino Rangatiratanga was applied in the first instance in that the research was undertaken by a Māori researcher with Māori whānau, investigating the phenomena that occurs in mainstream schooling and led by a Pākehā principle.
The principle of whakawhanaungatanga was applied. The term requires a degree of interacting and developing whānau links before the key research is undertaken. It posits itself within kanohi ki te kanohi and kanohi kitea philosophies whereby face to face interaction is a requirement when researching Māori and even more so when Māori research Māori.
The principal of ‘aroha ki te tangata’ was applied, allowing respondents to set the time and venue for the interviews to be undertaken. Within this realm, the principle of titiro, whakarongo and korero applied by looking for the unspoken aspects that would inform the research, listening to the respondent’s stories and responding in an appropriate manner while asking questions in a non-threatening and humble manner and being non-judgemental – kaua e takahia te mana o te tangata. The principle of kia tūpato applied at all times in terms of personal safety and with the gathering of information.
This research is a combination of Māori and Pākehā participants undertaken by a Māori researcher within a mainstream institution. The ability to walk in both worlds and apply Māori and Pākehā methodology applies.
4 Qualitative Research
The research design derives from a qualitative, single case study approach.
"Qualitative research is a situated activity that locates the observer in the world. It consists of a set of interpretive, material practices that makes the world visible. These practices ... turn the world into a series of representations including field notes, interviews, conversations, photographs, recordings and memos to the self. At this level, qualitative research involves an interpretive, naturalistic approach to the world. This means that qualitative researchers study things in their natural settings, attempting to make sense of, or to interpret, phenomena in terms of the meanings people bring to them."
Handbook of Qualitative Research, Denzin and Lincoln, 2003, p.3
The research is interpretive in that it explores ‘lived experiences’ of participants to identify the cultural, historical and social aspects of people’s lives in context (Ritchie and Lewis, 2003). The interpretation and observation of the interrelatedness of social contexts on people’s lives and how meaning is derived from this is crucial in interpretivism (Ritchie and Lewis, 2003).
It is naturalistic in that data collection was undertaken for the most part in the school setting without any manipulation by the researcher. In this sense, “the researcher becomes the key data gathering instrument” (Gorinski, 1997).
In support of the qualitative methodological approach, Pfeifer (2005) highlights that a qualitative methodological approach to cultural leadership examination in the Aotearoa/New Zealand context could be more appropriate, stating that according to Alvesson (1996) and Bryman (1986), more leadership studies should be employing qualitative research methodologies.
Qualitative research gathers information in words, pictures and observations. It is concerned with information rich data and the interpretations arrived at from this. Data is collected by observation, field notes, interviews, narratives and documentary
available evidence.
The attitudes, views and actions of the participants is crucial in qualitative research. It is how participants make sense of their lives and the world around them that the researcher is attempting to interpret by coding the data collected into thematic headings of discourse. The volume and richness of data is an important aspect to qualitative research.
Qualitative research is different to quantitative research in that it does not produce findings based on numerical manipulations and statistical analysis.
5 Case Study Research
Case study research is an ideal method when an in-depth investigation is required (Feaginn, Orum and Sjoberg, 1991). It has a history in social science research; sociology, education, psychology, political science, social work, business and community planning (Gilgun, 1994, Ghauri and Gronhaug, 2005). In effect, the case study methodology allows the researcher to represent real life events in an holistic and naturalistic manner (Yin, 2003). It is the ability to investigate a particular phenomenon, and in this case, the principal. Burns (1994) states “In a case study the focus of attention is on the case in its idiosyncratic complexity”, and further more “it must be a bounded system” (Burns, 1994, p. 313).
The case study “is preferred in examining contemporary events, but when the relevant behaviours cannot be manipulated” (Yin, 2003, p. 7). The feature of the case study are the use of the ‘how’ and ‘why’ questions. These questions are exploratory in nature and;
- “investigate a contemporary phenomenon within its real-life context, especially when the boundaries between the phenomenon and context are not clearly evident”
5.1 The Central Research Question
The central research that guided the research was:
“In what ways does principal leadership impact on whānau engagement in a mainstream secondary school?”
The guiding questions were based around the following contexts:
- Principal Values
- Leadership style
- Staff Management
- Culturally Responsive Teaching Practices
- External Factors
- Model of Engagement
The questions were designed to elicit information about the principal’s core values, their leadership style, pedagogy, professional development and staff management. There was a question designed to generate discussion regarding the terminology and understanding of the words engagement, participation and partnership, concluding with a visual representation of whānau engagement to elicit more information on how participants perceived a working model of whānau engagement, with the stakeholders they identified.
The rationale behind the terminology question was to determine if there was any standardised understanding between the three research groups of this terminology and whether the terminology influenced expectations of whānau engagement. It was hoped that this question would provide insight as to the difficulty that surrounds this field of study.
The visual representation elicited from the participants was a more concrete tool to assist in designing a working model of whānau engagement, determining if participants were conversant with the macro and micro layers of this.
6 Ethical Concerns
During the course of the study, ethical consideration was given to the safety of the participants involved, ensuring that anonymity was able to be maintained throughout the research phase. During the initial phase of determining the research direction, discussion was entered into with the principal, sharing the philosophy behind the study and asking if they would consider being apart of this research.
Ethical approval was requested from Massey University Human Ethics Committee. In line with the requirements of ethical approval, informed consent was gained from the schools Board of Trustees, the principal, staff members and whānau before they took part in the study. This involved a detailed information letter explaining the study’s
nature, explaining that participation was voluntary and that anonymity would be maintained. Support was offered to participants to safeguard from harm caused by any issues that may have arisen as a result of the research.
As with other leadership studies, ethical consideration must be given to the findings with regard to power, integrity and influence (Rowley, 2004). As this leadership research was undertaken in an educational setting, the utmost care and integrity must be taken when reporting the results to ensure participant safety is paramount.
7 Selection of Data Collection Methods
The three methods of data collection used in this study are commonly used in qualitative research. They are: interviewing, document collection and field notes.
7.1 Selection of Respondents
The Principal was initially approached and the research topic was discussed with her, including, would she be interested in participating in such a study. The parameters of the study were explained as too was the rationale behind the research topic. The Principal agreed to the study being undertaken and her leadership style being the focus of the investigation.
A letter requesting that research be undertaken within the college was sent to the chairperson of the Board of Trustees for approval after the verbal acceptance of the Principal. A more formal letter of request was also sent to the principal with further explanation included. The research proposal was shared with whānau at a whānau hui, with no objection.
Verbal contact with staff to participate in the research, explaining the research and its purpose was made as well as explaining that the interview time was expected to be half an hour in duration. Upon initial acceptance, an interview time was arranged, directing staff to an appropriate office to maintain anonymity. A formal letter was shared with participants with an opportunity to discuss any matters arising, as well as the opportunity to withdraw from the study. The voluntary nature of participation was highlighted.
Initially, the original ethics proposal stated that ten staff and ten whānau would be interviewed. However, after five staff and five whānau had been interviewed, the findings and the emerging commonality of responses were discussed with my
supervisor and a decision was made to stop data gathering at five.
To identify prospective whānau participants and in the first instance, a query on the school data base was undertaken. The search was compartmentalised firstly into searching each year group for those students identified as Māori and secondly, by year group.
From these initial year group lists, those students who participated in kapa haka or are learning Te Reo Māori as a subject within the college were eliminated (rational explained in chapter one). From the remaining lists, and from the whānau minutes, a separate list was made of those whānau that had not been to a whānau hui in the previous 18 months.
Before any initial contact was made, discussion was undertaken with another member of staff who held a position of authority, to determine if there were any known safety risks that I needed to be aware of. Potential whānau participants were contacted by phone, explaining who I was and asking them if they would be prepared to participate in the research, including that the interview was expected to take half an hour. A suitable time and place was arranged, most interviews being undertaken in the homes of whānau. The formal letters of request and the voluntary nature of the participation was explained when I met with them, kanohi ki te kanohi.
As with kaupapa Māori research methodology, the first part of the interview consisted of a ‘cup of tea’ and whakawhanaungatanga. The ½ hour resulting in 2 hours of discussion. Time was irrelevant and this was a known aspect before embarking on the interviews.
The data was collected in the form of interviews with three separate groups within the college community – the principal, the staff and whānau. Documents were collected and field notes were taken recording observations.
8 Limitations of the Study
It can be argued that a small case study such as this could generate insufficient data to fully inform practise. However, the purpose of the study was to extrapolate any recurring themes that could be triangulated to provide direction for further research and highlight areas of good practise that could be replicated in other contexts. Good practise in this instance refers to principal leadership qualities, work ethic and
advancement of Māori education and in particular whānau engagement.
Participant truthfulness is an area that places limitations on the study in that one can never be fully assured that responses are totally honest. The question of familiarity with participants could also be a limitation of the study in that being employed within the research site; respondents may not have felt that they could be totally honest for fear of a breach of anonymity. Furthermore, they may have felt that they needed to provide me with the responses that I wanted to hear as they were aware of my position on Māori educational concerns.
Gender, age, ethnicity and length of service of the principal could be a limitation. Women principal leadership is a field within itself. Add to this age and length of service or whether older principals have a differing view than younger principals on whānau engagement and Māori education in general. This is a complete study within itself.
The demographics of the college could be viewed as a limitation. The encompassing factors are, urban schooling as opposed to rural schooling, high Māori population as opposed to low Māori population both within the school and the community and the occurrence of tangata whenua against tauwiwi. As identified in the research, only 7% of the research college’s student population is tangata whenua while the school student population is 26% Māori on average across the whole school, 212 students in total. It is higher in the junior school (years 9 and 10), being 34% Māori student population.
Secondary schooling as opposed to primary or intermediate schooling too is a limitation. Stages of human growth and development as it impacts on parent, student, school involvement and participation requires further investigation.
9 Summary
This chapter has identified the chosen method of research and how the methodology was applied. Māori research philosophies have been identified, explaining how Māori has been represented in this research project. It has identified and explored that rational behind qualitative research, including identifying the parameters of the case study as a research tool. The limitations of the study have been identified, explaining the basis of the limitations of those areas identified.
Chapter Six
Results
This chapter shares the results of the interviews undertaken as the research phase of this thesis. The interviews will be presented in the following order; the principal, staff and whānau. The interview results will be analysed under the question categories. Included in the Principal’s section will be an outline of the observations, field notes and documentation.
1 The Principal
1.1 Values
The principal was able to articulate the values she believed underpinned their professional leadership of the learning community. The values identified commitment, excellence, respect, being courteous, valuing people and she places a high priority on relationship building. The principal stated that she had
“an obligation to provide quality of opportunities for students.”
The principal retold a situation about a young person that she taught in her early years of teaching, stating that this young Māori girl arrived at college with a reading age of 16+ but it took her two years to gain School Certificate English. The principal further stated that when she (the principal) was on maternity leave not long afterwards, this young girl was her postie. The young girl would stop and ex teacher and ex pupil would discuss their respective baby’s.
The principal has often thought about this experience, hinting at whether this young person had maximised her potential or was the principal advancing her value system on this situation. The principal continues to reflect on her value system and cultural dissonance. It is from this experience that has shaped the principal’s responsiveness to Māori educational achievement.
1.2 Leadership Style
The leadership styles used by the principal to describe their leadership style were distributive and servant though from the interview there were instances described by the principal that transformational leadership was also encompassed in her leadership style.
“My vision for the school is around excellence, I’m a naturally competitive person and so my vision is to provide excellence, excellence of opportunity, excellence of effort and excellence of outcomes.”
Inclusive and collegial were other terms that the principal stated were essential to her style of leadership.
1.3 External Factors
The inability to get some whānau into the school was identified as a contributing factor to the whānau engagement.
“the experience that the home has had of schools and education and the way in which that colours their desire to have a relationship with the school now of their children. I think that’s a key factor for some of our families and so what’s really important is to capture the moment if you like, and one of the reasons why I maintain as much of an open door policy as I do.”
Funding to continue to provide a position of responsibility dedicated to kaupapa Māori initiatives, time constraints, urban displacement and the strength of the iwi/hapū in which the school is situated in, were the key areas that impacted on the principal’s ability to foster whānau engagement.
The principal also stated that the supportive environment provided by the college for the students, specifically relationships and culturally safe environments which encompass kawa\(^{18}\) as well a Māori world view were important internal factors that impacted on external contributors to whānau engagement.
In one department, this includes working with iwi to rework documents which provide a more accurate account of iwi history, expectations and aspirations.
\(^{18}\) Cultural protocols are observed and respected
1.4 Leadership of Staff
The principal identified school wide areas in which she indicates to staff her visions and expectations. This was also an area that she identified that she needed to focus on more.
“I think that one of the things that I need to work on is better communicating that vision to the whole staff and how I do that.”
1.5 Pedagogical Leadership
The principal has developed her sense of understanding regarding whānau engagement over a number of years. This has come from within the field of education and the experiences offered through education. This includes a scenario of student achievement that has impacted on her to continue to search for ways to support Māori students to maximise their potential. This situation is specific and personal to her in her previous role as teacher in her beginning teacher years. This specific situation is to do with Māori youth, achievement, choices and maximising their potential.
In more recent times, she has attended hui, workshops and has been guided by Māori staff and whānau. She also reads widely and reflects on what best practice may look like in an urban, mainstream co-educational secondary school. She stated that her understanding of whānau engagement has changed and that she was previously viewing this quite simplistically, whereby now she is able to view whānau engagement from another angle. An area that she is keen to advance is the use of Information Communication Technology in advancing further whānau engagement.
1.6 Terminology
The principal did think that there was difference in the terminology engagement, participation and partnership stating that
“for me the idea is about engagement I think if you’ve got deep and meaningful engagement then you actually have got partnership because engagement is also about, for me anyway, its about the deeper thinking levels and the deeper mutual interactions and discussions and activities that means you are working at a level where there’s real involvement there’s real contribution being made um on both sides.”
The term ‘deeper’ refers to critically thinking about issues, philosophies and scenarios rather than just operating at a surface or superficial level.
1.7 Observations
The principal operates from an ‘open door’ policy, believing that the principal should always be available; this however, is idealistic in that in some instances, other issues take precedence. The principal is calm in her āhua, treats people with respect, listens and is approachable. Throughout the course of the year, she has become stronger in her responses to staff when they have challenged her or her decisions publicly. She places a high emphasis on relationships and relationship building.
Delegation of tasks to others is a key to her leadership style. To this end, she has built a strong team of individuals around her in a variety of fields that she has direct control over – that is, has employed persons for those positions.
Māori student achievement is a high priority for the principal and there is a requirement and school wide focus that targets are set for Māori student achievement in the junior school each year. Her philosophy being that “if we get it right in the junior school, we will reap the benefits in the senior school”. There is also a focus on decreasing the stand down and suspension rate of Māori students in the college.
The principal has indicated to all staff, through the Heads of Departments, that there are areas of the curriculum that local iwi are available to critique for the college. She has instructed one department to have all their units of work that relate to Māori, be critiqued to ensure accuracy and authenticity. The principal has been firm in her approach with this department and there has been no allowance for variation to this directive in this instance.
The principal was instrumental in ensuring there was Māori representation on the Board of Trustees after no Māori representatives were voted onto the Board at the last election. This is the second time she has progressed this since her time as principal at this college. She always attends whānau hui when available, taking a supportive role while also sharing a principal’s report as part of the agenda. Leadership in this forum is undertaken by those staff she has appointed to kaupapa Māori positions. Observations of whānau and principal interactions at such hui have always been amicable. However, there have been occasions where the principal has been ‘uneasy’ of whānau decisions but has not voiced her concern publicly at hui. Rather, she has sought advice and aired her ‘concerns’ privately with her Māori staff. She prefers to work in this manner as she does not want to be offensive and self reflects on her ‘uneasiness’ to determine where this comes from in terms of cultural understanding and her own dissonance between this cultural understanding.
The principal does try to get to local kaupapa Māori events and has been present at more of these in 2007. These include hui, tangi, kapa haka and Ngā Manu Korero. She schedules her weekends around the playing times of the college’s sports teams, not only to support the playing teams but also as a tool to meet whānau in an informal setting – kanohi kitea.
The principal is aware that she is a Pākehā woman leading a mainstream college with an increasing Māori student population.
The principal has supported staff leading any kaupapa Māori initiatives at full staff meetings, Heads of Departments meetings and guidance meetings. Professional development in the form of a full staff meeting by a recognised Māori academic was provided.
Two new major kaupapa Māori initiatives were started in 2007. These initiatives were supported by the principal, despite her having some anxiety of these. The principal trusted the leadership of her staff to implement these two new major initiatives that included whānau participation.
Firstly, there was the formation of a group that had a focus on academic achievement in the senior school. The following table identifies stakeholders and responsibilities.
**Table 3: Target Template**
| Roopu Members | Target | Measurable Outcome |
|-------------------------------|----------------------------------------------------------------------|------------------------------------------------------------------------------------|
| In School Facilitator Māori | To retain more Māori students at the senior level, gaining higher qualifications with the ability to enter tertiary study | Number of Māori students retained in each year group from Years 9 to 13. NCEA qualifications Students moving on to tertiary study from College |
**Goal 1:** To establish a group of Year 11 and 12 students with the ability to advance into tertiary study and providing them with exposure and contact with a variety of universities.
| Type of Involvement | Responsibility | Specific Target |
|---------------------|----------------|-----------------|
| Manaakitanga | Senior Management, In School Facilitator Māori, Careers Advisor | Speaker at whānau hui explaining this role and availability to whānau |
| Whakawhiti Korero | Senior Management, In School Facilitator Māori | Discuss with whānau the intent of the roopu |
| Mahi Tahi | Senior Management, In School Facilitator Māori | Do whānau have any links? Whānau to participate, contribute and assist with any activities |
| Ako | Senior Management, In School Facilitator Māori, HoD Māori | Develop group Te Pikinga |
| Mana Whenua | Senior Management, In School Facilitator Māori | Whānau decide about inclusion of their student |
| Whanaungatanga | Senior Management, In School Facilitator Māori, HoD Māori, Māori BoT Rep | Develop links with tertiary providers who are able to provide insight to year 11 and 12 students. |
One aspect of this was to liaise with whānau about the direction of this group and seek their input. Of the 32 students invited into the group, there were 8 whānau representing 14 students. Six parents had never been to previous whānau hui. The template above was workable with specific targets met. Three parents while indicating an interest in participating in the trips planned were unable to join the group due to work commitments.
The second initiative was an end of year celebration of Māori student success which was mandated at a whānau hui. The event was supported by whānau, many of whom had not been to a whānau hui. There were also some grandparents in attendance, rekindling past links. All the Senior Management team, Deans, Guidance Advisor, Sports Co-ordinator, and 2 other staff members attended.
This initiative was co-ordinated by the Māori staff and whānau.
The principal was available for other staff to air their concerns and took a firm leadership role with those staff members that opposed the initiatives.
A time allowance has been allocated for a member of staff to assist in Te Reo Māori.
language lessons for all staff. This is voluntary on staff and there has been no other recording that as to the expectation of all staff to pronounce Māori names correctly.
Co-operative Learning professional development has been a focus for the previous 3 years. This opportunity has been available for staff to undertake for a maximum of 16 staff each year.
1.8 Documentation
The principal has made some use of the internal weekly staff newsletter in terms of being responsive to the needs of Māori including curriculum design, achievement and communicating with whānau.
Guidelines for annual reporting by Heads of Departments include the expectations of being responsive to the needs of Māori and target setting for improved achievement.
The principal is given the opportunity to proof read the Whānau Pānui but there has never been any request made of the principal to write a column for the pānui.
The principal has had a role in developing a working model of whānau engagement as presented in chapter four. Two models were developed, one model is concerned with relationships, responsibilities and communication while the second model operates at the micro level of day to day communication and is based upon the six areas of involvement. This model was developed in response for the college to meet its obligations of whānau engagement and takes into account the differing needs at the macro and micro level. This model was discussed at a whānau hui, with the pouwhakatki and with kaumatua and the Chief Executive Officer of local iwi. This model was based on that proposed in chapter four and has be reworked after consultation and trialled with two new initiatives undertaken by the college.
2 Staff Responses
2.1 Values
All staff responded that a core value of the Principal was excellence. This was supported by the following comments.
“she values students excelling”
“I think that excellence comes into it because ultimately it is achievement”
Other values that staff used to describe the principal were;
- concerned
- caring
- approachable
- fair
- a good listener
- empathetic
• respectful
• effective communicator
• supportive
• inclusive
A key theme that emerged from the interviews was that the principal also placed a great deal of value on relationships. These relationships include those between staff, students and parents of the college as well as those relationships between the college and the wider community.
Central to this was the underlying concept that the principal has a keen sense of justice, what’s right and what’s wrong in terms of Māori achievement and success within education. All respondents identified that the principal valued addressing Māori student achievement.
“I think she is fully committed and supportive of the people that are promoting that (Māori students achievement) within the school. I don’t think that there is any issue as to whether it’s important or not.”
“Right and wrong, justice and I suppose there has had had to be a growing awareness of looking at Māori achievement.”
2.2 Leadership Style
Respondents stated that being aware of the needs of the community and having a positive relationship with the community is key leadership style exhibited by the principal. Other styles identified by respondents within the interviews were distributive, inclusive, situational, transformational and servant. The principal also has an ‘open door’ policy and will endeavour to make herself available to whānau/parents if they require without an appointment, wherever possible.
Distributive
“My Head of Department always relates things back to the school wide goals and how we as a department are tying in our goals to the school wide goals.”
“I think in terms of leading staff, her role is more to allow staff to lead themselves in their areas.”
Inclusive
"She’s not authoritarian."
Situational
"If you go to see her in her office with a problem she will generally make a decision if you require one, but if you see her outside of her office you won’t get a decision necessarily and that’s something you need to deal with."
Transformational
"Leadership is about enhancing other peoples leadership ability because she can’t do it all. Sure you’ve got to lead from the front but at the same time, you can’t be leading everything. If you’re not creating leaders within your organisation, then the whole thing rests on you. You’ve got to be able to walk away from the school and know that it will continue without you even being there is a strength and I think that to a lesser or greater degree that can happen."
Servant
"She values whānau, a strong relationship between parents and the school community and talking to her she’s always concerned about parents understanding and knowing what’s going on with their children but when you observe her that’s sometimes secondary to what teachers and school needs are."
"She’s got an institutional position and which she can only overcome really by her personal development to the people and to bring them on board to work with."
2.3 External Factors
Four of the five staff stated that funding would impact on the principal’s ability to implement and sustain initiatives which enhance whānau engagement. The funding was identified as that being needed for human resources to engage and network within the community as well as physical resources, including a central ‘whare’ type building located on the school grounds. The respondent stated they had seen this operational in other schools they had either visited or worked in and that this was a central point for students and whānau to meet, learn and feel ‘tau’\(^{19}\) within the school. The respondent stated that they had seen this in other mainstream secondary schools.
Workload and time were identified by all the respondents. One respondent also stated that we need to remember that staff also have their own whānau that they need to spend time with.
\(^{19}\) Settled
Three of the respondents identified parent community as being external constraints to initiatives to further progress whānau engagement, typified by the following statement.
“The families at home, the parents, if they don’t buy in to some of the initiatives that we’re running at school then its very difficult for us to make changes or make improvements.”
2.4 Leadership of Staff
Two staff stated that they were unaware of the principal’s expectation of them in regards to the school wide goals of raising Māori student achievement and whānau engagement. One respondent was able to explain in detail her department’s expectation as led by the Head of Department.
Three respondents stated that the principal had highlighted the expectations of raising Māori student achievement and whānau engagement, and how this would be managed, at staff meetings and through writings contained in the staff weekly communication.
Four respondents stated they were aware that staff needed to be aware of the impact of relationships as well as trying to tailor programmes that met the needs of Māori. One respondent was working with iwi to address needs identified within their department, stating that the principal had instructed them to do so. Two of these staff members stated that they were aware that there were departments within the college that were not adhering to these expectations and would be interested to see what the consequence of this would be.
2.5 Pedagogical Leadership
Three respondents stated they thought that the principal has developed her understanding of whānau engagement from key staff within the school. One respondent stated they thought the principal did not have any understanding of whānau engagement or culturally responsive teaching practices as judged from other secondary schools they had been employed in.
Four respondents thought that the principal had also developed their knowledge from interactions with whānau, attending hui and possibly from professional readings.
2.6 Terminology
2.6.1 Whānau Engagement
One respondent stated they didn’t have time for terms, that they were all the same in general and that it was all about the relationship while another respondent thought that engagement was like tokenism.
“Means going through a bit of token, how you going?.”
One respondent stated that this involved school and whānau, both extended and immediate, and that engagement is when whānau ‘buy into’ the beliefs and goals of the school developing shared outcomes of strengthening the relationship to constructive positive outcomes for students.
Two respondents stated that they thought the term engagement was either attending events such as sports or parent interviews.
One respondent thought that engagement referred to the extended whānau or those people associated with the college, stating that they would know what was going on but may not necessarily go into the school.
“Extended family, people who are associated with the student of Awatapu College they would know what was going on in the school and they may not come in and participate with anything, they would just know what was going on, when holidays are, what sports their children are playing for the school.”
2.6.2 Whānau Participation
One respondent stated they didn’t have time for terms, that they were all the same in general and that it was all about the relationship.
Four respondents identified participation as being actively involved with an event or function which involved the school, the student and the whānau. These included coaching sports teams, attending sporting, cultural or academic events, attending hui and parent interviews. Two of these respondents identified extended whānau in this definition.
One of the above respondents identified that it was engagement that forged a partnership and referred to their visual representation of participation.
2.6.3 Whānau Partnership
One respondent stated they didn’t have time for terms, that they were all the same in general and that it was all about the relationship.
Two respondents identified in their engagement and participation comments that partnership comes from engagement or participation.
Two respondents identified that there needed to be two groups working together on joint outcomes. One of these respondents went further to state that for a partnership to have any real depth to it, it would work better if it was formalised.
“To me is whānau working together with the staff at the college for a joint outcome, the same goals, together in a partnership. So to me they would have to be different meanings. For a partnership there almost needs to be a defined job description role, some sort of informal or even formal contract drawn up so the other group could participate so they feel it’s a real partnership or they’re just going to feel they’re being consulted, with which means they don’t really feel they’re in a partnership with the school at all, it’s too casual, it’s not going to be, it’s not really strong enough for it to survive. I’d say just a little personal quirk on behalf of one of the groups she might be reacting to unless its something more permanent and other than personalities the partnership won’t operate. It needs to be independent of the personalities. As one person moves on it shouldn’t just rely on one strong person only leading a group, if the person moves on will the group continue”.
and
“It is collaboration with responsibilities placed on both parties”.
3 Whānau Responses
As previously identified, the targeted whānau were those who had not attended whānau hui in the last 18 months. On entering the homes of whānau, it was clearly evident by the physical surroundings that there were links to whānau and kaupapa Māori. In four of the homes, photographs of ancestors were displayed on the walls and in two of the homes, there was Māori artwork visible. The pre formal interview discussions were centred around whānau links and experiences. Two whānau retold the journey of discovering/rediscovering their roots. Of particular interest is the comment “s/he’s all Māoried out”. This was qualified that as a young child, s/he had accompanied his/her parents to numerous hui and that as a young person, s/he had no interest in pursing kaupapa Māori at school. This did create conflict for the whānau as they would prefer more contact with the school but respect the wishes of their child. Of particular note was the comment made by three whānau stating that the college was a mainstream school.
3.1 Values
Five whānau respondents identified trust, caring, excellence and a sense of family. Two of these respondents preferred to use the Māori terminology of whanaungatanga, manaakitanga, aroha and pono.
One of the above respondents counteracted their caring response by stating that on enrolment, the principal did not share any Māori initiatives operating in the school with them.
Three of the respondents stated that they had based these assumptions on what their child/ren and their friends say about the principal as well as from written communication via newsletters. They had never had any informal or formal communication with the principal.
Two of the respondents had had formal or informal communication in a face to face setting with the principal. This included communication on enrolling their child, or at a prizegiving/hui.
3.2 Leadership Style
Three respondents stated that she has a vision for Māori education (transformational). Three respondents stated that she shared the power (distributive) amongst staff, with one of the respondents stating that she shared power with whānau.
Two respondents stated that she was concerned about the colleges name and that she wants to do what’s right for the students and the community (servant).
3.3 External Factors
All five respondents stated that government funding would impact on the principal’s ability to implement initiatives for whānau engagement. This funding being used for:
- Place for whānau to go, meeting room, wharenui type building (3 respondents)
- Human resourcing - someone to drive initiatives (4 respondents)
- Funding (5 respondents)
- Mainstream school, not kura kaupapa (3 respondents)
3.4 Leadership of Staff
No respondents identified how the principal shared the whānau engagement vision with staff or what the principal’s expectations of staff were.
3.5 Pedagogical Leadership
One respondent stated that the principal would have developed his/her understanding of whānau engagement from previous experience, working with Māori staff and from whānau.
Four respondents assumed she has developed an understanding from attending hui, Māori staff who are responsible for Māori students and possibly whānau.
3.6 Terminology
3.6.1 Whānau Engagement
One respondent stated that whānau engagement, whānau participation and whānau partnership contained the same meaning – being involved and working to improve outcomes for all.
Four respondents stated that this is interaction between whānau, child and school. One respondent stated that this was about letting the parents be apart of the school as well.
3.6.2 Whānau Participation
One respondent stated that whānau engagement, whānau participation and whānau partnership contained the same meaning – being involved and working to improve outcomes for all.
Three respondents identified whānau whanui groups as enabling participation, where parents could contribute and discuss topics of need or importance.
*That is more like a whānau whanui group is what I would understand and sitting around ironing out whatever needs to be ironed out.*
One respondent stated that there needed to be participation on both sides and for participation to be effective, there needed to be full whānau and school participation, identifying that this would be harder to achieve.
This respondent also stated that a school with a Māori orientated culture e.g. kura kaupapa, would achieve more from whānau engagement. The respondent has also identified that partnership needs full participation from school and whānau.
“I think participation comes in, it can come in on both sides whether or not the parents want to participate within that programme and want to help get it up and running or whether they just want to turn a blind eye well I really don’t give a shit its just doesn’t matter, if that’s what the school wants then sweet as, but with the partnership you have with the children is really Māori orientated culture the whole works but I think that participation is more that little bit harder because you need full participation as opposed to half or quarter participation to actually make it work, to actually make it so like everyone is participating and is trying to build that culture within the school, yeah.”
3.6.3 Whānau Partnership
One respondent stated that whānau engagement, whānau participation and whānau partnership contained the same meaning – being involved and working to improve outcomes for all.
One respondent stated that there needed to be a fully Māori orientated school culture for whānau partnership to work.
Three respondents stated that whānau partnership had to start at the ‘top’, from government and policy level. This would occur with parent groups and government
departments.
Ah that is probably between the powers that be and in my mind anyway
One of these respondents stated that partnership did not involve the students.
the parent groups as opposed to leaving away the kids leaving the kids out of it
No respondents thought it was mandatory for schools to have a partnership with whānau.
4 Summary
This chapter has collated the data from the respondents used for this research. The data has been recorded, in the first instance according to respondent category – Principal, whānau or staff. Within each of these sections, the concept responses have been recorded. For the Principal, field notes, observations and documentation has been included.
Chapter Seven
Discussion
Chapter Outline
This chapter will discuss the data collected from the three key sites of investigation, the principal, staff and whānau. It will examine the relationship between the data and the literature review and in doing so, identify the similarities and differences between the two. The discussion will follow the headings values, leadership style, external factors, leadership of staff, pedagogical leadership and terminology.
1 Values
As identified in chapter three, the values the principal operates from contributes to the success of home/school partnerships. For the purposes of this research, this specifically refers to those values which have been highlighted to support and progress whānau engagement. These core values being identified in the literature review were relationship building, caring, trust, communication and respect and integrity.
The principal identified that the values s/he adheres to are relationship building, caring, commitment, excellence, respect and being courteous. Excellence, respect and caring were identified by staff while they went further to tease out specific qualities needed to build trusting relationships. These were concerned, approachable, a good listener, empathetic, effective communicator, supportive and inclusive. Whānau triangulated these values by identifying caring, excellence, whanaungatanga and manaakitanga. Other qualities identified by whānau were pono (trust/integrity) and aroha (love). This is supported in the draft Kiwi Leadership for Principals model that encompasses manaakitanga, awhinatanga and pono as key elements for principal leadership as well as relationships.
Of particular note is the exclusion of trust by the principal and the staff as a value. This could be that trust is deemed by these groups as being an implied quality necessary for positive relationships. Yet, if there is no conscious awareness of the importance of trust as a prerequisite for a relationship then the foundation of the relationship is weakened.
Whānau instil their trust in the principal that she does what’s right (pono) for their
children. Where the depth of this trust isn’t outwardly recognised, acknowledged or understood from an historical and cultural perspective, it could lead into difficulties. The way that trust is perceived by the three groups, the significance of developing a shared understanding and non-Māori educators having a conscious awareness that this is an area that may generate cross cultural ambiguity, needs to be investigated further as trust is central to relationship building.
In terms of the history of education in the Aotearoa/New Zealand context, Māori have not experienced a trusting relationship as outlined in chapter two. With trust being identified by all whānau, the conclusion can be drawn that trust is a high priority for a principal to consciously be aware of and develop with whānau.
Communication was identified in the literature as well as by the principal and staff and whānau. The principal does communicate to whānau through newsletters, informally at sporting and cultural events, enrolling students, formal school wide meetings including prize givings and whānau hui. The parameters of this thesis was to interview whānau that had not been to whānau hui.
Whānau stated that the communication they had received was mainly by newsletter. Two whānau had met with the principal when enrolling their children and although they found the principal approachable and open, they were not made aware of any initiatives operating in the college in respect of Māori education. This was translated by whānau that although the principal was caring, they were not aware of the principal’s commitment to Māori education or whānau engagement.
Four whānau stated that they received ‘whānau panui’ that were informative and specifically targeted at Māori, noting however, that the principal did not write these. This enabled whānau to know the value base of the staff delegated through the principal to communicate with whānau but not those specific to the principal with regards to Māori. Despite the ‘whānau panui’ being a part pf the school wide communication system for 2 years, one whānau interviewed stated that they had never received a panui, despite these being posted and they had not changed their address.
Excellence was identified by all three research groups, yet this value was not highlighted overtly in the literature review, rather, it was implied in statements dealing with expectations.
What has been identified under the strand of ‘values’ is that there appears to be
development needing to be initiated in the area of trust for the principal and staff so that there is a transparent understanding of why trust in education is important for Māori with an understanding of the historical implications of the evolution of education in this country.
1.1 Outcomes
Whānau have highlighted areas for the principal to improve on in terms of communication to whānau who do not attend school offered activities. The principal would need to be offered the opportunity to write in the ‘whānau panui’ and steps need to be taken to address the dearth of information provided to whānau on enrolment in regards to Māori education and whānau engagement not only by the principal but all staff who enrol students into the college. When enrolling students, this is a prime opportunity to share with whānau any school wide practices operating in this area.
Despite the literature highlighting that trust and caring values of the principal are key prerequisites for whānau engagement, this is not supported by the data gathered. Conversely, whānau have stated that the principal is trustworthy and does operate from a caring perspective, yet the whānau interviewed have not involved themselves in the opportunities provided by the college to be involved in a relationship with the college. This aspect was explored further and will be discussed later in this chapter. The omission of the ‘excellence’ as a necessary stated value in the literature research though identified by all three research groups is intertwined with whānau’s trust responses and commentary on this will be provided later in this chapter.
Recommendations
- That the principal continues to build trust, respect, integrity and caring into the relationship with whānau
- To provide professional development for the Principal and staff on the historical journey of education for Māori so that they can understand the need for trust, pono, integrity, mahi tika in any relationship with whānau
2 Leadership Style
The following table highlights those leadership styles identified by the respondents.
Table 4: Triangulation of Leadership Style
| Leadership Style | Principal | Staff | Whānau |
|------------------------|-----------|-------|--------|
| Distributive | X | X | X |
| Servant | X | X | X |
| Transformational | X | X | X |
| Inclusive | X | X | |
| Collegial | X | | |
| Relationships | X | X | X |
| Situational | | X | |
| Open Door Policy | X | X | |
There are four distinct leadership styles that all research groups have identified that the principal operates from.
A combination of servant, transformational and distributive leadership compliment Sergiovanni’s model of the Head, the Heart, the Hand and Moral Leadership and are developed through the principal’s value base and experiences, hence being underpinned by relationships. Although the three research groups stated relationships as a style, in effect, it is a value that underpins styles.
Whānau and staff identified strongly in their responses that the principal was there for the community and that s/he cared what the community thought. This is a definitive servant leadership style whereby the needs of the students, staff and community take priority. This type of leadership style operates from a strong values base, and as discussed in the Values section of this chapter, whānau and staff identified the deeply held values of the principal.
The principal in her responses confirmed that servant leadership is fundamental to her leadership style by placing the needs of whānau and Māori education in high regard. This inherent quality of the principal comes from experience developed from teaching in a small town with a high Māori population early on in her teaching career.
Transformational leadership was justified by the whānau stating that the principal had a vision and was trying to change the ‘culture’ of the school and to improve outcomes.
for Māori and that she allowed Māori staff to take ownership and leadership of ngā mea kaupapa Māori\textsuperscript{20} in the college.
Some staff stated that the principal had a vision for Māori achievement and whānau engagement but that this wasn’t always clearly communicated to them by her. This ‘communication’ aspect is supported by not all staff being aware of the vision or culture that the principal is trying to create within the college.
The principal does operated from transformational leadership, allowing others to take leadership and she does have a vision around whānau engagement and Māori educations. An aspect she, herself identified, was that she needed to work on communicating the vision she has better to the staff.
Distributive leadership was recognised by all research groups and qualified by the principal stating that she allows and encourages staff to take leadership roles, by staff stating that she creates leaders and that is part of the role of a good principal and whānau by stating that they are fully aware of the Māori staff views and aspirations for Māori achievement and whānau engagement but not so aware of the principal’s.
The open door policy, as stated by the principal and staff and recognised has a highly effective and valuable way of encouraging and fostering whānau engagement was not supported by whānau responses despite probing by the researcher during the interview phase. This is not unexpected as the whānau interviewed were those whānau that had not been to hui.
\subsection*{2.1 Outcomes}
Servant leadership, a strong sense of community, building relationships, distributing power and effective communication of the vision and culture of the college are principal leadership styles recognised and supported by all three research groups. When distributing leadership in respect of Māori education and whānau engagement, it is necessary that the principal continues to communicate her vision to staff and whānau in support of the distributive leadership afforded.
For those whānau interviewed, this would be in written communication via the whānau panui or on enrolment.
\textsuperscript{20} Aspects relating to all things Māori
Recommendations
- The principal to write a column in the whānau panui
- Whānau provided with a pamphlet regarding the college’s response and commitment to Māori education, this to be included in the enrolment
- All staff who enrolment students to be provided with professional development explaining the importance of discussing Māori educational initiatives within the college and identify key personnel for whānau to contact
3 External factors
Table 5: Triangulation of External Factors
| External Factors | Principal | Staff | Whānau |
|---------------------------|-----------|-------|--------|
| Whānau Experiences | X | | |
| Funding | X | X | X |
| Human Resources | X | X | X |
| Physical Resource | X | X | X |
| Workload / Time | X | X | |
| Mainstream School | | | X |
| Strength of Iwi/Hapū | X | | |
| Students | | | X |
The external factors that have significant impact on whānau engagement are Human Resources, Physical Resources and Funding. All three groups were unanimous in their responses that there needs to be human resourcing in regards to whānau networking and maintaining relationships, that ideally, there should be a dedicated ‘whare nui’ type building which would provide a sense of belonging for the students and their whānau and that in order to achieve this, there would need to be funding. External funding is an area identified in the literature (Epstein, 200?) as a component to sustain and maintain home/school partnerships.
Whānau were adamant that this funding should be provided by central government and this would demonstrate their commitment to the Treaty of Waitangi and sincerity in regards to Māori education and whānau engagement.
The principal, though stating that funding to provide both human and physical resourcing would allow initiatives to foster whānau engagement to be undertaken or continued, responded that as principal, she knew that it was unlikely that central
government would provide this form of funding long term and that it was her responsibility when setting the budget with the Board of Trustees to try to allow for funding for human resourcing. The physical resource was more complicated and delved into the domain of building codes and allowances, an area that the principal and Board of Trustees would be familiar with.
The principal and staff identified work load and time constraints as well as whānau’s previous experiences of school. Time and workload issues are of high concern in the education sector and as such staff are very aware of the diminishing amount of time they spend with their own whānau. Time and work load issues are a valid concern from a staffing perspective.
Interestingly, non Māori staff and the principal have stated that they think whānau’s past experiences of the schooling system impact on whānau’s ability to engage with the school. In contrast, whānau interviewed refute this assumption.
Most whānau interviewed stated that they respected the requests of their children not to go to school and that secondary schools are different to primary schools. This was qualified by acknowledging that during the primary school years, children want their parents around, that there is only one teacher in the primary school and they are more whānau orientated – that was the nature of the primary school.
Secondary schooling is different in that children are developing a sense of self and independence and parents have to allow for this to happen. It is a part of growing up and also a part of the age and stage of human growth and development. This area is outside the parameters of this thesis.
Whānau also stated that mainstream schooling is not kura kaupapa schooling and that the two types of schooling are different. This was qualified by responses that there are a lot of different understandings of what being Māori is. One respondent stated that at a primary school the child/ren had been to, they had to attend whānau hui and they “weren’t going down that track again.”
One whānau member stated that the person responsible for liaising with whānau needed to be like a missionary, go door knocking on every whānau, re-educate them about engaging with the school. They also cautioned that because whānau are not attending hui, this does not mean they aren’t engaged with their child’s learning. It may just mean they are confident in the school and the personnel employed within the
Recommendations
- Non-Māori teachers not to assume that the reason why whānau are not seen in the college is due to the parents having negative schooling experiences
- Government to provide purposeful funding, creating positions dedicated to whānau liasing
- Wharenuia type buildings being available as part of the building code in all schools
- Do not assume whānau aren’t engaged with the education of their children, they may have trust in school personnel
4 Leadership of Staff
No whānau were able to identify how the principal shared her vision or expectations of whānau engagement with staff. It is not an area that whānau would be expected to know as it relates to internal management systems between the staff and the principal.
Two staff stated that they were not aware of the principal’s expectations of them in terms of whānau engagement yet field notes include the principal sharing her expectations of staff on more than one occasion during full staff meetings and the other staff reiterated this in their responses. They also acknowledged that this has been shared in other forms of whole staff communications. One of these staff did know what the Head of Departments expectation of whānau engagement was but did not know whether this had been as result of the principal’s direction shared at Head of Department meetings.
Interestingly, all staff knew that the principal did value relationship building and that these two staff identified above, were not able to transfer this principle into whānau engagement.
The principal was able to identify ways in which she communicated this vision, confirming staff responses and field notes but acknowledged that she needed to continue working on better communication of this vision and expectation.
Communication, as previously outlined, is a necessary requirement to enhance whānau engagement. Although the principal has communicated her expectation with all staff on various occasions, not all staff had internalised the expectation.
Distributive leadership though allowing others to take the lead, does not exclude the principal as leader to take control (MacNeill & Silcox, 2006, O’Connor, 2006). Trusting lead staff to fulfil their delegated responsibilities needs to be supported by assurances that all staff are aware of expectations and supporting the culture being melded into the school’s framework.
**Recommendations**
- The link between relationship building and whānau engagement needs to be identified for staff
- The principal needs to explore other avenues to share this expectation
- The principal needs to be assured by Heads of Departments that junior staff understand this expectation
## 5 Pedagogical Leadership
### Table 6: Triangulation of Pedagogical Leadership
| Pedagogical Leadership | Principal | Staff | Whānau |
|---------------------------------|-----------|-------|--------|
| Hui | X | X | X |
| Māori Staff | X | X | X |
| Iwi/Hapū | X | | |
| Professional Readings | X | X | |
| Whānau | X | X | X |
| Prior Experiences | X | | X |
| Professional Development Contracts | X | | |
Whānau stated they could not confirm the ways the principal had developed her understanding of whānau engagement but rather made the assumptions based on their perceptions of the principal and the way in which she managed the college.
These assumptions did triangulate with staff responses and the principal’s responses. Whānau did however qualify their assumptions by stating that a non-Māori principal would have to interact and take advisement from Māori to develop an understanding of whānau engagement and that this could not be learnt from books.
One staff member stated that they didn’t think the principal had any understanding of whānau engagement as evidenced on his/her prior experience in other schools. This was not reflected in any other responses and not supported by any other evidence. Rather, what they were referring to was controlled by the availability of funding. The principal took a macro approach to this question, including interactions with iwi/hapū to develop an understanding of engagement. The macro/micro aspect and the understanding of terminology will be discussed later in this chapter.
The principal was also aware that much can be learnt from professional readings and professional development contracts and that it was responsibility as principal to continue to up skill not only herself in this field but also her staff. Field notes show that the principal has advocated professional development for staff in learning and teaching techniques to enhance Māori achievement which instils trust in the community that the principal is committed to Māori student achievement, has allowed staff to restructure class sizes and composition based on pedagogy, again instilling trust in the community and has been proactive in seeking funding to sustain these initiatives.
The principal has recognised the need for staff to undertake professional development in the field of classroom practice and has made available opportunities for staff in this area. Hence she recognises that professional learning is an important aspect for all staff, specifically in the area of Māori student achievement.
Although the above paragraph is not strictly in keeping with pedagogical leadership and whānau engagement, the concept of building trust in the community has had implications for whānau engagement with whānau being confident in the ability of the principal or her delegates to support Māori student achievement and therefore their need to be overly concerned with engaging with the college. This aspect will be discussed later.
**Recommendations**
- Evaluation of programmes to be maintained
- Department reports to include targets and evaluation of Māori student achievement
- Report on achievement to the Māori community
- In partnership with the community, evaluate, prioritise and set new targets cyclically
6 Terminology
From the outset, the terminology engagement, participation and partnership caused angst. It was therefore appropriate to determine whether there was any shared understanding of these words by the target groups.
As identified in Chapter Seven, there was a wide and varied response to these terms ranging from they all meant the same thing generally to engagement being more like tokenism and partnership being more in depth and requiring it to be formalised.
Whānau had a more common understanding that partnership was at a macro level of governance, being parent groups and government departments.
The responses indicated that there was a blurred understanding of the terminology and that the differences occurred at the macro and micro level.
Recommendation
- In the absence of a nationally recognised understanding and sharing of these terms between government departments, iwi and schools; that schools in consultation with whānau whanui and iwi, develop their own shared understanding of the terms as it applies to their own context from which to build upon meaningful relationships.
- That the above be shared with school whānau, being communicated through information and documentation provided to whānau on enrolment.
7 Model of Whānau Engagement
Whānau and the principal identified that there are different stakeholders with differing needs that need to be accommodated for in order to encapsulate a thorough working model which satisfies the needs of the whole community.
Four staff did not provide any pictorial diagram that incorporated iwi/hapū but were more concerned with immediate whānau, focussing on the student. One staff did identify ‘outside groups’ as having an interest in engagement. This model is consistent with that of Epstein’s, whereby the student is at the centre of the engagement.
The New Zealand/Aotearoa context is unique in that at the governance level, there is and elected and sometimes co-opted community body charged with the operation of
the school. Most often, the needs of Māori are acknowledged with a Māori representative on the Board of Trustees. This person, however, may or may not be affiliated to the iwi/hapū in which they reside.
Unique also to the New Zealand/Aotearoa context is the Treaty of Waitangi which clearly states that there is a partnership between Māori and the Crown and for the purposes of this thesis, the Ministry of Education, as representatives of the Crown.
No staff identified curriculum areas where whānau or iwi/hapū could participate or contribute to. This, however, is in contrast to one staff stating that they are working with iwi to rewrite units of programme delivery that relate specifically to iwi.
All staff identified that communication needed to be central to whānau engagement.
The original model of ‘whānau engagement’ after consultation was modified with greater communication being achieved at a variety of levels. The principal, as leader, needs to communicate to iwi/hapū but at the same time, distributing leadership and allowing that communication to be undertaken by the in school facilitator. After iwi consultation, the powhakataki does not report to iwi/hapū on school progress but remains a support for school and iwi/hapū. The Board of Trustees is responsible to the Ministry of Education and the Māori Board of Trustees representative has a dedicated position in the working party.
The ‘Types of Involvement’ working model was trialled for two separate targets. The model in these two instances was successful. One of the whānau interviewed was contacted to become part of the working party. Some whānau had indicated that they would rather be personally contacted if the school needed them as they would not respond to panui. This statement was adhered to and as a result, this whānau was able to assist the school and include other whānau to achieve the target.
Whānau identified that the age and wishes of their child and the amount of contact they wanted whānau to have with the college was an aspect of their engagement levels.
**Recommendation**
- That both models of engagement be communicated to all whānau on enrolment. This to be included in the pamphlet regarding Māori education at the college.
• That staff are provided with professional development to understand both models
• That principal’s be provided with professional development regarding the responsibility they have for creating partnerships at the macro level with iwi.
8 Summary
As identified in the literature, there is a decrease in whānau engagement according to school type and age of the student. This is consistent with the literature and a key point in determining the shape of whānau engagement in a secondary school. Whānau engagement in this context needs to be purposeful.
The role of the principal in a mainstream, heterogeneous college requires a complex set of skills. The literature identifies that core values exhibited by the principal determine the successful nature of the interactions afforded the school by the community. In this instance, the principal, staff and whānau identified her values that she operates from and these are consistent with those identified in the literature and further progressed in the draft Kiwi Leadership for Principal model. It is from these core values that determines the leadership style of the principal and their fundamental core belief system. These values are pono (trust), caring, manaakitanga and excellence.
Principal leadership requires a set of skills that distributes leadership to those capable of fulfilling the required tasks. Using the styles exemplified by the literature, this is a combination of a variety of styles determined by situation and trust in employees. The range of styles that progress whānau engagement are distributed leadership, servant leadership and transformational leadership.
Servant leadership in the first instance operates from the premise that the role of the principal is to be responsive to the needs of the community and stakeholders, and in this context, whānau. It posits itself in the leader doing what is right – mahi tika (Tahuri, 2007). From this, the principal needs to create a vision to transform or improve the school’s culture – transformational leadership. The situation demands distributed leadership, as identified earlier, the role of the principal is complex, demanding that expertise is others is utilised. This requires trust in those fulfilling leadership roles, yet the principal must continue to be the enforcer, communicating their expectation of staff to follow the vision or school culture. This aspect of principal leadership is crucial to maintain order, stability and standardisation of
expectation across the school.
The principal needs to continue to undertake professional development in all areas that relate to Māori education. Though not expected to be the expert in all curriculum areas, the principal does need to be aware of trends in all areas so that they can lead staff for the advancement and success of Māori education. For some aspects, this will mean liaising with iwi to critique curriculum. An area that needs to be improved is the expectation of principal to ensure that all staff within the learning community are pronouncing Māori names correctly. This was highlighted at the Hui Taumata 2005 and continues to concern both whānau and iwi/hapū. This needs to be addressed.
In the absence of a standardised national understanding of the terms engagement, participation and partnership, at the local level, the principal in consultation with key staff, whānau and iwi, need to come to a collective understanding that suits their context. These explanations need to be shared with the entire learning community so that everyone involved in the school has a clear understanding of the terms.
In the absence of a dedicated, government funded position, the principal needs to make a commitment to providing such a role and sourcing the funds to finance the position. This is an area that requires the principal to lead from the styles outlined above, display the values outlined above and demonstrate that they have the inner strength and resilience to lead the school with the belief that the long term historical negative effects of the schooling process on Māori as identified in chapter two can be addressed in the long term by enabling innovative strategies in the Aotearoa/New Zealand context yet standard in other cultures.
9 Conclusion
Principal leadership is crucial to the development and cementing of whānau engagement in a mainstream secondary school context. The principal needs to have a thorough understanding of their own value base and be able to demonstrate their commitment to Māori by building trusting relationships with the Māori community at both the macro and micro level. Ensuring that culturally responsive teaching practices and that Māori content taught is authenticated and delivered accurately is a necessity in developing committed trusting relationships at the macro and micro level.
The principal needs to be a pedagogical leader, providing direction for staff and affording a distributive leadership style with a clear vision and targets is imperative. Any external constraints to be able to fulfil this will need to be addressed by the
principal and it is their commitment to whānau engagement (while operating within budget constraints) that will determine this. This will impact on the trust afforded the principal by whānau. Distributed leadership and assigning the portfolio of Māori education which encompasses whānau engagement is a key element as identified by whānau. Whānau will afford trust in the school if they have confidence in the staff assigned to this position.
Relationships, values and the principal’s response to social justice are crucial elements to progressing whānau engagement at both the macro and micro level. Furthermore, there needs to be a clear, collective and shared understanding between all stakeholders as to the schools definition and intent of whānau engagement.
| Desired Outcomes | Outputs | Indicators |
|---------------------------------------------------------------------------------|------------------------------------------------------------------------|----------------------------------------------------------------------------|
| Enhanced development of school and whānau relationships and engagement | Collaboratively developed, trialled and implemented approaches to foster whānau school relationships | Effective community/whānau school consultation and collaboration evidenced in feedback data
Parents/whānau attending hui; present on school campus; responding to communication
Whānau representative/s in school governance |
Appendix 2
Te Aho Matua
Te Ira Tangāta
1. The whānau practises an holistic approach to children’s development based on Māori cultural and spiritual values and beliefs.
2. The whānau honours all people and respects the uniqueness
Te Reo
1. The whānau ensures the language of the kura will be, for the most part, exclusively Māori.
2. The whānau achieves full competency in Māori and English.
Ngā Iwi
1. The whānau nurtures children to be secure in the knowledge of themselves and their own people.
2. The whānau ensures that children acknowledge and learn about others and their societies.
3. The whānau ensures all members play an integral part in children’s learning and in the learning of the wider whānau.
4. The whānau affirms collective ownership and responsibility for the kura.
Te Ao
1. The whānau ensures that children will be secure in their knowledge about the Māori world and enable them to participate in the wider world.
2. The whānau ensures that children will explore the physical and natural world while maintaining their link to ancestral knowledge.
Āhuatangā Ako
1. The whānau operates a warm, loving and intellectually stimulating learning environment.
2. The whānau ensures that the importance of the learning environment will be emphasised.
3. The whānau includes strong education leadership and capable teachers.
Ngā Tino Uaratangā
1. The whānau ensures that each child’s abilities are successfully nurtured including their academic skills, bilingualism, natural talents, creativity, enthusiasm for learning and life, ability to retain knowledge, leadership qualities, independence, joy, spirituality balanced with physical pursuits, their links to ancestral domains and their pride of place within their iwi.
http://www.ero.govt.nz/ero/publishing.nsf/Content/Review+Process+-+Kura+Kaupapa+M%C4%81ori
Appendix 3
Percentage of Māori Parents/Whānau Involved in School Activities
Source: McKinley, 2000
| Conceptualization | Servant-leaders seek to nurture their abilities to dream great dreams. The ability to look at a problem or an organization from a conceptualizing perspective means that one must think beyond day-to-day realities. For many leaders, this is a characteristic that requires discipline and practice. The traditional leader is consumed by the need to achieve short-term operational goals. The leader who wishes to also be a servant-leader must stretch his or her thinking to encompass broader-based conceptual thinking. Within organizations, conceptualization is, by its very nature, the proper role of boards of trustees or directors. Unfortunately, boards can sometimes become involved in the day-to-day operations—something that should always be discouraged—and, thus, fail to provide the visionary concept for an institution. Trustees need to be mostly conceptual in their orientation, staffs need to be mostly operational in their perspective, and the most effective executive leaders probably need to develop both perspectives within themselves. Servant-leaders are called to seek a delicate balance between conceptual thinking and a day-to-day operational approach. |
| Foresight | Closely related to conceptualisation, the ability to foresee the likely outcome of a situation is hard to define, but easier to identify. One knows foresight when one experiences it. Foresight is a characteristic that enables the servant-leader to understand the lessons from the past, the realities of the present, and the likely consequence of a decision for the future. It is also deeply rooted within the intuitive mind. Foresight remains a largely unexplored area in leadership studies, but one most deserving of careful attention. |
| Stewardship | Peter Block (author of *Stewardship* and *The Empowered Manager*) has defined stewardship as “*holding something in trust for another.*” Robert Greenleaf’s view of all institutions was one in which CEO’s, staffs, and trustees all played significant roles in holding their institutions in trust for the greater good of society. Servant-leadership, like stewardship, assumes first and foremost a commitment to serving the needs of others. It also emphasizes the use of openness and persuasion, rather than control. |
| Commitment to the growth of people | Servant-leaders believe that people have an intrinsic value beyond their tangible contributions as workers. As such, the servant-leader is deeply committed to the growth of each and every individual within his or her organization. The servant-leader recognizes the tremendous responsibility to do everything in his or her power to nurture the personal and professional growth of employees and colleagues. In practice, |
| **Building community** | The servant-leader senses that much has been lost in recent human history as a result of the shift from local communities to large institutions as the primary shaper of human lives. This awareness causes the servant-leader to seek to identify some means for building community among those who work within a given institution. Servant-leadership suggests that true community can be created among those who work in businesses and other institutions. Greenleaf said, *“All that is needed to rebuild community as a viable life form for large numbers of people is for enough servant-leaders to show the way, not by mass movements, but by each servant-leader demonstrating his or her unlimited liability for a quite specific community-related group.”* |
Source On Character and Servant-Leadership: Ten Characteristics of Effective, Caring Leaders by Larry C. Spears, Chief Executive Officer The Greenleaf Center for Servant-Leadership retrieved 2007
Appendix 5
Epistemological
- Pedagogy as the transmission of knowledge (Lingard et al, 2003)
Socio-Ideological
- Pedagogy as a political tool for the enculturation of students (Freire, 1977; Morton & Zavarzadeh, 1991; Smyth, 1985; van Manen, 1999)
- Pedagogy – ideological practices of constructing subjectivities necessary for reproducing existing social organizations (Morton & Zavazadeh, 1991)
Social
- Pedagogy as a relationship that produces knowledge (Britzman, 2003; van Manen, 1999)
- Pedagogy as social practice (Daniela, 2001).
The Pedagogic Act
- The mechanical aspects of *how* knowledge is transmitted
- Pedagogy as an inclusive view of all aspects of teaching but not simply instruction (Mortimore, 1999; Newmann & Associates, 1996)
- Any conscious activity designed by one person to bring about learning in another (Ireson, Mortimore & Hallam).
Pedagogy separated from didactics
- Pedagogy in the European usage, related to culture and children’s learning, while didactics relates to the subjects to be taught (Alexander, 2004:10; Hamilton & William, 2001)
## Appendix 6
### Context
| Roopu Members | Target | Measurable Outcome |
|---------------|--------|--------------------|
### Goal:
| Type of Involvement | Responsibility | Specific Target |
|---------------------------|----------------|-----------------|
| Manaakitanga | | |
| Whakawhiti Korero | | |
| Mahi Tahi | | |
| Ako | | |
| Mana Whenua | | |
| Whanaungatanga | | |
Appendix 7
Research letters forms and questions.
Dianne Wilson
Palmerston North
25/07/2007
The Chairperson
Board of Trustees
Dear
I am requesting permission from the Awatapu College Board of Trustees to conduct research with the Principal, ten staff members and ten whānau of Awatapu College. This research is the thesis component to complete my Master’s degree for a **Master’s of Philosophy Māori**. Provided with this request is an outline of the purpose and nature of the research.
**Nature and Purpose of the Study**
The aim of this study is to investigate the impact principal leadership has on whānau participation in a suburban New Zealand mainstream secondary school.
The specific objectives of the study are to:
- Identify the values that underpin the principal’s leadership style
- Identify the leadership style the principal models their leadership on
- To explore the relationship between these two aspects and whānau partnership/engagement
To fulfil this research project, information is required from the principal, staff and whānau of the school. This school has been chosen as it currently in Phase 3 of Te Kauhua – raising Māori student achievement in the mainstream with a specific outcome of Whānau Engagement.
Those to be invited to participate in this research are the Principal, 5 Heads of Departments, 5 staff members with no other specific responsibilities and 2 whānau from each of the five year levels. Whānau will be identified by those students that are included on the Māori roll of the school and for the purposes of this project, are those students who are not studying Te Reo Māori and/or participating in Kapa Haka.
What will be asked of the participants and time involved
Whānau:
Participants will be invited to answer questions relating to the leadership style of the principal, identifying key values and beliefs of the principal. From this, whānau will be asked to describe how this impacts on the partnership they have with the school.
Time involved: 30 – 45 minutes Taped Interview
Staff:
Participants will be invited to answer questions relating to the leadership style of the principal, identifying key values and beliefs of the principal. From this, staff will be asked to describe how, from their perspective, this impacts on their understanding of the partnership between whānau and school.
Time involved: 30 – 45 minutes Taped Interview
Principal:
The Principal will be invited to answer questions which identify their values and beliefs and how this influences their leadership style. The following question will relate to their understanding and implementation of a whānau partnership. From this, the principal will identify how they transfer understanding to other stakeholders – including staff and whānau.
Time involved: 30 – 45 minutes Taped Interview
Please feel free to contact either the researcher or the supervisor if you have any question about the project.
Committee Approval Statement
This project has been reviewed and approved by the Massey University Human Ethics Committee: Southern B, Application 07/43. If you have any concerns about the conduct of the research, please contact Dr Karl Pajo, Chair, Massey University Human Ethics Committee: Southern B, telephone 04 801 5799 x6929, email [email protected]
Yours Sincerely
Dianne Wilson
Dianne Wilson
Palmerston North
25/07/2007
Dear ma’am
As you are aware and previously discussed with you, I am currently enrolled at Massey University in the Master’s of Philosophy Māori programme. As such, I am requesting permission from you to undertake research and collect data from yourself, some staff and whānau from Awatapu College. Please find enclosed a copy of the letter to the Awatapu College Board of Trustees requesting permission to use Awatapu College as a research site. To complete this research, I will need to collect data from you, as Principal, ten staff members and ten whānau of Awatapu College. Permission is also sought to access the school’s database to obtain contact details of whānau currently on the school’s roll.
This is the thesis component to complete my Master’s for the degree **Master’s of Philosophy Māori**. An Information Sheet is also included outlining the exact nature of the project.
Please feel free to contact either the researcher or the supervisor if you have any question about the project.
**Committee Approval Statement**
This project has been reviewed and approved by the Massey University Human Ethics Committee: Southern B, Application 07/43. If you have any concerns about the conduct of the research, please contact, Dr Karl Pajo, Chair, Massey University Human Ethics Committee: Southern B, telephone 04 801 5799 x6929, email [email protected]
Yours Sincerely
Dianne Wilson
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?: A Case Study
AUTHORITY FOR THE RELEASE OF TAPE TRANSCRIPTS
This form will be held for a period of five (5) years
I confirm that I have had the opportunity to read and amend the transcript of the interview/s conducted with me.
I agree that the edited transcript and extracts from this may be used by the researcher, Dianne Wilson in reports and publications arising from the research.
Signature: ___________________________________________ Date: _______________________
Full Name - printed: ____________________________________________________________________
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?: A Case Study
PARTICIPANT CONSENT FORM
This consent form will be held for a period of five (5) years
I have read the Information Sheet and have had the details of the study explained to me. My questions have been answered to my satisfaction, and I understand that I may ask further questions at any time.
I agree/do not agree to the interview being audio taped.
I wish/do not wish to have my tapes returned to me.
I understand I have the right to withdraw from the study at any time and to decline to answer any particular questions.
I agree to provide information to the researcher on the understanding that my name will not be used without my permission.
(The information will be used only for this research and publications arising from this research project).
I would like a copy of the research findings mailed to me. Yes / No
I agree to participate in this study under the conditions set out in the Information Sheet.
Signed:..................................................................
Name:..................................................................
Date:..................................................................
- 110 -
INVITATION TO PARTICIPATE
Kia Ora Koutou
My name is Dianne Wilson and I am undertaking research to complete my Master’s of Philosophy Māori. The topic I have chosen to research is Principal Leadership and Whānau Engagement. Below is an outline of the study and an invitation to participate in this research. This research is being supervised by Professor Tai Black, Pūtahi-a-Toi, Massey University, Palmerston North.
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?: A Case Study
INFORMATION SHEET
Nature and Purpose of the Study
The aim of this study is to investigate the impact principal leadership has on whānau participation in a suburban New Zealand mainstream secondary school.
The specific objectives of the study are to:
- Identify the values that underpin the principal’s leadership style
- Identify the leadership style the principal models their leadership on
- To explore the relationship between these two aspects and whānau partnership/engagement
To fulfil this research project, information is required from the principal, staff and whānau of the school. This school has been chosen as it currently in Phase 3 of Te Kauhua – raising Māori student achievement in the mainstream with a specific outcome of Whānau Engagement.
Those to be invited to participate in this research are the Principal, 5 Heads of Departments, 5 staff members with no other specific responsibilities and 2 whānau from each of the five year levels. Whānau will be identified by those students that are included on the Māori roll of the school and for the purposes of this project, are those students who are not studying Te Reo Māori and/or participating in Kapa Haka.
What will be asked of the participants and time involved
Whānau:
Participants will be invited to answer questions relating to the leadership style of the principal, identifying key values and beliefs of the principal. From this, whānau will be asked to describe how this impacts on the partnership they have with the school.
Time involved: 30 – 45 minutes Taped Interview
Interviews will be organised at a time convenient to you, the participant either in an office separate to the main school office block to ensure anonymity or at your home. If you would prefer the interview to take place at your home, Ropata Waaka, Head of Māori Studies, Awatapu College will accompany me. In these instances, Ropata will be required to sign a confidentiality agreement, again to ensure anonymity.
In the event that an outside transcriber is employed to transcribe the taped interviews, a confidentiality agreement will be signed in the first instance.
What will happen to the data on completion of the project?
All tapes will be stored in a locked filing cabinet. After the tapes have been transcribed, participants will be offered to have the tapes returned to them. For those tapes not returned, they will be kept for 5 years and then destroyed.
Participant’s Rights
You are under no obligation to accept this invitation. If you decide to participate, you have the right to:
- decline to answer any particular questions;
- withdraw from the study at any time;
- ask any questions about the study at any time during participation;
- provide information on the understanding that your name will not be used unless you give permission to the researcher;
- be given access to a summary of the findings of the study when it is concluded.
- Ask for the audio tape to be turned off at any time during the interview.
The research findings will be made available to participants upon completion of the research.
Please feel free to contact either the researcher or the supervisor if you have any question about the project.
Committee Approval Statement
This project has been reviewed and approved by the Massey University Human Ethics
Committee: Southern B, Application 07/43. If you have any concerns about the conduct of the research, please contact, Dr Karl Pajo, Chair, Massey University Human Ethics Committee: Southern B, telephone 04 801 5799 x6929, email [email protected]
Yours Sincerely
Dianne Wilson
INVITATION TO PARTICIPATE
Kia Ora Koutou
My name is Dianne Wilson and I am undertaking research to complete my Master’s of Philosophy Māori. The topic I have chosen to research is Principal Leadership and Whānau Engagement. Below is an outline of the study and an invitation to participate in this research. This research is being supervised by Professor Tai Black, Pūtahi-a-Toi, Massey University, Palmerston North.
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?: A Case Study
INFORMATION SHEET
Nature and Purpose of the Study
The aim of this study is to investigate the impact principal leadership has on whānau participation in a suburban New Zealand mainstream secondary school.
The specific objectives of the study are to:
- Identify the values that underpin the principal’s leadership style
- Identify the leadership style the principal models their leadership on
- To explore the relationship between these two aspects and whānau partnership/engagement
To fulfil this research project, information is required from the principal, staff and whānau of the school. This school has been chosen as it currently in Phase 3 of Te Kauhua – raising Māori student achievement in the mainstream with a specific outcome of Whānau Engagement.
Those to be invited to participate in this research are the Principal, 5 Heads of Departments, 5 staff members with no other specific responsibilities and 2 whānau from each of the five year levels. Whānau will be identified by those students that are included on the Māori roll of the school and for the purposes of this project, are those students who are not studying Te Reo Māori and/or participating in Kapa Haka.
What will be asked of the participants and time involved
Staff:
Participants will be invited to answer questions relating to the leadership style of the principal, identifying key values and beliefs of the principal. From this, staff will be asked to describe how, from their perspective, this impacts on their understanding of the partnership between whānau and school.
Time involved: 30 – 45 minutes Taped Interview
Interviews will be organised at a time convenient to you, the participant either in an office separate to the main school office block to ensure anonymity or at your home, again to ensure anonymity.
What will happen to the data on completion of the project?
All tapes will be stored in a locked filing cabinet. After the tapes have been transcribed, participants will be offered to have the tapes returned to them. For those tapes not returned, they will be kept for 5 years and then destroyed.
Participant’s Rights
You are under no obligation to accept this invitation. If you decide to participate, you have the right to:
- decline to answer any particular questions;
- withdraw from the study at any time;
- ask any questions about the study at any time during participation;
- provide information on the understanding that your name will not be used unless you give permission to the researcher;
- be given access to a summary of the findings of the study when it is concluded.
- Ask for the audio tape to be turned off at any time during the interview.
In the event that an outside transcriber is employed to transcribe the taped interviews, a confidentiality agreement will be signed in the first instance.
The research findings will be made available to participants upon completion of the research.
Please feel free to contact either the researcher or the supervisor if you have any question about the project.
Committee Approval Statement
This project has been reviewed and approved by the Massey University Human Ethics Committee: Southern B, Application 07/43. If you have any concerns about the conduct of the research, please contact, Dr Karl Pajo, Chair, Massey University Human Ethics Committee: Southern B, telephone 04 801 5799 x6929, email [email protected]
Yours Sincerely
Dianne Wilson
INVITATION TO PARTICIPATE
Kia Ora Tina
My name is Dianne Wilson and I am undertaking research to complete my Master’s of Philosophy Māori. The topic I have chosen to research is Principal Leadership and Whānau Engagement. Below is an outline of the study and an invitation to participate in this research. This research is being supervised by Professor Tai Black, Pūtahi-a-Toi, Massey University, Palmerston North.
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?: A Case Study
INFORMATION SHEET
Nature and Purpose of the Study
The aim of this study is to investigate the impact principal leadership has on whānau participation in a suburban New Zealand mainstream secondary school.
The specific objectives of the study are to:
- Identify the values that underpin the principal’s leadership style
- Identify the leadership style the principal models their leadership on
- To explore the relationship between these two aspects and whānau partnership/engagement
To fulfil this research project, information is required from the principal, staff and whānau of the school. This school has been chosen as it currently in Phase 3 of Te Kauhua – raising Māori student achievement in the mainstream with a specific outcome of Whānau Engagement.
Those to be invited to participate in this research are the Principal, 5 Heads of Departments, 5 staff members with no other specific responsibilities and 2 whānau from each of the five year levels. Whānau will be identified by those students that are included on the Māori roll of the school and for the purposes of this project, are those students who are not studying Te Reo Māori and/or participating in Kapa Haka.
What will be asked of the participants and time involved
Whānau:
Participants will be invited to answer questions relating to the leadership style of the principal, identifying key values and beliefs of the principal. From this, whānau will be asked to describe how this impacts on the partnership they have with the school.
Time involved: 30 – 45 minutes Taped Interview
Staff:
Participants will be invited to answer questions relating to the leadership style of the principal, identifying key values and beliefs of the principal. From this, staff will be asked to describe how, from their perspective, this impacts on their understanding of the partnership between whānau and school.
Time involved: 30 – 45 minutes Taped Interview
Principal:
The Principal will be invited to answer questions which identify their values and beliefs and how this influences their leadership style. The following question will relate to their understanding and implementation of a whānau partnership. From this, the principal will identify how they transfer understanding to other stakeholders – including staff and whānau.
Time involved: 30 – 45 minutes Taped Interview
What will happen to the data on completion of the project?
All tapes will be stored in a locked filing cabinet. After the tapes have been transcribed, participants will be offered to have the tapes returned to them. For those tapes not returned, they will be kept for 5 years and then destroyed.
Participant’s Rights
You are under no obligation to accept this invitation. If you decide to participate, you have the right to:
- decline to answer any particular questions;
- withdraw from the study at any time;
- ask any questions about the study at any time during participation;
- provide information on the understanding that your name will not be used unless you give permission to the researcher;
- be given access to a summary of the findings of the study when it is concluded.
- Ask for the audio tape to be turned off at any time during the interview.
In the event that an outside transcriber is employed to transcribe the taped interviews, a confidentiality agreement will be signed in the first instance.
Please feel free to contact either the researcher or the supervisor if you have any question about the project.
**Committee Approval Statement**
This project has been reviewed and approved by the Massey University Human Ethics Committee: Southern B, Application 07/43. If you have any concerns about the conduct of the research, please contact, Dr Karl Pajo, Chair, Massey University Human Ethics Committee: Southern B, telephone 04 801 5799 x6929, email [email protected]
Yours Sincerely
Dianne Wilson
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?
CONFIDENTIALITY AGREEMENT
I ................................................................................................................................. (Full Name - printed)
agree to keep confidential all information concerning the project .................................................
I will not retain or copy any information involving the project.
Signature: ........................................................................................................ Date: ..................................
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?
TRANSCRIBER’S CONFIDENTIALITY AGREEMENT
I ................................................................................................................................. (Full Name - printed)
agree to transcribe the tapes provided to me.
I agree to keep confidential all the information provided to me.
I will not make any copies of the transcripts or keep any record of them, other than those required for the project.
Signature: ........................................................................................................ Date: ..................................
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?
Principal Questions
1. What are the values and beliefs that underpin your professional leadership?
2. What leadership style/s underpin your leadership in your school? Can you provide examples of situations and leadership style used?
3. What external factors impact on and influence your ability to implement initiatives to foster home/school partnerships?
4. Describe the practices that you employ to lead staff in establishing and/or enhancing home/school partnerships.
5. As the pedagogical leader, how have you developed an understanding of and a model of the home/school partnership?
- How is this communicated to staff?
6. Can you explain the terms engagement, participation and partnership?
- Can you draw a diagram?
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?
Staff Questions
1. From your observations of and professional dialogue with the principal, what values and beliefs underpin their professional leadership?
2. Describe the principal’s leadership style.
- Can you describe a range of situations and provide a description of the type of leadership exhibited in those situations?
3. What external factors and/or constraints impact on the principal’s ability to implement initiatives to foster home/school partnerships?
- In your opinion, does funding impact on this in any way?
4. How does the principal convey their expectations of you, as a staff member concerning developing and/or enhancing whānau/school partnership?
5. How do you believe the principal has developed an understanding of the whānau/school partnership/relationship?
- How has this been communicated to you as a staff member?
6. Can you explain the terms engagement, participation and partnership?
- Can you draw a diagram?
What are the Dimensions of Principal Leadership that Progress Whānau Engagement?
Whānau Questions
1. What values and beliefs do you believe underpin the principal’s leadership?
2. Describe the principal’s leadership style.
3. What are some of the reasons you believe affect the way the principal can/can’t implement new initiatives to develop or enhance home/school partnerships?
4. How has the principal shared their vision of whānau engagement with you?
- Do you know what the principal’s expectation of staff is for developing a partnership with whānau?
5. How do you think the principal has developed their personal understanding of ‘whānau engagement’?
- Have you had an opportunity to discuss this with the principal or ‘the school’ in any way?
6. Can you explain the terms engagement, participation and partnership?
- Can you draw a diagram?
Bibliography
Abzug, R., & Phelps, S. (1998). Everything Old is New Again: Barnard's Legacy - Lessons for Participative Leaders. *Journal of Management Development*, 17(3), 207-218.
AJHR. Appendices to the Journals of the House of Representatives.
Alton-Lee, A. (2003). *Quality Teaching for Diverse Students in Schooling: Best Evidence Synthesis*. Wellington: Ministry of Education.
Alvesson, M. (1996). Leadership Studies: From Procedure and Abstraction to Reflexivity and Situation. *Leadeship Quarterly*, 7(4), 455-485.
Baker, C. (2001). *Foundations of Bilingual Education and Bilingualism* (3rd ed.). Clevedon, Avon: Multilingual Matters Ltd.
Banks, C. A. (2005). *Improving Multicultural Education: Lessons from the Intergroup Education Movement*. New York: Teachers College Press.
Banks, J. A., & Banks, C. A. (2001). *Multicultural Education: Issues and Perspectives* (4th ed.). New York: John Wiley & Sons, Inc.
Barnes, A. (2004). Social Justice Theory and Practice: Pākehā, Kaupapa Māori and Educational Leadership. *New Zealand Journal of Educational Leadership*, 19, 47-62.
Barnett, K., McCormick, J., & Conners, R. (2001). Transformational Leadership in Schools - Panacea, Placebo or Problem? *Journal of Educational Administration*, 39(1), 24-46.
Barrington, J. M. (1996). Māori Scholastic Achievement: A Historical Review of Policies and Provisions. *New Zealand Journal of Educational Studies*, 1(1), 24-28.
Barrington, J. M. & Beaglehole, T. (1974). *Māori Schools in a Changing Society*. Wellington: New Zealand Council for Educational Research.
Bass, B. M. (1985). *Leadership and Performance Beyond Expectations*. New York: Free Press.
Bass, B. M. (1997). The Ethics of Transformational Leadership - KLSP: Transformational Leadership, Working Papers [Electronic Version]. Retrieved 07/05/2007 from http://www.academy.umd.edu/publications/klspdocs/bbass_pl.htm.
Belich, J. (1986). *The New Zealand Wars and the Victorian Interpretation of Racial Conflict*. Auckland: Auckland University Press.
Belich, J. (1996). *Making Peoples: A History of the New Zealanders from Polynesian Settlement to the End of the Nineteenth Century*. Auckland:
Bennis, W. (1989). *On Becoming a Leader*. Reading, MA: Addison-Wesley Publishing Company Inc.
Bennis, W. & Nannus, B. (1985). *Leaders: The Strategies for Taking Charge*. New York: Harper & Row.
Bennis, W. & Nanus, B. (2004). *Leaders: Strategies for Taking Charge*. New York: Harper Business Essentials.
Beveridge, S. (2005). *Children, Families and Schools: Developing Partnerships for Inclusive Education*. Milton Park, Abingdon, Oxon: Routledge Falmer.
Biddulph, F., Biddulph, J., & Biddulph, C. (2003). *The Complexity of Community and Family Influences on Children's Achievement in New Zealand: Best Evidence Synthesis* (No. 10763). Wellington: Ministry of Education.
Billot, J. (2003). The Real and the Ideal: The Role and Workload of Secondary Principals in New Zealand. *International Studies in Educational Administration*, 31(1), 33-49.
Binney, J. (1969). Christianity and the Māoris to 1840: A Comment. *New Zealand Journal of History*, 3(2), 143-165.
Bishop, R. (1998). *Freeing Ourselves from Neo-colonial Domination in Research: A Maori Approach to Creating Knowledge*. *International Journal of Qualitative Research*, 11(2), 199-219.
Bishop, R. (2000). New Metaphors for Power Sharing in Education. *English in Aotearoa* (December), 28-32.
Bishop, R. (2003). Changing Power Relations in Education: Kaupapa Māori Messages for 'Mainstream': Education in Aotearoa/New Zealand. *Comparative Education*, 39(2), 221-238.
Bishop, R. & Berryman, M. (2006). *Culture Counts*. Wellington: Huia.
Bishop, R., Berryman, M.; Tiakiwai, S., & Richardson, C. (2003). *Te Kotahitanga: The experiences of year 9 and 10 Māori students in mainstream classrooms: Report to the Ministry of Education*. Wellington: Ministry of Education.
Bishop, R. & Glynn, T. (1999). *Culture Counts: Changing Power Relations in Education*. Palmerston North: Dunmore Press Ltd.
Blackmore, J. (2006). Redesigning Schools and Leadership. *Redress* (April), 2-9.
Boje, D. M. (2000). Transform into Super Leaders: Transformational Leadership. Retrieved 26 April, 2007, from http://business.nmsu.edu/~dboje/teaching/338/transformational_leader
Bolman, L. G., & Deal, T. E. (1991). *Reframing Organizations: Artistry, Choice, and Leadership* (1st ed.). San Francisco, CA: Jossey-Bass, Inc.
Branson, C. (2005). Exploring the Concept of Values-led Principalship. *Leading and Managing*, 11(1), 14-31.
Brooker, B. N. (2005). *Stakeholders' Meanings of Effective School Leadership: A Case Study in a New Zealand Primary School*. Griffith University.
Bryman, A. (1986). *Leadership and Organisations*. London: Routledge and Kegan Paul.
Buck, P. (1952). *The Coming of the Māori* (2nd ed.). Wellington: Māori Purposes Fund Board/Whitcombe and Tombs Ltd.
Burns, J. M. (1978). *Leadership*. New York: Harper & Row.
Burns, R. (1994). *Introduction to Research Methods*. Melbourne: Longman House.
Calloway-Thomas, C., Cooper, P. J., & Blake, C. (1999). *Intercultural Communication: Roots and Routes*. Needham Heights, MA: Allyn and Bacon.
Carlsmith, L. & Railsback, J. (2001). *The Power of Public Relations in Schools*. Portland, Oregon: Northwest Regional Educational Laboratory.
Cavanagh, R., Reynolds, P., MacNeill, N., Romanoski, J. . (2004). *Development of a Rasch Model Scale to Measure Teacher Observations of How Principals Lead the School Pedagogy Paper* presented at the AARE. Retrieved 07/2007.
Center for Comprehensive School Reform and Improvement. (2005). The Role of Principal Leadership in Improving Student Achievement.
ChangingMinds.org. Leadership Thories. Retrieved 17 May, 2007, from http://changingminds.org/disciplines/leadership/theories/leadership_theories.htm
Christensen, I. (2001). *Ko te Whare Whakamana: Māori Language Revitalisation*. Palmerston North: Massey University.
Collins English Dictionary. (1982). *The New Collins Concise Dictionary of the English Language: New Zealand Edition*. Auckland: Collins.
Comer, J. P. (2005). The Rewards of Parent Participation. *Educational Leadership*, 62(6), 38-42.
Conger, J. A., & Kanungo, R. (1998). *Charismatic Leadership in Organizations*. Thousand Oaks, CA: Sage Publications, Inc.
Conrad, C. F. & Serlin, R. (Eds). (2006). *SAGE Handbook for Research in Education: Engaging Ideas and Enriching Inquiry*. Thousand Oaks, California: Sage Publications.
Constantino, S. M. (2007). Keeping Parents Involved Through High School. *Education Digest*, 73(1), 57-61.
Cooper, P. J., Calloway-Thomas, C., & Simmonds, C. J. (2007). *Intercultural Communication: A text with readings* (1st ed.). Boston, MA.
Cox, P. L. (2001). *Transformational Leadership: A Success Story at Cornell University*. *Proceedings of the ATE/aappa 2001 Conference*. Retrieved 15 June, 2007, from http://www.anu.edu.au/facilities/atem-aappaa/full_papers/Coxkeynote.html
Cozier, G., & Reay, D. (2005). *Activating Participation: Parents and Teachers Working Towards Partnership*. Oakhill, Stoke on Trent, Staffordshire: Trentham Books.
Cram, F. & Pipi, K. (2000). *Māori/Iwi Provider Success: Report on the Pilot Project, IRI, Tamaki-Makaurau*.
Crosnoe, R. (2001a). Academic Orientation and Parental Involvement in Education During High School. *Sociology of Education*, 74, 210-230.
Crosnoe, R. (2001b). Parental Involvement in Adolescent Education: The Interplay of the School, Community, and Ethnicity. *Sociological Focus*, 34, 417-434.
Crotty, M. (1998). *The Social Foundations of Research*. Thousand Oaks, California: SAGE Publications.
Cunningham, C., Stevenson, B., Tassell, N. (2005). *Analysis of the Characteristics of Whānau on Aotearoa: A report prepared for the Ministry of Education*. Palmerston North: Massey University.
Daft, R. L. (1999). *Leadership Theory and Practice* (1 ed.). Orlando, FL: Harcourt Brace College.
Day, C. (2000a). Beyond Transformational Leadership. *Educational Leadership*, 57(7), 56-59.
Day, C. (2000b). Effective Leadership and Reflective Practice. *Reflective Practice*, 1(1), 113-127.
Day, C., Harris, A., Hadfield, M., Tolley, H. & Beresford, J. (2000). *Leading Schools in Times of Change*. Milton Keynes: Open University Press.
Day, C. & Naylor, P. (2004). *Making a Difference in Schools and their Communities: Themes of Successful Headship. Report of a Research Project funded by N.C.S.L., N.A.H.T., and S.H.A.*: Centre for Research on Teacher and School Development, School of Education,
Denzin, N. & Lincoln, Y. (2003). *Handbook of Qualitative Research*. Thousand Oaks: Sage Publications.
Department of Labour. (2004). *Government - Community Engagement: Key Learning and Emerging Principles*.
Dimmock, C., Walker, A. (2004). A New Approach to Strategic Leadership: Learning-centredness, Connectivity and Cultural Context in School Design. *School Leadership & Management*, 24(1), 39-56.
Dinham, S. (2005). *Principal Leadership for Outstanding Schooling Outcomes in Junior Secondary Education*. Paper presented at the AARE. Retrieved 12 Mar, 2007, from http://www.aare.edu.au/05pap/din05528.pdf.
Domina, T. (July 2005). Leveling the Home Advantage: Assessing the Effectiveness of Parental Involvement in Elementary School. *Sociology of Education*, 78(3), 233-249.
Drewery, B. & Bird, L. (2004). *Human Development in Aotearoa: A Journey Through Life* (2nd ed.). Sydney: McGraw-Hill.
Durie, M. (2001). *Address to Hui Taumata Mātauranga, February 2001*.
Durie, M. (2004a, September). Address to the Hui Taumata Mātauranga. Taupo.
Durie, M. (2004b). *Mauri Ora: The Dynamics of Māori Health*. South Melbourne, Victoria: Oxford University Press.
Durie, M. (2005). *Ngā Tai Matatū: Tides of Māori Endurance*. Auckland: Oxford University Press.
Durie, M. (2006). *Whānau, Education and Māori Potential*. Paper presented at the Hui Taumata Mātauranga V.
Ellis, D. & Hughes, K. (2002). *Partnerships by Design: Cultivating Effective and Meaningful School-Family-Partnership*. Retrieved 6 July, 2007, from http://www.nwrel.org/partnerships/pubs/bydesign.html.
Epstein, J. L. (2001). Introduction to the Special Section. New directions for School, Family, and Community Partnerships in Middle and High Schools. *National Association of Secondary School Principals. NASSP Bulletin*, 85(October), 3-6.
Epstein, J. L. (2002). *School, Family, and Community Partnerships: Your Handbook for Action*. Thousand Oaks, California: Corwin Press, Inc.
Epstein, J. L. (2005). *Developing and Sustaining Research-based Programs of School, Family, and Community Partnerships: Summary of Five Years of NNPS Research*. Baltimore: John Hopkins University.
Epstein, J. L., Sanders, M. G., Simon, B. S., Salinas, K. C., Jansorn, N. R. & Voorhis, F. L. V. (2002). *School, Family and Community Partnerships: Your Handbook for Action* (2nd ed.). Thousand Oaks, CA: Corwin Press, Inc.
Epstein, J. L. & Sheldon, B. (2006). Moving Forward: Ideas for Research on School, Family, and Community Partnerships in Conrad, C.F. & Serlin, R (Eds.), SAGE Handbook for Research in Education: Engaging Ideas and Enriching Inquiry. In C. F. S. Conrad, R. (Eds) (Ed.), *SAGE Handbook for Research in Education: Engaging Ideas and Enriching Inquiry*. Thousand Oaks, California: Sage Publications.
Erikson, E. (1995). *Childhood and Society*. London: Vintage.
Feagin, J. R., Orum, A. M. & Sjoberg, G. (Eds.). (1991), *A Case for the Case Study*. Chapel Hill:: University of North Carolina Press.
Fiol, C. M., Harris, D. and House, R. (1989). Charismatic Leadership: Strategies for Effecting Social Change [Electronic Version]. Retrieved 18 June, 2007 from http://leadership.wharton.upenn.edu/I_change/publications/House/Charismatic%20Leadership%20-%20House%20.doc.
Fitzpatrick, J., Secrist, J. & Wright, D. (1998). *Secrets for a Successful Dissertation*. Thousand Oaks, California: SAGE Publications.
Flick, U. (2006). *An Introduction to Qualitative Research*. London: SAGE Publications.
Fullen, M. (2001). *Leading in a Culture of Change*. San Francisco: Jossey-Bass.
Fullen, M. (2002a). Leadership and Sustainability. *National Association of Secondary School Principals. NASSP Bulletin*, 3(4), 1-9.
Fullen, M. (2002b). The Change Leader. *Educational Leadership*(May), 16-20. Fullen, M. (2006). *Quality Leadership, Quality Learning: Proof Beyond Reasonable Doubt*.
Fullen, M. (2005). Resiliency and Sustainability. *The School Administrator*(February), 16-18.
Gay, G. (2002). Preparing for Culturally Teaching. *Journal of Teaching Education*, 53(2), 106-116.
Gay, G. (2004a). Beyond Brown: Promoting Equality Through Multicultural Education. *Journal of Curriculum and Supervision*, 19(3), 193-216.
Gay, G. (2004b). *Curriculum Theory and Multicultural Education*. In J.A. Banks & C.A. Banks (Eds.), *Handbook of Research on Multicultural Education* (2nd ed.) (pp. 30-49). San Francisco: Josey Bass.
Gellis, Z. D. (2001). Social Work Perceptions of Transformational and Transactional Leadership in Health Care. *Social Work Research*, 25(1), 17-25.
George, A. & Bennett, A. (2005). *Case Studies and Theory Development in the Social Sciences*. London: MIT Press.
Ghauri, P. & Gronhaug, K. (2002). *Research Methods in Business Studies: A Practical Guide*. Harlow, England: Pearson Education.
Gilgun, J. F. (1994). A Case for Case Studies in Social Work research. *Social Work*, 39, 371-380.
Gilligan, C. (1987). Adolescent Development Reconsidered. *New Directions for Child Development* (37), 63-92.
Gooden, M. A. (Nov, 2002). Stewardship and Critical Leadership: Sufficient for Leadership in Urban Schools? *Education and Urban Society*, 35(1), 133-143.
Gorinski, R. (1997). *Beyond Mentoring: A Transformative Discipleship Model of Christian Teacher Education*. The University of Waikato, Hamilton.
Gorinski, R. & Fraser, C. (2006). Literature Review on the Effective Engagement of Pasifika Parents and Communities in Education / Prepared for the Ministry of Education. In. Wellington: Research Division, Ministry of Wellington.
Graham, J. (2002). *Nāu te Rūnanga, Nāku te Rūnanga ta Piki Ake Tonu Te Oranga o te Iwi. Partnership Relationships between Schools and Māori Communities*. Massey University, Palmerston North.
Graham, J. (2003). Kahohi ki te Kanohi: Establishing Partnerships Between Schools and Māori Communities. *Set*(2), 8-12.
Greenleaf Center for Servant Leadership. On Character and Servant Leadership - Ten Characteristics. Retrieved 26 April, 2007, from http://www.greenleaf.org/leadership/read-about-it/articles/On-Character-and-Servant-Leadership-Ten-Characteristics.htm
Greenleaf, R. K. (1997). *Servant-Leadership: A Journey into the Nature of Legitimate Power and Greatness*. Mahwah, NJ: Paulist Press.
Griffin, D. (2003). Des Griffin.com [Electronic Version]. Retrieved 5 May, 2007 from http://www.desgriffin.com/leadership/transformation.htm.
Griffith, J. (2001). Principal Leadership of Parent Involvement. *Journal of Educational Administration*, 39(2), 162-186.
Hallinger, P. (2003a). Leading Educational Change: Reflections on the Practice of Instructional and Transformational Leadership. *Cambridge Journal of Education*, 33(3), 329-351.
Hallinger, P. (2003b). *Reshaping the Landscape of School Leadership Development: A Global Perspective*. Lisse, Netherlands: Swets & Zeitlinger.
Hargreaves, A. & Fink, D. (2004). The Seven Principles of Sustainable Leadership. *Educational Leadership*, 61(7), 8-13.
Harris, A., Day, C. & Hadfield, M. (2002). *Effective Leadership for School Improvement*. London: Routledge Falmer.
Harvey, A. (2001). A Dramaturgical Analysis of Charismatic Leader Discourse. *Journal of Organisational Change Management*, 14(3), 253-265.
Hastings, W. K. (1996). *The Right to an Education in Māori: The Case From International Law*. Wellington: Victoria University Press.
Hay Group. (2001). Summary: School Leadership Capabilities A Leadership Development Model for Principals, Assistant Principals and Leading Teachers in Victorian Schools [Electronic Version]. Retrieved July, 2007 from http://www.sofweb.vic.edu.au/pd/schlead/pdf/Capabilities_summary1.pdf.
Hay, I. (2007). Leadership of Stability and Leadership of Volatility: Transactional and Transformational Leaderships Compared [Electronic Version]. *Academic Leadership The Online Journal*, 4. Retrieved 12 September, 2007 from http://www.academicleadership.org/emprical_research/Leadership_of_Stability_and_Leadership_of_volatility_Transactional_and_Transformational_Leaderships_Compared.shtml.
Hoerr, T. (2007). Affirming Diversity. *Educational Leadership*(March), 87-88.
Holmes, J. (1995). *An Introduction to Sociolinguistics*. Burnt Mill, Harlow, Essex: Longman Group Limited.
Howard, G. (2007). As Diversity Grows, So Must We. *Educational Leadership*(March), 16-22.
Hoyle, J. (2006). Why is School Leadership Preparation so Complex, Retrieved from the Connexions Web site [Electronic Version] from http://www.cnx.org/content/m13828/latest/.
Hutton, J. (1998 (rev ed.)). "A Ready and Quick Method": The Alienation of Māori Land by Sales to the Crown and Private Individuals, 1905-1930 in Donald Loveridge (ed), Twentieth Century Māori land Administration Research Programme', a report for the Crown Forestry Rental Trust.
Johnston, P. M. G. (1998). *He Ao Rerekē: Education Policy and Māori*
Underachievement - Mechanisms of Power and Difference. University of Auckland, Auckland.
Judge, T. A. & Piccolo, R.F. (2004). Transformational and Transactional Leadership: A Meta-Analytic Test of their Relative Validity *Journal of Applied Psychology*, 89(5), 755-768.
Kellerman, B. M., L. (Eds.). (2000). *Cutting Edge: Leadership 2000*. College Park: James MacGregor Burns Academy of Leadership.
Kennedy, J. C. (2000). *Leadership and Culture in New Zealand*. Christchurch: Lincoln University.
Kezar, A., Carducci, R., & Contreras-McGavin, M. (2006). *Rethinking the "I" Word in Higher Education: The Revolution of Research on Leadership*. ASHE Higher Education Report, 31(6). San Francisco: Jossey-Bass.
Kilpatrick, S. Johns, S. & Mulford, B. (2003). *Maturing School-Community Partnerships: Developing Learning Communities in Rural Australia, Discussion Paper*. Launceston: University of Tasmania.
Lambert, L. (2005). Leadership for Lasting Reform. *Educational Leadership*(February), 62-65.
Leithwood, K., & Riehl, C. (2003). *What We Know about Successful School Leadership*. Philadelphia, PA: Laboratory for Student Success, Temple University.
Leithwood, K., Seashore-Louis, K., Anderson, S. & Wahlstrom, K. . (2004). *How Leadership Influences Student Learning*. New York: Wallace Foundation.
Leithwood, K., Day, C., Sammons, P., Harris, A., & Hopkins, D. (2006). *Seven Strong Claims About Successful School Leadership*. Nottingham, England: National College of School Leadership.
Liebman, H., Maldonado, N., Lacey, C.H., Thompson, S. (Nov. 2005). *An Investigation of Leadership in a Professional Learning Community: A Case Study of a Large, Suburban, Public Middle School*. Paper presented at the Paper presented at the Annual Meeting of the Florida Educational Research Association, Miami, FL.
Loom, K. School, Family and Community Partnerships. Retrieved 24 September 2007, from http://knowledgeloom.org/practices3.jsp?location=1&bpinterid=1051&spotlightid=1051
Macfarlane, A., Glynn, T., Cavanagh, T. Bateman, S. (2006). *Creating Culturally Safe Schools for Māori Students*. Paper presented at the PPTA National Māori Teachers Conference.
MacNeill, N., Cavanagh, R., & Silcox, S. (January 2005). Pedagogic Leadership: Refocusing on Learning and Teaching. *International Electronic Journal for Leadership in Learning*, 9(2).
MacNeill N. & Silcox, S. (2006). Distributed Leadership: All Hands on Deck. *The Australian Educational Leader*, 1.
Māori Law Review. (1999). Wānanga Capital Establishment Report. Retrieved 18 June 2007, from http://www.bennion.co.nz/mlr/1999/apr.html
Martin, J. N., & Nakayama, T. K. (2004). *Intercultural Communication in Contexts* (3rd ed.). New York, NY: McGraw-Hill.
Marzano, R., Walters, T & McNulty, B. (2005). *School Leadership that Works*. Alexandria, VA: Association for Supervision and Curriculum Development.
Matamua, R. (2006). Te Reo Pāho: Māori Radio and Language Revitalisation. Palmerston North: Massey University.
Mātauranga, N. H. (2004). *Annual report on Māori Education*. Wellington, New Zealand: Ministry of Education.
McKinley, S. (2000). *Māori Parents and Education Ko Ngā Mātua Māori me te Mātauranga*. Wellington: New Zealand Council for Educational Research.
McLintock, A. H. (Ed.) (1996, updated 2006) *Te Ara - The Encyclopedia of New Zealand*.
Mead, H. (2003). *Tikanga Māori: Living by Māori Values*. Wellington: Huia Publishers.
Metge, J. (1995). *New Growth from Old: The Whānau in the Modern World*. Wellington: Victoria University Press.
Metge, J. (2001). *Korero Tahi: Talking Together*. Auckland: Auckland University Press with Te Matahauariki Institute.
Millar, P., & Kilpatrick, S. (2004). *How Community Development Programs can Foster Re-engagement with Learning in Disadvantaged Communities: Leadership as a Process*. Launceston: University of Tasmania.
Ministry of Education. (1999). *Consultation and Engagement with Māori: Guidelines for the Ministry of Education*. Wellington: Ministry of Education.
Ministry of Education. (2000). *Better Relationships for Better Learning*. Wellington: Learning Media.
Ministry of Education. (2005). *Ngā Haeata Mātauranga - The Annual Report*
on Māori Education, 2004. Wellington: Ministry of Education.
Ministry of Education. (2006). Te Kauhua Contract, 2006. Wellington: Ministry of Education.
Ministry of Education. (2007a). The New Zealand Curriculum. Wellington: Learning Media.
Ministry of Education. (2007b). Ngā Haeata Mātauranga - The Annual Report on Māori Education, 2006/07. Wellington: Ministry of Education.
Ministry of Education. (2007c). Kiwi Leadership for Principals - Draft-Version 2 (18/06/07). Wellington: Ministry of Education.
Ministry of Education. (2007d). Statement of Intent 2007-2012. Wellington: Ministry of Education.
Ministry of Education. (2007e). Ka Hihitia-Managing For Success: The Draft Māori Education Strategy 2008-2012. Wellington: Ministry of Education.
Ministry of Education. (2007f). Te Tere Auraki - Māori in Mainstream - Te Kauhua [Electronic Version]. Retrieved 7 April, 2007 from http://www.minedu.govt.nz/index.cfm?layout=document&documentid=8992&data=l.
Ministry of Justice. (2001). Youth Offending Strategy. from http:"22.214.171.124/search?q=cache:wAFBZ2SmZr0J:www.justice.govt.nz/pubs/reports/2001/māori_perspectives/part_3.html+kanohi+kitea&hl=en&ct=clnk&cd=5&gl=nz
Moller, J. (2005). Framing Successful School Leadership as a Moral and Democratic Enterprise. Education Research and Perspectives, 32(2).
Moran, D. (2006). The Impact of 'Servant Leadership' in Schools. Principal Matters(February), 17-19.
Mulford, B. & Johns, S. (2004). A Preliminary Model of Successful School Leadership. Paper presented at the AARE. Retrieved 07/2007.
Muller, C. (1998). Gender Differences in Parental Involvement and Adolescent' Mathematics Achievement. Sociology of Education, 71, 336-356.
Murphy, J., Elliott, S., Goldring, E. & Porter, A. (2007). Leadership for Learning: A Research-based Model and Taxonomy of Behaviors. School Leadership and Management, 27(2), 179-201.
Nash, R. (2004). The Expectation of Social Differences in Reading Attainment: an inspection of the PIRLS New Zealand data. Waikato Journal of Education(10), 283-297.
National College for School Leadership. (2003). Distributed Leadership.
Nottingham: National College for School Leadership.
National College for School Leadership. (2006). *Working Together: Helping Community Leadership Work in Practice*. Nottingham: National College for School Leadership.
Neuliep, J. W. (2003). *Intercultural Communication: A Contextual Approach* (2nd ed.). Boston, MA: Houghton Mifflin Company.
Ng, S. H. & Bradac, J. J. (1993). *Power in Language: Verbal Communication and Social Influence* (Vol. 3). Newbury Park, CA: Sage Publications, Inc.
Ngata, H.M. (1996). English-Māori Dictionary. Wellington: Learning Media.
Nguni, S., Sleegers, P. & Denessen, E. (June 2006). Leadership Effects on Teachers' Job Satisfaction, Organizational Commitment, and Organizational Citizenship Behavior in Primary Schools: The Tanzanian Case. *School Effectiveness and School Improvement*, 14(2), 145-177.
O'Connor, C. (2006). Distributed Leadership is Sensible Leadership. *Education Review*, 16(3), 10-11.
OECD. (May 2007). *New Zealand Report on Improving School Leadership*.
Otero, G., & West-Burnham, J. Educational Leadership and Social Capital [Electronic Version]. Retrieved 30 April, 2007 from http://edlinked.soe.waikato.ac.nz/users/jan/ELC/reading.pdf.
Parhar, A. (2006). Broadening our Conceptualization of Parental Involvement: Ethnic Minority Parental Participation as Democratic, Educational Practice [Electronic Version] from slc.educ.ubc.ca/eJournal/Issue3/Parhar.pdf
Pfeifer, D. M. (2005). *Leadership in Aotearoa New Zealand: Māori Pākehā Perceptions of Outstanding Leadership*. Unpublished Business Management, Massey, Wellington.
Piaget, J. (1968). *On the development of memory and identity. Translated by Eleanor Duckworth*. Worcester, Mass: Clark University Press.
Pihama, L. (2001). *Tihei Mauri Ora: Honouring our Voices: Mana Wahine as a Kaupapa Māori Theoretical Framework*. School of Education. The University of Auckland, Auckland.
Pihama, L. & Penehira, M. (2005). *Building Baseline Data on Māori, Whānau Development and Māori Realising their Potential. Literature Review: Facilitating Engagement*. Auckland: Auckland UniServices Ltd, University of Auckland.
Pihama, L., Smith, K., Taki, M. & Lee, J. (2004). *A Literature Review on*
Kaupapa Māori and Māori Education Pedagogy. Auckland: Research Unit for Māori Education, The University of Auckland.
Pleet, A. (2000). Building Parent Partnerships: Parent Partnership. *The National Alliance for Youth with Disabilities* (June 2000), 2-3.
Ritchie, J. & Lewis, J. (2003). *Qualitative Research Practice*. London: Sage Publications.
Rokx, H. (1998). *Atawhaingia te Pā Harakeke*. Paper presented at the Twelfth International Congress on Child Abuse and Neglect. from http://www.ecd.govt.nz/pdf_files/Atawhaingia.pdf.
Rowley, J. (2004). Researching People and Organisations: Research Paper. *Library Manager* 25 (4/5).
Sadler, P. (2003). *Leadership* (2nd ed.). London: Kogan Page Ltd.
Saville-Troike, M. (1995). *The Ethnography of Communication: An Introduction* (2nd ed.). Oxford: Blackwell Publishers, Inc.
Schein, E. H. (1992). *Organizational Culture and Leadership* (2nd ed.). San Francisco, CA: Jossey-Bass, Inc.
Sergiovanni, T. J. (2001). *Leadership for quality schooling: New Understandings and Practices*, paper prepared for the Southwestern Bell Conference, “Restructuring Schooling for Quality Education: A New Reform Agenda”. Trinity University, Texas, 18-21 August.
Sergiovanni, T. J. (2001). *Leadership: What's in it for schools?* London: RoutledgeFalmer.
Sergiovanni, T. J. (2005a). *Strengthening the Heartbeat: Leading and Learning Together in Schools* (1st ed.). San Francisco, CA: Jossey-Bass.
Sergiovanni, T. J. (2005b). The Virtues of Leadership. *The Educational Forum*, 69 (Winter), 112-123.
Sergiovanni, T. J. (2007). *Rethinking Leadership: a collection of Articles* (2nd ed.). Thousand Oaks, CA: Corwin Press.
Sheets, R. H. (2005). *Diversity Pedagogy; Examining the Role of Culture in the Teaching-Learning Process*. Boston: Allyn & Bacon.
Shortland-Nuku, C. (2000). *A Conceptual Framework for the Māori Mainstream Te Kauhia Pilot*. A discussion document prepared for the Ministry of Education.
Silins, H. & Mulford, B. (2002). Leadership and School results. In K. Leithwood, P. Hallinger, K. Seashore-Louis, G Furman-Brown, P. Gronn, W. Mulford and K. Riley (eds) *Second International Handbook of Educational Leadership and Administration*: Dordrecht: Kluwer.
Simon, J. (1990). *European Style Schooling for Māori: First Century,*
Smith, G. H. (1990). Taha Māori: Pākehā Capture. In J. Codd, R. Harker & R. Nash (Eds.), *Political Issues in New Zealand Education* (2nd ed., pp. 183-198). Palmerston North: Dunmore Press.
Smith, G.H. (1991). *Tomorrow’s Schools and the Development of Māori Education*. Auckland, research Unit for Māori Education.
Smith, G.H. (1997). *The Development of Kaupapa Māori: Theory and Praxis*. Department of Education. The University of Auckland, Auckland.
Smith, G. H. (2003a). *Kaupapa Māori Theory: Theorizing Indigenous Transformation of Education and Schooling*. Paper presented at the NZARE/AARE Joint Conference.
Smith, G. H. (2003b). *Indigenous Struggle for the Transformation of Education and Schooling*. Paper presented at the Alaskan Federation of Natives (AFN) Convention. Retrieved 4 July, 2007, from http://www.ankn.uaf.edu/Curriculum/Articles/GrahamSmith/.
Smith, L. T. (1986). Seeing Through the Magic: Māori Strategies of Resistance. *Delta*, 37, 7.
Smith, L. T. (1999). *Decolonising Methodologies - Research and Indigenous Peoples*. Dunedin: University of Otago Press.
Smith, L. T. & Smith, G.H. (1993). Traditional Māori Education, Unpublished Paper. Research Unit for Māori Education, The University of Auckland.
Smith, L., Snow, D. & Simon, J. I Ngā Rā i Mua: Educational Discourses of Colonisation in Nineteenth Century Aotearoa [Electronic Version] from http://www.ecd.govt.nz/pdf_files/Atawhaingia.pdf.
Smyth, J. (1989). *Critical Perspectives on Educational Leadership*. Barcombe, Lewes, East Sussex: The Falmer Press.
Southworth, G. (2002). What is Important in Educational Administration: Learning-centred School Leadership. *New Zealand Journal of Educational Leadership*, 17, 5-19.
Southworth, G. (2004). *Primary School Leadership in Context*. London: Routledge Falmer.
Spears, L. C. E. (1998). *Insights on Leadeshop: Service, Stewardship, Spirit and Servant Leadership*. New York: John Wiley & Sons.
Spillane, J., Halverson, R. & Diamond, H.B. (2001). Investigating School Leadership Practice: A Distributed Perspective. *Educational Researcher*, 30(3), 23-28.
Statistics New Zealand. (2007). Census 2006.
Steinbergm L, Brown, B. & Dornbusch, S. (1996). *Classroom: Why School Reform has Failed and What Parents Need to Do*. New York: Simon & Schuster.
Stipek, D. (2006). Relationships Matter. *Educational Leadership* (September), 46-49.
Tahuri, B. (2007). *Key Findings of a Literature Review: Effective Engagement of Māori Families, Whānau and Māori communities in Mainstream Education*. Paper presented at the NZARE.
Te Ara - An Encyclopaedia of New Zealand (Ed.) (1966) Te Ara - An Encyclopaedia of New Zealand.
Te Pou Taki Korero Learning Media. (2003). Māori-medium Education. *Education Now*, June(2).
Te Puni Kokiri. (1993). *The Benefits of Kura Kaupapa Māori*. Wellington: Te Puni Kokiri.
Tellis, W. (July, 1997). Introduction to Case Study [Electronic Version]. *The Qualitative Report*, 3 from http://www.nova.edu/ssss/QR/QR3-2/tellis1.html).
Thew, L. (2002). Clarifying Leadership: The Role of the Primary School Principal as an Educational Leaders. Occasional papers. Wellington: NZEI Te Riu Roa.
Timperley, H. & Robinson, V. (2002). Partnerships: Accomplishing Important Work Together. *Set: Research Information for Teachers*(3), 41-43.
Ting-Toomey, S. & Chung, L. C. (2005). *Understanding Intercultural Communication*. Los Angeles, CA: Roxbury Publishing Company.
Tuuta, M., Bradnam, L., Hynds, A., Higgins, J., Broughton, R. (2004). *Evaluation of the Te Kauhua Māori Mainstream Pilot Project Report to the Ministry of Education*. Wellington: Ministry of Education.
Valdez, A. (1999). *Learning in Living Color: Using Literarture to Incorporate Multicultural Education into the Primary Curriculum*. Boston: Allyn and Bacon.
Valdez Perez, A. (1999). *How to Turn a School Around; What Principals can do*. Thousand Oaks, California: Corwin Press.
Villegas, M. & Lucas, T. (2007). The Culturally Responsive Teacher. *Educational Leadership* (March), 28-33.
Waitangi Tribunal. (1999). *The Wānanga Capital Establishment Report 1999 Wai 718*.
Walker, A., Dimmock, C., Stevenson, H., Bignold, B., Shah, S., Middlewood, D. (2002). *Effective Leadership in Multi-Ethnic Schools*. Nottingham:
Walker, A. (2004). *Priorities, strategies and challenges: Proactive leadership in multi-ethnic schools*. Nottingham: National College for School Leadership.
Weber, M. (1947). *The Theory of Social and Economic Organization. Translated by A.M. Henderson & Talcott Parsons. Edited with an Introduction by Talcott Parsons*. New York: The Free Press of Glencoe.
West, M., Ainscow, M., Notman, H. (2003). *What Leaders Read 2: Key Texts from Education and Beyond*. Nottingham: National College for School Leadership.
West-Burnham, J. Interpersonal Leadership [Electronic Version] from http://www.ncsl.org.uk/mediastore/jwb-interpersonal-leadership.pdf.
West-Burnham, J. (2003). *Learning to Lead. In B. Davies & J. West-Burnham (Eds.).* London: Pearson Education.
Williams, H. W. (1997). *Dictionary of the Māori Language* (7th ed.). Wellington: GP Publications.
Williams, K., Epstein, J., Sheldon, S. (2007). *Summary 2006 Update Data from Districts in NNPS*. Baltimore, MD: Johns Hopkins University.
Yin, R. (2003). *Case Study Research Design and Methods*. Thousand Oaks, California: SAGE Publications.
Yukl, G. A. (1998). *Leadership in Organisational*. Englewood Cliffs, NJ: Prentice-Hall.
|
<urn:uuid:13b37aea-ac0f-4620-9331-38133103d461>
|
CC-MAIN-2019-18
|
https://mro.massey.ac.nz/bitstream/handle/10179/10306/02_whole.pdf?sequence=2&isAllowed=y
|
2019-04-22T10:26:10Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-18/segments/1555578551739.43/warc/CC-MAIN-20190422095521-20190422121521-00159.warc.gz
| 500,600,407
| 55,987
|
eng_Latn
|
eng_Latn
| 0.885646
|
eng_Latn
| 0.995741
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"por_Latn",
"unknown",
"eng_Latn",
"pol_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"mri_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"por_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"dag_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
245,
526,
2417,
3042,
4749,
7561,
8318,
8847,
9447,
10091,
11911,
13632,
15705,
17635,
20115,
22830,
25338,
27022,
29166,
31173,
31926,
33667,
35886,
37910,
40019,
41972,
44151,
45527,
47290,
49762,
52032,
54413,
56819,
59204,
61461,
63481,
65924,
68186,
70543,
72810,
75034,
75699,
77619,
79336,
80588,
82528,
84512,
86675,
88454,
90586,
92400,
94091,
95527,
97570,
98362,
99645,
102135,
104442,
106341,
108849,
110359,
111482,
113436,
115523,
118212,
120556,
122669,
124812,
127052,
128942,
131003,
133283,
135552,
137833,
139476,
141407,
143609,
146307,
148411,
150530,
152237,
152634,
154350,
156486,
158490,
160375,
161906,
163868,
165623,
167762,
168456,
170583,
173082,
175060,
177244,
179438,
181612,
184082,
186083,
187980,
190268,
192270,
194508,
196994,
199599,
200365,
201287,
203133,
203235,
205970,
206943,
208021,
208678,
208729,
210345,
212020,
213482,
214130,
215376,
217077,
219209,
219500,
221201,
223078,
223451,
225150,
227329,
227849,
228455,
229124,
229942,
230981,
231847,
234020,
236152,
238178,
240415,
242576,
244819,
247107,
249262,
251430,
253459,
255584,
257798,
260093,
262245,
264359,
265559
] |
Serving Tweens, Teens & Young Adults with Developmental Disabilities A Program of PSL 28 Foden Rd. South Portland, ME 04106
Phone: 207-774-6278
Fax: 207-774-7695
Email: [email protected]
http://www.pslstrive.org
TOPS Program
Transition Outcomes Program for Students
STRIVE is pleased to present this program description to interested area school districts by offering services to students in their 13 th and 14 th year of public school. With over 15 years of experience in offering high quality programming for youth and young adults with disabilities and, specifically, over 10 years of providing postsecondary educational options for young adults, we are confident that we have developed and delivered an exemplary service to assist the young adults in participating school districts to gain skills in independent living, have experiences with accessing the community, and offer social and wellness opportunities.
Agency Background:
STRIVE's mission is to assist tweens, teens, and young adults with intellectual disabilities in utilizing resources within their communities so they can participate as viable members of the community. STRIVE provides social, educational, employment training, and post-secondary programs, all designed to provide maximum independence and opportunity.
In 1999, STRIVE was formed to provide recreational and social opportunities for teens and young adults with intellectual disabilities, with a focus on creating peer support and ownership of programming activities. Through the years, STRIVE has expanded its programs and offerings by responding to family and community needs. Currently STRIVE offers nine different programs, serving over 900 young people and continues to identify ways in which it can expand its program offerings.
The current offerings for STRIVE include the following:
-Weekly Friday Night Social Events - Our first program, weekly social events attended by 100+ young people ages 15-25 every Friday night. Focused on building social networks, as well as providing skill building and more independence. Also allows for respite opportunities for parents.
-Weekly Friday Afternoon Tween Socials - Opportunity for 11-14 year olds with developmental disabilities to add skills and build social connections.
-Wednesday Night Educational Series - Educational courses provided in 8-12 week sessions on topics designed for our participants aged 15-25 to be successful in the community. Courses not typically taught to special education students in schools. Examples include cooking and menu planning.
-After-School Program - for high school students that are enrolled in Life Skills classes. The program is open daily after school, during early release days, and during conferences and finals.
-Summer/Vacation Day Camp - Camp STRIVE provides campers the opportunity to make friends and learn valuable skills in a safe, inclusive, environment. This program runs during all school vacations, as well as the entire summer.
-Next STEP - STRIVE's Transitional Education Program, was created to meet the unmet needs of young adults who have graduated or aged out of high school, and are on the State of Maine waiting list to receive services. This private pay program provides an opportunity for lifelong learning, education, and social, recreational and wellness activities. This is the only program of its kind in Maine, directly responding to the needs of families on the waiting list for services.
-STRIVE Bayside - This is a day program focused on teaching independent living skills. We have rented a 3 bedroom apartment which we use as a learning lab to teach all skills needed to gain independence. Participants all participate in career development courses and volunteer to gain employment skills.
-STRIVE U - STRIVE U provides post-secondary education and training to young adults with developmental disabilities in the realms of residential, employment, and community skills with the goal of enabling its graduates to live and work as full community members with maximum independence, productivity, and dignity. -Home Supports - Support staff work with young people in their home or apartment to provide improved care
and health and safety.
STRIVE and its parent agency, PSL Services, is based on the belief of responding to youth and adults with intellectual disabilities who need our assistance. Created in 1989, PSL quickly established a reputation for providing remarkable services to our state's most vulnerable residents, often leading the way in the methods in which services are delivered in our state.
STRIVE purchased its current building at 28 Foden Road in South Portland in November of 2014 and completed its renovations in the spring of 2016 which allows for significantly more program space thus positioning the organization well as a home base for this program. This building, which has been STRIVE's headquarters for twelve years, serves as both administrative and program space and is also conveniently located on a bus line for ease in access to the greater Portland community. Additionally, the recent building updates include state-of-the art technology in order for our participants to take full advantage of the many resources that can be utilized through technology to support independent living.
TOPS Program Design:
STRIVE offers a community-based program that meets the needs of the participating students and districts. STRIVE is able to be flexible in the amount of time students will attend, ranging from ½ day per week to a full school day and week for students (full day is 8:00-1:30 Monday - Friday). Additionally, STRIVE has several programs that are held during the evening and we are able to couple this program with either or both our Wednesday evening educational classes which operates from 6:00-8:00 p.m. or our Friday night social which operates from 6:00-9:00 p.m. STRIVE offers to families a private pay option for their student to stay at STRIVE with programming for either of these opportunities from the time that the p.m. session ends until when the STRIVE activity begins (roughly 2:00-6:00).
The TOPS curriculum for our collaborative program with school districts utilizes elements from our well established post-secondary curriculum which emphasizes independent living skill development, community access, employment preparation, volunteering, and leisure and wellness. The program offers both a classroom and community-based component with the classroom element being strongly tied to what the students experience while in the community. For example, the students may have a goal of accessing Portland's public transportation system, the Metro. The classroom time for this lesson is spent researching the public bus system and how to access it with the ultimate goal of putting that knowledge into practice by budgeting the money
necessary to ride the bus, determining the time and location to get on and off the bus and actually taking the bus to and from a pre-determined location.
Other relevant curriculum topics to incorporate include: money management, personal and emotional health, safety, household responsibilities, decision making, nutrition and advocacy. All of the curriculum topics are strongly linked to the experiences that the students have while out in the community as well as the goals within their Individual Education Plan. The curriculum has been developed by STRIVE and approved by those school districts that participated in the first year of the program.
Students are recommended for the TOPS program through the IEP process after a potential student has visited the program and an informal assessment has occurred. The overarching goal for students is to prepare them to be successful in an adult program once they have concluded their public education. Adult programming is typically a 1:3 staff to student ratio.
Program Outcomes:
- Participating students will be provided experiences with community access such as utilizing public transportation and community navigational skills in greater Portland.
- Participating students will expand their social interactions in new environments.
- Participating students will have related educational opportunities in order to expand their life skills to assist them in becoming as independent as possible.
- Participating students will be provided with opportunities to interact with other peers and professionals across district lines.
- Participating students will have an opportunity to gain new skills as well as generalize the skills they have acquired during their high school career to new people and situations.
- The program will provide a more seamless transition into the opportunities and support offered through adult services.
Staffing:
Those who staff the program will be PSL employees. There is one certified special education teacher who serves as the lead teacher and at least one Ed Tech III. Additional support staff will be hired as necessary. The lead teacher is hired upon signed contracts that ensure adequate student participation in order to sustain the program. Each district determines if additional staff support is needed for each student and provides it, if necessary, with the goal of fading school staff support for students in order to more accurately reflect what is typically available through adult services. Additionally, any related services (OT, PT, etc.) that are required for students will be provided by individual school districts.
Transportation:
Transportation to and from the proposed program is the responsibility of the participating school districts. Transportation during the program is arranged by PSL/STRIVE using public transportation whenever possible.
Program Oversight and Management:
Each participating school district will develop a contract with STRIVE that will identify the number of students and frequency of attendance (1/2 day, full day, number of times per week) in the program for the school year. Each school district will identify an administrator who will act as the key contact person for STRIVE. Betsy Morrison, Program Director for STRIVE, will serve as the PSL/STRIVE administrator for the program.
PSL/STRIVE hires and supervise the staff. PSL/STRIVE provides oversight for the program to ensure that the program meets the criteria set forth in the contracts developed with each school district. PSL provides financial management of the program and provides each participating school district with a monthly invoice for services delivered or as agreed upon in the contract.
Budget:
The budget is based on a combination of full and part-time students and includes one full-time, certified special education teacher and one full-time support staff. The budget has been developed based on the attendance of minimally 2 students participating for a full day 5 days a week and 11 students participating at least ½ day each for 5 days per week. Based on the aforementioned student participation level, the rate for half-day participation five days a week would be $7,004 annually, per student, and the full-day rate would be $12,364 annually, per student. STRIVE needs to a firm commitment from schools regarding minimum student participation, as identified through the special education directors for the districts, in order to hire qualified staff and move forward with program implementation.
Staffing will be adjusted depending on the commitment from the participating schools districts regarding the number of students who will attend with the possibility of adjusting the rate if more students participate collectively from the districts. As one of the goals of the program is to decrease the 1:1 support provided by the school district to certain students, the district may realize some cost savings as Ed Tech. staff could be reassigned to other students back at the sending school when the support at the TOPS program is no longer necessary.
Conclusion:
With the expertise and experience that STRIVE offers as well as the proven ability to develop and deliver high quality and nationally recognized programming, PSL/STRIVE is well qualified to work with area school districts to implement a program and services to meet the needs of students who will have been in their 13th or 14th years of public education. Because PSL also offers programs for adults, we have the ability to work with students in helping them to best prepare for whatever their post high school goals might be including postsecondary education, employment or participation in a community support program.
Respectfully submitted:
Betsy Morrison STRIVE Program Director
Peter Brown PSL Associate Director
4
|
<urn:uuid:13c09bf3-05e5-4bd6-89bf-6dd323693f56>
|
CC-MAIN-2018-30
|
http://madsec.org/LinkClick.aspx?fileticket=AsOhqDfzJPU%3D&tabid=90
|
2018-07-19T23:19:14Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-30/segments/1531676591332.73/warc/CC-MAIN-20180719222958-20180720002958-00538.warc.gz
| 218,231,473
| 2,363
|
eng_Latn
|
eng_Latn
| 0.998312
|
eng_Latn
| 0.998668
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2560,
6852,
9710,
12671
] |
01-21-2019 Minutes
McDonald County Commission—Minutes
January 21st, 2019
Present:
Bill Lant - Presiding Commissioner
John Bunch - Eastern Commissioner
David Holloway - Western Commissioner
Kimberly Bell - County Clerk
General Business
Shay Ruth met with the Commission to ask if Slate Gap Road was going to be chip and sealed. Ms. Ruth was told by the Commissioners that the road is not on any schedule for chip and seal.
The meeting with Ken Mata, Morton Building representative will be rescheduled for a future date. Mr. Mata did not show up for the meeting and did not call to cancel the meeting.
Commission met with Sheriff Hall about the high speed of a Sheriff's deputy driving 110 miles per hour on January 20, 2019.
Commission discussed 2019 Budget. Budget hearing is set on January 23rd at 10 a.m.
ADJOURN
Commission will reconvene on January 23rd, 2019
SIGNATURES
John Bunch
Keith Lindquist
David Holloway
Approved Wednesday January 23rd, 2019 Book PP pg. 59
|
<urn:uuid:b0f6b58b-7ba7-41d2-96e2-e368e032274b>
|
CC-MAIN-2021-39
|
https://mcdonaldcountymo.gov/wp-content/uploads/simple-file-list/Notices/2019/01-21-2019-Minutes.pdf
|
2021-09-23T20:20:07+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-39/subset=warc/part-00263-f465d820-0362-4c4c-a396-c69f5fd24cc4.c000.gz.parquet
| 441,514,315
| 242
|
eng_Latn
|
eng_Latn
| 0.995485
|
eng_Latn
| 0.995485
|
[
"eng_Latn"
] | false
|
docling
|
[
980
] |
Mayor Kennedy O'Brien opened the Council Meeting at 7:00 PM followed by a short prayer and salute to the flag.
- STATEMENT OF NOTICE OF PUBLICATION
Municipal Clerk Farbaniec announced that this July 13, 2015 Council Meeting has been advertised and posted in accordance with Open Public Meetings Act Chapter 231, P.L. 1975 by advertising in the Home News Tribune, notifying the Star Ledger and the Sentinel Publishing Co., posting on the bulletin board, and is on file in her office.
- ROLL CALL:
Present:
Councilpersons Buchanan, Kilpatrick, McGill, Melendez, Novak, Rittenhouse
Absent:
None
Others Present:
Kennedy O’Brien, Mayor Daniel E. Frankel, Business Administrator Theresa A. Farbaniec, Municipal Clerk Jay Cornell, P.E., Borough Engineer Michael DuPont, Esq., Borough Attorney
Others Absent: Wayne A. Kronowski, C.F.O./Treasurer
- APPROVAL OF PRIOR MINUTES OF THE MAYOR AND COUNCIL: (None)
Mayor O'Brien announced that the Council will be going into Closed Session.
- EXECUTIVE SESSION
- Time 7:02 PM / 10 minutes / Personnel Contract Negotiations/Litigation.
Mr. DuPont read the following Resolution into record:
RESOLUTION FOR CLOSED SESSION
WHEREAS, Section 8 of the Open Public Meetings Act, Chapter 231, P.L. 1975 permits the exclusion of the public from a meeting in certain circumstances, and
WHEREAS, this public body is of the opinion that such circumstances presently exist;
NOW, THEREFORE, BE IT RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, County of Middlesex, State of New Jersey, as follows:
1. The public portion of this meeting is hereby adjourned in order that the Governing Body may meet in a closed, private session for approximately 10 minutes to discuss the following matters:
Personnel, Contract Negotiations & Litigation.
2. Following the conclusion of said closed session, the Governing body shall reconvene the open portion of this meeting to consider any other matters which may be properly brought before it at this time.
3. The nature and content of discussion which occurs during closed session shall be made public at the time the need for non-disclosure no longer exists.
NOW, THEREFORE BE IT RESOLVED that the public be excluded and this resolution shall take effect immediately.
APPROVED:
/s/ Kennedy O'Brien
Mayor
Councilwoman Novak moved the Executive Session Resolution be adopted on Roll Call Vote. Motion seconded by Councilman McGill.
Roll Call: Voice Vote, all Ayes. Carried. Time: 7:02 PM
- RECONVENE – 7:15 PM
Councilman Buchanan moved to reconvene the meeting. Motion was seconded by Councilwoman Kilpatrick.
Roll Call: Voice Vote, all Ayes.
- OLD BUSINESS
a) Public Hearing on the following Ordinance(s):
The Clerk Read the heading for Ordinance #294-15 for Public Hearing and the Mayor opened the meeting to the public for questions or comments on Ordinance #294-15.
There were no appearances
Councilwoman Kilpatrick moved the Public Hearing be closed and the Ordinance be adopted on second and final reading according to law. Motion seconded by Councilwoman Novak.
Roll Call: Councilpersons Buchanan, Kilpatrick, McGill, Melendez, Novak, Rittenhouse, all Ayes. Carried.
ORDINANCE #294-15
AN ORDINANCE AMENDING CHAPTER II, "ADMINISTRATION", SUBSECTION 2-31, "SHADE TREE COMMISSION" OF THE REVISED GENERAL ORDINANCES OF THE BOROUGH OF SAYREVILLE TO ADD SECTION 6A "PERMIT PROCEDURE" AND 6B "RESPONSIBILITY TO MAINTAIN"
BE IT AND IT IS HEREBY ORDAINED by the Mayor and Borough Council of the Borough of Sayreville, in the county of Middlesex, that the Revised General Ordinances of the Borough of Sayreville are hereby amended as follows:
2-31.6a. Permit Procedure
i. Any person wishing to remove a tree within the public right of way (10 feet inside of edge of pavement or curb) must first obtain the approval of the Shade Tree Commission.
ii. A request must be made by contacting the Department of Public Works Office. The request will be formalized and forwarded to the Shade Tree Commission which will be discussed at the next scheduled meeting of the Commission. Approval/Denial shall be forwarded to the Department of Public Works (after inspection) within fifteen (15) business days following said meeting. If approved, a permit will be issued for the resident to remove the tree at their expense, including stump. If no action is taken by the Shade Tree Commission it shall be viewed as a "Denial". Residents may appeal any denial at the next scheduled meeting of the Shade Tree Commission.
COUNCIL SESSION MINUTES
/s/ Daniel Buchanan, Councilman
iii. It is the responsibility of the Property Owner to maintain "curb trees" or any located within the Borough of Sayreville's right of way.
iv. The Department of Public Works will only be responsible for the permit process for trees located within the Public Right of Way.
2-31.6b. Responsibility of Maintain
i. The Borough of Sayreville retains the right to trim/cut any curb tree branches overhanging the roadway which interferes with normal Municipal Services, i.e.: sanitation collection, snow plowing, etc.
ii. It is the Homeowner's responsibility to maintain said tree branches/trees to allow for normal passage on adjoining sidewalk and walkways.
iii. It shall be the Resident's responsibility to trim and maintain any tree branches overhanging the Resident's property line from trees located on the Borough of Sayreville's property.
BE IT FURTHER ORDAINED by the Mayor and Borough Council of the Borough of Sayreville, in the County of Middlesex, that Chapter 2-31, of the Revised General Ordinances of the Borough of Sayreville, shall also be amended to reflect such change.
All Ordinances or parts of Ordinances inconsistent herewith are hereby repealed and this Ordinance shall take effect immediately upon final passage and publication in accordance with law.
/s/ Victoria Kilpatrick, Councilwoman (Public Works Committee)
ATTEST:
APPROVED:
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien, Mayor
APPROVED AS TO FORM:
/s/ Michael DuPont, Esq.
Borough Attorney
The Clerk Read the heading for Ordinance #295-15 for Public Hearing and the Mayor opened the meeting to the public for questions or comments on Ordinance #295-15.
Those appearing were:
Questioned the need for this Traffic Light in this Ordinance and where White Oaks Drive is.
- Barbara Kilcomons, 22 Schmitt St.
Response made by the Borough Engineer.
Mrs. Kilcomons stated that she is opposed to this traffic light.
No further comments, Councilwoman Novak moved the Public Hearing be closed and the Ordinance be adopted on second and final reading according to law. Motion seconded by Councilman McGill.
Councilwoman Kilpatrick commented that at the last meeting Co. Rittenhouse brought up about the new curb cuts in that area on Main St. where this project is located she stated that no new curb cuts were installed in this area so there would not be any duplicate cost. Councilman Rittenhouse then concurred that this was not one of the areas.
July 13, 2015
Roll Call: Councilpersons Buchanan, Kilpatrick, McGill, Melendez, Novak, Rittenhouse, all Ayes. Carried.
ORDINANCE #295-15
BOND ORDINANCE PROVIDING FOR IMPROVEMENTS TO THE INTERSECTION OF MAIN STREET AND WHITE OAKS DRIVE IN, BY AND FOR THE BOROUGH OF SAYREVILLE, NEW JERSEY, APPROPRIATING $300,000 THEREFOR AND AUTHORIZING THE ISSUANCE OF $285,000 BONDS OR NOTES OF THE BOROUGH FOR FINANCING PART OF SUCH APPROPRIATION
BE IT ORDAINED BY THE BOROUGH COUNCIL OF THE BOROUGH OF SAYREVILLE, IN THE COUNTY OF MIDDLESEX, NEW JERSEY (not less than two-thirds of all the members thereof affirmatively concurring), AS FOLLOWS:
Section 1. The Borough Council of the Borough of Sayreville, New Jersey (the "Borough") has ascertained and hereby determines that it is necessary and desirable to raise money to finance the cost of the improvements described in Section 3 of this bond ordinance, which improvements are hereby authorized to be made or acquired by the Borough. For said improvements or purposes stated in said Section 3, there is hereby appropriated the sum of $300,000, said sum being inclusive of all appropriations heretofore made therefor and including the sum of $15,000 as the down payment for said improvements or purposes required by law and now available therefor by virtue of provisions for down payment or for capital improvement purposes in one or more previously adopted budgets.
Section 2. For the financing of said improvements or purposes and to meet the part of said $300,000 appropriation not provided for by application hereunder of said down payment, negotiable bonds of the Borough are hereby authorized to be issued in the principal amount of $285,000 pursuant to the Local Bond Law, constituting Chapter 2 of Title 40A of the New Jersey Revised Statutes (the "Local Bond Law"). In anticipation of the issuance of said bonds and to temporarily finance said improvements or purposes, negotiable notes of the Borough in the principal amount not exceeding $285,000 are hereby authorized to be issued pursuant to and within the limitations prescribed by the Local Bond Law.
Section 3. (a) The improvements hereby authorized and the purposes for the financing of which said obligations are to be issued are improvements to intersection of Main Street and White Oaks Drive, together with all other work, materials and appurtenances necessary therefor or incidental thereto.
July 13, 2015
(b) The estimated maximum amount of bonds or notes of the Borough to be issued for said purposes is $285,000.
(c) The estimated cost of said purposes is $300,000, the excess thereof over the estimated maximum amount of bonds or notes to be issued therefor being the amount of said $15,000 down payment for said purposes.
Section 4. The following additional matters are hereby determined, declared, recited and stated:
(a) The said purposes described in Section 3 of this bond ordinance are not current expenses and are properties or improvements which the Borough may lawfully acquire or make as general improvements, and no part of the cost thereof has been or shall be specially benefited thereby.
(b) The period of usefulness of said purposes within the limitations of the Local Bond Law, according to the reasonable lives thereof computed from the date of said bonds or notes authorized by this bond ordinance, is 10 years.
(c) The supplemental debt statement required by the Local Bond Law has been duly made and filed in the office of the Borough Clerk and a complete duplicate thereof has been electronically filed in the office of the Director of the Division of Local Government Services in the Department of Community Affairs in the State of New Jersey (the "Division"), and such statement shows that the gross debt of the Borough as defined in the Local Bond Law is increased by the authorization of the bonds and notes provided for in this bond ordinance by $285,000, and the said obligations authorized by this bond ordinance will be within all debt limitations prescribed by the Local Bond Law.
(d) An aggregate amount not exceeding $25,000 for interest on said obligations, costs of issuing said obligations, engineering costs and other items of expense listed in and permitted under Section 40A:2-20 of the Local Bond Law is included in the estimated cost of said improvements.
Section 5. Any funds from time to time received by the Borough as contributions-in-aid of financing the improvements or purposes described in Section 3 of this bond ordinance, including any grants, shall be used for financing said improvements or purposes by application thereof either to direct payment of the cost of said improvements or purposes, or to payment or reduction of the authorization of the obligations of the Borough
July 13, 2015
authorized therefor by this bond ordinance. Any such funds so received may, and all such funds so received which are not required for direct payment of the cost of said improvements or
purposes shall, be held and applied by the Borough as funds applicable only to the payment of obligations of the Borough authorized by this bond ordinance.
Section 6.
The full faith and credit of the Borough are hereby pledged to the punctual payment of the principal of and interest on the said obligations authorized by this
bond ordinance. Said obligations shall be direct and unlimited obligations of the Borough, and the Borough shall be obligated to levy ad valorem taxes upon all of the taxable real property
within the jurisdiction of the Borough for the payment of said obligations and interest thereon without limitation as to rate or amount.
Section 7. The capital budget of the Borough is hereby amended to conform with the provisions of this bond ordinance to the extent of any inconsistency herewith and the resolutions promulgated by the Local Finance Board of the Division showing all detail of the amended capital budget and capital program as approved by the Director of the Division, are on file with the Borough Clerk and are available for public inspection.
Section 8.
The Borough intends to issue bonds or notes to finance the cost of the improvements or purposes described in Section 3 of this bond ordinance. The Borough expects
that the maximum principal amount of bonds or notes which will be issued to finance the cost of the improvements or purposes described in Section 3 of this bond ordinance is $285,000. If
the Borough incurs any such costs prior to the issuance of the bonds or notes, the Borough intends to reimburse itself for such expenditures with the proceeds of the bonds or notes.
Section 9. This bond ordinance shall take effect twenty (20) days after the first publication thereof after final adoption as provided by the Local Bond Law.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
/s/ Theresa A. Farbaniec, RMC
Municipal Clerk
APPROVED AS TO FORM:
/s/ Michael DuPont, Borough Attorney
- NEW BUSINESS:
a) Introduction of the following Ordinance(s):
APPROVED:
/s/ Kennedy O'Brien Mayor
July 13, 2015
ORDINANCE #296-15
AN ORDINANCE TO SUPPLEMENT AND AMEND CHAPTER XIV, "WATER & SEWER", SECTION 16.1 OF THE REVISED GENERAL ORDINANCES OF THE BOROUGH OF SAYREVILLE, 1986, AS SUPPLEMENTED AND AMENDED (Councilman Rittenhouse – Public Hearing, July 27, 2015)
Councilman Rittenhouse asked that this ordinance be moved for introduction at the July 27, 2015 meeting. He said that he wanted to have a meeting with the committee, however Co. Buchanan and Melendez were not available. He is looking for their input in this ordinance before introduction.
Mayor asked if there were any objections.
None Made.
Councilman Rittenhouse then asked with the councils' permission to have the Water and Sewer Director come to the podium and give an overview of the Water and Sewer Department.
Councilwoman Novak asked that it wait until the Agenda Session.
All agreed.
CONSENT AGENDA/RESOLUTIONS
Mayor O'Brien opened the meeting to the public for questions or comments on the consent agenda items.
Those appearing were:
- Barbara Kilcomons, 22 Schmitt Street
Questioned Resolutions 2015-198; 199; 202; 203.
Commented that all of these resolutions are for the purchase of equipment which is not necessary and is excessive spending.
Mayor asked the Director of Public Works, Bernie Bailey to come up and explain the equipment purchases.
- Mr. Bailey said that the only piece of equipment that was for his department that being the piece of equipment in Reso #2015-198 the Bobcat Skidsteer. He explained the usefulness of this multiuse equipment and that it is replacing a unit that is 19 years old.
Councilman Rittenhouse questioned two other pieces of equipment that were authorized for on tonight's consent agenda resolutions and are not listed.
Mr. Frankel responded that due to advertising and timing it did not make it on this agenda but they will be on the next. Mr. Rittenhouse requested Mr. Bailey to explain those two pieces of equipment tonight so that he would not have to come out to next meeting. Mr. Bailey addressed the need for the Trackless Tractor and asked the representative from US Municipal Supply to explain the piece and all of the needs it would serve.
-
Ed Strek, Nickel Avenue
Commented that at the last council meeting he questioned what the equipment was and the cost and it seems that the council did not have a response.
Councilwoman Kilpatrick stated that she deferred to the Business Admin. because one of the trackless was in for repair.
Mr. Strek suggested the sales representative come in prior to approving the purchase.
Councilman Rittenhouse then asked Mr. Bailey to address the automated garbage truck. Mr. Bailey responded to the need.
Councilman Buchanan stated that Mr. Bailey already went through the equipment needs assessment during the budget workshop meetings.
July 13, 2015
- Barbara Kilcomons, 22 Schmitt Street
Questioned if there were any other communities in Middlesex County that purchase and use trackless tractors.
Response made by sales representative (inaudible).
Mayor asked Bob Smith, Water & Sewer Director to come up and explain the needs for the equipment listed for his department (resolutions 202 & 203)
Bob Smith, Director of Water and Sewer explained the need for the equipment listed.
- Ed Strek, Nickel Avenue
Reminded everyone about the water & sewer equipment replaced due to Hurricane Sandy. Mr. Frankel stated that Mr. Smith was not here during Hurricane Sandy and he is describing his needs now and past purchases that were made
No further questions or public comments.
Council President McGill made a motion to close the public portion and adopt the Consent Agenda Resolutions on Roll Call Vote. Motion was seconded by Councilwoman Novak.
Council Comments:
Councilwoman Kilpatrick commented that the trackless tractor was a cost efficient piece of equipment. And that the DPW's budget has actually decreased from 2005 to now as well as the manpower, while other departments increased in budget. All while development has increased. She thanked Mr. Bailey for coming tonight and explaining every piece of equipment.
Councilman Melendez thanked Councilwoman Kilpatrick for her comments as well as the comments made by Mrs. Kilcomons and Strek.
Councilwoman Novak pointed out that the council did cut the budget from the time they first met during the budget workshops. She commented that where other times for discussion, when the bond ordinances were introduced and at the public hearing. She also commented on how we were the pacesetters in Middlesex County for the automated garbage trucks and manpower is the most expensive part of doing business in any town or business and if equipment can reduce manpower and injuries to our employees it is well worth the cost.
Councilman Rittenhouse stated that no one had questions during the budget workshop process but felt it was important then when there are three items totaling over $500,000. He felt it was necessary to explain to the public what the items are and the explanation for the need. He thanked Mr. Bailey for bringing in the vendor.
Roll Call on Consent Agenda Resolutions:
Councilpersons Buchanan- Ayes,
Kilpatrick - Ayes (with comment above),
McGill - Ayes, Melendez - Ayes (with comment above),
Novak - Ayes (with comment above),
Rittenhouse Ayes - (with comment above) and abstained on
Invoice #B1690610015 - Resolution #2015-193.
RESOLUTION #2015-193
WHEREAS, all bills submitted to the Borough of Sayreville covering services, work, labor and material furnished the Borough of Sayreville have been duly audited by the appropriate committee;
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED:
That all bills properly verified according to law and properly audited by the appropriate committees be and the same are hereby ordered to be paid by the appropriate Borough officials.
/s/ Kennedy O'Brien
Kennedy O'Brien, Mayor
/s/ Daniel Buchanan
/s/ Ricci Melendez
Councilman Daniel Buchanan
Councilman Ricci Melendez
/s/ Victoria Kilpatrick
/s/ Mary J. Novak
Councilwoman Victoria Kilpatrick Councilwoman Mary J. Novak
/s/ David McGill
/s/ Arthur Rittenhouse
Councilman David McGill
Councilman Arthur Rittenhouse
Bill list of July 13, 2015 in the amount of $4,728,135.53 in a separate Bill List File for 2015 (See Appendix Bill List 2015-A for this date).
RESOLUTION #2015-194
A RESOLUTION OF THE BOROUGH OF SAYREVILLE IN THE COUNTY OF MIDDLESEX, STATE OF NEW JERSEY, AUTHORIZING THE EXECUTION OF AN ACCESS AGREEMENT BETWEEN THE BOROUGH OF SAYREVILLE AND ECOLSCIENCES, INC.
WHEREAS, the Borough of Sayreville owns property located at 340 Ernston Road, Block 446, Lot 2, in the Borough of Sayreville; and
WHEREAS, the Sayreville Housing for Seniors Corporation is seeking possible sites for the construction of housing and the property located at 340 Ernston Road, Block 446, Lot 2, is a possible site for the construction of the housing; and
WHEREAS, the Borough of Sayreville has contracted with EcolSciences, Inc. to conduct a site inspection of the above named property and has prepared an Access Agreement between the Borough of Sayreville and EcolSciences, Inc. which will allow access to the site to perform the contracted work; and
THEREFORE, BE IT AND IT IS HEREBY RESOLVED that the proper Borough Officials and the Borough Administrator are authorized and directed to execute the Access Agreement between the parties.
/s/ Mary J. Novak, Councilwoman (Admin. & Executive Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O’Brien Mayor
RESOLUTION #2015-195
BE IT RESOLVED that the proper Borough officials are hereby authorized to purchase, through State Contract #T2007/A83011, Three (3) 2015 Jeep Patriots for the Borough of Sayreville, Construction/Code Enforcement office, from Hertrich Fleet Services, Inc., 1427 Bay Road, Milford, DE 19963, at a total cost not to exceed $19,211.50 each.
/s/ Daniel Buchanan Daniel Buchanan, Councilman (Planning & Zoning Committee)
COUNCIL SESSION MINUTES
July 13, 2015
ATTEST:
COUNCIL SESSION MINUTES
July 13, 2015
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien Kennedy O'Brien Mayor
RESOLUTION #2015-196
BE IT RESOLVED that the following person is hereby appointed to the following title and department as per NJ Civil Service Commission Procedures:
NAME OF APPOINTEE:
Matt Johnson Anthony Sesely Michael Plumacker Richard Poplowski Christopher Owsik
POSITION:
Truck Driver
DEPARTMENT:
Dept. of Public Works
EFFECTIVE:
July 14, 2015
BE IT FURTHER RESOLVED that the compensation to be paid such appointee shall be fixed and determined by the Salary Ordinance or appropriate resolution adopted thereunder fixing the compensation to be paid municipal employees and that this appointment be made subject to all the rules and regulations of the New Jersey Civil Service Commission.
/s/ Victoria Kilpatrick, Councilman (Public Works Committee)
ATTEST:
/s/ Theresa A. Farbaniec
Theresa A. Farbaniec, RMC
Municipal Clerk
BOROUGH OF SAYREVILLE
/s/ Kennedy O'Brien
Kennedy O'Brien
Mayor
RESOLUTION #2015-197
WHEREAS, on June 11, 2015 the Mayor and Council of the Borough of Sayreville, have received bids for "Gasoline & Diesel Fuel" and
WHEREAS, Certification as to Availability of Funds is annexed hereto;
NOW, THEREFORE, BE IT RESOLVED by the Mayor and Council on this 13 th day of July, 2015, that:
1. Contract for "Gasoline & Diesel Fuel" covering the following items be awarded to, Rachles/Michele's Oil Co., 116 Kuller Rd., Clifton, NJ 07011, as appears on copy of bid document attached hereto and made a part hereof:
- Item A) #2 Diesel - Not to exceed $1.9575/gal delivered
- Item B) Winter Blend – Not to exceed $2.0090/gal delivered
- Item C) Regular Gasoline-Not to exceed $2.0115/gal delivered
2. That the term of the contract shall be for a period of three (3) years with Borough options to extend as per NJSA 40A:11-15.
ATTEST:
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
COUNCIL SESSION MINUTES
July 13, 2015
/s/ Victoria Kilpatrick
Councilwoman
(Public Works Committee)
BOROUGH OF SAYREVILLE
/s/ Kennedy O'Brien
Mayor
RESOLUTION #2015-198
A RESOLUTION OF THE BOROUGH OF SAYREVILLE IN THE COUNTY OF MIDDLESEX,
STATE OF NEW JERSEY, AUTHORIZING THE
ONE (1) BOBCAT SKID STEER MACHINE WITH ATTACHMENTS
MAYOR AND BOROUGH CLERK TO PURCHASE
WHEREAS, the Governing Body of the Borough of Sayreville is in need of a Bobcat Skid Steer Machine with attachments;
WHEREAS, the Governing Body of the Borough of Sayreville have determined that the Borough of Sayreville should purchase a new Bobcat Skid Steer Machine with Attachments for its Public Works Department; and
WHEREAS, the Borough of Sayreville is able to purchase a Bobcat Skid Steer Machine with attachments from the Middlesex County Regional Education Services Commission (MRESC) Cooperative Pricing Program, under MCESCCPS #65, Contract #14/15-04 from Central Jersey Bobcat of Freehold; and
THEREFORE, BE IT AND IT IS HEREBY RESOLVED that the proper Borough Officials are authorized and directed to purchase one (1) Bobcat Skid Steer Machine with Attachments, Contract MCESCCPS #65, Contract #14/15-04 in the amount of $101,798.43 for its Public Works Department.
/s/ Victoria Kilpatrick
Councilwoman
(Public Works Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien
Municipal Clerk
Mayor
RESOLUTION #2015-199
WHEREAS, on July 14, 2014 the Borough of Sayreville awarded a contract for "Ninety Five (95) Gallon Universal Waste Container" to Schaefer Systems International Inc., 10021 Westlake Drive, Charlotte, NC 28273; and
WHEREAS, the Borough of Sayreville is desirous of exercising its right to renew the contract for a one (1) additional term at no additional increase in price contained therein; and
WHEREAS, Schaefer Systems International Inc., has indicated their interest in extending their terms of the aforesaid contract for one (1) additional year;
NOW, THEREFORE, BE IT RESOLVED by the Mayor and Council of the Borough of Sayreville that the terms and conditions of the current contract with the above-captioned supplier for "Ninety Five (95) Gallon Universal Waste Containers" is hereby renewed for one additional year period at no additional increase in price.
July 13, 2015
/s/ Victoria Kilpatrick
Councilwoman
(Public Works Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien
Municipal Clerk
Mayor
RESOLUTION #2015-200
BE IT RESOLVED that the following person is hereby appointed to the following title and department as per NJ Civil Service Commission Procedures:
NAME OF APPOINTEE: Linda Costa
POSITION:
Clerk II
DEPARTMENT:
Department of Recreation
EFFECTIVE:
July 14, 2015
BE IT FURTHER RESOLVED that the compensation to be paid such appointee shall be fixed and determined by the Salary Ordinance or appropriate resolution adopted thereunder fixing the compensation to be paid municipal employees and that this appointment be made subject to all the rules and regulations of the New Jersey Civil Service Commission.
/s/ Ricci Melendez, Councilman (Recreation Committee)
ATTEST:
APPROVED:
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien, Mayor
Municipal Clerk
RESOLUTION #2015-201
BE IT RESOLVED that the following person is hereby appointed to the following title and department as per NJ Civil Service Commission Procedures:
NAME OF APPOINTEE: Jeffrey Schnitzer
POSITION:
Clerk III
DEPARTMENT:
Department of Recreation
EFFECTIVE:
July 14, 2015
BE IT FURTHER RESOLVED that the compensation to be paid such appointee shall be fixed and determined by the Salary Ordinance or appropriate resolution adopted thereunder fixing the compensation to be paid municipal employees and that this appointment be made subject to all the rules and regulations of the New Jersey Civil Service Commission.
/s/Ricci Melendez, Councilman (Recreation Committee)
July 13, 2015
ATTEST:
APPROVED:
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
Kennedy O'Brien, Mayor
RESOLUTION #2015-202
BE IT RESOLVED that the proper Borough officials are hereby authorized to purchase, through State Contract #T2007/A83013, One (1) 2016 Ford Explorer for the Borough of Sayreville, Water & Sewer Department, from Beyer Ford, 170 Ridgedale Ave., Morristown, NJ 07960, at a total cost not to exceed $28,760.00.
/s/ Arthur Rittenhouse, Councilman (Water & Sewer Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien
Municipal Clerk
Mayor
RESOLUTION #2015-203
BE IT RESOLVED that the proper Borough officials are hereby authorized to purchase, through State Contract #T2100/A88727, Two (2) 2016 Ford F-250 Utility Body for the Borough of Sayreville, Water & Sewer Department, from Beyer Ford, 170 Ridgedale Ave., Morristown, NJ 07960, at a total cost not to exceed $31,375.00 each.
/s/ Arthur Rittenhouse, Councilman (Water & Sewer Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien
Municipal Clerk
Mayor
RESOLUTION #2015-204
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Plenary Retail Distribution License No. 1219-44- 003-007 Fancy Corner Caterers ; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
1. That Plenary Retail Distribution License No. 1219-44-003-007, Fancy Corner Caterers, located at 508-510, Sayreville, NJ 08872 in the Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien
Municipal Clerk
Mayor
July 13, 2015
RESOLUTION #2015-205
WHEREAS, Marullo 2, LLC is the holder of Plenary Retail Consumption License #1219-33-018-009 in the Borough of Sayreville; and
WHEREAS, the licensee did file a verified petition requesting authorization for the Borough of Sayreville to consider its renewal application for the 2015-2016 license term; and
WHEREAS, on March 18, 2015, Michael I. Halfacre, Director of the State Division of Alcoholic Beverage Control, did make a Special Ruling to permit the filing of a renewal application of an inactive license, pursuant to N.J.S.A. 33:1-12.39, Trans. No. 15015057 for a two-year period, covering the 2014/2015 and 2015/2016 license terms; and
WHEREAS, the said Special Ruling of the Director does authorize the Mayor and Borough Council to consider the application for renewal of the subject license for the 2015/2016 license term and to grant or deny said application in the reasonable exercise of its discretion;
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED that the Mayor and Borough Council do hereby grant the renewal of Plenary Retail Consumption License No. 1219-33-018-009 to the licensee for the 2015/2016 license term, pursuant to special conditions as contained in the Special Ruling issued by the Director of the State Division of Alcoholic Beverage Control issued on July 6, 2012.
BE IT FURTHER RESOLVED THAT the following Special Conditions remain in effect on the license term 2015/2016
(a) That this license has the restriction limiting the purpose of said license for consumption only, and not for the sale of packaged alcoholic beverages.
BE IT FURTHER RESOLVED that this Resolution shall take effect immediately and/or as required by law.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O’Brien Mayor
RESOLUTION #2015-206
RENEW P.R.C.L. #1219-33-045-006,
RESOLUTION OF THE COUNCIL OF THE BOROUGH OF SAYREVILLE TO
PSP PRIDE CORP., T/A LAST CALL
WITH CONDITIONS FOR THE 2015-2016 LICENSE YEAR
WHEREAS, PSP Pride Corporation, t/a Last Call, is the holder of Plenary Retail Consumption License #1219-33-045-006 issued by the Council of the Borough of Sayreville as the Issuing Authority for premises located at 219 Washington Rd., Sayreville, New Jersey (the "Licensed Premises") for license term 2015-2016; and
WHEREAS, the Licensee has made application for the renewal of Plenary Retail Consumption License No. 1219-33-045-006 for the 2015-2016 license term; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.;
BE IT AND IT IS HEREBY RESOLVED that Plenary Retail Consumption License Number 1219-33-045-006, PSP Pride Corp is hereby renewed for the 2015-2016 license year,
July 13, 2015
subject to the following conditions as contained in the Settlement Agreement approved by Resolution #2010-141, adopted on June 28, 2010 and remaining on the license:
- Licensee shall be required to employ at least one individual who is solely responsible for security of the Licensed Premises on Fridays and Saturdays between the hours of 7PM and 2AM or until closing. The Licensee shall require all security staff (except for undercover security staff employed by the Licensee) to wear clothing or uniforms which are highly visible and well marked on the front and rear. This shall include orange shirts with black block lettering stating "SECURITY." This measure is designed to ensure that security staffers constitute a visible, identifiable and adequate security presence to discourage unlawful, disorderly, or hazardous activities within the Licensed Premises and in the parking lot, to further assist police in identifying security personnel when patrolling or responding to complaints or calls.
- During the period of June 15 through September 15, the Licensee shall be required to employ at least one individual who is solely responsible for security of the Licensed Premises on Fridays and Saturdays between the hours of 9PM and 2AM or until closing. The Licensee shall require all security staff (except for undercover security staff employed by the Licensee) to wear clothing or uniforms which are highly visible and well marked on the front and rear. This shall include orange shirts with black block lettering stating "SECURITY." This measure is designed to ensure that security staffers constitute a visible, identifiable and adequate security presence to discourage unlawful, disorderly, or hazardous activities within the Licensed Premises and in the parking lot, to further assist police in identifying security personnel when patrolling or responding to complaints or calls.
- Licensee shall be responsible for ensuring that there will be no parking of motorcycles on the sidewalks adjacent to the Licensed Premises.
- A sign shall be prominently displayed to prohibit parking of any vehicles on the sidewalk near the Licensed Premises.
- Licensee shall maintain in good condition security cameras, lighting and there must me more than one (1) employee present at the licensed premises while in operation.
NOW THEREFORE BE IT FURTHER RESOLVED that Borough Clerk is hereby authorized and directed to make the necessary notations or endorsements to the License certificate and that a certified copy of the within Resolution is to be forwarded by the Borough Clerk to the following:
a. Licensing Bureau Division of Alcohol Beverage Control 140 East Front Street P. O. Box 087 Trenton, New Jersey 08625-0087
BE IT FURTHER RESOLVED THAT this Resolution shall take effect immediately and/or as required by law.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien
Mayor
July 13, 2015
RESOLUTION #2015-207
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Plenary Retail Consumption License No. 1219-33032-006 Black Betty's Saloon LLC; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
1. That Plenary Retail Consumption License No. 1219-33-032-006, Black Betty's Saloon LLC, located at Route 35, South Amboy, NJ 08879 in the Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien
Mayor
RESOLUTION #2015-208
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Plenary Retail Consumption License No. 1219-33055-003 Fidelity Funding Corporation, t/a Brass Monkey Pub; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
1. That Plenary Retail Consumption License No. 1219-33-055-003 Fidelity Funding Corporation, t/a Brass Monkey Pub, located at Bordentown Avenue, Sayreville, NJ 08872 in the Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien
Mayor
RESOLUTION #2015-209
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Club License No. 1219-31-065-001 VFW Old Bridge Memorial Post #7508; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
1. That Plenary Club License No. 1219-31-065-001, VFW Old Bridge Memorial Post #7508, located at Bordentown Avenue, Old Bridge, NJ 08857 in the Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien
Municipal Clerk
Mayor
RESOLUTION #2015-210
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Plenary Retail Distribution License No. 1219-44- 042-005 Kushal Express, t/a Express Liquors ; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
1. That Plenary Retail Distribution License No. 1219-44-042-005 Kushal Express, t/a Express Liquors, located at Ernston Road, Parlin, NJ 08859 in the Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien
Mayor
RESOLUTION #2015-211
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Plenary Retail Consumption License No. 1219-33- 004-002 Bailey’s Tavern Inc., t/a Buddies Tavern ; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
1. That Plenary Retail Consumption License No. 1219-33-004-002 Bailey's
Tavern Inc., t/a Buddies Tavern, located at Johnsons Lane, Parlin, NJ 08859 in the
Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien
Mayor
RESOLUTION #2015-212
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Plenary Retail Consumption License No. 1219-33039-003 Tap & Growler LLC; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
1. That Plenary Retail Consumption License No. 1219-33-039-003 Tap & Growler LLC, located at Johnsons Lane, Parlin, NJ 08859 in the Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien
Mayor
RESOLUTION #2015-213
BOROUGH OF SAYREVILLE RESOLUTION TO RENEW P.R.C.L. #1219-33-010-005, 219 WASHINGTON ROAD, LLC, WITH CONDITIONS FOR THE 2015-2016 LICENSE YEAR
WHEREAS, 219 Washington Road, LLC, t/a Big Shots, is the holder of plenary retail consumption license number 1219-33-010-005, issued by the Council of the Borough of Sayreville as the Issuing Authority for premises located at 2047 Route 35 in the Borough of Sayreville, New Jersey for license year 2015-2016; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.
BE IT FURTHER RESOLVED THAT plenary retail consumption license number 121933-010-005, 219 Washington Road, LLC is hereby renewed for the 2015-2016 license year, subject to the following conditions as contained in the Settlement Agreement approved by Resolution #2010-138, adopted on June 28, 2010 (conditions c & d) and Resolution #2009162 adopted on July 6, 2009 (conditions a & b) and remaining on the license:
- "(a) The licensee shall be required to employ at least one individual who is solely responsible for security of the licensed premises on Fridays and Saturdays between the hours of 7:00 p.m. and 2:00 a.m. or until closing. The licensee shall require all security staff (except for undercover security staff employed by the licensee) to wear clothing or uniforms which are highly visible and well marked on the front and rear. This shall include orange shirts with black block lettering stating "SECURITY." This measure is designed to ensure that security staffers constitute a visible, identifiable, and adequate security presence to discourage unlawful, disorderly, or hazardous activities within the licensed premises and in the parking lot, to further assist police in identifying security personnel when patrolling or responding to complaints or calls.
- (b) The licensee shall be responsible for ensuring that there will be no parking of motorcycles on the sidewalks adjacent to the licensed premises."
(c) Licensee shall provide proper trash receptacles in the parking lot and shall cause Licensee's parking lots and outside premises, as well as all
July 13, 2015
residential areas within a five hundred (500') feet radius of the Licensed Premises, to be cleaned of all litter, trash and other discarded items. Such cleaning shall be accomplished by ten o'clock in the morning (10 AM) each day following the hours of operation of the Licensed Premises such that the abovedescribed areas shall be free from all litter, trash and other discarded items as may be generated by and/or associated with the Licensee's operation. To the extent that residents within such five hundred (500') feet radius consent to permit access to private property for the purposes of such cleaning on private property, Licensee shall cause such private property to be cleaned of all litter, trash and other discarded items, at Licensee's sole cost. This measure is designed to alleviate any problems associated with the accumulation of empty beverage containers, cans, bottles and other debris that result from the operation of the Licensed Premises.
- (d) Licensee shall cease all sales of alcohol at 1:30AM and shall cease the playing of all music at 1:45AM. This measure is designed to facilitate the prompt and orderly exiting of patrons at or before the time of closing and to prevent large groups of patrons from exiting the Licensed premises at the same time, resulting in loitering in and around the Licensed Premises and in the street, blocking traffic and inhibiting the dispersal of other patrons from the Licensed Premises and from the area;
NOW THEREFORE BE IT FURTHER RESOLVED that Borough Clerk is hereby authorized and directed to make the necessary notations or endorsements to the License certificate and that a certified copy of the within Resolution is to be forwarded by the Borough Clerk to the following:
a. Licensing Bureau Division of Alcohol Beverage Control 140 East Front Street P. O. Box 087 Trenton, New Jersey 08625-0087
BE IT FURTHER RESOLVED THAT this Resolution shall take effect immediately and/or as required by law.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien
Mayor
(Pocket License)
RESOLUTION #2015-214 RESOLUTION OF THE COUNCIL OF THE BOROUGH OF SAYREVILLE TO RENEW P.R.C.L. #1219-33-052-010, FLAMINGO LIQUOR, LLC, WITH CONDITIONS FOR THE 2015-2016 LICENSE YEAR
WHEREAS, Flamingo Liquor, LLC, is the holder of Plenary Retail Consumption License No. 1219-33-052-010 (the "Licensee"), issued by the Council of the Borough of Sayreville as the Issuing authority (the 'Issuing Authority") for a "pocket license" in the Borough of Sayreville, New Jersey for the 2015-2016 license year; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc; and
July 13, 2015
WHEREAS, the licensee did file a verified petition requesting authorization for the Borough of Sayreville to consider its renewal application for the 2014-2015 and 2015-2016 license terms; and
WHEREAS, on May 5, 2015, Michael I. Halfacre, Director of the State Division of Alcoholic Beverage Control, did make a Special Ruling to permit the filing of a renewal application of a pocket license, pursuant to N.J.S.A. 33:1-12.39, Agency Docket No. 04-159010 for a two-year period, covering the 2014-2015 and 2015-2016 license terms; and
WHEREAS, the said Special Ruling of the Director does authorize the Mayor and Borough Council to consider the application for renewal of the subject license for the 2014/2015 license term and to grant or deny said application in the reasonable exercise of its discretion;
NOW THEREFORE BE IT AND IT IS HEREBY RESOLVED THAT Plenary Retail Consumption License Number 1219-33-052-010, Flamingo Liquor, LLC (pocket license) is hereby renewed for the 2015-2016 license year, subject to the following conditions as contained in the Special Ruling of the Alcoholic Beverage Control as well as the following Conditions that remain part of the said license:
a) The License is renewed subject to the following conditions, which are part of the Licensee's requirement as outlined in the Stipulation of Settlement agreement dated August 15, 2006 whereby the licensee agrees to operate the licensed premises as a Mexican Restaurant or other type of restaurant where the service of food is the primary use of the licensed premises.
NOW THEREFORE BE IT FURTHER RESOLVED that Borough Clerk is hereby authorized and directed to make the necessary notations or endorsements to the License certificate and that a certified copy of the within Resolution is to be forwarded by the Borough Clerk to the following:
a.
Licensing Bureau Division of Alcohol Beverage Control 140 East Front Street P. O. Box 087 Trenton, New Jersey 08625-0087
BE IT FURTHER RESOLVED THAT this Resolution shall take effect immediately and/or as required by law.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
BOROUGH OF SAYREVILLE
/s/ Kennedy O'Brien Mayor
(Pocket License)
RESOLUTION #2015-215
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Plenary Retail Consumption License No. 1219-33006-003 Ayush & Chandni Corp. t/a Main St. Liquors; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
July 13, 2015
1. That Plenary Retail Consumption License No. 1219-33-006-003 Ayush & Chandni Corp. t/a Main St. Liquors (Pocket License), in the Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien
Mayor
RESOLUTION #2015-216
WHEREAS, application has been made to the Mayor and Borough Council of the Borough of Sayreville for the renewal of Club License No. 1219-31-066-001 Sayreville Memorial Post 4699 VFW Inc.; and
WHEREAS, said applicant has complied with the necessary requirements including payment of fees, etc.:
NOW, THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Mayor and Borough Council of the Borough of Sayreville, as follows:
1. That Plenary Retail Club License No. 1219-31-066-001, Sayreville Memorial Post 4699 VFW Inc., located at Jernee Mill Road, Sayreville, NJ 08872 in the Borough of Sayreville be and the same is hereby renewed for the 2015/2016 license term.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien
Municipal Clerk
Mayor
RESOLUTION #2015-217
WHEREAS, Kaplan and Companies posted landscaping and paving bonds with the Borough of Sayreville in the amount of $19,000.00 covering the following site improvements:
WHEREAS, the Borough Engineer's Office has recently performed a site inspection and has indicated that the required work has been completed and has recommended the release of said bond.
NOW, THEREFORE, BE IT RESOLVED that the proper Borough Officials are hereby authorized and directed to release said cash bond in the total amount of $19,000.00.
July 13, 2015
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC
/s/ Kennedy O'Brien
Municipal Clerk
Mayor
RESOLUTION #2015-218
WHEREAS, the Mayor and Borough Council of the Borough of Sayreville are knowledgeable that the Borough requires the services of an attorney to provide legal services in connection with the Borough's Tax Appeals; and
WHEREAS, the Laws of New Jersey provide for such services; and
WHEREAS, the Local Public Contract Law (N.J.S.A. 40A:11-5(1)(a) requires that a resolution authorizing such services without competitive bids must be publicly advertised; and
THEREFORE, BE IT AND IT IS HEREBY RESOLVED by the Borough Council of the Borough of Sayreville that Fred Rubenstein of the firm of James P. Nolan & Associates be appointed to take depositions in the Gerdau Ameristeel Tax Appeal and that they be paid for said services at a fee not to exceed $25,000.00.
/s/ Mary J. Novak, Councilwoman (Admin. & Finance Committee)
ATTEST:
/s/ Theresa A. Farbaniec, RMC
Municipal Clerk
READ IN FULL
RESOLUTION #2015 - 219
A RESOLUTION OF THE BOROUGH OF SAYREVILLE IN THE COUNTY OF MIDDLESEX, STATE OF NEW JERSEY, AUTHORIZING THE EXECUTION OF A RELEASE OF PREMISES FROM INDEMNIFICATION
WHEREAS, the Borough of Sayreville is the holder of an indemnification Agreement dated October 5, 1973 recorded on November 9, 1973 in the Office of the Clerk of Middlesex County in Book 2832, at Page 98 and Book 2880, Page 44 and Book 2887, Page 191 and Book 2805, Page 921; and
WHEREAS, the Borough of Sayreville has agreed to release the lands and premises hereinafter described from the Indemnification Agreement to the extent that the said lands and premises shall be released, discharged and freed from the said indemnification; and
BE IT AND IT IS HEREBY RESOLVED that on July 13, 2015 Mayor Kennedy O'Brien of the Borough of Sayreville execute a Release of Premises from Indemnification for all the tract or parcel of land and premises lying in the Borough of Sayreville, more particularly described as Lot 14, block 169.06 and commonly known as 117 Weber Avenue, Sayreville, New Jersey.
/s/ Mary J. Novak, Councilwoman
BOROUGH OF SAYREVILLE
/s/ Kennedy O'Brien
Mayor
Formatted: Font: Cambria, 12 pt, Bold
Formatted: Font: Cambria, 12 pt, Bold
ATTEST:
COUNCIL SESSION MINUTES
July 13, 2015
BOROUGH OF SAYREVILLE
/s/ Theresa A. Farbaniec, RMC Municipal Clerk
/s/ Kennedy O'Brien Mayor
At this time Mayor O'Brien opened the meeting to the public for questions or comments on Resolution #2015-219.
There being no appearances, Councilman Rittenhouse moved the public portion be closed and Resolution #2014-219 be adopted on Roll Call Vote.
Roll Call:
Councilpersons Buchanan, Kilpatrick, McGill, Melendez, Novak, Rittenhouse, all Ayes. Carried.
- PUBLIC PORTION
At this time Mayor O'Brien opened the meeting to the public or any and all issues. Those appearing were:
-Michelle Maher, 12 Gavel Road
Inquired about updating Kennedy Park, such as new lamp posts, garbage cans, landscaping/mulch and benches, mile markers and workout equipment. Requesting money be allocated to modernize the park and perhaps have residents adopt a tree around lake and plant perennials, etc. for beautification.
Mayor asked her if she would like to spearhead this project, which she accepted. He asked her to come back with as many people as possible and the governing body would form a committee.
Councilwoman Novak stated that years ago we had a project called Adopt A Spot. Landscapers would come in and take over an area and maintain it. A sign would be erected, so those people are helpful.
She then inquired about the Green Valley development is lackluster entryway and since they do not have a HOA she asked if the neighborhood could start a Go Fund Me account to hire a landscaper to plant a more desirable entryway. Mayor also asked that she be in charge of this also. Mayor asked that she provide the clerk with her contact information.
- Barbara Kilcomons, 22 Schmitt Street
- Agreed with Ms. Maher and commented on the majority of parks not being maintained.
- Requested enforcement of the Ordinance for the maintenance of homes in foreclosure.
- Disappointed in the Succeed in Sayreville motto.
No further questions or comments.
Councilwoman Navak made a motion to close the public portion. Motion seconded by Councilman Buchanan.
Roll Call: Voice Vote, all Ayes. Carried.
- EXECUTIVE SESSION - (None)
-
ADJOURNMENT
Mayor called for a motion to adjourn.
Councilwoman Novak made a motion to adjourn. Motion seconded by Councilman Buchanan.
COUNCIL SESSION MINUTES July 13, 2015
Roll Call: Voice Vote, all Ayes.
Time: 8:17 P.M.
SIGNED:
_
________________________
Theresa A. Farbaniec, RMC Municipal Clerk
____________________________________
Date Approved
|
<urn:uuid:15f6740f-59c9-44d2-800d-b8244614fa6c>
|
CC-MAIN-2018-47
|
http://www.sayreville.com/uppages/07-13-15%20Council%20Session%20Minutes.pdf
|
2018-11-14T00:32:01Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-47/segments/1542039741569.29/warc/CC-MAIN-20181114000002-20181114022002-00288.warc.gz
| 506,117,309
| 13,114
|
eng_Latn
|
eng_Latn
| 0.945426
|
eng_Latn
| 0.985796
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2270,
4590,
7049,
9465,
11810,
14088,
16917,
19960,
22186,
24144,
26526,
28192,
30161,
32969,
35987,
38198,
40362,
43352,
46143,
48872,
50673,
53023,
55344,
55572
] |
If this is a writer
The presentation of my latest novel, P/F, took place on 26 September 2020. Just a few hours after the event, explosions marked the start of the second Armenia-Azerbaijan War. On 9 November 2020, a ceasefire was established. And 9 November 2021 is the day of the official ceremony of the European Union Prize for Literature. Prizes are always a thing of doubt. It is unfair when you win. It is unfair when you lose. I have been found worthy of this prize, which neither my novel deserves, nor do I as a writer. I am confident that in the near future, the talented writers of Armenian literature will compensate for this and fill the visible vessel of invisible values.
During this last war, the Azerbaijani army made use of drones, the explosions from which caused human bodies to be reduced to thousands of pieces. Drones deprive human beings of their bodies, of the wholeness of their physical selves. There is a Zen Buddhist teaching, which says that human beings are not simply their bodies. Those drones and the people that controlled them took this teaching literally and turned this profound spiritual expression into a "naked truth".
The title of Primo Levi's Auschwitz memoir comes with a shadow of doubt – If This is a Man. When it comes to my novel, P/F, I have heard similar expressions – "if this is a novel", "if you can call something like this a novel". Fragments of random writing without an identity; pieces that are neither literature, nor anti-literature, neither human, nor nonhuman. At my insistence, the cover of the book P/F contains the visibly-printed phrase – "A novel". This was a joke of sorts on my part, a provocation for all those who think they still know what a novel should look like, what literature should look like, who think they still know what is human, that humans have bodies. This was a poorly justified, desperate and weak attempt on my part to give definition to something without shape or character. I keep repeating this like a mantra to myself – "if this is a body", "if this is a novel", "if this is a writer". Following the battle between doubt, denial and acceptance that comes after a tragedy, language cannot afford to lose meaning, which was its greatest achievement in the first place. I do not deny my own responsibility. I am guilty, because over the past years I have done nothing to contribute to the prevention of an Armenia-Azerbaijan war, except writing books. "If this is writing books".
I apologize for my unclear message and haughty tone. The unclear message is not an attempt to avoid language or responsibility. It is a reflection of our world without shape or character, which is my world too, of course. It does not reflect the postmodern, second modern, or even an eighth modern. It is simply close to the unknown, close to our current absence.
So, allow me to express my gratitude to you and to say thank you to European culture and European literature, which has given me so much, and which I consider a school where I have always been a student. As the great Armenian poet Vahan Teryan said, "We are students of Europe." As a student that has been enchanted by literature, let me recall and mention the names of all my teachers. They have created and continue to create Europe, and they have borne and continue to bear European culture – Paul Valéry, Krikor Beledian, Simone Weil, Marcel Proust, John Berger, Primo Levi, Robert Walser, Susan Sontag, Cesare Pavese, Bruno Schulz, Elias Canetti, Ruben Filyan, James Baldwin, Hermann Broch, Annie Ernaux, Alexander Kluge, Danilo Kiš, Claude Simon, Naguib Mahfouz, Roland Barthes, Pierre Guyotat, Bertolt Brecht, Witold Gombrowicz, Patrick Modiano, Juan Goytisolo, Pier Paolo Pasolini… thank you!
|
<urn:uuid:d040c294-f18b-4076-8293-7a0d501a9d03>
|
CC-MAIN-2021-49
|
https://euprizeliterature.eu/sites/default/files/If%20this%20is%20a%20Writer%20EUPL.pdf
|
2021-11-29T00:03:39+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00063-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet
| 319,419,682
| 837
|
eng_Latn
|
eng_Latn
| 0.998644
|
eng_Latn
| 0.998644
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
3740
] |
The Critical Need for Law Reform to Regulate the Abusive Practices of Transnational Corporations: The Illustrative Case of Boise Cascade Corporation in Mexico's Costa Grande and Elsewhere
William A. Wines
Mark A. Buchanan
Donald J. Smith
Follow this and additional works at: https://digitalcommons.du.edu/djilp
Recommended Citation
William Wines, et al., The Critical Need for Law Reform to Regulate the Abusive Practices of Transnational Corporations: The Illustrative Case of Boise Cascade Corporation in Mexico's Costa Grande and Elsewhere, 26 Denv. J. Int'l L. & Pol'y 453 (1998).
This Article is brought to you for free and open access by the University of Denver Sturm College of Law at Digital Commons @ DU. It has been accepted for inclusion in Denver Journal of International Law & Policy by an authorized editor of Digital Commons @ DU. For more information, please contact [email protected],[email protected].
The Critical Need for Law Reform to Regulate the Abusive Practices of Transnational Corporations: The Illustrative Case of Boise Cascade Corporation in Mexico's Costa Grande and Elsewhere
Keywords
Corporations, Law Reform, Environmental Law, International Law: History, Water Law
This article is available in Denver Journal of International Law & Policy: https://digitalcommons.du.edu/djilp/vol26/iss3/6
THE CRITICAL NEED FOR LAW REFORM TO REGULATE THE ABUSIVE PRACTICES OF TRANSNATIONAL CORPORATIONS: THE ILLUSTRATIVE CASE OF BOISE CASCADE CORPORATION IN MEXICO'S COSTA GRANDE AND ELSEWHERE.
WILLIAM A. WINES*
MARK A. BUCHANAN**
DONALD J. SMITH***
"And Daddy won't you take me back to Muhlenburg County
Down by the Green River where Paradise lay?
Well I'm sorry my son, but you're too late in asking
* William A. Wines is professor of legal environment and business ethics in the College of Business & Economics at Boise State University, Boise, Idaho 83725. J.D., University of Michigan 1974; B.S.B.A. with distinction, Northwestern University, 1967. He is admitted to practice in both Minnesota and Washington State. His private practice for many years centered on employment law. His research appears in Arizona Law Review, Marquette Law Review, the Journal of Business Ethics, Labor Law Journal, and the Gonzaga Law Review, among others.
** Mark A. Buchanan formerly of the Faculty of Law, University of New South Wales, Sydney, Australia, was a visiting professor in the Department of Management and in the International Business Center at Boise State University when much of the work on this paper was done. LL.M., University of Illinois; J.D. University of Nebraska; and B.A., University of St. Thomas. His specialty is International Trade and Investment Law and he has been a Fulbright Scholar to China and Australia as well as teaching in Canada, the United States and Thailand. He assumes primary responsibility for Part II of the article.
*** Donald J. Smith is formerly Director of the interfaith Denver Justice and Peace Committee, where he was involved with the Sanctuary Movement for Central American refugees. M.A., University of Illinois, Springfield, 1984; B.A. in Political Science, University of Montana, 1981. His master's thesis researched the critical social theory, communicative ethics, and the structure of the public sphere in the works of Jurgen Habermas. He specializes in human rights, environmental issues, and community organizing.
Mr. Peabody's coal train\(^1\) has hauled it away.
...
"Then the coal company came with the World's largest shovel and they tortured the timber and stripped all the land. Well, they dug for their coal till the land was forsaken, Then they wrote it all down as the progress of man."
-"Paradise" by John Prine © 1971.
**PART I. BOISE CASCADE IN PERSPECTIVE.**
**Introduction.**
Power\(^2\) is something we all understand and respect, but none more than timber barons and loggers. Whether dealing with chain saws or skidders, lobbyists or legislatures, loggers, timber barons, and lumber companies know, appreciate, and wield power. Power influences the timber industry just as it does labor relations, politics and many other areas of human affairs. But the concept of brute strength and raw
---
1. Although this paper deals with Transnational Corporations in the context of global capitalism, the treatment of ethnic minorities inside the U.S.A. is not unlike the treatment of developing nations in what-used-to-be called the Third World. For instance, the Peabody Coal Company's treatment of the Navajo and Hopi nations in getting the rights to mine the coal deposits beneath the surface of Black Mesa, a great tableland of 3300 square miles spanning the reservations' boundary, has been documented several places. F. WATERS, MOUNTAIN DIALOGUES 125-31 (1981). Under a 35 year lease, the "Hopis would eventually receive an estimated $14.5 million, the Navajos $58.5 million, while the Peabody Coal Company profits would amount to about $750 million." *Id.* at 125-26. To illustrate, the lease of the Hopi land to the Peabody Coal Company "was granted by the Department of the Interior without Congressional or public hearings. Neither the traditionalist leaders, nor the Hopi people, were generally informed of the terms of the contract..." *Id.* at 125. That Black Mesa was considered sacred by both tribes made no difference to the the Department of the Interior, then headed by Stewart Udall, a Mormon; or to John S. Boyton, a Salt Lake City lawyer and Mormon, who had been appointed by the B.I.A. to represent the Hopis; or to the head of the B.I.A.- controlled Hopi Tribal Council, Abbott Sekaquaptewa, another staunch Mormon. *Id.* at 128. In a 1977 report, the Indian Law Resource Center in Washington, D.C., alleged that Mr. Boyton, the B.I.A.-approved legal counsel for the Hopi Tribal Counsel, was on the Peabody Coal Company payroll during the time it was strip-mining the Black Mesa, a gross conflict of interest. *See id.* at 131.
2. The term "power" (as a noun) has fourteen different definitions in a recent abridged dictionary. WEBSTER'S NEW WORLD DICTIONARY 1058 (1994). Synonyms listed for power include dominion, authority, command, and control. *Id.* In law, the term "power" seems to be even more prominent; BLACK'S LAW DICTIONARY 1169-71 (6\(^{th}\) ed. 1990) devoted 3 entire columns to definitions for the word. *Id.*
power is central to the work and myths\textsuperscript{3} of loggers in ways unlike most other occupations with the possible exceptions of mining, fire fighting, and police work; areas also associated with maleness and male dominance and, of course, violence.\textsuperscript{4}
In 1991, we wrote "a better model is needed to describe ethical behavior, particularly when applied to the use of power to resolve conflict in cross-cultural situations. . . ." Professor Werhane has articulated a six-question protocol for analyzing the social responsibility of a set of activities on the part of multinational corporations.\textsuperscript{6} One of the fears repeatedly voiced about transnational corporations ("TNCs")\textsuperscript{7} is that
---
3. For our purposes, myth can be defined as "an intricate set of interlocking stories, rituals, rites, and customs that inform and give the pivotal sense of meaning and direction to a person, family, community or culture. C. KEEN & A. VALLEY FOX, YOUR MYTHIC JOURNEY xi (1989). In Western logging companies such as Boise Cascade, two sets of powerful myths converge: the Tales of Paul Bunyan and his Blue Ox Babe and the myths of the American West. Paul Bunyan, as everyone knows, was superhuman in size and strength and often solved his problems with the application of greater size and strength – although ingenuity also helped occasionally. Tales of Paul Bunyan were promoted commercially by lumber companies in the early years of the American Century. See ID Statesmen (Feb. 19, 1998) at 3D. Six historically Western values that emphasize power/violence are: "the doctrine of no duty to retreat; the imperative of personal self-redress; the homestead ethic; the ethic of individual enterprise; the Code of the West; and the ideology of vigilantism." MILNER ET AL., THE OXFORD HISTORY OF THE AMERICAN WEST 393 (1994). The Code of the West involves "honesty, courage, sensitive pride, stoic indifference to pain, and, above all, a violent vengefulness against insult." Id. at 395. See also A.C. Williams, Influences of the Myths of the American West on Business Culture in the United States: An Interdisciplinary Exploration (1997) (unpublished M.A. thesis, Boise State University) (on file with authors and Boise State University library).
4. See Walter Wink, \textit{The Myth of Redemptive Violence}, in \textit{ENGAGING THE POWERS} (1992), reprinted in \textit{READINGS IN BUSINESS ETHICS AND SOCIAL RESPONSIBILITY} 41-45 (William Wines & Steven C. Anderson, eds., 1994). For a discussion of how myths instill values in human beings, see William A. Wines, \textit{An Ethics Perspective on Economic Myths, Theories and Ideologies} (1996) (unpublished manuscript on file with authors) (presented to the Annual Meeting of the Pacific Northwest Academy of Legal Studies, Hotel Georgia, Vancouver, B.C., Canada on April 19, 1996). By analogy, the authors are suggesting that archetypical myths that are shared by entire industries inevitably become part of the corporate cultures of companies in those industries and help form a national identity by contributing to the nation's set of stories. See also BARBARA EHRENREICH, \textit{BLOOD RITES: ORGANS AND HISTORY OF THE PASSIONS OF WAR} 216-24 (1997) (detailing American patriotism as a self-perpetuating form of war worship); DAVE GROSSMAN, \textit{ON KILLING: THE PSYCHOLOGICAL COST OF LEARNING TO KILL IN WAR AND SOCIETY} (1995); BARBARA G. WALTER, \textit{THE CRONE: WOMEN OF AGE, WISDOM AND POWER} (1985) (detailing violence against women in chapter six).
5. William A. Wines & Kevin E. Learned, \textit{Managing the External Environment: Boise Cascade and a Modern Tale of Two Cities}, in \textit{CONTEMPORARY ISSUES IN BUSINESS AND POLITICS} 204 (Karen Paul, ed., 1991) [hereinafter Wines & Learned].
6. Patricia H. Werhane, \textit{The Moral Responsibility of Multinational Corporations to be Socially Responsible}, in \textit{CONTEMPORARY ISSUES IN BUSINESS ETHICS} 531, 535 (Joseph H. Desjardins & John J. McCall, eds., 3d ed. 1996).
7. In this article, we prefer to use the term "transnational corporation" rather than
they may prove to be above the law.\textsuperscript{8} This article will look at that concern as well as attempt to apply the Werhane protocol to Boise Cascade Corporation's ("BCC") actions over time and in different locales. We will attempt to determine whether a practice and a pattern emerged in BCC dealings with labor, in the environment, and with communities in which it operates. We will also address power inequities in labor relations where some observers have suggested that the power equation is central.\textsuperscript{9}
Supposedly fifteen transnational corporations are engaged in logging in Mexico.\textsuperscript{10} Our selection of BCC as the subject of our inquiry does not imply nor is it meant to suggest that BCC is somehow better or worse in its foreign operations than any of its competitors. In fact, this piece is premised upon the assumption that in many, many respects BCC is representative of transnational corporations that are engaged in extractive industries around the world. A spokesman for BCC says it most simply: "Alls [sic] we do is go in and take out the logs."\textsuperscript{11} Somehow, we do not find it that simple. In some ways, injecting millions of dollars into a dirt-poor,\textsuperscript{12} corrupt,\textsuperscript{13} and violence-saturated State\textsuperscript{14} in
\textsuperscript{8} See, e.g., William Greider, One World, Ready or Not: The Magic Logic of Global Capitalism 11-16 (1997); David C. Korten, When Corporations Rule the World: An Interview with David Korten, MULTNAT'L MONITOR, Jan. 1, 1996. In one passage, Korten declares: "Corporations have emerged as the dominant governance institutions on the planet, with the largest among them reaching onto virtually every country in the world and exceeding most governments in size and power. Increasingly, it is the corporate interest more than the human interest that defines the policy agenda of states and international bodies, although this reality and its implications have gone largely unnoticed and unaddressed." \textit{Id.} at 54 (1995); see also, e.g., George Soros, \textit{The Capitalist Threat}, ATLANTIC MONTHLY, Feb. 1997, at 45.
\textsuperscript{9} See Zimarowski, \textit{A Primer on Power Balancing Under the National Labor Relations Act}, 23 U. MICH. J.L. REFORM 47, 52 (1989). See also infra note 22 and accompanying text in which one observer (Woodhouse) pointed to BCC's resolution of labor conflicts by brute application of economic and political power seemingly indifferent to the human suffering inflicted upon workers or their communities.
\textsuperscript{10} See John Ross, Treasure of the Costa Grande, SIERRA July-Aug. 1996, at 22 [hereinafter Ross, Treasure].
\textsuperscript{11} Telephone interview by Brian Bell, Boise State University student researcher, with Doug Bartels, BCC Spokesman (Feb. 18, 1997).
\textsuperscript{12} The average wage in Guerrero places many of its people below the federally mandated daily minimum wage. The rate is different for different parts of Mexico; in 1991, the commission set the minimum for most of Guerrero at 9.92 new pesos per day. Yet 24.8% of the population earned less; and 15.7% reported no income at all. The new peso was worth less than 13 cents U.S. at the official exchange rate on February 20, 1997; thus, outside Acapulco, the minimum daily wage was $1.28 U.S. In Acapulco, the official daily wage was set at approximately $2.92. G. Tooman, A Comparison of the Logging InMexico and then disclaiming all responsibility for the destruction and deaths that follow seems insensitive, irresponsible and morally indefensible.\textsuperscript{15}
Industry in Idaho, British Columbia and Guererro, Mexico: The Effects of Government Policy on the Industry 18 (Apr. 15, 1997) (unpublished manuscript on file with authors). Life in the \textit{ejidos} (the rural sectors) is especially primitive. Charles Krause, a Public Broadcasting System correspondent stationed in Mexico, describes the situation in these words: "Just 50 miles from the beaches and sophistication of Acapulco, dirt roads lead to villages like Paso Real, which might as well be in another world or on another planet. No telephones here, no doctors, no hospital, no discos or tourists . . . nor even running water. Paso Real is the other Mexico foreigners rarely see: rural Mexico, where subsistence farming, drug trafficking, corruption, and political violence mix in what is often an explosive combination." \textit{Id.} at 20.
13. "The Mexican government deserves some of the blame for creating an atmosphere where it is easier to operate businesses illegally than it is to obey the myriad laws with which a legal business must comply. In an effort to control the economy, the government now controls nearly every aspect of business. . . . The 1995 edition of the \textit{Catalogo General de Obligaciones Empresariales} (General Catalog of Business Obligations) lists over 800 laws with which businesses must comply. Sadly, the ruling party, the Institutional Revolutionary Party, actually makes more money from bribes than it would from the legal purchase of permits and payment of fees. [citations omitted]" G. Tooman, \textit{supra} note 12, at 23.
14. Guererro is one of thirty-two states that comprise the united Mexican States. An austerity plan and pledges of U.S. support saved Mexico's currency from collapse in early 1995; but in August 1996, the Popular Revolutionary Army guerrillas launched coordinated attacks on government positions. See, e.g., WORLD ALMANAC 799 (1996). In the realm of violence, BCC's American employees were "not allowed off the sidewalk" for fear of kidnapping, a major industry in Guererro. There have been over 100 kidnappings in Guererro in the past three years. A. Waters, A Study of the Timber Industry in British Columbia, Idaho, and Guererro (Apr. 1997) (unpublished manuscript on file with authors) at 17. The annual per capita income in Mexico is about $4,000, roughly 15% of that of Americans. On January 9, 1996, an FCO Travel Advisory warned travelers/tourists against traveling after dark, venturing off roads or frequenting isolated beaches "particularly in the states of Michoacan, Guererro, Oaxaca, Chiapas and Campeche" because of the risk of violence. A free-lance journalist interviewing a returning millwright for BCC asked about the threat of violence and was told: "We never traveled outside the hotel without armed guards." In March, authorities seized heroin paste with a U.S. street value exceeding $4.1 million about 15 km from a Guererro logging site. LA JOURNADO, March 30, 1997. In June, the same newspaper headlined "In the mountains of Guererro, the threat of violence and armed narcotic traffickers is constant." LA JOURNADO, June 10, 1997. A recent traveler to Guererro reports that buses are robbed daily and that death squads have been active in the State. Claudio Beagarie, free-lance journalist, in Boise, Idaho (Sept. 3, 1997). On New Year's Day, 1997, a death squad of eight men with AK-47's and painted faces executed four men: two teachers in one village and two \textit{campesinos} later in another village. On January 11, eight members of one family were killed from ambush by heavily armed men. All of the killings were in the State of Guererro. REPORTE (USA Independent Hispanic Weekly, No. 551) at 25.
15. Interview by William A. Wines with John Ross in Boise, Idaho (June 6, 1996). Ross declared that "ex-Governor Figueroa was expected to have a hard hand, especially since his predecessor was assassinated in office." \textit{Id.} Further, Ross shared his opinion that "to deal with Figueroa in millions of dollars is to intervene in Mexican politics." \textit{Id.}
A Chronology.
What do Council, Idaho, International Falls, Minnesota, and Papanoa, State of Guerrero, Mexico have in common? They have all experienced the arrogance and greed of BCC. In the Falls Council, unions were destroyed along with some temporary housing; an established mill was closed; and in Guerrero, the introduction of huge sums of money for timber further aggravated a destabilized countryside in which seventeen unarmed environmental protesters were shot dead in June 1995 and dozens of others have since disappeared, been executed or murdered.\textsuperscript{16} BCC meanwhile enjoyed near record profits in 1995\textsuperscript{17}. Although profits set record highs, employment in the timber industry in Idaho peaked in 1979 and has declined ever since, according to Idaho Department of Employment figures. The impact of increased mechanization coupled with mill closures has been devastating on the small mill towns.\textsuperscript{18}
\textsuperscript{16} According to Ross, by June 1996, ten more people had been murdered in Guerrero since the June 28, 1995 massacre at Aguas Blancas. Also, the number of people who have simply "disappeared" in the State of Guerrero is estimated at over 1,000. One former Army General admitted that over 400 people were disappeared between 1972 and 1979 when ex-Governor Figueroa's father was Governor. Interview by William A. Wines with John Ross in Boise, Idaho (June 6, 1996).
\textsuperscript{17} Boise Cascade reported net profits in calendar year 1995 of $5.39 per share or $351.8 million. \textit{BOISE CASCADE CORPORATION, 1995 ANNUAL REPORT} 22 (1995).
\textsuperscript{18} See A. Waters, \textit{supra} note 14, at 7, wherein the author states: "Council is not the first Boise Cascade sawmill to be dismantled and reassembled elsewhere. In the late 1970's, Boise Cascade bought the sawmill at Cambridge, Idaho and sold it to a company in the Philippines. As for closure of sawmills, Council was the latest. Other closures were McCall in 1978, Barber in 1980 and Emmett in 1982. Horseshoe Bend and Cascade are the only sawmills left in Idaho. They are not expected to remain open much longer." On October 23, 1995, only 10 days after announcing record profits for the third quarter of $118.5 million, Boise Cascade laid off 253 people at the Horseshoe Bend, Emmett, and Cascade mills. \textit{Id.} at 9. A spokesman for BCC said the layoffs would last until lumber prices improved and that further mill closures would depend on "how Congress treats the timber industry in its next round of environmental legislation." Julie Bailey, \textit{Boise Cascade Open Sawmill in Mexico}, \textit{IDAHO STATESMAN}, Nov. 25, 1995, at 11A, \textit{available in} 1995 WL 1260165. According to an analyst with the Pacific Crest Securities in Portland, Oregon, the timber industry is moving towards greater consolidation, "as logging is spread over larger landscapes to reduce damage to fish and wildlife." \textit{Timber Industry Future will be Rooted in Bigger Companies with More Capital}, \textit{OREGONIAN}, Dec. 18, 1994, at 10B. Small mill operators can't compete with larger firms because they are unable to modernize and compete with timber industry giants. Since old-growth trees have been overlogged in the Pacific and Interior West, and since access to the remaining large trees is limited because they largely exist in roadless areas, the big companies have been forced to re-tool their operations to handle the smaller logs. The smaller companies, without the readily available investment capital, have not been in a position to modernize, and have thus been left with fewer cutting opportunities, being unequipped to handle the small logs. University of Wisconsin sociologist Bill Freudenburg, concluded that "Loss of timber jobs in the Pacific Northwest stems from overcutting rather than from measures to protect oldIn an attempt to avoid any public accounting, BCC has attempted to demonize the environmental movement, a journalist who explored the Mexican operation, and the Sierra Club. Remember Commodore Vanderbilt? "What do I care about the law? Haint I got the power?"\textsuperscript{19} Welcome to the \textit{Robber Barons}, Part II, with a polished veneer of civilization courtesy of a staff of public relations types and highly paid corporate lawyers. Enter the so-called "Spin Doctors;" otherwise, nothing much has changed in the sequel.
Why is BCC doing business in Mexico and preparing to do even more business in places like Chile, Malaysia, New Zealand and the former U.S.S.R.? The answer to that question varies with whom you ask. For the record, BCC says it is not after cheap labor but that timber supplies in the U.S. are inadequate for its needs. It blames environmentalists and restrictions on timber sales from federal lands and postures as a local Idaho business interested in the "Idaho way of life."\textsuperscript{20} A large neon sign at the Boise Airport declares "Welcome to Our Home" from Boise Cascade Corporation: mildly humorous for a Delaware Corporation that has gone transnational.\textsuperscript{21} Besides on the theme of jobs or
\textit{growth timber and the northern spotted owl, according to newly presented research." Overcutting costs more timber jobs than owl, study says, IDAHO STATESMAN, Feb. 16, 1997, at 15A.}
\textsuperscript{19} Matthew Josephson, \textit{The Robber Barrons} 15 (1934).
\textsuperscript{20} Dr. Thomas Power, the chair of the Economic Department at the University of Montana, studied the effects of wildlands preservation, showing that the emerging economy in the Northern Rockies is leaving the extractive industries in the dust. Jobs created from tourism, recreation, services (including health, legal and other professions), and information have largely replaced the extractive industries. He found that within a seven week period the number of jobs created in this growing sector of the economy more than makes up for the loss of timber jobs. \textit{TOM POWER, ALLIANCE FOR THE ROCKIES, EXECUTIVE SUMMARY: THE TIMBER EMPLOYMENT IMPACT OF THE NORTHERN ROCKIES ECOSYSTEM PROTECTION ACT IN IDAHO, MONTANTA, OREGON, WASHINGTON, AND WYOMING, SPECIAL REPORT No. 3} (1992). A report, with Dr. Power as its main author and co-signed by 33 other economists, titled "Economic Well-Being and Environmental Protection in the Pacific Northwest" stated that "[a]llowing more environmental degradation in hopes of turning the economic clock to a previous era is more likely to threaten the region's future than improve it." \textit{Report Links Economy with Strong Environment, IDAHO STATESMAN, Jan. 4, 1997, at 1A}. According to a study conducted for the Eastside Columbian Ecosystem Management Project, "Small timber dependent communities in the Columbian River Basin are generally adapting to changes in more constructive ways than towns based on farming and ranching, a University of Idaho study showed." \textit{Timber Tenacity: Study Reveals Small Logging Towns Adopting to Change, LEWISTON MORNING TRIB., Jan. 2, 1995 at 5A}.
\textsuperscript{21} At the 1997 annual meeting of Boise Cascade shareholders, a motion to move the place of incorporation from Delaware back to Idaho was opposed by management and soundly defeated. \textit{Boise Cascade Annual Meeting Showcases Management Power, IDAHO STATESMAN, Apr. 19, 1997}. The forerunner of BCC was the Boise Payette Lumber Company, incorporated on December 24, 1913 under the laws of the State of Idaho with an authorized capital of $7 million. On April 23, 1931, the Boise Payette Lumber Company
environment, Idahoans have elected some of the most extreme anti-environmentalists in Congress: people such as Helen Chenoweth,\textsuperscript{22} Mike Crapo,\textsuperscript{23} Larry Craig,\textsuperscript{24} and Dirk Kempthorne\textsuperscript{25} who surf the crest
of Delaware was incorporated in Delaware and took over all assets and liabilities of the Idaho corporation. \textit{See BOISE PAYETTE LUMBER COMPANY., REPORT TO STOCKHOLDERS} (1947). Frederich E. Weyerhauser was Treasurer of the Original Board of Directors, elected on March 9, 1914. \textit{Id.} Boise Cascade Corporation was formed in 1957 by the merger of the Boise Payette Lumber Company and the Cascade Lumber Company. \textit{See A. Waters, supra} note 14, at 3.
22. A Sierra Club designation, awarded to Congresswoman Chenoweth. \textit{SIERRA}, May-June 1996, at 28. "Chenoweth plays to the paranoia of the far-rightists by fanning their delusions about mysterious black helicopters supposedly used by federal Fish and Wildlife agents to enforce environmental laws in Idaho. The congressman also fears that environmental regulations are ushering in the one-world government long feared by the Birchers. Her evidence: the United Nations' designation of Yellowstone National Park as a world heritage site." \textit{Id.} Congresswoman Chenoweth has recently proposed cutting down trees as a way of dealing with the so-called "greenhouse effect." This is but one example of her concern for the environment. Fredreka Schouten, \textit{Chenoweth Backs Plan to Cut Trees to Clear Air: Idea Offered as Way to Prevent Global Warming}, \textit{IDAHO STATESMAN}, Oct. 23, 1997, at 1A. During her first run for the House of Representatives in 1994, Congresswoman Chenoweth questioned whether salmon could be endangered because she could "still find salmon in cans on the shelves at Albertson's [grocery stores]." Her recent fundraising letter declared that America's elite colleges (Wellesley, Brown, Yale, etc.) have taught young women that "marriage is slavery, faith in God a male-crafted prison, and abortion is a declaration of independence." Fredreka Schouten, \textit{The Helen Chenoweth Factor}, \textit{IDAHO STATESMAN}, Dec. 8, 1997, at 10A. A faxed biographical sketch from the Congresswoman's office lists among her accomplishments her "pivotal role in advancing legislation which establishes the concept of local management of resources, in saving the Purchaser Road Credits program from assault by Eastern legislators . . . , and in defending the concept of State sovereignty over its waters." \textit{See infra} note 207 in which Boise Cascade's "take" from the Purchaser Road Credits program made it the second largest corporate welfare recipient in the program.
23. Representative Crapo is, perhaps, the least openly hostile to the environmental cause of the four Idaho representatives to Congress. That, considering his colleagues, is not high praise. A biographical sketch provided by the Congressman's office indicates that Crapo is in his third term as U.S. Representative from Idaho's second district after spending eight years in the Idaho State Senate. Crapo currently serves as co-chairman of the Congressional Beef Caucus, and is founding member of the Congressional Water Caucus. In the 103\textsuperscript{rd} Congress, he served as the co-chairman of the Republican Task Force on Private Property Rights. Congressman Crapo graduated from Harvard's Law School in 1977 with honors, a distinction that makes him probably the most literate and the best educated of Idaho's contingent.
24. Larry Craig is the champion of so-called "salvage logging" in the Senate. He hails from a small cattle ranch in western Idaho and is opposed to any fee increases or limitations of the "rights" of cattlemen to graze cattle on public lands. Senator Craig proposed S. 391, a bill to establish a permanent timber salvage policy that would replace the 1995 salvage rider when it expired in 1996. S. 391, 104th Cong. (1995). The bill was defeated in part by opposition from Sierra Club and the Wilderness Society. The Washington Post called the timber salvage rider "arguably the worst piece of public lands legislation ever." Jessica Mathews, \textit{Two Tasks for Congress}, \textit{WASH. POST}, Sept. 6, 1996, at A15. Under it, 4.6 billion board feet of lumber were cut in 18 months. \textit{ALLIANCE FOR THE WILD ROCKIES, A REPORT ON THE TIMBER SALVAGE RIDER OF THE 104TH CONGRESS cited in NETWORKER}
of timber, cattle and mining PAC campaign money.
On June 6, 1996, John Ross, poet, journalist, and prize-winning author, came to Boise, Idaho to present his findings in a talk entitled "Boise Cascade Corporation, Political Turmoil & Logging in Mexico's Sierra Madre." In a response that was unseemly as well as uncalled for, BCC's CEO George Harrad\textsuperscript{26} pulled out his big stick and attempted to
---
Spring 1997, at 5. A biographical sketch provided by the Senator's office indicates that "As a westerner and a former rancher, he plays a leading role in the formation of natural resource and energy policies, and has gained a national reputation as a stalwart against environmental extremism."
25. Senator Kemthorne was once student body president at the University of Idaho in Moscow [as was Senator Craig] and later mayor of the City of Boise. His administration as mayor flashed a large green light for unlimited development that has contributed to present infra-structure problems. Kemthorne's chief work in the Senate was an attempt to water-down the Endangered Species Act to pay reparations to landowners whose property rights were injured by protected species. Boise Cascade Corporation has been a large financial backer of Kemthorne throughout his public career. Officially reported contributions of the timber industry to the Idaho Congressional delegation from January, 1989 through June 1995 totalled $169,800. Center for Responsive Politics, Contributions from Timber Industry to Idaho Delegation (Nov. 27, 1995) (unpublished manuscript on file with author). A biographical sketch faxed from the Senator's office indicates that "The Senator believes in staying close to the people of Idaho, and he maintains eight offices around the state." That grass roots touch should come in handy when Senator Kemthorne leaves the Senate to run for Governor of Idaho in November, 1998. Campaign contributions from the timber industry to Congress was also noted by the United Paperworkers International Union in a press release. In a special report, the union detailed "the political activity of the U.S. timber and paper industry. Analyzing political contributions, the union identified a highly partisan pattern of giving and increasing lobbying sophistication by an industry that is not often mentioned as a major Washington player." 'Union Probes Forest Industry's Politics: Investigation Finds Bundles to Western Republicans, Covert Lobbying', October 11, 1995.
26. G.J. Harad, Chairman and CEO, Boise Cascade Corporation, received salary of $719,382 in 1996 and bonuses of $129,941 for total compensation of $849,323. That represented a salary increase of over 7% from 1995. \textit{Top Executive Compensation}, \textsc{Idaho Bus. Rev.}, Jan. 5, 1998, at 14. This figure is more than 715 times the projected annual earnings of the Papanoa mill workers, even using the unlikely but generous assumption that they could be employed for a full 50 weeks each year. See infra notes 87-92 and accompanying material. This assumption is unlikely due to the rainy season from June to October and the mud roads that become impassable, thereby causing a shortage of logs. CEO Harad and spouse are building a massive new home in the Boise Foothills near an up-scale development named Quail Hollow. The address is 4700 W. Quail Heights; and the site encompasses four acres which were leveled thereby eliminating a hilltop and creating a scar on the land visible for miles. The projected improvement is at 3105 feet of elevation which will allow the Harads to look down on the working class people in the valley. The gross square footage of the improvement is listed on the building permit as 12,277 and estimated cost is $702,000 – not including the land. A local contractor said that the going rate for homes is $75 per square foot; and homes in Quail Hollow run $100 per square foot and up. "Low-balling" the cost of construction is not uncommon in Ada County since it keeps the building permit fee down. Harads paid $4000 for the permit. Interview by William Wines with Jim Allen, Building Contractor, in Boise Idaho (Feb. 2, 1998).
silence all coverage of the event by local media as well as telephone the president of Boise State University in a futile attempt to get the talk canceled.\textsuperscript{27} Such an approach is heavy-handed even by BCC standards and out of all proportion to what was happening. Yet, in 1989 when the dispute with the building trades at International Falls was really hot, BCC leaned on the \textit{Minneapolis Star-Tribune} to get it to refuse to publish a paid advertisement from the Minnesota AFL-CIO.\textsuperscript{28} This refusal prompted a news conference and picketing by the AFL-CIO.\textsuperscript{29} Wherever BCC does business there seems to be an inevitable pattern and practice of use and abuse of its vast economic power.
In November 1996, our graduate research assistant (GA) attempted to get permission to access the BCC library and gather background information on the company's early history.\textsuperscript{30} The GA first contacted the corporate librarian and asked if it would be possible to conduct research at the facility. In the past, BCC had been very cooperative in allowing students from Idaho universities research access to its library. The librarian indicated that she would have to look into this possibility and call him back. The GA left several voice messages for the librarian, but his calls were not returned. Three weeks passed and the GA initiated another contact with the librarian, who indicated that the GA would need to gain permission from the corporate legal department to use the BCC library, an odd arrangement; but he did. The legal department granted permission by phone, and the GA let the librarian know this. The librarian then indicated that she would have to check on this and call him back. On November 18th, the librarian left a message for the GA indicating that BCC was no longer allowing students to use the library and said that under no circumstance could he get historical data on BCC from them.\textsuperscript{31}
BCC has "circled the wagons." Is BCC afraid someone might find something incriminating? Could there still be a smoking gun from the June 1995 Aguas Blancas massacre in the BCC archives? John Ross declared that his search had not turned up a smoking gun.\textsuperscript{32} Did BCC violate the Foreign Corrupt Practices Act by slipping cash to then Governor Ruben Figuero? Who are the undisclosed principals in the holding company that owns the mills in Guerrero?\textsuperscript{33} Could it include
\begin{itemize}
\item[27.] Interview with John Ross (June 6, 1996), \textit{supra}, note 15.
\item[28.] \textit{Unions Picket Star-Tribune Over Boise Ad}, \textsc{The Union Advocate}, Aug. 21, 1989.
\item[29.] \textit{Id}.
\item[30.] See \textit{supra} text accompanying note 21 for a brief synopsis of BCC origins.
\item[31.] Interview by William Wines of Todd Hill, MBA, research assistant, in Boise, Idaho (November 19, 1996).
\item[32.] Stephen Stuebner, \textit{Critic Raps B-C Mexican Operations}, \textsc{The Star-News}, June 13, 1996, at 2.
\item[33.] "In February 1995, Boise Cascade was contacted by NDG, Inc., a company looking for a timber industry manufacturer that might be interested in a wood products venture
\end{itemize}
Mexican political powers? Such speculation may not be as far-fetched as it seems.
To analyze the possibilities, we need to examine the corporate culture in which senior BCC officers act and react and speculate on how that culture influences their attitudes and ideologies.
**Corporate Climate at BCC and Interactions with Local Citizens.**
BCC sits in an ultra-modern headquarters office on One Jefferson Square a few blocks west of the state capitol in Boise, Idaho, an intermountain right-to-work state that one political scientist compared to a third world country.\(^{34}\) Some Idahoans are backward and proud of it; their paragon of success is multi-billionaire J. R. Simplot,\(^{35}\) a crusty twentieth century captain of industry with an eighth grade education who made his fortune in the potato processing business through some legendary escapades, including activities that earned him a six-year ban from trading on the New York Mercantile Exchange and fines for federal income tax evasion.\(^{36}\) Incidentally, "old J.R." — as Simplot is sometimes known in Boise — increased his holdings in BCC by approximately 30 million dollars in December, 1995.\(^{37}\)
Labor strife is nothing new to BCC, and neither is a management style that has an "in-your-face" approach to labor relations. In 1978 in the Pacific Northwest, the Association of Western Pulp and Paper
---
\(^{34}\) Gregory A. Raymond, *Idaho: A Third World Country?* (1986) (unpublished conference paper on file with authors).
\(^{35}\) Ironically, Jack Simplot was born in Iowa not Idaho. Simplot born January 4, 1909 near Dubuque, Iowa first moved to Idaho with his parents in 1911 but soon left for California and did not permanently settle in Idaho until J.R was 13 years old. At 14 years of age, Simplot set out on his own and took his first job, sorting potatoes. HAROLD. R. BUNDERSON, *IDAHO ENTREPRENEURS: PROFILES IN BUSINESS* 10-14 (1992).
\(^{36}\) BUNDERSON, *supra* note 35, at 31-32. For an uncritical but informative essay on Simplot's contribution to potato agriculture and processing, see James W. Davis & Nikki Balch Stillwell, *J.R. Simplot Builds a Potato "Empire,"* in *ARISTOCRAT IN BURLAP: A HISTORY OF THE POTATO IN IDAHO* 62-84 (1977).
\(^{37}\) Paul Beebe, *Simplot Trust Buys Boise Cascade Stock,* IDAHO STATESMAN, Dec. 20, 1995, at 1a. The Simplot Trust acquired 820,000 shares of Boise Cascade between October 6 and December 11, 1995 to bring its total holdings to 3.17 million shares, representing 6.6 per cent of the outstanding BCC's common stock. Beebe indicated that "he [Simplot] was not trying to take over the company. Boise Cascade was simply a cheap investment, he said."
Workers struck BCC and other mills over economic issues.\textsuperscript{38} For the first time in the modern era, BCC and several other producers continued to operate their mills. In 1980 in Rumsford, Maine, BCC took a strike over economic issues and continued to operate its mill.\textsuperscript{39} Michael Harrington, Director of Labor Relations for BCC declared of this decision: "Labor has a right to strike. We have a right to operate our mill."\textsuperscript{40} Four years later in DeRidder, Louisiana, BCC provoked a strike over work rules by bringing to the table an entirely new labor agenda and continued to operate during the strike.\textsuperscript{41} BCC prevailed and Harrington said of the strike: "We viewed it as who was going to run the mill."\textsuperscript{42}
In 1986 at the Rumsford, Maine facility, BCC took a hard-line position on work rules and pay for time not worked. After lengthy negotiations, the union struck, and BCC continued operations, warning strikers that they would be permanently replaced. BCC delivered on this threat and permanently replaced 346 workers, about one-third of the work force.\textsuperscript{43} It then unilaterally implemented its proposed contract terms.\textsuperscript{44}
Half a continent away from Boise lies the small town of International Falls, Minnesota. BCC owns the mill in that town, and the mill sits on the banks of the Rainy River that divides International Falls from Fort Frances, Ontario. In June, 1988, BCC announced it was going to build a $525 million plant expansion in International Falls after using the threat of canceling the project as a club to get union contracts with nine unions that had bargained to impasse with BCC in 1985 and had been working without contracts in the interim.\textsuperscript{45} This threat of economic devastation had turned brother against brother and divided families as the residents of the Falls tried to grasp the enormity of a BCC pull-out.\textsuperscript{46}
The people who live in International Falls, Minnesota take their
\begin{itemize}
\item[38.] Paul Beebe, \textit{Boise Cascade's Labor Woes Raise Question of Bias; Boise Cascade: Latest Labor Woes are Extention of 1978 Plan to Modernize Labor Accords}, \textit{IDAHO STATESMAN}, Sept. 24, 1989, E1, E4. Boise Cascade took the strike in an effort to "end what Chairman John Fery has said were years of concessions by the industry to labor unions." \textit{Id.}
\item[39.] Wines and Learned, \textit{supra} note 5, at 216.
\item[40.] \textit{See id.}
\item[41.] Mike Draper, executive director of the Western Council of Industrial Workers, said "Boise Cascade can be a very ruthless company to deal with." Beebe, \textit{supra} note 38, at E1, E4.
\item[42.] \textit{Id.}
\item[43.] \textit{Id.}
\item[44.] \textit{Id.}
\item[45.] Wines & Learned, \textit{supra} note 5, at 206-07.
\item[46.] Dan Gallagher, \textit{Paper Mill Expansion Splits Town}, \textit{IDAHO STATESMAN}, Sept. 10, 1989, at 1A.
\end{itemize}
families, their religion, and their unionism seriously.\textsuperscript{47} Into the raw and angry climate of the Falls where the "cram-down" of the contracts had not been either forgiven or forgotten, BCC introduced another potentially incendiary element: the choice of BE & K Construction Company of Alabama as the general contractor on the massive expansion project.\textsuperscript{48} This decision to use a competent but notoriously non-union, if not union busting, southern outfit to build one of the largest private construction projects in Minnesota State history\textsuperscript{49} was little short of spitting in the Chalice at High Mass. Violence followed.
BE&K began the job in July, 1989 even though BCC top management knew that its choice for general contractor was unpopular and had already heard rumors of trouble if BCC proceeded.\textsuperscript{50} Of the initial twenty subcontracts that BE&K let, eighteen were with union contractors. However, when non-union subcontractors began work at the same time, a wild cat strike by building tradesmen erupted. According to BCC, BE&K continued to work with the union subcontractors whose employees had walked off the job.\textsuperscript{51}
Another observer wrote about the wildcat strike and its significance in these words:
[T]he wildcat strike had as its genuine architect the passions of the Iron Range building tradesmen who simply wanted to do 'something,' whether that 'something' was well-thought out and strategically sound or not. At any rate, whether deliberately or by being pushed through
\textsuperscript{47} See Dave Hage, \textit{BE&K Troubles With State Unions Part of Wider War}, STAR-TRIB., Aug. 6, 1989, at A12, available in 1989 WL 3808301. Hage states "The unions didn't waste any time declaring war once Boise announced its choice of BE&K last February. The United Brotherhood of Carpenters, which represents 60,000 paper mill workers as well as thousands of construction workers, has launched a national campaign against BE&K that includes bumper stickers, T-shirts, and a 13 minute videotape documentary on BE&K. \textit{The Viking Bar, a union watering hole in International Falls, has been screening the video for patrons.}" Id. (emphasis added). In an earlier piece, we described I. Falls in the following terms: "International Falls prides itself on being the 'ice-box of the nation' in a state known for its union activism. In the Falls, almost everyone is organized. Democrats belong to the DFL (Democrat, Farm, Labor) Party." Wines & Learned, \textit{supra} note 5, at 203. According to a participant in the picnic, BCC leased a local resort in the International Falls area for a day and threw a picnic with free champagne to celebrate its new "labor contract" in the summer of 1989 and "not one union member showed up." Telephone interview by William A. Wines with W.S. Scheela, Ph.D, an International Falls native and management professor, Minnesota State Universities (Oct. 6, 1989).
\textsuperscript{48} See Wines & Learned, \textit{supra} note 5, at 207-08. BCC Officers knew BE & K would be unpopular in International Falls but cited figures they claimed showed that its bid was $40 million below the lowest unionized general contractor, Fru-Con out of St. Louis, Mo. \textit{Id.}
\textsuperscript{49} Larry Oakes, \textit{Perpich Hopes Competitors Can Change Boise Stance}, MINNEAPOLIS-ST. PAUL STAR TRIB., Aug. 6, 1989, at 17A.
\textsuperscript{50} See Wines & Learned, \textit{supra} note 5, at 207.
\textsuperscript{51} \textit{See id.}
the back door, the Minnesota Building and Construction Trades Council had made its decision: the wildcat strike signaled that the dispute would take the form of distributive bargaining.
Distributive bargaining suggests that two parties have no overriding structure or common language by which conflict can be resolved by reason. Rather, power, sometimes raw, undisguised power, becomes the only valid syllogism. The relationship between the two parties becomes a zero-sum game, and in distributive bargaining's most extreme manifestations, give-and-take and compromise become impossible. Ideological polarization occurs, and coercion becomes the only tool by which the two parties influence each other. . . .
Eventually, BE&K elected to cancel the union subcontractors for failure to perform and replaced them with non-union subcontractors. On September 9, 1989, the situation in the Falls blew up and hundreds of people rioted over the use of sub-contractors on-union construction trades labor by BE&K. The rioters overpowered the local police force, flipped cars over, and burned a temporary housing camp that BE&K had constructed for its workers — complete with barbed wire fencing and obviously inadequate security. The damages were estimated to be $1.3 million. Throughout the wildcat strike and the other labor problems, the BCC mill employees operated the existing mill without interruption. Eventually, the new expansion was completed and came on line. Some former BCC workers served time for rioting, lost their jobs, and many continue to live in the Falls. Some of them commute hundreds of miles each way to jobs in the Twin City metro area and are only home on weekends. Members of some families are still not on
52. Michael V. Woodhouse, Union Strategies to Prevent Non-Union Construction: The Case of International Falls, Minnesota 35-36 (1990) (unpublished M.A. thesis, Oxford University) (on file with authors).
53. The dispute generated litigation that ended in a U.S. Supreme Court decision, Nat'l Labor Relations Bd. v Town & Country Elec., Inc., 516 U.S. 85 (1995). In a rare review of a case involving the National Labor Relations Act, the court in an opinion by Mr. Justice Breyer held that the termination of an electrician by the employer for being a paid union organizer was an unfair labor practice.
54. See Wines & Learned, supra note 5, at 208.
55. Union Flap Sparks Riot in Midwest, IDAHO STATESMAN, Sept. 10, 1989, at 1A.
56. Boise Protest Erupts Into Riot, DAILY J., Sept. 11, 1989, at 1, 6-9. For sake of perspective, BCC recorded sales of $4.3 billion in 1989 and posted record high profits of $289.1 million for calendar year 1988. Jim Bowers, Boise Cascade Sets Profit Record, IDAHO STATESMAN, Feb. 23, 1989, at 1A. Thus, for less than 14% of its previous year's profits, Boise Cascade Corporation could have employed a unionized general contractor and avoided the bloody conflict and property destruction in Minnesota as well as the confrontation with then Minnesota Governor Rudy Perpich. Clearly, Yankee dollars took precedence over people and social welfare.
57. Ironically, a Boise Cascade Corporation publication entitled "Directions for Boise Cascade," dated June, 1988, summarizes the BCC mission statement and declares that
speaking terms as a result of the choices and positions they took in 1989.
In an interview at BCC Headquarters on February 1, 1990, Jon H. Miller, then President and Chief Operating Officer, said "...What we did [at International Falls] was legal as hell, morally right, logical, and what any businessman would do..."58 Moreover, Miller declared that BCC was not anti-union but believed in the free market theory of labor. "The economic power in a mill town [of the mill owner] is such that it's Boise Cascade's way or you can go pump gas..."59 Ironically, Miller who claimed the moral high ground left BCC suddenly less than nine months later "to pursue personal interests."60 Even after Miller's departure, the issue of whether BCC is anti-union continues to be debated both in and out of the press. One carpenter's union official described BCC's top management as "...leaders in a willingness to break strikes" and BCC as a company embracing a "hard-line anti-union attitude...."61
The latest labor conflict was a walk-out at the Salem, Oregon corrugated container plant where hourly workers struck to protest the breakdown of negotiations with BCC on April 21, 1997. More than one year after workers voted to be represented by Association of Western Pulp and Paper Workers based in Portland, the workers had not been able to negotiate a contract with the company.62
Council, Idaho.
In March, 1995, BCC closed its mill in Council, Idaho (pop. 831). In November, 1995, news reports indicated that the some of the equipment from the Council mill had been shipped to Papanoa, a small town on the Coast of Guerrero, Mexico where BCC had leased an inactive saw mill. BCC plans to log millions of board feet of old-growth forests, over a five-year period, and ship the logs to its processing mill. In August, 1996, BCC purchased a new planer and had it shipped to the Papanoa mill site. BCC had opened another mill further down the coast in Guerrero, according to local sources, at year's end.
---
58. Interview of Jon H. Miller, President and Chief Operating Officer, by Kevin E. Learned and William A. Wines, faculty at Boise State University, in Boise Idaho (Feb. 1, 1990).
59. Id.
60. IDAHO STATESMAN, Oct. 19, 1990, at 1A.
61. IDAHO STATESMAN, Sept. 24, 1989, at 1E.
62. James Sinks, Boise Cascade Workers Strike Oregon Stoppage May Idle Nampa Plant Too, IDAHO STATESMAN, Apr. 22, 1997, at 10B, available in 1997 WL 10199294.
Rumors continued to swirl during 1997 at the BCC mills in Cascade, Emmett, and Horseshoe Bend, Idaho and in LaGrande, Oregon that similar fates awaited those mills. Among characteristics that Emmett and LaGrande share with Council, Idaho are that the mills in all three places are unionized and that workers had rejected BCC contract offers in 1994.\textsuperscript{63} The rejection of the BCC offers followed three straight years of financial losses. There seems to be a climate of distrust, at least among significant portions of those communities. In addition to the Council, Idaho mill, BCC has also closed its sawmills in Yakima, Washington and Joseph, Oregon — also citing shrinking timber supplies.\textsuperscript{64} Let us turn to the situation in the State of Guerrero before generating any further analysis.
\textit{State of Guerrero, Mexico.}
Richard Parrish, senior vice president of BCC's building products division, in a local interview, declared that "diminishing timber supplies, brought on in large part by the ground swell of endangered species designations, starting with the white spotted owl in 1992, is drying up local and regional supplies. . . ."\textsuperscript{65} However, BCC did not close the Council mill last spring with the intention of moving it to Mexico; and the BCC move to Mexico does not foreshadow the inevitable end of timber operations in Idaho. All of these statements were designed to "set the record straight" according to Parrish who further declaimed that "the environmental watchdogs down south are just as diligent as they are in the United States. . . ."\textsuperscript{66} But according to freelance journalist John Ross, who has lived and worked in Mexico for many years, environmental regulation varies a great deal between the two countries. In a recent article published in \textit{Sierra Magazine}, Ross states "even at its most vigorous, environmental regulation in Costa Grande can be best described as lax. . . ."\textsuperscript{67}
Parrish's declaration of environmental parity strikes us as counterintuitive as well as incompatible with any knowledge of the different cultures in the two countries. In particular, it sounds disingenuous when one examines the events that led up to the BCC logging controversy. On June 28, 1995, two pickup trucks loaded with Mexican peasants were ambushed by state police at Aguas Blancas; this massacre
\begin{itemize}
\item[63.] The Idaho Statesman, 1994.
\item[64.] The Star-News, 1996.
\item[65.] Mark Carnopis, Mexico Sawmill Said Just Global Strategy: Boise Cascade Says Company Looking for Timber Reserves, Not Cheap Labor, \textit{IDAHO BUS. REV.}, Jan. 1, 1996, at 1, available in 1996 WL 8420972.
\item[66.] \textit{Id.}
\item[67.] Ross, \textit{Treasure}, supra note 10, at 22.
\end{itemize}
did not "occur in a vacuum. . . ." The Minnesota Advocates' report declares "Guerrero is one of Mexico's bloodiest states. . . ." Even though this mountainous state is saturated with a "dangerous mixture..." of poverty, political violence, illegal drug trafficking, abusive police forces, and other elements, the Minnesota Human Rights group found that the Aguas Blancas massacre did not appear to be related in any way to armed insurrection activity.
Rather, the report of the Minnesota investigation states that months of tension between the Governor Ruben Figueroa Alcocer and the OCSS (a Southern Sierra Peasant Organization) over the expropriation of timber on communal land erupted into the murderous assault on OCSS members that morning. Prior to the massacre, the OCSS, founded in early 1994 to represent poor compensinos, had aggressively and sometimes illegally opposed logging. In one instance, it disabled a crane and in another, it hijacked a logging truck. Not all of its methods involved physical confrontation. On May 3, 1995, representatives of the OCSS met with Governor Figueroa in Tepetixla to press demands for agricultural supplies which had become hard to get as a result of the devaluation of the Peso in December 1994 and the ensuing economic crisis. The two sides reportedly reached agreement.
But on May 18th, just a little over two weeks later, the OCSS staged a demonstration in Atoyac de Alvarez to protest the governor's apparent default on the agreement, to denounce recent human rights violations, and to celebrate the anniversary of the guerrilla insurgency commenced by Lucio Cabanas in 1967. Hundreds of OCSS members, some carrying machetes and others armed only with clubs, blockaded the city hall overnight and effectively held captive the municipal president. In the following weeks, more demonstrations were held and planned and one OCSS member "disappeared" from Atoyac de Alvarez. The OCSS complained of police surveillance of its office in Tepetixla, and the Governor reportedly met with various law enforcement personnel at the Governmental Palace on June 26 to make plans to stop another OCSS demonstration planned for Atoyac de Alvarez on June 28th.
The actual number of police agents present at the massacre is disputed; OCSS survivors claim the number is in the hundreds but the police claim only thirty agents were present. When the shooting ended, seventeen peasants were dead, twenty four peasants were wounded, and two policemen were hurt. The dead included men and women between the ages of 20 and 75 years; and the wounded included men and
---
68. *Massacres in Mexico*, CITATION, at 4 (Minnesota Advocates for Human Rights 1995).
69. *Id.* at 4.
70. *Id.* at 5.
71. *Id.*
women between the ages of 17 and 73 years. Some of the dead were shot at point-blank range; some were shot in the back from a distance of under three feet. Only the police had firearms.\textsuperscript{72} There followed clumsy attempts by the government to cover up the massacre accompanied by threats to both witnesses and victims.\textsuperscript{73}
\textit{John Ross Speaks in Boise, Idaho.}
John Ross, a journalist and author from Mexico City, traveled to Idaho's capitol city to address the deadly conflict over logging in the Guerrero region. According to Ross, BCC is logging in the vicinity of the June 1995 Aguas Blancas massacre, a massacre spurred by conflicts over logging.\textsuperscript{74} As Ross sees it, BCC logging runs a high risk of intensifying the social tensions that have historically led to human rights abuses.
Ross visited BCC's mill in the state of Guerrero, Mexico, in February, 1996. He also researched and inspected the site of the June massacre of 17 civilians. The massacre, which took place after BCC had signed a contract with the now disgraced governor of Guerrero, demonstrated the explosive social conditions in the region and revealed that social conflict and political assassinations in Guerrero often spring from struggles over land and natural resources. Some of those executed had warrants for their arrest dated the day after the contract with BCC was signed.\textsuperscript{75} On August 1, 1996, guerrillas attacked a Mexican Army convoy less than 10 miles from Papanoa, the site of BCC's mill.\textsuperscript{76}
Holding a press conference and lecture, Ross took BCC to task,
\begin{footnotesize}
\begin{enumerate}
\item \textit{Id.} at 9-32.
\item \textit{Id.} at 15-21.
\item "In the months prior to the massacre, the OCSS had engaged in a dispute with local leaders in Tepetixla, involving the expropriation of timber on communal lands. The OCSS employed aggressive, and at times illegal methods to achieve its goals, such as disabling a crane and commandeering a timber-hauling truck." \textit{Id.} at 5. "Two weeks later the logging was renewed and the first response of the farmers of the OCSS was to destroy two cranes belonging to the logging company, on the 10\textsuperscript{th} of May, and the confiscation of a truck loaded with wood, property of Epifanio Rodriguez, Friday the 12\textsuperscript{th}, according to Beningo Guzman, one of the representatives of the Organization." On the position of the OCSS: "It is the non-exploitation of the wood, because we see that with logging the water goes away, there are droughts, and also that when the wood is exploited, those who benefit are only a few, and for these reasons we don't harbor ambitions of exploiting the wood, not even if we were in power." "What they want is for us farmers to kill each other," says a leader of the OCSS about the wood problem. \textsc{Acapulco Weekly}, May 15-21, 1995.
\item Donald J. Smith, \textit{Boise Cascade Corporation in the State of Guerrero, Mexico: Environmental Impacts of Logging & Political Turmoil iii} (unpublished manuscript on file with authors).
\item John Ross, \textit{Logging Guerrero's Forest: Bloodshed Casts Doubts on Boise Cascade Project}, \textsc{El Financiero Int'l}, Feb. 26 -Mar. 3, 1996, at 11 [hereinafter Ross, \textit{Logging Guerrero's Forest}].
\end{enumerate}
\end{footnotesize}
claiming that it was either ignorant of the social and environmental consequences of logging in the region or was indifferent to it.\textsuperscript{77} In either case, the company has displayed a lack of social responsibility, disregarding possible human rights implications for the people of Guerrero, Mexico. Ross' visit was sponsored by the Alliance for the Wild Rockies, the history department of Boise State University, and the Idaho Conservation League. His press conference, lecture and slide show before 150 people at Boise State University, threw BCC into a frenzy. BCC's strong arm tactics caused a public "blackout" of Ross' talk, demonstrating that one TNC can effectively suppress media coverage even in a state capital in the U.S.A., where the press is supposedly free and vigorous.
Ross' press conference was attended by three TV stations, the Associated Press, and a free lance writer. A fourth TV station, one that initially broke the story on BCC's Mexico logging operations, and the shipment of mill equipment from its closed mill in Council, Idaho, to Mexico, failed to show. This TV station, a few weeks after breaking the first story, also covered the Alliance's December, 1995, press conference, where Alliance for the Wild Rockies ("AWR") challenged BCC to come clean on its Mexico investment. The day following that press conference, BCC pulled all of its advertising from the station.\textsuperscript{78}
The decision on the part of two of the three TV stations not to cover the issue on the nightly news may also be attributed to BCC's success at intimidation. The company went out of its way to discredit Ross and the Alliance in press releases and phone conversations, both singled out by the company for being "extremists." The Idaho Statesman Environmental Reporter, after a lengthy interview with Ross, also filed a news article. But the paper chose not to publish it. The AP apparently found the issue too complex, too controversial, or simply did not want to be hassled. This experience demonstrates the lengths to which BCC will go to discredit activists and to prevent critical views from being aired.\textsuperscript{79}
That John Ross had struck a nerve with BCC, however, was beyond doubt. The president of the region's major timber company personally called the president of BSU to complain about the university's sponsorship of Ross' lecture.\textsuperscript{80} Apparently, BCC's Wild West style corporate
\textsuperscript{77} See \textit{BOISE WEEKLY}, June 13-19, 1996, at 3.
\textsuperscript{78} Interview with Donald J. Smith, reporter and News Director of Channel 6 (KIVI-ABC), in Boise, Idaho (multiple dates between June and Dec. 1996).
\textsuperscript{79} Boise Cascade Corporation is a founding donor of the Center for the Defense of Free Enterprise, a think tank that provides direction to "Wise Use" Groups that oppose local efforts to protect the environment and encourage sustained yield usage. Anita Kerski, \textit{Pulp, Paper and Power: How Industry Reshapes the Social Environment}, \textit{ECOLOGIST}, July-Aug. 1995, at 148 [hereinafter Kerski].
\textsuperscript{80} \textit{The Guerrero Connection}, \textit{BOISE WEEKLY}, June 13, 1996, at 3.
culture lacks a wholesome respect for an open press, free speech, and a vital public sphere.
Yet, Ross' message is clear and precise. BCC has thrown itself into an area where logging exacerbates social tensions. While some within the local "ejidos" (the communal governing structure that controls regions of the forest) have conceded to the pressure of international capital and debt, others remain firm in their opposition to foreign logging operations. Many of the local farmers worry that logging leads to severe erosion and jeopardizes their dependence on water, as past logging has shown. Others watch with resentment as the locally processed timber and raw logs are exported north.
BCC is paying locals at the mill $4.75 a day while mill workers from Montana and Idaho shuttle through on monthly stints, paid the equivalent of $70,000 a year. Jumping on investment opportunities brought about by NAFTA, BCC has taken advantage of reforms in the Mexican Constitution made to accommodate NAFTA, opening the floodgates to foreign investment. As often happens in such situations, the results pit locals against one another, an outcome not unlike the conflicts orchestrated in the American Northwest by timber giants such as BCC.
In August, 1996, BCC, conceding that it intends to further downsize its Idaho operations, permanently laid off 40 of its mill workers, representing nearly 15 percent of its labor force in Idaho mills. BCC gave the same old and tired, but so far successful, explanation for the layoffs: a lack of federal timber due to environmentalist's appeals and lawsuits.\(^{81}\) The company also complained about a lack of access to big trees. In Mexico, however, BCC finds a plentiful source, as they say, of "raw materials."
A week before the layoffs, and at a time when southwest Idaho's ponderosa forests suffer from over-logging, a timber sale put up for auction by the Boise National Forest went begging (the third in a row). The North Gold Green clear cut sale offered up old-growth ponderosa
\(^{81}\) According to Dave VanDeGraff, Idaho Regional Timberlands Manager for Boise Cascade in Emmett, Idaho: "frivolous administrative appeals and lawsuits against the U.S. Forest Service programs" have reduced access to trees for companies like BCC. Dave VanDeGraff, *Extreme Environmentalism Often Occludes Path to Good Forest Science*, IDAHO STATESMAN, June 22, 1997, at 15A. However, some of the facts on the public record do not seem to completely support these assertions. For instance, between December 31, 1993 and March 31, 1995 (before the Salvage Logging rider to the Congressional Appropriations Bill), 3.3 billion board feet of timber were offered for sale on all National Forests; and less than one-third of these were appealed, including the 265 million board feet Boise River Wildfire Recovery Project. Out of the 1 billion board feet appealed, only 15 mmbf were delayed, Eighty-six million board feet were delayed due to litigation (about 2.6 percent of the total sales).
pine.\textsuperscript{82} But BCC knows better. Why purchase some of the remaining old-growth in Idaho and risk bad publicity when it comes a lot cheaper in Mexico . . . and Russia, South America, etc., where environmental regulations and environmental activists are virtually non-existent.
Along with other TNC's and some government agencies, BCC perpetuates the myth that economic well-being is dependent on environmental abuses, and that environmental protections are too costly. It also seems committed to self-serving justifications for its conduct and conveniently absent-minded about hard-nosed business rationales that might inflame adverse public reactions. By shifting public attention away from the boom and bust, non-sustainable forestry favored by the Forest Service and timber industry,\textsuperscript{83} the company successfully pits one sector of society and the economy against another, a strategy also at work in Mexico, where the results are even deadlier.
\textit{SPIN ANALYSIS}
Corporate Spin #1: BCC denies any relationship between the closure of its Council, Idaho mill and the opening of operations in Mexico.
In March of 1995, BCC closed its mill in Council, Idaho. The mill, which was equipped to handle only the largest logs being harvested was closed rather than being retooled to handle smaller logs. Coinciden-
\textsuperscript{82} BCC did eventually buy the North Gold timber, 5.6 mmbf, on September 18, 1997 – the third time it was offered for sale. Report of Timber Sale, USDAFS, Sept. 18, 1997.
\textsuperscript{83} "Loggers are losing their jobs because of technological improvement. One person can cut in an hour what it took two people to cut in a day ten years ago. These jobs are temporary. The average timber job now only lasts 5 years (citation omitted). The forests are not being cut at a sustainable rate (citation omitted). These logging jobs are not sustainable." Michael T. Garrity, Research Fellow, Economics Department, University of Utah, \textit{Economic Analysis of the Northern Rockies Ecosystem Protection Act} 4 (1997) (unpublished manuscript on file with authors). At a global level, the world's forests are disappearing. In 1960, the world's national forests covered about 3750 million hectares. In 1990, this number had dropped to 3450 million hectares; and the projection for the year 2010 is 3250 million hectares. \textit{Concerns on Shrinking Forests} (visited Mar. 11, 1997) <http://www.canadas.net:80/wood/shrinkq.htm>. Mexico is one of the areas in the world where forests are shrinking the fastest. Approximately 50 percent of the of the labor force is unemployed; and a majority of the employed work for wages inadequate to care for a family. U.S. Department of State, \textit{Mexico Country Report on Human Rights Practices for 1996} (visited Mar. 12, 1997) <http://www.usis.usemb.se/humanr97/mexico.html>. A sawmill in Idaho laid off workers while modernizing its plant in 1995. These job losses occurred as local jobs increased. "Even with job losses at Potlatch Corp. in Lewiston, the Lewiston-Clarkson Valley had a net gain of 900 jobs this year through November, according to Douglas D. Tweedy of Lewiston, labor analyst for the Idaho Employment Department." "Potlatch management was quick to point out the company has invested $15 million in the sawmill over the last five years, a sure sign it has faith that it can be a money maker. A new log-processing center at the sawmill, which apparently wasn't quite right for the job, was replaced again for about $6 million." \textit{Growth Amid Timber Turmoil}, LEWISTON MORNING TRIB., Sept. 25, 1995, at 1A.
tally, within a month of the Council mill's closure, BCC had signed an agreement to begin a major timber operation in Mexico where old-growth trees and cheap labor are readily available.
BCC maintains that there is no connection between the mill closure in Council and the mill opening in Mexico. The company defended its actions in the Idaho Business Review, where BCC Senior VP Richard Parrish stated in part:
Between last April and the end of the year [1995], Boise Cascade reached an agreement with a mill in Ixpata to supply logs and buy the lumber by a second work shift.
At the same time, the company signed an agreement with the Mexican government about leasing a government-owned mill in Papanoa that had shut down.\(^{84}\)
The decision to go to Mexico and the decision to close Council were separable issues. We had never been to Mexico when we announced the closure of Council. In fact, by the time the mill closed, we still hadn't been in Mexico or had our first phone call."
The timing of the Mexico timber agreement and the subsequent events that have transpired since the closing of the Council, Idaho mill tell a different story. Two independent writers indicate that BCC's contacts in Guererro were initiated at least as early as February 1995.\(^{85}\) One month later, the Council mill was closed; and in April, BCC had publicly announced its contract with the state of Guerrero.
Last April 24, a brace of U.S. timber-company executives made the front page of El Sol de Acapulco, the state of Guerrero's most widely circulated newspaper. Along with Governor Ruben Figueroa, they were shown smiling as they signed the agreement that would bring BCC, one of the top wood-products producers in the United States, to Guerrero's Costa Grande, the conflictive, guerrilla-ridden stretch of coastline that winds between the luxury resorts of Zihuatanejo/Ixtapa and Acapulco.\(^{86}\)
Given this scenario, BCC's account of the initial contact and signing of the agreement with Guerrero strains credibility. The corporation's claims that "by the time the mill closed, we still had not been in Mexico or had our first phone call."\(^{87}\) BCC would have us believe that it had not entered into negotiations for the lease of the Papanoa mill until after the Council mill closure in March, 1995, but that miraculously
\(^{84}\) Carnopis, *supra* note 65, at 1.
\(^{85}\) See *supra* note 29 indicating NDG, Inc. contacted BCC in February 1995 and *supra* note 80 in which at least one anonymous source suggests contacts dating back to 1992. John Ross points to the February 1992 date.
\(^{86}\) Ross, *Treasure*, *supra* note 10.
\(^{87}\) Carnopis, *supra* note 65, at 15B.
BCC was able to seal the Mexican deal by April 24, 1995, a matter of only a few weeks.\textsuperscript{88} Things do not move that fast in Mexico, as almost anyone who has been there will testify.
Corporate Spin #2: BCC says that it was forced to close the Council mill due to a shortage of timber in Idaho because of stringent environmental restrictions and the consequences of environmentalists appeals and lawsuits.
According to BCC, its aggressive international search for trees is simply a part of its global strategy and attributes the closure of its Council mill to "timber supply changes taking place in southern Idaho. . . ."\textsuperscript{89} However, the amount of timber that has been offered for sale in southern Idaho forests would suggest otherwise.\textsuperscript{90} There have been a number of below-cost timber sales offered by the Boise National Forest that BCC refused to bid on, and subsequently went unsold.
For example, the 1995 Boise River Wildfire Recovery Project originally projected the logging of 265 million board feet of timber. When this project, which had been covered by a single Environmental Impact Statement (EIS), was sold in a series of smaller auctions, only 203 million board feet were ultimately sold. The reduced volume of timber sold was due to the lack of interest in the timber; many of these sales went without a bidder when put up for auction. The 17 sales were often the result of non-competitive bids, i.e., only one company bid on the timber. BCC's refusal to bid-up these sales, or bid at all on some of them, undercuts the assertion that it cannot acquire the needed logs to sustain its Idaho operations. The Boise River Wildfire Recovery Project in the
\textsuperscript{88} Interview by William A. Wines with John Ross in Boise, \textit{Id.} (June 6, 1996). One of Ross's sources indicated that Boise Cascade management had "made decision to go [to Mexico] in February, 1995." even though this timeline has been repeatedly denied by all BCC spokespersons. One source with family in Guerrero and who for that reason insists on anonymity says that negotiations for BCC logging in the Costa Grande can be traced to initial contacts in calendar year 1992. \textit{Id.}
\textsuperscript{89} Ross, \textit{supra} note 76, at 11.
\textsuperscript{90} "The future of Boise Cascade's Idaho sawmills is in jeopardy. Chairman George Harad lays the blame squarely on Forest Service policies that he says have severely limited timber sales. I'm very concerned about the viability of our mills in Idaho. And it's certainly not based on concerns about the productivity of the work force or the skills that they bring. But \textit{the fact is that the U.S. Forest Service sales program has, in effect, been brought to a halt.}" \textit{Chairman Says Company Might Have to Close Sawmills in Idaho}, \textit{IDAHO STATESMAN}, June 6, 1997, at 10B (emphasis added).
However, Boise Cascade Corporation's claim that timber availability has dropped off or declined or been halted does not square with the data. According to U.S. Forest Service figures, timber harvest in the Boise National Forest from 1982 through 1989 averaged a yearly cut of 76.4 mmbf. From 1990 through 1996, the yearly cut average was 105.2 mmbf. From 1982 through 1989, the forest sold a yearly average of 62.6 mmbf. From 1990 through 1996, the forest sold a yearly average of 114.7 mmbf. In the Payette National Forests, twenty percent of the 1996 timber offerings went without a bidder.
Boise National Forest was the largest sale in Idaho's history.\textsuperscript{91}
Also, a search of public records reveals that as of the end of calendar year 1996, BCC owned 154.9 million board feet of timber in the Boise and Payette National Forests alone that have yet to be logged. One of these sales that has not been harvested dates back to 1986. One wonders when the taxpayers can start charging storage?
Corporate Spin #3: BCC denies that its move to Mexico was to take advantage of the lack of environmental regulations in Mexico, compared to those in the U.S.
BCC Vice President John Parrish claimed that "the environmental watchdogs down south are just as diligent as they are in the United States . . . [S]o far, since we've been in Mexico, we've had to get 42 permits and we've been inspected twice, and everything's fine. I don't think that's a lot different then you'll find here...."\textsuperscript{92}
In Mexico, however, others disagree. Vice Minister of Natural Resources, Gonzalo Chapela stated: "I'm worried about the amount of wood this project will take out of the area...." Homero Aridjis, director of the prestigious Mexican environmental organization "Group 100" believes " there is no control over the way our natural resources are being exploited. Permission is granted to these foreign corporations without environmental-impact studies. It's all being done silently — the trees are cut down silently and they are exported silently. No one knows anything; everything is hidden ...."\textsuperscript{93}
In an article published in \textit{Ecological Economics}, the authors stated:
[I]t is concluded that in spite of Mexican environmental legislation and MDBs' [Multinational Development Banks] environmental policies, a combination of legal and institutional factors make environmental analysis irrelevant for megaproject design and implementation in Mexico. Also, misconceptions of the role of EIAs [Environmental Impact Assessments] obstruct proper application of environmental analyses . . . .\textsuperscript{94}
The authors went on to reveal that "given the way EIAs are being applied in Mexico, cancellation of projects on the basis of EIAs is unlikely . . . In reality, however, the Mexican bureaucracy maintains a reductionist and partisan view toward the environment that hampers environmental regulations and observance and efficiency...."
\textsuperscript{91} According to Robert Wolf, a retired research analyst with the Congressional Research Service, the Boise River Wildfire Recovery Project amounted to at least $15 million in below-cost. Robert Wolf, Analysis of Boise River Fire Salvage (August 1995) (unpublished paper, on file with authors).
\textsuperscript{92} Carnopis, \textit{supra} note 65, at 1.
\textsuperscript{93} Ross, \textit{supra} note 76, at 22.
\textsuperscript{94} International Lending and Resources Development in Mexico: Can Environmental Quality be Assured? \textit{ECOLOGICAL ECONOMIST} No. 5 (1992).
Furthermore, "[D]ecisions are frequently unrelated to the perceived needs of local communities or implementation differs completely from whatever was planned..."95
Contrary to the claims of BCC, environmental regulations in Mexico are not as stringent as they are in the U.S.. If environmental policy and enforcement between the two countries is similar, then how could BCC reasonably expect to be able to clear cut old growth forests in Guerrero without facing environmental challenges every step of the way as it claims to be the case in the United States? Even if the laws were the same, the commitment to enforcement is significantly different. The entire budget in 1990 for environmental enforcement by the Secretariat of Urban Development and Ecology (SEDUE), the agency charged with enforcement for the entire country of Mexico, was less than six percent of the budget of the State of Texas for hazardous waste and water pollution cleanup.96
Corporate Spin #4: BCC denies that its move to Mexico was designed in part to take advantage of the significantly lower wage scale prevailing there, compared to the wages BCC must pay for labor in the United States.
According to a BCC spokesman, BCC "currently has production plants in Tecpan, Papanoa, and Cocopa, where 187 local workers are employed at rates ranging from $1 to $1.25 per hour when converted to U.S. rates."97 "'It sounds very low, but to those folks it is very welcome,' Bartels said...."98 Yet, *El Financiero Internation Edition* in a story on logging Guerrerro's forests stated that the base pay at the BCC mill in Papanoa is $4.75 dollars a day.99 Even the $4.75 per day for a ten hour day is "well above the Mexican minimum wage, but barely a 30th of what Boise Cascade pays north of the border."100 And, yet, BCC denies heatedly that it is in Mexico to take advantage of low labor costs.101 *Sierra*, the magazine of the Sierra Club, stood by its story when challenged.102
Corporate Spin #5: BCC denies that its logging in the State of Guerrero is a "rip-and-run" operation. In an effort "to set the record
---
95. *Id.* at
96. C. Price, *The Logging Industry: Environmental Laws*, *Environmental Issues* 14 (Apr. 14, 1997) (unpublished manuscript on file with authors) (citing J. Ward & G. T. Prickett, *Prospects for a Green Trade Agreement*, 11 ENV'T., May, 1992, at 2.).
97. David Goins, *Boise Cascade Sawmill In Mexico Gets Slow Start Due to Rain, Roads*, *IDAHO BUS. REV.*, June 10, 1996, at 9A.
98. *Id.*
99. Ross, *supra* note 76, at 11.
100. Ross, *Treasure*, *supra* note 10, at 24.
101. Carnopis, *supra* note 87, at 1.
102. Richard B. Parrish, *Letter to the Editor: Boise in Guerrero*, *SIERRA*, Nov.-Dec., 1996, at 12.
straight," Richard Parrish, senior vice president of BCC's building products division said "[w]e hope we're there (Guerrero) for a long, long time. We have the wood bought, we think, for the next five years. But we're hoping for longer than that."103 In a letter to the Sierra Club magazine, Mr. Parrish also declared "[w]e (at BCC) believe that our presence in Guerrero will be constructive by providing employment, training, wages, and technical assistance in an otherwise depressed local economy."104
As early as June 6, 1996, John Ross, who was thoroughly denounced by BCC spokesmen, claimed the Guerrero logging expansion by BCC "has all the earmarks of a rip-and-run operation."105 After all, as Ross pointed out in interviews and in print, BCC had just leased the production facilities for five years.106 In February, 1998, Doug Bartels, BCC Timber and Wood Products Division spokesman, disclosed in an interview with local media that "the company is considering closing its 2-year old lumber operation in Papanoa, Mexico due to lack of adequate timber supplies and market factors." Bartels said "[a] decision on the Mexican mill probably will be made this year."107 Rumors had been circulating in Guerrero that the Papanoa mill would shut down and not reopen after the rainy season.108 Ironically, lack of timber supplies was the reason BCC gave initially for closing the Council mill and going to Mexico in the first place.
ANALYSIS OF CORPORATE BEHAVIOR
John Ross's article in Sierra Magazine provoked an unusual written response from BCC. In a letter over the signature of Richard B. Parrish, Senior Vice President, BCC demanded an apology from John Ross to "the people of Boise Cascade and the members of the Sierra Club..." for "his utter disregard for the truth...."109 Ironically, the letter from Parrish mistakes some of Ross's points. The editor of Sierra Magazine stated that the magazine stood by Ross's report. An element of dark humor can be found in an assertion that BCC, whose own distortions are detailed here, might be owed an apology for disregard of truth.
One of the most respected business ethicists in the USA has seri-
---
103. Carnopis, Mexico Sawmill said just global strategy? ID. Bus. Rev. (Jan. 1, 1996) at 1A and 15B.
104. Letters, SIERRA (Nov./Dec. 1996) at 12.
105. Interview with John Ross, in Boise Idaho (June 6, 1996) emphasis in original statement.
106. Ross, Treasure of the Costa Grande, SIERRA, July/Aug. 1996, at 22.
107. Steven Anderson, BC to Upgrade Cascade Mill, ID Bus. Rev. (Feb. 9, 1998) at 9A.
108. Telephone interview of Claudio Beagurie, January 29, 1998.
109. Id.
ously argued that the primary purpose for being of a corporation is to provide meaningful employment to its workers.\textsuperscript{110} In Guerrero, Mexican laborers turn in 10 hour days in a mill lacking rudimentary safety equipment\textsuperscript{111} for less than five dollars per day. BCC's "rip and run" approach to logging\textsuperscript{112} in lesser developed nations (LDN's)\textsuperscript{113} is also reflected in its attitudes towards labor unions and in its callous disregard for the damage its abuses of power cause in small communities.
A basic business ethics textbook states that we all have, at a minimum, three moral duties to third parties: (a) non-injury; (b) truthfulness; (c) fairness.\textsuperscript{114} Let us examine some of BCC's dealings with others against the three-fold minimalist construct of good citizenship. In breaking the Pacific Northwest strike (1978), the Rumsford, Maine strike (1980), and the DeRidder, Louisiana strike (1884), BCC displayed an eagerness to flex its economic muscle. Again, at Rumsford (1986) and in International Falls (1988), threatening, coercing, and devastating small town labor forces was the order of the day. In 1989, not content with dictating labor contract terms to eight unions inside the mill, BCC wanted to "turn the knife" in the open wound by having BE&K run off the construction trade unions on the edge of Minnesota's Iron Range, historically a bastion of union strength. At the very least, this history displays a pattern and practice of abuse of economic power and indifference to either injuring others or being fair. The Miller interview in 1990 captures the essence of top management's arrogance and moral blindness. The silencing of the media echoes the strong-arming of the \textit{Minneapolis Star-Tribune} in 1989. A mountain of evidence supports the allegation that BCC has made a habit of abusing its vast economic power.
Patricia H. Werhane, Dardin Chair in Business Ethics at the University of Virginia, developed the following six question protocol for determining the social responsibilities of a TNC's activities:
How can one test whether a particular set of activities is required,
\begin{footnotesize}
\begin{enumerate}
\item Norman E. Bowie, \textit{Challenging the Egoistic Paradigm}, 1 BUS. ETHICS Q. 1, 19. Professor Bowie holds the Anderson Chair in Business Ethics at the University of Minnesota, Twin Cities Campus.
\item See Minnesota Advocates, \textit{supra} note 70, at 6-7. Ross reported seeing Mexican workers at BCC mill in Papanoa working without hardhats, goggles or gloves around equipment with open gears and chains. Further, Ross said instead of face masks/breathing protection the Mexicans were wearing scarfs over their faces for the dust.
\item The lease of the mill in Papanoa is for a term of five (5) years. \textit{See} Ross, \textit{Treasure}, \textit{supra} note 10, at 22.
\item Boise Cascade's wholly owned subsidiary, Costa Grande Forest Products, rents two state-owned sawmills (INOGRO). The first at Papanoa and the second at nearby Tecpan. \textit{See} Ross, \textit{Logging Guerrero's Forest}, \textit{supra} note 76.
\item William H. Shaw, \textit{Business Ethics} 290 (2d ed. 1996).
\end{enumerate}
\end{footnotesize}
desirable, or questionable as part of multinational social responsibility? One might ask the following types of questions:
Is the set of activities necessary? "Necessity" is often defined as: what is needed in order to do business in that community. But, in order to justify engaging in allegedly socially responsible activities in a host country a multinational must consider two other provisos: is the activity necessary to redress harms created by the company and/or necessary because of the laws and expectations of that community.\textsuperscript{115} With these provisos one should ask:
Can the activity be carried out without interfering with the political sovereignty or social fabric of the host country?
If this activity requires social change, can it be carried out without social violence to the acceptable practices of that society? Or, more simply put, would such a set of activities be acceptable to dispassionate rational persons in that society, even when performed by "foreigners"?
Does this set of activities pass a "publicity" test? That is, can these activities be made public in the community in which they occur? Can they be made public internationally?
Does this set of activities coincide with, or not contradict, common sense moral principles by which the corporation operates in its home country?
Can such activities be conducted in cooperation with the host country or are there conflicts?
The sixth question is very important, because often one can engage in socially responsible activities (or avoid morally questionable ones) by making agreements with the host country.\ldots\textsuperscript{115}
Later in the same article, Professor Werhane observes that in some settings, \textit{not} doing business is the morally superior choice:
[P]roblems of paternalism, political and social interference, threats to national sovereignty, and lack of expertise are such that the moral responsibility of a multinational corporation may be simply not to interfere or even not to do business in a particular milieu.\textsuperscript{116}
In the case of BCC's decision to log old growth forest in Guerrero while shutting down the mills in Idaho, Washington, and Oregon, Werhane's advice seems particularly appropriate. Environmental degradation, aggravation of guerrilla warfare, and trashing the economies of Pacific Northwest communities can hardly be justified on a scale that is
\textsuperscript{115} Patricia H. Werhane, \textit{The Moral Responsibility of Multinational Corporations to be Socially Responsible}, quoted in Joseph R. Desjardins & John J. McCall, \textit{Contemporary Issues in Business Ethics} 535 (3d ed. 1996).
\textsuperscript{116} \textit{Id}.
balanced only by a fistful of Yankee dollars. An issue that must be addressed by the global community is how to restrain abuses of economic power such as BCC has demonstrated in the USA and Mexico. Our analysis section will focus on the international aspects since these are the most challenging and most serious issues.
**Part II. Regulating or Influencing Corporate Behavior in a Global Market.**
*Introduction.*
An examination of BCC as a company that is assumed to be representative of not only its industry but to some degree of US multinationals raises several distinct issues. Labor rights and relations, environmental concerns, and human rights are among them. Some aspects of these issues involve legal considerations, some ethical and moral ones. BCC disputes criticism of the ethics of its corporate practices.\(^{117}\) It contends that it has ceased some of its activities in the US and initiated others in Mexico, not to take advantage of cheaper labor and lesser environmental standards and lax enforcement, but because of inadequate timber supplies in the US and access to old growth timber in Mexico. It is clear that labor is cheaper and the environment less protected in Mexico and these advantages would have clearly been factored into any decision to exploit Mexican opportunities. In deference to BCC, these considerations however, may have been less significant, and perhaps substantially so, when compared to that of access to raw materials.
There are many factors that may effect international location and investment decisions. These include access to resources such as labor, raw materials, infrastructure and technology. Access to markets of products or services is also important, including the need to locate locally in order to avoid impenetrable or costly trade barriers. Several factors relate directly to various costs including labor, taxation, transportation and other utilities, and environmental and general government regulation. While costs are an important factor, it should be noted that the majority of foreign investment by US companies is in
\(^{117}\). In a presentation before the International Business Organization at Boise State University, 18 March 1997, Terry R. Lock, Senior V.P International for BCC, depicted BCC as a highly ethical corporation in its domestic as well as international activities. He did acknowledge the difficulty of holding to such standards in the global marketplace while BCC was committed to doing so. He cited for example, BCC's decision to halt existing practices of its new paper products joint venture partner in the PRC. After extensive negotiations resulted in the venture in China, BCC learned that it had been the common practice of its new partner to offer kickbacks in order to secure sales. The practice was quickly ended as a result of BCC demands resulting in an immediate loss of 90% of sales, much of which has been since recovered without use of the practice.
Canada, the European Union and Japan, countries with equivalent or higher cost structures. Finally, the presence or absence of competition will also be a factor. In and of itself, basing decisions on any one or combination of these factors may be neither good, bad, nor condemnable.
This does not, however, allay the fears and suspicions that labor and environmental costs which would necessarily have been incurred in the US can and have been avoided by the relocation of activities to Mexico or elsewhere. BCC is not alone. There continues to be a substantial relocation of jobs to Mexico by US firms, some accompanied by or possibly occurring as a result of labor factors.\textsuperscript{118} To be sure, to the extent that cost structures can be reduced, a firm will be more competitive. One view of corporate responsibility is that a firm exists to create jobs and make money for its investors; some circles dispute the former and some the latter.\textsuperscript{119} If a firm is not competitive, it will do neither very well unless it enjoys captive or protected markets. The essence of globalization, however, is that markets are not to be protected.\textsuperscript{120} Today, US firms whether competing domestically or internationally are subjected to often fierce competition from foreign firms, not only for inputs and markets but also for investment capital. In this environment, cost structures and return on investment become critical to success. To the extent then that US firms are governed by mandates or even voluntary additions to costs, they will be less competitive. In the domestic arena, if all competing firms are subject to the same regulatory costs, this is not a problem. However, even domestically, US firms may be competing against imports from foreign firms who are not in their home countries subject to similar levels of, for instance, labor and environmental costs. This is likewise a problem in international markets.
BCC's conduct and that of any TNC should be held up to the light of public scrutiny. Whether a firm's decision to locate or relocate in any given country or region is seen to be "legitimate" will depend on how a
\textsuperscript{118} Early last year, Guess Inc., began moving a majority of its U.S. manufacturing to Mexico and other countries south of the border following NLRB findings of evidence of unfair labor practices. Guess' chairman and chief executive was quotes as saying that the shift was mainly a "commercial decision" to "stay competitive" and "lower costs." He also said the company saves $1.50 to $2.00 per garment by using foreign labor. Rhonda L. Rhundle, \textit{Guess Shifts Apparel-Making to Mexico From Los Angeles Amid Labor Charges}, WALL ST. J., Jan. 14, 1997, at A2. As another example, "members of the International Union of Electrical Workers, stopped work yesterday to protest a steady shifting by the No. 1 auto maker's Delphi Automotive Systems parts-making unit of labor-intensive work to Mexico, where labor rates are lower." Gabriella Stern & Nichole M. Christian, \textit{GM Workers Begin Strike At Parts Site}, WALL ST. J., May 14, 1997, at A3.
\textsuperscript{119} See, e.g., Bowie, \textit{supra} note 110.
\textsuperscript{120} This opening up of markets and allowing the free flow of capital will have, and to some extent, already has had profound effects on societies. See, e.g., W. GREIDER, \textit{ONE WORLD, READY OR NOT} 333-59 (1997).
society morally and legally defines the role of corporations. We may legally define certain standards and morally expect other ones.\textsuperscript{121} If the latter are not met we may decide to replace them with legal standards to the extent such compulsion is possible and effective. Whether legal compulsion is possible or effective will depend in part upon the exercise of jurisdiction but it will also be affected by other constraints that a corporation sees itself as being subject to. A corporation may perceive, and perhaps rightly so in some cases, that its continued viability is determined more by the lower cost structures of its competition than by compliance with home country laws. While this may occur domestically, it is perhaps more possible when operating outside of the country. Corporate personnel may be willing and even anxious to meet not only legal but even higher moral standards in their conduct but in effect feel that they are forced by the realities of corporate finance to meet the competition at a lower cost level of behavior. This may also result in capital or business flight to other countries in order to avoid US regulation altogether, a problem equally as worrying as noncompliance. Therefore, government attempts to realize minimum standards in labor and the environment as well as other spheres of corporate activity must also effectively address issues of competitiveness in the global marketplace.
It is misleading to try to treat this entire area generically. Obviously, not only do firms compete against each other for market share. Workers compete against other workers, both in the same and other countries, for jobs; and countries, or states within countries, compete for investment and its attendant employment, technology and income generation. What is of primary concern herein is the efficacy of attempts by governments to pursue public policies directed at business in a world where national borders are increasingly less significant in defining corporate conduct due to the effects of globalization. It must also be understood that this is not only a US versus nations with lower standards problem. It is generally characterized, especially regarding labor and environmental issues, as developed or advanced countries versus less developed countries. However, even the US attracts substantial foreign investment from other developed countries' multinational corporations because of its relatively lower wage rates and less demanding workers rights provisions.\textsuperscript{122}
\textsuperscript{121} See Edmond Cahn, The Moral Decision: Right and Wrong in the Light of American Law (New Midland ed. 1981) (1955).
\textsuperscript{122} While European companies locate in the U.S. for a variety of the reasons listed previously, one factor is its less costly and more flexible labor market. \textit{See Firm to Sell US Unit at Center of Labor Flap}, (visited June 3, 1997) <http://www.joc.com>, which highlights the fact that European laws do not allow for the permanent replacement of striking workers while it is possible in the U.S.
Possible Spheres of Corporate Conduct and Direct Government Action.
For corporate conduct not likely to be self-generated, regulation and enforcement are usually thought to be necessary. As discussed, such voluntariness might be lacking due either to lack of corporate moral imperative or, in spite of moral inclinations, due to overriding competitive concerns or constraints.\textsuperscript{123} In some instances, competitiveness will not be lost but merely diminished. In such cases, it might be possible or encouraged that such corporations continue to hold to higher standards whether or not such efforts have the effect of raising the conduct of other corporate actors by offering competitive products with the attendant moral, if not economic, advantages.
However, it remains that to the extent that regulatory constraints impose new costs, e.g. taxes, or internalize previously externalized costs, e.g. labor or environmental standards, there will be a corresponding effect upon competitiveness. The degree of such effect will depend upon the extent to which any resulting productivity or market gains are not equivalent to such costs and to the extent that a significant number of competitors are not also subject to such costs.\textsuperscript{124} Unilateral attempts to level the playing field by the regulatory imposition of such costs upon foreign corporations in turn raises the issue of jurisdiction. The US has regularly pushed the limits of its own jurisdiction. It has long been notorious for its extraterritorial reach in antitrust matters to the extent that many countries have often responded with their own defensive legislation to impede compliance with US legislation and procedures.\textsuperscript{125} This has also happened recently in response to the
\textsuperscript{123} David Korten, formerly of the Harvard Business School, argues that unless a corporation is either not subject to competition or is privately owned and very socially conscious, it is "virtually impossible to manage a corporation in a socially responsible way." It will either be driven out of the market by less responsible competitors, subjected to unfriendly takeover attempts or its management replaced by shareholder action seeking quicker and larger returns on investment. Korten, \textit{supra} note 8, at 26.
\textsuperscript{124} While it is possible that certain imposed or voluntary standards can have positive productivity effects, for instance on worker morale and initiative or upon market share, e.g. "dolphin safe," for the large part the major problems exist in areas where the resultant "good" may be a predominantly public one where the firm is unable to capture sufficient amounts of the social gain in order to fully offset its costs. This is clearly the case with many environmental standards.
\textsuperscript{125} For instance, Australia enacted its Foreign Proceedings Act (1976) to prohibit cooperation with foreign antitrust proceedings unless it has been determined that the exercise of jurisdiction is consistent with international law, and its Foreign Antitrust Judgments Act (1979) to restrict the enforcement of foreign judgments if such jurisdiction has been exceeded and to allow a "clawback" judgment in Australia against any foreign firm receiving satisfaction in whole or in part of such a foreign judgment against an Australian firm. See generally John H. Jackson, William J. Davey & A.O. Sykes, Legal Problems of International Economic Relations 1086-89 (1995).
Helms-Burton Law enacted by Congress in 1996.\textsuperscript{126}
As it pertains to the area of commercial activity, jurisdiction under international law usually rests upon either or both of the two most accepted principles of territoriality and nationality. Territoriality would subject persons and things within a country's national territory to its rule-making authority. Under the nationality principle, US jurisdiction extends to US nationals, whether legal or natural persons, wherever they may be. Under this principle, however, it has been contested whether US jurisdiction applies to the conduct of foreign subsidiaries of US corporations and less so for non-controlling US shareholder interests in foreign corporations.\textsuperscript{127}
Another basis for jurisdiction, the "effects doctrine," has not achieved general acceptance in customary international law.\textsuperscript{128} This doctrine would bring conduct occurring outside the US but which causes direct, foreseeable and substantial effects within US territory under the jurisdiction of US authority.\textsuperscript{129} The doctrine has been accepted by both the US and the EU but, as might be expected, it is more broadly interpreted and applied by the US.\textsuperscript{130}
The scope of commercial activity that might be the target of US or other national legislation can be divided into several sectors. Activities can include trade in goods, trade in services, technology transfers, investment (both active and passive), and cross border movement of persons. For jurisdictional purposes, activity can also be divided as follows:
1. Activity within the US of US and Foreign Corporations;
\textsuperscript{126} Canada, Mexico and the EU have all enacted counter statutes in response to Helms-Burton. \textit{See EU to Allow Countersuits to Foil U.S. Anti-Cuban Law}, WALL ST. J., Oct. 29, 1996, at A18; John Urquhart, \textit{Wall-Mart Pulls Cuban Pajamas from Canada}, WALL ST. J., Mar. 6, 1997, at A3.
\textsuperscript{127} \textit{See} European Communities, Comments on the U.S. regulations concerning trade with the U.S.S.R., 21 I.L.M. 891, 893 (1982) [hereinafter EC Comments].
\textsuperscript{128} \textit{Id.}
\textsuperscript{129} The Supreme Court's most recent statement on the extraterritorial reach of antitrust law was in \textit{Hartford Fire Ins. v. California}, 509 U.S. 764 (1993) where the Court deemed it "well established by now that the Sherman Act applies to foreign conduct that was meant to produce and did in fact produce some substantial effect in the United States." \textit{Id.} at 796. More recently, the First Circuit Court of Appeals extended Hartford to include criminal antitrust laws as well as civil actions. \textit{See} United States v. Nippon Paper Indus., 109 F.3d 1 (1\textsuperscript{st} Cir. 1997).
\textsuperscript{130} In Wood Pulp, 1985 O.J. (L85) 1; Common Mkt. Rep. (CCH) 654 (1985), the European Court of Justice appeared to add the requirement that a defendant must participate in the implementation of the restrictive agreement, meaning actual activity within the EC, in addition to such implementation having effects within the EC. The ruling therefore fell short of the extent of jurisdiction exercised by U.S. courts. \textit{See} Andrew N. Volmer and John Byron Sandage, \textit{The Wood Pulp Case}, 23 INT'L LAW. 721 (Fall 1989).
2. Activity outside the US of US Corporations;
3. Activity outside the US of Foreign Corporations with direct economic effects within the US either upon: competitors, consumers or citizens generally;
4. Activity outside the US of Foreign Corporations with no direct economic effects within the US.\textsuperscript{131}
Categories 1 & 2\textsuperscript{132} present few problems of jurisdiction, though both, and particularly #2, present the usual difficulties of detection and enforcement. Both categories also present the problems of competitiveness. In #1, as regards trade in goods, competitiveness of US corporations \textit{vis a vis} non-US corporations in US markets, can be effected where imports from foreign corporations are not subject to similar home-state cost requirements.\textsuperscript{133} In #2, this competitiveness problem also applies in foreign markets as to all commercial activities. Government action in sphere #3\textsuperscript{134} based upon the "effects" doctrine, will increasingly encroach upon sensitive issues of extraterritoriality, and correspondingly interference with the sovereignty of trading partners. Also in #3, as referred to above, where the US has applied regulations to US foreign subsidiaries which are nonetheless foreign legal entities, the nationality principle of jurisdiction has been contested. Finally, ab-
\textsuperscript{131} Activity outside the U.S. by U.S. corporations could also be divided into those activities with (Category 3) and those without (Category 4) direct economic effects within the U.S. Given the generally accepted jurisdiction over nationals of a country, however, regardless of location, such a distinction is not necessary in the present discussion.
\textsuperscript{132} Examples of legislation under category #2 include the taxation of income derived overseas by U.S. entities, the Foreign Corrupt Practices Act, and Title VII which prohibits discrimination by U.S. companies with regard to U.S. citizens under the Civil Rights Act of 1991. Title VII does not apply directly to foreign subsidiaries of U.S. companies but does hold the U.S. company itself responsible for conduct engaged in by any foreign corporation that it "controls," which may be satisfied by a holding of a 25% of stock ownership. Title VII Pub. L. No. 102-166, § 109, 105 Stat. 1071, 1076-78. This category would also include the Clinton administration's recent ban on new US corporate investment in Myanmar (Burma) for its government's harsh treatment of its democratic opposition. See Eduardo LaChica and Paul M. Sherer, \textit{White House Fires Financial Salvo At Junta in Burma}, WALL ST. J., Apr. 23, 1997. The sanctions were imposed in May, WALL ST. J., 5-21-97, page 1, column 1, and may have been effective at harming U.S. business interests but not at changing Myanmar's government policies. \textit{Myanmar Sanctions Work}, J. OF COM., June 16, 1997, at 6A..
\textsuperscript{133} \textit{See infra} text accompanying note 141.
\textsuperscript{134} This would include antitrust where anti-competitive behavior abroad effects consumers in the U.S. through import trade, as well as conduct effecting U.S. exporters injured in foreign markets. The extension to coverage of export trade with or without direct harm to US consumers was effectuated in 1992 by the Justice Department. The authors are unaware of any actions yet taken pursuant to the change. This category would also include product liability actions in the U.S. against foreign producers which are resolved under the "minimum contacts" test developed under the due process clause of the U.S. Constitution. For both areas, the focus is upon impacts upon persons or things which themselves are clearly within U.S. jurisdictional reach.
sent clear multilateral support and/or clearly defensible human rights or other *jus cogens* arguments, and often even with these arguments, unilateral action under #4\(^{135}\) can be expected to draw strong opposition from trading partners.\(^{136}\) In categories #3 and #4, situations involving U.S. controlling and non-controlling shareholding interests in foreign corporations are especially difficult to deal with and rife with potential jurisdictional conflict. This is increasingly true with the advances of globalization and its attendant corporate structures.\(^{137}\)
*Indirect U.S. Action.*
To the extent that one country or even several countries acting independently cannot accomplish desired corporate compliance due to problems of jurisdiction or due to reluctance resulting from perceived impacts upon national competitiveness, the better forums would be international ones aimed at restraining all or at least a critical mass of
---
135. An example includes the administration's use in 1982 of authority under the Export Administration Act to regulate exports produced overseas by US subsidiaries that were bound for the Soviet Union in protest over its repression of the Solidarity movement in Poland. The EC responded that this was in excess of US jurisdiction as was the broader attempt to include less substantial links such as shareholding or licensing agreement. *See* EC Comments, *supra* note 127. In contrast, the Foreign Corrupt Practices Act does not on its face include US controlled subsidiaries incorporated elsewhere. 15 U.S.C. § 78dd-2 (1997). An example on the state level, would be the State of Massachusetts' government procurement ban regarding firms doing business in Burma, and potentially Indonesia. The EU initiated consultations in the WTO against the U.S. alleging this constitutes a violation of the Government Procurement Agreement negotiated under the WTO. *See A State's Foreign Policy: The Mass that Roared*, ECONOMIST, Feb. 8, 1997, at 32; WTO HOMEPAGE at <http://www.wto.org>. Finally, under the Helms-Burton Law, it is arguable whether "trafficking" within Cuba in property once nationalized by the Castro regime has a direct effect within the US even where US citizens have claims against Cuba relative to that property, placing it within this category.
136. The Helms-Burton Act has been unanimously condemned by major US trading partners in spite of US attempts to portray the central issue as pertaining to the fundamental principal of private property rights. An action in the WTO by the EU was suspended only after guarantees by the Clinton administration that EU companies would not be targeted by the legislation. *See* Bruce Barnard, *EU Approves Accord with U.S. Over Cuba, but Tensions Remain*, J. OF COM., Apr. 17, 1997, at 2A. The jurisdictional reach of Title VII, *see supra* note 132, seems a credible compromise solution in #4 situations. It is 1) tied to control which indicates the ability of a parent or shareholding company to effect corporate conduct and is a justifiable nexus for accountability; and 2) it is enforced only against the US parent or shareholding company resulting in a lesser extraterritorial impact.
137. For instance, Sun Microsystems recently announced plans to supply advanced encryption software from its overseas distributors to overseas customers. The software is licensed from a Russian supplier in which Sun holds a 10% interest. U.S. export controls prohibit the export of such products. The move illustrates not only corporate desire to meet customer demands and not lose to foreign competition but also the limits of governmental controls and jurisdiction. *See* David Bank, *Sun's Selling of Encryption To Skirt Policy*, WALL ST. J., May 19, 1997, at A3.
competitors. In these forums the US can attempt to encourage and/or coerce other governments to directly regulate corporate activity within their individual jurisdictions, whether or not such activity is reachable by US jurisdiction. This would include both unilateral U.S. action, e.g. granting favorable GSP tariff treatment in return for implementation of labor and environmental standards, and action within multilateral forums. Useable multilateral forums might be either directly coercive against target states where the resulting treaty or organization encompasses some sort of sanction powers, e.g. the World Trade Organization (WTO), or morally (indirectly) coercive where no sanctions are available, e.g. the International Labor Organization (ILO) for labor issues or various governmental and non-governmental organizations for human rights. The balance of this part of the essay will focus on US attempts to bring about a more level playing field internationally in the area of labor rights with some reference to initiatives in the environmental and other fields. U.S. government policies and actions might also be aimed at changing foreign government's behavior itself and not just how they regulate commercial activity, such as in the human rights area, however, this article will not focus on this use of US influence.
As one of the most potent sources of US leverage in international bargaining is control over access to US markets, a necessary preface to the following discussion is a brief review of GATT/WTO principles. The 1947 General Agreement on Tariffs and Trade (GATT) was an exercise of sovereignty that bound member countries to an obligation of nondiscrimination both as between similar products imported from different GATT members (most favored nation treatment or MFN) and as between similar domestic and imported foreign products (national treatment). Among the other "pillars" of GATT are a general prohibition of resort to quantitative restrictions, including zero quotas (bans), transparency with respect to domestic trade rules and processes, and a commitment to certain procedures of dispute resolution. These principles surround and further the central GATT activity of periodic negotiation of reciprocal reductions in tariffs and non-tariff barriers. In 1995, the GATT, following the eight year Uruguay Round negotiations, was absorbed under the umbrella of the new World Trade Organization (WTO) but maintained its essential characteristics with improved dispute resolution procedures. In addition, other economic sectors such as standards for trade in services and intellectual property protection were added to the WTO's scope applying principles similar to the GATT.
The GATT provides for various exceptions to its disciplines.\(^{138}\)
\(^{138}\) These include, among others, preferential tariff treatment between members of a free trade area, e.g. NAFTA, or customs union, e.g. the EU, and several general exceptions including actions necessary for the protection of human, animal and plant life and health and for the conservation of domestic resources.
However, the burden of proving the applicability of any exception used to justify otherwise GATT inconsistent behavior is on the member state claiming the exception. If GATT disciplines otherwise apply and an exception to them cannot be sustained, the discriminatory treatment of certain products for instance, if challenged in the WTO dispute resolution process, will be held to be in violation of GATT/WTO obligations. This will lead to either the voluntary cessation of such conduct or the freedom of injured complainant countries to respond with the removal of equivalent trade benefits.\textsuperscript{139} As a result, attempts by the US or any WTO member country to reduce or close existing access to its markets must either fall outside of GATT/WTO application or be sustainable under one of the GATT exceptions. With regard to nondiscrimination, on the key threshold question of the applicability of MFN and national treatment obligations, the issue of the similarity of products is often critical.\textsuperscript{140} If a rug made by the use of child labor bears no physical characteristics to distinguish it from any other rug, it cannot be treated differently absent the application of an exception to the nondiscrimination obligations. If imported paper is produced by environmentally unsustainable practices but such production does not render the paper physically distinguishable, it cannot be treated differently than paper produced through environmentally friendly processes. Similarly, if imported tuna is caught by use of dolphin killing purse seine nets, as it is the same as tuna caught with dolphin friendly techniques, it cannot be singled out for different treatment. This results in the inability of WTO members to discriminate on the basis of processes of production unless physical characteristics of the product are changed as a result and thus reduces the freedom to institute unilateral sanctions against products running afoul of domestically determined public policy standards, e.g. labor and environmental standards.\textsuperscript{141}
\textsuperscript{139}. \textit{See generally} WTO Understanding on Rules and Procedures Governing the Settlement of Disputes.
\textsuperscript{140}. The specific language is "like product", employed in Articles 1.1 (regarding MFN), 3.2 and 3.4. (regarding national treatment). The term is not defined except in the Anti-dumping Code, Art. 2.6, where it is "interpreted to mean a product which is identical, i.e. alike in all respects" or in the absence of such a product, one that "has characteristics closely resembling . . ." This definition, and the understanding of the term in other contexts, such as MFN and national treatment, prohibits treating products or producers of those products differently unless a distinction between the products can be made on the basis of physical characteristics.
\textsuperscript{141}. Therefore, while domestically, the US can regulate and control a) "products," e.g. safety and health standards for both domestic and imported products, and b) domestically occurring "processes," e.g. sustainable logging, pollution abatement, and labor standards, it cannot, under its WTO obligations, control processes used to produce imports in foreign countries, e.g. dolphin unfriendly tuna fishing, turtle unfriendly shrimping, clearcut lumber practices, and production of refrigerators with uncontained CFCs. While the US does continue to maintain certain indirect controls on foreign processes by way of controlling the access of resulting products to US markets, e.g. regarding dolphins and tuna caught
It should be stressed that GATT/WTO obligations do not directly prevent a country, such as the US, from acting in a manner inconsistent with such obligations. The US, for instance, currently maintains GATT inconsistent bans on tuna.\textsuperscript{142} It does mean, however, that there is a price that attaches to such exercises of sovereignty, namely that countries denied market access benefits as a result of such practices may ultimately, through resort to WTO procedures, be allowed to retaliate with the removal of equivalent market access benefits enjoyed by US products. Due to the fact that the US has for a long time been one of the world's most accessible markets, this quite often hampers U.S. attempts to take action.
This reinforces the position that multilaterally agreed upon solutions consistent with or overriding GATT/WTO obligations, for controlling corporate behavior are again the better approach. It must be added that the clear trend is towards expanding the scope of internationally agreed solutions to trade and other problems, both through the WTO and other forums. The WTO, as mentioned, has substantially expanded the application of GATT principles to include trade in services, agricultural products and intellectual property. Current initiatives would see global agreements on investment barriers, competition policy, corruption and labor standards, though clearly not all of these are aimed at controlling corporate behavior.
\textsuperscript{142} In February 1998, the US reached an agreement with 12 other countries under which it would lift its ban on tuna for any country that ratifies the new agreement. The agreement seeks to limit annual dolphin mortality incurred during tuna fishing in the Eastern Tropical Pacific Ocean. \textit{U.S. trading partners reach tuna-dolphin agreement}, 2, No. 5 \textsc{Bridges Weekly Trade Digest (Int'l Centre For Trade & Development)} Feb. 16, 1998, <http://www.ictsd.org>.
Efforts to "level" the playing field (influencing foreign corporations indirectly through encouragement or agreement among national governments to regulate them) include the following tools and/or forums:
**Unilateral**
- Generalized System of Preferences (GSP) [US, EU and most developed countries]
- Caribbean Basin Initiative (CBI) [US]
- Overseas Private Investment Corporation (OPIC) [US] and Multilateral Investment Guarantee Agency (MIGA) [World Bank]
- U.S. Trade Act of 1974, Section 301
- Antidumping/countervailing duties
- Unilateral imposition of sanctions based upon other statutory authority
**Multilateral**
- North American Free Trade Agreement (NAFTA)
- EU Social Charter
- International Monetary Fund (IMF)
- World Bank
- World Trade Organization (WTO)
- International Labour Organization (ILO)
**Other**
- Voluntary codes of conduct
- multilateral
- domestic
- industry
- corporate
- Labeling Schemes (e.g. "dolphin safe", "global social label")
As similarly reflected in the exercise of jurisdiction, the U.S., is far and away the most active in these areas. It has tied various preferential benefits, primarily directed at developing countries, to compliance with certain minimum labor standards. Access to lower tariffs through the US Generalized System of Preferences\(^{143}\) or the Caribbean Basin
---
\(^{143}\). For instance, so far in 1997, the USTR has initiated GSP eligibility reviews for
Recovery Act, or subsidized investment insurance through the Overseas Private Investment Corporation or the Multilateral Investment Guarantee Agency\textsuperscript{144} is made conditional\textsuperscript{145} upon the extension of "internationally recognized worker's rights" by the target country.
As of 1994, the EC has also conditioned its GSP benefits upon the absence of the use of forced labor and the export of goods made by prison labor. Myanmar is currently under GSP denial for the use of forced labor in road and irrigation works construction and other military projects.\textsuperscript{146} In 1998, the EC GSP scheme will provide additional preferences to beneficiary countries adopting and applying the equivalent of ILO standards for specified worker's rights.\textsuperscript{147}
Additionally, the US has added to its Section 301 trade weapon by recognizing the systematic denial of such rights as an unfair trade practice subject to countermeasures where US commerce is burdened or restricted irrespective of whether it would be justified under the GATT/WTO. There has been no action under this section to date with regard to worker's rights.\textsuperscript{148} Also, by some analyses in theory but not yet attempted in practice, antidumping and countervailing duties might be applied to imports where those products are under-priced as a result of the non-inclusion of adequate labor or environment-related costs due to inadequately mandated or enforced standards.\textsuperscript{149} Notable among
Guatemala, Belarus and Swaziland due to allegations of worker's rights abuses. \textit{Press Releases}, United States Trade Representatives Homepage (visited May 1997) <http://www.ustr.gov/>.
\textsuperscript{144} With regard to MIGA benefits, this is accomplished through the US implementing legislation where US agents are required to exert such pressure and influence as possible to deny benefits to countries not recognizing such rights. MIGA itself, as part of the World Bank institutions, does not tie the provision of insurance to respect for labor standards. 22 U.S.C. § 290k-2(1) (1994)
\textsuperscript{145} The "worker's rights" conditions are discretionary with the President who may waive them in regard to any country if he determines it to be in the national economic interest of the US. 19 U.S.C. § 2462(b) (1994).
\textsuperscript{146} Michael Vatikiotis, \textit{Grim Reaping}, FAR E. ECON. REV., Feb. 8, 1996, at 48, available in LEXIS, Busfin Library, Abi File; William Barnes, \textit{Burma on Knife Edge}, S. CHINA MORNING POST, Oct. 27, 1996, at 7, available in LEXIS, Topnws Library, Schina File.
\textsuperscript{147} These include freedom of association, collective bargaining and child labor. "The actual implementation of these incentives, as well as the level of the supplementary preferential margin, will depend on a 1997 Commission report on the results of work on trade and labour standards carried out in the ILO, the WTO, and the present OECD study." COM/DEELSA/TD(96)8, on OLIS: January, 19, 1996, para. 296 [hereinafter OECD Report].
\textsuperscript{148} Exec. Order No. 12661, 54 Fed. Reg. 779 (1988) [hereinafter Omnibus Trade and Competitiveness Act]. It is questionable in any event whether sanctions imposed under Section 301 for labor standards reasons would be consistent with GATT/WTO obligations if challenged under its dispute resolution procedures as there is no clearly applicable exception.
\textsuperscript{149} See Mark A. Buchanan, \textit{The WTO and Labour Standards: A Marriage Made in
other statutorily mandated sanctions is a ban on the importation of prison made goods\textsuperscript{150} and the Marine Mammal Protection Act under which the US has banned importation of both dolphin unfriendly tuna and turtle unfriendly shrimp.\textsuperscript{151}
The labor and environmental side agreements to NAFTA require each member country to enforce its own domestic labor and environmental laws. These agreements were specifically intended to discourage US businesses from moving to Mexico to take advantage of Mexico's lax enforcement of its labor and environmental laws but the effectiveness of these agreements is widely criticized.\textsuperscript{152} Anticipated extension of NAFTA to other Latin American countries, notably Chile, has been held up by the expiration of the Clinton administration's fast track negotiating authority. The non-renewal of fast track authority has been due to the insistence on the part of the administration that such authority include the power to negotiate labor and environmental obligations as part of any new agreements. This has been strongly resisted by Republicans.\textsuperscript{153} Democratic factions within the House led by Congressman Gephardt have resisted extension of NAFTA, and therefore fast track authority, and strongly resisted the grant of any fast track authority that did not make specific reference to labor and environmental issues. Furthermore, acceptance by unions, an important Clinton ally, of any fast track provision without labor and environment authority, is unlikely.\textsuperscript{154}
Indications are that Clinton might be willing to risk alienation of the unions as well as some within his own party in return for being able to work toward the expansion of NAFTA.\textsuperscript{155}
\textit{Singapore, in The Asia-Pacific and the Expanding Borders of the WTO: Implications, Challenges and Opportunities 190-92 (Mark A Buchanan ed., 1996) [hereinafter Labour Standards].}
150. Recent press over imports from China made by prison labor highlights the difficulty of enforcing this ban. J. OF COM. (May23, 1997) <http://www.joc.com>. Restrictions on import of products of prison labor are permissible under GATT, Art. XX(e).
151. \textit{See supra} note 141.
152. \textit{See NAFTA Labor Accord Not Working Well}, 4, NO. 4 NAFTA AND INTER-AM. TRADE MONITOR, Feb. 21, 1997, <http://www.sustain.org/bulletins>. There has, however, recently been evidence that the Agreement is having some indirect effect. Tom Shorrock, \textit{Mexico Approves Union at Taiwan-Owned Firm}, J. OF COM., Apr. 18, 1997, available in 1997 WL 8547444.
153. Helen Cooper, \textit{Clinton Seeks More Leeway in Trade Pacts}, WALL ST. J., Apr. 1, 1997, at A3.
154. AFL-CIO, \textit{Green Groups Call for Stricter Conditions on Fast Track}, INSIDE U.S. TRADE, Feb. 21, 1997.
155. \textit{See Mexico Approves Union at Taiwan-Owned Firm}, J. OF COM., Apr. 18, 1997, available in 1997 WL 8547444; Belo Horizonte, \textit{Pan-American Free Trade: Slow, but Ahead}, ECONOMIST, May 24, 1997 at 35, available in LEXIS, Busfin Library. The President has offered to accept fast track authority that allows labor and environmental issues
Impacting upon all other forums is the debate that has proceeded within the WTO. For many years, the U.S. has attempted to bring a trade and labor standards linkage into the world's leading trade association.\textsuperscript{156} In December, 1996, at the first biannual Ministerial Meeting following the establishment of the WTO, the U.S. mounted a campaign to create a formal role for the institution in the enforcement of core labor standards.\textsuperscript{157} This move envisioned the possible resort to trade sanctions where a country could show injury as a result of the disregard of core labor standards by exporting countries. The move was widely opposed by developing countries as well as by many developed countries as a protectionist attempt to remove comparative advantages in low cost labor and as an intrusion into their national sovereignty. The Ministerial Declaration that resulted from the meeting appears on its face to preclude the establishment of any formal linkage between trade and labor standards within the WTO framework and recognized the ILO as the appropriate forum for the discussion and for the formulation of appropriate responses.\textsuperscript{158}
As a result, the ILO, established in 1919, has been given a new lease on life.\textsuperscript{159} Long before the Singapore meeting, while doing credible work, it was regarded by many as a toothless tiger. US objections were generally twofold. First, ILO conventions were too numerous as well as too inflexible. The US, while maintaining that its own laws and labor regulations were consistent with recognized human and worker rights and even exceeded ILO standards, could ratify only a few of the ILO conventions, stating that many of the rest were in some part inconsist-
\textsuperscript{156} LABOUR STANDARDS, \textit{supra} note 149, at 180-82.
\textsuperscript{157} Core labor standards are fairly well accepted to include freedom of association, rights to organize and collectively bargain, prohibition of child labor, forced labor and discrimination in employment.
\textsuperscript{158} The Declaration did, however, provide for the continued "collaboration" of the WTO and ILO secretariats, an ambiguous statement that appears to validate some WTO involvement in the future. \textit{Ministerial Declaration} (visited Feb. 28, 1998) <http://www.wto.org/>.
\textsuperscript{159} "However, since the final Declaration of Singapore has turned over the whole question almost exclusively to the ILO, this particular debate [in the WTO] would now seem to be closed for the foreseeable future. So what exactly are we going to do?" \textit{Address at the Conference on Social Policy and Economic Performance by Michael Hansenne, Director-General of the International Labour Organization} (Jan. 23, 1997) <http://www.ilo.org/public/english/235press/speeches/dgams.htm>.
tent with US law and practice.\textsuperscript{160} Second, the ILO had no mechanism to hold even signatory countries to the standards required. The US sought greater accountability and therefore believed that the WTO would provide a more useful mechanism to directly link labor standards and trade sanctions.
As the debate within the context of the WTO escalated, the ILO began to deliberate on how it might meet the stated concerns and raise its game. The ILO Working Party on the Social Dimensions of the Liberalization of International Trade had been constituted in 1995 in part to examine the relationship between trade and labor standards. In 1996, it resolved to continue to monitor and interact with other international organizations working in the field and to examine the report of the OECD on trade and labor standards.\textsuperscript{161} This OECD report was primarily focused on analyzing current economic data on the link between core labor standards, comparative advantage and impacts on employment and investment.\textsuperscript{162}
Following the 1996 WTO Ministerial Meeting, the ILO has resolved to focus stepped up efforts begun in 1995 on increasing the number of signatories to the seven ILO Conventions relating to core labor standards.\textsuperscript{163} An initiative taken up at the annual meeting of the ILO Governing Body in March, 1997, proposed the extension of the ILO's surveillance mechanism, currently authorized only in the area of freedom of association rights, to the other core labor standard conventions.\textsuperscript{164} This mechanism would verify the application of core conventions in signatory countries, whether having ratified them or not.\textsuperscript{165} As recognized by the ILO, these initiatives will test the sincerity of those nations who opposed WTO involvement claiming that the ILO was the appropriate
\textsuperscript{160} Because of this, the US suffers from a credibility gap. It leads the ILO in drafting and signing conventions but then fails to lead the way in ratification. A similar credibility gap exists in the area of international environmental conventions. \textit{See} Carmelo Ruiz, \textit{WTO Singapore '96 Conference Report}, (Feb. 8, 1997) <http://[email protected]>; see also Chakravarthi Raghavan, \textit{Barking Up the Wrong Tree: Trade and Social Clause Links} (visited Feb. 28, 1998) <http://www/twnside.org.sg/souths/twn/title/tree-ch.htm>.
\textsuperscript{161} The ILO Working Party had released its own report on trade and labor standards but had failed to reach an internal consensus on how the issue should be dealt with. \textit{See} \textit{The Social Dimensions of the Liberalization of World Trade}, International Labour Office, GB.261.WP/SLD/1, Nov. 1994.
\textsuperscript{162} \textit{See} OECD REPORT, \textit{supra} note 147. The Report later failed to receive ministerial acceptance but was issued under the authority of the Secretariat.
\textsuperscript{163} Hansenne, \textit{supra} note 159. The seven conventions relate to freedom of association, rights to organize and collective bargaining, prohibition of child and forced labor and discrimination in employment.
\textsuperscript{164} Michael Hansenne, \textit{Report of the Director-General, The ILO, Standard Setting and Globalization}, (visited Feb. 8, 1997) <http://www.ilo.org/public/english/10ilc/ilc85/dg-rep.htm>.
\textsuperscript{165} \textit{Id}.
forum.\textsuperscript{166} They may also dissuade the US from pushing the issue in the WTO as long as the initiatives seem to be well received by other countries. If the ILO is not successful in gaining widespread acceptance of core labor standards, then a return to the WTO will depend upon the strength of sponsorship in the U.S., France, the U.K.\textsuperscript{167} and elsewhere.
Another move has been separately taken by the U.S. within the WTO framework. The USTR has begun to raise labor standards as an issue within the Trade Policy Review Mechanism (TPRM). Under this procedure, the trade policies and practices of WTO member countries are periodically reviewed for consistency with WTO obligations.\textsuperscript{168} Labor standards were first raised by the US in April of 1997, in the review of Fiji\textsuperscript{169} and indications are that it will be raised by the U.S. whenever it is deemed appropriate. The TPRM is not intended to be an enforcement mechanism but does serve to highlight troublesome areas in the international forum.
\textit{Codes of Conduct.}
Corporate codes of conduct, although not a new phenomenon, have regained public attention lately. We examine them here only briefly due to their voluntary and non-binding nature. Voluntary codes of conduct, such as product labeling schemes, are often designed to address consumer demands for more product information as well as improved standards of business conduct. Codes exist somewhere between binding legislation and internal corporate guidelines. They carry varying degrees of public accountability, corporate commitment, and rarely sanctions.
Codes of conduct can also issue from international organizations, such as the United Nations Commission on Transnational Corporations Draft Code of Conduct on Transnational Corporations\textsuperscript{170} and the OECD
\textsuperscript{166} Hansenne, \textit{supra} note 159.
\textsuperscript{167} At the same time that the US Administration appears to be cooling relative to the trade and labor standards linkage, Tony Blair, Britain's new Prime Minister, has indicated that signing on to the EU's Social Charter, a decidedly pro-worker agreement, will be a priority for the new government. George Melloan, \textit{Tony and Bill: Oxford's Gift to the 21st Century}, \textit{Wall St. J.}, Apr. 28, 1997, at A19. This could also indicate future U.K. support for a more global workers rights agreement.
\textsuperscript{168} While the TPRM's purpose is to "contribute to improved adherence... to [WTO] rules, disciplines and commitments," within which labor standards would not currently fall, the function of the mechanism is to evaluate "the full range" of a member's trade policies and practices and "their impacts" on the multilateral trading system. WTO Trade Policy Review Mechanism, Paragraph A(i).
\textsuperscript{169} \textit{See, e.g.}, Review of Fiji: Concluding Remarks by the Chairperson, TPRB, Oct. 4, 1997, available in WTO Homepage, <http://www.wto.org>.
\textsuperscript{170} The UNCTAD Code has been in draft form since 1980. It was part of the move within the United Nations towards a new international economic order (NIEO) and
Guidelines for Multinational Enterprises.\textsuperscript{171} They can exist on national levels, such as in the U.S., e.g., the Sullivan Principles, related to the anti-apartheid campaign in South Africa, the MacBride Principles for doing business in Northern Ireland, and the Macquiladora Principles for manufacturing processes across the Mexican border.
The Clinton Administration issued its voluntary Model Business Principles which encourage business in "upholding and promoting adherence to universal standards of human rights." The Principles relate to workers rights, the environment, corruption and fair competition. They specifically encourage U.S. companies to serve as models, influencing partners, suppliers and subcontractors, and to develop appropriate internal codes of conduct in supplement.
Codes sometimes are promulgated by industries. In April, 1997, a White House task force comprised of labor unions, human and consumer rights groups and apparel industry leaders, concluded a tentative draft of a code of conduct on workers rights and child labor. The code also addresses the issue of minimum wage and would apply to clothing firms and their contractors, whether producing in the U.S. or elsewhere. Companies adopting the code would be able to use a "no sweat[shop]" label on products. Substantial disagreement continues over implementation, enforcement and whether the code would call for a "living wage" rather than meeting each location's prevailing minimum wage. Enforcement options range from a newly created association to monitor compliance to internal audits. Actual monitoring of the hundreds of contractors in other countries will be very difficult. Companies signing the agreement include Nike, Phillips Van Huesen and Reebok, each of which have faced allegations of human and workers rights abuses in recent months.\textsuperscript{172}
Finally, like many companies, BCC has its own "Standards of Business Conduct."\textsuperscript{173} These standards cover employee compliance with laws and regulations regarding health and safety, equal opportunity
\textsuperscript{171} The OECD Guidelines include statements of principle regarding MNE behavior in disclosure of information, competition, employment, environment and other areas.
\textsuperscript{172} See, e.g., Wendy Bounds & Hillary Stout, \textit{Sweatshop Pact: Good Fit or Threadbare}, WALL ST. J., Apr. 10, 1997, at A2; \textit{Apparel Groups Find Proper Fit On Labor Rights} (April 14, 1997) <http://www.joc.com>; \textit{Dress Code: Stamping out Sweatshops}, ECONOMIST, Apr. 19, 1997.
\textsuperscript{173} Copy of Boise Cascade Corporation's Standards of Business Conduct (Mar. 21, 1997) (on file with authors and the Communications Department of Boise Cascade Corporation). The entire document is four (4) pages long and opens with this sentence: "Boise Cascade's policy is to conduct its business ethically and in compliance with all applicable laws of the United States and of each jurisdiction where it does business." \textit{Id.} at 1.
and minimum wage, the environment, antitrust and foreign payments. Compliance, monitoring and enforcement are strictly internal affairs.\textsuperscript{174} Some research suggests that corporate codes of conduct are frequently top-down documents designed primarily to protect the corporation if employees are caught committing white collar crimes.\textsuperscript{175} We are not familiar with any research showing a causation effect between corporate codes of conduct and better ethical conduct on the part of either management or employees.
If a corporation needed a guide on how to act in a foreign country, it could do worse than study the Universal Declaration of Human Rights that was adopted by the United Nations General Assembly in 1948 and which became the basis for The International Bill of Human Rights, ratified by member nations in 1976.\textsuperscript{176} In 1977, President Carter, on behalf of the United States, signed the two international covenants on human rights which, together with the Universal Declaration, make up the International Bill of Human Rights.\textsuperscript{177}
\textit{The Environment and other Developments.}
Similar, and in some cases more extensive, developments are taking place regarding international environmental issues. This includes the array of multinational environmental agreements such as the better known Convention on International Trade in Endangered Species (CITIES), the Basil Convention on Transboundary Movements of Haz-
\textsuperscript{174} The Boise Cascade Standards are available from the Corporate Communications Department, Boise Cascade Corporate Headquarters, One Jefferson Square, Boise, Idaho 83702 U.S.A. \textit{Id.}
\textsuperscript{175} See, e.g., Rick Wartzman, \textit{Nature or Nurture? Study Blames Ethical Lapses on Corporate Goals}, \textit{Wall St. J.}, Oct. 9, 1987, at 27. The article states "A Washington State University survey of ethical codes at 202 Fortune 500 companies found that 75 percent fail to address the firm's role in civic and community affairs. In addition, three-quarters of the codes fail even to mention some or all of the following: consumer relations, environmental safety and product safety. By contrast, more than three-quarters of the codes deal with conflicts of interest - which can affect the bottom line." \textit{Id.}
\textsuperscript{176} The following three instruments constitute the International Bill of Human Rights: Universal Declaration of Human Rights; International Covenant on Economic, Social, and Cultural Rights (ICESCR); and the International Covenant on Civil and Political Rights (ICCPR). \textit{See Universal Declaration of Human Rights}, G.A. Res. 217A, U.N. GAOR, 3\textsuperscript{rd} Sess., U.N. Doc. A/810 (1948); \textit{International Covenant on Economic, Social, and Cultural Rights}, G.A. Res. 2200A, U.N. GAOR, 21\textsuperscript{st} Sess., U.N. Doc. A/6136 (1966); \textit{International Covenant on Civil and Political Rights}, G.A. Res. 2200A, U.N. GAOR, 21\textsuperscript{st} Sess., U.N. Doc. A/6136 (1966).
\textsuperscript{177} \textit{Id.}. \textit{See Universal Declaration of Human Rights}, G.A. Res. 217A, U.N. GAOR, 3\textsuperscript{rd} Sess., U.N. Doc. A/810 (1948); \textit{International Covenant on Economic, Social, and Cultural Rights}, G.A. Res. 2200A, U.N. GAOR, 21\textsuperscript{st} Sess., U.N. Doc. A/6136 (1966); \textit{International Covenant on Civil and Political Rights}, G.A. Res. 2200A, U.N. GAOR, 21\textsuperscript{st} Sess., U.N. Doc. A/6136 (1966).
ardous Wastes, and the Montreal Protocol on Substances that Deplete the Ozone Layer. While the efficacy of these and other various international agreements is in dispute, the trend discussed above in respect of labor rights is similarly evident here. Recent events include the negotiation of a global warming treaty\textsuperscript{178} and the call by Environment Ministers from 19 countries for a global convention on forest protection that would establish a worldwide regulatory framework applying to both developed and developing countries.\textsuperscript{179}
Unrelated to labor or the environment but quite relevant to the discussion of government control of corporate conduct, is recent advances in the U.S. campaign against bribery. The U.S., of course, has pursued this to the full extent of its jurisdiction through the 1977 Foreign Corrupt Practices Act. However, the constraints of this Act have long been blamed for hindering U.S. competitiveness abroad as other countries do not seek to limit bribery by their corporations acting abroad and even facilitate it by allowing the deductibility of payments to foreign officials against income. In December of 1997, the 29 OECD member countries and 5 non-member countries signed a binding convention to criminalize the bribing of foreign officials with domestic implementation to be accomplished by the end of 1998.\textsuperscript{180} Previously, at the request of the U.S., corruption had also been on the agenda of the 1996 WTO Ministerial Meeting in the closely related context of government procurement. The WTO members agreed to establish a working party to explore transparency in government procurement which could include the effects of corruption. A leveling of the playing field in this area is expected to benefit U.S firms.\textsuperscript{181}
In summary, while the US has clearly led in efforts to regulate corporate and commercial behavior both domestically and internationally, in an increasingly globalized economy such efforts run aground on issues of jurisdiction, competitiveness and capital flight. International solutions in international forums are needed. As a caveat, however, it must be understood that international forums are also being used in efforts to resist local control or regulation of corporate behavior.\textsuperscript{182}
\begin{itemize}
\item \textsuperscript{178.} See, e.g., John J. Fialka, Global Warming Treaty Faces Host of Political Clouds, WALL ST. J., May, 27 1997, at A20.
\item \textsuperscript{179.} International Environmental Report, BNA, 2 April 1997.
\item \textsuperscript{180.} See, e.g., Paul J. Deveney, 34 Nations Sign Accord to End Bribery in Deals, WALL ST. J., Dec. 18, 1997, at A16; see also, Nicholas Bray, OECD Ministers Agree to Ban Bribery As Means for Companies to Win Business, WALL ST. J, May 27, 1997, at A2.
\item \textsuperscript{181.} William M. Daley, The Battle Against Bribery, WALL ST. J, Dec. 17, 1997, at A22.
\item \textsuperscript{182.} For instance, one of the more recent initiatives in the OECD is the draft of the OECD Multilateral Agreement on Investment (MAI). Multilateral Agreement on Investment, OECD Doc. OCDE/GD(97) 114, (1997). Recent drafts are now available at <http://www.oecd.org/da7/cmis/mai/negtext.htm>. This agreement, which would be open for signature to both OECD and non-OECD countries (though none are invited to particithis extent, public policy processes are as apparent in these forums as in domestic ones and actual outcomes are dependent upon the relative power of various constituencies and interest groups. The battle is merely being extended to another level where the immediate parties are nations and where TNCs and non-government organizations are back-room players. This is perhaps only logical given the nature of globalization. However, some observers from the environmental side claim that in "every case brought before it to date, the WTO has ruled in favour of corporate interest, striking down national and sub-national legislation protecting the environment and public health at every turn."\textsuperscript{183}
\textbf{PART III. SUMMARY OF POSSIBLE REFORM ALTERNATIVES.}
Our examination of the manner in which TNC's operate, emphasizing BCC as prototypical and neither the best nor the worst, causes us to agree with David Korten's assessment: Corporations have emerged as the dominant force on the planet earth; and that it is the corporate interest rather than the human interest that increasingly defines the agenda of municipal corporations, nation-states, and international
\textsuperscript{183} Simon Retallack, \textit{The WTO's Record So Far – Corporations: 3, Humanity and the Environment}: 0, \textit{ECOLOGY}, Jul.-Aug. 1997, at 136.
bodies.\textsuperscript{184} As William Greider suggested in metaphors, the storm is already upon us because the machinery of modern capitalism "driven by the imperatives of a global industrial revolution" is out of control and promises to spew forth vast changes that will "destabilize" political order in every corner of the planet.\textsuperscript{185} Our assessment is that TNC's cannot be effectively regulated in their activities because the nation-states lack effective long-arm jurisdiction and that the international law mechanisms currently in place are ineffective.\textsuperscript{186} Thus, without reform, we should expect capital to flow to countries where labor and natural resources are both abundant, cheap, and not protected by regulation from abuse or exploitation; or, as is the case in Mexico and most of Southeast Asia, capital will flow to countries where laws are on the books but are either unenforced or selectively enforced and where government officials are corrupt. The exporting of jobs and capital will cause other nation-states to provide tax breaks and amend environmental and labor laws so as to become "competitive," and all of these so-called reforms will be defended as required by the "forces of the marketplace." The race to the bottom will be on.
Firms that disregard the welfare of labor also seem to be quite capable of disregarding the health of the environment; the air we breathe and the water we drink. BCC has demonstrated a pattern and practice of abusing its vast economic powers in the pursuit of profits. This example suggests that current regulations of TNC's are inadequate and that some significant legal reforms are desperately needed. While we do not gainsay the problems of abuse of economic power within the USA, we believe that any triage-type analysis would mandate that international restraints be looked at as well.
An initial step might be to address the power imbalances currently existing between large corporations and labor. The literature in this
\textsuperscript{184} See supra note 8.
\textsuperscript{185} Greider, \textit{supra} note 8, at 11-12.
\textsuperscript{186} Frequently, the jobs versus environmental safeguard dichotomy urged on voters and consumers by the extractive industries is much too simplistic. The global economy is extremely complex and generates consequences far beyond the anticipated ones of current regulations. For example, the two-week shut-down of all the mills owned by Slocan Forest Products Ltd. Of Vancouver, B.C., Canada's biggest lumber producer, was prompted by the interaction of the quotas contained in the two-year-old Canada-U.S. softwood lumber agreement and a decline in Japanese housing starts touched off by an increase in the Japanese consumption tax. Since Japan is by far the biggest Asian market for North American softwood lumber, a softness in the Yen coupled with a sharp drop in housing starts sent a ripple across the Pacific causing producers from Chile to New Zealand to increase shipments to the U.S. The quotas on Canada caught the Canadian lumber industry in a bind that other lumber exporters did not face in a situation most likely completely unanticipated by the Pacific Northwest politicos that wanted to protect U.S. timber from Canadian import competition. See C.J. Chipello and D.E. Parkinson, \textit{Lumber Price Rebound May Hinge on Japan}, WALL ST. J. (Feb. 17, 1998) at C1 and C19.
area even within the United States demonstrates that it is cost-effective to break labor unions by violating the National Labor Relations Act.\textsuperscript{187} It is also cost-effective, probably far more so, to export jobs to Mexico in order to avoid meaningful environmental legislation. The Foreign Corrupt Practices Act (hereinafter FCPA) has been held to reach overseas and regulate corporate conduct.\textsuperscript{188} Congress might consider extending such a long arm to environmental laws, labor laws, and anti-discrimination laws. It might make labor laws interactive with employment discrimination laws.\textsuperscript{189} Thus, discrimination and Unfair Labor Practices might potentially be merged into a new category such as Illegal Labor and Employment Practices (ILEP). Penalties and enforcement budgets would need to be vastly increased to get the attention of the new breed of the Robber Barons that the merger binge of the 1980's and 1990's has spawned within the USA.\textsuperscript{190} Whether one nation can possibly reach non-resident firms and whether it should make the attempt unilaterally are significant legal and political issues.
An extension of environmental quality standards for U.S. multinationals and their wholly owned subsidiaries would be another positive step in preventing the exporting of jobs to poorer countries that are at the mercy of TNC wealth. In reviewing the history of BCC, we are reminded of a judge's dictum made famous by H.L. Mencken: "Corporations have no pants to kick or soul to damn" and "by God, they ought to have both."\textsuperscript{191}
\textsuperscript{187} See, e.g., James B. Atleson, \textit{Reflections on Labor, Power and Society}, 44 M.D. L. REV. 841 (1985) (making the point that labor laws tend to keep a labor dispute localized by preventing secondary activity, etc. when frequently the employer is a local or national organization.) The history of BCC and its ability to use its vast economic powers to "cram down" a labor settlement over the objections of nine unions at International Falls mill also supports this conclusion. \textit{See supra} text accompanying notes 9-34; see also, William A. Wines, \textit{The Long March to Bildisco and the 1984 Bankruptcy Amendments: Establishment of a Limited Right to Reject Collective Bargaining Agreements}, 20 GONZ. L. REV. 187, 188-210 (1985) (documenting the power of corporations to legally and unilaterally reject labor contracts that were bargained under the NLRA is documented).
\textsuperscript{188} \textit{See supra} notes 78-88 and accompanying text.
\textsuperscript{189} \textit{See, e.g.}, William A. Wines, \textit{The Case of the Willmar Eight: Is Leviticus Still Good Law in Employment Discrimination?}, 6 HAMLINE L. REV. 214, 215-246 (suggesting reform based upon the outcome of the employment disputes at Citizens National Bank, Willmar, MN).
\textsuperscript{190} \textit{See, e.g.}, William A. Wines, \textit{Title VII Interpretation and Enforcement In the Reagan Years (1980-1989): The Winding Road to The Civil Rights Act of 1991}, 77 MARQ L. REV. 647 (1994) (detailing the impact of budget reductions and policy shifts that virtually gave the green light to corporations to ignore employment discrimination laws during the decade of the eighties).
\textsuperscript{191} H.L. MENCKEN, \textit{A DICTIONARY OF QUOTATIONS ON HISTORICAL PRINCIPLES FROM ANCIENT AND MODERN SOURCES} 223 (1942) (Mencken's reported quip has long historical roots). Sir Edward Coke in the Case of Sutton's Hospital (1613) declared that corporations cannot commit treason, nor be outlawed, or excommunicated, for they have no souls. \textit{Case of Sutton's Hospital} 77 Eng. Rep. 960 (K.B. 1613).
There are rumors in Guerrero that BCC is already moving to construct a new mill with huge capacity. Such a mill would, if the rumors are anywhere near accurate, have capacity for many times the logs BCC has publicly been acknowledged to have authority to cut in the Costa Grande area. This invites speculation that BCC has much greater logging leases/options in Mexico or may be shipping logs from other sites in an effort to take advantage of the lax safety standards and extremely low wages in Mexico. Congress might enact a long-arm statute covering environmental abuses by U.S. Corporations, their subsidiaries, and subcontractors anywhere on the planet. Treble damages plus actual costs and attorney fees would be a good start to encourage private Attorney Generals to bring individual actions to protect the impoverished of this planet from dealing away their children's inheritance and from polluting the air and water all living things need to survive.
This is not an appropriate place for an extended discussion of the details of such regulations, however, some sketching out of the nature of possible laws might provide the flavor of what we have in mind. Suffice it to say that Crimes Against the Earth (CATE's) should include clear-cutting and any other logging that is not at a sustainable level; eliminating wetlands that support waterfowl or provide significant flood plains; destroying spawning streams for trout and salmon; fishing on a non-sustainable yield basis;¹⁹² and failure to restore the environment after any mining activity or toxic chemical spill. This does not begin to exhaust the possibilities but should demonstrate the scope of the legal reform we have in mind.
For a TNC such as BCC, it is only a small step from eliminating a laborer's livelihood to snuffing out biological life itself. The earth belongs to all of us, and we to it. The resources of this planet including the lives and health of its workers should not be sold to the highest bidder at fire sales necessitated by the poverty and corruption of some of its nations. Some will object to these proposals for law reform on the grounds that morality cannot be legislated. Others may object to what they see as draconian measures. We do not dispute the inability of law reform to promote morality or the vast sweep of these proposals. We would like the U.S. Congress to take the profits out of such abuses of power as have been practiced over the past two decades by the BCC.
A full scale review of possible reform measures is beyond the scope of this paper; our purpose here is to encourage vigorous public debate, intense media attention, and focused social science research on the coming storm. What alternatives might be explored? We would suggest
¹⁹² One need only read about the fishing wars in the Gulf of Thailand to appreciate how near the edge of disaster this world's oceans have come. See, e.g., Uamdau Noikorn, *Fishing rights in Burmese Waters to be Finalised Soon*, BANGKOK POST, June 22, 1997, at 2.
that the dichotomy between jobs and the health of the planet be deleted as an operative assumption — that the role of corporations be re-examined from a populist or progressive stance that vigorously insists on corporate accountability. After all, society existed for many centuries without business corporations. They were allowed to exist only because it was thought they might contribute to the improvement of the quality of life on this planet. Maybe that conclusion needs to be revisited. Perhaps, a people and planetary centered accounting system needs to be implemented so that human costs and other so-called externalities are reflected on the income sheets of corporations and reparations might be required.
At the very least, some attention needs to be paid to the flaws in the current attempts at global governing structures. Why does the United Nations seem to be ineffective when it addresses human welfare issues? What should be done to make the ILO more relevant to the lives of working people? Is there another way to impose sanctions for GATT violations and other trade misdeeds other than the self-defeating approach of countervailing tariffs? We should approach these issues with some sense of urgency. This will not be the last wave to sweep the planet in the coming twenty-first century. Other challenges lie ahead. Our political and social structures have not yet fully grasped the lessons of the nineteenth century and have not fully engaged the challenges of this century\textsuperscript{193} but must be brought up to speed if misery on a global scale and bloody revolutions are to be averted. Paralleling the expansion of corporate economic domination is what one authority refers to as a "de facto world government."
It seems to me that several tendencies can be detected. One is the tendency towards centralization of power in high-level planning and decision-making institutions, as epitomized in the EU executive. More generally, as the international business press has pointed out, a 'de facto world government' is taking shape with its own institutions: the International Monetary Fund (IMF), World Bank, G-7, the General Agreements on Tariffs and Trade (GATT), et cetera. These are becoming the governing institutions of a 'new imperial age' (\textit{Financial Times}).\textsuperscript{194}
Edward W. Soja provides a description of transnational corporations and the reach of international capitalism. These factors, that
\begin{footnotes}
\item Bruce Catton stated prophetically: "There is no twentieth-century culture; the twentieth century is simply a time of transition, and the noise of things collapsing is so loud that we are taking the prodigious step from the nineteenth century to the twenty-first century without a moment of calm in which we can see where we are going." \textsc{Bruce Catton}, \textit{Waiting for the Morning Train} 18-19 (1972).
\item Noam Chomsky: Nationalism and the New World Order: An Interview by Takis Fotopoulos, \textit{2 Soc'y \& Nature} 1 (1994).
\end{footnotes}
shed light analytically on BCC operations, are as follows:
One prevailing trend has been the increasing centralization and concentration of capital ownership, typified by the formation of huge corporate conglomerates combining diversified industrial production, finance, real estate, information processing, entertainment and other service activities.
Added to the corporate conglomeration of ownership has been a more technologically-based integration of diversified industrial, research, and service activities that similarly reallocates capital and labour into sprawling spatial systems of production linking centres of administrative power over capital investment to a constellation of parallel branches, subsidiaries, subcontracting firms, and specialized public and private services.
Linked to increased capital concentration and oligopoly has been a more pronounced internationalization and global involvement of productive and finance capital, sustained by new arrangements for credit and liquidity organized on a world scale.
The weakening of local controls and state regulation over an increasingly 'footloose' and mobile capital has contributed to an extraordinary global restructuring of industrial production.
In the USA and elsewhere, the accelerated geographical mobility of industrial and industry-related capital has triggered and intensified territorial competition, among government units for new investments (and for maintaining existing firms in place.)\textsuperscript{195}
All of the above have resulted in "[t]he self-perpetuating spiral of economic and ecological decline . . . rooted in a fundamental and growing contradiction between an imbalanced system of production, veering towards chaos, and an increasingly fragile biosphere. An abundance of scientific evidence suggests that the natural habitat, from oceans to rain forests to the atmosphere, cannot sustain for long a capitalist industrialism driven toward endless material expansion, generalized domination, and the conversion of human beings and nature into commodities."\textsuperscript{195A}
According to the same observer, other consequences include the exclusion of 90 percent of the Earth's population from the material benefits of the globalizing economy, in which the "search for integrated mar-
\textsuperscript{195} Edward W. Soja, \textit{Postmodern Geographies: The Reassertion of Space in Critical Social Theory} 185-86 (1989).
\textsuperscript{195A} \textit{Id.}
kets rooted in easy access to raw materials, cheap labor, and stable high-tech infrastructure is expected to give rise to nearly one billion affluent consumers by the year 2020; the rest will be consigned to underclass status."196 The effects of this rapid and overwhelming evolution of a global economic and integrated system can be seen not only as it affects the sustainability of the biosphere but also to that of labor. The mobility of capital leads to "restructuring processes" that "derigidify long-established spatial divisions of labour at virtually every geographical scale," according to Soja.197 He provides the following descriptive analysis:
Paralleling what has been happening at the global scale, the regional division of labour within countries has been changing more dramatically than it has over the past hundred years.
Accompanying these processes are major changes in the structure of urban labour markets. Deeper segmentation and fragmentation is occurring, with a more pronounced polarization of occupations between high pay/high skill and low pay low/skill workers, and an increasingly specialized residential segregation based on occupation, race, ethnicity, immigrant status, income, lifestyle, and other employment related variables.
Job growth tends to be concentrated in those sectors which can most easily avail themselves of comparatively cheap, weakly organized, and easily manipulated labour pools and which are thus better able to compete within an international market (or obtain significant protection against international competition from the local or national state.)198
Under these prevailing circumstances, "few governments seem willing to step forward, to take initiatives that might challenge corporate power, frighten capital markets, or undermine competitive advantage. Governments of diverse ideological labels, from Britain to China, from Italy to Brazil, remain captive to both the logic of transnational growth as well as the ideology of a self-correcting market."199
According to principles established in GATT, the best means to address environmental damages that transcend national boundaries is through domestic policies, rather than trade policies, for instance. But, as Paul Ekins points out, this approach is probably not politically feasible as long as it has serious negative implications for the competitive-
---
196. Carl Boggs, *The New World Order and Social Movements*, 2 SOC'Y & NATURE 91, 96 (1994).
197. SOJA, *supra* note 195, at 125.
198. *Id.* at 186-87.
199. Boggs, *supra* note 196, at 124-25.
ness of domestic industry. Failure to protect domestic industry from competitors who do not do so would permit only the countries with the strongest economies to maintain domestic environmental protections, which would then be under "continual siege from [parties] concerned with international competitiveness."200
In effect, whether in Mexico or elsewhere in less developed countries, domestic environmental protections are unlikely due to the consequences for competition on the international level both in respect of exported products and services and in the attraction of foreign investment. Undoubtedly, such is the case with BCC and Mexico. One informed observer has called for "an environmental nationalism which can harness the legitimate anger against global capitalism to carry out the massive transformations necessary to create an environmentally sustainable civilization."201 We believe that such a step would work only if accompanied by an international cooperative effort, such as in the WTO, that would both establish global environmental standards and share the necessary resources to make enforcement a reality. Note that this approach would couple nationalism with global cooperation rather than the global competition that now characterizes the race toward the bottom.
Since no international corporate juridicial framework exists, and since international economic competition supercedes domestic environmental protection, Ekins calls for "environmentally orientated trade restrictions."202 The situation is all the worse in that domestic environmental (and labor) protections are hampered by the growing transcendence of such nation-states by a globalizing economy.203
Furthermore, nations, in seeking a comparative advantage on the international market, are pressured to reduce environmental protection or refrain from implementing or enforcing it in order to secure that advantage.204 The same is true for labor standards, human rights and the
---
200. Paul Ekins, *The Future of the World Trade Organization: Proposals for Fair and Environmentally Sustainable Trade*, 3 SOC'Y & NATURE 57, 81 (1997).
201. Arran E. Gare, *Postmodernism and the Environmental Crisis* 145 (1995). Gare makes this argument, in part, because he believes that "only by cultivating nationalist sentiments will it be possible to mobilize people to bear the costs of the struggle . . ." to regain control over their economies and their environments. *Id.*
202. EKINS, *supra* note 200, at 69.
203. As one authority notes: "[t]his transnational or global capital is able to explore and exploit commodity, financial, consumer, and labour markets all over the world with fewer territorial constraints (especially from direct state control) than ever before. As a result, purely domestic capital has been playing a decreasing role in the local and national economies of the advanced industrial countries as these economies increasingly internationalize." SOJA, *supra* note 195, at 185. For a dark vision of what the global economy will mean to U.S. workers, *See* Walter Russell Mean, *At Your Service: The New Global Economy Takes Your Order*, Mother Jones (March/April 1998) at 32-41.
204. For a brief application of Habermas' theory of the public sphere to the recovery of
gamut of controls on corporate and commercial behavior. The results include the unraveling of the prevailing theory of "comparative advantage," a trademark of international trade. Among other things, the theory of comparative advantage ignores environmental externalities, in which prices do not reflect the full social cost of production.
The theory also rests on the assumption that capital and labor remain immobile, producing for the country's advantage. "With free mobility of factors of production, comparative advantage becomes a much less relevant concept because factors from different countries will instead flow across borders according to the logic of absolute advantage or simple price competitiveness. Countries without such advantage will experience pressure on wage rates, working conditions, environmental regulations and anything else perceived to hinder competitiveness."205
Under such conditions, reform of the system of production, domestically and internationally, appears all the more insurmountable. The environmental movement has fallen drastically short, both nationally as well as internationally, in confronting these conditions and providing workable structures for the resolution of the various environmental crises on the planet. The movement has virtually missed the need to transform traditional liberal and democratic approaches to a new system in which "the source of legitimacy is not the predetermined will of individuals, but rather the process of its formation, that is deliberation itself. . . . A legitimate decision does not represent the will of all, but is one that results from the deliberation of all."206 Another writer claims that "action in the public sphere [should be] based more on the reworking of existing, mainstream settings and institutions than on the creation of counter-institutions on the one hand or protest groups and new social movements on the other."207
grizzly bears, see Steven A. Primm, *A Pragmatic Approach to Grizzly Bear Conservation*, 10 CONSERVATION BIOLOGY (no. 4, August 1996) at 1030-32. Primm suggests that a third way must be found between reliance on either government or markets to offer solutions to conflicts over conservation of large predators. "The purpose of forming reason-based opinions in a non-governmental process is not to direct the affairs of government explicitly but to develop reasoned and less-confictual [sic] demands for government actions." For an example of how things currently work in this arena, See Associated Press, *Commissioners Defy Federal Law, Pass Ordinance* dateline Challis, I.D., January 29, 1998 at 3:15 a.m. That AP news story details how the Custer County Commissioners passed an ordinance titled the "unacceptable Species Ordinance" that outlaws grizzly bears moving into Custer County, ID. A further resolution in support of this ordinance called for killing the federally protected grizzlies to keep them out of the county. (Copy of wire-service report in authors' possession).
205. *Id.* at 60.
206. B. Manin, *On Legitimacy and Political Deliberation*, in Jurgen Habermas, *Futher Reflections on the Public Sphere*, in HABERMAS AND THE PUBLIC SPHERE 446 (Craig Calhoun ed., M.I.T. Press 1992).
207. Harry C. Boyte, *The Pragmatic Ends of Popular Politics*, in HABERMAS AND THE
According to another observer, there has been "a striking absence of alternative models and designs for macro restructuring processes that could give concrete shape to sustainable development — and to a fully democratized social order." Likewise, the same reporter notes that proponents of significant change are confronted by a system "that, for the most part, closes off real alternatives from serious discussion." This may explain why the so-called "mainstream" environmental groups that are national in scope often fail to promote such alternatives.
PUBLIC SPHERE 353 (Craig Calhoun ed., M.I.T. Press 1992). Boyte continues with a call for the deliberative citizenry of Habermas in the following words: "development of a widespread sensibility and experience of citizen agency and authority, with the responsibilities and capacities those entail, is the key to any significant democratization of the everyday, large-scale, direct, and indirect relationships of the modern world. For this to occur, we need a different sort of political education, one especially attentive to the pragmatic foundations for a sustainable public sphere." Id. at 353.
208. Boggs, supra note 196, at 127. To illustrate one such model that has received this type of treatment: legislation before Congress called the Northern Rockies Ecosystem Protection Act would designate over 14 million acres of currently unprotected roadless land in the Northern Rocky Mountains as wilderness and establish two National Parks and provide for Wild and Scenic Rivers Protection while generating jobs for heavy equipment operators. These areas would be connected by biological corridors (over 4 million acres) composed of currently roadless areas. Such biological corridors or bridges, if you will, would permit migration and genetic interchange between currently isolated plants and animals, such as the Yellowstone grizzly bears that are not a genetically viable population. This and similar legislation would provide for recovery areas in which people would be employed to re-establish native vegetation, reduce erosion, close and re-vegetate unnecessary roads, and re-establish native fisheries. Such legislation would benefit not only the ecosystem but also the local peoples, some of whom have been hard hit by timber company layoffs, by providing jobs for heavy equipment operators, laborers, botanists and others. Funding for such recovery efforts could be derived from the savings realized by elimination of taxpayer subsidies for road building and below-cost timber sales. See, e.g., A Bill Before Congress to Protect the Wild Rockies, H.R. 1425. C&S Note that Custer County (Idaho) commissioners passed an ordinance outlawing Grizzly Bears from moving there, in defiance of the federal government. Morning News Report (KOOL FM 104.3, Boise, Idaho, radio broadcast, Jan. 29, 1998). Enforcement apparently was not addressed in the "Unacceptable Species Ordinance" passed in Challis on Tuesday, January 27, 1998. (AP Wire Service).
Unfortunately, very rational proposals, such as H.R. 1425, have been obstructed by politics as usual wedded to maintaining non-sustainable resource uses. Successful legislation under current conditions can be achieved only by bills that are viewed as non-threatening to the status quo for timber and mineral extraction conglomerates that maintain a highly visible and effective lobbying presence in the Nation's Capitol. Clearly, Idaho's Congressional delegation is only one of several from the West who are motivated more by timber and mining industry needs than by environmental and species preservation concerns. Some (Rep. Hanson, R. Utah) would, for instance, log the National Parks if they had the votes. See also Chomsky, supra note 194, at 2 for similar discussion.
209. Even modest administrative reforms often fail in Congress. See, e.g., Erin Kelly, House Barely Misses Axing Federal Funds for Timber Roads, IDAHO STATESMAN, July 12, 1997, at 4A. Late on July 10th, the U.S. House of Representatives rejected by two votes a bi-partisan effort by Reps. Joe Kennedy, D. Mass. And John Porter, R. Ill., to kill a $41.5
Local and regional environmental groups often succeed in stimulating and expanding public debate. On the other side, some environmental groups simply defend "local space and identity, where these values are threatened by economic, political, and cultural incursions of all sorts." According to the same observer, these movements can be largely defensive. Actions may be:
designed to avoid the public sphere; they not only fear taking on the power structure, but change of any type.... Local 'knowledge' is a vital ingredient of this equation [strategic planning for both change and the use of political and economic power], but without strategic form it becomes dissipated in the manner of enclave consciousness. While dispersion seems appropriate to the postmodern mood of contemporary intellectuals and others, it works against the imperatives of political strategy and organizing, which is the terrain upon which the global crisis must be contested.\footnote{210}
More to the point and much more succinctly, one writer simply declared: "If market forces are global in scope, any effective political response has to be global."\footnote{211}
On the other hand, citizen participation can legitimize administrative rationality on the part of transnational firms and government bureaucracies, in the same way that faculty senates elected by a small percentage of the total faculty can be used for "faculty input" by univer-
\footnote{210}{Boggs, \textit{supra} note 196, at 113.}
\footnote{211}{Nicholas Garnham, \textit{The Media and the Public Sphere}, in Habermas and the Public Sphere 372 (Craig Calhoun ed., M.I.T. Press 1992).}
sity administrators when it suits their purposes. These groups can be "purposely stimulated to provide much needed administrative rationality."212 Furthermore, through public hearings required by the Administrative Procedures Act,213 a cloak of rational decision-making can be tailored thereby giving the appearance of legitimacy to proposed governmental actions masking transnational corporate interests. Even in opposition, citizens can unintentionally through their participation sanction governmental or business actions that have been functionally pre-selected or choreographed, in effect, by large power brokers.
To illustrate: a well-meaning environmental push for pollution controls over the local pulp mill to remove chlorine paper production that fouls air and waterways can be turned to corporate advantage by substituting one environmental abuse for another. For instance, the successful campaign for chlorine-free paper production might necessitate a massive plant modernization, a capital-intensive option available only to large conglomerates. In order to pay off the resulting heavy investment in high technology paper production, the conglomerate will then increase logging to allow it to run the modernized mill at maximum capacity. Reduction of chlorine paper production may then have the unintended, at least to the environmentalists, result of short-term deforestation of the area as the price of modernization.214 Any final or real environmental problem solving must address reduced consumption and waste of natural resources and not merely the shifting of environmental burdens.215
212. Harry C. Boyte, The Backyard Revolution: Understanding the New Citizen Movement 100-02 (1980).
213. 5 U.S.C. § 551 (1994).
214. Kerski, supra note 79, at 144.
215. "Thus, growth in capitalist relations is inevitably associated with growth in consumption of natural resources and production of waste . . ." Blair Sandler, Grow or Die: Marxist Theories of Capitalism and the Environment, 7 RETHINKING MARXISM 38, 40 (1994). For Sandler, advanced capitalist societies are successfully assimilating a form of "green" economics. As he sees it, the production of "ecologically friendly commodities" – designed to meet the demands of consumers for products that lessen environmental consequences ("internalizing environmental externalities"), results in increased profits by creating and expanding into new markets to meet these demands. Id. at 49-51. Consequently, he refutes the argument that capitalism and its intrinsic need to increase commodity production in expanding the reach and penetration of markets, conflicts with biospheric limits. Id. at 48. Sandler refers to the move towards chlorine free paper as an example of such an assimilation of environmental demands into the productive capacities of capital. Id. at 38. However, Sandler fails to mention the shift of environmental impacts, e.g. removing chlorine from paper production to eliminate pollution by increasing, even if relatively temporary, logging to cover capital investments in technological modernization. While a "green environmental regime" may postpone the clash between capital growth and ecological limits, we view it unlikely that such a "regime" effectively, even in the short-term, eliminates this conflict. Id. at 44. Nor do we believe it likely, as Sandler asserts, that "The vast and far-reaching ecological reconstruction of material infraSimilarly and also inadvertently, local environmental activism may lead to more centralized government. In western states such as Idaho\textsuperscript{216} where the state legislature is funded by and zealously disposed to be solicitous of the welfare of the cattle, lumber and mining industries, environmental activists may turn in desperation to the national government where their concerns have a chance of being heard. Turning to the federal government, administrative agencies or courts for environmental relief will bring federal intervention and may necessitate a larger federal presence. The result, inevitably, in sagebrush rebellion territory will be an increased backlash from westerners who seek less federal control over their affairs. Unfortunately, the resulting debates over centralized versus decentralized government are too frequently shaped in simplistic and naive terms. Even though such debates are crucial to a society where environmental problems are democratic dilemmas, the environmental perspective "tends to be long on ecological critiques and polemic and short on understanding of the political process."\textsuperscript{217}
A more sophisticated approach would, when delineating possible political change, look increasingly to "civil society" as the agent of such change and towards the revitalization of the public sphere on all levels (local, national, and international) as an essential element in such change.\textsuperscript{218} One writer
structure and production technologies" "will help constitute the next capitalist restructuring." \textit{Id.} at 55. On the other hand, Sandler is correct in asserting the inherent limits to the ability of state regulations or market instruments to enforce restraints on economic effects on the biosphere. \textit{Id.} at 55.
\textsuperscript{216} Idaho currently (January 1998) has the most Republican legislature of the 50 states; the GOP has a 6 to 1 majority in both houses and a Republican Governor, Phil Batt.
\textsuperscript{217} Daniel Press, \textit{Democratic Dilemmas in the Age of Ecology: Trees and Toxics in the American West} 6 (1994).
\textsuperscript{218} "[T]he institutional core of 'civil society' is constituted by voluntary unions outside the realm of the state and the economy." Jurgen Habermas, \textit{Further Reflections on the Public Sphere}, in \textsc{Habermas and the Public Sphere} 453 (Craig Calhoun ed., M.I.T. Press 1992). The public sphere refers both to a theoretical and normative ideal and to practical actualities. As a theoretical ideal, the public sphere, for Habermas, generates the justification of norms through reasoned discourse and rational will formation. Practically speaking, the public sphere refers also to the institutionalized will of ever expanding public spheres, in which citizen participation is the motor that fuels authentic democratic processes. However, as Calhoun states, Habermas recognizes that "parties, parastatal agencies, and bureaucracies of all sorts must themselves be internally democratized and subjected to critical publicity." Craig Calhoun, \textit{Introduction}, to \textsc{Habermas and the Public Sphere} 1, 28 (Craig Calhoun ed., M.I.T. Press 1992). Recognizing that complex societies cannot do without markets and administrative bureaucracies, Habermas notes that with the integration of the economy with the state brings new conditions requiring a broadening of democratic constituencies. \textit{Id.} at 1-42. However, rather than "vying for state power", democratic constituencies must instead direct state power. Yet obstacles
distinguishes the public sphere from both state and market and can thus pose the question of the threats to democracy and the public discourses upon which it depends coming both from the development of an oligopolistic capitalist market and from the development of the modern interventionist welfare state. . . . [T]he development of an increasingly integrated global market and centers of private economic power with global reach are steadily undermining the nation-state, and it is within the political structure of the nation-state that the question of citizenship and of the relationship between communication and politics has been traditionally posed.\textsuperscript{219} We are thus being forced to rethink this relationship and the nature of citizenship in the modern society.\textsuperscript{220}
\textit{Conclusion.}
In light of the above, how can government effectively regulate global corporate conduct in the face of increasing competitiveness and the highly mobile nature of capital? How do non-governmental organizations formulate proposals and design strategies for effective government action? The answer increasingly takes us beyond our borders and necessitates the agreement and cooperation of at least major U.S. trading partners.
The looming crisis of widespread ecological degradation poses ethical dilemmas that must be considered along with the legal and political issues. For instance, the extension of technological and industrial effects on nature bring with them "increased responsibility for the natural environment." \textit{Id.} As Calhoun notes, "The public sphere becomes a setting for states and corporate actors to develop legitimacy not by responding appropriately to an independent and critical public but by seeking to instill in social actors motivations that conform to the needs of the overall system dominated by those states and corporate actors." \textit{Id.}
\textsuperscript{219} This is not to deny the impact that large corporations are having within the nation-states. \textit{See, e.g.,} DONALD L. BARLETT & JAMES B. STEELE, AMERICA: WHO REALLY PAYS THE TAXES? 313 (1994), for a discussion of taxpayers subsidizing Northwestern Airlines after a huge "leveraged buy-out" that netted the chief architect "a personal fortune estimated at $50 million . . . ." The Northwestern Airlines deal is discussed in detail by Barlett and Steele and summarized in these words: "Corporate-takeover artists, who acquired an airline and transformed it from a moneymaker to a money loser, pit state against state to see which will finally hand over the most tax subsidies." \textit{Id.} at 318. Minnesota beat out Louisiana with a controversial $740 million package of tax breaks, government-backed loans, and cash in May 1991. \textit{Id.} at 314. Between 1990 and the end of 1992, Northwest Airlines, the company that had racked up thirty-nine straight profitable years through 1988 under its prior owners, had run up $1.7 billion in losses under its new ownership, the take-over artists that seized control in 1989. \textit{Id.} at 312, 317.
\textsuperscript{220} Garnham, \textit{supra} note 210, at 361-62; \textit{see also} GARE, \textit{supra} note 201; Boyte, \textit{supra} note 206; Manin, \textit{supra} note 205.
ral process set in motion by such intervention."221 In other words, greater alterations of nature bring with them greater responsibility for coordinated actions to redress the consequences. The ecological consequences of our collective actions present problems in which solutions must address immense degrees of complexity. The complexity involved may exceed "biologically programmed thresholds of sense perception and the limits of our historically developed cognitive capacities, such as those for anticipated time, for personal identity, or for the extent to which moral responsibility can be attached to consequences of action."222
A British economist who spent decades living and working in the Indian sub-continent wrote that "[f]rom a Buddhist point of view, this [measuring economic health by production alone] is standing the truth on its head by considering goods as more important than people and consumption as more important than creative activity. It means shifting the emphasis from the worker to the product of work, that is, from the human to the sub-human, a surrender to the forces of evil."223 We may need to resurrect such currently unfashionable notions of good and evil to discuss the current direction of global capitalism; it may be evil to allow legal fictions to dominate humankind and the planet.224 Efficiency is not necessarily good; we need to talk about the goal towards which efficiency is taking us before we can or should praise it." Simplicity and non-violence are closely related.225 As one writer noted many years ago, economics without compassion is merely "a highly developed form of violence."226 The father of modern economics knew that
---
221. Jurgen Habermas, Reply to My Critics, in HABERMAS: CRITICAL DEBATES 247 (John B. Thompson & David Held eds., M.I.T. Press 1982).
222. Jurgen Habermas, Introduction to OBSERVATIONS ON "THE SPIRITUAL SITUATION OF THE AGE" 18 (M.I.T. Press 1984).
223. E. F. Schumacher, Small is Beautiful: Economics as if People Mattered 56 (1973).
224. See, e.g. GUSTAVUS MYERS, HISTORY OF THE GREAT AMERICAN FORTUNES 159-60 (1936), for a parallel discussion of the absence of moral condemnation over a century ago when "persons of the highest character" was the term used to describe New York City tenement owners in a Metropolitan Board of Health Report (1866). The author goes on to condemn the Astors and other slum landlords of the 19th century in these words: "it is not deliberate, premeditated murder which is meant, in the sense covered by statute, but that much more insidious kind ensuing from grinding exploitation; in herding human beings into habitations unfit even for animals which need air and sunshine, and then in stubbornly resisting any attempt to improve living conditions in these houses. In this respect, it cannot be too strongly pointed out, the Astors were in nowise different from the general run of landlords. Is it not murder when, compelled by want, people are forced to fester in squalid, germ-filled tenements, where the sunlight never enters and where disease finds a prolific breeding-place? Untold thousands went to their deaths in these unspeakable places. Yet, so far as the Law was concerned, the rents collected by the Astors, as well as other landlords, were honestly made." Id. at 165-66.
225. SCHUMACHER, supra note 222, at 58.
226. Matthew Fox, A Spirituality Named Compassion and the Healing of the Global
well enough. Adam Smith believed that self-interest could drive a productive free market if, and only if, that force was contained by human sympathy, competitive forces, and legal regulation.\textsuperscript{227} There might yet be time for many of us to revisit the fundamental principles of economics, restrain our fondness for mathematical modeling, and search out the moral roots of political economics\textsuperscript{228} and the general welfare that drive legal regulation of markets.
The vision of the problems global society may face if substantial reform is not forthcoming on a timely basis is dark, indeed. In the twenty-first century, the so-called "Killing Fields" might resemble shoe factories similar to those operated currently in Indonesia by subcontractors for Nike or the mines of South Africa or the sweatshops of Hong Kong or the forests of Mexico. The mania of global capitalism has already outdistanced all the social institutions, laws and customs that this century maintained or erected; now, the challenge is to reform or reinvent them before the Earth becomes virtually uninhabitable.\textsuperscript{229}
\textsuperscript{227} See, e.g., James B. Zimarowski et al., An Institutional Perspective on Law and Economics (Chicago Style) in the Context of United States Labor Law, 35 ARIZ. L. REV. 397, 400-03 (1993).
\textsuperscript{228} Some economists seem to forget that Adam Smith was first and foremost a moral philosopher. His first book was the \textit{Theory of Moral Sentiments} (1756), and this work forms the foundation upon which his economic theory rests. See, e.g., PATRICIA H. WERHANE, ADAM SMITH AND HIS LEGACY FOR MODERN CAPITALISM 7-15 (1991).
\textsuperscript{229} There are numerous Native American legends that one of the last creatures on the planet Earth will be Brother Coyote. See, e.g., WILLIAM BRIGHT, A COYOTE READER 175-76 (1993). In Navajo legend, Coyote is more than a trickster/hunter; Navajo folklore credits Coyote with several resurrections. KARL W. LUCKERT, COYOTEWAY: A NAVAJO HOLYWAY HEALING CEREMONIAL 11 (1979). The Coyote of Coyoteway takes the form of a deity that can punish or help the People. Id. We doubt that given the planet's regenerative capacities that mankind could make all life forms disappear, but we fear that without significant reform the Earth might come to resemble the end time legends of the Native Americans.
|
135d67c8-27e3-4005-aa96-a3aed5886aab
|
CC-MAIN-2021-04
|
https://digitalcommons.du.edu/cgi/viewcontent.cgi?article=1602&context=djilp
|
2021-01-21T12:15:42+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-04/subset=warc/part-00075-364a895c-5e5c-46bb-846e-75ec7de82b3b.c000.gz.parquet
| 291,457,884
| 44,326
|
eng_Latn
|
eng_Latn
| 0.984904
|
eng_Latn
| 0.993974
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
927,
1334,
3401,
6352,
10488,
13970,
18211,
22101,
25805,
30291,
34440,
37670,
40365,
43367,
46920,
50196,
52635,
55441,
58174,
61545,
64761,
67778,
71414,
74109,
77615,
80600,
83315,
85946,
89210,
91908,
94867,
98312,
101409,
104918,
108297,
112068,
115836,
118941,
122553,
124506,
125946,
129523,
132720,
135586,
139028,
142221,
145268,
148808,
152204,
153551,
156982,
160717,
163732,
166773,
169246,
171819,
175099,
178409,
182547,
184185,
187620,
191213,
194476,
197906,
200308
] |
DISTRIBUTED OPERATING SYSTEMS
MOBILE OPERATING SYSTEMS using Android as an example
https://tud.de/inf/os/studium/vorlesungen/dos
HORST SCHIRMEIER
Agenda
• Requirements
• Android Overview
• Security
• Memory
• Energy
• Summary
Tanenbaum, Chapter 10.8: Android
Agenda
- Requirements
- Android Overview
- Security
- Memory
- Energy
- Summary
Mobile General-Purpose Systems
... are different from classic desktop/server machines in both application profile and hardware.
**Classic PC**
- Few, trustworthy applications
- Permanent power supply
- Rare communication via cable networks
- Lots of space for RAM, disks, cooling, etc.
**Smartphone**
- Changing, unknown apps from unknown vendors
- Battery operated
- Frequent communication via wireless networks (mobile)
- Strongly restricted space, only RAM and flash memories
Mobile General-Purpose *Operating* Systems
... therefore have to ...
- isolate applications and their data better from the rest of the system
- save memory more aggressively
- make use of available hardware mechanisms to save energy, support energy-aware application behavior
Agenda
• Requirements
• Android Overview
• Security
• Memory
• Energy
• Summary
Android
- Open Handset Alliance (primarily Google), 2007
- T-Mobile, Motorola, Samsung, ...
- Vision:
“... accelerate innovation in mobile and offer consumers a richer, less expensive, and better mobile experience.”
- Infrastructure-software platform for smartphones
- Open Source
- Many products available today
- 2024: ~3 billion ($10^9$) Android devices, 71% market share
T-Mobile G1, 2008
- Android 1.6
- 256 MB RAM
- 528 MHz ARM 11
- 3,2” Display, 320x480 px
Architecture
• Linux plus Java – but different ...
Agenda
• Requirements
• Android Overview
• Security
• Memory
• Energy
• Summary
Repurposing Linux/Unix UIDs for Sandboxing
Regular Linux: UID per user
Processes:
- app X user A
- app Y user A
- app Y user B
File system:
- /home/A
- /home/B
Buggy or malicious app jeopardizes all user data!
Android: UID per app/user
Processes:
- app X/A uid 10000
- app Y/A uid 10001
- app Y/B uid 110001
File system:
- uid 10000
- uid 10001
- uid 110001
Every app instance (per user) has its own data in the file system.
UID Assignment: Package Manager
- automatically when installing apps
| UID | Purpose |
|---------|----------------------------------------------|
| 0 | Root user |
| 1000 | Core-system service (system_server process) |
| 1001 | Telephony services |
| 1013 | (Low-level) media services |
| 2000 | Shell |
| 10000–19999 | Dynamically assigned application UIDs |
| 100000+ | Application UIDs user #2 |
Android packages (*.apk)
- Activities
- Services
- Receivers
- Content Provider
Package manager
App-Data Exchange: Binder IPC
• Enables object-oriented method calls across process boundaries
– Not possible with existing Linux abstractions
Linux kernel (Binder module)
Process S
Transaction
to: Handle 1 [Data]
Thread Pool
T1 T2 T3
Obj. $S_a$
Copy
ioctl()
Transaction
to: Obj. $R_a$
from: Process S [Data]
shared memory
Process R
Transaction
to: Obj. $R_a$
from: Process S [Data]
Thread Pool
T1 T2
Obj. $R_a$ Obj. $R_b$
Handles: simple integers (like file descriptors) → IPC permissions / Capabilities
The Binder module automatically replaces an object reference in the [Data] part by a newly created handle.
App-Data Exchange: Content Provider
• Class within an app
• Provides content via Binder IPC based on a URI:
```
content://com.example.k8mail.provider.email/messages/1
```
Provider identification (“authority”) Path for provider
• Content requests via Remote Procedure Call, e.g.:
```
query("content://com.example.k8mail.provider.email/messages");
```
How to determine and start the (correct) email app? → Intents
App-Data Exchange: Intents
• Object to describe abstract “intent” the app does not implement by itself, e.g.
– Send email, display website, make a phone call, …
• or system events that a (system) app should handle
– low battery, incoming call, …
App Permissions
- Pre-defined in apk manifest
- Assigned to app after user confirmation
- Management in package manager
**Package manager**
| App | UID | Permission |
|--------------|------|-----------------------|
| K8-Mail | 10001| READ_CONTACTS, READ_PICTURES, INTERNET |
| Firedog Browser | 10005 | INTERNET |
**Photo App**
- PicturesProvider Authority: "pics"
**K8-Mail**
- ComposeActivity
**Basis:** secure sender-UID transmission via Binder IPC mechanism
Agenda
• Requirements
• Android Overview
• Security
• Memory
• Energy
• Summary
Many Apps on Limited Memory
• (Comparably) small RAM on Android systems
• Continuous paging reduces performance, and limits storage life time (flash-memory technology)
– Typical NAND-flash wearout: 100,000 to 1,000,000 write cycles
• Solution: Stop and restart app activities at any time!
– Out of Memory Killer continuously scans for victims
– Priority: System processes, background services, current foreground activity and visible activities are chosen last
Android Activity Life Cycle
- Apps have to be in the same state after kill+restart
- System: Views (GUI layout)
- App: other state
Result:
App survives its process!
Source: Android documentation
The Activity Manager (1)
• ... manages all information about running apps
1) User starts e-mail app. The Activity Manager starts managing the process.
Activity Manager
system_server process
Task: E-Mail
ActivityRecord
(MailMainActivity)
E-Mail app process
MailMainActivity
The Activity Manager (2)
• ... manages all information about running apps
2) The user starts the Camera app, which becomes visible. The Activity Manager saves the E-Mail app’s state and stops it.
The Activity Manager (3)
• ... manages all information about running apps
3) We are running out of memory, and the E-Mail app’s process gets killed. It can, however, be resumed later.
Agenda
• Requirements
• Android Overview
• Security
• Memory
• Energy
• Summary
Energy Consumption: Basics
• Energy is not really “consumed” but transformed into heat and radiated
– usually unused/lost
– undesirable (possibly cooling necessary)
– reduces battery runtime
• Fundamental physical equations that relate energy and electrical current:
– $E = P \cdot \Delta t$ (Energy[J] = Power[W] • Time[s])
– $P = V \cdot I$ (Power[W] = Voltage[V] • Current[A])
Power Dissipation in CMOS Semiconductors
... primarily two components: dynamic+static power
- $P_{\text{dyn}} = \alpha \cdot C_L \cdot U^2 \cdot f$
- $U$: Supply voltage
- $f$: Clock frequency
- $C_L$: Switched capacity
- $\alpha$: Fraction of switching transistors
Model: Many small capacities (wires, memory) are charged and discharged when switching.
- $P_{\text{stat}} = U \cdot I_{\text{leak}}$
- $I_{\text{leak}}$: Leak current
Cause: Quantum effects in semiconductor material, worsening exponentially with shrinking structure sizes. → Leak current is very small, but flows always as long as the system is powered.
Energy-Saving Approaches
\[ P_{\text{dyn}} = \alpha \cdot C_L \cdot U^2 \cdot f \]
- Absenken von Spannung und Takt (Dynamic Voltage and Frequency Scaling)
- lohnt durch das Quadrat bei der Spannung
- geht, wenn die CPU unterausgelastet ist oder sowieso immer wieder auf Speicher wartet
- Abschalten des Taktes
- \( P_{\text{dyn}} = 0 \), aber Zustand bleibt erhalten!
- Verbesserte Fertigungstechnologie (kleiner)
- Effizientere Rechnerarchitektur
\[ P_{\text{stat}} = U \cdot I_{\text{leak}} \]
- Bessere Fertigungstechnologie oder größere Strukturen
- Abschalten von ungenutzten Komponenten
Problem 1: Verlustleistung im Leerlauf
• Ein ruhendes System muss abgeschaltet werden!
– Hier: Messungen am Openmoko Neo FreeRunner, Quelle: [1]
Figure 3: Average power consumption while in the idle state with backlight off. Aggregate power is 268.8 mW.
Figure 4: Display backlight power for varying brightness levels
Im SUSPENDED-Zustand (div. Komponenten abgeschaltet) sind es nur 68,6 mW.
Lösung 1: Wake Locks und Alarms
• Ansatz: So schnell und oft wie möglich alle untätigen Komponenten abschalten:
Schlafmodus (SUSPENDED)
• Apps müssen ...
– dies ggf. explizit verhindern: *Wakelocks*
– zeitgesteuert das System aufwecken können: *Alarms*
• Dazu sind Erweiterungen am Linux-Kernel nötig
Wakelocks
- Apps benötigen das Recht `android.permission.WAKE_LOCK`, um einen Wakelock zu erzeugen.
- Wakelock-Typen:
| Name | Auswirkung (laut Android-Dokumentation) |
|-----------------------------|--------------------------------------------------------------------------------------------------------|
| FULL_WAKE_LOCK | Ensures that the screen and keyboard backlight are on at full brightness. |
| PARTIAL_WAKE_LOCK | Ensures that the CPU is running; the screen and keyboard backlight will be allowed to go off. |
| PROXIMITY_SCREEN_OFF_WAKE_LOCK | Turns the screen off when the proximity sensor activates. |
| SCREEN_BRIGHT_WAKE_LOCK | Ensures that the screen is on at full brightness; the keyboard backlight will be allowed to go off. |
| SCREEN_DIM_WAKE_LOCK | Ensures that the screen is on (but may be dimmed); the keyboard backlight will be allowed to go off. |
Diskussion: Wakelocks
• Anfangs haben sich die Linux-Kernelentwickler gesträubt, Wakelocks zu integrieren.
• Problem: Der Mechanismus ist nicht an die Existenz des Prozesses gekoppelt.
– Falls „vergessen“ wird, den Lock aufzuheben, bleibt das Gerät an!
– Android-Apps überleben ihren Prozess → Activities, Receivers, …
• Lösung? Inzwischen wurde das Konzept unter dem Namen „Suspend Blockers“ aufgenommen.
– Zugriff auf /sys/power/wake_lock und …/wake_unlock nur für root.
– Das Feature ist optional.
• Auch unter Android ist die direkte Nutzung zu vermeiden.
– Stattdessen Kopplung an Aktivitätsverwaltung und UI
Alarms
• Zeitgesteuertes Wecken des Systems
– Auslösung eines *Intents*
– Funktioniert auch, wenn die App, die den Alarm angefordert hat, nicht mehr aktiv ist!
– Während der Behandlung hält der Alarm-Manager ein *Wakelock*
• Anwendungen: Abholen von Emails, Wettervorhersage, …
• Alarmzeitpunkte können vom System *verschoben* werden, um Kommunikationsvorgänge zu bündeln. Spart Energie!
Bündeln vermeidet den mehrfachen Verbrauch der *Tail Energy* beim Mobilfunk.
Problem 2: Takt-/Spannungssteuerung
• Ziel: Maximale Rechenleistung bei minimalem Energieverbrauch
• Moderne heterogene Multicore-Prozessoren bieten diverse Betriebspunkte.
– Typisch: ARMs big.LITTLE-Architektur mit 4 großen und 4 kleinen Kernen
Das Scheduling-Problem wird um energiegewahre Taktsteuerung erweitert!
Lösung 2(a): Lastabhängige Regelung
• Normales Linux: Die Auslastung der CPU-Kerne wird in regelmäßigen Abständen betrachtet. Schwellwertabhängig wird der Takt angepasst.
• Schwäche: Langsame Reaktion
• Ursachen:
– Die Taktregelung weiß nicht so viel wie der Scheduler über die zukünftige Last
– Keine Information über die Energieeffizienz der jeweiligen Betriebspunkte.
Reaktion durch cpufreq governor erfolgt spät!
Durchschnitt zu niedrig, keine Reaktion!
Lösung 2(b): Android EAS
“Energy-Aware Scheduling”
- basiert auf Energiemodell (über Betriebspunkte)
- entscheidet, wo ein Task wenig Energie erfordert
- kann Kerne komplett von Last befreien und abschalten
- Reaktion auf Laständerung erfolgt sofort!
Agenda
• Requirements
• Android Overview
• Security
• Memory
• Energy
• Summary
Summary
• The development of Android pushed innovations in Linux
– Application Sandboxing
– More control of power-off and wake-up
– Energy-aware Scheduling
• Partially repurposing of Linux concepts
– UIDs per app
– Applications run longer than their processes
[1] Aaron Carroll and Gernot Heiser. 2010. *An analysis of power consumption in a smartphone*. In Proceedings of the 2010 USENIX conference on USENIX annual technical conference (USENIX ATC ’10). USENIX Association, USA, 21.
|
30ceac1c-9e76-4bea-a228-4886b918fdac
|
CC-MAIN-2024-30
|
https://os.inf.tu-dresden.de/Studium/DOS/SS2024/L09-Mobile-OS.pdf
|
2024-07-20T05:46:11+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-30/subset=warc/part-00059-65338ae2-db7f-48fa-a620-71777c40d854.c000.gz.parquet
| 385,196,539
| 3,150
|
eng_Latn
|
eng_Latn
| 0.469881
|
eng_Latn
| 0.661946
|
[
"eng_Latn",
"kiu_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"kiu_Latn",
"eng_Latn",
"unknown",
"kiu_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"kiu_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"kiu_Latn",
"eng_Latn",
"eng_Latn",
"deu_Latn",
"deu_Latn",
"deu_Latn",
"deu_Latn",
"deu_Latn",
"deu_Latn",
"deu_Latn",
"deu_Latn",
"deu_Latn",
"kiu_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
148,
264,
354,
837,
1116,
1198,
1676,
1729,
1811,
2245,
2945,
3576,
3995,
4248,
4756,
4838,
5307,
5510,
5789,
5988,
6175,
6257,
6654,
7293,
7902,
8301,
8612,
9691,
10320,
10796,
11120,
11588,
11842,
11924,
12197,
12423
] |
Community Planning, Regulation and Mobility Committee Meeting Agenda
Date:
December 7, 2021
Time:
9:30 am
Location:
Council Chambers - members participating remotely
1. Declarations of Interest:
2. Statutory Public Meetings:
Statutory public meetings are held to present planning applications in a public forum as required by the Planning Act.
3. Delegation(s):
Due to COVID-19 this meeting will be conducted as a virtual meeting. Only the chair of the meeting, along with a clerk and audio/visual technician, will be in council chambers, with all other staff, members of council and delegations participating in the meeting by calling in remotely. The meeting will be live webcasted, as usual, and archived on the city website.
Requests to delegate to this virtual meeting can be made by completing the online delegation registration form at www.burlington.ca/delegate or by submitting a written request by email to the Office of the City Clerk at [email protected] by noon the day before the meeting is to be held. It is recommended that delegates include their intended remarks, which will be circulated to all members of the standing committee in advance, as a backup to any disruptions in technology issues that may occur.
If you do not wish to delegate, but would like to submit feedback, please email your comments to [email protected]. Your comments will be circulated to committee members in advance of the meeting and will be attached to the minutes, forming part of the public record.
4. Consent Items:
Reports of a routine nature, which are not expected to require discussion and/or debate. Staff may not be in attendance to respond to queries on items contained in the Consent Agenda.
5. Regular Items:
5.1. Parking Program update – Beachway and Lowville Park (TS-12-21)
11. Adjournment:
Direct the Director of Transportation Services to continue utilizing the parking management reservation system at Lowville Park and extend the operating period until Thanksgiving weekend, inclusive; and
Direct the Director of Transportation Services to implement the paid Beachway parking program during summer months as a measure to regulate parking availability.
5.2. Sustainable Building and Development Guidelines update (PL-07-21)
Approve as amended, the Sustainable Building and Development Guidelines attached as Appendix A to community planning department report PL-07-21; and
Direct the Director of Community Planning and the Executive Director of Burlington Economic Development to consider the feasibility of including the Sustainable Building and Development Guidelines in the development of the Comprehensive Community Improvement Plan framework; and
Direct Council to advocate to the Province to adopt the highest tiered energy standards following the introduction of the National Energy Code for Buildings 2021 (NECB); and
Direct the Director of Community Planning to draft a business case for the preparation of a green roof by-law and green roof construction standard in 2023.
5.3. City of Burlington Housing Strategy, Housing Needs and Opportunities Report (PL48-21)
Note: Appendix A can be accessed at www.burlington.ca/calendar
Receive and file community planning department report PL-48-21 regarding the City of Burlington Housing Strategy, Housing Needs and Opportunities Report, attached as Appendix A.
6. Confidential Items:
Confidential reports may require a closed meeting in accordance with the Municipal Act, 2001. Meeting attendees may be required to leave during the discussion.
7. Procedural Motions:
8. Information Items:
9. Staff Remarks:
10. Committee Remarks:
|
<urn:uuid:2386a20d-2097-49fe-ba9b-91ce132713b2>
|
CC-MAIN-2022-05
|
https://calendar.burlington.ca/Document/Download/6c8b9a1f-f592-4847-b10e-adec00f7c4f3
|
2022-01-28T10:54:52+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-05/subset=warc/part-00107-1e2959d8-5649-433a-b76e-f1b876a6479d.c000.gz.parquet
| 208,069,793
| 708
|
eng_Latn
|
eng_Latn
| 0.843584
|
eng_Latn
| 0.992773
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1737,
1823,
3635
] |
Credit Card Authorization
Ordered by: ______________________________________________________________________________
Name: __________________________________________________________________________________
Address: ________________________________________________________________________________
City: __________________________ State: _____________________ Zip: ____________________
Phone: ________________________________ Email: _________________________________________
Method of Payment
□ VISA
□ MasterCard
Credit card number __________________________________________________
Card expires (month/year): ____________________
Charge amount authorized: $__________________ Date: ____________________
Cardholder's signature: _____________________________________________________
Permit & Development Center
809 N. Broadway, Milwaukee, WI 53202 | (414) 286-8211 | milwaukee.gov/permits | [email protected]
SIGN
Mail this form along with permit applications to: Milwaukee Development Center First Floor 809 N. Broadway Milwaukee, WI 53202-3617
Fax orders to (414) 286-0251
*
ENHANCING DEVELOPMENT ENGAGING NEIGHBORHOODS•ENSURING SAFETY
|
<urn:uuid:97b006fa-2524-44ff-bcc7-bf8b73de2c4e>
|
CC-MAIN-2023-50
|
https://city.milwaukee.gov/DNS/planning/EAppCreditcard.pdf
|
2023-12-10T12:55:14+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00126-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet
| 194,377,216
| 202
|
eng_Latn
|
eng_Latn
| 0.42313
|
eng_Latn
| 0.42313
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
1189
] |
New Consultant Prizes
(Available during Great Start Time Period)
Prizes may vary from pictures shown
**Only available 7 days from welcome appointment**
____ Great Start Qualified
$600.00 Wholesale accumulated during Great Start time period - Believers & Achievers pin
____ Pearls of Sharing:
—4 interviews: Floating Pearl Necklace
— 2 more interviews (6 total): Pearl Bracelet
— 4 more interviews (10 total): Pearl Earrings
— Add a new team member: Pearl Necklace (Interviews must be done with Jennifer via three-way call)
____ New Consultant Training #1 & #2
Gold Sparkly Calculator
Prize from the Prize Closet
—— Beat the Bag Challenge
|
<urn:uuid:af5a49ac-9354-4d3c-87b1-4a3a493f219a>
|
CC-MAIN-2021-39
|
http://believearea.com/wp-content/uploads/2020/09/Training-Prizes-Sept2020.pdf
|
2021-09-23T11:20:17+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-39/subset=warc/part-00201-f465d820-0362-4c4c-a396-c69f5fd24cc4.c000.gz.parquet
| 8,612,468
| 148
|
eng_Latn
|
eng_Latn
| 0.956415
|
eng_Latn
| 0.956415
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
653
] |
A Look Into the Life of Lester ......
Lester Lawrence - "Bay" to many, burst into this world on July 8, 1937. He is the fifth child and baby boy of the late William Lawrence, Sr., and Mary Spruill Lawrence.
Lester received his education in the Martin County, North Carolina School System. During those years he served as a dedicated school bus driver and outstanding athlete [baseball & basketball]. He even trained as a possible Cincinnati Reds baseball player! Lester was not a tall man in stature; but, boy could he handle a basketball and run that court!
He went on to mam; his high school sweetheart, Hattie Louise Taylor (deceased), and to that love story; a daughter, Vickie Denise was born. Lester decided to move his small family to Brooklyn, New York, for a better opportunity. The Lord blessed him with a job at the U.S. Post Office [as a mail carrier]. In the early 70s, Lester decided that it was time to move closer to home, so he packed up his family and moved to Richmond, Virginia; where his only brother William "Bud" had a job waiting for him at Coca-Cola Bottling Co. Lester worked there as a delivery driver for many years until moving on to Wonderbread (Hostess), also as a delivery driver. The people on his routes loved him!! He retired from Hostess and being the energetic man that he was decided to start up a lawn care business. He loved it and pushed, not rode his lawn mower to beautify people's yards until he could not do it anymore! To know him was to love him!! He never met a stranger and always made you feel special! Lester loved spending time with family & friends; was an avid sports fan, and was a devoted Virginia Union University Booster. Lester was an active member of Union Baptist Church (where he provided lawncare, while he was in good health).
Lester leaves to cherish his precious memory; one daughter, Vickie Denise (devoted); one grandson, Jeron Alonzo; one godson, Tyrell (Charlene); seven great-grandchildren - Aalia, Talia, Jayla, Jalaiyah, Jeron, Jr., Jamari, and Jeriel; one sister, Elsie; two sisters in law, Flossie ('Bud' deceased), Louise (Chris, deceased) and a host of nieces, nephews, cousins, and friends.
Cemetery Details
Private
Previous Events
Memorial Service with live streaming
JUN 11. 4:00 PM (ET)
March Funeral Home-Laburnum Ave.
2110 E. Laburnum Ave.
Richmond, VA 23222
Tribute Wall
To View the Webcast of the Funeral for Lester Lawrence, Please Click the Link below.
March Funeral Homes - June 09 at 03:31 PM
Sending my condolences to you and the family. From: Teddy and Ronda Lawrence
Sharonda Lawrence - June 11 at 10:57 PM
We the March Family and Staff wish to extend our deepest and heartfelt sympathy in the passing of your loved one. Our prayers go out to you and your family in your time of loss. We know and understand that you have received many expressions of love and we will continue to lift you up in prayer. May the memories you cherish of brighter and happier days help to ease your sorrow and comfort you always.
March Funeral Homes - June 03 at 02:07 PM
|
<urn:uuid:54327e93-0c7b-4905-9e85-7ef8e39d3935>
|
CC-MAIN-2022-33
|
https://www.marchfh.com/obituaries/Lester-Lawrence-2/Print/Wall
|
2022-08-19T02:52:23+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-33/subset=warc/part-00277-d466b69e-be2b-4525-ac34-1b10d57329da.c000.gz.parquet
| 766,912,510
| 724
|
eng_Latn
|
eng_Latn
| 0.924623
|
eng_Latn
| 0.998183
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2172,
2353,
3062
] |
Westside Recreation Centre | 2000–69 Street SW, Calgary, Alberta | [email protected]
POSITION TITLE:
Equipment Lending Volunteer
WHO IS WESTSIDE:
Westside Recreation Centre is a world-class facility based on a lifestyle and wellness concept. Since 2000, we have been providing families with a fun, healthy and affordable environment with world class activities, including a hockey and skating facility, fitness centre, gymnasium and an aquatic park.
BENEFITS OF BEING AT WESTSIDE:
- Use of Recreation Facility
- Close proximity to West LRT line
POSITION DESCRIPTION:
Equipment Lending Volunteers ensure all participants are able to obtain equipment through Westside's Equipment Lending program. Volunteers will supervise, maintain, and clean any equipment that is being lent out to participants. Volunteers will also be required to implement badminton rotations during busier badminton times. Other duties include:
- Be sure to receive a piece of Photo I.D. from participants to ensure equipment is returned upon completion, and place I.D. into proper equipment lending slot (behind office door). Double check that proper I.D. is being returned
- Be familiar with gym schedule – be aware of activities or programs that occur during your shift and assist with the gymnasium set-up and take-down as required.
- All gym equipment must be properly returned to its original location
- Be helpful and courteous to staff and customers – direct patrons to the front desk or supervisor if they have any questions
- Radio/Report any difficult customers to Youth Worker or Supervisor
WORK TERM:
- July – August
- Morning/Afternoon/Evening shifts available
- Minimum 2 shifts/week (shifts are between 2.5 – 3 hours long)
QUALIFICATIONS/ SKILLS REQUIRED:
- Current Emergency First Aid and CPR C Certificate
- Completion of Volunteer Orientation and Training
- Commit to a minimum of 1 full season (July – August)
- Between 13 and 17 years old.
-
CLOSING DATE: Open until positions have been filled.
TO APPLY: Please fill out the online application
We thank all applicants for their interest, however only those candidates to be interviewed will be contacted. Westside Regional Recreation Society believes in equal opportunities and is a non-smoking environment. All positions have a screening process that includes interviews, references, security, and employment history checks. This position has been deemed to be safety sensitive and is subject to post-incident drug and alcohol testing.
|
<urn:uuid:5b885bd7-4068-4cca-bb25-bb0b60575190>
|
CC-MAIN-2023-23
|
https://www.westsiderec.com/wp-content/uploads/2023/03/Equipment-Lending-Volunteer-1.pdf
|
2023-05-28T08:40:51+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00263-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet
| 1,203,095,270
| 516
|
eng_Latn
|
eng_Latn
| 0.992832
|
eng_Latn
| 0.992832
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
2512
] |
General Ordinance # 6, 2017, is an Ordinance that amends Chapter 94 and Chapter 98 of the Code of Ordinances of the City of Beech Grove as it pertains to Open Burning.
WHEREAS, residents of the City of Beech Grove, are not permitted to burn trash, rubbish, leaves and other foliage; and
WHEREAS, residents on occasion enjoy cooking out, having wiener roast and sitting around a small fire during the course of an evening; and
WHEREAS, residents who live in apartment complexes should confer to apartment management, concerning open fires.
WHEREAS, residents should not be constrained by representatives of local government should they desire to have a “small” campfire in their backyards.
NOW THEREFORE BE IT AFFIRMED that the Common Council desires to amend Chapter 94 and Chapter 98 of the Code of Ordinances of the City of Beech Grove.
NOW THEREFORE BE IT FURTHER AFFIRMED that the Common Council desires the following amendments be added to the Code of Ordinances.
DELETE IN ITS ENTIRETY
Section 94.180 OPEN BURNING
Section 94.081 SPECIAL PERMITS
ADD THE FOLLOWING AMENDMENTS AS FOLLOWS:
No person shall kindle or maintain any bonfire or burn leaves, rubbish or dispose of any refuse by open burning, or such fire, or authorizes any such fire to be kindled or maintained on or in any street, alley, road, land or public grounds.
(L.1) No person shall kindle or maintain any bonfire, burn leaves, trash or rubbish on any private land or dispose of unwanted goods by open burning on private land. (see subsection L.2 for exclusions.)
(L.2) Special small fires for the purpose of wiener roast, hog roast and other specialty cooking with open flame is permitted, provided the open fire is contained in an approved container with access to a lid, or is in the ground 6 inches in depth, surrounded by cement blocks or bricks extending at least 6 inches in height. The fire pit may not exceed an internal diameter of 48 inches.
(L.3) Public Safety Agencies upon notification may have cause to conduct an inspection and if conditions are unsafe may ask for you to extinguish the fire.
(L.4) The fire pit must be 15 feet away from any residential structures including houses, garages and barns. It must also be 15 feet away from overhead utility lines. This is determined by measuring the point on the ground in which the utility crossed and measuring to the fire pit.
(L.5) An operable garden hose and / or a 5 gallon bucket of water must be readily available to extinguish the fire if necessary.
(L.6) A person over the age of 18 must be present at the residence when a bonfire is lit.
NOW THEREFORE BE IT AFFIRMED that the Common Council desires to amend Chapter 94 and Chapter 98 of the Code of Ordinances for the City of Beech Grove.
NOW THEREFORE BE IT FURTHER AFFIRMED that this Ordinance only applies to the above mentioned changes in Chapter 94 and Chapter 98 of the Code of Ordinances for the City of Beech Grove.
NOW THEREFORE BE IT FURTHER AFFIRMED that this Ordinance shall go into effect immediately after passage by the Common Council, signed by the Council President Pro-Tem, attested by the Clerk Treasurer and signed by the Mayor.
|
<urn:uuid:5ec59563-2512-4bd3-b3d9-c0fe1081fc70>
|
CC-MAIN-2021-21
|
https://www.beechgrove.com/uploads/1/0/1/2/10129925/general_ordinance_no.6_2017.pdf
|
2021-05-16T21:59:59+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-21/subset=warc/part-00182-2bb1ba05-1421-4b90-a3f4-bbc46b4a29a5.c000.gz.parquet
| 672,508,846
| 721
|
eng_Latn
|
eng_Latn
| 0.993542
|
eng_Latn
| 0.995405
|
[
"eng_Latn",
"eng_Latn"
] | false
|
docling
|
[
1101,
3163
] |
Learning Today, Leading Tomorrow
Marshall County Schools
Certified Personnel Evaluation Plan and Procedures
2021-2022
# Marshall County Public Schools
## Certified Personnel Evaluation Plan and Procedures
### Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Cover Page | 1 |
| Table of Contents | 2 |
| Certified Personnel | |
| Certified Evaluation Plan Contact | 3 |
| Certified Evaluation Plan Assurances | 3 |
| 2021-2022 Committee Members | 3 |
| Certified Personnel Evaluation System Introduction and Overview | 5 |
| Kentucky Framework for Teaching | 6 |
| Certified Personnel Evaluation Procedures | 8 |
| Self-Reflection and Professional Growth Planning | 10 |
| Evaluator Certification | 11 |
| Third Party Observer Process | 12 |
| Observation Model | 13 |
| Observation Schedule | 13 |
| Late Hires/Absenteeism | 14 |
| Observation Conferencing | 14 |
| Determining the Rating for Summative Evaluation | 15 |
| Principals and Assistant Principals | |
| Principal Personnel Evaluation System | 17 |
| Principal Personnel Evaluation System Overview and Performance Measures| 18 |
| Professional Growth Planning and Self-Reflection | 19 |
| Site-Visits | 20 |
| Working Condition Goal | 21 |
| Products of Practice | 22 |
| Components, Overview, and Summative Model | 23 |
| Determining the Overall Performance Category | 24 |
| District Administrators | |
| District Administrator & Certified Coordinator Evaluation System | 25 |
| Performance Measures to Determine Ratings | 26 |
| All Certified Employees | |
| Individual Corrective Action Plans | 27 |
| Evaluation Appeals Process | 27 |
| Evaluation Appeals Form | 29 |
| Appendix | |
| Forms | 31 |
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
Evaluation Contact Person
The following district employee is designated to serve as the evaluation contact person and act as a liaison between the district and the Kentucky Department of Education in matters concerning the district’s evaluation process:
Abby Griffy, Instructional Supervisor
86 High School Road
Benton, KY 42025
[email protected]
Phone: (270) 527-8628
Fax: (270) 527-0804
CERTIFIED EVALUATION PLAN ASSURANCES
The Marshall County Public School District hereby assures the Commissioner of Education that:
This evaluation plan was developed by an evaluation committee composed of an equal number of teachers and administrators (KRS 156.557).
Certified Evaluation Plan Review Committee
Teachers
Luke Inglish, Marshall County Education Association President
Rebecca Phelps, Marshall County High School
Rebecca Sealock, Marshall County High School
Kelly Jones, North Marshall Middle School
Kalli Colley, South Marshall Middle School
Stephanie Ives, Benton Elementary School
Katee Adams, Sharpe Elementary School
Jayna Wade, South Marshall Elementary School
Administrators
Abby Griffy, Supervisor of Instruction
Leah Beth, Marshall County High School
Scott Pullen, Marshall County High School
Lori Phillips, North Marshall Middle School
Jon Bell, South Marshall Middle School
Kendra Glenn, Calvert City Elementary School
Jill Darnall, Central Elementary School
Annessa Roberts, Jonathan Elementary School
The evaluation criteria and process used to evaluate certified school personnel shall be explained to and discussed with the evaluatee no later than the end of the evaluatee’s first thirty (30) calendar days of reporting for employment each school year. (704 KAR 3:370)
All certified school personnel who have not attained continuing service status shall receive an annual summative evaluation and shall incorporate the formative data collected during the Kentucky Teacher Internship Program (if funded). (KRS 156.557)
All certified school personnel who have attained continuing service status shall receive a summative evaluation at least once every three (3) years. (KRS 156.557)
Each evaluator will be trained, tested, and approved in the use of appropriate evaluation techniques (KRS 156.557).
This plan requires a summative evaluation of certified school personnel to be documented in writing and to be included in the evaluatee’s official personnel record. (704 KAR 3:370)
The local evaluation plan provides for the right to a hearing as to every appeal, an opportunity to review all documents presented to the evaluation appeals panel, and a right to presence of evaluatee’s chosen representative (KRS 156.557).
The evaluation plan process will not discriminate on the basis of age, race, color, national origin, religion, sex, disability, or any other protected characteristic, as required by all applicable federal, state, and local law.
The local board of education shall review, as needed, the district’s certified evaluation plan to ensure compliance with KRS 156.557 and this administrative regulation. If a source of evidence is added or removed from the certified evaluation plan or if a decision rule or calculation is changed in the summative rating formula, the revised certified evaluation plan shall be reviewed and approved by the local board of education. If the local board of education determines the changes do not meet the requirements of KRS 156.557, the certified evaluation plan shall be returned to the certified evaluation committee for revision.
The local board of education approved the evaluation plan as recorded in the minutes of the meeting held on June 17, 2021 (704 KAR 3:370)
[Signature]
Date
[Signature]
Date
Personnel Evaluation System – Certified Teacher
The vision of the Personnel Evaluation System is to have every student taught by an effective teacher. The goal is to create a fair and equitable system to measure teacher effectiveness and act as a catalyst for professional growth.
Roles and Definitions
1. **Assistant Principal**: A certified school personnel who devotes the majority of employed time in the role of assistant principal, for which administrative certification is required by EPSB.
2. **Certified Administrator**: A certified school personnel, other than principal or assistant principal, who devotes the majority of time in a position for which administrative certification is required by EPSB.
3. **Certified School Personnel**: A certified school employee, below the level of superintendent, who devotes the majority of time in a position in a district for which certification is required by EPSB.
4. **Conference**: A meeting between the evaluator and the evaluatee for the purpose of providing feedback, analyzing the results of an observation or observations, reviewing other evidence to determine the evaluatee’s accomplishments and areas of growth, and leading to the establishment or revision of a professional growth plan.
5. **Corrective Action Plan**: A plan whereby an evaluatee establishes specific goals to improve an identified area concerning job performance or areas that need immediate attention by the evaluatee for the evaluatee to be considered for reemployment. The evaluator takes an active role in activities and appraisal of the activities along with the evaluatee. Intensive assistance may require the use of individuals to help the employee grow professionally.
6. **Evaluatee**: a certified school personnel who is being evaluated.
7. **Evaluator**: the primary evaluator as pursuant to KRS 156.557(5)(c)2.
8. **Evaluator Certification**: means successful completion of certified evaluation training to ensure that certified school personnel who serve as observers of evaluatees demonstrate proficiency in rating teachers and other professionals for the purposes of evaluation and feedback.
9. **Formative Evaluation**: Is defined by KRS 156.557(1)(a).
10. **Full Observation**: An observation conducted by a certified observer that is conducted for the length of a full class period or full lesson.
11. **Job Category**: A group or class of certified school personnel positions with closely related functions.
12. **Mini Observation**: An observation conducted by a certified observer for 20-30 minutes in length.
13. **Observation**: a data collection process conducted by a certified evaluator, in person or through video, for the purpose of evaluation, including notes, professional judgments, and examination of the data collected during one (1) or more classroom or worksite visits of any duration.
14. **Other Professionals**: Certified school personnel, except for teachers, administrators, assistant principals, or principals.
15. **Performance Criteria**: the areas, skills, or outcomes on which certified school personnel are evaluated.
16. **Performance Measure**: One of four measures defined in the Kentucky Framework for Personnel Evaluation. Measures include planning, environment, instruction, and professionalism.
17. **Performance Rating**: Rating for each performance measure for a teacher, other professional, principal, or assistant principal as determined by the local district certified evaluation plan aligned to the Kentucky Framework for Personnel Evaluation. Ratings shall be exemplary, accomplished, developing, and ineffective.
18. **Principal**: A certified school personnel who devotes the majority of employed time in the role of principal, for which administrative certification is required by the Education Professional Standards Board pursuant to 16 KAR 3:050.
19. **Personnel Evaluation System**: An evaluation system to support and improve the performance of certified school personnel that meets the requirements of KRS 156.557 and that uses clear and timely formative feedback to guide professional growth.
20. **Self-Reflection**: The process by which certified personnel assesses the effectiveness and adequacy of their knowledge and performance for the purpose of identifying areas for professional learning and growth.
21. **Sources of Evidence**: The district-approved evidence aligned to the performance measure and used by evaluators to inform performance measure ratings listed in Section 8 of the administrative regulation.
22. **Summative Evaluation**: Is defined by KRS 156.557(1)(d).
23. **Summative Rating**: The overall rating for certified school personnel below the level of superintendent as determined by the district certified evaluation plan aligned to the Kentucky Framework for Personnel Evaluation.
24. **Teacher**: A certified school personnel who has been assigned the lead responsibility for student learning in a classroom, grade level, subject, or course and holds a teaching certificate pursuant to 16 KAR 2:010 or 16 KAR 2:020.
25. **Working Conditions Survey Goal**: A school improvement goal set by a principal or assistant principal every two (2) years with the use of data from the department-approved working conditions survey.
For Additional Definitions and Roles, please see 704KAR 3:370.
---
**The Kentucky Framework for Teaching with Specialist Frameworks for Other Professionals**
The Kentucky Framework for Teaching is designed to support student achievement and professional practice through the domains of:
| Framework for Teaching | Specialist Frameworks for Other Professionals |
|------------------------|-----------------------------------------------|
| Planning and Preparation | Planning and Preparation |
| Classroom Environment | Environment |
| Instruction | Instruction/Delivery of Service |
| Professional Responsibilities | Professional Responsibilities |
The Frameworks also include themes such as equity, cultural competence, high expectations, developmental appropriateness, accommodating individual needs, effective technology integration, and student assumption of responsibility. They provide structure for feedback for continuous improvement through individual goals that target student and professional growth, thus supporting overall school improvement. Evidence documenting professional practice will be situated within one or more of the four domains of the framework.
Performance will be rated for each component according to four performance levels: Ineffective, Developing, Accomplished, and Exemplary. The summative rating will be a holistic representation of performance, combining data from multiple sources of evidence across each domain.
The use of professional judgment based on multiple sources of evidence promotes a more holistic and comprehensive analysis of practice, rather than over-reliance on one individual data point or rote calculation of practice based on predetermined formulas. Evaluators will also take into account how educators respond to or apply additional supports and resources designed to promote student learning, as well as their own professional growth and development. Finally, professional judgment gives evaluators the flexibility to account for a wide variety of factors related to individual educator performance, such as: school-specific priorities that may drive practice in one domain, an educator’s number of goals, experience level and/or leadership opportunities, and contextual variables that may impact the learning environment, such as unanticipated outside events or traumas.
The following categories have been identified by KDE as Other Professionals:
- Library Media Specialist
- Therapeutic Specialist/Speech
- School Guidance Counselor
- School Psychologist
- School Instructional Specialist/Coach
Other Professionals will follow the same evaluation procedures and timeline as certified teachers. Evaluators will use the Specialist Frameworks and appropriate forms to record the summative evaluation result.
Other sources of evidence that can be used to support educator practice may include, but not limited to:
- Action research
- Committee participation
- Communication logs
- Community engagement
- Curriculum units
- Engagement in professional organizations
- Evidence as identified in Domains 1-4 of the Framework for Teaching
- Evidence tool for planning and preparation
- Formative and/or other professional data
- Fulfillment of duties
- Lesson plans
- Letters/memos of performance both outstanding or needs improvement
- Meaningful feedback to students
- Performance based measures with rubrics
- PLCs contribution
- Professional conversations
- Self-reflections
- Student academic data
- Student work samples
- Trend data
- Use of professional feedback
- Video lessons
- Walk-throughs
- Other sources of evidences agreed upon by the evaluatee and evaluator
All components and sources of evidence related supporting an educator’s professional practice will be completed and documented to inform the Overall Performance Category.
### SOURCES OF EVIDENCE/FRAMWORK FOR TEACHING ALIGNMENT
| FRAMEWORK for TEACHING (FIT) | Performance Measures | Planning | Environment | Instruction | Professionalism |
|-----------------------------|----------------------|----------|-------------|-------------|-----------------|
| | Component | 1a-Knowledge of content/pedagogy | 1b-Demonstrate knowledge of students | 2a-Creating Env. of Respect & Rapport | 3a-Communicating with Students | 4a-Reflecting On Teaching |
| | | 1c-Setting instructional Outcomes | 1d-Demonstrates knowledge of resources | 2b-Establish Culture of Learning | 3b-Questioning & Discussion Techniques | 4b-Maintaining Accurate Records |
| | | 1e-Designing Coherent Instruction | 2c-Maintaining Classroom Procedures | 2d-Managing Student Behavior | 3c-Engaging Students in Learning | 4c-Communicating with Families |
| | | 1f-Designing Student Assessment | 2e-Organizing Physical Space | 3d-Using Assessment in Learning | 3e-Demonstrating Flexibility & Responsive | 4d-Participating in Profess. Learning Comm. |
| | | | | | 4e-Growing & Developing Professionally | 4f-Showing Professionalism |
| Supervisor Observation | Evidence (pre-and post conferences) | Observation | Evidence (pre-and post conferences) |
|------------------------|-------------------------------------|-------------|-------------------------------------|
| Professional Growth | Professional Growth Planning and Self Reflection |
### Procedures
The following procedures are organized for the purpose of facilitating and implementing the Certified Personnel Evaluation Program.
A. Reliable evaluators are essential to the Certified Personnel Evaluation Program. Evaluators will be trained in the skills of analyzing effective teaching and in the procedures for implementing the Marshall County Certified Personnel Evaluation Program.
B. Sufficient orientation will be provided to acquaint certified personnel with the Program and with the specific criteria on which they will be observed and evaluated.
C. The employee’s immediate supervisor is designated as the primary evaluator. Additional trained administrative personnel may be used to observe and provide information to the primary evaluator and/or to serve as the primary evaluator’s designee. If requested by the teacher, observations by another teacher trained in the teacher’s content area or by curriculum content specialists shall be provided. The selection of the third-party observer, shall, if possible, be determined through mutual agreement by evaluator and evaluatee. A teacher who exercises this option shall do so, in writing to the evaluator, by no later than February 15 of the academic year in which the summative evaluation
occurs. If the evaluator and evaluatee have not agreed upon the selection of the third-party observer within five (5) working days of the teacher’s written request, the evaluator shall select the third-party observer.
D. The Certified Personnel Evaluation Program includes the following components:
1. **Orientation of Administrators** – Annual training will be provided by the district to improve the consistency and quality of the evaluator’s skills.
2. **Notification** – All certified school personnel shall be made aware no later than the end of the first month of reporting for employment for each school year of the criteria on which they are to be evaluated.
3. **Pre-Observation Conference** – Prior to scheduled observations (excludes the Principal Professional Growth and Effectiveness System).
4. **Partial Observations (Mini)** – Includes both scheduled and unscheduled observations 20-30 minutes in length. They are designed to help the evaluatee improve his/her performance by providing feedback and suggestions for improvement.
5. **Formative Observations (Full)** – They are designed to help the evaluatee improve his/her performance by providing feedback and suggestions for improvement. These observations focus on the performance criteria listed in each major job category.
6. **Post-Observation Conference** – Conducted within a reasonable period of time (not to exceed five school days) following each observation. This conference will include a discussion of identified strengths and areas for growth.
7. **Summative Evaluation** – Composite of information obtained through the formative observations and appropriate Professional Growth and Effectiveness System components; which serve as the basis for administrative decision-making.
8. **Growth Plan** – Must be aligned with the school/district plan and/or identified areas of growth through the Professional Growth and Effectiveness System. It is to be revised annually.
9. **Individual Corrective Action Plan** – Completed when an evaluatee receives “does not meet” or “ineffective” rating on the Summative Evaluation or when immediate action is necessary to correct a deficiency.
Additional information related to the formative phase may be found throughout the Certified Personnel Evaluation Plan.
**Summative Phase: Teachers**
A. The summative phase is the review of all data gathered in formative observations and components of the Personnel Evaluation System during the summative cycle.
B. Summative evaluations will be completed for non-tenured teachers and teachers not recommended for reemployment by May 1. If this falls on a weekend, then the next contracted day. All other summative evaluations must be completed by the last contracted day for the school year. These will be submitted to the Director of Human Resources.
C. Pertinent data will be identified through the summative evaluation; which represents major performance areas and specific criteria statements, and by components of the Personnel Evaluation System.
D. The summative evaluation will address all performance measures.
E. The summative conference will be conducted during which time the evaluator and the teacher review the summative evaluation report.
F. The evaluator and the teacher will sign and date the summative evaluation to indicate that the document has been read and discussed.
G. If the teacher wishes to respond, a statement should be written, signed, and attached to the summative evaluation copy. (See also, Evaluation Appeals Process.)
H. Copies of the summative evaluation will be retained by the evaluator, the teacher, and the Superintendent of Schools. Also, the original copy will go into the individual’s personnel file at the Central Office.
Additional information related to the summative phase may be found throughout the Personnel Evaluation System.
**Professional Practice**
**Self-Reflection and Professional Growth Planning**
Reflective practices and professional growth planning are iterative processes. The teacher (1) reflects on his or her current growth needs based on multiple sources of data and identifies an area or areas for focus; (2) collaborates with his or her administrator to develop a professional growth plan and action steps; (3) implements the plan; (4) regularly reflects on the progress and impact of the plan on his or her professional practice; (5) modifies the plan as appropriate; (6) continues implementation and ongoing reflection; (7) and, finally, conducts a summative reflection on the degree of goal attainment and the implications for next steps.
The Professional Growth Plan will address realistic, focused, and measurable professional goals. The plan will connect data from multiple sources including classroom observation feedback, and professional growth needs identified through self-assessment and reflection. In collaboration with the administrators, teachers will identify explicit goals which will drive the focus of professional growth activities, support, and on-going reflection.
*Required*
- All teachers and Other Professionals will participate in self-reflection and professional growth planning each year.
- Self-reflections and Professional Growth Plans should be rooted in evidence/data collected from observations.
- Self-reflections will be documented using the approved district documents, and a signed copy will be kept in the employee’s records.
**Timeline and Monitoring for Self-Reflection**
*Teachers and Other Professionals:*
- Will complete their initial self-reflection within thirty (30) working days after the first student attendance day each year.
- Late hires will complete their initial self-reflection within thirty (30) working days of being hired.
- Will reflect on targeted areas before the spring semester begins.
- Will submit their final self-reflection no later than April 15 each year.
- May reflect more often based on their professional decision and/or that of their supervisor.
**Timeline and Monitoring for Professional Growth Planning**
*Teachers and Other Professionals:*
- Will complete their Professional Growth Goal and Action Plan (PGP), and receive principal approval by the 45th day of school, after students report (or within window a forty-five (45) day window if hired during the school year).
- Should update their implementation plan and strategies around their PGP as necessary (observations, state-approved student perception survey, and other times based upon their
professional judgment and/or that of their supervisor.) Modifications to the PGP shall be reviewed and approved by the supervisor.
Support and guidance around PGPs will be determined by the below chart following summative ratings.
| Level 1: Self-Directed Professional Growth Plan (3-year cycle) |
|---------------------------------------------------------------|
| **Developing Professional Practice Rating** |
| • Goals set by educator with evaluator input; |
| • One goal must address low performance or outcomes |
| • Plan activities designed by educator with evaluator input. |
| • Formative Review annually |
| **Accomplished Professional Practice Rating** |
| • Goal set by educator with evaluator input |
| • One goal must focus on low student growth outcome |
| • Formative review annually |
| **Exemplary Professional Practice Rating** |
| • Goals set by educator with evaluator input |
| • Plan activities are teacher directed and implemented with colleagues. |
| • Formative review annually |
| Level 2: One-Year Cycle Directed Professional Growth Plan |
|---------------------------------------------------------------|
| **Developing Professional Practice Rating** |
| • Goal Determined by Evaluator |
| • Goals focus on low performance/outcome area |
| • Plan activities designed by evaluator with educator input |
| • Formative review at mid-point |
| • Summative at end of plan |
| Level 3: Individual Corrective Action Plan (Up to 12 Months) |
|---------------------------------------------------------------|
| **Ineffective Professional Practice Rating** |
| • Goal determined by evaluator |
| • Focus on low performance area |
| • Summative at end of plan |
**Evaluator Certification**
All administrators serving as a primary evaluator must complete the training requirements of KRS 156.557 and 704 KAR 3.370. Administrators serving as a primary evaluator must complete initial certified evaluation training. This proficiency system will be designed by the district and must be passed prior to conducting observations for the purpose of evaluation.
Administrators serving as a primary evaluator must complete a minimum of six (6) hours annually of EILA-approved training. District EILA-approved training must consist of observation training.
In cases where the supervisor is not certified through the proficiency system and is therefore unable to conduct observations during the observation window, the Supervisors of Instruction will determine how to ensure teachers and other professionals have access to observations by making the following decision:
In the event a supervisor is not successful in completing/passing the assessments.
- Supervisor will be assigned a mentor by the Supervisors of Instruction. It shall be someone who has already passed the state approved certification program if possible.
- Mentor will provide guidance and support as requested. It is not permissible for the mentor to take the exam with the supervisor.
- The mentor will review assessment results with the supervisor and will target areas of weakness.
- Go back through appropriate sections of training to establish understanding.
Teachers will have access to certified observers for observations and feedback in cases where their immediate supervisor is not certified through the proficiency system and therefore unable to conduct the observation. Supervisors of Instruction personnel or principals from another building (certified through the proficiency system) and designated by the superintendent, will conduct the observation with the principal, modeling the process and providing mentorship of the proficiency system for the supervisor). Observation data provided by a substitute observer is considered a valid source of evidence only if the supervisor participated (passively) in the observation. Passive involvement will be waived in cases where a supervisor is unable to participate (long-term leave or other extenuating circumstances).
**Third Party Observer Process**
If requested by the teacher, observations may be conducted by another administrator who has completed the required certified evaluation training. The selection process of the third-party observer shall, if possible, be determined through mutual agreement by evaluator and evaluatee. A teacher who exercises this option shall do so, in writing to the evaluator, by no later than February 15 of the academic year in which the summative evaluation occurs. If the evaluator and evaluatee have not agreed upon the selection of the third-party observer within five (5) working days of the teacher’s written request, the evaluator shall select the third-party observer.
Observation Model
The observation process is one source of evidence to determine teacher effectiveness for each certified teacher. The supervisor observation will provide documentation and feedback to measure the effectiveness of a teacher’s professional practice. The rationale is to encourage continued professional learning in teaching and learning through critical reflection.
All employees shall be afforded an opportunity to review their evaluations. All evaluations shall be discussed with the evaluatee, and he/she shall have the opportunity to attach a statement to the evaluation instrument. Both evaluator and evaluatee shall sign and date the evaluation instrument. All evaluations shall be maintained in the employee’s personnel file. A signature does not denote that the evaluatee agrees with the evaluation. If there is a pattern of the evaluator failing to comply with the responsibilities stated in the observation schedule, the Superintendent may be contacted or a grievance may be filed with the Human Resource Director.
The observation model will follow the following:
**Observation Schedule**
- Observations may begin after the evaluation training takes place. Training must take place within thirty (30) calendar days of reporting for employment each school year.
**Observation Schedule:** Determined by the PGP and Cycle for teachers and other professionals.
**One Year Educator Plan Schedule:**
*Mini Observation Schedule:*
Two mini-observations will be conducted. At least one mini-observation must be conducted during the first semester. Both mini-observations must be completed by the end of February.
*Full Observation Schedule:*
The full observations will be conducted between January 1 through May 1.
- The summative evaluation conference must be conducted by May 1. If May 1 falls on a weekend, then it must be conducted the next contracted day.
**Three Year Educator Plan Schedule:**
Defined by the PGP and Cycle for teachers and other professionals.
The observation schedule for teachers on a three-year summative cycle will follow the following schedule:
- Observations may begin after the evaluation training takes place. Training must take place within the first thirty (30) calendar days of reporting for employment
- It is recommended that the observation schedule follows:
- One formal observation (mini) by supervisor in year one (Must occur by May 1).
- One formal observation (mini) by supervisor in year two (Must occur by May 1).
- One formal observation (full) by supervisor in year three will be conducted between January 1 and May 1.
- The summative evaluation conference shall be conducted by the last contracted day.
Late Hires/Absenteeism
All late hire teachers will be placed on a one-year cycle.
Any teacher hired before the 60th day of instruction will have all observations conducted. Please see observation schedule in the above section.
A supervisor may eliminate one of the required observations on a teacher hired after the 60th day of instruction.
If a teacher misses sixty (60) consecutive school days throughout the year, then the supervisor may eliminate one of the required mini-observations.
Observation Conferencing
Observers will adhere to the following observation conferencing requirements for teachers and other professionals:
- Prior to all full observations a pre-observation conference form will be submitted, at least the day prior to the scheduled observation. Appendix: Pre-Observation Conference Document.
- All post-conferences must be face to face and must take place within five (5) working days of each observation.
- Post-conferences will, at a minimum, address the questions and topics of the post-observation conferencing form. Appendix: Post-Observation Conference Document.
- Post-observation conferencing, after a mini observation, may target particular area(s) of focus for future walkthroughs, observations, professional growth goals, etc.
- The summative evaluation conference shall be conducted at the end of the summative evaluation cycle (no later than May 1 for non-tenured teachers and by the last contracted day for tenured teachers).
Determining the Rating for Summative Evaluation
The Kentucky Framework for Teaching stands as the critical rubric for providing educators with concrete descriptions of practice associated with specific domains. The summative process concludes with the evaluator’s analysis of evidence and the final assessment of practice in relation to Performance Measures of Planning, Environment, Instruction, and Professionalism for a summative rating.
The following charts depict sources of evidence and minimum criteria for determining the professional practice rating. Supervisors will provide a summative rating for each performance measure based on evidence. All summative ratings must be recorded in the district-approved technology platform.
Minimum Criteria for Determining an Educator’s Professional Practice Rating
| IF… | THEN… |
|------|--------|
| Performance Measures 2 AND 3 are rated INEFFECTIVE | Professional Practice Rating shall be INEFFECTIVE |
| Performance Measures 2 OR 3 are rated INEFFECTIVE | Professional Practice Rating shall be DEVELOPING or INEFFECTIVE |
| Performance Measures 1 OR 4 are rated INEFFECTIVE | Professional Practice Rating shall NOT be EXEMPLARY |
| Two Performance Measures are rated DEVELOPING, and two Performance Measures are rated ACCOMPLISHED | Professional Practice Rating shall be ACCOMPLISHED |
| Two Performance Measures are rated DEVELOPING, and two Performance Measures are rated EXEMPLARY | Professional Practice Rating shall be ACCOMPLISHED |
| Two Performance Measures are rated ACCOMPLISHED, and two Performance Measures are rated EXEMPLARY | Professional Practice Rating shall be EXEMPLARY |
This chart is used to determine Professional Growth Plans and the Summative Cycle for tenured teachers during the year in which they are due for a summative evaluation:
| TYPE AND LENGTH OF EDUCATOR PLAN FOR TENURED TEACHERS |
|------------------------------------------------------|
| **THREE-YEAR SELF-DIRECTED CYCLE** |
| • Goal set by educator with evaluator input |
| • One goal must focus on low outcome |
| • Formative review annually |
| **THREE-YEAR SELF-DIRECTED CYCLE** |
| • Goals set by educator with evaluator input |
| • Plan activities are teacher directed and |
| implemented with colleagues. |
| • Formative review annually |
| • Summative occurs at the end of year 3. |
| **ONE-YEAR DIRECTED CYCLE** |
| • Goal Determined by Evaluator |
| • Goals focus on low performance/outcome area |
| • Plan activities designed by evaluator with |
| educator input |
| • Formative review at mid-point |
| • Summative at end of plan |
| **THREE-YEAR SELF-DIRECTED CYCLE** |
| • Goals set by educator with evaluator |
| • Goals must address low performance or outcomes |
| • Plan activities designed by educator with |
| evaluator input. |
| • Formative Review annually. |
| **THREE-YEAR SELF-DIRECTED CYCLE** |
| • Goal set by educator with evaluator input |
| • One goal must focus on low outcome |
| • Formative review annually |
| **UP TO 12-MONTH IMPROVEMENT PLAN** |
| • Goal Determined by evaluator |
| • Focus on low performance area |
| • Summative at end of plan |
| **ONE-YEAR DIRECTED GROWTH PLAN** |
| • Goal Determined by Evaluator |
| • Goals focus on low performance/outcome area |
| • Plan activities designed by evaluator with |
| educator input |
| • Formative review at mid-point |
| • Summative at end of plan |
Principal Personnel Evaluation System
(Principal and Assistant Principal)
The vision for the Principal Personnel Evaluation System is to have every school led by an effective principal. The goal is to create a fair and equitable system to measure principal effectiveness and act as a catalyst for professional growth.
Roles and Definitions
1. **Administrator**: means an administrator who devotes the majority of employed time in the role of principal, for which administrative certification is required by the Education Professional Standards Board pursuant to 16 KAR 3:050
2. **Evaluator**: the immediate supervisor of certified personnel, who has satisfactorily completed all required evaluation training and, if evaluating teachers, observation certification training.
3. **Superintendent/Superintendent’s Designee**: means an administrator who devotes the majority of employed time in the role of Superintendent/Assistant Superintendent, for which Superintendent certification is required by the Education Professional Standards Board pursuant to 16 KAR 3:050. The Superintendent is the primary evaluator for principals, but may assign an Assistant Superintendent to be the primary evaluator as the Superintendent’s Designee.
4. **Evaluatee**: district/school personnel that is being evaluated
5. **Self-Reflection**: means the process by which certified personnel assess the effectiveness and adequacy of their knowledge and performance for the purpose of identifying areas for professional learning and growth.
6. **Working Conditions Survey Kentucky**: A working conditions survey of all school staff conducted every two years to provide feedback on specific aspects of the school’s work environment.
Principal Personnel Evaluation System Components
Overview and Performance Measures
The Professional Standards for Educational Leaders (PSEL) embody a research and practice based understanding of the relationship between educational leadership and student learning. The Professional Standards and professional judgement provide the structure for feedback for continuous improvement on the Performance Measures. Individual principal goals target professional growth, thus supporting overall student achievement, and school improvement. The Professional Standards for Educational Leaders (PSEL) aligns to the four Performance Measures in the chart below.
Professional Standards for Educational Leaders (PSEL) Aligned to Performance Measures
| Performance Measures | Planning | Environment | Instruction | Professionalism |
|----------------------|----------|-------------|-------------|-----------------|
| Professional Standards for Educational Leaders (PSEL) | Standard 6 Professional Capacity of School Personnel | Standard 3 Equity and Culturally Responsiveness | Standard 1 Mission, Vision, and Core Values | Standard 2 Ethics and Professional Norms |
| | Standard 9 Operations and Management | Standard 5 Community of Care and Support for Students | Standard 4 Curriculum, Instruction and Assessment | |
| | | Standard 7 Professional Community for Teachers and Staff | Standard 10 School Improvement | |
The Performance Measures will be rated according to the four performance ratings in the chart below.
Performance Ratings with Criteria Descriptions
| Performance Ratings | Performance Rating Criteria Description |
|---------------------|----------------------------------------|
| Ineffective | Consistently fails to meet expectations for effective performance |
| Developing | Inconsistently meets expectations for effective performance |
| Accomplished | Consistently meets expectations for effective performance |
| Exemplary | Consistently exceeds expectations for effective performance |
Evaluators will look for trends and patterns in practice across multiple types of evidence and apply their professional judgment based on this evidence when evaluating a principal. The role of evidence and professional judgment in the determination of ratings on performance measures and an overall rating is paramount in this process. However, professional judgment must be grounded in the common framework identified: The Professional Standards for Educational Leaders.
The use of professional judgment based on multiple sources of evidence promotes a more holistic and comprehensive analysis of practice, rather than over-reliance on one individual data point or rote calculation of practice based on predetermined formulas. Evaluators will also take into account how principals respond to or apply additional supports and resources designed to promote student learning, as well as their own professional growth and development. Finally, professional judgment gives evaluators the flexibility to
account for a wide variety of factors related to individual principal performance. These factors may include school-specific priorities that may drive practice in one standard, an educator’s number of goals, experience level and/or leadership opportunities. Contextual variables may also impact the learning environment, such as unanticipated outside events or traumas.
Evaluators must use the following categories of evidence in determining overall ratings:
- Professional Growth Planning and Self-Reflection
- Site-Visits
- Working Conditions Goal
Evaluators may use the following categories of evidence in determining overall ratings:
- Other Measures of Student Learning
- Products of Practice
- Other Sources
**Professional Practice**
The following sections provide a detailed overview of the various sources of evidence used to inform Professional Practice Ratings.
**Professional Growth Planning and Self-Reflection**
*Completed by principals and assistant principals*
The Professional Growth Plan will address realistic, focused, and measurable professional goals. The plan will connect data from multiple sources including site-visit conferences and professional growth needs identified through self-assessment and reflection. Self-reflection improves principal practice through ongoing, careful consideration of the impact of leadership practice on student growth and achievement.
- All principals will participate in self-reflection and professional growth planning each year.
- All assistant principals will participate in self-reflection and professional growth planning each year.
- Principals and assistant principals will submit their self-reflection within thirty (30) working days of reporting for work.
- Principals and assistant principals will submit their Professional Growth Goal and Professional Growth Plan within forty-five (45) working days of reporting to work.
- Late hires will be addressed using the same timelines stated above.
- Principal and assistant principals will submit their self-reflection and professional growth plans via the district approved form.
- At a minimum the progress toward meeting the professional growth plan will be monitored during each site visit conducted by the superintendent/designee. Additional monitoring protocols may be put in place if the principal is not progressing adequately.
- It is the responsibility of the building level principal to monitor and track the attainment of the assistant principal.
- Self-reflections and professional growth plans will be documented on district approved forms.
| Timeline | Action |
|-----------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| First 30 working days | Evaluation criteria and process used to evaluate shall be explained |
| By the 45th day of school, after students report | Develop PGP
Administrator reflects on his/her current growth needs and collaborates with supervisor to develop growth plan. This will be documented on the approved district form.
*New hires will complete PGP within 30 calendar days of employment. |
| Fall semester | Site visit(s), ongoing self-reflection |
| Mid-Year review | Review progress/reflections on growth and modify plan as appropriate |
| Spring semester | Site visit(s), ongoing self-reflection |
| By the last contract day or June 15, whichever comes first | Summative reflection and evaluation-annual summative evaluation submitted for official personnel record, copy provided to employee who may include written response. |
**Site-Visits**
*Completed by supervisor of principal – formal site visits are not required for assistant principals*
Site visits are a method by which the superintendent may gain insight into the principal’s practice in relation to the standards. During a site visit, the superintendent will discuss various aspects of the job with the principal, and will use the principal’s responses to determine issues to further explore with the faculty and staff. Additionally, the principal may explain the successes and trials the school community has experienced in relation to school improvement.
Required:
- Conducted at least twice each year. (Formal site-visits are not required for the assistant principal.)
- One site visit must occur prior to December 31. The second site visit must occur between January first and the end of the school year.
- Following each site visit a post observation conference must be conducted within five (5) working days. During this post conference, the following topics must be addressed if available
- Self-Reflection
- PGP Progress
- Working Conditions Goal Progress
- Evidences relevant to the four (4) performance measures
- Working Conditions Survey
- Any administrator hired after January 1 will be required to have two formal site visits completed.
- Evidences from site visit may be recorder using one of the following two options
- District approved forms/documents
Goal inherited by Assistant Principal
Principals are responsible for setting a two-year Working Conditions Growth Goal based on the most recent Working Conditions Survey. The principal’s effort to accomplish the Working Conditions Growth Goal is a powerful way to enhance professional performance and, in turn, positively impact school culture and student success.
- Developed following the completion of the Working Conditions Survey.
- Must complete a minimum of one two-year Working Conditions Goal.
- Once the goal has been completed the administrator must complete a rubric outlining percentages representing low, expected, and high growth using the rubric below. This must be submitted to the superintendent/designee for approval.
| Working Conditions Goal Rubric |
|--------------------------------|
| **GOAL:** Be sure to include the main question of focus, what your current percentage is, and what you want your resulting percentage to be. |
| **Working Conditions Goal** |
| **Goal** | **Low Growth** | **Expected Growth** | **High Growth** |
| ___ % | Below ___ % | ___% - ___ % | Above___ % |
- The administrator will complete an action plan that outlines specific steps and processes that will be implemented in working toward reaching the goal. This must be submitted to the superintendent/designee for approval.
- Progress of working condition goal will be addressed in each site visit conference. Principal should be prepared with formative data to show how he/she is progressing toward goal attainment.
- Principals may take into consideration feedback from local surveys administered through the school’s council, PTA, etc. However, the final goal must be rooted and reflect specifically on the Working Conditions Survey.
- Working Condition Goals will be documented in the state-approved technology platform or district approved document.
Products of Practice/Other Sources of Evidence
- Faculty Meeting Agendas and Minutes
- Department/Grade Level Agendas and Minutes
- PLC Agendas and Minutes
- Leadership Team Agendas and Minutes
- Instructional Round/Walk-through documentation
- Budgets
- EILA/Professional Learning experience documentation
- Surveys
- Professional Organization memberships
- Parent/Community engagement surveys
- Parent/Community engagement events documentation
- School schedules
- School web pages
- School Plans such as 30/60/90, assist, program reviews, etc.
- State Assessment data
- Local benchmark data
- Additional sources deemed relevant
The following graphic outlines the summative model for the Principal Professional Growth and Effectiveness System.
Evaluators will look for trends and patterns in practice across multiple types of evidence and apply their professional judgment based on this evidence when evaluating a principal. The role of evidence and professional judgment in the determination of ratings on standards and an overall rating is paramount in this process. However, professional judgment is grounded in a common framework: The Professional Standards for Educational Leaders.
Administrator and Superintendent/Designee will work together to implement the steps for self-reflection/PGP as indicated on the timeline below.
*At any time, when significant deficiencies in work performance have been observed, an employee may be placed in Intensive Support. At that time, the district-designed process will be instituted which includes a specific timeline for observations/site visits, support, and conferences. At the end of the specified timeline, the evaluator will provide a written summary of the conferences to the employee.*
### Determining Profession Practice
| Criteria for Determining a Principal or Assistant Principal’s Professional Practice Rating | Then... |
|------------------------------------------------------------------------------------------|--------|
| IF… | |
| Principal or Assistant Principal is rated EXEMPLARY in at least three of the Performance Measures and no Performance Measure is rated DEVELOPING or INEFFECTIVE | Professional Practice Rating shall be EXEMPLARY |
| Principal or Assistant Principal is rated ACCOMPLISHED in at least two Performance Measures and no Performance Measure is rated INEFFECTIVE | Professional Practice Rating shall be ACCOMPLISHED |
| Principal or Assistant Principal is rated DEVELOPING in at least two of the Performance Measures | Professional Practice Rating shall be DEVELOPING |
| Principal or Assistant Principal is rated INEFFECTIVE in two or more Performance Measures | Professional Practice Rating shall be INEFFECTIVE |
### Determining the Overall Performance Category
Superintendents are responsible for determining an Overall Performance Category for each principal at the conclusion of their summative evaluation year. The Overall Performance Category is informed by the principal’s ratings on professional practice. The rating should be recorded in the district approved forms.
### Professional Growth Plan and Summative Cycle
Based on the overall Professional Practice rating, supervisors will determine the type of Professional Growth Plan required of the Principal.
A summative conference shall occur annually at the end of the evaluation cycle to determine a summative rating for district administrators and certified coordinators. The primary evaluator is assigned by the Superintendent within 30 calendar days after the start of school. The primary evaluator is responsible for determining the Summative Performance Rating for the employee. The process will consist of a review of the evidence provided in relation to the Professional Growth Plan, job description and progression in the PSEL Standards aligned with the four Performance Measures of: Planning, Environment, Instruction, and Professionalism to assign a summative rating. Summative ratings shall be completed by June 15. The employee must be provided access to all evaluation documents (either electronic or hardcopy).
All employees shall be afforded an opportunity to review their evaluations. All evaluations shall be discussed with the evaluatee, and he/she shall have the opportunity to attach a statement to the evaluation instrument. Both evaluator and evaluatee shall sign and date the evaluation instrument. All evaluations shall be maintained in the employee’s personnel file. A signature does not denote that the evaluatee agrees with the evaluation.
Performance Measures to Determine Ratings
District certified personnel shall be evaluated annually utilizing the Professional Standards for Educational Leaders (PSEL), formerly known as the ISSLC Standards, aligned with the four Performance Measures: Planning, Environment, Instruction, and Professionalism, with professional judgement to determine a summative rating. Included in the PSEL Standards are performance indicators that provide examples of observable, tangible behaviors as evidence of each standard. PSEL provides the structure for feedback for continuous improvement through individual goals supporting professional growth. The Summative Evaluation Document for District Certified Administrators and Coordinators document is the summative reporting form (see appendix). The Professional Standards for Educational Leaders aligns to the four Performance Measures in the chart below. The Performance Measures receive a performance rating for the summative rating.
**PSEL aligned to Performance Measures**
| Performance Measures | Planning | Environment | Instruction | Professionalism |
|----------------------|----------|-------------|-------------|-----------------|
| Professional Standards for Educational Leaders (PSEL) | **Standard 6** Professional Capacity of School Personnel
**Standard 9** Operations and Management | **Standard 3** Equity and Culturally Responsiveness
**Standard 5** Community of Care and Support for Students
**Standard 7** Professional Community for Teachers and Staff
**Standard 8** Meaningful Engagement of Families and Community | **Standard 1** Mission, Vision, and Core Values
**Standard 4** Curriculum, Instruction and Assessment
**Standard 10** School Improvement | **Standard 2** Ethics and Professional Norms |
The Performance Measures will be rated according to the four performance ratings in the chart below.
**Performance Ratings with Criteria Descriptions**
| Performance Ratings | Performance Rating Criteria Description |
|---------------------|----------------------------------------|
| Ineffective | Consistently fails to meet expectations for effective performance |
| Developing | Inconsistently meets expectations for effective performance |
| Accomplished | Consistently meets expectations for effective performance |
| Exemplary | Consistently exceeds expectations for effective performance |
### Performance Measure Criteria for a Summative Rating
| Criteria for Determining the Performance Measure for a Summative Rating | IF | THEN |
|------------------------------------------------------------------------|----------------------------------------------------------------------|----------------------------------------------------------------------|
| If Environment and Instruction are both rated INEFFECTIVE | The Summative Rating is INEFFECTIVE. | |
| If Environment or Instruction is rated INEFFECTIVE | The Summative Rating is DEVELOPING or INEFFECTIVE | |
| If Planning or Professionalism is rated INEFFECTIVE | The Summative Rating shall not be EXEMPLARY. | |
| If two Performance Measures are rated DEVELOPING and two are rated ACCOMPLISHED | The Summative Rating shall be ACCOMPLISHED only if Environment or Instruction is rated ACCOMPLISHED. | |
| If two Performance Measures are rated DEVELOPING and two are rated EXEMPLARY | The Summative Rating shall be ACCOMPLISHED only if Environment or Instruction is rated EXEMPLARY. | |
| If two Performance Measures are rated ACCOMPLISHED and two are rated EXEMPLARY | The Summative Rating shall be EXEMPLARY only if Environment or Instruction is rated EXEMPLARY. | |
### Individual Corrective Action Plans
An Individual Corrective Action Plan must be developed when an evaluatee receives a “does not meet” or “Ineffective” rating on the Summative Evaluation Form or when immediate action is necessary to correct a deficiency.
The evaluatee will continue to work toward the goals specified in the plan until such time that the evaluator determines that the goals have been met and the evaluatee’s performance rating on a Summative Evaluation Form is above “does not meet” or “Ineffective.”
### Evaluation Appeals Process
The Marshall County Evaluation Appeals Process shall comply with KRS 156.101, KRS 156.557, 704 KAR 3:345, and Board Policy 03.18.
#### Certified Employee Evaluation Advisory Appeals Panel
The Evaluation Advisory Appeals Panel shall consist of three members. Two (2) members and alternates shall be elected to the panel by the total certified staff through nominations and voting by the certified staff. One (1) certified staff member and one (1) certified employee alternate shall be appointed by the Board of Education. Terms shall be for one year and begin on October 1 and run through September 30. The Board-appointed member shall be appointed by the Board.
#### Appeals Procedure
The following are the steps of the appeals procedure:
1. Certified employees who believe they have received an unfair summative evaluation can appeal within ten (10) working days of receipt of the evaluation.
2. Appeals shall be on a form formulated by the Superintendent. No member of the panel shall serve on any appeal in which he/she was the evaluator.
3. No member of the panel shall serve on any appeal brought by the member’s immediate family as defined in Board Policy 03.18.
4. Within three (3) working days of receiving written notification of the appeal, the chairman of the appeals panel shall notify other members of the panel and schedule a meeting to review the appeal. The review shall occur within five (5) working days of receipt of appeal notification by the appeals panel chairman. Additionally, the chairman will request documentation from the evaluator to support his/her evaluation decisions.
5. By mutual written consent the appeals process may be terminated at any points.
6. Copies of all supporting documentation (from the evaluator and the appealing employee) shall be made available to all panel members for screening prior to the review. All original documentation will be held in a secure location in the Central Office. All documents will be handled with the utmost confidentiality.
7. If, by a majority vote, the appeals panel agrees that a hearing is needed, the following procedures shall be followed:
a. A hearing will occur within five (5) working days of the appeals panel review meeting.
b. Only the appeals panel, the appealing employee, the appealing employee’s chosen representative (optional), and the evaluator will be present during the hearing.
c. The appealing employee and the evaluator will be allowed to make statements in his/her own behalf. The appeals panel may ask questions of either party. Cross-examination by the appealing employee or the evaluator will not be permitted.
d. The appeals panel chairman will be responsible for the audio recording of the hearing. A recording of the hearing will be made available to the appealing employee and the evaluator upon request.
e. After statements have been made by the parties involved and questions of the appeals panel answered, the appeals panel shall meet in closed session to prepare a written response to submit to the Superintendent, the appealing employee and the evaluator. The panel’s response shall be delivered to all parties within two (2) working days of the hearing.
8. The panel shall make a recommendation to the Superintendent within five (5) working days from the date of filing the appeal. If the Superintendent is the evaluator, the recommendation of the panel shall go directly to the Board of Education.
9. The Superintendent shall file the panel’s recommendation in the employee’s personnel file with the original evaluation form.
10. The Superintendent shall be allowed to hold a conference with parties concerned or order a new evaluation by a second certified evaluator. If a new evaluation is made, both evaluations shall be placed in the employee’s personnel file or the Superintendent may choose to uphold the original. A third-party evaluator may be appointed.
11. The appealing employee may appeal the panel’s recommendation to the Superintendent and/or the Kentucky Board of Education appeals panel.
Evaluation Appeal Form
This form is to be used by certified employees who wish to appeal their performance evaluations to the Appeal Panel.
I, ________________________________, have been evaluated by __________________________ during the current evaluative cycle. My disagreements with the findings of the summative evaluation have been thoroughly discussed with my evaluator.
I respectfully request the District Evaluation Appeals Panel to hear my appeal.
This appeal challenges the summative findings on:
___ substance
___ procedure
___ both substance and procedure
______________________________________________________ _______________________
Signature Date
Date of Summative conference ____________________________
Date evaluator notified of intent to appeal _________________
This form shall be presented in person or by mail to any member of the Evaluation Appeals Panel within ten (10) working days of completion of the summative conference.
RELATED PROCEDURES:
03.18 AP.11, 03.18 AP.12
Review/Revised: 3/10/2003
*This form may be found in the Marshall County Public Schools Policy and Procedure manual.
APPENDIX
(All evaluation documents can be found on the Marshall County School District’s website on the Staff Intranet Site)
| Teacher: | |
| --- | --- |
| EPSB ID#: | |
| School: | |
| Grade Level/Subject(s): | |
| Observer: | |
| Date of Conference: | |
| In general, how successful was the lesson? Did the students achieve the learning targets? How do you know, and what will you do for those students who did not? | |
| --- | --- |
| In addition to the student work witnessed by the observer, what other student work samples, evidence, or artifacts assisted you in making your determination for question one? | |
| To what extent did classroom procedures, student conduct, and physical space contribute to or hinder student learning? | |
| Did you depart from your plan? If so, how and why? | |
| If you had an opportunity to teach this lesson again to the same group of students, what would you do differently, and why? | |
| What do you see as the next step(s) in your professional growth for addressing the needs you have identified through personal reflection? | |
## Marshall County School District
### Certified Teacher Self-Reflection
**Directions:** Completed by certified personnel. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to Kentucky Framework for Teaching (FFT) to determine self-assessment rating.
| Component: | Self-assessment: | Rationale: |
|-------------------------------------------------|------------------|------------|
| 1A - Demonstrating Knowledge of Content and Pedagogy | I D A E | |
| 1B - Demonstrating Knowledge of Students | I D A E | |
| 1C - Selecting Instructional Outcomes | I D A E | |
| 1D - Demonstrating Knowledge of Resources | I D A E | |
| 1E - Designing Coherent Instruction | I D A E | |
| 1F - Designing Student Assessment | I D A E | |
| 2A - Creating an Environment of Respect and Rapport | I D A E | |
| 2B - Establishing a Culture for Learning | I D A E | |
| 2C - Managing Classroom Procedures | I D A E | |
| 2D - Managing Student Behavior | I D A E | |
| 2E - Organizing Physical Space | I D A E | |
| 3A - Communicating with Students | I D A E | |
| 3B - Using Questioning and Discussion Techniques| I D A E | |
| 3C - Engaging Students in Learning | I D A E | |
| 3D - Using Assessment in Instruction | I D A E | |
| 3E - Demonstrating Flexibility and Responsiveness| I D A E | |
| 4A - Reflecting on Teaching | I D A E | |
| 4B - Maintaining Accurate Records | I D A E | |
| 4C - Communicating with Families | I D A E | |
| 4D - Participating in a Professional Community | I D A E | |
| 4E - Growing and Developing Professionally | I D A E | |
| 4F - Demonstrating Professionalism | I D A E | |
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
| Teacher: | Observer: | Observation Date: | No. Students: |
|----------|-----------|-------------------|---------------|
| | Respect & Rapport | Culture for Learning | Managing Classroom Procedures | Managing Student Behavior | Organizing Physical Space | Comm. With Students | Using Questioning & Discussion Tech. | Engaging Students in Learning | Using Assess In Instruction | Flexibility & Responsiveness |
| Time Stamp | Scripting Evidence | 2A | 2B | 2C | 2D | 2E | 3A | 3B | 3C | 3D | 3E |
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
## Marshall County School District
### Personnel Evaluation System (Certified Teacher) Post Observation Document
| Components | Rating |
|----------------------------------------------------------------------------|--------------|
| **Performance Measure 1 (Planning & Preparation)** | |
| 1A: Demonstrating Knowledge of Content and Pedagogy | Developing |
| 1B: Demonstrating Knowledge of Students | Select Rating|
| 1C: Selecting Instructional Outcomes | Select Rating|
| 1D: Demonstrating Knowledge of Resources | Select Rating|
| 1E: Designing Coherent Instruction | Select Rating|
| 1F: Designing Student Assessment | Select Rating|
| **Performance Measure 2 (Classroom Environment)** | |
| 2A: Creating an Environment of Respect and Rapport | Accomplished |
| 2B: Establishing a Culture for Learning | Select Rating|
| 2C: Managing Classroom Procedures | Select Rating|
| 2D: Managing Student Behavior | Select Rating|
| 2E: Organizing Physical Space | Exemplary |
| **Performance Measure 3 (Instruction)** | |
| 3A: Communicating with Students | Exemplary |
| 3B: Using Questioning and Discussion Techniques | Select Rating|
| 3C: Engaging Students in Learning | Select Rating|
| 3D: Using Assessment in Instruction | Select Rating|
| 3E: Demonstrating Flexibility and Responsiveness | Select Rating|
| **Performance Measure 4 (Professional Responsibilities)** | |
| 4A: Reflecting on Practice | Accomplished |
| 4B: Maintaining Accurate Records | Select Rating|
| 4C: Communicating with Families | Select Rating|
| 4D: Participating in a Professional Community | Select Rating|
| 4E: Growing and Developing Professionally | Select Rating|
| 4F: Demonstrating Professionalism | Select Rating|
**Comments:**
I have participated in a pre- and/or post-observation conference (as required by my district evaluation plan) and have received a copy of this observation document.
---
Teacher: ____________________________ Date: _______________
Observer: ___________________________ Date: _______________
Marshall County School District
Summative Rating
| Teacher: | |
| EPSB ID#: | |
| School: | |
| Grade Level/Subject(s): | |
| Observer: | |
| Date: | |
**Professional Practice Rating**
| PM 1: Planning and Preparation | Select Rating |
| PM 2: Classroom Environment | Select Rating |
| PM 3: Instruction | Select Rating |
| PM 4: Professional Responsibilities | Select Rating |
**Overall Practice Rating (Summative)**
| Rating |
**Professional Practice Rating**
| Select Rating |
---
**CRITERIA FOR DETERMINING A TEACHER’S PROFESSIONAL PRACTICE RATING**
- **IF…**
- **Domains 2 AND 3 are rated INEFFECTIVE**
- **THEN…** Professional Practice Rating shall be INEFFECTIVE
- **Domains 2 OR 3 are rated INEFFECTIVE**
- **THEN…** Professional Practice Rating shall be DEVELOPING OR INEFFECTIVE
- **Domains 1, 2 & 4 are rated INEFFECTIVE**
- **THEN…** Professional Practice Rating shall NOT be EXEMPLARY
- **Two Domains are rated DEVELOPING, and two Domains are rated ACCOMPLISHED**
- **THEN…** Professional Practice Rating shall be ACCOMPLISHED
- **Two Domains are rated DEVELOPING, and two Domains are rated EXEMPLARY**
- **THEN…** Professional Practice Rating shall be ACCOMPLISHED
- **Two Domains are rated ACCOMPLISHED, and two Domains are rated EXEMPLARY**
- **THEN…** Professional Practice Rating shall be EXEMPLARY
---
I have participated in a summative conference (as required by my district evaluation plan) and have received a copy of this observation document.
---
Teacher
Date
Observer
Date
---
Comments:
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
## Marshall County School District
### Guidance Counselor and Social Worker Self-Reflection
**Directions:** Completed by certified personnel. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to Kentucky Framework for Teaching School Counselors/Social Workers to determine self-assessment rating.
**Certified Personnel:** Click here to enter text.
**Date:** Click here to enter text.
**School:** Click here to enter text.
| Component | Self-Assessment: | Rationale: |
|--------------------------------------------------------------------------|------------------|------------|
| 1A - Demonstrating Knowledge of Counseling Theory and Techniques | I D A E | |
| 1B - Demonstrating Knowledge of Child and Adolescent Development | I D A E | |
| 1C - Establishing Goals for the Counseling Program Appropriate to the Setting and the Students Served | I D A E | |
| 1D - Demonstrating Knowledge of State and Federal Regulations and of Resources Both within and Beyond the School and District | I D A E | |
| 1E - Plan in the Counseling Program Integrated with the Regular School Program | I D A E | |
| 1F - Developing a Plan to Evaluate the Counseling Program | I D A E | |
| 2A - Creating an Environment of Respect and Rapport | I D A E | |
| 2B - Establishing a Culture for Productive Communication | I D A E | |
| 2C - Managing Routines and Procedures | I D A E | |
| 2D - Establishing Standards of Conduct and Contributing to the Culture for Student Behavior throughout the School | I D A E | |
| 2E - Organizing Physical Space | I D A E | |
| 3A - Assessing Student Needs | I D A E | |
| 3B - Assisting Students and Teachers in the Formulation of Academic Personal Social and Career Plans Based on the Knowledge of Student Needs | I D A E | |
| 3C - Using Counseling Text Makes an Individual and Classroom Programs | I D A E | |
| 3D - Brokering Resources to Meet Needs | I D A E | |
| 3E - Demonstrating Flexibility and Responsiveness | I D A E | |
*Updated: May 2021*
| Category | I | D | A | E |
|-----------------------------------------------|----|----|----|----|
| 4A – Reflecting on Practice | | | | |
| 4B – Maintaining Records and Submitting Them in a Timely Fashion | | | | |
| 4C – Communicating with Families | | | | |
| 4D – Participating in a Professional Community| | | | |
| 4E – Engaging in Professional Development | | | | |
| 4F – Showing Professionalism | | | | |
Certified Personnel ___________________________ Date ______________
Evaluator ___________________________ Date ______________
Updated: May 2021
## Marshall County School District
### PES-Counselor & Social Worker Post Observation Document
| Components | Rating |
|---------------------------------------------------------------------------|--------|
| **Performance Measure 1 (Planning & Preparation)** | |
| 1A: Demonstrating Knowledge of Counseling Theory and Techniques | Exemplary |
| 1B: Demonstrating Knowledge of Child and Adolescent Development | Select Rating |
| 1C: Establishing Goals for the Counseling Program Appropriate to the Setting and Students Served | Select Rating |
| 1D: Demonstrating Knowledge of State and Federal Regulations and of Resources both within and Beyond | Select Rating |
| 1E: Plan in the Counseling Program Integrated with the Regular School Program | Select Rating |
| 1F: Developing a Plan to Evaluate the Counseling Program | Select Rating |
| **Performance Measure 2 (Environment)** | |
| 2A: Creating an Environment of Respect and Rapport | Exemplary |
| 2B: Establishing a Culture for Productive Communication | Select Rating |
| 2C: Managing Routine and Procedures | Select Rating |
| 2D: Establishing Standards of Conduct and Contributing to the Culture for Student Behavior throughout the School | Select Rating |
| 2E: Organizing Physical Space | Exemplary |
| **Performance Measure 3 (Delivery of Service)** | |
| 3A: Assessing Student Needs | Exemplary |
| 3B: Assisting Students and Teachers in the Formulation of Academic, Personal, Social and Career Plans Based on Knowledge of Student Needs | Select Rating |
| 3C: Using Counseling Techniques in Individual and Classroom Programs | Select Rating |
| 3D: Brokering Resources to Meet Needs | Select Rating |
| 3E: Demonstrating Flexibility and Responsiveness | Select Rating |
| **Performance Measure 4 (Professional Responsibilities)** | |
| 4A: Reflecting on Practice | Accomplished |
| 4B: Maintaining Records and Submitting them in a Timely Fashion | Select Rating |
| 4C: Communicating with Families | Select Rating |
| 4D: Participating in a Professional Community | Select Rating |
| 4E: Engaging in Professional Development | Select Rating |
| 4F: Showing Professionalism | Select Rating |
**Comments:**
I have participated in a pre- and/or post-observation conference (as required by my district evaluation plan) and have received a copy of this observation document.
---
Cert. Personnel Date
Observer Date
Page 2 of 2
Marshall County School District
PES Counselor & Social Worker Summative Rating
| Cert. Personnel: | |
|------------------|---|
| EPSB ID#: | |
| School: | |
| Grade Level/Subject(s): | |
| Observer: | |
| Date: | |
**Professional Practice Rating**
| PM 1: Planning and Preparation | Select Rating |
|---------------------------------|---------------|
| PM 2: Environment | Select Rating |
| PM 3: Delivery of Service | Select Rating |
| PM 4: Professional Responsibilities | Select Rating |
**Overall Practice Rating (Summative)**
| Rating | |
|--------|---|
**Professional Practice Rating**
| Rating | |
|--------|---|
I have participated in a summative conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel
Date
Observer
Date
---
**CRITERIA FOR DETERMINING A TEACHER’S PROFESSIONAL PRACTICE RATING**
| IF: | THEN: |
|---------------------------------------------------------------------|----------------------------------------------------------------------|
| Domains 2 AND 3 are rated INEFFECTIVE | Professional Practice Rating shall be INEFFECTIVE |
| Domains 2 OR 3 are rated INEFFECTIVE | Professional Practice Rating shall be DEVELOPING OR INEFFECTIVE |
| Domains 1 OR 4 are rated INEFFECTIVE | Professional Practice Rating shall NOT be EXEMPLARY |
| Two Domains are rated DEVELOPING, and two Domains are rated ACCOMPLISHED | Professional Practice Rating shall be ACCOMPLISHED |
| Two Domains are rated DEVELOPING, and two Domains are rated EXEMPLARY | Professional Practice Rating shall be EXEMPLARY |
Comments:
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
## Marshall County School District
### Instructional Specialist Self-Reflection
**Directions:** Completed by certified personnel. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to Kentucky Framework for Teaching - Instructional Specialist to determine self-assessment rating.
**Certified Personnel:** Click here to enter text.
**Date:** Click here to enter text.
**School:** Click here to enter text.
| Component: | Self-Assessment: | Rationale: |
|---------------------------------------------------------------------------|------------------|------------|
| 1A - Demonstrating Knowledge of Current Trends in Specialty Area and Professional Development | I D A E | |
| 1B - Demonstrating Knowledge of the School's Program and Levels of Teacher Skill in Delivering that Program | I D A E | |
| 1C - Establishing Goals for the Instructional Support Program Appropriate to the Setting and the Teachers Served | I D A E | |
| 1D - Demonstrating Knowledge of Resources Both within and Beyond the School and District | I D A E | |
| 1E - Planning the Instructional Support Program Integrated with the Overall School Program | I D A E | |
| 1F - Developing a Plan to Evaluate the Instructional Support Program | I D A E | |
| 2A - Creating an Environment of Trust and Respect | I D A E | |
| 2B - Establishing a Culture of Ongoing Instructional Improvement | I D A E | |
| 2C - Establishing Clear Procedures for Teachers to Gain Access to the Instructional Support | I D A E | |
| 2D - Establishing and Maintaining Norms of Behavior for Professional Interactions | I D A E | |
| 2E - Organizing Physical Space for Workshops or Training | I D A E | |
| 3A - Collaborating with Teachers in the Design of Instructional Units and Lessons | I D A E | |
| 3B - Engaging Teachers in Learning New Instructional Skills | I D A E | |
| 3C - Sharing Expertise with Staff | I D A E | |
| 3D - Locating Resources for Teachers to Support Instructional Improvement | I D A E | |
| 3E - Demonstrating Flexibility and Responsiveness | I D A E | |
*Updated: May 2021*
| | | | |
|---|---|---|---|
| 4A – Reflecting on Practice | I | D | A | E |
| 4B – Preparing and Submitting Budgets and Reports | I | D | A | E |
| 4C – Coordinating Work with Other Instructional Specialists | I | D | A | E |
| 4D – Participating in a Professional Community | I | D | A | E |
| 4E – Engaging in Professional Development | I | D | A | E |
| 4F – Showing Professionalism Including Integrity and Confidentiality | I | D | A | E |
Certified Personnel Date
Evaluator Date
Updated: May 2021
## Marshall County School District
### PES-Instructional Specialist Post Observation Document
| Components | Rating |
|---------------------------------------------------------------------------|--------|
| **Performance Measure 1 (Planning & Preparation)** | |
| 1A: Demonstrating Knowledge of Current Trends in Specialty Area and | Exemplary |
| Professional Development | |
| 1B: Demonstrating Knowledge of the School’s Program and Levels of | Select Rating |
| Teacher Skill in Delivering that Program | |
| 1C: Establishing Goals for the Instructional Support Program Appropriate | Select Rating |
| to the Setting and the Teachers Served | |
| 1D: Demonstrating Knowledge of Resources both within and Beyond the | Select Rating |
| School and District | |
| 1E: Planning the Instructional Support Program Integrated with the | Select Rating |
| Overall School Program | |
| 1F: Developing a Plan to Evaluate the Instructional Support Program | Select Rating |
| **Performance Measure 2 (Environment)** | |
| 2A: Creating an Environment of Trust and Respect | Exemplary |
| 2B: Establishing a Culture for Ongoing Instructional Improvement | Select Rating |
| 2C: Establishing Clear Procedures for Teachers to Gain Access to the | Select Rating |
| Instructional Support | |
| 2D: Establishing and Maintaining Norms of Behavior for Professional | Select Rating |
| Interaction | |
| 2E: Organizing Physical Space for Workshops or Trainings | Exemplary |
| **Performance Measure 3 (Delivery of Service)** | |
| 3A: Collaborating with Teachers in the Design of Instructional Units and | Exemplary |
| Lessons | |
| 3B: Engaging Teachers in Learning New Instructional Skills | Select Rating |
| 3C: Sharing Expertise with Staff | Select Rating |
| 3D: Locating Resources for Teachers to Support Instructional Improvement | Select Rating |
| 3E: Demonstrating Flexibility and Responsiveness | Select Rating |
| **Performance Measure 4 (Professional Responsibilities)** | |
| 4A: Reflecting on Practice | Accomplished |
| 4B: Preparing and Submitting Budgets and Reports | Select Rating |
| 4C: Coordinating Work with Other Instructional Specialists | Select Rating |
| 4D: Participating in a Professional Community | Select Rating |
| 4E: Engaging in Professional Development | Select Rating |
| 4F: Showing Professionalism Including Integrity and Confidentiality | Select Rating |
**Comments:**
I have participated in a pre- and/or post-observation conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel Date
Observer Date
Page 2 of 2
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
Marshall County School District
PES Instructional Specialist Summative Rating
| Cert. Personnel: | |
|------------------|---|
| EPSB ID#: | |
| School: | |
| Grade Level/Subject(s): | |
| Observer: | |
| Date: | |
**Professional Practice Rating**
- **Rating**
- **PM 1: Planning and Preparation**
- Select Rating
- **PM 2: Environment**
- Select Rating
- **PM 3: Delivery of Service**
- Select Rating
- **PM 4: Professional Responsibilities**
- Select Rating
**Overall Practice Rating (Summative)**
- **Rating**
- **Professional Practice Rating**
- Select Rating
I have participated in a summative conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel
Observer
---
**CRITERIA FOR DETERMINING A TEACHER’S PROFESSIONAL PRACTICE RATING**
| No. | THEN |
|-----|------|
| 1. | Domaine 2 AND 3 are rated INEFFECTIVE
| | Professional Practice Rating shall be INEFFECTIVE |
| 2. | Domaine 2 OR 3 are rated INEFFECTIVE
| | Professional Practice Rating shall be DEVELOPING OR INEFFECTIVE |
| 3. | Domaine 1 OR 4 are rated INEFFECTIVE
| | Professional Practice Rating shall NOT be EXEMPLARY |
| 4. | Two Domains are rated DEVELOPING, and two Domains are rated ACCOMPLISHED
| | Professional Practice Rating shall be ACCOMPLISHED |
| 5. | Two Domains are rated DEVELOPING, and two Domains are rated EXEMPLARY
| | Professional Practice Rating shall be ACCOMPLISHED |
| 6. | Two Domains are rated ACCOMPLISHED, and two Domains are rated EXEMPLARY
| | Professional Practice Rating shall be EXEMPLARY |
Comments:
## Marshall County School District
### Library Media Specialist Self-Reflection
**Directions:** Completed by certified personnel. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to Kentucky Framework for Teaching School Library Media Specialist to determine self-assessment rating.
**Certified Personnel:** Click here to enter text.
**Date:** Click here to enter text.
**School:** Click here to enter text.
| Component: | Self-Assessment: | Rationale: |
|------------|------------------|------------|
| 1A - Demonstrating Knowledge of Content Curriculum and Process | I D A E | |
| 1B - Demonstrating Knowledge of Students | I D A E | |
| 1C - Supporting Instructional Goals | I D A E | |
| 1D - Demonstrating Knowledge and Use of Resources | I D A E | |
| 1E - Demonstrating a Knowledge of Literature and Lifelong Learning | I D A E | |
| 1F - Collaborating in the Design of Instructional Experiences | I D A E | |
| 2A - Creating an Environment of Respect and Rapport | I D A E | |
| 2B - Establishing a Culture for Learning | I D A E | |
| 2C - Managing Library Procedures | I D A E | |
| 2D - Managing Student Behavior | I D A E | |
| 2E - Organizing Physical Space | I D A E | |
| 3A - Communicating Clearly and Accurately | I D A E | |
| 3B - Using Questioning and Research Techniques | I D A E | |
| 3C - Engaging Students in Learning | I D A E | |
| 3D - Assessment in Instruction (whole class, one-on-one and small group) | I D A E | |
| 3E - Demonstrating Flexibility and Responsiveness | I D A E | |
| 4A - Reflecting on Practice | I D A E | |
*Updated: May 2021*
| Category | I | D | A | E |
|-----------------------------------------------|----|----|----|----|
| 4B – Maintaining Accurate Records | | | | |
| 4C – Communicating with School Staff and Community | | | | |
| 4D – Participating in a Professional Community | | | | |
| 4E – Growing and Developing Professionally | | | | |
| 4F – Collection Development and Maintenance | | | | |
| 4H – Managing Personnel | | | | |
| 4H – Professional Ethics | | | | |
Certified Personnel Date Evaluator Date
Updated: May 2021
| Components | Rating |
|---------------------------------------------------------------------------|--------|
| **Performance Measure 1 (Planning & Preparation)** | |
| 1A: Demonstrating Knowledge of Content Curriculum and Process | Exemplary |
| 1B: Demonstrating Knowledge of Students | Select Rating |
| 1C: Supporting Instructional Goals | Select Rating |
| 1D: Demonstrating Knowledge and Use of Resources | Select Rating |
| 1E: Demonstrate a Knowledge of Literature and Life Long Learning | Select Rating |
| 1F: Collaborating in the Design of Instructional Experiences | Select Rating |
| **Performance Measure 2 (Environment)** | |
| 2A: Creating an Environment of Respect and Rapport | Exemplary |
| 2B: Establishing a Culture of Learning | Select Rating |
| 2C: Managing Library Procedures | Select Rating |
| 2D: Managing Library Procedures | Select Rating |
| 2E: Organizing Physical Space | Exemplary |
| **Performance Measure 3 (Delivery of Service)** | |
| 3A: Communicating Clearly and Accurately | Exemplary |
| 3B: Using Questioning and Research Techniques | Select Rating |
| 3C: Engaging Students in Learning | Select Rating |
| 3D: Assessment in Instruction (whole class, one-on-one and small group) | Select Rating |
| 3E: Demonstrating Flexibility and Responsiveness | Select Rating |
| **Performance Measure 4 (Professional Responsibilities)** | |
| 4A: Reflecting on Practice | Accomplished |
| 4B: Maintaining Accurate Records | Select Rating |
| 4C: Communicating with School Staff and Community | Select Rating |
| 4D: Participating in a Professional Community | Select Rating |
| 4E: Growing and Developing Professionally | Select Rating |
| 4F: Collection Development and Maintenance | Select Rating |
**Comments:**
I have participated in a pre- and/or post-observation conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel Date
Observer Date
Marshall County School District
PES School Library Media Specialist Summative Rating
| Cert. Personnel: | |
|------------------|---|
| EPSB ID#: | |
| School: | |
| Grade Level/Subject(s): | |
| Observer: | |
| Date: | |
**Professional Practice Rating**
| PM 1: Planning and Preparation | Select Rating |
|---------------------------------|---------------|
| PM 2: The Library Environment | Select Rating |
| PM 3: Instruction/Delivery of Service | Select Rating |
| PM 4: Professional Responsibilities | Select Rating |
**Overall Practice Rating (Summative)**
| Rating | Select Rating |
**Professional Practice Rating**
| Rating | Select Rating |
I have participated in a summative conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel
Date
Observer
Date
---
**CRITERIA FOR DETERMINING A TEACHER’S PROFESSIONAL PRACTICE RATING**
| IF... | THEN... |
|-------|---------|
| Domains 2 AND 3 are rated INEFFECTIVE | Professional Practice Rating shall be INEFFECTIVE |
| Domains 2 OR 3 are rated INEFFECTIVE | Professional Practice Rating shall be DEVELOPING OR INEFFECTIVE |
| Domains 3 OR 4 are rated INEFFECTIVE | Professional Practice Rating shall NOT be EXEMPLARY |
| Two Domains are rated DEVELOPING, and two Domains are rated ACCOMPLISHED | Professional Practice Rating shall be ACCOMPLISHED |
| Two Domains are rated DEVELOPING, and two Domains are rated EXEMPLARY | Professional Practice Rating shall be ACCOMPLISHED |
| Two Domains are rated ACCOMPLISHED, and two Domains are rated EXEMPLARY | Professional Practice Rating shall be EXEMPLARY |
Comments:
## Marshall County School District
### Preschool Self-Reflection
**Directions:** Completed by certified personnel. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to Kentucky Framework for Teaching (KFT) to determine self-assessment rating.
**Certified Personnel:** Click here to enter text.
**Date:** Click here to enter text.
**School:** Click here to enter text.
| Component: | Self-Assessment: | Rationale: |
|-------------------------------------------------|------------------|------------|
| 1A - Demonstrating Knowledge of Content and Pedagogy | I D A I | |
| 1B - Demonstrating Knowledge of Students | I D A I | |
| 1C - Selecting Instructional Outcomes | I D A I | |
| 1D - Demonstrating Knowledge of Resources | I D A I | |
| 1E - Designing Coherent Instruction | I D A I | |
| 1F - Designing Student Assessment | I D A I | |
| 2A - Creating an Environment of Respect and Rapport | I D A I | |
| 2B - Establishing a Culture for Learning | I D A I | |
| 2C - Managing Classroom Procedures | I D A I | |
| 2D - Managing Student Behavior | I D A I | |
| 2E - Organizing Physical Space | I D A I | |
| 3A - Communicating with Students | I D A I | |
| 3B - Using Questioning and Discussion Techniques| I D A I | |
| 3C - Engaging Students in Learning | I D A I | |
| 3D - Using Assessment in Instruction | I D A I | |
| 3E - Demonstrating Flexibility and Responsiveness| I D A I | |
| 4A - Reflecting on Teaching | I D A I | |
| 4B - Maintaining Accurate Records | I D A I | |
| 4C - Communicating with Families | I D A I | |
| 4D - Participating in a Professional Community | I D A I | |
| 4E - Growing and Developing Professionally | I D A I | |
| 4F - Demonstrating Professionalism | I D A I | |
---
**Certified Personnel**
**Date**
**Evaluator**
**Date**
*Updated: May 2021*
## Marshall County School District
### PES-Preschool Post Observation Document
| Components | Rating |
|---------------------------------------------------------------------------|--------|
| **Performance Measure 1 (Planning & Preparation)** | |
| 1A: Demonstrating Knowledge of Content and Pedagogy | Exemplary |
| 1B: Demonstrating Knowledge of Students | Select Rating |
| 1C: Selecting Instructional Outcomes | Select Rating |
| 1D: Demonstrating Knowledge of Resources | Select Rating |
| 1E: Designing Coherent Instruction | Select Rating |
| 1F: Designing Student Assessment | Select Rating |
| **Performance Measure 2 (Classroom Environment)** | |
| 2A: Creating an Environment of Respect and Rapport | Exemplary |
| 2B: Establishing a Culture for Learning | Select Rating |
| 2C: Managing Classroom Procedures | Select Rating |
| 2D: Managing Student Behavior | Select Rating |
| 2E: Organizing Physical Space | Exemplary |
| **Performance Measure 3 (Instruction)** | |
| 3A: Communicating With Students | Exemplary |
| 3B: Using Questioning and Discussion Techniques | Select Rating |
| 3C: Engaging Students in Learning | Select Rating |
| 3D: Using Assessment in Instruction | Select Rating |
| 3E: Demonstrating Flexibility and Responsiveness | Exemplary |
| **Performance Measure 4 (Professional Responsibilities)** | |
| 4A: Reflecting on Teaching | Accomplished |
| 4B: Maintaining Accurate Records | Select Rating |
| 4C: Communicating with Families | Select Rating |
| 4D: Participating in a Professional Community | Select Rating |
| 4E: Growing and Developing Professionally | Select Rating |
| 4F: Demonstrating Professionalism | Select Rating |
**Comments:**
I have participated in a pre- and/or post-observation conference (as required by my district evaluation plan) and have received a copy of this observation document.
---
Cert. Personnel | Date
---|---
Observer | Date
Page 2 of 2
Marshall County School District
PES- Preschool Summative Rating
Cert. Personnel: ____________________________
EPSB ID#: _________________________________
School: ___________________________________
Grade Level/Subject(s): ______________________
Observer: _________________________________
Date: _____________________________________
| Professional Practice Rating | Rating |
|-----------------------------|--------|
| PM 1: Planning and Preparation | Select Rating |
| PM 2: Classroom Environment | Select Rating |
| PM 3: Instruction | Select Rating |
| PM 4: Professional Responsibilities | Select Rating |
Overall Practice Rating (Summative) | Rating |
|-----------------------------------|--------|
| Professional Practice Rating | Select Rating |
I have participated in a summative conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel ____________________________ Date ________________
Observer _________________________________ Date ________________
Comments:
CRITERIA FOR DETERMINING A TEACHER’S PROFESSIONAL PRACTICE RATING
If... THEN...
Domains 2 AND 3 are rated INEFFECTIVE Professional Practice Rating shall be INEFFECTIVE
Domains 2 OR 3 are rated INEFFECTIVE Professional Practice Rating shall be DEVELOPING OR INEFFECTIVE
Domains 1 OR 4 are rated INEFFECTIVE Professional Practice Rating shall NOT be EXEMPLARY
Two Domains are rated DEVELOPING, and two Domains are rated ACCOMPLISHED Professional Practice Rating shall be ACCOMPLISHED
Two Domains are rated DEVELOPING, and two Domains are rated EXEMPLARY Professional Practice Rating shall be ACCOMPLISHED
Two Domains are rated ACCOMPLISHED, and two Domains are rated EXEMPLARY Professional Practice Rating shall be EXEMPLARY
## Marshall County School District
### School Psychologist Self-Reflection
**Directions:** Completed by certified personnel. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to Kentucky Framework for Teaching School Psychologist to determine self-assessment rating.
**Certified Personnel:** Click here to enter text.
**Date:** Click here to enter text.
**School:** Click here to enter text.
| Component: | Self-Assessment: | Rationale: |
|------------|------------------|------------|
| 1A - Demonstrating Knowledge and Skill in Using Psychological Instruments to Evaluate Students | I D A E | |
| 1B - Demonstrating Knowledge of Child and Adolescent Development and Psychopathology | I D A E | |
| 1C - Establishing Goals for the Psychology Program Appropriate to the Setting and the Students Served | I D A E | |
| 1D - Demonstrating Knowledge of State and Federal Regulations and of Resources Both within and Beyond the School and District | I D A E | |
| 1E - Planning in the Psychology Program Integrated with the Regular School Program to Meet the Needs of Individual Students and Including Prevention | I D A E | |
| 1F - Developing a Plan to Evaluate the Psychology Program | I D A E | |
| 2A - Establishing Rapport with Students | I D A E | |
| 2B - Establishing a Culture for Positive Mental Health throughout the School | I D A E | |
| 2C - Establishing and Maintaining Clear Procedures for Referrals | I D A E | |
| 2D - Establishing Standards of Conduct in the Testing Center | I D A E | |
| 2E - Organizing Physical Space for Testing Students and Storage of Materials | I D A E | |
| 3A - Responding to Referrals Consulting with Teachers and Administrators | I D A E | |
| 3B - Evaluating Student Needs and Compliance with National Association of School Psychologists/NASP Guidelines | I D A E | |
| 3C - Chairing Evaluation Team | I D A E | |
| 3D - Planning Interventions to Maximize Student’s Likelihood of Success | I D A E | |
*Updated: May 2021*
| | | | |
|---|---|---|---|
| 3B – Maintaining Contact with Physicians and Community Mental Health Service Providers | I | D | A | E |
| 3F – Demonstrating Flexibility and Responsiveness | I | D | A | E |
| 4A – Reflecting on Practice | I | D | A | E |
| 4B – Communicating with Families | I | D | A | E |
| 4C – Maintaining Accurate Records | I | D | A | E |
| 4D – Participating in a Professional Community | I | D | A | E |
| 4E – Engaging in Professional Development | I | D | A | E |
| 4F – Showing Professionalism | I | D | A | E |
Certified Personnel ___________________________ Date ______________
Evaluator ___________________________ Date ______________
Updated: May 2021
## Marshall County School District
### PES-School Psychologist Post Observation Document
| Components | Rating |
|---------------------------------------------------------------------------|--------|
| **Performance Measure 1 (Planning & Preparation)** | |
| 1A: Demonstrating Knowledge and Skill in Using Psychological Instruments to Evaluate Students | Exemplary |
| 1B: Demonstrating Knowledge of Child and Adolescent Development and Psychopathology | Select Rating |
| 1C: Establishing Goals for the Psychology Program appropriate to the Setting and the Students Served | Select Rating |
| 1D: Demonstrating Knowledge of State and Federal Regulations and the Resources both within and Beyond the School and District | Select Rating |
| 1E: Planning the Psychology Program Integrated with the Regular School Program to Meet the Needs of Individual Students and Including Prevention | Select Rating |
| 1F: Developing a Plan to Evaluate the Psychology Program | Select Rating |
| **Performance Measure 2 (Environment)** | |
| 2A: Establishing Rapport with Students | Exemplary |
| 2B: Establishing Culture for Positive Mental Health throughout the School | Select Rating |
| 2C: Establishing and Maintaining Clear Procedures for Referrals | Select Rating |
| 2D: Establishing Standards of Conduct in the Testing Center | Select Rating |
| 2E: Organizing Physical Space for Testing the Students and Storage of Materials | Exemplary |
| **Performance Measure 3 (Delivery of Service)** | |
| 3A: Responding to Referrals; Consulting with Teachers and Administrators | Exemplary |
| 3B: Evaluating Student Needs and Compliance with National Association of School Psychologists (NASP) Guidelines | Select Rating |
| 3C: Charing Evaluation Team | Select Rating |
| 3D: Planning Interventions to Maximize Student’s Likelihood of Success | Select Rating |
| 3E: Maintaining Contact with Physicians and Community Mental Health Service Providers | Select Rating |
| 3F: Demonstrating Flexibility and Responsiveness | Exemplary |
| **Performance Measure 4 (Professional Responsibilities)** | |
| 4A: Reflecting on Practice | Accomplished |
| 4B: Communicating with Families | Select Rating |
| 4C: Maintaining Accurate Records | Select Rating |
| 4D: Participating in a Professional Community | Select Rating |
| 4E: Engaging in Professional Development | Select Rating |
| 4F: Showing Professionalism | Select Rating |
**Comment:**
I have participated in a pre- and/or post-observation conference (as required by my district evaluation plan) and have received a copy of this observation document.
---
Cert. Personnel Date
Observer Date
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
Marshall County School District
PES School Psychologist Summative Rating
| Cert. Personnel: | |
|------------------|---|
| EPSS ID#: | |
| School: | |
| Grade Level/Subject(s): | |
| Observer: | |
| Date: | |
**Professional Practice Rating**
| PM 1: Planning and Preparation | Rating |
|---------------------------------|--------|
| PM 2: Environment | Select Rating |
| PM 3: Delivery of Service | Select Rating |
| PM 4: Professional Responsibilities | Select Rating |
**Overall Practice Rating (Summative)**
| Rating |
|--------|
**Professional Practice Rating**
| Select Rating |
---
**CRITERIA FOR DETERMINING A TEACHER’S PROFESSIONAL PRACTICE RATING**
| IF... | THEN... |
|-------|---------|
| Domains 2 AND 3 are rated INEFFECTIVE | Professional Practice Rating shall be INEFFECTIVE |
| Domains 2 OR 3 are rated INEFFECTIVE | Professional Practice Rating shall be DEVELOPING OR INEFFECTIVE |
| Domains 1 OR 4 are rated INEFFECTIVE | Professional Practice Rating shall NOT be EXEMPLARY |
| Two Domains are rated DEVELOPING, and two Domains are rated ACCOMPLISHED | Professional Practice Rating shall be ACCOMPLISHED |
| Two Domains are rated DEVELOPING, and two Domains are rated EXEMPLARY | Professional Practice Rating shall be ACCOMPLISHED |
| Two Domains are rated ACCOMPLISHED, and two Domains are rated EXEMPLARY | Professional Practice Rating shall be EXEMPLARY |
---
I have participated in a summative conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel
Date
Observer
Date
Comments:
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
## Therapeutic Specialist and Speech Language Self-Reflection
**Directions:** Completed by certified personnel. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to Kentucky Framework for Teaching: Therapeutic Specialist and Speech Language to determine self-assessment rating.
| Component: | Self-Assessment: | Rationale: |
|---------------------------------------------------------------------------|------------------|------------|
| 1A Demonstrating Knowledge and Skill in the Specialist Therapy Area Holding the Relevant Certificate or License | I D A E | |
| 1B Establishing Goals for the Therapy Program Appropriate to the Setting and the Students Served | I D A E | |
| 1C Demonstrating Knowledge of District, State, and Federal Regulations and Guidelines | I D A E | |
| 1D Demonstrating Knowledge of Resources Both within and Beyond the School and District | I D A E | |
| 1E Planning in the Therapy Program integrated with the Regular School Program to Meet the Needs of Individual Students | I D A E | |
| 1F Developing a Plan to Evaluate the Therapy Program | I D A E | |
| 2A Establishing Rapport with Students | I D A E | |
| 2B Organizing Time Effectively | I D A E | |
| 2C Establishing and Maintaining Clear Procedures for Referrals | I D A E | |
| 2D Establishing Standards of Conduct in the Treatment Center | I D A E | |
| 2E Organizing Physical Space for Testing Students and Providing Treatment | I D A E | |
| 3A Responding to Referrals and Evaluating Student Needs | I D A E | |
| 3B Developing and Implementing Treatment Plans to Maximize Student Success | I D A E | |
| 3C Communicating with Families | I D A E | |
| 3D Collecting Information, Writing Reports | I D A E | |
| 3E Demonstrating Flexibility and Responsiveness | I D A E | |
*Updated: May 2021*
| 4A – Reflecting on Practice | I | D | A | E |
|----------------------------|---|---|---|---|
| 4B – Collaborating with Teachers and Administrators | I | D | A | E |
| 4C – Maintaining an Effective Data Management System | I | D | A | E |
| 4D – Participating in a Professional Community | I | D | A | E |
| 4E - Engaging in Professional Development | I | D | A | E |
| 4F – Showing Professionalism Including Integrity, Advocacy, and Maintaining Confidentiality | I | D | A | E |
Certified Personnel ___________________________ Date ________________
Evaluator ___________________________ Date ________________
| Goal Statement | Monitoring Observation Date: | Set Goals with Student | Organized Time Efficiently | Set Up Clear Priorities | Provided Models of Conduct in Treatment | Gathered Necessary Data for Testing of Objectives and Outcomes | Developed Individualized Treatment Plans for Students | Comm. with Families | Collected Mitigation Writing Reports | Demonstrated Flexibility in Responsibilities |
|----------------|-------------------------------|------------------------|---------------------------|------------------------|----------------------------------------|-------------------------------------------------|-----------------------------------------------|---------------------|--------------------------------------|---------------------------------------------|
| Time Stamp | Scripting/Evidence | 2A | 1B | 3C | 1D | 2E | 3A | 3B | 3C | 1D | 3E |
## Marshall County School District
### PES-Therapeutic Specialist and Speech Language Post Observation Document
| Components | Rating |
|---------------------------------------------------------------------------|--------|
| **Performance Measure 1 (Planning & Preparation)** | |
| 1A: Demonstrating Knowledge and Skills in the Specialist Therapy Area | Exemplary |
| Building the Relevant Certificate/License | |
| 1B: Establishing Goals for the Therapy Program Appropriate to the Setting | Select Rating |
| and the Students Served | |
| 1C: Demonstrating Knowledge of District, State, and Federal Regulations | Select Rating |
| and Guidelines | |
| 1D: Demonstrating Knowledge of Resources both within and Beyond the School | Select Rating |
| and District | |
| 1E: Planning the Therapy Program Integrated with the Regular School | Select Rating |
| Program to Meet the Needs of Individual Students | |
| 1F: Developing a Plan to Evaluate the Therapy Program | Select Rating |
| **Performance Measure 2 (Classroom Environment)** | |
| 2A: Establishing Rapport with Students | Exemplary |
| 2B: Organizing Time Effectively | Select Rating |
| 2C: Establishing and Maintaining Clear Procedures for Referrals | Select Rating |
| 2D: Maintaining Standard of Conduct in the Treatment Center | Select Rating |
| 2E: Organizing Physical Space for Testing of Students and Providing | Exemplary |
| Therapy | |
| **Performance Measure 3 (Delivery of Service)** | |
| 3A: Responding to Referrals and Evaluating Student Needs | Exemplary |
| 3B: Developing and Implementing Treatment Plans to Maximize Student Success| Select Rating |
| 3C: Communicating with Families | Select Rating |
| 3D: Collecting Information: Writing Reports | Select Rating |
| 3E: Demonstrating Flexibility and Responsiveness | Select Rating |
| **Performance Measure 4 (Professional Responsibilities)** | |
| 4A: Following Policies | Accomplished |
| 4B: Collaborating with Teachers and Administrators | Select Rating |
| 4C: Maintaining and Effective Data Management System | Select Rating |
| 4D: Participating in a Professional Community | Select Rating |
| 4E: Participating in Professional Development | Select Rating |
| 4F: Showing Professionalism Including Integrity, Advocacy, and Maintaining | Select Rating |
| Confidentiality | |
**Comments:**
I have participated in a pre- and/or post-observation conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel Date
Observer Date
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
Marshall County School District
PES-Therapeutic Specialist and Speech Language Summative Rating
| Cert. Personnel: | |
|------------------|---|
| EPSBID#: | |
| School: | |
| Grade Level/Subject(s): | |
| Observer: | |
| Date: | |
**Professional Practice Rating**
| PM 1: Planning and Preparation | Rating |
|---------------------------------|--------|
| PM 2: Environment | Select Rating |
| PM 3: Delivery of Service | Select Rating |
| PM 4: Professional Responsibilities | Select Rating |
**Overall Practice Rating (Summative)**
| Professional Practice Rating | Rating |
|------------------------------|--------|
| | Select Rating |
I have participated in a summative conference (as required by my district evaluation plan) and have received a copy of this observation document.
Cert. Personnel
Observer
---
**CRITERIA FOR DETERMINING A TEACHER’S PROFESSIONAL PRACTICE RATING**
| IF... | THEN... |
|-------|---------|
| Domains 2 AND 3 are rated INEFFECTIVE | Professional Practice Rating shall be INEFFECTIVE |
| Domains 2 OR 3 are rated INEFFECTIVE | Professional Practice Rating shall be DEVELOPING OR INEFFECTIVE |
| Two Domains are rated DEVELOPING, and two Domains are rated ACCEPABLE | Professional Practice Rating shall be ACCEPABLE |
| Two Domains are rated DEVELOPING, and two Domains are rated EXEMPLARY | Professional Practice Rating shall be EXEMPLARY |
| Two Domains are rated ACCOMPLISHED, and two Domains are rated EXEMPLARY | Professional Practice Rating shall be EXEMPLARY |
Comments:
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
## Marshall County School District
### Principal Self-Reflection
**Directions:** Completed by certified personnel. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to the Professional Standards for Educational Leaders (PSEL) to determine self-assessment rating.
| Certified Personnel: | Date: | School: |
|----------------------|-------|---------|
| Performance Measures | Self-Assessment: | Rationale: |
|----------------------|------------------|------------|
| **Planning** | | |
| Standard 6 (Professional Capacity of School Personnel): Effective educational leaders develop the professional capacity and practice of school personnel to promote each student’s academic success and well-being. | I | D | A | E |
| Standard 9 (Operation and Management): Effective educational leaders manage school operations and resources to promote each student’s academic success and well-being. | I | D | A | E |
| **Environment** | | |
| Standard 3 (Equity and Cultural Responsiveness): Effective educational leaders strive for equity of educational opportunity and culturally responsive practices to promote each student’s academic success and well-being. | I | D | A | E |
| Standard 5 (Community of Care and Support for Students): Effective educational leaders cultivate an inclusive, caring, and supportive school community that promotes the academic success and well-being of each student. | I | D | A | E |
| Standard 7 (Professional Community for Teachers and Staff): Effective educational leaders foster a professional community of teachers and other professional staff to promote each student’s academic success and well-being. | I | D | A | E |
| Standard 8 (Successful Engagement with Families and Communities): Effective educational leaders engage families and the community in meaningful, reciprocal, and mutually beneficial ways to promote each student’s academic success and well-being. | I | D | A | E |
| **Instruction** | | |
| Standard 1 (Mission, Vision, and Core Values): Effective educational leaders develop, advocate, and enact a shared mission, vision, and core values of high-quality education and academic success and well-being of each student. | I | D | A | E |
| Standard 4 (Curriculum, Instruction, and Assessment): Effective educational leaders develop and support intellectually rigorous and coherent systems of curriculum, instruction, and assessment to promote each student’s academic success and well-being. | I | D | A | E |
| Standard 10 (School Improvement): Effective educational leaders act as agents of continuous improvement to promote each student’s academic success and well-being. | I | D | A | E |
| **Professionalism** | | |
| Standard 2 (Ethics and Professional Norms): Effective educational leaders act ethically and according to professional norms to promote each student’s academic success and well-being. | I | D | A | E |
---
Certified Personnel ___________________________ Date ________________
Evaluator ___________________________ Date ________________
June 2020
| Administrator: | Mission, Vision, and Core Values | Ethics and Professional Norms | Equity and Culturally Responsive | Curriculum, Instruction, and Assessment | Community of Care and Support for Students | Professional Capacity of School Personnel | Professional Growth for Teachers and Staff | Meaningful Engagement of the Local Community | Operations and Management | School Improvement |
|----------------|---------------------------------|-------------------------------|----------------------------------|----------------------------------------|------------------------------------------|------------------------------------------|---------------------------------------------|------------------------------------------------|-------------------------|-------------------|
| Time Stamp | Scripting Evidence | S1 | S2 | S3 | S4 | S5 | S6 | S7 | S8 | S9 | S10 |
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
## Marshall County School District
### PPES Post Observation Document
| Administrator: | |
|----------------|---|
| EPSB ID#: | |
| School: | |
| Observer: | |
| Date of Conference: | |
### Rating
#### Performance Measure: PLANNING
- Standard 6: Professional Capacity of School Personnel | Select Rating
- Standard 9: Operations and Management | Select Rating
#### Performance Measure: ENVIRONMENT
- Standard 3: Equity and Culturally Responsiveness | Select Rating
- Standard 5: Community of Care and Support for Students | Select Rating
- Standard 7: Professional Community for Teachers and Staff | Select Rating
- Standard 8: Meaningful Engagement of Families and Community | Select Rating
#### Performance Measure: INSTRUCTION
- Standard 1: Mission, Vision, and Core Values | Select Rating
- Standard 4: Curriculum, Instruction and Assessment | Select Rating
- Standard 10: School Improvement | Select Rating
#### Performance Measure: PROFESSIONALISM
- Standard 2: Ethics and Professional Norms | Select Rating
### Comments
_________________________________________ _______________________
Administrator Date
_________________________________________ _______________________
Observer Date
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
Marshall County School District
PPES Summative Document
Administrator: ____________________________
Date: ____________________________
School: ____________________________
Observer: ____________________________
Date of Conference: ____________________________
Site Visit #1
| Performance Measure: PLANNING | Rating |
|-------------------------------|--------|
| Standard#4: Professional Capacity of School Personnel | Select Rating |
| Standard#9: Operations and Management | Select Rating |
| Performance Measure: ENVIRONMENT | Rating |
|----------------------------------|--------|
| Standard#3: Equity and Culturally Responsive | Select Rating |
| Standard#5: Community of Care and Support for Students | Select Rating |
| Standard#7: Professional Community for Teachers and Staff | Select Rating |
| Standard#8: Meaningful Engagement of Families and Community | Select Rating |
| Performance Measure: PROFESSIONALISM | Rating |
|--------------------------------------|--------|
| Standard#2: Ethics and Professional Norms | Select Rating |
Site Visit #2
| Performance Measure: PLANNING | Rating |
|-------------------------------|--------|
| Standard#6: Professional Capacity of School Personnel | Select Rating |
| Standard#9: Operations and Management | Select Rating |
| Performance Measure: ENVIRONMENT | Rating |
|----------------------------------|--------|
| Standard#3: Equity and Culturally Responsive | Select Rating |
| Standard#5: Community of Care and Support for Students | Select Rating |
| Standard#7: Professional Community for Teachers and Staff | Select Rating |
| Standard#8: Meaningful Engagement of Families and Community | Select Rating |
| Performance Measure: INSTRUCTION | Rating |
|----------------------------------|--------|
| Standard#1: Mission, Vision and Core Values | Select Rating |
| Standard#4: Curriculum Instruction and Assessment | Select Rating |
| Standard#10: School Improvement | Select Rating |
| Performance Measure: PROFESSIONALISM | Rating |
|--------------------------------------|--------|
| Standard#2: Ethics and Professional Norms | Select Rating |
Professional Practice Rating
| Performance Measure: PLANNING | Rating |
|-------------------------------|--------|
| Standard#6: Professional Capacity of School Personnel | Select Rating |
| Standard#9: Operations and Management | Select Rating |
| Performance Measure: ENVIRONMENT | Rating |
|----------------------------------|--------|
| Standard#3: Equity and Culturally Responsive | Select Rating |
| Standard#5: Community of Care and Support for Students | Select Rating |
| Standard#7: Professional Community for Teachers and Staff | Select Rating |
| Standard#8: Meaningful Engagement of Families and Community | Select Rating |
| Performance Measure: INSTRUCTION | Rating |
|----------------------------------|--------|
| Standard#1: Mission, Vision and Core Values | Select Rating |
| Standard#4: Curriculum Instruction and Assessment | Select Rating |
| Standard#10: School Improvement | Select Rating |
| Performance Measure: PROFESSIONALISM | Rating |
|--------------------------------------|--------|
| Standard#2: Ethics and Professional Norms | Select Rating |
Overall Practice Rating (Summative)
| Professional Practice Rating | Rating |
|------------------------------|--------|
| Select Rating |
## Marshall County School District
### District Certified Administrator Self-Reflection
**Directions:** Completed by certified district administrators. Highlight a rating for each component and then type in the rationale box to explain why you gave yourself the rating you did. Please refer to the Professional Standards for Educational Leaders (PSEL) to determine self-assessment rating.
| District Administrator: | Date: |
|-------------------------|-------|
| **Performance Measures** | **Self-Assessment:** | **Rationale:** |
| **Planning** | | |
| Standard 6 (Professional Capacity of School Personnel): Effective educational leaders develop the professional capacity and practice of school personnel to promote each student’s academic success and well-being. | I | D | A | E |
| Standard 9 (Operation and Management): Effective educational leaders manage school operations and resources to promote each student’s academic success and well-being. | I | D | A | E |
| **Environment** | | |
| Standard 3 (Equity and Cultural Responsiveness): Effective educational leaders strive for equity of educational opportunity and culturally responsive practices to promote each student’s academic success and well-being. | I | D | A | E |
| Standard 5 (Community of Care and Support for Students): Effective educational leaders cultivate an inclusive, caring, and supportive school community that promotes the academic success and well-being of each student. | I | D | A | E |
| Standard 7 (Professional Community of Teachers and Staff): Effective educational leaders foster a professional community of teachers and other professional staff to promote each student’s academic success and well-being. | I | D | A | E |
| Standard 8 (Meaningful Engagement of Families and Community): Effective educational leaders engage families and the community in meaningful, reciprocal, and mutually beneficial ways to promote each student’s academic success and well-being. | I | D | A | E |
| **Instruction** | | |
| Standard 1 (Mission, Vision, and Core Values): Effective educational leaders develop, advocate, and enact a shared mission, vision, and core values of high-quality education and academic success and well-being of each student. | I | D | A | E |
| Standard 4 (Curriculum, Instruction, and Assessment): Effective educational leaders develop and support intellectually rigorous and coherent systems of curriculum, instruction, and assessment to promote each student’s academic success and well-being. | I | D | A | E |
| Standard 10 (Continuous Improvement): Effective educational leaders act as agents of continuous improvement to promote each student’s academic success and well-being. | I | D | A | E |
| **Professionalism** | | |
| Standard 2 (Ethics and Professional Norms): Effective educational leaders act ethically and according to professional norms to promote each student’s academic success and well-being. | I | D | A | E |
---
Certified Personnel | Date | Evaluator | Date
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
## Marshall County School District
### District Certified Administrator Summative Evaluation
**Name:** ___________________________ **Position:** ___________________________ **Date:** _______________
**Evaluator:** ___________________________ **Workplace Location:** ___________________________
Assign a rating for each Performance Measure.
| Performance Measure: PLANNING | Rating |
|------------------------------|--------|
| **Standard 6 (Professional Capacity of School Personnel):** Effective educational leaders develop the professional capacity and practice of school personnel to promote each student’s academic success and well-being. | Ineffective Developing Accomplished Exemplary |
| **Standard 9 (Operation and Management):** Effective educational leaders manage school operations and resources to promote each student’s academic success and well-being. | Ineffective Developing Accomplished Exemplary |
Comments:
| Overall PERFORMANCE MEASURE: PLANNING Rating | Ineffective Developing Accomplished Exemplary |
| Performance Measure: Environment | Rating |
|---------------------------------|--------|
| **Standard 3 (Equity and Cultural Responsiveness):** Effective educational leaders strive for equity of educational opportunity and culturally responsive practices to promote each student’s academic success and well-being. | Ineffective Developing Accomplished Exemplary |
| **Standard 5 (Community of Care and Support for Students):** Effective educational leaders cultivate an inclusive, caring, and supportive school community that promotes the academic success and well-being of each student. | Ineffective Developing Accomplished Exemplary |
| **Standard 7 (Professional Community for Teachers and Staff):** Effective educational leaders foster a professional community of teachers and other professional staff to promote each student’s academic success and well-being. | Ineffective Developing Accomplished Exemplary |
| **Standard 8 (Meaningful Engagement of Families and Community):** Effective educational leaders engage families and the community in meaningful, reciprocal, and mutually beneficial ways to promote each student’s academic success and well-being. | Ineffective Developing Accomplished Exemplary |
Comments:
| Overall PERFORMANCE MEASURE: ENVIRONMENT Rating | Ineffective Developing Accomplished Exemplary |
| Performance Measure: Instruction | Rating |
|----------------------------------|--------|
| **Standard 1 (Mission, Vision, and Core Values):** Effective educational leaders develop, advocate, and enact a shared mission, vision, and core values of high-quality education and academic success and well-being of each student. | Ineffective Developing Accomplished Exemplary |
---
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
| Standard 4 (Curriculum, Instruction, and Assessment): Effective educational leaders develop and support intellectually rigorous and coherent systems of curriculum, instruction, and assessment to promote each student’s academic success and well-being. | Ineffective | Developing | Accomplished | Exemplary |
| --- | --- | --- | --- | --- |
| Standard 10 (School Improvement): Effective educational leaders act as agents of continuous improvement to promote each student’s academic success and well-being. | Ineffective | Developing | Accomplished | Exemplary |
Comments:
Overall PERFORMANCE MEASURE: INSTRUCTION Rating
| Performance Measure: Professionalism | Rating |
| --- | --- |
| Standard 2 (Ethics and Professional Norms): Effective educational leaders act ethically and according to professional norms to promote each student’s academic success and well-being. | Ineffective | Developing | Accomplished | Exemplary |
Comments:
Overall PERFORMANCE MEASURE: PROFESSIONALISM Rating
Apply the following criteria to determine the Summative Rating
| Criteria for Determining the Performance Measure for a Summative Rating | THEN |
| --- | --- |
| If Environment and Instruction are both rated INEFFECTIVE | The Summative Rating is INEFFECTIVE. |
| If Environment or Instruction is rated INEFFECTIVE | The Summative Rating is DEVELOPING or INEFFECTIVE. |
| If Planning or Professionalism is rated INEFFECTIVE | The Summative Rating shall not be EXEMPLARY. |
| If Two Performance Measures are rated DEVELOPING and two are rated ACCOMPLISHED | The Summative Rating shall be ACCOMPLISHED only if Environment or Instruction is rated ACCOMPLISHED. |
| If two Performance Measures are rated DEVELOPING and two are rated EXEMPLARY | The Summative Rating shall be ACCOMPLISHED only if Environment or Instruction is rated EXEMPLARY. |
| If two Performance Measures are rated ACCOMPLISHED and two are rated EXEMPLARY | The Summative Rating shall be EXEMPLARY only if Environment or Instruction is rated EXEMPLARY. |
SUMMATIVE RATING
| Ineffective | Developing | Accomplished | Exemplary |
| --- | --- | --- | --- |
Evaluator’s Signature: ____________________________ Date: ____________________________
Evaluatee’s Signature: ____________________________ Date: ____________________________
Evaluatee’s Comments: _______________________________________________________________________________________
________________________________________________________________________________________________________
I have participated in a summative conference (as required by my district’s certified evaluation plan) and have received a copy of this observation document.
Marshall County Public Schools Certified Personnel Evaluation Plan and Procedures: May 2021
Marshall County School District
Professional Growth Plan
Directions: After completing the self-reflection and identifying your professional area(s) of growth, write your Professional Growth Plan (PGP) and the Performance Measure and Component with which it aligns. If you have more than one goal, please use a separate form for each goal.
Certified Personnel: Click here to enter text. Date: Click here to enter text. School: Click here to enter text.
Professional Growth Goal
Component
Evaluator’s Feedback
Individual Growth Plan Development
Certified Personnel ___________________________ Date ________________
Evaluator ___________________________ Date ________________
Individual Growth Plan (Achieved, Revised, Continued)
Certified Personnel ___________________________ Date ________________
Evaluator ___________________________ Date ________________
|
cdb734f4-2dc1-45ca-bbd2-43a77503d5b5
|
CC-MAIN-2023-50
|
https://resources.finalsite.net/images/v1654626052/marshallkyschoolsus/vatexd5iksipvwwbtmbb/2021-2022marshallcountycepboardapproved1.pdf
|
2023-12-03T19:41:54+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00261-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet
| 562,943,609
| 26,915
|
eng_Latn
|
eng_Latn
| 0.87875
|
eng_Latn
| 0.990135
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
119,
3352,
4794,
7055,
10336,
13509,
16141,
19118,
22470,
25591,
28330,
30724,
33407,
34879,
36527,
38975,
40693,
43786,
46364,
49819,
51683,
52316,
53428,
55040,
56303,
58713,
62217,
65218,
66409,
66536,
67498,
69944,
70544,
73596,
75268,
77964,
78691,
81772,
83842,
86494,
87008,
90690,
92370,
94045,
94737,
97532,
99224,
101804,
104705,
106478,
108543,
109237,
112563,
114311,
117369,
117983,
119179,
122819,
124533,
127773,
129068,
130450,
133789,
136876,
139738,
142499,
143374
] |
Breakfast Menu
November, 2018
More info...
Students must select a minimum of 3 food items to make a meal.
Choice of Milk:
1% Fat Free or Fat Free Chocolate Milk
More info...
A parent/guardian of any student with a food allergy should feel free to contact the Food Service Director at: (708)-484-5773
| Date | Meal |
|------|------|
| 01 | Yogurt
Graham Snack
Fruit Juice
Fresh Banana |
| 02 | Cinnamon Chex
String Cheese
Apple Juice
Craisins |
| 05 | No School |
| 06 | No School |
| 07 | NG Bar
Cheese Stick
Orange Juice
Fresh Banana |
| 08 | Yogurt
Graham Snack
Fruit Juice
Fresh Apple |
| 09 | Golden Grahams
String Cheese
Apple Juice
Craisins |
| 12 | Nutri Grain Bar
String Cheese
Fruit Juice
Fresh Apple |
| 13 | Muffin
String Cheese
Apple Juice
Fresh Pear |
| 14 | Golden Grahams
String Cheese
Orange Juice
Fresh Banana |
| 15 | Yogurt
Graham Snack
Fruit Juice
Fresh Apple |
| 19 | Frosted Mini Wheat
String Cheese
Fruit Juice
Fresh Apple |
| 20 | Mini Strawberry Cheese Bagel
Apple Juice
Fresh Apple |
| 21 | Thanksgiving Holiday |
| 22 | Thanksgiving Holiday |
| 23 | Thanksgiving Holiday |
| 26 | Cinnamon Chex
String Cheese
Fruit Juice
Fresh Apple |
| 27 | Cinnamon Raisin Bagel w/ Cream Cheese
Apple Juice
Fresh Pear |
| 28 | Blueberry Nutri Grain Bar
String Cheese
Orange Juice
Fresh Banana |
| 29 | Golden Grahams
Yogurt
Fruit Juice
Fresh Apple |
| 30 | Muffin
String Cheese
Apple Juice
Craisins |
This institution is an equal opportunity provider.
|
<urn:uuid:56fc7895-002a-4728-aef5-6e750dc1c6ef>
|
CC-MAIN-2018-51
|
https://4.files.edl.io/5a7f/11/12/18/202447-f7cb2468-fb57-4d7b-9273-e1a4e664a84e.pdf
|
2018-12-11T09:12:06Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-51/segments/1544376823614.22/warc/CC-MAIN-20181211083052-20181211104552-00292.warc.gz
| 507,008,212
| 484
|
eng_Latn
|
eng_Latn
| 0.716616
|
eng_Latn
| 0.716616
|
[
"eng_Latn"
] | false
|
docling
|
[
1877
] |
This matter is before the Commission on respondents’ motions for protective orders with respect to pending discovery. In addition, the Commission will address pending motions to dismiss.
I. BACKGROUND
This complaint of discrimination filed May 28, 1998, alleges as follows:
As documented in 98-0063-PC-ER (amended) and by the attached document, DER had decided I was totally disabled and therefore denied me restoration rights to numerous positions. However, DER sought to denied [sic] me the benefits of being classified disabled.
I sought information on disability benefits around June 1997. Jocelyn Brown told me that since I was on lay-off, I qualified for benefits because DER would sign a waiver stating they would hire me back if it wasn’t for my disability. Sometime in late 1997 or early 1998, I was assigned a new case worker, Debbie Hornbeck. On the 15th of May, I received a notice (attached) indicating that DER was not issuing me a waiver even though they admitted not considering me for restoration because of my disability. Also they failed to submit Disability Premium Waiver form (ET – 5306) to ETF concerning my life insurance premiums.
It is clear DER denied me employment opportunities because of my disability. It is also clear that they deliberately harassed me by denying
me disability benefits even though DER clearly stated that they viewed me as unemployable. Given DER’s record, I would like investigated why my ETF worker was switched.
On the complaint form, complainant has checked the box for “disability” as the basis for discrimination. Attached to the complaint is a copy of a DETF (Department of Employee Trust Funds) form “DISABILITY BENEFIT DENIAL/CANCELLATION” DATED May 15, 1998, which reflects that complainant’s disability application that had been filed on June 19, 1997, was being denied because it did not meet the statutory requirements set forth in §40.63(1), Stats. The following reasons were checked on the form:
The medical evidence submitted did not establish that you are disabled within the meaning of the law.
Your employer [DER] did not certify your termination was due to disability.
Attached to this form is the following statement:
The grievance is denied for the reasons set forth in the Department’s Step 1 answer. Those reasons are incorporated herein by reference as if fully set forth.
Additionally, you were totally disabled at relevant times (November 1996 – present) (i.e.), you were unable, by reason of a medically determinable physical or mental impairment, to perform each and all of the material duties pertaining to your occupation or like occupation for which you are reasonably qualified.
On July 20, 1998, respondent DER filed a letter brief denominated as its motion to dismiss or, in the alternative, its answer to the complaint. The ground for the motion to dismiss was lack of subject matter jurisdiction. DER asserted that jurisdiction over the matter rested with DETF. Respondent also argued in the alternative that the matter before the Commission “be held in abeyance pending the conclusion of any appeal that may be or has been filed with DETF since that decision may have a bearing on the Commission’s decision in this matter.” By a letter to the
parties dated July 24, 1998, the Commission advised that complainant should respond to DER’s answer and motion.
On August 26, 1998, complainant filed an amended complaint which identified DETF as a party-respondent, and added a new basis of discrimination—WFEA retaliation. Complainant also submitted a reply to DER’s answer and motion to dismiss, as well as his responses to certain questions the Commission had propounded as part of the process of investigating complainant’s complaint.
A letter submission by complainant on October 9, 1998, includes the following:
I was unclear in my 8/26/98 brief concerning retaliation. DER and ETF’s falsehoods concerning my eligibility for the Life Insurance Disability Waiver (ET-5306) are the actions which are retaliatory. DER’s initial actions, concerning not initially filing a Life Insurance Waiver (ET-5306), falsely stating I was terminated, and their failure to indicate I was denied restoration rights to numerous positions, are the discriminatory acts.
In a November 20, 1998, letter, respondent DETF filed an answer to the amended complaint and a request for dismissal, which included the following:
The DETF requests that Mr. Sheskey’s complaint be dismissed with respect to the DETF. He has failed to state a case upon which relief might be granted. Indeed, he has failed to state a complaint which invokes any Personnel Commission jurisdiction with respect to the DETF. Mr. Sheskey has made no allegations of discrimination or retaliation by the DETF as an employer. Mr. Sheskey makes no allegations that a fringe benefit program for state employees, administered by the DETF, is discriminatory in nature...
Mr. Sheskey’s complaint, insofar as it might relate to any activity involving the DETF, seems to be associated with:
1. A denial of an application for disability annuity benefits under Wis. Stat. §40.63.
2. A waiver of premiums for life insurance premiums following his layoff by DER.
3. The reported termination date of Mr. Sheskey.
It is DETF’s position that the Personnel Commission has no authority to determine (1) whether Mr. Sheskey is or was entitled to a disability
annuity under Wis. Stat. §40.63; (2) whether Mr. Sheskey is or was entitled to a waiver of life insurance premiums during any period of alleged disability; or (3) whether Mr. Sheskey qualified as a participating employe under the Wisconsin Retirement System after the August 19, 1998 termination date reported by DER, or at any other time. The actions taken by DETF in regard to all three matters have been those required by statute or necessary to the proper administration of the benefit plan in question. The DETF has not in any instance acted in a discriminatory or retaliatory manner towards Mr. Sheskey.
On November 20, 1998, DER filed an answer to the amended complaint, which incorporated by reference DER’s earlier motion to dismiss.
By a letter dated January 5, 1999, the Commission extended complainant’s time to file a response to respondent’s answer to March 16, 1999. Complainant filed a response on March 16, 1999. Respondent DER filed a reply on March 30, 1999.
On April 5, 1999, complainant submitted discovery requests to both respondents. On April 9, 1999, respondent DETF filed a request that it not be required to respond to the discovery requests until after the Commission decides whether DETF should be a party, and the subject matter properly before the Commission is determined. DETF also contends it should not have to respond to complainant’s discovery requests which are duplicative of complainant’s public records requests to which it already has responded.
On April 12, 1999, DER filed a request for a protective order relieving it from having to respond to complainant’s discovery requests, until the Commission decides its pending motion to dismiss.
On April 14, 1999, and April 20, 1999, complainant filed responses to the preceding motion by respondents. A hearing examiner then advised the parties that respondents would be relieved from responding to the foregoing discovery requests pending further order of the Commission.
II. SUBJECT MATTER JURISDICTION
Respondents contend that complainant’s exclusive remedy with regard to DETF’s decisions is to file an administrative appeal with DETF. DETF also contends that it is not and was not complainant’s employer, and therefore is not a proper party to this matter. While complainant apparently has the right to pursue an appeal with DETF concerning its decision to deny him a disability retirement annuity, this does not preclude him from pursuing a WFEA discrimination complaint to the extent he contends that any actions taken by DER and DETF with respect to his potential benefits were discriminatory. The Commission addressed similar issues in *Phillips v. DHSS & DETF*, 87-0128-PC-ER, 3/15/89; appealed on other grounds and affirmed, *Phillips v. Wisconsin Personnel Commission*, 167 Wis. 2d 205, 482 N.W.2d 121 (Ct. App. 1992), in which the Commission held as follows:
**PROPER PARTIES RESPONDENT**
Both respondents contend they are not proper parties in this case. The FEA provides at §111.375, Stats., that:
This subchapter applies to each agency of the state except that complaints of discrimination or unfair honesty testing against the agency as employer shall be filed with and processed by the personnel commission under s. 230.45(1)(b) . . .
Pursuant to §111.32(6)(a), Stats., the definition of the term “employer” includes “the state and each agency of the state.” The FEA does not contain any functional definition of the term “employer” which sets forth the functional attributes of the employer-employe relationship.
Respondent DETF contends as follows:
While the sec. 111.33(6)(a), Stats., definition of employer includes ‘the state and each agency of the state,’ sec. 111.375(2), Stats., limits the Commission’s authority to complaints ‘against the [employing] agency as an employer.’ The DETF is not such an employer of complainant and thus not within the Commission jurisdiction as established by the legislature.
In somewhat the same vein, respondent DHSS argues it had no role in the alleged discriminatory conduct, since it has no authority to make determinations as to eligibility for employee benefits.
The legislature has seen fit to divide authority for the administration of the state civil service employment program among a number of different state agencies. By way of example, the “appointing authority” (here, DHSS) has the authority to hire and fire employees and assign their duties, §230.06(1)(a), Stats. The Department of Employment Relations (DER) has the authority to determine the classification level (and the concomitant salary level) of positions, §230.09, Stats. The administrator of the Division of Merit Recruitment and Selection (DMRS) has the authority to administer the examination function which determines who is eligible to be hired in the classified service, §230.16, Stats. The various agencies of the state are but arms of the state, and when an agency exercises its authority in a way that affects the conditions of employment of a state employee, that agency is acting as the employing agency of that employee, and its action is cognizable under the FEA. *Phillips*, pp. 20-21.
In *Phillips* the Commission held that the immediate employing agency, (DHSS) had no cognizable role with respect to the subject matter of the complaint (denial of family health insurance coverage). In the instant case, complainant has alleged (among other things) that “DER was not issuing me a waiver even though they admitted not considering me for restoration because of my disability. Also they failed to submit Disability Premium Waiver form (ET-5306 to ETF concerning my life insurance premiums.” Original complaint filed May 28, 1998. Since it is alleged DER had a role in the matters complained of, it should be continued as a party.
In *Phillips* the Commission addressed respondents’ exclusivity contention as follows:
**PRECLUSIVITY OF §40.03(l)(j) APPEAL**
Section 40.03(l)(j), Stats., provides for appeals to the Employe Trust Funds Board from DETF eligibility determinations. Respondent DETF asserts that this “specific statutory method of appeal of DETF determinations precludes the Personnel Board [sic] from any concurrent jurisdiction.”
The fact that administrative agencies which derive their authority from the same source (here, the state) have jurisdiction over the same transaction does not automatically give rise to the conclusion that the agency with the more specific grant of authority has exclusive jurisdiction. This is particularly true where the agencies are enforcing different statutes. See Warner-Lambert v. FTC, 361 F. Supp. 948, 952-953 (D. D.C. 1973).
In this case, the Commission’s inquiry is limited to the question of whether there has been a violation of the FEA. The Employe Trust Funds Board has no statutory responsibilities under the FEA and cannot make that kind of determination. There is nothing inherent in the statutory framework underlying the two proceedings (appeal to the Employe Trust Funds Board and charge of the discrimination before the Personnel Commission) that would make the two proceedings inconsistent, and there is no explicit statutory provision making one remedy exclusive.
Carried to its logical extreme, respondent’s position would strip FEA protection from an employee with respect to any transaction where the legislature provides an additional, specific remedy. For example, a county employee who has the right pursuant to §63.10(2), Stats., to a hearing before the civil service commission in connection with a disciplinary action presumably would not have the right to pursue a claim with the Department of Industry, Labor and Human Relations that the disciplinary action was unlawfully discriminatory. Such a result would substantially and arbitrarily undermine the FEA and many other protective labor laws. Phillips, pp. 23-24 (footnote omitted).
For the same reasons, the Commission concludes that its subject matter jurisdiction is unaffected by the existence of any remedies complainant has available with DETF.
III. MOTION TO HOLD IN ABEYANCE PENDING DETF APPEAL
As noted above, it is unlikely that a DETF decision of complainant’s appeal (if any) with that agency would address the issues complainant raises in this proceeding. Therefore, respondent DER’s motion to hold this matter in abeyance is denied.
IV. MOTION TO DISMISS CLAIM AS TO DENIAL OF PREMIUM WAIVER
In its answer to the complaint and motion to dismiss filed November 20, 1998, respondent DETF contends that the part of this complaint that relates to DER’s failure or refusal to have signed a “Disability Premium Waiver” form is untimely:
The only period during which a premium waiver can have been in question is between Mr. Sheskey’s last day paid at DER (August 19, 1995) and the beginning of his employment at the University of Wisconsin on April 13, 1998. Clearly, when Mr. Sheskey is able to work at DER or the UW he does not meet the disability standard for a premium waiver. This period can be narrowed even further. There is no question that Mr. Sheskey was not disabled on August 19, 1995. On August 21, 1995, he signed and filed an unemployment compensation claim for (form RCB015) on which he answered “yes” to the question
Are you able to work and available for work during the first shift on a full-time basis (40 hours per week, between 6:00 A.M. and 6:00 P.M., Monday through Friday)?
Mr. Sheskey admits that “I didn’t consider myself disabled on August 1995 [sic].” See his letter dated August 26, 1998. Mr. Sheskey could not be eligible for a premium waiver until he became disabled, which must have been at a later date, if at all. In response to the Commission’s specific request (in Ms. Ruona’s letter dated July 24, 1998) for Mr. Sheskey to state his disability and identify the date on which he became disabled, Mr. Sheskey replied:
I have chronic back pain, I ruptured a disk in my back around October 1996.
Mr. Sheskey’s last day paid was August 19, 1995. The 90-day deadline expired on November 17, 1995. If Mr. Sheskey’s complaint is that solely for discriminatory motives, DER did not file a Disability Premium Waiver form prior to that deadline, then his complaint is time barred unless it was filed by September 12, 1996. Furthermore, Mr. Sheskey admits that he was not disabled during this 90-day period. Thus, regardless of any action by DER, he could never qualify for a premium waiver without proving his disability to the satisfaction of Minnesota Life Insurance Company, assuming he otherwise qualifies for a waiver.
At all times from his employment with DER, through his layoff and up to his employment by the University of Wisconsin in 1998, Mr. Sheskey
has known that no premium waiver had been granted because he was paying the life insurance premiums himself. If Mr. Sheskey’s complaint is that solely for retaliatory motive, DER did not file a Disability Premium Waiver form prior to the November 17, 1995 deadline, then his complaint is time barred unless it was filed by January 16, 1996. Clearly Mr. Sheskey filed no complaint against the DETF during those time periods, so his complaint should be dismissed. Furthermore, because he admits that he was not disabled at the time, DER’s unwillingness to sign a premium waiver form during the 90 days after his last day paid was justified. Pp. 8-9 (footnotes omitted).
Complainant responded to this contention in a letter dated March 16, 1999, which includes the following:
1. Mr. Weber seems to think Complainant’s allegations are concerned with DER not submitting a waiver before 11/17/95, however, Complainant has never alleged a waiver should have been processed before 11/17/95. Mr. Wild [sic] claims Complainant is only alleging discrimination for not submitting a waiver during a 90-day window where medical evidence is not required to qualify for a waiver, however, Complainant alleges that not submitting a waiver from around 11/96 until Minnesota Mutual intervened is the period of discrimination. Except for Mr. Wild’s [sic] “90-day period” theory, the date of 11/17/95 is completely irrelevant, indeed, Complainant was able to work on 11/17/95.
2. Mr. Weber’s arguments, concerning a “90 day period” to submit a waiver without medical evidence and his associated limitation start date of 11/17/95, are disputed by the instructions on the waiver itself (ET-5306)(Exhibit H): “You may file this form without medical evidence within 90 days after the last day for which earnings were paid, or 90 days after the occurrence of the disability, whichever is later.” Clearly Complainant’s occurrence of disability was later than his last day paid. Equally clear is that Mr. Weber is lying about the terms of the insurance contract.
3. At no time does Mr. Weber argue that Complainant was aware he was entitled to have a waiver submitted and that DER would not submit one. Clearly Complainant has to be aware of an alleged discriminatory act before any period of limitations can start.
4. Mr. Weber does not mention DER inaction after receiving ETF request for a waiver around 6/26/97. Also, Mr. Weber does not
mention the falsehoods told to Complainant around 6/2/98 concerning DER’s letter (Exhibit G). P. 6.
As noted above, the initial charge of discrimination was filed on May 28, 1998. The time limit for filing a claim of WFEA discrimination is 300 days from the date of the alleged discrimination. §111.39(1), Stats. Therefore, the actionable period in this case presumably commences August 1, 1997. To the extent that complainant’s claim runs to cognizable conduct of either respondent occurring on or after August 1, 1997, his complaint would be timely.
With respect to DER’s failure or refusal to submit the disability premium waiver form (ETF-5306) to DETF, complainant states (above) that he is alleging “that not submitting a waiver from around 11/96 until Minnesota Mutual intervened is the period of discrimination.” To the extent that complainant contends that DER failed or refused to submit such a waiver prior to August 1, 1997, his complaint is untimely. Complainant apparently contends that respondent has to establish that he knew about his waiver eligibility before the time for filing begins to run:
At no time does Mr. Weber argue that Complainant was aware he was entitled to have a waiver submitted and that DER would not submit one. Clearly Complainant has to be aware of an alleged discriminatory act before any period of limitations can start. March 16, 1999, letter, p. 6.
This is not respondent’s burden. Rather, complainant has a duty to be aware of his rights in connection with his employment status. See Sheskey v. WPC, Dane Co. Circuit Court No. 98-CV-2196, April 27, 1999: “the complainant must file a claim when he or she knows or should have reasonably known of the violation.” Pp. 6-7. See also Jabs v. State Board of Personnel, 34 Wis. 2d 245, 251, 148 N.W.2d 853 (1967): “A state employe cannot relieve himself of the responsibility of informing himself regarding the rules regarding sick leave merely by not making inquiry,” Welter v. DHSS, 88-0004-PC-ER, 2/22/89 (An employe who was denied the opportunity to return to work on light duty status should have known his rights under the WFEA and should have made inquiry at the time to determine if his rights were violated.) Thus, to the extent that complainant argues that he didn’t know about the life insurance waiver
process in 1996-1997 and accordingly didn’t realize that DER had not provided him a waiver, complainant’s ignorance of this aspect of his employment status does not avoid the effect of his untimely filing. Furthermore, complainant must have known at all times prior to August 1, 1997, that he was paying the life insurance premiums in question, and this reinforces the point that it was not reasonable for him not to have known what his rights were with regard to his life insurance premiums.
Therefore, this complaint is time-barred to the extent it runs to conduct occurring prior to August 1, 1997. However, complainant has alleged conduct which arguably may be attributed to occurrences on or after August 1, 1997. He cites a DETF form dated June 26, 1997, which includes a request to DER to “complete and return the enclosed Group Life Insurance Disability Premium Waiver, form ETF-5306, so that we can determine whether the employee meets the requirements to continue life insurance.” At this stage of this case, it cannot be determined to what time period to attribute DER’s alleged failure or refusal to complete and return the form. Therefore, the motion to dismiss cannot be granted as to the entirety of the life insurance waiver issue.
V. DISCOVERY REGARDING RECENT TRANSACTIONS
In an April 5, 1999, letter to the Commission, complainant states, in part: “Because of recent discriminatory actions by ETF and DER, I would like to update my complaint with these recent actions . . .” Respondent DETF objects to discovery regarding these matters because the commission has not determined whether those transactions will be considered part of complainant’s claim. However, by an April 12, 1999, letter, Commission staff advised complainant as follows:
Your [April 5, 1999] letter refers to the above case number; however, it appears to refer to events which occurred after Case No. 98-0106-PC-ER was filed on May 28, 1998. If you wish to file a complaint regarding these more recent events, you must complete another complaint form (a form is enclosed) and timely file it with the Commission.
Complainant subsequently did file such a complaint. Inasmuch as the Commission is not at this time treating the matters referred to in complainant’s April 5, 1999, letter as part of Case No. 98-0106-PC-ER, respondents are under no obligation to respond to discovery requests regarding the new material as part of the discovery in Case No. 98-0106-PC-ER, unless it pertains to matter which is relevant to this case (98-0106-PC-ER).
VI. DUPLICATION OF PUBLIC RECORDS REQUESTS
DETF asserts that some of complainant’s discovery requests are duplicative of his requests made under the public records law, to which DETF has already responded. DETF seeks an order that it “need not respond to any [discovery] request . . . if it has already provided Mr. Sheskey with copies of, or review of, the public record or document(s) in his WRS participant file which responds to the inquiry.” Letter dated April 8, 1999, and filed April 9, 1999, p.3.
Without going into detail, there are a number of differences between the public records law and the law governing discovery, with respect to the permissible parameters of inquiry and the duties and responsibilities of the responding entities. It may be that the circumstances would be such that it would be appropriate for respondent to respond to a particular discovery request by incorporating by reference a prior response under the open records law. However, this must be evaluated on a case-by-case basis, and DETF’s request for a blanket order will be denied.
VII. PROCEDURAL MATTERS
On April 30, 1999\(^1\), Commission General Counsel Theodore sent a letter to the parties advising that the Commission would be taking up this matter at its May 5, 1999, meeting, and that “[I]n the meantime, respondents’ obligation to respond to complainant’s outstanding discovery requests is suspended pending further order.”
\(^1\) This letter was erroneously dated April 12, 1999.
letter dated May 5, 1999, and filed May 6, 1999, complainant has objected to said order on a number of grounds.
Complainant’s stated concerns about not having been heard on respondents’ discovery motions are related to the misdating of the letter. As mentioned above in the procedural history of this case, complainant filed responses to respondents’ contentions.
Complainant also contends there was no good cause for the order. Obviously the order was similar to a preliminary injunction that preserved the status quo while a decision was rendered on the pending motions.
Complainant also contends that Mr. Theodore is neither “a hearing examiner or a Commissioner,” and thus had no authority to issue the order. Mr. Theodore’s duties include functioning as a hearing examiner and exercising that authority with respect to cases pending before the Commission.
ORDER
1. Respondent DER’s motions to dismiss and to hold in abeyance dated and filed July 20, 1998, are denied.
2. Respondent DER’s motion for protective order filed April 12, 1999, is denied.
3. Respondent DETF’s motion to dismiss filed November 20, 1998, is denied in part and granted in part. So much of complainant’s claim that relates to the subject matter of the life insurance waiver, and which involves conduct by respondents which occurred prior to August 1, 1997, is dismissed as untimely filed.
4. Respondent DETF’s request for a protective order dated April 8, 1999, and filed April 9, 1999, is denied.
5. Respondents are to respond to outstanding discovery requests within 30 days of the date of this order.
Dated: May 25, 1999.
STATE PERSONNEL COMMISSION
Laurie R. McCallum, Chairperson
Donald R. Murphy, Commissioner
Judy M. Rogers, Commissioner
Parties:
Dennis Sheskey
217 Gilman St
Verona WI 53593
Eric Stanchfield, Secretary
DETF
PO Box 7931
Madison WI 53707-7931
Peter Fox, Secretary
DER
PO Box 7855
Madison WI 53707-7855
|
<urn:uuid:a711cef7-d248-4447-84f6-88f9ed2e21de>
|
CC-MAIN-2025-05
|
https://werc.wi.gov/personnel_appeals/personnel_commission_1978-99/98-0106-PC-ER-A.pdf
|
2025-01-26T15:21:35+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-05/subset=warc/part-00057-88b30a59-3c73-48ba-a167-077611bfd245.c000.gz.parquet
| 639,649,685
| 5,959
|
eng_Latn
|
eng_Latn
| 0.995431
|
eng_Latn
| 0.996688
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
docling
|
[
1300,
3243,
5391,
7359,
9327,
11590,
13730,
16089,
18508,
20816,
22922,
24840,
25705,
26760
] |
Physico-chemical properties of *Perilla frutescens* seeds
Archana Joshi\(^1\), Ashutosh Sharma\(^2\), D. P. Pandey\(^3\) and R. K. Bachheti\(^{1,2}\)
\(^1\)College of Natural and Computational Science, Haramaya University, Ethiopia
\(^2\)Department of Chemistry, Graphic Era University, Dehradun, Uttarakhand, India
\(^3\)Department of Chemistry, Govt. P. G. College, Uttarkashi, Uttarakhand, India
**ABSTRACT**
Seeds and their oil are used by people in different parts of the world by ancient time. *Perilla frutescens* belonging to the Lamiaceae family, is an edible plant who’s seeds are used in some Asia countries as well as all over the world. Seed oil of *Perilla frutescens* was extracted using soxhlet apparatus. The yield of seed oil is (40.1%). Physicochemical properties of extracted perilla seed oil were also determined. Protein content of seed is (18.12%), Carbohydrate content (18.91%), acid value of oil is 1.59. The iodine value of the oil is 136.3. Saponification value of *Perilla frutescens* oil is 185.3. The oil was analysed for its chemical composition by Gas chromatograph mass spectroscopy (GCMS). The fatty acids in seed oil were identified as Palmitic acid 12.76%, Stearic acid 2.62 %, Oleic acid 0.16%, Linoleic acid 15.40 %, α-linolenic acid 66.58 %, Arachidic acid 0.18 %, Hexadecanoic acid, 14-methyl- methyl ester 0.22%, 2,6-Heptadien-1-ol, 2,4-dimethyl 0.13 %, Lilial 0.15 %. Linoleic acid (omega 6) and α-linolenic acid (omega 3) are essential fatty acids. The high content of α-linolenic acid Linoleic acid suggests that *Perilla frutescens* seed oil can be excellent source of essential fatty acid.
**Key words:** *Perilla frutescens*, omega 3, omega 6, seed oil.
**INTRODUCTION**
Plants are one of the most important sources of medicines. Medicines from plants are used by human being since prehistoric period. In India the references to the curative properties of some herbs in the Rig-veda seems to be the earliest records of use of plants in medicines. Various parts of plants such as leaves, roots, flowers and seed are used for different purpose in all around the world.
*Perilla frutescens* have been used as an important traditional herbal medicine for treating various disease including depression, anxiety, tumor, cough, antioxidant, allergy, intoxication, and some intestinal disorders. In northern India the stem of the plant is traditionally used as an analgesic and anti-abortive agent. The leaves are said to helpful for asthma, colds and flu’s and regulate stomach function [1]. Perilla is listed in the Chinese Pharmacopoeia and has been used for centuries as a medicinal plant for asthma, influenza, cough, chronic bronchitis and vomiting [2-3]. Perilla seeds are a traditional source of oils produced in Korea [4]. A *perilla* line from Bangladesh is a potential commercial source of rosefuran, a compound of interest in flavoring and perfumery [5]. Medicinal and Traditional use of *Perilla frutescens* in Garhwal Himalaya is that the plant is used for various purpose i.e. as a medicine, edible oil, garnish or flavouring agent, as vegetable and other traditional food items [6]. Due to medicinal and traditional
use of *Perilla frutescens* and its seeds, it motivate us to investigate Physico-chemical properties of *Perilla frutescens* seeds.
**MATERIALS AND METHODS**
2.1. **Collection of seeds**
The seeds of *Perilla frutescens* were collected from Badowala, Deheradun, India at *Latitude*. 30.31° and *Longitude*. 78.03°. The voucher specimens were identified and authenticated by Dr. Dr. Sumer Chand, Ex-Scientist, Systematic Botany Division, Forest Research Institute, Dehradun, India. Dried fruits were collected in polythene bags and brought to the laboratory.
2.2. **Extraction of seed oil**
A known weight of *Perilla frutescens* seeds were grinded into powder with high speed blender and dried in an air circulating oven at 50°C for 1 h. Oil was extracted from the seeds powder with petroleum ether (boiling point 60-80°C) using a Soxhlet extractor. The solvent was distilled off at 80°C and oil was dried over anhydrous sodium sulphate.
2.3. **Physical and Chemical analysis of seed oil**
Physico-chemical analyses of the extracted oil was carried out by using AOAC, 1990 methods[7]. Density of oil was determined picnometrically, refractive index was determined at 25°C using Abbey Refractometer, moisture was estimated by heating in oven at 105°C. Iodine value was determined using Wijj’s method as reported in AOAC methods [7]. The procedures of [8] were adopted for the estimation of Saponification values, Unsaponifiable matter content and acid value of the oil sample.
2.4. **Preparation of Fatty acid methyl esters**
Fatty acids are polar compounds and are not volatile. For gas chromatographic analysis it is necessary that the sample to be analyzed must be volatile. In order to make fatty acids present in the oil volatile, derivatization is performed prior to GC-MS analysis. Methylation is the most general method of converting non-volatile fatty acids into volatile fatty acids methyl esters. Methylation of fatty acids was performed with BF₃ – methanol as derivatizing reagent, which is the most accepted procedure for converting fatty acids into FAMEs. The Fatty acids were derivatized by using the boron trifluoride method as described by Hisil, 1988[9].
2.5. **Gas Chromatography/mass spectrometry Analysis (GC/MS)**
Derivatized fatty acids methyl esters were analysed by using a Shimadzu GC-2010 equipped with a Shimadzu GCMS-QP2010 Plus mass selective detector having HP-MS capillary column (30m x 0.25mm, film thickness 0.25 µm). The column oven initial temperature was 140°C, programmed at 4°C/min to final oven temperature 240°C and held for 10 min at this temperature, injector temperature was 270°C. Helium was used as carrier gas with column flow rate 1.21 ml/min and the split ratio 1:20. For GC/MS detection, an electron ionization system with ionization energy of 70eV was used, Ion source temperature was 230°C and Interface temperature was 280°C. The components were identified by comparing their relative retention times and mass spectra with those of standards, wiley 8 library data of the main system.
**RESULTS AND DISCUSSION**
The nutritional status of seeds is presented in Table-1, the yield of seed oil is (40.1%) that is comparable with Coconut Oil (*Cocos nucifera*) seed oil (39 %), Ground Nut Seed Oil (*Arachis hypogoes*) seed oil (40.1%). Protein content of seed is (18.12%) which is near to other conventionally used oils e.g. Mustard seed oil (20.0%), Cotton seed oil (19.4%), Linseed seed oil(20.3%), Sunflower seed oil (19.8%), Coconut seed oil (23.9%), Almond seed oil (20.8%), reported in Nutritive value of Indian foods [10]. Carbohydrate content (18.91%) also lies in the range of other oils which are used for food purposes and other applications [10].
Figure 1. GC-MS chromatogram of *Perilla frutescens* seed oil
| Peak# | R.Time | Area | Area% | Name |
|-------|---------|----------|-------|----------------------------------------------------------------------|
| 1 | 5.029 | 423320 | 0.13 | 2,6-Heptadien-1-ol, 2,4-dimethyl- |
| 2 | 6.149 | 227833 | 0.07 | BICYCLO[7.2.0]UNDEC-4-ENE, 4,11,11-TRIMETHYL-8- |
| 3 | 7.385 | 479738 | 0.15 | Lilial |
| 4 | 7.633 | 283593 | 0.09 | ROSE PHENONE |
| 5 | 8.089 | 3021688 | 0.92 | 1,2-BENZENEDICARBOXYLIC ACID, DIETHYL ESTER |
| 6 | 9.009 | 354078 | 0.11 | 2-Naphthalene: methanol, decahydro-, alpha-, alpha-, 4a-trimethyl- |
| 7 | 10.783 | 645964 | 0.20 | 1-TERT-BUTYL-2-METHOXY-4-METHYL-3,5-DINITRO |
| 8 | 11.552 | 650073 | 0.20 | 9-HEXADECENOIC ACID, METHYL ESTER, (Z)- |
| 9 | 11.761 | 41758743 | 12.76 | HEXADECANOIC ACID, METHYL ESTER |
| 10 | 12.492 | 705028 | 0.22 | Hexadecanoic acid, 14-methyl-, methyl ester |
| 11 | 12.774 | 395291 | 0.12 | CYCLOPENTANETRIDECAANOIC ACID, METHYL ESTER |
| 12 | 13.433 | 50417777 | 15.40 | 9,12-Octadecadienoic acid (Z,Z)-, methyl ester |
| 13 | 13.521 | 217963445| 66.58 | 9,12,15-OCTADECATRIENOIC ACID, METHYL ESTER |
| 14 | 13.725 | 8574411 | 2.62 | Octadecanoic acid, methyl ester |
| 15 | 14.144 | 381979 | 0.12 | Methyl 12-oxo-9-dodecenoate |
| 16 | 15.411 | 514035 | 0.16 | 9-OCTADECENOIC ACID (Z)-, METHYL ESTER |
| 17 | 15.623 | 586390 | 0.18 | EICOSANOIC ACID, METHYL ESTER |
Hit#: 1 Entry:201917 Library:WILEY8.LIB
SI:97 Formula:C17H34O2 CAS:112-39-0 MolWeight:270 RetIndex:0
CompName: HEXADECANOIC ACID, METHYL ESTER $S METHYL HEXADECANOATE $S PALMITIC ACID METHYL ESTER $S AI-03509 $S AID-
Peak No.9 HEXADECANOIC ACID, METHYL ESTER(Palmitic acid RT= 11.761)
Hit#: 1 Entry:23480 Library:NIST05s.LIB
SI:98 Formula:C19H34O2 CAS:112-63-0 MolWeight:294 RetIndex:2093
CompName: 9,12-Octadecadienoic acid (Z,Z)-, methyl ester $S Linoleic acid, methyl ester $S Methyl cis,cis-9,12-octadecadienoate $S Methyl linoleate $S Meth
Peak No.12 9,12-Octadecadienoic acid (Z,Z)-, methyl ester(omega 6) RT=13.43
Hit#: 3 Entry:23400 Library:NIST05s.LIB
SI:91 Formula:C19H32O2 CAS:301-00-8 MolWeight:292 RetIndex:2101
CompName: 9,12,15-Octadecatrienoic acid, methyl ester, (Z,Z,Z)- $S Linolenic acid, methyl ester $S Methyl all-cis-9,12,15-octadecatrienoate $S Methyl linolen
Peak No.13 9,12,15-OCTADECATRIENOIC ACID, METHYL ESTER(omega 3)( RT=13.521)
Oil extracted from *Perilla frutescens* seeds had light yellow colour. The moisture content is 6.90%, which lies in the range of 3.0-9.9% of other used oils, this suggests that oil can be stored for a long period. Acid value of oil is 1.59, which falls within the recommended codex of 0.6 and 10 for virgin and non-virgin edible fats and oil, respectively [11-12]. This suggests that the *Perilla frutescens* seed oil is suitable for edible purposes and also in the manufacture of paints and varnishes [13]. The iodine value of the oil is 136.3, which lies in the category of drying oils. Iodine value of the oil is 136.3, near to those for drying oils. Iodine value shows the degree of unsaturation of fatty acids in an oil or fat and is thus a relative measure of the unsaturation. Drying oil dry rapidly on contact with atmospheric oxygen and makes the oil useful on commercial scale for paint and varnishes, oil paints. Saponification value of *Perilla frutescens* oil is 185.3. Saponification value is used in checking adulteration. The low saponification value of any oil suggests that the oil may not be industrially useful. The high saponification value suggests that the oils contain high molecular weight fatty acids and low level of impurities. This suggests that the oil could be used in soap making industry [14-15].
**Table No.-1 Proximate analysis of Perilla frutescens seed**
| S.No. | Parameter | Result |
|-------|----------------------------|--------|
| 1 | Oil yield % | 40.1 |
| 2 | Carbohydrate content, % | 18.91 |
| 3 | Protein content, % | 18.12 |
| 4 | Moisture content, % | 6.90 |
| 5 | Ash content, % | 2.03 |
| 9 | Crude Fiber, % | 22.32 |
**Table No.2 chemical properties of Perilla frutescens seed oil**
| S.No. | Chemical properties | Result |
|-------|-------------------------------|--------|
| 1 | State at room temperature | liquid |
| 2 | Colour | Light yellow |
| 3 | Specific gravity (at 30°C) | 0.92 |
| 4 | Acid value (mgKOH/gm) | 1.59 |
| 5 | Iodine Value | 136.3 |
| 6 | Unsaponifiable matter %w/w | 1.6 |
| 7 | Saponification value | 185.3 |
Seed oils are composed primarily of triglycerides which are glycerol esters of fatty acids. GC-MS examination of *Perilla frutescens* seed oil (Fig.1, and Table 3) shows that it contains Palmitic acid 12.76%, Stearic acid 2.62%, Oleic acid 0.16%, Linoleic acid 15.40%, α-linolenic acid 66.58%, Arachidic acid 0.18%, Hexadecanoic acid, 14-methyl-, methyl ester 0.22%, 2,6-Heptadien-1-ol, 2,4-dimethyl 0.13%, Lilial 0.15% as major components. Linoleic acid (omega 6) and α-linolenic acid (omega 3) are essential fatty acids. Omega 3 fatty acids are necessary for human health but the body can’t make them so we have to get them through food, they play a crucial role in brain function (brain memory and performance), as well as normal growth and development and behavioral function. Research shows that omega-3 fatty acids reduce inflammation and may help lower risk of chronic diseases such as heart disease, cancer, and arthritis. In fact, infants who do not get enough omega-3 fatty acids from their mothers during pregnancy are at risk for developing vision and nerve problems. Symptoms of omega-3 fatty acid
deficiency include fatigue, poor memory, dry skin, heart problems, mood swings or depression, and poor circulation [16-18]. Another polyunsaturated fatty acid in the sample was Linoleic acid 15.40 % (omega 6). Research studies show that there should proper intake balance of omega 6 and omega 3 fatty acid. Omega 6 fatty acids are good for normal immune function and clotting but too much omega 6 fatty acid may promote abnormal clotting and overactive immune system [19].
**Table 3 Comparison of chemical composition of seed oil from *Perilla frutescens* L.(Dehradun) with various countries of the world**
| No. | Compounds | Present study (Dehradun) | India¹ | China² | Japan³ | Korea⁴ | Thailand⁵ |
|-----|----------------------------|--------------------------|--------|--------|--------|--------|----------|
| 1 | Myristic acid | - | - | 0.37 | - | - | - |
| 2 | Palmitic acid | 12.76 | 9.9 | 7.23 | 7.7 | 7.4 | 4.62 |
| 3 | Stearic acid | 2.62 | 2.33 | 2.89 | 3.8 | 3.6 | 0.37 |
| 4 | Oleic acid | 0.16 | 0.10 | 20.77 | 10.2 | 9.5 | 7.0 |
| 5 | Linoleic acid | 15.40 | 14.5 | 10.54 | 17.9 | 16.5 | 13.9 |
| 6 | α-linolenic acid | 66.58 | 68.6 | 52.58 | 60.4 | 63.0 | 40.8 |
| 7 | Arachidic acid | 0.18 | 0.10 | - | - | - | - |
| 8 | Cis-11-eicosenoic acid | - | - | 0.16 | - | - | - |
| 9 | Hexadecenoic (16:1) | - | 0.11 | - | - | - | - |
| 10 | Hexadecanoic acid, 14-methyl-, methyl ester | 0.22 | - | - | - | - | - |
| 11 | 2,6-Heptadien-1-ol, 2,4-dimethyl | 0.13 | - | - | - | - | - |
| 12 | Lilial | 0.15 | - | - | - | - | - |
Ref.
| Saklani et al 2011 [1] | Ding et al 2012 [20] | Bhandari et al 2011 [21] | Bhandari et al 2011 [21] | Kanchanamayoon and Chiang 2007 [22] |
On comparison of the chemical composition of *Perilla frutescens* seed oil with other study Table 3 myristic acid 0.37% only found in seed oil from China. Palmitic acid 12.76% found in present study followed by 9.9% in another study Saklani 2011 (India), then 7.7% (Japan), 7.4%b (Korea), 7.23% (China), and 4.62% (Thailand). In the case of Stearic acid maximum 3.8% is obtained from seed oil from Japan and minimum 0.37% seed oil from Thailand. The order of percentage of Oleic acid 20.7% (China), 10.2% (Japan), 9.5% (Korea), 7.0% (Thailand), 0.16% (present study) and 0.10 another study (India). Linoleic acid is 17.9% (Japan), 16.5% (Korea), 15.40% (present study), 14.5% another study (India), 13.9% (Thailand) and minimum 10.54% (China). The percentage of α-linolenic acid follows the order 68.6% (India), 66.58% (present study), 63.0% (Korea), 60.4% (Japan), followed China 52.58% and Thailand 40.8%. The variation in fatty acid composition as discussed above from different countries may be possible differences in climate, latitude, soil and growth conditions, which could affect the chemical components and growth form of Perilla [20].
**CONCLUSION**
Many of the physico-chemical properties studied of *Perilla frutescens* seed oil have very close similarity with other conventionally used oils and it is an important source of essential omega 3 fatty acid linolenic acid. Omega 3 fatty acid are necessary for human health but the body can’t make it. So *Perilla frutescens* seed oil is an important source of essential fatty acid such as Omega 3 and Omega 6. Comparison of chemical composition of *Perilla frutescens* seed oil with other study shows that there is variation in the fatty acid composition.
**REFERENCES**
[1] S. Saklani, S. Chandra, A.K. Gautam. *International Journal of Pharmacy Technology*, **2011**, 3(4), 3543-3554.
[2] H.Ueda, C.yamazaki, M.Yamazaki. *Biol. Pharm. Bull.*, **2002**, 25(9), 1197—1202.
[3] H. Takano, N. Osakabe, C. Sanbongi, R.Yanagisawa, K. Inoue, A.Yasuda, M.Natsume, S.Baba, E.Ichiishi, T.Yoshikawa T. *Exp. Biol. Med.*, **2004**, 229, 247-254.
[4] T.J. Ha, J.H. Lee, M.H. Lee, B.W. Lee, H.S.K.C.H. Park, K.B. Shim, H.T. Kim, I.Y. Baek, D.S. Jang. *Food Chemistry*, **2012**, 135, 1397–1403.
[5] L.N. Misra, and A. Husain. *Planta Medica*, **1987**, 53, 379-390.
[6] Vikram S. Negi, L.S. Rawat, P.C. Phondani and Abhishek Chandra *Environ. We Int. J. Sci. Tech.*, 2011, 6, 193-200
[7] A.O.A.C. Official Methods of Analysis. Association of Official Analytical Chemists. Washington D.C. 1990, 14th Edn., 801-805.
[8] H. Egan, R.S. Kirk, Sawyer, R. Pearson’s Chemical Analysis of Food., Churchill Livingstone Publishers London, 1981, 8th Edition, 507-547.
[9] Y. Hisil, Y., Instrumental Analysis Technique Ege Univ. Engineering Fac. Publ. Nu.55, Izmir, Turkey, 1988
[10] Gopalan, C, Sastri R.B. V. and Balasubramanian, S.C., Nutritive Value of Indian Foods. National Institute of Nutrition (Indian Council of Medical Research) offset Press, Hyderabad, India, 1971.
[11] J. O. Adelaja, Evaluation of mineral constituents and Physico-chemical properties of some oil seed. M.Sc. Industrial Chemistry. University of Ibadan, Ibadan., 2006.
[12] F.A. Dawodu. *Electronic journal of Environmental, Agriculture and Food Chemistry*. 2009 8 (2):102-110.
[13] K.A. William. Oils, Fats and fatty Foods, Elsevier Publishing Co., New York. 1966, 4th Edn., 88-122.
[14] H.G. Kirsehenbauer. Fats and Oil: An Outline of their Chemistry and Technology. Reinhold Publ Corp. New York, 1965, 2nd Edn. 160-161.
[15] I.A. Amoo, A.F. Eleyinmi, N.O.A. Illelaboye, S.S. Akoja. *Food, Agriculture and Environment*, 2004, 2(3) 8-39.
[16] W.S Harris, & W.L. Isley. *Current Atherosclerosis Reports* 3; 2001, 174-179
[17] C. Von Schacky. *American Journal of Clinical Nutrition* 71, 2000, 224-227.
[18] *Omega-3 fatty acids*. Downloaded from http://www.umm.edu/altmed/articles/omega-3-000316.htm
[19] M. Asif. *Orient Pharm Exp. Med.*, 2011, 11, 51–59.
[20] Y. Ding, C. Mokgolodi Neo, H.U. Yan, S.H.I. Lingling, M.A. Chao, L.I.U. Yu-Jun. *Journal of Medicinal Plants Research*, 2012, 6(9), 1645-1651.
[21] S.R. Bhandari, J.K. Lee, Y.S. Lee. *Korean J. Crop Sci.*, 2011, 56(3), 199-204
[22] W Kanchanamayoon, W.K. Chiang. *Mai J. Sci.* 2007, 34(2), 249-252.
|
<urn:uuid:dab5ea60-4540-4fc3-baaf-2a8b036fe864>
|
CC-MAIN-2018-22
|
https://www.derpharmachemica.com/pharma-chemica/physicochemical-properties-of-perilla-frutescens-seeds.pdf
|
2018-05-27T15:30:52Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-22/segments/1526794869272.81/warc/CC-MAIN-20180527151021-20180527171021-00001.warc.gz
| 733,667,469
| 6,052
|
eng_Latn
|
eng_Latn
| 0.682792
|
eng_Latn
| 0.956885
|
[
"eng_Latn",
"eng_Latn",
"unknown",
"mlt_Latn",
"eng_Latn",
"eng_Latn",
"dag_Latn"
] | true
|
docling
|
[
3182,
6898,
6961,
10015,
13438,
18000,
19978
] |
Statutory Document No. 2023/0044
MINIMUM WAGE (YOUNG WORKERS) REGULATIONS 2023 1
Approved by Tynwald:
21 February 2023
Coming into Operation in accordance with regulation 2
The Department for Enterprise makes the following Regulations under section 4(2) of the Minimum Wage Act 2001.
1 Title
These Regulations are the Minimum Wage (Young Workers) Regulations 2023.
2 Commencement
If approved by Tynwald , these Regulations come into operation on 31 March 2023.
3 Interpretation
In these Regulations —
"compulsory school age" has the meaning given by section 23 of the Education Act 2001;
"pay reference period" has the meaning given by regulation 10(1) of the principal Regulations;
"the principal Regulations" means the Minimum Wage Regulations 2001 1 ; and
"young worker" is a person who is no longer of compulsory school age but has not attained the age of 18.
4 Application
These Regulations apply only in relation to a pay reference period beginning on or after 1 April 2023.
1 SD 2001/0397.
c
5 Rates of the minimum wage for young workers
Subject to regulation 12 of the principal Regulations, the hourly rate of the minimum wage applicable to a young worker is £8.05.
6 Revocation
The Minimum Wage (Young Workers Etc) Regulations 2022 2 are revoked.
MADE 26 JANUARY 2023
2 SD No. 2021/0390.
ENDNOTES
Table of Endnote References
1 The format of this legislation has been changed as provided for under section 75 of, and paragraph 2 of Schedule 1 to, the Legislation Act 2015. The changes have been approved by the Attorney General after consultation with the Clerk of Tynwald as required by section 76 of the Legislation Act 2015.
c
|
<urn:uuid:0e949d23-2552-47a4-a4a2-27896272a64c>
|
CC-MAIN-2023-14
|
https://legislation.gov.im/cms/images/LEGISLATION/SUBORDINATE/2023/2023-0044/MinimumWageYoungWorkersRegulations2023_1.pdf
|
2023-03-28T12:20:11+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-14/subset=warc/part-00030-39c03058-7d78-443d-9984-102329513e3d.c000.gz.parquet
| 409,378,454
| 415
|
eng_Latn
|
eng_Latn
| 0.9669
|
eng_Latn
| 0.966012
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1014,
1320,
1666
] |
USER'S MANUAL
+ starter scores
soUNDtext
WORD PROCESSOR
GAUSS PDF
soUNDtext
User's Manual by Tom Comitta with Samantha Boudrot
Published by Gauss PDF in 2015
soUNDtext User's Manual and soUNDtext word processor are both licensed by Tom Comitta under a Creative Commons AttributionNonCommercial-ShareAlike 3.0 Unported License.
This book was first published along with the soUNDtext word processor by calmaplombprombombbalm.com in 2011.
www.gauss-pdf.com
TABLE OF CONTENTS
TABLE OF CONTENTS
3
TABLE OF CONTENTS
4
INTRODUCTION
INTRODUCTION
WELCOME to soUNDtext
You have just downloaded a most powerful tool for composition and performance. The soUNDtext word processor represents the latest in the word processing technology. soUNDtext has been designed with the idea of giving better soUND to your text, and better control of it, than has previously been available in a word processor.
soUNDtext generates the soUNDs of real text. Actual voices have been digitized, stored as soUNDfonts, and are available at the drag of a file. soUNDfonts can be recorded by anyone, stored as a soUNDfont folder, and played at an infinitude of speeds, rhythms, and texts---in short, any soUNDtext combination that you can imagine you can create with soUNDtext. And after you've started making soUNDtexts you can save them for future use.
With soUNDtext you can record your creations: click REC FOLDER, name your file, then click REC to Record your soUNDtexts. But there's more to it than that. There are features incorporated into soUNDtext that give you more control over your soUND and text than a typical word processor allows. We recommend that you familiarize yourself with these features in order to get the most out of your soUNDtext.
soUNDtext can make most any soUNDtext that a human soUNDtexter can create. In fact, this sonic and textual flexibility of soUNDtext creates a new dilemma for the user: exactly WHAT makes a good sound, text, or soUNDtext? It is not within the scope of this manual to try to answer this question, but if you're not a soUNDtexter already, we strongly suggest spending some time reading, listening to, and studying the rhythms of your favorite soUNDs, texts, and soUNDtexts. Listen to where the words are and where they're NOT, where the accents are, when the beat is pushed or swung. If your word processor soUNDs cold and robot-like, it's because you've programmed it that way. It takes a good sense of soUND and text to create soUNDtexts that really breathe.
Experiment! You'll never know what you'll discover.
Diagram 2: soUNDcenter
=
=
=>soUND PITCH BOX:
To start, click and type
"1" (see soUNDleft or right for number value notes)
=> KEYBOARD soUNDfont DROP BOX:
Drag and drop the folder of the soUNDfont you want to use with
the KEYBOARD
Diagram 3: soUNDright
GETTING AROUND
GETTING AROUND
TEXT BOX cont.
soUNDfonts
Looping
A sample of typed text can be looped by copying and repeatedly pasting it.
Muting
TEXT BOX soUND can be muted by clicking the L or R CONTROL BOX off.
X = on
Blank = off
Un-Muting
To un-mute a TEXT BOX:
1. Re-click the L or R CONTROL BOX
2. Click the soUND OUT button
soUNDtext comes with the following soUNDfonts found in the soUNDfont folder:
D-fault / Tom Comitta U Q Y / Samantha Boudrot and ukulele Cats and Frogs / Cats and Frogs Watermark / Tom Comitta's mouth
Tuning
The pitch of each voice can be tuned by adjusting the soUND PITCH controls located beside and below the TEXT BOXES and KEYBOARD ACCESS BOX:
0 and below = stopped .01 to .99 = low 1 = original 1.01 and up = high
Changing soUNDfonts
soUNDfonts can be changed by simply dropping a different soUNDfont folder into the DROP BOX below the intended TEXT BOX or KEYBOARD ACCESS BOX.
soUNDfonts cont.
Making a soUNDfont
See the “MAKING A soUNDfont” section for an explanation of how to create your own soUNDfont.
RECORDING
To record your soUNDtexts live:
1. Click the REC FOLDER button
2. Choose your soUND file destination and name the soUND file
3. Click the REC I/O box to start recording
X = start Blank = stop
Note: You can simultaneously record soUNDtext from the KEYBOARD and both TEXT BOXES.
RESET
To reset text inputted into the TEXT BOXES:
1. Click the RESET button in the bottom right-hand corner
TROUBLESHOOTING
See the “TROUBLESHOOTING” section for problems with your soUND, text, or soUNDfonts.
GETTING STARTED GETTING STARTED
soUNDscores
Now that you've found your way around, here are some introductory soUNDscores to get you started:
1. Select a soUNDfont by dragging a soUNDfont folder into the intended DROP BOX
2. Hand-type, copy and paste, loop, mash-up, edit, and erase these texts and more—write your own!
Note: If you are reading this manual as a PDF you can literally select text found here, copy, and paste them into a soUNDtext TEXTBOX.
For consideration in a soUNDscore anthology, email your own scores to [email protected].
alphabetical test 1
type t h e q u i c k b r o w n f o x j u m p s o v e r t h e L A Z Y d o g & T H E Q U I C K B R O W N F O X J U M P S O V E R T H E l a z y D O G
alphabetical test 2
the hungry purple dinosaurate the kind, zingy foz,the jabbering crab,and the MAD whaleand started vendingand quackin g&
THE HUNGRY PURPLE DINOSAURATE THE KIND, ZINGY FOZ,THE JABBERING CRAB,AND THE mad WHALEAND STARTED VENDINGAND QUACKING
GETTING STARTED
text twister 1
SHE SPELLS SEA SHELLS LIKE THUS SEA SHORE SNORES AS
(repeat)
GETTING STARTED
text twister 2
```
||: sheep sells sleep smells :||
```
text twister 3
```
IF IF = THEN THEN THEN = ELSE ELSE ELSE = IF;
```
The Four Seasons
text palate for text box and keyboard
sSpPrRiInNgG
sSuUmMmMeErR
aAuUtTuUmMnN
wWiInNtTeErR
Two Seasons for D-fault
for text box:
SUMMERSUMMERSUMMERSUMMITSUMMERSU MMERSUMMERSUMMITSUMMERSUMMERSUMM ERSUMMITSUMMERSUMMERSUMMERSUMMITS UMMERSUMMERSUMMERSUMMITSUMMERSUM MERSUMMERSUMMITSUMMERSUMMERSUMME RSUMMITSUMMERSUMMERSUMMERSUMMITSU MMERSUMMERSUMMERSUMMITSUMMERSUMM ERSUMMERSUMMITSUMMERSUMMERSUMMER SUMMITSUMMERSUMMERSUMMERSUMMITSU MMERSUMMERSUMMERSUMMITSUMMERSUMM ERSUMMERSUMMITSUMMERSUMMERSUMMER SUMMITSUMMERSUMMERSUMMERSUMMITSU MMERSUMMERSUMMERSUMMITSUMMERSUMM ERSUMMERSUMMITSUMMERSUMMERSUMMER SUMMIT . . .
for keyboard: W I N T E R
with variation
Cybirg for U Q Y
soUND PITCH = 6
text = anything
GETTING STARTED
beat 1 for Watermark by Samantha Boudrot
GETTING STARTED
lines
```
_=+wWETYI[]\|AFHkKlLzZxXvVNM<>/#4^*- _=+wWETYI[]\|AFHkKlLzZxXvVNM<>/#4^*- _=+wWETYI[]\|AFHkKlLzZxXvVNM<>/#4^*- _=+wWETYI[]\|AFHkKlLzZxXvVNM<>/#4^*- _=+wWETYI[]\|AFHkKlLzZxXvVNM<>/#4^*- _=+wWETYI[]\|AFHkKlLzZxXvVNM<>/#4^*-
```
curves
~369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~36 9(0)oOsScC~369(0)oOsScC~369(0)oOsScC~369(0) oOsScC~369(0)oOsScC~369(0)oOsScC~369(0)oO sScC~369(0)oOsScC~369(0)oOsScC~369(0)oOsSc C~369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~ 369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~369 (0)oOsScC~369(0)oOsScC~369(0)oOsScC~369(0)o OsScC~369(0)oOsScC~369(0)oOsScC~369(0)oOs ScC~369(0)oOsScC~369(0)oOsScC~369(0)oOsSc C~369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~ 369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~369 (0)oOsScC~369(0)oOsScC~369(0)oOsScC~369(0)o OsScC~369(0)oOsScC~369(0)oOsScC~369(0)oOs ScC~369(0)oOsScC~369(0)oOsScC~369(0)oOsSc C~369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~ 369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~369 (0)oOsScC~369(0)oOsScC~369(0)oOsScC~369(0)o OsScC~369(0)oOsScC~369(0)oOsScC~369(0)oOs ScC~369(0)oOsScC~369(0)oOsScC~369(0)oOsSc C~369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~ 369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~369 (0)oOsScC~369(0)oOsScC~369(0)oOsScC~369(0)o OsScC~369(0)oOsScC~369(0)oOsScC~369(0)oOs ScC~369(0)oOsScC~369(0)oOsScC~369(0)oOsSc C~369(0)oOsScC~369(0)oOsScC~369(0)oOsScC~
GETTING STARTED
para-alpha-textus test 1
@#*&%(#@%*&@#($712)(&!()&_%(#(*%&#@($*&_ )!*#+!$*!@+%(*@#_)%&($#)^@#_)$(&!@)_$(^%_#$ *(%^)_*$&)_(~*+!#)(*!%()_@#^*%)#(@%^!@(&#*~_) !!*~#_)@~!(*&$_)#!@&^%_)&$%_(@#%^@_#)75)& _)&)*%)_#&^)#&$+!+!)~(#*~_)!^%(#^)&+)%*=)8)&(^+ ^7=05*+*!+_~*+~*#)(!@&^%_(*#%^#@)%(&@)+*=+ $*!@+($&#@)%^&~+)!*$+!)@(&%*(_@#%^)$#^%# @)($*@+$81=047`+)&+~)*$@+)%&(+*%+)#&^+)*$^ &#+$)*$+)(&!@+$)&^~+@^$2395620%^)+%#&_@# %*)^(*%^!~+#~!)(#*@#%)(^$%(&$^#%*&#$(@!&#*! @#(!~_#0*~!)^$(^!(^(*%&_%+$+)(!~*#(@*!@^$()@# %^($%&#(*$*!@_#*~#+~@#)@!(*$()#@&%(*#@%^ @#(%*&!@(*#&~_~+!@+)@$#(&%(*^@(*&&*&_&% #()%*^&_@$&2~!@)&%(@#%*&_#@%@#$++$!@+ +~!&#%@(*&#@%)7(_&)_*%)(#%*)~&*+@#&^_)*&$ ^)#$+@+~_!@5780(&)&0)(%&#*7029357)(*+%*$+)( %&$~)*##~+(!)&%)*&^%)_^$&+@+~+#~)%&)(@*)(! @&$~#*()~!&%)&)(@$+==+)(!@*$)#%&(*$~&~)(%() &)(&)^(&)^($)~+!5*!@*)%(&!@)&$@)~*!@%*#%)&@ _+*!*$)(@!*#$!@)&%0)(&)(!@)(*$#()%(*$)&#^()&$+^ ++^+^*^()+(&)!$+&(!&((~~@&()%^(#@*&%0237*%^) #@3)%)!+!*~)152564)#%*+)(#*$!+@)#*!@+)(%*#@) _^&)*#)@!*+%$*)($*=0(*+)*%#)(*%)(+%@#)*%!@% *!(*^&#)(%*&#%(&*_)*_)!@$&*^%(*!@+8104=#_=(!
para-alpha-textus test 2
'"::"{}|}\[\|][\[\]{\]{\|}{\/>./</?</.,/>?><":"';':"|][]\][\][|[\]{\][\][ |}{\}|}|?<>/.,//././/.,.';;'}{|\}}|[\]{\[\][\]|}[}||}[|}{\.,./,/?<?></>: ":'';';';":{}}{|\]\]]\[{\[}|][\[\][|}[\][\][\][|}{|}{|}{|}{\[}|{{}|}{|[|}?/.,./ >/>?>?,/>?>?../?<>?>/.,/":'":';";";;";";':':';';][\[\}[\][\][\]{|}[| }[|}[|]{|?,?.,?.,./</.</.</><?>,?>,/.,/>./>,/..,]\[|}[|][\]{\}[|[\] ?>,.?./,?.</>,?></>,?>,/><?>,}{|}}{|[|}[\]:"';';';';[]{}|[\[\]}|[} |}|[|}{}|}{|}[\{|}[|[\]{/</.<?>,?>,/.,?.,,.//./,,.//.,,././,';:":":';';;:"{ }}|}|[\[[]\\]{||[\|[]}|}|]\[\]/../,/./.<?>,/>,.//,/.,./,?>./,,/.>?<?>:; ;'":]|}[{}[|\]}[||[}|'';][{}|}{[]\[\{}|][\?/,./?>>?{{}\]\[{|\[[\\/.,/?></ .,/??<?}{|{}\]/?,?>,;'":;';;';::":":;'<>/,/.,/<?><>?<?><>,./? ,/?<.?:":";';';';;]\\]|]|}]|\]\]../?<><?:":":":;";';':"';';;';'';":":":":": ;',./,.>,/?><<>?/,.,./,./>??>?<,./,/.:';[]}|{{|}|{[]|][\[]\[]\<>? ><,>?.,/./<>??>?>}|\][]\\[]{||}[]\[\][';;'';';\][\]{\:";":":;';{|}[]\][| ][|]\/.<<??:"';;';':":":"<<.?><./>?<?;;;'';":>>?,?>/.<:;';':",/, ..,//>;;';''';,./.?:"';}[|}|}|{}[]\][\]\[\??<>,./>?<<>?/,./,,././<>? :";'{}{}|]\[[]\[]\}{|}{|][\]\\]]{}|{}|./,/,.,/./.<;';';';';';';'';;'':":<,./,.//,. ;';'.,,>?/.</><?>,?><]\||}|}\]\</>,//<;';'';:"]\|}}|[\]]\[|{}|{}|\\[> <?>./;';';'::":";';';''',./,/./.,./,./>?<:"}{][|{{|}][\][\[]\][\}||}}|{\][.,. /?>/::":":":;';'''':';":;'{}|]\\][\{}|[]\[]\[\]\[]]\[]\[\][|}[|}\][\][;:"':;',.,/. ,.//.[\][]\|][|}{?/.>][\]{\]{;';/.>>?<,././,/?.,?><>?;'";';';';,.//,.,./ ./,,//,.|}\]\]<,.//../,,/,././.<.<?>,?,/,./;';'';';;';'[]\][\\][{|}{}|}|{?>, .//,.;';'][{}|{}|{}|[}|{}|][\}|{\][[\[]\}[|}[\]{|}[|[}.?/.,./<?/,::"';;';';'';'; ;'';}{][[{\{}|{}||{}\[],,./?.<?>?<>:":":";";';'<>/.,,?.,?;';';';';';'":;' :"":"<.,,./,./,/]\{[\]\][\],,/,/.,./;';';'[]\]{}|]\[]\]\,./<>?.,/,.;'":]\]\\]\] \]}\|}./,/.?.,;'\\[][\]]\[./,,././,./>?:"::"[]\|}{{|{}|\<>><??><:"::< ><>?<>>??.?>,./||}}||{}|{}|}{|{}|}{|>?,././?>?<??>>>/''':.'
GETTING STARTED
_________________________________________
one to one thousand
123456789101112131415161718192021222324252 627282930313233343536373839404142434445464 748495051525354555657585960616263646566676 869707172737475767778798081828384858687888 990919293949596979899100101102103104105106 107108109110111112113114115116117118119120 121122123124125126127128129130131132133134 135136137138139140141142143144145146147148 149150151152153154155156157158159160161162 163164165166167168169170171172173174175176 177178179180181182183184185186187188189190 191192193194195196197198199200201202203204 205206207208209210211212213214215216217218 219220221222223224225226227228229230231232 233234235236237238239240241242243244245246 247248249250251252253254255256257258259260 261262263264265266267268269270271272273274 275276277278279280281282283284285286287288 289290291292293294295296297298299300301302 303304305306307308309310311312313314315316 317318319320321322323324325326327328329330 331332333334335336337338339340341342343344 345346347348349350351352353354355356357358 359360361362363364365366367368369370371372
26
373374375376377378379380381382383384385386 387388389390391392393394395396397398399400 401402403404405406407408409410411412413414 415416417418419420421422423424425426427428 429430431432433434435436437438439440441442 443444445446447448449450451452453454455456 457458459460461462463464465466467468469470 471472473474475476477478479480481482483484 485486487488489490491492493494495496497498 499500501502503504505506507508509510511512 513514515516517518519520521522523524525526 527528529530531532533534535536537538539540 541542543544545546547548549550551552553554 555556557558559560561562563564565566567568 569570571572573574575576577578579580581582 583584585586587588589590591592593594595596 597598599600601602603604605606607608609610 611612613614615616617618619620621622623624 625626627628629630631632633634635636637638 639640641642643644645646647648649650651652 653654655656657658659660661662663664665666 667668669670671672673674675676677678679680 681682683684685686687688689690691692693694 695696697698699700701702703704705706707708 709710711712713714715716717718719720721722 723724725726727728729730731732733734735736
737738739740741742743744745746747748749750 751752753754755756757758759760761762763764 765766767768769770771772773774775776777778 779780781782783784785786787788789790791792 793794795796797798799800801802803804805806 807808809810811812813814815816817818819820 821822823824825826827828829830831832833834 835836837838839840841842843844845846847848 849850851852853854855856857858859860861862 863864865866867868869870871872873874875876 877878879880881882883884885886887888889890 891892893894895896897898899900901902903904 905906907908909910912913914915916917918919 920921922923924925926927928929930931932933 934935936937938939940941942943944945946947 948949950951952953954955956957958959960961 962963964965966967968969970971972973974975 976977978979980981982983984985986987988989 9909919929939949959969979989991000
money
GETTING STARTED
bunny
beat 2 by Samantha Boudrot
thththththththTHTHTHTthththththththTHTHTHTththth ththththTHTHTHTthththththththTHTHTHTthththththth thTHTHTHTthththththththTHTHTHTthththththththTH THTHTthththththththTHTHTHTthththththththTHTHT HTthththththththTHTHTHTthththththththTHTHTHTtht hthththththTHTHTHTthththththththTHTHTHTththththt hththTHTHTHTthththththththTHTHTHTththththththth THTHTHTthththththththTHTHTHTthththththththTHT HTHTthththththththTHTHTHTthththththththTHTHTH TthththththththTHTHTHTthththththththTHTHTHTthth thththththTHTHTHTthththththththTHTHTHTththththth ththTHTHTHTthththththththTHTHTHTthththththththT HTHTHTthththththththTHTHTHTthththththththTHTH THTthththththththTHTHTHTthththththththTHTHTHTt hththththththTHTHTHTthththththththTHTHTHTthththt hthththTHTHTHTthththththththTHTHTHTththththththt hTHTHTHTthththththththTHTHTHTthththththththTHT HTHTthththththththTHTHTHTthththththththTHTHTH TthththththththTHTHTHTthththththththTHTHTHTthth thththththTHTHTHTthththththththTHTHTHTththththth ththTHTHTHTthththththththTHTHTHTthththththththT HTHTHTthththththththTHTHTHTthththththththTHTH THTthththththththTHTHTHTthththththththTHTHTHTt hththththththTHTHTHTthththththththTHTHTHTthththt hthththTHTHTHTthththththththTHTHTHTththththththt
GETTING STARTED
honey
MAKING A soUNDfont MAKING A soUNDfont
INTRO
Making your own soUNDfont is easier than it may seem. All you'll need is a way to record and edit digital sound. But first, here's some foundational information to get you started:
A soUNDfont is a collection of 95 soUND files that soUNDtext reads to translate these visual characters into soUND characters.
These 95 soUND files are contained in a soUNDfont folder.
Behind the Scenes
The soUNDtext program uses a simple system to translate visual characters into soUND characters:
1. Each character you input into the program, either in the TEXT BOXES or KEYBOARD, is read as an ASCII number (ASCII = American Standard Code for Information Interchange). For example, "a" is read as "97" and "A" as "65".
2. The program assigns each ASCII number to a soUND file that is then played aloud. For example, "97" becomes "66.aif" and "65" becomes "34.aif".
By using the soUNDfont key on page 35, you will be able to organize this translation yourself. Note that the ASCII number is not included in the key—soUNDtext takes care of this for you.
To make a soUNDfont, you first need to conceptualize the dynamics of your font:
Will it attempt to mimic or ignore the visual characters? Will it clarify or confuse the language? Will you use original or found soUND? Will it be bold? Italic? Will it have a serif? What is a soUND serif? And so on.
soUNDfont PREP
MAKE A soUNDfont
soUNDfont KEY
Once you've conceptualized your soUNDfont, follow these steps to create it:
1. Record or collect the soUND via field recorder, Internet download, microphone + soUND recording program (like ProTools) and other means
2. Compile a 95-file soUNDfont folder using the soUNDfont key
3. Test your soUNDfont by dragging the entire 95-file soUNDfont folder into a DROP BOX in soUNDtext
4. Make any necessary changes to the soUNDfont files and folder
5. Make soUNDtexts with your very own soUNDfont!
6. Share your soUNDfonts by emailing [email protected]
Note: For your soUNDfont to "line up" correctly with the keyboard, it is imperative that you follow the soUNDfont key on the opposite page.
The soUNDfont key found opposite this page will assist you in compiling a soUNDfont folder.
How to read the soUNDfont key:
The "Character" column contains every visual character in the standard ASCII range (the entire English keyboard).
The "File Name" column contains the names you need to give your soUND files to ensure your soUNDfont lines up with the visual characters as you have intended.
The "Your soUND" column is left blank for your personal note-taking.
Note: To play properly, your soUNDfont folder should contain all 95 files with the correct File Names.
soUNDfont key
MAKING A soUNDfont
MAKING A soUNDfont
MAKING A soUNDfont
MAKING A soUNDfont
TROUBLESHOOTING
TROUBLESHOOTING
soUND
TEXT
Global
If you cannot hear any soUND, make sure:
1. You have read the "GETTING AROUND" section
2. The MASTER soUND is on (Blue = on)
3. The L or R CONTROL BOX or KEYBOARD ACCESS BOX is clicked on (X = on)
If you still cannot hear any soUND, make sure:
1. The soUND PITCH is anything above "0"
2. The VOLUME is high enough
3. You've dropped a soUNDfont into the DROP BOX
KEYBOARD
If you cannot hear KEYBOARD soUND, make sure you're clicked outside of the TEXT BOXES.
TEXT BOXES
If certain texts stop while playing, the reasons could be:
1. You've input characters that soUNDtext cannot read
1.a. This can be a problem sometimes if you copy and past text from other programs because different programs format text in different ways (For example, a single quotation mark from Microsoft Word is not read by soUNDtext because Word's default quotation mark falls outside of soUNDtext's ASCII range)
2. You have inputted a long strain of numbers without any breaks
To get your TEXT moving again click and double click the soUND OUT button (above the MASTER soUND).
soUNDfonts
WHEN IN DOUBT
TROUBLESHOOTING
If you have made a soUNDfont folder and it does not "line up" correctly with your keyboard, make sure:
1. The first nine files are labeled with zeroes in front. For example, "01.aif" and "09.aif" instead of "1.aif" and "9.aif"
2. Your soUNDfont files correspond to their visual, textual component: the keys of the keyboard
Use the soUNDfont key in the "MAKING A soUNDfont" section to organize your soUNDfont file.
Restart:
1. Close soUNDtext
2. Open it again
42
42
|
<urn:uuid:d3ec0bb7-ef03-4158-90f1-fe7cd58d5fa2>
|
CC-MAIN-2017-26
|
http://dl.gauss-pdf.com/GPDF170-TC-SUM.pdf
|
2017-06-22T11:58:35Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-26/segments/1498128319265.41/warc/CC-MAIN-20170622114718-20170622134718-00400.warc.gz
| 131,276,618
| 7,445
|
eng_Latn
|
eng_Latn
| 0.525877
|
eng_Latn
| 0.472422
|
[
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"zxx_Latn",
"zxx_Latn",
"eng_Latn",
"zsm_Latn",
"zxx_Latn",
"swe_Latn",
"unknown",
"unknown",
"unknown",
"zxx_Latn",
"zxx_Latn",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"goh_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"eng_Latn",
"eng_Latn",
"unknown"
] | false
|
rolmOCR
|
[
69,
463,
504,
526,
2562,
2802,
2825,
2857,
3758,
4399,
4957,
5144,
5405,
5501,
5647,
5760,
6321,
6373,
6390,
6432,
6687,
7762,
8848,
10768,
11886,
13005,
13815,
13822,
13846,
15068,
15092,
16509,
17813,
17828,
17848,
17868,
17888,
17908,
19023,
19531,
19539
] |
Cycle Electric Inc manufactures the DGV-2569 model 65A 12 volt and DGV-2578 model 61 6-volt generators to Harley-Davidson specifications for restoration purposes.
The Importance Of Proper Regulation
The model 65A is rated at 10 amps and the model 61 at 15 amps. They are both capable of producing 20-30 amps. The reason they are designed to be able to put out 300 percent of rated output is for a better low speed output. If you draw 20 amps out of a 10-amp generator it will overheat and burn up. That is why it is very important to have a properly working current limiting regulator to restrict amperage draw on the generator to (10 amps on the 65A, 15 amps on the 61 model). Improper regulation may cause generator damage not covered under warranty.
The Cycle Electric DGV-2569 generator is covered by a 1-year warranty on workmanship and material defect.
For a full 2-year guarantee use the Cycle Electric Inc. DGV-5000 generator with built-in regulator.
CAUTION!!
Improper gear fitting will cause shaft damage not covered warranty!
The gear should be a press fit on the armature shaft. If you can slide your gear all the way on and off by hand, it is too loose.
The inside bore of the large end of the gear should be no larger than .5190. The generator shaft should be .5191 to .5199. This makes a light to moderate press fit.
There are a lot of oversized after market gears that fit loose on the shaft. A loose gear will slide and rock back and forth on the shaft. The gear is harder than the shaft. A loose gear will wear out the generator armature shaft. Use original stock gear whenever possible.
GENERATOR INSTALLATION
1) Install gear.
A) Install oil deflector on shaft. HD # 31035-58
B) Slide gear on shaft with large end toward bearing. The gear is a press fit but should slide on just far enough to start engagement of splines. Check that splines on gear are lined up with splines on shaft. Install appropriate washer on top of gear depending on model of motor. Install 5/16 24-lock nuts on shaft. Hold gear with pliers and tighten nut. This will draw the gear down against the oil deflector. Tighten nut until oil deflector will not spin without gear spinning also.
2) Install chrome end cover if used.
A) Use a suitable stand to support the generator with shaft end sticking down.
B) Remove the two ¼-24 nuts from frame screws.
C) Install end cover mounting bracket and reinstall ¼-24 nuts.
D) Install chrome cover.
3) Check length of mounting bolts. Insert a mounting bolt in engine case and measure from the gasket surface to end of threads. The threads should stick out between 7/16 and ½ from gasket surface.
3) Install new gasket and install generator on motor.
www.cycleelectricinc.com
MODEL 65A GENERATOR WITH 1 YEAR WARRANTY
Failure to follow these instructions will void the warranty. This generator requires a regulator that regulates current and voltage. Improper regulation will cause generator failure (i.e. burnt, fried, smoking armature).
**Not Covered Under Warranty.** The model 65A 12 volt generator is rated at 10 amps. It is capable of producing 25 to 30 amps; However, if you draw 20 amps out of a 10 amp generator it will burn up within 20 minutes. It is the regulators job to limit the amps from the generator to 10 amps. We recommend testing your regulator before installing a new generator. Some regulators do not regulate amps. **DO NOT USE THESE.** To insure proper regulation we recommend using a Cycle Electric Regulator.
|
<urn:uuid:38d469f0-7dd0-4b9b-9626-a2a1e502c111>
|
CC-MAIN-2021-49
|
https://img.jpcycles.com/staticwebfiles/instructions/pdf/381-305.pdf
|
2021-12-06T23:17:29+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00107-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet
| 370,253,473
| 806
|
eng_Latn
|
eng_Latn
| 0.997792
|
eng_Latn
| 0.997818
|
[
"eng_Latn",
"eng_Latn"
] | false
|
docling
|
[
2738,
3500
] |
Elite® heat pumps come appointed with:
Precision-balanced, direct drive fan to keep the noise low and the savings high
Reinforced with a PermaGuard™ cabinet for long-lasting protection against rust and corrosion
SmartHinge™ coil protection for easy coil cleaning
Softer lines create an appliance-like appearance
Cabinets built using superior materials and proprietary designs make Lennox® units more durable, safer and easier to install
Dual-fuel compatible with Lennox furnaces for added cost savings
| Feature | XP20 | EL18XPV | EL16XP1 |
|--------------------------------|-------------------------------|------------------------------|------------------------------|
| Energy Efficiency | Up To 20.00 SEER 10.00 HSPF | Up To 18.00 SEER 10.00 HSPF | Up To 16.00 SEER 9.50 HSPF |
| Stages Of Cooling | Variable-Capacity Inverter Compressor | Variable-Capacity Inverter Compressor | Single-Stage Compressor |
| ENERGY STAR® Certified | Most Efficient 2021 | ✓ | ✓ |
| Sound Rating* | As Low As 65 dB | As Low As 73 dB | As Low As 71 dB |
| Quantum™ Coil | | ✓ | ✓ |
| Removes Humidity From The Home | Highest Removal Rate | Highest Removal Rate | High Removal Rate |
| Digital-Ready Unit | | ✓ | |
| iComfort™-Enabled Option | ✓ | ✓ | |
| 10-Year Limited Warranty On Compressor | ✓ | ✓ | ✓ |
| 5-Year Limited Warranty On Covered Components | ✓ | ✓ | ✓ |
Contact your local utility company to determine if there are available rebates.
* Equivalent to the sound of an average vacuum cleaner at 70 dB.
For a full list of product details and warranty information, visit Lennox.com/terms-and-conditions.
Heating Seasonal Performance Factor (HSPF)
A heating efficiency rating for heat pumps. A higher-rated HSPF heat pump will result in less energy use and increased energy savings over the life of the system.
Seasonal Energy Efficiency Ratio (SEER)
This rating determines a heat pump’s efficiency. The higher the SEER rating, the more energy-efficient it is.
Digital-Ready Unit
A unit that maximizes its efficiency with digital communication features when paired with the iComfort S30 and other iComfort®-enabled components. On its own, it’s remarkably efficient, compact and quiet—and ready to step up to a fully digital system at any time.
ENERGY STAR® Certified
HVAC equipment with the ENERGY STAR label meets or exceeds federal guidelines for energy-efficient performance.
10-Year Limited Warranty on Compressor
All Elite models come with a 10-Year Limited Warranty on the compressor.
Dual-Fuel Compatibility
An HVAC system that pairs an electric heat pump with a gas furnace and alternates between the two fuel sources to maximize comfort and efficiency.
Quantum™ Coil
Our exclusive coil is made from a proprietary aluminum alloy for improved resistance to corrosion, resulting in improved performance and energy savings.
iComfort®-Enabled Option
An iComfort-enabled product is designed to work with an iComfort smart thermostat as part of an advanced home comfort system. This is a truly digital product that offers unprecedented control, giving you the ability to more precisely maintain temperature, humidity, and air quality compared to older analog systems.
5-Year Limited Warranty on Covered Components
Covered components may be eligible to receive a 10-year warranty. Online equipment registration at lennoxregistration.com is required within 60 days of installation (except in California and Quebec) or Lennox’ base warranty will apply. Applies to residential applications only. See actual warranty certificate for details.
How does single-stage, two-stage & variable-capacity work?
72° Single-Stage
Unit is either on or off, creating wide temperature swings.
72° Two-Stage
Unit runs at either low or high speed, using the lower speed 80% of the time.
72° Variable-Capacity
Unit runs at low most of the time, using only the amount of energy necessary to meet comfort need.
|
000600cd-a350-4138-9f21-92a8c067a68c
|
CC-MAIN-2022-27
|
https://www.arpis.com/wp-content/uploads/ELITE_HP.pdf
|
2022-06-26T04:20:36+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-27/subset=warc/part-00074-48f675b2-7fd4-43af-adb3-2a4ea7f82193.c000.gz.parquet
| 694,256,050
| 883
|
eng_Latn
|
eng_Latn
| 0.992933
|
eng_Latn
| 0.992427
|
[
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
2331,
4627
] |
Rethinking Corporate Social Engagement
Lessons from Latin America
Lester M. Salamon
In 1961, President John F. Kennedy launched a bold "Alliance for Progress" seeking to enlist moderate governments in Latin America behind a program of progressive reforms. Within 12 years, however, this effort was disbanded as political priorities in both the U.S. and Latin America shifted.
More than three decades later, the Inter‐American Foundation, a small U.S. government agency, launched a second alliance for progress in the Latin American region, this one seeking to forge ties between Latin American businesses and the region's growing civil society sector. Fifteen years later, this second alliance for progress has become a powerful force. In this new book, Lester M. Salamon, one of the foremost experts on civil society, assesses the reality behind the "corporate social engagement (CSE)" hype in Latin America.
May 2010 176 pages / 6x9 Paper: US $21.95 978 1 56549 313 1
Rejecting the "MBA approach" that has dominated much of the thinking about CSE globally as inadequate for a region like Latin America, Salamon posits what he terms the "corporate social engagement pyramid" and finds that many advanced Latin American companies have moved fairly far up this pyramid in ways that hold lessons for corporations everywhere. Brief and highly readable, the book offers a constructive critique of received wisdom about CSE and a roadmap that companies and civil society organizations in other regions can follow.
Lester M. Salamonis Director of the Center for Civil Society Studies, the Institute for Policy Studies at Johns Hopkins University. He is the author or editor of over a dozen books, including The State of Nonprofit America(Brookings Institution Press, 2002),The Tools of Government: A Guide to the New Governance(Oxford University Press, 2002), and Global Civil Society: Dimensions of the Nonprofit Sector, Vol. 2(Kumarian Press, 2004).
"Provides the reader with a greater understanding of the need and potential for cross‐ sector collaboration with civil society in this dynamic region."
‐ Manuel Arango, Founder, Mexican Center for Philanthropy
"Adds significantly to our understanding of the cultural and social factors that shape how and why corporations chose to engage with social issues, and in doing so, makes an important contribution to the literature on the global spread of corporate social responsibility."
‐ David Vogel, Haas School of Business, University of California, Berkeley
"Covers one of the most essential, underdeveloped tools with which private businesses can enhance the quality of life in Latin America."
‐ Antonio Vives, Principal Associate at Cumpetere
"A timely and illuminating exploration of business engagement in Latin America's recent development pathway."
‐ Simon Zadek, Visiting Senior Fellow, Kennedy School of Government, Harvard University
"A cohesive, lively, one‐of‐a‐kind narrative detailing the practices, progress and potential of Latin American corporations, including many IAF partners, in their exercise of social responsibility."
‐ Ambassador Larry Palmer, President, Inter‐American Foundation
Kumarian Press is a forward‐looking, scholarly press that promotes active international engagement and an awareness of global connectedness.
Kumarian Press / PO Box 605 / Herndon, VA / 20172‐0605/ USA [email protected]/ 800‐232‐0223
Order inEuropefrom Eurospan:
www.eurospanbookstore.com
PO Box 605 Herndon, VA 20172‐0605
Phone: 800.232.0223
Fax: 703.661.1501
www.kpbooks.com
Phone: +44 (0) 1767 604972
Name________________________________________________________________________________
Organization__________________________________________________________________________
Address______________________________________________________________________________
City / State‐Province / Zip Code__________________________________________________________
Country______________________________ Phone___________________________________________
Email_________________________________________________________________________________
Cash, USD or travelers check
Check or money order in USD payable toStylus Publishing
VISA / MC / AmEx
Exp. Date /
Name that appears on card_______________________________________________
Signature_______________________________________ Today's Date ___________
Examination Copy Policy
All paperbacks are available on 90‐day approval to teachers wishing to evaluate them for course use. Copies are invoiced on 90‐ day approval. The invoice is canceled if you return the book(s) or provide proof of adoption within 90 days; or you may keep the book(s) for personal use by paying the invoice. Please provide the following information on your request: department, course name & number, enrollment, start date and current text(s) in use.
| QTY | TITLE | TOTAL |
|---|---|---|
| | Rethinking Corporate Social (978‐1‐56549‐313‐1)/ Paper – $21.95 | |
| | Call Eurospan for Euro and Sterling Price | |
Shipping Total
|
<urn:uuid:9478b1ca-dd3a-49b8-9418-0d4e20c21a54>
|
CC-MAIN-2019-09
|
http://ccss.jhu.edu/wp-content/uploads/downloads/2011/10/BOOK_Corporate_Social_Engagement_2010.pdf
|
2019-02-17T01:11:35Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247481428.19/warc/CC-MAIN-20190217010854-20190217032854-00130.warc.gz
| 51,643,963
| 1,710
|
eng_Latn
|
eng_Latn
| 0.955094
|
eng_Latn
| 0.994415
|
[
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
3419,
5049
] |
HDR Engineering, Inc.
Invoice
TIRZ PM Review: 220725- KES
Please send remittance with copy of invoice to
HDR Inc/US Engineering Accounts Receivable
P.O.Box 74008202
Austin,TX 78701
Chicago, II 60674-8202
Phone: (512) 912-5100
HDR Invoice No. 1200446373
Invoice Date
7/18/2022
City of Dripping Springs City
Month Ending
6/25/2022
P.O. Box 384
Dripping Springs, Texas 78620
Client No.:
4896
Attn: TIRZ Project Manager
Project No.:
10336587
34,776.75
$
Keenan Smith
34,776.75
$
For professional consulting services in connection with:
For Roadway Improvements on Old Fitzhugh Road
Billing Summary
| A | Project Management | $ 21,299.00 | $ 10,595.00 | 49.74% | $ 7 ,543.75 |
|---|---|---|---|---|---|
| B | Roadway Design | $ 13,810.00 | $ 15,347.50 | 111.13% | $ 1 5,347.50 |
| C | Drainage Design | $ 31,080.00 | $ 21,692.00 | 69.79% | $ 1 1,720.25 |
| D | Signing and Pavement Marking | $ 5,175.00 | $ 3,830.00 | 74.01% | $ - |
| G | Illumination | $ 18,030.00 | $ 9,521.25 | 52.81% | $ 3 ,250.00 |
| I | Utility Coordination | $ 12,332.00 | $ 12,287.50 | 99.64% | $ 8 ,425.00 |
| J | Environmental | $ 10,280.00 | $ 4,592.50 | 44.67% | $ 3 ,095.00 |
| L | Right-of-Way Surveying | $ 19,776.00 | $ 600.00 | 3.03% | $ 6 00.00 |
| M | Landscape, Streetscape Design and Urban Design | $ 18,400.00 | $ - | 0.00% | $ - |
| O | PS&E Preparation | $ 5,460.00 | $ 6,292.50 | 115.25% | $ - |
| R | Expenses | $ 1,100.00 | $ - | 0.00% | $ - |
|
<urn:uuid:92db07dc-9dc1-4bde-ae9f-6e6b00ecddb0>
|
CC-MAIN-2025-08
|
https://mccmeetingspublic.blob.core.usgovcloudapi.net/drippingtx-meet-b9f84f9d8f0641e1aa2cce73c76279db/ITEM-Attachment-001-15bb64bc354549cb9f2decd1fbf59068.pdf
|
2025-02-18T07:16:07+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-08/subset=warc/part-00064-b184e832-acd1-425a-bab7-895830f2748a.c000.gz.parquet
| 342,268,903
| 603
|
eng_Latn
|
eng_Latn
| 0.472729
|
eng_Latn
| 0.472729
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
1463
] |
MINUTES OF MEETING November 15, 2023
VILLAGE OF TERRACE PARK COUNCIL HAMILTON COUNTY, OHIO
Council met on Wednesday November 15, 2023, at 6:00 p.m. in the Terrace Park Community Building. Mayor Tepe led Council in the Pledge of Allegiance. Members of Council present were Mr. Jeff LeMay, Mr. Pax Lindell, Mr. John Gaskey, Ms. Lauren Ingebritson and Ms. Regina Sharp. In addition, Mayor Tom Tepe, Village Administrator and Police Chief Gerald Hayhow, Chief Fiscal Officer and Clerk of Council, Katie Lyons, Fire Chief Steve Dronsfield and Solicitor Jeff Forbes. Council member Ms. Judith Lehman and EMS Chief John Maggard were absent.
The Mayor asked if anyone had any corrections, additions or deletions to the October 10, 2023 Minutes. Council Member Pax Lindell motioned to approve the Council Minutes from the October 10, 2023, Council Meeting. Voice vote, all voted, aye. Minutes approved.
RESIDENTS TO ADDRESS COUNCIL The Mayor asked if there were any residents to address council, to please approach the podium, state their name and their address.
Ashley Scribner, an art teacher at MHS and resident of Terrace Park proposed painting the wall along the bike trail at the Elm Street Bridge during the MHS Intersession. She reached out to ODNR Ohio Department of Natural Resources and had to add a proposed drawing of the mural. The Mayor responded that he believed that is was ODNR, and if so, he is not sure if/how we would have a say. His may concern is vandalism after the mural is completed and how would they handle that. Ms. Scribner proposed a sealant to protect it. She also said she would do her best to protect it and if need be, to paint over it. THE MAA-Mariemont Art Association is going to fund the paint and brushes. The project would take place in May 2024. The council said the Buildings and Ground committee set up a meeting to provide any additional feedback.
Drew Walter at 219 Oxford, mentioned that he spoke to Mark Castator about helping prune trees. He would like to trim eye level branches that hang low along the sidewalks. The Mayor and Chief Hayhow appreciate his volunteering to help, and that the Chief will speak to him about the details tomorrow.
Mayor Tepe asked Ms. Ingebritson to move up in the agenda the resolutions for our EMS Volunteer.
With that, Council Member Ingebritson introduced and advanced to the third reading RESOLUTION 11-3, 2023 CONSENT OF COUNCIL TO THE APPOINTMENT BY THE MAYOR OF WILL SCHOOSE THE VOLUNTEER EMERGENCY MEDICAL SERVICES DEPARTMENT OF THE VILLAGE OF TERRACE PARK Sharp seconded. Gaskey, LeMay, Ingebritson, Lindell and Sharp voted aye. Ingebritson then moved to adopt the resolution as an emergency. Lindell seconded. Gaskey, Ingebritson, Lindell, LeMay, and Sharp voted aye. Resolution passed as an emergency.
MAYOR'S REPORT: The Mayor reported that Halloween was a huge success. The mayor would like to thank the residents of Terrace Park for their confidence in him for four more years.
He explained that the resolution tonight regarding Jerry Hayhow, the Mayor encouraged passage of the resolution to keep Chief Hayhow on for another 4 years.
Chief Fiscal Officer: Katie Lyons-No Report.
Solicitor: Jeff Forbes - No Report.
Clerk of Council: Katie Lyons-No Report.
EMS CHIEF: Asst Chief Gatch reported for Chief Maggard that The Pancake Supper had a 21% increase
for November 12, 2023.
FIRE CHIEF: Chief Dronsfield reported that the Fire Department has a new class of Fire trainees. He then reminded residents to have their fireplaces inspected prior to having the first fire of the year.
POLICE CHIEF/VILLAGE ADMINISTRATOR:
Chief Hayhow updated the following use of the ARPA funds:
* Paint the community and police buildings.
* Resurface the community building parking lot.
* Install a new aluminum handrail on the ramp of the comm bldg.
* Resurface and stripe the basketball court at the log cabin.
* Replace the water damaged siding cedar boards and install gutters, eliminating future water damage, on the log cabin.
* Resurface the driveway leading down to the environmental services area.
* Purchase 5 new fire hydrants with 2 of them being installed by Indian hill water works, within the next couple of weeks.
* Meeting with a commercial flooring company on Friday for a bid to replace the comm bldg. floor.
MEMBERS OF COUNCIL OUTSIDE THEIR COMMITTEE:
Reports, Resolutions & Ordinances of Standing Committee: None
Planning & Zoning–
Finance –Mr. LeMay thanked everyone that voted for the 2.5 mill renewal levy, it passed with 83% approval rating.
Buildings & Grounds –Regina Sharp explained that this resolution will hire Natural Solutions Urban Forestry LLC for the consulting role as Village Arborist.
Ms. Sharp introduced and advanced to the third reading RESOLUTION 11-1, 2023 AUTHORIZING AND DIRECTING THE VILLAGE ADMINISTRATOR TO ENTER INTO AN AGREEMENT WITH NATURAL SOLUTIONS URBAN FORESTRY LLC FOR CONSULTING SERVICESFOR MANAGING THE TERRACE PARK URBAN FORESTRY PROGRAM AND DECLARING AN EMERGENCY Gaskey seconded. Gaskey, LeMay, Ingebritson, Lindell and Sharp voted aye. Ingebritson then moved to adopt the resolution as an emergency. Ingebritson seconded. Gaskey, Ingebritson, Lindell, LeMay, and Sharp voted aye. Resolution passed as an emergency.
Rules & Law -Judith Lehman-Absent.
Public Works-Pax Lindell-
Mr. Lindell introduced and advanced to the third reading RESOLUTION NO. 11-2, 2023 ADOPTION OF THE 2023 HAMILTON COUNTY MULTI-HAZARD MITIGATION PLAN Sharp seconded. Gaskey, LeMay, Ingebritson, Lindell and Sharp voted aye. Ingebritson then moved to adopt the resolution as an emergency. Gaskey seconded. Gaskey, Ingebritson, Lindell, LeMay, and Sharp voted aye. Resolution passed as an emergency.
Public Safety –Lauren Ingebritson- (see above for Resolution 11-3.)
Ms. Ingebritson introduced and advanced to the third reading RESOLUTION NO. 11-4, 2023 CONSENT OF COUNCIL TO THE MAYOR'S APPOINTMENT OF GERALD HAYHOW AS VILLAGE ADMINISTRATOR AND POLICE CHIEF AND WAIVING ANY RESIDENCY REQUIREMENT AND EXECUTING AN EMPLOYMENT AGREEMENT Lindell seconded. Gaskey, LeMay, Ingebritson, Lindell and Sharp voted aye. Ingebritson then moved to adopt the resolution as an emergency. Gaskey seconded. Gaskey, Ingebritson, Lindell, LeMay, and Sharp voted aye. Resolution passed as an emergency.
CONTINUED BUSINESS: None
NEW BUSINESS:
Adjournment: Mr. Gaskey motioned to adjourn. Voice Vote all voted "aye."
Respectfully submitted:
_______________________________
______________________________
Katherine Lyons Clerk of Council
Thomas M. Tepe, Jr. Mayor
|
<urn:uuid:f030e890-f8a4-403e-bbcf-2c0e433ad1c8>
|
CC-MAIN-2024-38
|
https://www.terracepark.org/_files/ugd/ea86d7_cece71c60b184611b0685cac75a8ec56.pdf
|
2024-09-16T20:11:01+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-38/subset=warc/part-00277-781f89b0-54ef-4e32-b51d-e5860e733e3a.c000.gz.parquet
| 924,627,691
| 1,606
|
eng_Latn
|
eng_Latn
| 0.993592
|
eng_Latn
| 0.996597
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2972,
5270,
6586
] |
HOME FEATURES
Exteriors
* Beautiful curb appeal and detailed exteriors with Hardie Plank siding.
* Fully fenced bacyard with six foot cedar panels and gate.
* Professionally designed and low maintenance landscaping.
* Spacious garage with remote opener.
Interiors
* Large open layouts for maximum use of space.
* A choice of three professionally designed colour schemes.
* Premium laminate flooring throughout the main floor.
* Contemporary raised panel interior doors.
* Open staircase with glass & wood handrail.
Modern Kitchens
* Premium cabinets with 'soft-close' drawers and doors and elegant crown moulding & quartzite counters.
* Full height hand set tile backsplash.
* Stainless steel Jenn Air appliances with 36" range, wall oven and microwave.
* Under cabinet lights & spice kitchens (optional)
Luxurious Bathrooms
* Quartzite countertops & hand set ceramic tiles in shower & bathtub surrounds.
* GR circuits in all bathrooms.
* Glass ensuite shower doors, tile base and deluxe shower rain head.
* Steam shower and jetted tubs (optional).
Heating, Plumbing, Electrical
* High efficiency heating system.
* High Effeciancy Electric fireplaces.
* Gas hot water tank.
PHASE 3 NOW SELLING
Starting at $1,435,000
Quality Construction
* T JI Joists for silent floors.
* 2 coats of high quality and easy maintenance latex paint & maintenance free vynil windows.
* Glued, nailed and screwed down floors for maximum stability.
* Insulated steel garage doors with raised panels (glass not insulated).
* Asphalt shingle roof with 30 year life & full volume gutters and down sprouts.
* Superseal foundation wrap with water penetration warranty.
* 2-5-10 home warranty.
Thoughtful Details
* Roughed-in security system & vacuum.
* Built-in entertainment unit shelving in great room & tasteful use of moulding.
* State-of-the-art direct smoke alarms on each floor.
* Roughed-in 5.1 surround in media room.
* 200 Amp service to the house.
* Concrete sidewalk and steps to the backyard.
* Two inch windows blinds and screens (Sheer blind upgrade available).
* Elegant wood baseboards and door casings.
* Attractive, contemporary interior lighting design.
* Two exterior electrical outlets and hose bib.
* Built in speakers & Hide-A-Hose (optional).
Developer reserves the right to make changes without notice. E&OA.
|
<urn:uuid:c79e9447-15b8-47c0-902f-0c22b4110059>
|
CC-MAIN-2018-51
|
http://parkplaceatfleetwood.com/features.pdf
|
2018-12-18T19:24:08Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-51/segments/1544376829568.86/warc/CC-MAIN-20181218184418-20181218210418-00289.warc.gz
| 212,705,641
| 506
|
eng_Latn
|
eng_Latn
| 0.994228
|
eng_Latn
| 0.994228
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
2324
] |
Worth County Conservation Board AGENDA JUNE 7, 2012
1. Call to order, President Vansteenburg – 7:00 PM
2. Approval of agenda
3. Minutes
4. Director's report
5. Naturalist's report
6. Dave Falk
7. Shelter rental policy – discussion
8. Kuennen's Quarry – water level issue
9. July meeting
10. Bills
|
<urn:uuid:f4116e98-86cc-4b49-9c85-8ff249202cff>
|
CC-MAIN-2024-33
|
http://www.worthcountyiowa.gov/files/meetings/2012-06-07_agenda_conservation_board_51032.pdf
|
2024-08-06T20:30:24+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-33/subset=warc/part-00008-4f628544-3cdf-4526-86aa-bdfa0b33cdc9.c000.gz.parquet
| 59,145,381
| 89
|
eng_Latn
|
eng_Latn
| 0.989252
|
eng_Latn
| 0.989252
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
297
] |
Subject: Appointment of Shri Kousik Chakraborty, IOFS (2005) as CVO, Andrew Yule & Company Limited (AYCL), Kolkata.
The Competent Authority has approved the appointment of Shri Kousik Chakraborty, IOFS (2005) as CVO, Andrew Yule & Company Limited (AYCL), Kolkata under the Ministry of Heavy Industries with pay at level 13 (Rs.1,23,100 – 2,15,900/-) of the pay matrix, from the date of assumption of charge of the post, for a combined deputation tenure of 7 years upto 25.10.2025 or until further orders, whichever is earlier.
2. Hindi version will follow.
(P. P. Singh)
Under Secretary to the Govt. of India
Tel. No. 23092589
Ministry of Heavy Industries
(Shri Arun Goel, Secretary)
Udyog Bhawan, New Delhi.
Copy to:-
1. The Secretary, Ministry of Textiles, Udyog Bhawan, New Delhi with a request to relieve the officer immediately to take up his new assignment.
2. The Secretary, Department of Defence Production, South Block, New Delhi.
3. The Secretary, Central Vigilance Commission, Satarkta Bhawan, GPO Complex, Block-A, INA, New Delhi with reference to their O.M. No.022-CVO-1(35)/515485 dated 09.06.2022.
4. Shri Kousik Chakraborty, IOFS (2005) through the Secretary, M/o Textiles.
5. PS to MOS(PP)/PSO to Secretary(P)/PPS to EO/Dir(MM)/DS(SM).
6. EO(CM)/EO(MM-I)/EO(MM-II)/Guard File
7. AD(OL) for providing Hindi version.
|
<urn:uuid:9f734176-047b-449d-9120-ca13fabc95e8>
|
CC-MAIN-2024-26
|
https://documents.doptcirculars.nic.in/D2/D02eod/Order%20CVO%20AYCLGd8v9.pdf
|
2024-06-23T22:01:04+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-26/subset=warc/part-00265-44971353-df4b-48d7-8025-975e8feb989b.c000.gz.parquet
| 185,976,672
| 401
|
eng_Latn
|
eng_Latn
| 0.793766
|
eng_Latn
| 0.793766
|
[
"eng_Latn"
] | false
|
docling
|
[
1336
] |
Accuracy and execution speed of automatic voxel-based algorithms for segmenting stroke lesions in clinical DWI imaging
S. Mocking 1 , P. Garg 2 , A. Chutinet 3 , W. A. Copen 4 , A. Sorensen 5 , and O. Wu 6
1Athinoula A. Martinos Center for Biomedical Imaging, Massachusetts General Hospital, Charlestown, MA, United States, 2Athinoula A Martinos Center for Biomedical Imaging, Massachusetts General Hospital, Charlestown, MA, 3 Department of Neurology, Massachusetts General Hospital, United States, 4 Department of Radiology, Massachusetts General Hospital, 5 Athinoula A Martinos Center for Biomedical Imaging, Massachusetts General Hospital, 6 Athinoula A. Martinos Center for Biomedical Imaging, Massachusetts General Hospital
Introduction: Stroke researchers are increasingly advocating for the use of a "tissue clock" over that of a "ticking clock" for acute stroke patient management. Diffusion-weighted imaging (DWI) is the most useful imaging modality for patients seen within 12 h of symptom onset for stroke diagnosis and prognosis [1]. Baseline DWI lesion volume is being used as an inclusion or exclusion criterion for several clinical trials of acute stroke intervention such as MR RESCUE or EXTEND. Rapid, reproducible assessments of DWI lesion volumes are critical since an average of 1.9 million neurons is lost for every minute of ischemia [2]. We compare four segmentation algorithms' performances for identifying acute DWI lesions against manual outlines on the basis of accuracy and execution speed.
Methods: We retrospectively analyzed MRI data from acute stroke patients imaged within 12 h of stroke onset for whom manual expert outlines are available and who received DWI and perfusion-weighted imaging (N=159). Multisection axial DWI was acquired using echo-planar imaging sequences performed on a 1.5 T imaging instrument (GE Medical Systems) with diffusion-weighting or b-value of 1000 s/mm 2 . Apparent diffusion coefficient (ADC) maps were calculated from the slope of the linear regression fit of the log of the DWI and b0 (b-value=0 s/mm 2 ) images. The b0 images were used for the T2-weighted image (T2WI). Four voxel-based segmentation methods were compared with manual outlines in terms of number of true positives (TP), true negatives (TN), false positives (FP) and false negatives (FN). For all the methods, a mask dividing voxels into background and tissue was constructed using Otsu bimodal thresholding [3] of the DWI image; the voxels outside this mask were excluded from further classification. The dataset was randomly divided into 38 cases as a training group and 121 for validation. The first method is based on simple thresholding ADC maps for which voxels with ADC values less than 0.650x10 -3 mm 2 /s [4] are considered lesion voxels. The second method is knearest neighbor (k-NN) where the number of neighbors, k = 7. For k-NN, we trained the classifier by inserting voxels into a data structure optimized for nearest neighbor searching [5]. Given the memory constraints of a lower-end desktop computer and the overhead of this data structure we randomly sub-sampled 15% of voxels from the training data. Following training, the sample images were histogram-matched to the first patient in the training set before classifying the voxels to their nearest neighbors in feature space with a majority rule. The third method we investigated is a k-means cluster algorithm with the number of clusters, k = 7. The fourth method uses Iterative Self Organizing Data Analysis (ISODATA) [6] where initial number of clusters, K=9; maximum number of iterations, I=100; maximum number of pairs of clusters lumped in one iteration P=3; cluster size, ThetaN=1000; splitting parameter, ThetaS=0.05; lumping parameter, ThetaC=0.03. ISODATA and k-means methods were applied to images normalized to values between 0 and 1. After voxel classification with a Mahalanobis distance metric, in the case of the unsupervised methods the cluster masks were then divided into spatially coherent regions using connected component labeling (CCL). Regions of >200 voxels with a mean DWI signal intensity (SI) greater than two standard deviations above the mean DWI SI of all the tissue voxels and an ADC more than half a standard deviation under the mean ADC were then marked as potential lesions. Performance of the four techniques was evaluated based on sensitivity (TP/(TP+FN)), specificity (TN/(TN+FP)), accuracy ((TP + TN) / (TP+TN+FP+FN)), Dice's similarity measure (DSM=(2TP)/(2TP + FP +FN)) and run time. Runtime for each algorithm is measured on a high-end desktop machine (3.00 GHz Intel Xeon CPU, 16GB RAM). Differences between training and testing group were compared (two-sided Wilcoxon-test for continuous variables and Pearson chi-square test for categorical variables). All results are mean±standard deviation or median [interquartile range]. One-way ANOVA was performed with post-hoc Student Newman-Keuls test was performed comparing performance of DSM across the four methods. Subset analysis was performed between DWI lesion volumes ≥ 5 cm 3 (N=76) and lesions < 5 cm 3 (N=45). P<0.05 were considered to indicate a significant difference in all analyses.
Results: Patient demographics are shown in Table 1. Results of the four segmentation methods are shown in Table 2. An example of the results of the algorithms is shown in Figure 1. A significant difference was found between the four techniques (P<0.001). ISODATA had significantly lower DSM compared to the other techniques except for simple thresholding. K-means and k-NN performed equivalently. Performance was significantly higher for lesions more than 5 cm 3 (P<0.001) for all techniques: thresholding (0.20±0.18 vs. 0.01±0.01), k-means (0.34±0.34 vs 0.05±0.16), ISODATA (0.23±0.32 vs 0.02±0.12), k-NN (0.32±0.20 vs 0.07±0.10). To be expected, simple thresholding had the fastest execution time. k-NN took the longest.
Table 1. Demographics
Table 2. Algorithm performance.
| Algorithm | Sensitivity | Specificity | Accuracy | DSM | Time/case (s) |
|---|---|---|---|---|---|
| ADC threshold | 0.60±0.22 | 97.4%±1.7 | 97.6%±1.7 | 0.13±0.17 | 0.64 ± 0.08 |
| k-means | 0.21±0.31 | 99.9%±0.3 | 99.7%± 0.6 | 0.23±0.32 | 6.92±1.62 |
| ISODATA | 0.15±0.27 | 99.9%±0.3 | 99.6%±0.6 | 0.16±0.28 | 5.69±1.61 |
| k-NN | 0.21±0.18 | 99.9%±0.06 | 99.6%±0.7 | 0.22±0.21 | 121.6±8.7 |
* p < 0.05
| Characteristic | Training data (N = 38) | Testing data (N = 121) | p- value |
|---|---|---|---|
| Age (years) | 66±18 | 69±15 | 0.49 |
| Male gender | 14 | 65 | 0.07 |
| NIH Stroke Scale | 8 [3-17] | 6 [3-15] | 0.32 |
| DWI lesion volume (cm3) | 31.3±59.0 | 31.3±59.0 | 0.92 |
| Stroke subtype | | | 0.01* |
| Cardioembolic | 19 | 51 | |
| Large vessel | 5 | 33 | |
| Small vessel | 3 | 3 | |
| Undetermined | 6 | 31 | |
| Other determined | 5 | 3 | |
Discussion: We have shown that real-time automatic delineation of DWI lesions is possible. K-means appears to provide the best performance of all the methods examined in terms of computational time and accuracy. Particularly thresholding, but also k-NN, might have suffered in terms of specificity and benefited in sensitivity as a result of not having the spatial coherence of CCL and region selection. The techniques are highly specific, driven by the large number of normal voxels. The sensitivities are low, resulting in underestimation of lesions. Increased sensitivity can be obtained but at the cost of specificity, as seen by the ADC threshold technique. There is a clear correlation between lesion detection and lesion volume. Poorest DSMs were found with small lesion volumes.
Cases were randomly divided into training and sample sets without knowledge of the stroke subtype, which is typically the situation when patients are seen acutely. We found a significant difference in the distribution of stroke subtypes between training and testing data sets. A training set more representative of the test cases may improve results for k-NN. Its run time was high as a result of having to load a large training set for each case. In future research it may be worthwhile to include algorithms that maximize spatial coherence, such as graph-cuts- or wavelet-based approaches as they should be less sensitive to noise and artifacts than CCL.
References: 1. Schellinger P, et al, Neurology, July 13, 2010; 75:177-185 2. Saver JL, Stroke 2006; 37:263–67 3. Otsu N, IEEE Trans. Sys., Man., Cyber. 1979; 9: 62– 66. 4. Miyabe M, et al. J Cereb Blood Flow Metab. 1996; 16:881-89 5. Arya S, 5th Ann. ACM-SIAM Symposium on Discrete Algorithms, 1994, 573-582. 6. Ball GH, Storming Media, 1965.
Proc. Intl. Soc. Mag. Reson. Med. 19 (2011)
2131
|
<urn:uuid:8d976456-b8bc-4dbb-867b-d91f7e54d473>
|
CC-MAIN-2019-09
|
https://cds.ismrm.org/protected/11MProceedings/files/2131.pdf
|
2019-02-19T05:20:13Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247489343.24/warc/CC-MAIN-20190219041222-20190219063222-00462.warc.gz
| 515,876,948
| 2,324
|
eng_Latn
|
eng_Latn
| 0.988826
|
eng_Latn
| 0.988826
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
8687
] |
The Stig Plays A Dangerous Game Stig 1
Thank you for reading the stig plays a dangerous game stig 1. As you may know, people have look numerous times for their chosen books like this the stig plays a dangerous game stig 1, but end up in infectious downloads.
Rather than enjoying a good book with a cup of tea in the afternoon, instead they are facing with some malicious virus inside their laptop.
the stig plays a dangerous game stig 1 is available in our book collection an online collection to it is set as public so you can get it instantly. Our books collection saves in multiple locations, allowing you to get the most less latency time to download any of our books like this one.
Melek uses the stig plays a dangerous game stig 1 is available in our book collection an online collection to it is set as public so you can get it instantly. Our books collection saves in multiple locations, allowing you to get the most less latency time to download any of our books like this one.
The Online Books Page - Maintained by the University of Pennsylvania, this page lists over one million free books available for download in dozens of different formats.
The Stig Plays A Dangerous
The Stig Plays a Dangerous Game is a fast pace, action packed middle grade book featuring the well known character The Stig from Top Gear. The book is suitable for anyone with a love of fast cars, computer games, racing tournaments and of course The Stig, although you do not need to be familiar with the character to enjoy this novel.
The Stig Plays a Dangerous Game by Jon Claydon and Tim Lawler
The Stig plays a dangerous game, funny series featuring The Stig: Top Gear's legendary racing driver. The Stig's one known nemesis, the evil villain PT Cruiser, is dying, his plan for global domination in pieces.
The Stig Plays a Dangerous Game: A Top Gear book: Amazon ...
The Stig Plays a Dangerous Game by Jon Claydon, 9781848126459, available at Book Depository with free delivery worldwide.
The Stig Plays a Dangerous Game : Jon Claydon : 9781848126459
The Stig Plays a Dangerous Game is a fast pace, action packed middle grade book featuring the well known character The Stig from Top Gear. The book is suitable for anyone with a love of fast cars, computer games, racing tournaments and of course The Stig, although you do not need to be familiar with the character to enjoy this novel.
THE STIG PLAYS A DANGEROUS GAME BOOK REVIEW / A MUNDANE LIFE
The stig plays a dangerous game. [Jon Claydon; Tim Lawler] — Sam Wheeler may be the new boy in Bunsfold, but he’s got a feeling that all is not well either in the town or at Bunsfold High - and he’s not just talking about the maths teacher with the unfortunate surname.
The stig plays a dangerous game (Book, 2018) [WorldCat.org]
The Stig Plays a Dangerous Game by Tim Lawler and Jon Claydon ( & Giveaway
The Stig Plays a Dangerous Game by Tim Lawler and Jon ...
The Stig plays a dangerous game. In our new, and here's some amazing artwork from it
Stig | Top Gear
PDF book with title The Stig Plays A Dangerous Game by Jon Claydon suitable to read on your Kindle device, PC, phones or tablets. Available in PDF, EPUB, and Mobi Format. The Stig Plays A Dangerous Game Author : Jon Claydon
Download [PDF] The Stig Plays A Dangerous Game Free Books
You saw it on the telly, now see what the atmosphere was like in the studio with our behind the scenes footage shot during the live show recording, exclusively for TopGear.com. Subscribe for more ...
The Stig Revealed: Behind the Scenes | Top Gear
The Stig Plays a Dangerous Game: A Top Gear book. The first in a fast-paced, funny series featuring The Stig: Top Gear's legendary racing driver. Sam Wheeler may be the new boy in Bunsfold, but he's got a feeling that all is not well either in the town or at Bunsfold High - and he's not just talking about the maths teacher with the unfortunate surname.
Book Reviews For The Stig Plays a Dangerous Game: A Top ...
The Stig: Playing a Dangerous Game. By Jon Claydon & Tim Lawler. Illustrated by Karako & Yuzuru. September 2, 2018 August 16, 2019 Book Boy is a huge fan of Top Gear, Formula One racing (and any other type of motor racing for that fact!) so he was especially excited when this new Stig-based adventure dropped through the letterbox, ready ...
The Stig: Playing a Dangerous Game. By Jon Claydon & Tim ...
Allen & Unwin is Australia's leading independent book publisher and has been voted "Publisher of the Year" thirteen times including the inaugural award in 1992 and eleven times since 2000. The Stig Plays a Dangerous Game - Jon Claydon, Tim Lawler - 9781848126459 - Allen & Unwin - Australia
The Stig Plays a Dangerous Game - Jon Claydon, Tim Lawler ...
The Stig Plays a Dangerous Game is eye opening. The general idea is a billionaire makes a video game to take over the world and to catch his arch-nemesis, The Stig. However a band of kids come together in the hopes of stopping him! The Stig is a mysterious driver in white that pops up all over history to save the day and to race.
Mama Hummer Mum: The Stig Plays a Dangerous Game - Blog Tour
Sign into BorrowBox with FREE eBooks and audiobooks available on BorrowBox when you sign in with your library card. There are thousands of books available. Try The Stig Plays a Dangerous Game and complete a book for the Summer Reading Challenge. [The Stig Plays a Dangerous Game on BorrowBox. https://campaigns.borrowbox.com/HT5j.
Cornwall Libraries - The Stig Plays a Dangerous Game ...
Blogger.com: The Stig Plays a Dangerous Game: Ongoing Information Jon Claydon (Author) Jon wrote sell-out shows at Edinburgh while at university before plumping for a career in advertising and technology investment that has seen him become a fixture on the Sunday Times 'Britain's 500 Most Influential People' list.
The Stig Plays a Dangerous Game - Jon Claydon, Tim Lawler ...
The Stig Plays a Dangerous Game. By Jon Claydon, Tim Lawler. Narrated by: Cal Spellman. Free with 30-day trial After 30 days, Audible is $14.49/mo. Cancel anytime. Publisher's Summary. The first in a fast-paced, funny series featuring The Stig: Top Gear's legendary racing driver. Sam Wheeler may be the new boy in Bunsfold, but he's got a ...
The Stig Plays a Dangerous Game Audiobook | Jon Claydon ...
At sight of the book, I had a queue of boys in my class wanting to borrow it! READING ZONE ON THE STIG PLAYS A DANGEROUS GAME An enigmatic racing driver: A bunch of kids. One hell of a ride... The Stig's one known nemesis, the evil villain PT Cruiser, is dying, his plan for global domination in pieces.
|
<urn:uuid:b5181006-f4eb-4761-97e4-94c3bd4fbf8f>
|
CC-MAIN-2020-45
|
http://biglike.com/the_stig_plays_a_dangerous_game_stig_1.pdf
|
2020-10-22T03:05:47+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-45/subset=warc/part-00273-6409130e-6e9b-44d1-90ec-9f9d0ade2504.c000.gz.parquet
| 12,744,126
| 1,534
|
eng_Latn
|
eng_Latn
| 0.998251
|
eng_Latn
| 0.998251
|
[
"eng_Latn"
] | false
|
docling
|
[
6608
] |
City of Marietta Sign Off Form to Activate Water Water/Sewer Services
Form to be completed and returned to the Washington County Building Department 205 Putnam Street, Marietta, OH 45750 at the time service is requested.
Business Name ______________________________________________________________________________
Business Address ____________________________________________________________________________
Contact Person ______________________________________Telephone Number ________________________
E-mail Address ____________________________________________Fax Number_________________________
Type of Business:
Industrial Restaurant Commercial Other
Billing Information:
Business Name _____________________________________________________
Business Address ___________________________________________________
Contact Person _____________________________________________________
Telephone Number __________________________________________________
[Type a quote from the document or the summary of an interesting point. You can position the text box Address: 2000 Fourth Street, P.O. Box 774, Marietta, OH 45750
anywhere in the document. Use the Text Box Tools tab to change the formatting of the pull quote text
box.]
Water Distribution/Backflow Department:
FOR OFFICE USE ONLY
Phone: 740-374-6864, Fax: 740-376-2002
Distribution Foreman: _______________________________________________ Date _____________________
Backflow Prevention ________________________________________________ Date _____________________
Comments __________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________
Wastewater/Pretreatment Department:
FOR OFFICE USE ONLY
Address: 440 E. Eighth Street, Marietta, OH 45750
Phone: 740-373-3858, Fax: 740-373-8214
Business has met City's Pretreatment Requirements ____ Yes ____ No
Pretreatment Coordinator __________________________________________ Date ______________________
Comments __________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________
Date Received at Water Office ____________________________ Date Service Begins ______________________
|
<urn:uuid:322f2337-0e69-49b0-99c0-e9f00bbdd7c0>
|
CC-MAIN-2019-26
|
http://washingtongov.org/DocumentCenter/View/59
|
2019-06-16T08:56:26Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-26/segments/1560627998084.36/warc/CC-MAIN-20190616082703-20190616104703-00283.warc.gz
| 191,988,086
| 361
|
eng_Latn
|
eng_Latn
| 0.605641
|
eng_Latn
| 0.605641
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
2522
] |
Second Sunday in Ordinary Time – January 15, 2017 – Good Shepherd Parish
Scripture Reading: Isaiah 49:3, 5-6
Paul, called to be an apostle of Christ Jesus by the will of God, and Sosthenes our brother, to the church of God that is in Corinth, to you who have been sanctified in Christ Jesus, called to be holy, with all those everywhere who call upon the name of our Lord Jesus Christ, their Lord and ours. Grace to you and peace from God our Father and the Lord Jesus Christ.
Scripture Reading: 1 Corinthians 1:1-3
Gospel: John 1:29-34
John the Baptist saw Jesus coming toward him and said, "Behold, the Lamb of God, who takes away the sin of the world. He is the one of whom I said, 'A man is coming after me who ranks ahead of me because he existed before me.' I did not know him, but the reason why I came baptizing with water was that he might be made known to Israel." John testified further, saying, "I saw the Spirit come down like a dove from heaven and remain upon him. I did not know him, but the one who sent me to baptize with water told me, 'On whomever you see the Spirit come down and remain, he is the one who will baptize with the Holy Spirit.' Now I have seen and testified that he is the Son of God."
Readings and excerpts from the Lectionary for Mass 1970, 1997, 1998 Confraternity of Christian Doctrine, Inc., ©1997, 1981, 1968 International Committee on English in the Liturgy, Inc., and ©1964 National Catholic Welfare Conference, Inc. Excerpts from the Sacramentary 1969–1985 ICEL. Excerpts from Living Liturgy 2001 The Order of St. Benedict, Inc. Clip art 1994, 1996 The Order of St. Benedict, Inc. All rights reserved.
The LORD said to me: You are my servant, Israel, through whom I show my glory. Now the LORD has spoken who formed me as his servant from the womb, that Jacob may be brought back to him and Israel gathered to him; and I am made glorious in the sight of the LORD, and my God is now my strength! It is too little, the LORD says, for you to be my servant, to raise up the tribes of Jacob, and restore the survivors of Israel; I will make you a light to the nations, that my salvation may reach to the ends of the earth.
Psalm: Ps 40:2, 4, 7-8, 8-9, 10
R. (8a and 9a) Here am I, Lord; I come to do your will.
I have waited, waited for the LORD, and he stooped toward me and heard my cry. And he put a new song into my mouth, a hymn to our God.
R. Here am I, Lord; I come to do your will.
Sacrifice or offering you wished not, but ears open to obedience you gave me. Holocausts or sin-offerings you sought not; then said I, "Behold I come."
R. Here I am, Lord; I come to do your will.
"In the written scroll it is prescribed for me, to do your will, O my God, is my delight, and your law is within my heart!"
R. Here am I, Lord; I come to do your will.
I announced your justice in the vast assembly; I did not restrain my lips, as you, O LORD, know.
R. Here am I, Lord; I come to do your will.
Second Sunday in Ordinary Time – January 15, 2017 – Good Shepherd Parish
INVITATION TO PRAY
Pause for a few moments of silence and enter more deeply into the presence of God.
Proclaim the Scriptures out loud.
As you listen to the scriptures be attentive to a word, a phrase, a question, an image, or a feeling that emerges. Reflect on this quietly or share it aloud.
INVITATION TO REFLECT
Among Ignatius of Loyola's prayer methods for a retreat there is a device called "repetition." If a praying session went particularly well, or sometimes if it went badly, Ignatius would instruct the retreatant to repeat the exact same topic for their next session. "Oh no, not again," I would groan when so instructed. This was the method I disliked most when I first made the Spiritual Exercises. Only later did I begin to understand something of what repetition was about. I will attempt to give you a taste of that understanding here. It was not that I should try to experience again the same feelings that I had the first time. Not even that I should try to meet God in the same manner that I did before. Nor to rake my brains more vigorously so I could overwhelm it with brain-power.
Jesus allowed himself be sacrificed on behalf of his people.
Repetition meant that I should go to the same shady spot in the forest, the place where God and I visited each other last time. I go to that area again to see if it is the site where we will meet again. And even if we do not, I might still remember what happened last time, like Mary "pondering these things in her heart" (Lk 2:19), and this might give God a way to find me. I mention this because on Sunday the Church prescribes what is, in effect, a repetition of last week's Baptism of the Lord. Maybe there was some kind of mistake in the ordering of the readings? Or what if this repetition has a purpose.
Let's use a sort of Ignatian method to sort it out. First, what do you notice in the Gospel reading? Pause here if you want to go through that reading again and get your own ideas. Personally I am struck by the words the Baptist spoke when Jesus approached: "Behold the Lamb of God, who takes away the sins of the world." We hear this phrase at every Mass ("This is the Lamb of God, who takes away the sins of the world") but you and I probably have not thought much about it. Yet it is a mysterious idea, especially if you listen. It is actually quite rich.* In the Jewish temple lambs had their lives taken as "sacrifices." Perhaps it was thought that their innocence could go up to God's pure heaven by this means—making a bridge between God and the people. Jesus allowed himself be sacrificed on behalf of his people. He was already at one with God, as we know, but he was also a (sinless) member of a sinful people. So he carried the plague of their sins before God's bosom. Insofar as the people allowed it, they were forgiven. Can you picture a simple little lamb munching grass in a pasture? Spend time with it. Then see Jesus willing to love us with the same simplicity, unto death, so that he could be our bridge. And that is a repetition. Finding God in a different way in the same place. If you want to go further, consider this: a scholar named Joachim Jeremias held that the original word for "lamb" in Aramaic (the language Jesus spoke) was "talyã'," which meant not only "lamb" but also "slave" or "servant." Maybe the Baptist intended both meanings! ________
*Before communion, when we recite the "Lamb of God" instead of singing it, the result is often "LammaGod-youtakeawaythesinsoftheworld-havemercyonus" One word. Once you have imagined the meaning, you will crave slowing it down!
INVITATION TO GROUP SHARING
1. What in this famous "servant song" will Jesus proclaim throughout his ministry? Can we be a light for the world? How? Can we be a crack of light in someone's darkness?
3. "Why was John so certain about Jesus when he said, "Behold the Lamb of God"? Was John watching for the Spirit? Do you watch for the Spirit in your life? Can you find and trust this Spirit of God?
2. We are "called to be holy." What does "holy" mean to you? How is John the Baptist a model of holiness? Who is holy in your world? What does s/he do that makes you think that?
INVITATION TO ACT
Determine a specific action (individual or group) that flows from your sharing. When choosing an individual action, determine what you will do and share it with the group. When choosing a group action, determine who will take responsibility for different aspects of the action. These should be your primary considerations
CLOSING INVITATION TO PRAY
Give thanks to God (aloud or silently) for new insights, for desires awakened, for directions clarified, for the gift of one another's openness and sensitivity. Conclude with the following:
Almighty, ever-living God, who governs all things, both in heaven and on earth, mercifully hear the pleading of your people and bestow your peace on our times. Through our Lord Jesus Christ, your Son, who lives and reigns with you in the unity of the Holy Spirit, one God for ever and ever. Amen.
Copyright © 2017, The Center for Liturgy at Saint Louis University. All rights reserved. Permission is hereby granted to reproduce for personal or parish use
|
<urn:uuid:9b75799d-4abc-40fb-8f41-acfdc95dc942>
|
CC-MAIN-2017-26
|
http://goodshepherdparish.org/documents/2017/1/January%2015%202017%20Faith%20Sharing.pdf
|
2017-06-26T02:06:02Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-26/segments/1498128320666.34/warc/CC-MAIN-20170626013946-20170626033946-00003.warc.gz
| 166,515,487
| 2,017
|
eng_Latn
|
eng_Latn
| 0.999236
|
eng_Latn
| 0.999229
|
[
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2954,
8218
] |
1254 Industries
AMBER LIGHTING
HELPS WITH THE CONSERVATION OF SEA TURTLES
The LEPG AmberLED luminaire is available in two wattages with a wide choice of mounting configurations and IES Type V distribution designed to replace HID lighting systems from 150w to 400w MH or HPS for wildlife security applications requiring monochromatic AMBER light. LED’s operate between 585 and 595 nm, greater than 560nm required for wildlife protection. Typical area lighting applications include retail centers, industrial parks, schools and universities, office buildings and medical facilities. Mounting heights of 14 to 25 feet can be used based on light level and uniformity requirements.
### SPECIFICATIONS & FEATURES:
**Housing:**
- Die Cast Aluminum Housing and Front Frame
- Integral Heat Sinking and Driver Compartment
- Photocell Adaptable
- Nickel-Plated Stainless Steel Hardware
**Listing and Rating:**
- CSA: Listed for Wet Locations
- ANSI/UL 1598, 8750
- IP65 Sealed LED Compartment
**Finish:**
- Textured Architectural Bronze or Black Powdercoat Finish over a Chromate Conversion Coating
- Custom Colors Available Upon Request
**Lens:**
- Tempered Clear Flat Glass Lens or Tempered Clear Flat Prismatic Glass Lens
**Driver:**
- Electronic Driver
- 120-277v
- 50/60Hz
- Dimmable Driver
**Wattage:**
- 81w Array: 81w, System: 81.5w (150-250w HID Equivalent)
- 112w: Array: 112w, System: 119.3w (250-400w HID Equivalent)
**Mounting Options:**
- Shown with Falcon Arm Mount
- Other Mounting Options Available (See Below)
| Model | Optics | Wattage | Driver | CCT | Lens | Color | Mounting | Options |
|----------------|--------|---------|--------|-----|------------|-------|----------|---------|
| 12FX-AAL-QS3-LED- | | | | | | | | |
### Order Example:
12FX-AAL-QS3-LED-F-81-U-AM-P-Z-A-SF
### Order Description
| Model | Optics | Wattage | Driver | CCT | Lens | Color | Mounting | Options |
|----------------|----------|---------|--------|-----|-----------------------|-------|----------|---------|
| 12FX-AAL-QS3-LED- | F = Type V | 81 = 81w | U = 120-277v | AM = Amber | C = Clear Flat Glass Lens | Z = Bronze | A = Falcon Arm | SF = Single Fuse |
| | | 112 = 112w | | | P = Clear Flat Prismatic Glass Lens | C = Custom (consult factory) | SF = Slipfitter | DF = Double Fuse |
| | | | | | | | MA = Mounting Adapter | SP = Surge Protection |
| | | | | | | | Y = Yoke | M1 = Motion Sensor; IR for Mounting heights of 20ft to 35ft |
| | | | | | | | BR = Two-Piece Swivel Bracket | M2 = Motion Sensor; IR for Mounting heights of 18ft or less |
| | | | | | | | EH = Easy Hang Wall Bracket | R3 = 3-Pin Twist Lock Photocell Receptacle |
| | | | | | | | NM = No Mount | R7 = 7-Pin ANSI C136.41-2013 Twist Lock Photocell Receptacle |
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | Lumens | LPW | B | U | G |
|-----------------|-------------------|-------------|--------|--------|-----|----|----|----|
| AmberLED 81w | 525 | 82 | Type V | 2,607 | 32 | 1 | 2 | 0 |
| AmberLED 112w | 525 | 119 | Type V | 3,834 | 32 | 2 | 2 | 1 |
### Projected Lumen Maintenance
#### Data shown for Amber LEDs
| TM-21-11 | Input Watts | Initial | Compare to MH |
|----------|-------------|---------|---------------|
| | | | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 25°C |
| L70 Lumen Maintenance @ 25°C / 77°F | 82 | 1.00 | 0.98 | 0.97 | 0.93 | 429,000 |
| L70 Lumen Maintenance @ 25°C / 77°F | 119 | 1.00 | 0.98 | 0.95 | 0.91 | 320,000 |
#### TM-21-11
| Input Watts | Initial | Compare to MH |
|-------------|---------|---------------|
| | | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 50°C |
| L70 Lumen Maintenance @ 50°C / 122°F | 82 | 1.00 | 0.97 | 0.94 | 0.88 | 259,000 |
| L70 Lumen Maintenance @ 50°C / 122°F | 119 | 1.00 | 0.95 | 0.89 | 0.79 | 141,000 |
#### TM-21-11
| Input Watts | Initial | Compare to MH |
|-------------|---------|---------------|
| | | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L80@ 40°C |
| L80 Lumen Maintenance @ 40°C / 104°F | 82 | 1.00 | 0.97 | 0.95 | 0.90 | 195,000 |
| L80 Lumen Maintenance @ 40°C / 104°F | 119 | 1.00 | 0.96 | 0.93 | 0.85 | 134,000 |
**NOTES:**
1. Projected per IESNA TM-21-11. Data references the extrapolated performance projections for the 525mA base model in a 25°C ambient, based on 10,000 hours of LED testing per IESNA LM-80-08.
2. Compare to MH box indicates suggested Light Loss Factor (LLF) to be used when comparing to Metal Halide (MH) systems.
### Photometric Data
### Amber LED - Spectral Chart
The Amber LED luminaire is available in two wattages with a wide choice of mounting configurations and IES Type V distribution designed to replace HID lighting systems from 150w to 400w MH or HPS for wildlife security applications requiring monochromatic AMBER light. LED’s operate between 585 and 595 nm, greater than 560nm required for wildlife protection. Typical area lighting applications include retail centers, industrial parks, schools and universities, office buildings and medical facilities. Mounting heights of 14 to 25 feet can be used based on light level and uniformity requirements.
**SPECIFICATIONS & FEATURES:**
- **Housing:** Die Cast Aluminum Housing and Front Frame, Integral Heat Sinking and Driver Compartment, Powdercoat finish over a chromate conversion coating, Photocell adaptable
- **Listing and Rating:** CE: Listed for Wet Locations, IP66 Sealed LED Compartment
- **Finish:** Textured Architectural Bronze or Black Powdercoat Finish over a Chromate Conversion Coating, Custom Colors Available Upon Request
- **Lens:** Tempered Clear Flat Glass Lens or Tempered Clear Flat Prismatic Glass Lens
- **AmberLED:** Delivered Lumens: 1,159 (22w) 1,738 (37w), Amber LED: 585-595 nm, Rated Life: 320,000 Hours, Aluminum Boards
- **Driver:** Electronic Driver, 120-277v, 50/60Hz, Dimmable Driver
- **Wattage:** 22w: Array: 22w, System: 25.4w, 37w: Array: 37w, System: 38.2w
- **Mounting Options:** Shown with Falcon Arm Mount, Other Mounting Options Available (See Below)
---
**Order Example:** 12FX-FAL-QS3-ALED-AL-F-81-U-AM-P-Z-A-SF
| Model | Optics | Arrays | Wattage | CCT | Lens | Color | Mounting | Options |
|----------------|--------|--------|---------|-----|------------|-------|----------|---------|
| 12FX-FAL-QS3-ALED-AL | F= Type V | 1x = One | 22 = 22w | AM = Amber | C = Clear Flat Glass Lens | GP = Graphite | A = Falcon Arm | SF = Single Fuse |
| | | | 37 = 37w | | P = Clear Flat Prismatic Glass Lens | B = Black | MA = Mounting Adapter | DF = Double Fuse |
| | | | | | | W = White | Y = Yoke | SP = Surge Protection |
| | | | | | | G = Grey | BR = Two-Piece Swivel Bracket | AH1 = Accessory Housing |
| | | | | | | Z = Bronze | EH = Easy Hang Wall Bracket | |
| | | | | | | {consult factory} | NM = No Mount | |
**Order Description**
| Model | Optics | Arrays | Wattage | CCT | Lens | Color | Mounting | Options |
|----------------|--------|--------|---------|-----|------------|-------|----------|---------|
| 12FX-FAL-QS3-ALED-AL | F= Type V | 1x = One | 22 = 22w | AM = Amber | C = Clear Flat Glass Lens | GP = Graphite | A = Falcon Arm | SF = Single Fuse |
| | | | 37 = 37w | | P = Clear Flat Prismatic Glass Lens | B = Black | MA = Mounting Adapter | DF = Double Fuse |
| | | | | | | W = White | Y = Yoke | SP = Surge Protection |
| | | | | | | G = Grey | BR = Two-Piece Swivel Bracket | AH1 = Accessory Housing |
| | | | | | | Z = Bronze | EH = Easy Hang Wall Bracket | |
| | | | | | | {consult factory} | NM = No Mount | |
**Options**
- SF = Single Fuse
- DF = Double Fuse
- SP = Surge Protection
- AH1 = Accessory Housing
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | 5000 CCT 80 CRI | 4000 CCT 80 CRI |
|-----------------|--------------------|-------------|----------|----------------|----------------|
| | | | | Lumens | LPW | B | U | G | Lumens | LPW | B | U | G |
| EasyLED 22w | 525 | 24 | Type III | 2,875 | 116 | 1 | 0 | 1 | 2,681 | 108 | 1 | 0 | 1 |
| | | | Type V | 2,742 | 111 | 1 | 0 | 0 | 2,557 | 103 | 1 | 0 | 0 |
| EasyLED 37w | 525 | 43 | Type III | 4,834 | 118 | 1 | 0 | 1 | 4,508 | 110 | 1 | 0 | 1 |
| | | | Type V | 4,611 | 113 | 2 | 0 | 0 | 4,300 | 105 | 2 | 0 | 0 |
### Projected Lumen Maintenance
| Data shown for 5000 CCT | Compare to MH |
|-------------------------|---------------|
| TM-21-11 | |
| L70 Lumen Maintenance @ 25°C / 77°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 25°C |
| | 24 | 1.00 | 0.98 | 0.97 | 0.93 | 429,000 |
| | 43 | 1.00 | 0.98 | 0.95 | 0.91 | 320,000 |
| TM-21-11 | |
| L70 Lumen Maintenance @ 50°C / 122°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 50°C |
| | 24 | 1.00 | 0.97 | 0.94 | 0.88 | 259,000 |
| | 43 | 1.00 | 0.95 | 0.89 | 0.79 | 141,000 |
| TM-21-11 | |
| L80 Lumen Maintenance @ 40°C / 104°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L80@ 40°C |
| | 24 | 1.00 | 0.97 | 0.95 | 0.90 | 195,000 |
| | 43 | 1.00 | 0.96 | 0.93 | 0.85 | 134,000 |
**NOTES:**
1. Projected per IESNA TM-21-11. Data references the extrapolated performance projections for the 525mA base model in a 25°C ambient, based on 10,000 hours of LED testing per IESNA LM-80-08.
2. Compare to MH box indicates suggested Light Loss Factor (LLF) to be used when comparing to Metal Halide (MH) systems.
### Photometric Data
![Graphs showing photometric data]
### Amber LED - Spectral Chart
![Spectral chart showing relative radiant power vs wavelength]
The LEPG AmberLED garage luminaire with optional integral sensor is available in two wattages with an IES Type V distribution designed to replace HID lighting systems up to 175w MH or HPS for wildlife or security applications requiring monochromatic AMBER light. LEDs operate between 585 and 595 nm, greater than 560nm required for wildlife protection. Typical parking garage applications include retail centers, industrial parks, schools and universities, public transit and airports, office buildings and medical facilities. Mounting heights of 8 to 14 feet can be used based on light level and uniformity requirements.
**SPECIFICATIONS & FEATURES:**
- **Housing:** Low Profile Die Cast Aluminum Housing
- 1/2” coin plugs with O-rings for conduit or External Sensor
- Built-in Sensor Housing with Color-Matched Polycarbonate Cover
- A Clear cover will be provided when a sensor is ordered
- **Listing and Rating:**
- CSA: Listed for Wet Locations
- IP65 Sealed LED Compartment
- ANSI/UL 1598,8750
- **Finish:** Textured Architectural Bronze or Black Powdercoat Finish over a Chromate Conversion Coating
- Custom Colors Available Upon Request
- **Lens:** Molded UV-Resistant Acrylic Optical Lens Designed for Garage Lighting Applications
- **AmberLED:** Aluminum Boards
- **Driver:** Electronic Driver
- 120-277v
- 50/60Hz
- Dimmable Driver
- **Wattage:**
- 39w: Array 39w, System 43.4w
- 52w: Array: 52w, System: 57.2w (Up to 175w HID Equivalent)
- **Mounting Options:**
- Included Easy-Hang Bracket fits standard 4” Electrical Box
- One-Person Installation
- Optional Quick-Mount / Pendant Bracket Available
---
**Order Example:** 12FX-Q55-ALED-AGL-V-22-U-AM-Z-PC1
| Model | Optics | Wattage | Driver | CCT | Color | Options |
|----------------|--------|---------|----------|---------|-------|---------|
| 12FX-Q55-ALED-AGL | | | | | | |
**Order Description**
| Model | Optics | Wattage | Driver | CCT | Color | Options |
|----------------|--------|---------|----------|---------|-------|---------|
| 12FX-Q55-ALED-AGL | F = Type V | 22 = 22w, 37 = 37w | U = 120-277V | AM = Amber | W = White, Z = Bronze, C = Custom | SF = Single Fuse, DF = Double Fuse, SP = Surge Protection, PCL = Photocell, 120VAC, PC2 = Photocell, 250-305VAC, S2 = Internal Microwave Sensor with Dimming for Mounting Heights of 15’ or Less, QM = Quick Mount/ Pendant Mount, BU = Battery Backup, 90 Minutes |
**Amber LED - Spectral Chart**
**Type V**
Grid in MH
MH=12 Feet
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | AmberLEDs |
|-----------------|--------------------|-------------|--------|-----------|
| AmberLED 39w | 117 | 43 | Type V | Lumens: 1,877, LPW: 43, B: 1, U: 1, G: 0 |
| AmberLED 52w | 117 | 57 | Type V | Lumens: 2,292, LPW: 40, B: 2, U: 2, G: 1 |
### Projected Lumen Maintenance
| Data shown for AmberLED TM-21-11 | Input Watts | Initial | Compare to MH |
|----------------------------------|-------------|---------|---------------|
| L70 Lumen Maintenance @ 25°C / 77°F | 57 | 1.00 | 25,000 Hrs |
| | | | 50,000 Hrs |
| | | | 100,000 Hrs |
| | | | Calculated L70@ 25°C |
| L70 Lumen Maintenance @ 50°C / 122°F | 57 | 1.00 | 25,000 Hrs |
| | | | 50,000 Hrs |
| | | | 100,000 Hrs |
| | | | Calculated L70@ 50°C |
| L80 Lumen Maintenance @ 40°C / 104°F | 57 | 1.00 | 25,000 Hrs |
| | | | 50,000 Hrs |
| | | | 100,000 Hrs |
| | | | Calculated L80@ 40°C |
The LEPG AmberLED cut-off wall pack luminaire is available in an IES Type V distribution designed to replace HID lighting systems 175w to 250 MH or HPS for wildlife or security applications requiring monochromatic AMBER light. LEDs operate between 585 and 595 nm, greater than 560nm required for wildlife protection. Typical wall mounted lighting applications include retail centers, industrial parks, schools and universities, office buildings and medical facilities. Mounting heights of 12 to 18 feet can be used based on light level and uniformity requirements.
**SPECIFICATIONS & FEATURES:**
- **Housing:** Die Cast Hinged and Gasketed Aluminum Front Frame and Housing, 1/2” coin plugs, Nickel-Plated Stainless Steel Hardware, Photocell Adaptable
- **Listing and Rating:** CSA: Listed for Wet Locations, IP55 Sealed LED Compartment, ANSI/UL 1598,8750
- **Finish:** Textured Architectural Bronze or Black Powdercoat Finish over a Chromate Conversion Coating, Custom Colors Available Upon Request
- **Lens:** Tempered Clear Flat Glass Lens or Tempered Clear Flat Prismatic Glass Lens
- **AmberLED:** Aluminum Boards
- **Driver:** Electronic Driver, 120-277v, 50/60Hz, Dimmable Driver
- **Wattage:** 22w: Array, System 24.8w, 175w HID Equivalent
- **Mounting Options:** Cast-in Template for Mounting Directly over a 4” Recessed Outlet Box, Use ½” Surface Conduit
**Order Example:** 12FX-Q12-ALED-MWP-V-37-U-AM-Z-PC1
| Model | Optics | Wattage | Driver | CCT | Color | Options |
|----------------|--------|---------|----------|---------|-------|---------------|
| 12FX-Q12-ALED-MWP | | | | | | |
**Order Description**
| Model | Optics | Wattage | Driver | CCT | Color | Options |
|----------------|--------|---------|----------|---------|-------|---------------|
| 12FX-Q12-ALED-MWP | F = Type V | 37 = 37w | U = 120-277V | AM = Amber | Z = Bronze C = Custom | SF = Single Fuse DF = Double Fuse SP = Surge Protection PC1 = Photocell, 120VAC PC2 = Photocell, 250-305VAC BU = Battery Backup, 90 Minutes |
Type V
Grid in MH
MH=10 Feet
### Amber LED - Spectral Chart
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | Lumens | LPW | B | U | G |
|-----------------|--------------------|-------------|----------|--------|-----|----|----|----|
| AmberLED 22w | 525 | 25 | Type V | 794 | 32 | 0 | 1 | 0 |
### Projected Lumen Maintenance
| Data shown for Amber LEDs | Compare to MH |
|---------------------------|---------------|
| TM-21-11 | |
| L70 Lumen Maintenance @ 25°C / 77°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 25°C |
| | 25 | 1.00 | 0.96 | 0.92 | 0.85 | 196,000 |
| TM-21-11 | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 50°C |
| L70 Lumen Maintenance @ 50°C / 122°F | 25 | 1.00 | 0.93 | 0.86 | 0.73 | 110,000 |
| TM-21-11 | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L80@ 40°C |
| L80 Lumen Maintenance @ 40°C / 104°F | 25 | 1.00 | 0.94 | 0.88 | 0.76 | 84,000 |
The LEPG AmberLED cut-off wall pack luminaire is available in an IES Type V distribution designed to replace HID lighting systems 175w to 250 MH or HPS for wildlife or security applications requiring monochromatic AMBER light. LEDs operate between 585 and 595 nm, greater than 560nm required for wildlife protection. Typical wall mounted lighting applications include retail centers, industrial parks, schools and universities, office buildings and medical facilities. Mounting heights of 12 to 18 feet can be used based on light level and uniformity requirements.
Order Example: 12FX-Q15-ALED-MWP-V-37-U-AM-Z-PC1
| Model | Optics | Wattage | Driver | CCT | Color | Options |
|----------------|--------|---------|------------|-------|-------|---------------|
| 12FX-Q15-ALED-MWP | | | | | | |
**Order Description**
| Model | Optics | Wattage | Driver | CCT | Color | Options |
|----------------|--------|---------|------------|-------|-------|---------------|
| 12FX-Q15-ALED-MWP | F = Type V | 37 = 37w | U = 120-277V | AM = Amber | Z = Bronze C = Custom | SF = Single Fuse DF = Double Fuse SP = Surge Protection PC1 = Photocell, 120VAC PC2 = Photocell, 250-305VAC BU = Battery Backup, 90 Minutes |
**Type V**
Grid in MH
MH=16 Feet
### Amber LED - Spectral Chart
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | Lumens | LPW | B | U | G |
|-----------------|--------------------|-------------|---------|--------|-----|---|---|---|
| AmberLED 37w | 525 | 40 | Type V | 1,279 | 32 | 1 | 1 | 0 |
### Projected Lumen Maintenance
| Data shown for Amber LEDs | Compare to MH |
|---------------------------|---------------|
| TM-21-11 | Input Watts |
| L70 Lumen Maintenance @ 25°C / 77°F | Initial 25,000 Hrs 50,000 Hrs 100,000 Hrs Calculated L70@ 25°C |
| TM-21-11 | Input Watts |
| L70 Lumen Maintenance @ 50°C / 122°F | Initial 25,000 Hrs 50,000 Hrs 100,000 Hrs Calculated L70@ 50°C |
| TM-21-11 | Input Watts |
| L80 Lumen Maintenance @ 40°C / 104°F | Initial 25,000 Hrs 50,000 Hrs 100,000 Hrs Calculated L80@ 40°C |
12FX-Q53-ALED-VP
AMBER LED VAPORPROOF
SPECIFICATIONS & FEATURES:
Housing:
- Heavy Duty Die Cast Aluminum Housing with Integral Heat Sinking
- 3/4” NPS Threaded Mounts
Listing and Rating:
- CSA: Listed for Wet Locations
- IP66 Sealed LED Compartment
- ANSI/UL 1598,8750
Finish:
- Smooth Powdercoat Finish over a Chromate Conversion Coating
- Custom Colors Available Upon Request
Lens:
- Flat Clear Tempered Glass
AmberLED:
- Aluminum Boards
Driver:
- Electronic Driver
- 120-277v
- 50/60Hz
- Dimmable Driver
Wattage:
- Array: 22w, System: 27w
- (175w HID Equivalent)
Mounting Options:
- Pendant Mount
- Surface Mount
- Wall or Ceiling
- Gooseneck
The LEPG AmberLED LEDicated Vaporproof fixtures with a choice of mounting configurations are designed to replace HID lighting systems up to 175w MH or HPS for wildlife or security applications requiring monochromatic AMBER light. LEDs operate between 585 and 595 nm, greater than 560nm required for wildlife protection. This vapor resistant fixture can withstand extreme physical and environmental abuse and is ideal for retail centers, industrial parks, schools and universities, public transit and airports, office buildings and medical facilities. Mounting heights of 8 to 14 feet can be used based on light level and uniformity requirements.
Order Example: 12FX-Q53-ALED-VP-P-B-AS-F-23-U-AM-P-DF
| Model | Mount Style | Gooseneck Options | Shade Options | Optics | Wattage | Driver | CCT | Color | Options |
|----------------|-------------|--------------------|---------------|--------|---------|----------|---------|----------|---------|
| 12FX-Q53-ALED-VP | | | | | | | | | |
Order Description
| Model | Mount Style | Gooseneck Options | Shade Options | Optics | Wattage | Driver | CCT | Color | Options |
|----------------|-------------|--------------------|---------------|--------|---------|----------|---------|----------|---------|
| 12FX-Q53-ALED-VP | B = Box Mount (8½”) | A | AS = Angle Shade | F = Type V | 23 - 23w | U = 120-277V | AM = Amber | P = Platinum | SF = Single Fuse |
| | P = Pendant Mount (9¼”) | B | SS = Straight Shade | | | | | C = Custom (Consult Factory) | DF = Double Fuse |
| | W = Wall Mount (12”) | C | | | | | | | |
| | G = Gooseneck | D | | | | | | | |
| | | E | | | | | | | |
Maximum Candela = 463.918 Located At Horizontal Angle = 90, Vertical Angle = 2.5
#1 - Horizontal Cone Through Vertical Angle (2.5) (Through Max. Cd.)
#2 - Horizontal Cone Through Vertical Angle (2.5) (Through Max. Cd.)
VP53QF1X23UAM
Type V
MH=10 Feet
Grid in MH
### Amber LED - Spectral Chart
Relative Radiant Power (%)
| Wavelength (nm) | 380 | 430 | 480 | 530 | 580 | 630 | 680 | 730 | 780 |
|-----------------|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| | | | | | | | | | |
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | Lumens | LPW | B | U | G |
|-----------------|--------------------|-------------|--------|--------|-----|---|---|---|
| AmberLED 23w | 116 | 27 | Type V | 1,194 | 45 | 1 | 2 | 0 |
### Projected Lumen Maintenance
| Data shown for Amber LEDs | Compare to MH |
|---------------------------|---------------|
| TM-21-11 | |
| L70 Lumen Maintenance @ 25°C / 77°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 25°C |
| TM-21-11 | 27 | 1.00 | 0.96 | 0.92 | 0.84 | 187,000 |
| L70 Lumen Maintenance @ 50°C / 122°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 50°C |
| TM-21-11 | 27 | 1.00 | 0.93 | 0.86 | 0.72 | 107,000 |
| L80 Lumen Maintenance @ 40°C / 104°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L80@ 40°C |
| TM-21-11 | 27 | 1.00 | 0.94 | 0.88 | 0.76 | 82,000 |
The AmberLED Bollards with choice of optics are designed to replace HID lighting systems up to 70w MH or HPS for wildlife or security applications requiring monochromatic AMBER light. LEDs operate between 585 and 595 nm, greater than 560nm required for wildlife protection. These fixtures are ideal for retail centers, industrial parks, schools and universities, public transit and airports, office buildings and medical facilities.
**SPECIFICATIONS & FEATURES:**
- **Housing:** Formed 316L Stainless Steel Housing w/ Flush Mounting Base
- Vandal Resistant Screws
- Domed Top
- Internal Ballast Tray for Easy Maintenance
- Bollards can be cut to custom lengths upon request
- **Listing and Rating:** CSA: Listed for Wet Locations
- ANSI/UL 1598, 8750
- IP65 Sealed LED Compartment
- **Finish:** Textured Architectural Bronze or Black Powdercoat Finish over a Chromate Conversion Coating
- Custom Colors Available Upon Request
- **Lens:** Clear Polycarbonate Vandal-Resistant Lens
- **AmberLED:** Aluminum Boards
- **Mounting Options:** Mounting Kit with 8” Anchor Bolts, Included
- **Wattage:** Array: 14.5w
- System: 17w (70w HID Equivalent)
- **Driver:** Electronic Driver
- 120-277v
- 50/60Hz
- Dimmable Driver
- **Style:** Specially Designed Aluminum Cone Reflector
- Internal Louvers
---
**Order Example:** 12BOL-DBRA-QBOR-SS-ALED-L-42-F-15-U-AM-B-SF
| Model | Style | Height | Optics | Wattage | Driver | CCT | Color | Options |
|-------|-------|--------|--------|---------|--------|-----|-------|---------|
| 12BOL-DBRA-QBOR-SS-ALED | C = Cone Reflector | 42 = 42” | F = Wide Beam | 15 = 15w | U = 120-277V | AM = Amber | Z = Bronze | SF = Single Fuse |
| L = Louvers | 36 = 36” | | | | | | B = Black | DF = Double Fuse |
| 3 = Type III | 30 = 30” | | | | | | C = Custom | SP = Surge Protection |
| 5 = Type V | | | | | | | BU = Battery Backup |
---
**Order Description**
| Model | Style | Height | Optics | Wattage | Driver | CCT | Color | Options |
|-------|-------|--------|--------|---------|--------|-----|-------|---------|
| 12BOL-DBRA-QBOR-SS-ALED | C = Cone Reflector | 42 = 42” | F = Wide Beam | 15 = 15w | U = 120-277V | AM = Amber | Z = Bronze | SF = Single Fuse |
| L = Louvers | 36 = 36” | | | | | | B = Black | DF = Double Fuse |
| 3 = Type III | 30 = 30” | | | | | | C = Custom | SP = Surge Protection |
| 5 = Type V | | | | | | | BU = Battery Backup |
**Type V**
### Amber LED - Spectral Chart
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | Lumens | LPW | B | U | G |
|-----------------|--------------------|-------------|-----------------|--------|-----|----|----|----|
| AmberLED 15w | 116 | 17 | BOG3 Type III Glass | 277 | 16 | 0 | 2 | 0 |
| | | | BOG5 Type V Glass | 272 | 16 | 0 | 2 | 0 |
| | | | BOL Louvers | 187 | 11 | 0 | 1 | 0 |
| | | | BORL Cone Reflector | 360 | 21 | 0 | 2 | 0 |
### Projected Lumen Maintenance
| Data shown for Amber LEDs | Compare to MH |
|---------------------------|---------------|
| TM-21-11 | |
| L70 Lumen Maintenance @ 25°C / 77°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 25°C |
| | 17 | 1.00 | 0.95 | 0.90 | 0.80 | 147,000 |
| TM-21-11 | |
| L70 Lumen Maintenance @ 50°C / 122°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 50°C |
| | 17 | 1.00 | 0.89 | 0.78 | 0.55 | 67,000 |
| TM-21-11 | |
| L80 Lumen Maintenance @ 40°C / 104°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L80@ 40°C |
| | 17 | 1.00 | 0.92 | 0.85 | 0.70 | 66,000 |
The AmberLED Bollards with choice of optics are designed to replace HID lighting systems up to 70w MH or HPS for wildlife or security applications requiring monochromatic AMBER light. LEDs operate between 585 and 595 nm, greater than 560nm required for wildlife protection. These fixtures are ideal for retail centers, industrial parks, schools and universities, public transit and airports, office buildings and medical facilities.
**SPECIFICATIONS & FEATURES:**
- **Housing:** Extruded Aluminum Housing with Flush Mounting base
- Vandal Resistant Screws
- Flat Top
- Internal Ballast Tray for Easy Maintenance
- Bollards can be cut to custom lengths upon request
- **Listing and Rating:** CSA: Listed for Wet Locations
- ANSI/UL 1598, 8750
- IP65 Sealed LED Compartment
- **Finish:** Textured Architectural Bronze or Black Powdercoat Finish over a Chromate Conversion Coating
- Custom Colors Available Upon Request
- **Lens:** Clear Polycarbonate Vandal-Resistant Lens
- **AmberLED:** Aluminum Boards
- **Mounting Options:** Mounting Kit with 8” Anchor Bolts, Included
- **Wattage:** Array: 14.5w
- System: 17w (70w HID Equivalent)
- **Driver:** Electronic Driver
- 120-277v
- 50/60Hz
- Dimmable Driver
- **Style:** IES Type III or V Clear Prismatic Borosilicate Glass Refractor
- Specially Designed Aluminum Cone Reflector
- Internal Louvers
---
**Order Example:** 12BOL-FBSA-QBOS-ALED-L-42-F-15-U-AM-B-SF
| Model | Style | Height | Optics | Wattage | Driver | CCT | Color | Options |
|-------|-------|--------|--------|---------|--------|-----|-------|---------|
| 12BOL-FBSA-QBOS-ALED- | C = Cone Reflector | 42 = 42” | F = Wide Beam | 15 = 15w | U = 120-277V | AM = Amber | Z = Bronze | SF = Single Fuse |
| L = Louvers | 36 = 36” | | | | | | B = Black | DF = Double Fuse |
| 3 = Type III | 30 = 30” | | | | | | C = Custom | SP = Surge Protection |
| 5 = Type V | | | | | | | BU = Battery Backup |
---
**Order Description**
| Model | Style | Height | Optics | Wattage | Driver | CCT | Color | Options |
|-------|-------|--------|--------|---------|--------|-----|-------|---------|
| 12BOL-FBSA-QBOS-ALED | C = Cone Reflector | 42 = 42” | F = Wide Beam | 15 = 15w | U = 120-277V | AM = Amber | Z = Bronze | SF = Single Fuse |
| L = Louvers | 36 = 36” | | | | | | B = Black | DF = Double Fuse |
| 3 = Type III | 30 = 30” | | | | | | C = Custom | SP = Surge Protection |
| 5 = Type V | | | | | | | BU = Battery Backup |
**Type V**
### Amber LED - Spectral Chart
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | Lumens | LPW | B | U | G |
|-----------------|--------------------|-------------|-----------------|--------|-----|----|----|----|
| AmberLED 15w | 116 | 17 | BOG3 Type III Glass | 277 | 16 | 0 | 2 | 0 |
| | | | BOG5 Type V Glass | 272 | 16 | 0 | 2 | 0 |
| | | | BOL Louvers | 187 | 11 | 0 | 1 | 0 |
| | | | BORL Cone Reflector | 360 | 21 | 0 | 2 | 0 |
### Projected Lumen Maintenance
| Data shown for Amber LEDs | Compare to MH |
|---------------------------|---------------|
| TM-21-11 | Input Watts |
| L70 Lumen Maintenance @ 25°C / 77°F | Initial 25,000 Hrs 50,000 Hrs 100,000 Hrs Calculated L70@ 25°C |
| TM-21-11 | Input Watts |
| L70 Lumen Maintenance @ 50°C / 122°F | Initial 25,000 Hrs 50,000 Hrs 100,000 Hrs Calculated L70@ 50°C |
| TM-21-11 | Input Watts |
| L80 Lumen Maintenance @ 40°C / 104°F | Initial 25,000 Hrs 50,000 Hrs 100,000 Hrs Calculated L80@ 40°C |
The AmberLED Bollards with choice of optics are designed to replace HID lighting systems up to 70w MH or HPS for wildlife or security applications requiring monochromatic AMBER light. LEDs operate between 585 and 595 nm, greater than 560nm required for wildlife protection. These fixtures are ideal for retail centers, industrial parks, schools and universities, public transit and airports, office buildings and medical facilities.
**SPECIFICATIONS & FEATURES:**
- **Housing:** Extruded Aluminum Housing with Flush Mounting base
- Vandal Resistant Screws
- Domed Top
- Internal Ballast Tray for Easy Maintenance
- Bollards can be cut to custom lengths upon request
- **Listing and Rating:** CSA: Listed for Wet Locations
- ANSI/UL 1598, 8750
- IP65 Sealed LED Compartment
- **Finish:** Textured Architectural Bronze or Black Powdercoat Finish over a Chromate Conversion Coating
- Custom Colors Available Upon Request
- **Lens:** Clear Polycarbonate Vandal-Resistant Lens
- **AmberLED:** Aluminum Boards
- **Mounting Options:** Mounting Kit with 8” Anchor Bolts, Included
- **Wattage:** Array: 14.5w
- System: 17w (70w HID Equivalent)
- **Driver:** Electronic Driver
- 120-277v
- 50/60Hz
- Dimmable Driver
- **Style:** IES Type III or V Clear Prismatic Borosilicate Glass Refractor
- Specially Designed Aluminum Cone Reflector
- Internal Louvers
---
**Order Example:** 12BOL-DBRA-QBOR-ALED-L-42-F-15-U-AM-B-SF
| Model | Style | Height | Optics | Wattage | Driver | CCT | Color | Options |
|-------|-------|--------|--------|---------|--------|-----|-------|---------|
| 12BOL-DBRA-QBOR-ALED- | C = Cone Reflector | 42 = 42” | F = Wide Beam | 15 = 15w | U = 120-277V | AM = Amber | Z = Bronze | SF = Single Fuse |
| L = Louvers | 36 = 36” | | | | | | B = Black | DF = Double Fuse |
| 3 = Type III | 30 = 30” | | | | | | C = Custom | SP = Surge Protection |
| 5 = Type V | | | | | | | BU = Battery Backup |
---
**Order Description**
| Model | Style | Height | Optics | Wattage | Driver | CCT | Color | Options |
|-------|-------|--------|--------|---------|--------|-----|-------|---------|
| 12BOL-DBRA-QBOR-ALED | C = Cone Reflector | 42 = 42” | F = Wide Beam | 15 = 15w | U = 120-277V | AM = Amber | Z = Bronze | SF = Single Fuse |
| L = Louvers | 36 = 36” | | | | | | B = Black | DF = Double Fuse |
| 3 = Type III | 30 = 30” | | | | | | C = Custom | SP = Surge Protection |
| 5 = Type V | | | | | | | BU = Battery Backup |
**Amber LED - Spectral Chart**
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | Lumens | LPW | B | U | G |
|-----------------|--------------------|-------------|-----------------|--------|-----|----|----|----|
| AmberLED 15w | 116 | 17 | BOG3 Type III Glass | 277 | 16 | 0 | 2 | 0 |
| | | | BOG5 Type V Glass | 272 | 16 | 0 | 2 | 0 |
| | | | BOL Louvers | 187 | 11 | 0 | 1 | 0 |
| | | | BORL Cone Reflector | 360 | 21 | 0 | 2 | 0 |
### Projected Lumen Maintenance
| Data shown for Amber LEDs | Compare to MH |
|---------------------------|---------------|
| TM-21-11 | |
| L70 Lumen Maintenance @ 25°C / 77°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 25°C |
| | 17 | 1.00 | 0.95 | 0.90 | 0.80 | 147,000 |
| TM-21-11 | |
| L70 Lumen Maintenance @ 50°C / 122°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 50°C |
| | 17 | 1.00 | 0.89 | 0.78 | 0.55 | 67,000 |
| TM-21-11 | |
| L80 Lumen Maintenance @ 40°C / 104°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L80@ 40°C |
| | 17 | 1.00 | 0.92 | 0.85 | 0.70 | 66,000 |
The AmberLED Bollards with choice of optics are designed to replace HID lighting systems up to 70w MH or HPS for wildlife or security applications requiring monochromatic AMBER light. LEDs operate between 585 and 595 nm, greater than 560nm required for wildlife protection. These fixtures are ideal for retail centers, industrial parks, schools and universities, public transit and airports, office buildings and medical facilities.
**SPECIFICATIONS & FEATURES:**
- **Housing:** Extruded Aluminum Housing with Flush Mounting base
- Vandal Resistant Screws
- Flat Top
- Internal Ballast Tray for Easy Maintenance
- Bollards can be cut to custom lengths upon request
- **Listing and Rating:** CSA: Listed for Wet Locations
- ANSI/UL 1598, 8750
- IP65 Sealed LED Compartment
- **Finish:** Textured Architectural Bronze or Black Powdercoat Finish over a Chromate Conversion Coating
- Custom Colors Available Upon Request
- **Lens:** Clear Polycarbonate Vandal-Resistant Lens
- **AmberLED:** Aluminum Boards
- **Mounting Options:** Mounting Kit with 8” Anchor Bolts, Included
- **Wattage:** Array: 14.5w
- System: 17w (70w HID Equivalent)
- **Driver:** Electronic Driver
- 120-277v
- 50/60Hz
- Dimmable Driver
- **Style:** IES Type III or V Clear Prismatic Borosilicate Glass Refractor
- Specially Designed Aluminum Cone Reflector
- Internal Louvers
---
**Order Example:** 12BOL-FBRA-QBOF-ALED-L-42-F-15-U-AM-B-SF
| Model | Style | Height | Optics | Wattage | Driver | CCT | Color | Options |
|-------|-------|--------|--------|---------|--------|-----|-------|---------|
| 12BOL-FBRA-QBOF-ALED- | | | | | | | |
**Order Description**
| Model | Style | Height | Optics | Wattage | Driver | CCT | Color | Options |
|-------|-------|--------|--------|---------|--------|-----|-------|---------|
| 12BOL-DBFA-QBOF-ALED | C = Cone Reflector | 42 = 42” | F = Wide Beam | 15 = 15w | U = 120-277V | AM = Amber | Z = Bronze | SF = Single Fuse |
| L = Louvers | 36 = 36” | | | | | | B = Black | DF = Double Fuse |
| 3 = Type III | 30 = 30” | | | | | | C = Custom | SP = Surge Protection |
| 5 = Type V | | | | | | | BU = Battery Backup |
**Type V**
### Amber LED - Spectral Chart
### Photometric Performance
| LED Board Watts | Drive Current (mA) | Input Watts | Optics | Lumens | LPW | B | U | G |
|-----------------|--------------------|-------------|-----------------|--------|-----|----|----|----|
| AmberLED 15w | 116 | 17 | BOG3 Type III Glass | 277 | 16 | 0 | 2 | 0 |
| | | | BOG5 Type V Glass | 272 | 16 | 0 | 2 | 0 |
| | | | BOL Louvers | 187 | 11 | 0 | 1 | 0 |
| | | | BORL Cone Reflector | 360 | 21 | 0 | 2 | 0 |
### Projected Lumen Maintenance
| Data shown for Amber LEDs | Compare to MH |
|---------------------------|---------------|
| TM-21-11 | |
| L70 Lumen Maintenance @ 25°C / 77°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 25°C |
| | 17 | 1.00 | 0.95 | 0.90 | 0.80 | 147,000 |
| TM-21-11 | |
| L70 Lumen Maintenance @ 50°C / 122°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L70@ 50°C |
| | 17 | 1.00 | 0.89 | 0.78 | 0.55 | 67,000 |
| TM-21-11 | |
| L80 Lumen Maintenance @ 40°C / 104°F | Input Watts | Initial | 25,000 Hrs | 50,000 Hrs | 100,000 Hrs | Calculated L80@ 40°C |
| | 17 | 1.00 | 0.92 | 0.85 | 0.70 | 66,000 |
|
f711018c-a58a-4dec-9ef8-fd98d8a0591e
|
CC-MAIN-2024-38
|
http://www.1254industries.com/wp-content/uploads/2017/12/Amber-Catalog.pdf
|
2024-09-19T00:32:49+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-38/subset=warc/part-00286-781f89b0-54ef-4e32-b51d-e5860e733e3a.c000.gz.parquet
| 34,587,233
| 12,048
|
eng_Latn
|
eng_Latn
| 0.644705
|
eng_Latn
| 0.877929
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
75,
3232,
5237,
8872,
11533,
14037,
15670,
17774,
19085,
20384,
21363,
24147,
25904,
28297,
30030,
32471,
33776,
36218,
37937,
40076,
41804
] |
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 1 of 12
FILED
District Court
Clerk
IN THE UNITED STATES DISTRICT COURT FOR THE NORTHERN MARIANA ISLANDS
JUN 02 2020
UNITED STATES OF AMERICA,
Case No. 1:18-cr-00013
(Deputy Clerk)
Plaintiff, vs.
EFRAIM ATALIG and EVELYN ATALIG,
Defendants.
Defendants Efraim Atalig and Evelyn Atalig have filed a motion to sanction the United States (ECF No. 177). In their motion, the Ataligs 1 accuse an FBI special agent of ex parte communications with their expert witness and attempted witness tampering. The government filed an opposition (ECF No. 181), and the Ataligs filed a reply (ECF No. 186). To establish a factual record of the events underlying this motion, the Court held an evidentiary hearing on May 20, 2020. (Minute Entry, ECF No. 214.) Having now considered both the evidence and the parties' legal arguments, the Court denies the Ataligs' motion for the following reasons.
I. Procedural Background
Efraim Atalig is the incumbent mayor of Rota, one of the three principal islands in the Commonwealth of the Northern Mariana Islands (CNMI). Evelyn Atalig is a public servant in the Women's Affairs Office on Rota. On November 28, 2018, a federal grand jury indicted the Ataligs on charges of misappropriating public funds and lying to investigating agents. 2 The charges stem
1 Although the Ataligs have the same surname, it does not appear from the record that they are married or closely related. Nonetheless, the Court refers to them jointly for convenience.
2 The specific counts are: (1) conspiracy in violation of 18 U.S.C. §§ 1343, 666, and 371; (2) wire fraud in violation of 18 U.S.C. §§ 2 and 1343; (3) theft from a program receiving federal funds in violation of 18 U.S.C. §§ 2 and 666(a)(1)(A) and (b); (4) and (5) false statement in violation of 18 U.S.C. § 1001(a)(2). (Superseding Indictment, ECF No. 23 at 5–8.)
DECISION AND ORDER DENYING DEFENDANTS' MOTION FOR SANCTIONS
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 2 of 12
from several off-island trips that the Ataligs took in 2018, including to California and Palau. (Superseding Indictment, ECF No. 23 at 5–8.) The government alleges that these trips were personal in nature, and that the Ataligs used their public office to defraud the CNMI government into funding them. (Id.)
Trial was originally scheduled for March 10, 2020. (Order Granting Continuance, ECF No. 91.) At the February 12 pretrial conference, the Court ordered the parties to disclose their witness lists by March 3, 2020. (Minute Entry, ECF No. 112 at 1.) On March 6, 2020, three days after the witness-disclosure deadline and four days before trial, the Ataligs filed a motion to amend their witness list to add an expert witness, Dr. Gregory Vecchi. (ECF No. 168.) The motion stated that Dr. Vecchi has 19 years of experience in the FBI and would testify about the interviewing techniques used by the agents who investigated this case. (Id. at 2.)
Shortly after receiving the Ataligs' motion, Assistant U.S. Attorney Eric O'Malley sent defense counsel a request under Fed. R. Crim. P. 16(b)(1)(C) for a summary of Dr. Vecchi's intended testimony. (Affidavit of Eric O'Malley, ECF No. 181-2 ¶ 4.) Then on March 8, O'Malley met with the two main investigators in this case—FBI Special Agent Haejun Park and CNMI Office of the Public Auditor Investigator Travis Hurst. (Id. ¶ 6.) Because counsel had not responded to O'Malley's discovery request, Agent Park proposed calling Dr. Vecchi directly. (Id. ¶¶ 3–4.) With trial less than two days away, O'Malley agreed to the call for the purpose of obtaining information ordinarily given in a Rule 16 expert witness summary—i.e., "the witness's opinions, the bases and reasons for those opinions, and the witness's qualifications." 3 (Id. ¶¶ 3–6.) Agent Park stepped into a corner of the room and successfully called Dr. Vecchi. (Id. ¶ 6.) While Agent Park and Dr. Vecchi spoke over the phone, O'Malley continued working with Hurst. (Id.)
3 Fed. R. Crim. P. 16(b)(1)(C).
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 3 of 12
Consequently, O'Malley did not overhear much of the call. (Id.) Agent Park eventually hung up and relayed to O'Malley that Dr. Vecchi said he was not formally hired and knew very little about the case. (Id at 7.)
For reasons not relevant here, the March 10 trial did not go forward. 4 (Minute Entry, ECF No. 175). Two days later, on March 12, the Ataligs filed their motion to sanction the government for Agent Park's phone call. ("Motion," ECF No. 177.) The Ataligs argue that the government should be sanctioned for what Agent Park said to Dr. Vecchi, as well as the fact that he called Dr. Vecchi without first notifying defense counsel.
II. The May 20 Evidentiary Hearing
Three witnesses—Dr. Vecchi, Investigator Hurst, and Agent Park—testified at the hearing. (ECF No. 214-1.) The Court also received affidavits from each witness into evidence. (Id.) The affidavits and live testimony largely overlap in content.
1. Dr. Vecchi's Testimony
Dr. Vecchi has a Ph.D. in Conflict Analysis and Resolution. (Tr. 5:18–19.) 5 He is a professor of criminal justice at Missouri Western State University and an instructor at the university's law enforcement academy. (Tr. 6:4–9.) In the latter role, Dr. Vecchi teaches classes to police officers on interview and interrogation, profiling behavioral analysis, deception detection, criminal investigation, hostage and crisis negotiation, and firearms. (Tr. 6: 9–19.) Before joining academia, Dr. Vecchi was an FBI special agent for 17 years, until retiring in 2014. (Tr. 7:21–24.) As an FBI special agent, Dr. Vecchi was deployed to Iraq in 2004 to supervise logistics. (Tr. 7:25– 8:8.) While in Iraq, Dr. Vecchi met Agent Park, also deployed as an FBI special agent. (Tr. 10:6– 8.) However, the two were on different teams and only interacting socially. (Tr. 10:9–14.) Dr.
4 The trial is now scheduled for August 4, 2020. (Minute Entry, ECF No. 214.) 5 "Tr." refers to Volume I of the evidentiary hearing transcript (ECF No. 224).
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 4 of 12
Vecchi left Iraq after three months and did not have any correspondence with Agent Park until the March 7 phone call approximately sixteen years later. (Exhibit D1, ECF No. 186-1.)
On March 5, 2020, the defense team contacted Dr. Vecchi to ask if he would serve as an expert witness in this case. (Tr. 36:19–37:12.) Dr. Vecchi provided his credentials, and the defense gave him a detailed synopsis of the case, including confidential information. (Tr. 37:18–24; 39:17– 19; 41:25–42:1.) The defense also provided materials that Dr. Vecchi reviewed while waiting for the Court to approve his fee. (Tr. 46:14–15.) By that point, Dr. Vecchi thought he would probably serve as a defense expert in this case. (Tr. 49:4–10.) And ultimately, his fee was approved. (Tr. 46:9–10.)
Two days after the defense team contacted him, Dr. Vecchi answered Agent Park's call at his home in Deadwood, South Dakota. 6 (Tr. 17:6–12.) The call lasted approximately 9–10 minutes. (Tr. 17:17–18.) Before explaining his reason for calling, Agent Park first identified himself and reminded Dr. Vecchi about their time in Iraq together. (17:19–25.) For the first third of the phone call—about three minutes—the two reminisced about Iraq. (Tr. 18:13–17.) Afterwards, Agent Park pivoted to asking Dr. Vecchi what role he was serving as an expert witness in this case and what he planned to testify about. (Tr. 19:1–21; 58:14–22.). Dr. Vecchi asked Agent Park what his involvement in the case was, and Agent Park answered that he was the case agent. (Tr. 19:1–10.) In Dr. Vecchi's opinion, Agent Park sounded confident and gave the impression that the prosecution had a strong case. (Exhibit D1.)
Dr. Vecchi felt that the initial three minutes spent reminiscing about Iraq was a "pretext" and "obvious ruse" designed to manipulate him into divulging sensitive defense information. (Tr. 22:1–16; 25:5–6.) In Dr. Vecchi's words:
25
26 6 Because Saipan is 16 hours ahead of Deadwood, the call happened on two different dates simultaneously. For Dr. Vecchi, it was March 7 at 8:15 p.m., while for Agent Park it was March 8 at 12:15 p.m. (Tr. 17:13–14.)
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 5 of 12
1
5 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 to. What I was going to do. And that – that's clearly an attempt to divulge sensitive information, because I had sensitive information at the time that – that was given to me, you know, before I got the rest of the information. And that's clearly an (Tr. 20:13–24.) Dr. Vecchi further stated: "you don't go talking to witnesses that are clearly going to be testifying or expected to testify for the defense without permission from the defense." (Tr. 63:12–14.) Because Dr. Vecchi believed Agent Park was attempting to manipulate him, he decided to "do [to Agent Park] what he was doing to me." (Tr. 52:6–8.) Dr. Vecchi "wasn't going to give [Agent Park] any information on what he previously wanted to know about." (Tr. 60:1–3.) Consequently, Dr. Vecchi lied that he had not reviewed any materials in the case, did not know anything, and was not sure of his involvement. (Tr. 49:13–21; 52:4–8.) Before ending the call, Agent Park asked Dr. Vecchi whether he knew Jay Wolfe, the defense investigator. (Tr. 21:11–13.) Although Dr. Vecchi knew that Wolfe was part of the defense team, he told Agent park that he "really didn't know Jay [Wolfe] at the time." (Tr. 21:14–16.) Agent Park then told Dr. Vecchi that Wolfe was a problem. (Tr. 26:19–20.) Agent Park elaborated that Wolfe, a former FBI agent, was fired and escorted out of the FBI after an internal investigation found he had character issues and bad work history. (Tr. 26:20–23.) Dr. Vecchi believed that Agent Park was disparaging Wolfe to dissuade Dr. Vecchi from serving as an expert for the defense. (Tr. 22:25–23:12.) Nevertheless, Dr. Vecchi testified that nothing Agent Park said would cause him to alter his expert witness testimony in any way. (Tr. 87:16–25.) 2. Travis Hurst's Testimony Hurst confirmed that he and Agent Park were in the same room during the phone call. (Tr. 99:16–20.) O'Malley was also there for a portion of the call. (Tr. 99:21–22.) From Hurst's
[T]rying to build rapport . . . [a]nd then trying to get me to give him information that – what I was going to do for the case. And what – what I was going to testify attempt, a manipulation, if you will.
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 6 of 12
understanding, the purpose of the call was to find out what Dr. Vecchi's testimony at trial would be. (126:23–127:2.) While Agent Park spoke to Dr. Vecchi, Hurst and O'Malley worked on trial preparation. (Tr. 104:17–18.) Hurst overheard part of the phone call but was not listening in carefully (Tr. 18–19.) He heard Agent Park tell Dr. Vecchi that Wolfe no longer worked at the FBI and did not leave on his own terms. (Tr. 110:23–25.) However, Hurst could not recall overhearing anything about an internal investigation or Wolfe being escorted out. (Tr. 110:25–111:2.) Hurst was focused on other work with O'Malley, and Agent Park was across the room. (Tr. 111:6–7.)
3. Agent Park's testimony
Agent Park maintains that the purpose for the call was to find out what Dr. Vecchi planned to testify about in the Atalig trial. (Tr. 134:3–7.) Agent Park's account of the phone call is largely consistent with Dr. Vecchi's testimony. Park testified that during their 2004 deployments to Iraq, he and Dr. Vecchi lived in the same building and saw each other almost every day. (Tr. 136:11– 19.) Sixteen years later, when he saw the Ataligs' motion to add Dr. Vecchi as an expert witness, Agent Park found his phone number on the internet. (139:13–16.) Agent Park was in a conference room with O'Malley and Hurst, and he stepped five to ten feet away to make the call. (Tr. 139:24– 140:4.) Before Agent Park revealed himself as the case investigator, he and Dr. Vecchi first reminisced about Iraq for two or three minutes. (Tr. 138:14–23.) Agent Park was trying to confirm his identity to Dr. Vecchi, considering how much time had passed since they last spoke. (141:9– 11.) When Agent Park did ask Dr. Vecchi what he would be testifying about, Dr. Vecchi answered, "I have no clue." (Tr. 142:5–7.) Agent Park next asked Dr. Vecchi whether Wolfe, the defense investigator, had contacted him. (Tr. 142:22–23.) Dr. Vecchi responded that he did not know who Wolfe was. (143:1–2.) Agent Park told Dr. Vecchi that Wolfe was a former FBI agent and that he was recently terminated and escorted out of the FBI after an internal investigation. (Tr. 144:6–9.;
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 7 of 12
146:3–7; 157:12–15.) Agent Park did not believe his statements about Wolfe were disparaging "[b]ecause they're facts." (Tr. 167: 15–22.) Rather, Agent Park felt that what he said about Wolfe was "a professional courtesy" in response to Dr. Vecchi's claim that he did not know who Wolfe was. (Tr. 155:22–156:3; 157:12–15.)
III. Legal Standard
District courts have the inherent supervisory power to sanction the government when necessary "to remedy a violation of recognized statutory, procedural, or constitutional rights." United States v. Woodley, 9 F.3d 774, 782 (9th Cir. 1993). Even so, "a court may not exercise any supervisory power absent a clear basis in fact and law for doing so." United States v. Gatto, 763 F.2d 1040, 1046 (9th Cir. 1985) (internal quotation marks omitted). Separation of powers suggests that any exercise of supervisory power "can be justified only when a recognized right has been violated." Id.
IV. Discussion
The Ataligs make two arguments in support of their motion for sanctions. 7 First, they claim that it was unlawful for Agent Park to contact Dr. Vecchi without first notifying defense counsel. (Motion at 5–6.) Second, they assert that Agent Park's statements to Dr. Vecchi were an attempt to dissuade him from serving as a defense witness, and that this alone justifies sanctions. (Id. at 5– 6.) The Court will address each issue in turn.
1. Ex parte communication with a defense expert witness
The Ataligs have not identified any rule or statute that says a member of the prosecution must notify opposing counsel before contacting one of their expert witnesses. The one case the
7 The motion does not specify what sanction the Ataligs are asking for; instead, the motion "would submit the question of what is the appropriate sanction(s) to the Court." (Motion at 8.) However, at the evidentiary hearing, defense counsel requested as a sanction a jury instruction that Agent Park attempted to tamper with a defense witnesses and that this bears on his credibility.
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 8 of 12
Ataligs rely on, Erickson v. Newmar Corp., 87 F.3d 298 (9th Cir. 1996), is plainly inapplicable. Erickson held that a former version of Federal Rules of Civil Procedure 26(b)(4) prohibited an attorney from contacting an opponent's expert witness. Id. at 301–03. However, as the opinion itself acknowledges, Rule 26 was subsequently amended to lift this prohibition. Id. at 301. Moreover, Erickson dealt with only civil procedure. There is no similar prohibition in the rules of criminal procedure. As defense counsel put it at the hearing: "there are no rules saying that you can, nor are there rules saying that you can't." (Tr. 68:10–11.) In other words, the Ataligs argue that the absence of a rule authorizing contact with a defense expert witness is tantamount to a prohibition.
On the contrary, case law indicates that no such prohibition exists. The Ninth Circuit's decision in United States v. Little, 753 F.2d 1420 (9th Cir. 1984), is particularly illustrative. In that case, the government learned mid-trial that the defense was planning to call a tax law professor as an expert witness. Id. at 1439. Prosecutors were curious about a possible relationship between the professor and one of the defendants, so an IRS special agent called the professor's office and lied to his secretary that an acquaintance had referred him. Id. The agent then asked the secretary about the professor's tax law practice and left a number for the professor to call him back. Id. When the secretary relayed the message to the professor, he became "chilled by the suspicious phone call because he suspected government involvement." Id. By that time the professor had already testified; however, defense counsel decided against calling him to testify on surrebuttal. Id. They then filed a motion to dismiss based on witness intimidation. Id. The district court denied the motion, finding no government misconduct, and the Ninth Circuit affirmed. Id. It specifically held that "there is nothing improper with investigation of trial witnesses. Indeed, such investigations are often necessary to collect information for cross-examination or impeachment purposes. A
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 9 of 12
telephone call is an appropriate means to conduct such an investigation." Id. at 1440.
What happened in this case is analogous. The government learned just four days before trial that the Ataligs intended to call Dr. Vecchi as an expert witness, and the AUSA's immediate request for a Rule 16 summary from defense counsel went unanswered. With the trial about to start, it was reasonable for Agent Park to call Dr. Vecchi and ask what he planned to testify about. That is not privileged information. See Fed. R. Crim. P. 16(b)(1)(C).
Nor was it clearly improper for Agent Park to spend the first few minutes of the conversation reminiscing with Dr. Vecchi. Given how much time has passed since the two met in Iraq, there was nothing wrong with exchanging three minutes of pleasantries before turning to the real purpose of the call. If it is not misconduct for the calling agent to lie and conceal his identity, as the Ninth Circuit held in Little, then it is surely not misconduct to spend a few minutes building "rapport." Accordingly, the Court does not find any misconduct up to the point when Agent Park brought up Jay Wolfe.
2. Agent Park's comments about Wolfe
The Ataligs allege that Agent Park's comments about their investigator Wolfe to Dr. Vecchi were an attempt to dissuade Dr. Vecchi from testifying as a defense witness. They argue that this violated the Model Rules of Professional Conduct, which govern attorney behavior in this District. See LR 1.5. Model Rule 3.4 states: "A lawyer shall not[] unlawfully obstruct another party's access to evidence or unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act." Model Rules of Prof'l Conduct r. 3.4 (Am. Bar Ass'n 2019). Thus, to establish a violation, the Ataligs must attribute Agent Park's actions to the prosecutor in this case, AUSA O'Malley. They have not done so. Although O'Malley was in the room with Agent Park during
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 10 of 12
the phone call, there is no evidence that he knew or had reason to suspect Agent Park would tell Dr. Vecchi about Wolfe's termination from the FBI. Consequently, the Court does not find that any government lawyer violated Rule 3.4.
The Court further notes that Agent Park's statements to Dr. Vecchi did not violate any of the Ataligs' due process rights. 8 In cases of alleged witness tampering, "[a] defendant's constitutional rights are implicated only where the [government] employs coercive or intimidating language or tactics that substantially interfere with a defense witness' decision whether to testify." United States v. Vavages, 151 F.3d 1185, 1189 (9th Cir. 1998). The two elements of the Vavages test are misconduct and substantial interference. Id. at 1188. To satisfy the substantial interference prong, a defendant must prove by a preponderance of the evidence that government misconduct either dissuaded a witness from testifying or caused the witness to alter his or her testimony. United States v. Juan, 704 F.3d 1137, 1142 (9th Cir. 2013). In other words, no matter how flagrant the misconduct, attempted witness tampering must succeed in order to violate a defendant's constitutional rights. See Thompson v. Patrick, No. 1:05CV00141ALAHC, 2008 WL 4532444, at *3 (E.D. Cal. Oct. 8, 2008) (denying a state inmate's § 2254 petition because there was no evidence that the alleged misconduct "had any impact on the substance of the testimony of any defense witness").
At the evidentiary hearing, the Court asked Dr. Vecchi whether any part of his conversation with Agent Park influenced him to alter his expert opinion in any way. (Tr. 87:16–24.) Dr. Vecchi responded without hesitation that it did not. (Tr. 87:22–25.) The record therefore establishes that nothing Agent Park did has substantially interfered with Dr. Vecchi's intended testimony.
In Lambert v. Blackwell, 387 F.3d 210 (3d Cir. 2004), the Third Circuit adopted the
8 The Ataligs did not brief the issue of a constitutional violation, but in the interests of justice the Court considers it.
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 11 of 12
Vavages test and applied it to similar facts. Lambert was a state inmate challenging her conviction under 28 U.S.C. § 2254. Id. at 218. The weekend before Lambert's trial, the state prosecutor discovered that the defendant's expert witness was someone the district attorney's office had employed in prior cases. Id. at 260. Without first notifying Lambert's lawyer, the prosecutor then called the expert witness and expressed frustration that the expert would agree to work for a criminal defendant. Id. at 261. When the defense team found out, they filed a motion asking the trial court to somehow sanction the state. Id. At a hearing on the sanctions motion, the expert witness testified that the prosecutor had failed to intimidate him and that he would not alter his testimony as a result of the phone call. Id. The trial court therefore found that there was no substantial interference, and it did not impose any sanctions on the prosecution. Id. After the defendant was convicted, the state appellate court affirmed the judge's decision not to sanction the prosecution for the phone call. Id. The appellate court said that although the phone call was "arguably improper conduct" it "did not affect the witness's testimony at trial." Id. The Third Circuit concurred, stating:
To be sure, we do not believe that [the prosecutor's] contact with [the expert witness] was entirely appropriate. At the very least, [the prosecutor] displayed a lack of judgment. Yet not every lapse of prosecutorial judgment violates the Constitution. Here, Lambert had to show that [the prosecutor] substantially interfered with [the expert's] choice to testify. The [state appellate] Court's conclusion that there was not substantial interference was, given the evidence before it, well within the bounds of reason.
Id. at 264.
The Court finds Lambert persuasive and will follow the same reasoning. In the context of a call to ask what Dr. Vecchi would testify about, Agent Park's comments about Wolfe were a clear lapse of judgment. By speaking confidently about the strength of the prosecution's case and then volunteering derogatory information about the defense investigator, Agent Park did give the impression of trying to dissuade Dr. Vecchi from testifying for the defense. Even so, Agent Park's
25
26
Case 1:18-cr-00013 Document 236 Filed 06/02/20 Page 12 of 12
statement did not have the slightest influence on Dr. Vecchi, much less a substantial interference.
Therefore, he did not violate the Ataligs' constitutional right to due process.
V. Conclusion
The Court cannot sanction the government absent proof that a government actor violated a recognized rule, statute, or constitutional right.
Woodley
, 9 F.3d at 782. Here, the Ataligs have not identified any rule or statute that Agent Park breached. And Agent Park’s comments about the
Ataligs' investigator, though inappropriate, did not cause sufficient prejudice to violate any constitutional rights. Consequently, sanctions are not warranted in this case, and the Ataligs’
motion is DENIED.
IT IS SO ORDERED this 2nd day of June, 2020.
________________________________
RAMONA V. MANGLONA Chief Judge
12
|
<urn:uuid:f7bd20db-f243-4132-83e1-35f01e194c9a>
|
CC-MAIN-2023-06
|
https://www.nmid.uscourts.gov/documents/decisions/1-18-cr-00013-236.pdf
|
2023-02-05T20:21:16+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-06/subset=warc/part-00264-b5ddf469-bf28-43c4-9c36-5b5ccc3b2bf1.c000.gz.parquet
| 924,242,725
| 6,302
|
eng_Latn
|
eng_Latn
| 0.994497
|
eng_Latn
| 0.997231
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1973,
4065,
6120,
8311,
10591,
12809,
14898,
17125,
19217,
21371,
23738,
24626
] |
Critique De La Raison Pure Traduction PraCsentation Notes Et Chronologie Par Alain Renaut Index Analytique Par Patrick Savidan
[Books] Critique De La Raison Pure Traduction PraCsentation Notes Et Chronologie Par Alain Renaut Index Analytique Par Patrick Savidan
This is likewise one of the factors by obtaining the soft documents of this Critique De La Raison Pure Traduction PraCsentation Notes Et Chronologie Par Alain Renaut Index Analytique Par Patrick Savidan by online. You might not require more times to spend to go to the ebook instigation as well as search for them. In some cases, you likewise realize not discover the proclamation Critique De La Raison Pure Traduction PraCsentation Notes Et Chronologie Par Alain Renaut Index Analytique Par Patrick Savidan that you are looking for. It will completely squander the time.
However below, in the same way as you visit this web page, it will be consequently enormously simple to acquire as without difficulty as download lead Critique De La Raison Pure Traduction PraCsentation Notes Et Chronologie Par Alain Renaut Index Analytique Par Patrick Savidan
It will not agree to many grow old as we accustom before. You can accomplish it though take effect something else at house and even in your workplace. fittingly easy! So, are you question? Just exercise just what we pay for under as without difficulty as evaluation Critique De La Raison Pure Traduction PraCsentation Notes Et Chronologie Par Alain Renaut Index Analytique Par Patrick Savidan what you like to read!
Critique De La Raison Pure
|
<urn:uuid:957e0c4c-7f96-4324-afec-762358c4b455>
|
CC-MAIN-2021-43
|
http://thecenterhold.com/Critique-De-La-Raison-Pure-Traduction-PraCsentation-Notes-Et-Chronologie-Par-Alain-Renaut-Index-Analytique-Par-Patrick-Savidan.pdf
|
2021-10-20T17:36:26+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-43/subset=warc/part-00061-16202947-a809-4711-8221-79ab0a79d5b1.c000.gz.parquet
| 76,087,655
| 351
|
eng_Latn
|
eng_Latn
| 0.809385
|
eng_Latn
| 0.809385
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
1559
] |
editor's letter
The Greek god Janus, usually depicted in art with two faces looking in opposite directions, one at the past and the other at the future, is interpreted in mythological lore to symbolise transition. From one vision to another. From one condition to another. Whenever this fable comes up as reference, I childishly wonder about the emotional tug of war that Janus himself feels. Transitions aren't easy for anyone – individuals or groups.
At Marie Claire India, with 12 issues done, the next being our first anniversary, we are in the Janus mode. Without conscious planning, I also notice that this edition is full of emotional pulls and pushes. The traumatic choices that unwed mothers must make, the deeply disturbing arguments on who provokes violence in marriage, the dilemmas of love and lust and the eye-opening line of Mr George drop-dead-sexy Clooney that happiness for him is work, not women! Insights that inflame more debate. As far as violence goes, while it is easy to say that murder is murder, whatever the provocation, let's also ask who incited the Nazis to skin and roast human beings? What motivates soldiers fighting for their country to kill in war?
Let's face it. Lust endures, if you don't indulge in it. And antithetically, love endures only if you indulge it. How do you express one without the other?
Anger and battle thankfully do not dominate all our relationships. Whether you are an unwed mother or are in love with someone who is not your spouse, mildto-severe conflicts will be your daily bread. Let's face it. Lust endures, if you don't indulge in it. And antithetically, love endures only if you indulge it. How do you express one without the other? My closest friend has a brilliant take on this: "Love must be practised out of the box. Let's learn to differentiate between feeling and doing." I don't agree though. Slicing one from the other is not as easy. How would a romantic relationship be different from a platonic one? Both have their virtues, separated as they are by what is termed virtue. But it's a choice you must make for yourself and then be ready to pay the price. We are, eventually, a sum total of our concerns and the price we pay for them.
Page 30 is all about concerns. Marie Claire India's next big campaign – What Women Want – is the first ever media event in the country built around women's needs. Always the one to argue for equality in empathy, I think nothing in the world should just be called women's issues. Aren't these everyone's problems? Write back with the five topmost concerns for women globally and locally and make a crucial difference to this event. We await your responses as we create our first anniversary issue that I promise will make you happy.
Shefalee Vasudev, Editor
Shefalee Vasudev, Editor
|
<urn:uuid:d4937c3c-2b6c-4625-8648-0966e32449d9>
|
CC-MAIN-2024-30
|
https://www.shefaleevasudev.in/marieclairepdf/Editor%20letter%20May%2007.pdf
|
2024-07-15T11:03:24+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-30/subset=warc/part-00118-65338ae2-db7f-48fa-a620-71777c40d854.c000.gz.parquet
| 841,967,401
| 609
|
eng_Latn
|
eng_Latn
| 0.999385
|
eng_Latn
| 0.999385
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
2797
] |
Improving Access to Maternal Health Care in Rural Communities
ISSUE BRIEF
CONTENTS
1. Executive Summary ........................................................................................................... 1
2. Introduction ....................................................................................................................... 3
3. Access to Maternal Health Care in Rural Communities .................................................. 6
3.1 Before Pregnancy ......................................................................................................... 7
3.2 During Pregnancy ....................................................................................................... 8
3.3 After Pregnancy .......................................................................................................... 11
4. Opportunities to Improve Access to Maternal Health Care in Rural Communities ............ 12
4.1 Accessible: Delivers Care via a Multidisciplinary Workforce ..................................... 12
4.2 Affordable: Reduces Financial Barriers for Mothers and Families ............................. 15
4.3 Risk-Appropriate: Exemplifies a High-Functioning Maternal Health System ............. 17
4.4 High Quality: Provides Safe, Timely, Efficient, and Effective Care and Services ....... 18
4.5 Patient-Centered: Values the Whole Person and Family ........................................ 19
4.6 Innovative: Leverages Telehealth and Related Technology ...................................... 20
4.7 Coordinated: Connects Women to Behavioral and Social Supports ......................... 21
4.8 Equitable: Provides High-Quality, Patient-Centered Care to All Women .................. 22
5. Highlighted Examples: Improving Access to Maternal Health Care in Rural Communities ... 25
6. Conclusion ....................................................................................................................... 29
Appendix A. Distribution of Hospital Obstetric Unit Closures in Micropolitan and Noncore Counties, 2004–2014 ........................................................................................................ 30
Appendix B. Scope of Practice Among Maternal Health Providers ..................................... 31
Appendix C. Summary of Six Case Studies ........................................................................ 33
Appendix D. Acronyms List ............................................................................................... 48
Endnotes ............................................................................................................................. 49
1. EXECUTIVE SUMMARY
Across the country and at every level of government there has been a growing focus on rural health. At the same time, rising maternal mortality rates and the disproportionate affect they have on Black, American Indian, and Alaska Native women is of great concern. Rural maternal health care is therefore an administration priority and the Centers for Medicare & Medicaid Services (CMS) has been focused on improving rural maternal health outcomes. Specifically, CMS has aligned health policies to its Rural Health Strategy and its new Rethinking Rural Health Initiative, released its first Medicaid and Children’s Health Insurance Program (CHIP) Scorecard to evaluate state progress on maternal health outcomes, and is preparing to implement the recently enacted Improving Access to Maternity Care Act and Preventing Maternal Deaths Act. This issue brief was developed by CMS to provide background information on the scope of this problem and to focus attention on the need for national, state, and community-based organizations to collaborate on developing an action plan to improve access to maternal health care and improve outcomes for rural women and their babies.
A lack of access to high quality maternal health services in rural communities is the result of many factors including hospital and obstetric department closures, workforce shortages, and access to care challenges arising from the social determinants of health which have contributed to disparities in maternal health care for rural women and their babies. These access challenges can result in a number of negative maternal health outcomes including premature birth, low-birth weight, maternal mortality, severe maternal morbidity, and increased risk of postpartum depression. These health disparities affect American Indian and Alaska Native and women of color disproportionately. Since one in five Americans live in a rural community, including approximately 18 million women of reproductive age, it is critical that federal, regional, state, local agencies and communities work together to improve access to high quality maternal health services in rural communities.
**Hospital closures:** Since January 2010, more than 100 rural hospitals have closed, with a disproportionate share occurring in the South. Multiple factors contributed to these closures. Among them were higher rates of uninsured patients, large amounts of uncompensated care, financial distress, hospital size, and community poverty rates. Between 2004 and 2014, 179 rural counties lost or closed their hospital obstetric services. Consequentially, fewer than 50% of rural women have access to perinatal services within a 30-mile drive from their home and more than 10% of rural women drive 100 miles or more for these services. These conditions affect access to care before, during, and after pregnancy and are more pronounced in the Black and Hispanic communities, and disproportionately affects low-income women.
**Access to care:** Before pregnancy the health and wellness of a woman is critical to achieving safe outcomes for her and her baby. Access to care is vital during this period because it allows providers to identify, treat, and stabilize chronic conditions; address behavioral health needs; and, plan for a healthy and intentional pregnancy. During pregnancy a woman’s need for access to maternal health services increases. Prenatal care can reduce the risk of pregnancy complications for both the mother and child. After pregnancy women must establish or reestablish their well-woman care. At each point along this continuum women in rural communities experience challenges and barriers.
**Insurance coverage:** Medicaid is the nation’s single largest payor of perinatal care and is especially important in rural areas. In 2017, Medicaid paid for 43% of all births in the United States (1.7 of the 3.9 million births) and an estimated 50-60% of births in rural areas.\(^1\),\(^2\) However, many women covered by Medicaid lose their coverage 60 days postpartum. This loss of health coverage increases the likelihood that these women will receive inadequate or no health services, increases their risk of morbidity and
mortality, and increases their likelihood of receiving no support for conditions that emerge after the 60-day period. However, the loss of Medicaid eligibility is a qualifying event to enroll in Exchange coverage, and the president’s 2020 budget proposes giving states the authority to allow mothers with substance abuse disorder to stay eligible for Medicaid for one year after giving birth.
**Workforce supply and distribution:** Maternal health care is delivered by a vast array of providers—specialty providers; primary care providers, including advanced practice nurses; nurses; community health workers; and doulas. Each of these health care professionals plays a critical role in providing maternal health care before, during, and after pregnancy. However, there is a shortage of maternal health care providers in rural and urban areas. By 2020, it is estimated that the US will have a shortage of 6,000-8,800 obstetricians and gynecologists (OB-GYNs) with a projected increase in that shortage to 22,000 by 2050. The shortage is more severe in rural areas, where many counties do not have a practicing OB-GYN. Although family physicians are the largest group of rural obstetrical providers, midwives are another important source of maternal health services in rural areas.\(^3\) While midwives currently attend less than 10% of all births in the US, they attend over 30% of deliveries in rural hospitals. There are still barriers to the practice of midwifery across the country even though midwifery has proven to be a safe and cost-effective mode of maternal health care.\(^4\), \(^5\), \(^6\) Although some states have limits on the services covered, all states provide coverage of certified nurse midwife services through Medicaid. In contrast, many private insurance plans do not cover services provided by midwives or offer only limited coverage. Other providers that deliver critical services to women before, during, and after pregnancy, including behavioral health providers and dentists, are also difficult to access in rural communities.
The lack of adequate, high quality maternal health care in rural communities has led many rural communities to find creative and innovative solutions to address some of the maternal health care delivery challenges in their communities. These innovative solutions include opportunities to improve access to a skilled maternal health workforce by expanding training of maternal health providers in rural areas, incentivizing maternal health providers to practice in rural areas, leveraging the existing health care workforce, and standardizing scope of practice laws for maternal health providers. Some programs are working to make maternal health care more affordable by paying for the cadre of maternal health providers, expanding and extending insurance coverage, unbundling postpartum services, and establishing accountable care organizations covering maternal health services. Others have implemented programs to increase access to risk-appropriate, quality care; to establish frameworks for high-quality care; and, to address patient-centered care and care coordination. By working together to ensure widespread dissemination and adoption of these programs, we will move closer to ending the gap in maternal health disparities and ensure that all rural women and their babies have better maternal health outcomes.
2. INTRODUCTION
In an ideal maternal health system, all women would have access to comprehensive, seamless medical care with links to behavioral, economic, and social supports. Additionally, they would be engaged with this system before, during, and after pregnancy. Across the United States, many women are not receiving care in this ideal system, and women in rural communities face unique challenges that make it harder for them to reach this ideal or any care at all in some cases. Because maternal health care is a growing concern in rural America, rural maternal health care is an administration priority and the Centers for Medicare & Medicaid Services (CMS) has been focused on improving rural maternal health outcomes.
As part of its Rethinking Rural Health Initiative, CMS released its first Rural Health Strategy in 2018. By applying a rural lens, CMS works to have new health policies and initiatives positively impact rural communities. As an example, the agency finalized improvements to the accuracy of Medicare payments to low wage hospitals so they can increase what they pay their workers, and help ensure patients including those living in rural areas, continue to have access to high-quality, affordable healthcare.\(^7\) Other CMS rural and maternal related activities have included, the recent release of the first Medicaid and CHIP Scorecard to evaluate state progress on health outcomes and determine return on investment. The Scorecard includes a measure related to postpartum care and may eventually include other maternal and infant health outcomes. Furthermore, CMS looks forward to implementing the newly enacted Improving Access to Maternity Care Act, which ensures that the National Health Service Corps sends OB-GYNs to areas of greatest need, as well as the Preventing Maternal Deaths Act, which authorizes the Centers for Disease Control and Prevention (CDC) to support state and tribal maternal mortality review committees (MMRCs).
Although CMS has made great strides to improve rural maternal and child health outcomes, there is still much to be accomplished. CMS developed this issue brief to increase understanding and awareness of the difficulties women in rural communities face and to highlight the need for a coordinated and collaborative development of a strategic plan to improve access to maternal health care and health outcomes. This issue brief focuses on access to care for women in rural communities before, during, and after pregnancy. It provides an overview of the challenges they encounter accessing maternal health care, describes opportunities to address these challenges within the maternal health system, and provides examples of programs that are overcoming barriers to improve access and quality in rural maternal health care.
Since January 2010, more than 100 rural hospitals have closed, with a disproportionate share occurring in the South.\(^8\),\(^9\) These closures were the result of multiple factors including higher rates of uninsured residents, higher amounts of uncompensated care, financial distress, hospital size, and community poverty rates.\(^10\),\(^11\) Although many rural hospitals remain open, some have discontinued certain specialty service lines, including obstetric and gynecologic services. Between 2004 and 2014, 179 rural counties experienced closures/loss of hospital obstetric services (Figure 1).\(^12\) Also during this time, more than half of the rural counties in the US either had no hospital obstetric services or lost them (Appendix A).\(^13\) Low birth volumes, low revenue levels due to payor mix (e.g., high rates of Medicaid coverage), difficulty recruiting and maintaining skilled maternal health care providers (e.g.,
obstetricians, labor and delivery nurses, obstetric anesthetists), and concerns regarding the high cost of malpractice insurance have all contributed to obstetric unit closure in rural hospitals.\(^1\)
**Figure 1. Hospital Obstetric Services in Rural Counties, 2004–2014**
Source: P Hung, C Henning-Smith, M Casey, and K Kozhimannil. Access to Obstetric Services in Rural Counties Still Declining, With 9 Percent Losing Services, 2004–14. *Health Aff* (Millwood). 2017 Sep 1; 36(9): 1663-1671.
These closures and resulting lack of services have affected rural women’s access to and timeliness in receiving maternal health care. Nearly half of all rural counties in the US do not have a hospital with obstetric services.\(^{14}\) Subsequently, fewer than 50% of rural women have access to perinatal services within a 30-minute drive of their homes, and more than 10% of rural women drive 100 miles or more for such services.\(^{15}\) Additionally, linkages to behavioral health care and social services that help promote healthy pregnancies and healthy outcomes for rural women are inadequate.\(^{16},^{17}\) These challenges are greater for racial and ethnic minority women living in rural communities, as closures were more likely to occur in communities with a higher percentage of Black, Hispanic, and unemployed residents.\(^{18}\)
These gaps in maternal health care clearly affect access to labor and delivery services, but they also affect access to care before, during, and after pregnancy, and comprise one set of factors associated with a range of infant and maternal health outcomes in rural America, such as maternal mortality. The CDC defines pregnancy-related deaths as the death of a woman while pregnant or within 1 year of the end of a pregnancy—regardless of the outcome, duration or site of the pregnancy—from any cause related to or aggravated by the pregnancy or its management, but not from accidental or incidental causes.\(^{19}\) Using maternal mortality as one proxy for overall maternal health, there are 29.4 maternal deaths per 100,000 in the most rural areas versus 18.2 in urban areas.\(^{20}\) Social factors such as income,
---
\(^1\) There are multiple definitions of rural in use across the federal government. In this issue brief, we define rural as counties classified by the Office of Management and Budget (OMB) as micropolitan (statistical areas have a population of 10,000 or more but less than 50,000) and nonmetropolitan (areas outside of Core Based Statistical Areas).
education, housing, food, transportation and social support, commonly referred to as the social determinants of health, also affect a wide range of health, functioning, and quality-of-life outcomes and risks. Addressing social determinants of health may be especially difficult in rural areas, which tend to have fewer educational and job opportunities, older housing, and limited access to healthy foods. These factors and a lack of access to health services contributes to disparities in health.\textsuperscript{21,22,23} Figure 2 provides a social determinants of health framework that illustrates how maternal health is a result of the structural, behavioral, biological, psychological, systemic, and socioeconomic circumstances that operate across a woman’s life and across generations. It also illustrates the critical role the maternal health care system plays in mitigating risk and affecting outcomes. Ideally, maternal health care is: risk-appropriate; delivered by a skilled workforce; coordinated or integrated with behavioral, economic, and social supports; affordable for mothers, and families; and equitable.
**Figure 2. Social Determinants of Maternal Health**
Sources: Manyazewal, T. Using the World Health Organization health system building blocks through survey of healthcare professionals to determine the performance of public healthcare facilities. Archives of Public Health, 2017 Dec;75(1):50. | Solar, O, Irwin, A. A Conceptual Framework for Action on the Social Determinants of Health. Social Determinants of Health Discussion Paper 2 (Policy and Practice). Retrieved from: https://www.who.int/sdhconference/resources/ConceptualframeworkforactiononSDH_eng.pdf.
3. ACCESS TO MATERNAL HEALTH CARE IN RURAL COMMUNITIES
One in five Americans live in a rural community, including approximately 18 million women of reproductive age, and nearly half a million babies are born in rural hospitals each year.\textsuperscript{24,25,26} Medicaid plays a large role in covering costs of deliveries in both rural and urban areas and is the single largest payor of perinatal care. In 2016, Medicaid paid for 43% of all births in the US.\textsuperscript{27} Rural communities tend to have higher rates of Medicaid coverage than urban communities, and rate differences vary significantly across states.\textsuperscript{28}
A lack of access to maternal health care can result in a number of negative maternal health outcomes including premature birth, low-birth weight, maternal mortality, severe maternal morbidity, and increased risk of postpartum depression. Poor or absent prenatal care can contribute to these outcomes. Women in rural communities are more likely to begin prenatal care late. Less formal education, lower health literacy, unplanned pregnancies, and poor transportation have all been associated with late prenatal care.\textsuperscript{29} In both rural and urban areas, there are persistent disparities in maternal health including prenatal care and maternal morbidity and mortality by race and ethnicity, and socioeconomic status.\textsuperscript{30,31,32,33,34,35} Research examining racial and ethnic health disparities within rural areas is limited. That said, the evidence that is available shows that rural racial and ethnic minority populations face substantial health, access to care, and lifestyle challenges.
Addressing health disparities between women in rural and urban areas and by race and ethnicity requires addressing a woman’s health needs before, during, and after pregnancy.\textsuperscript{36} This includes making sure women have adequate health coverage, access to family planning and routine check-ups, as well as mental and oral health care and social supports. Table 1 highlights the vital maternal health system elements before, during, and after pregnancy. Women in rural areas have less access to these services due to several barriers discussed in Section 4.
Table 1. Vital Maternal Health System Elements Before, During, and After Pregnancy
| Maternal Health System Elements | Before Pregnancy | During Pregnancy | After Pregnancy |
|---------------------------------|------------------|------------------|----------------|
| | | Prenatal | Labor & Delivery | Postpartum | |
| Health Insurance Coverage | X | X | X | X | X |
| Family Planning | X | | | X | X |
| Routine or Regular Checkups | X | X | | | X |
| Identification and Support for High-Risk Conditions | X | X | | X | X |
| Mental Health and Substance Use Screening, Treatment, Recovery Support, and Wrap-around Care | X | X | X | X | X |
| Oral Health Services | X | X | | X | X |
| Genetic Screening and Counseling | X | X | | | |
Improving Access to Maternal Health Care in Rural Communities | Issue Brief
### 3.1 Before Pregnancy
Before pregnancy, the health and wellness of a woman is critical to achieving safe outcomes for her and her baby. Access to care is critical during this period because it allows providers to identify, treat, and stabilize chronic conditions; address behavioral health needs; and plan for a healthy and intentional pregnancy.\(^{37}\)
Key health risks during this period are generally ongoing or chronic health conditions and behaviors that impact the woman during and after pregnancy, increase the risk of maternal morbidity and mortality, and impact the child both in utero and after birth. These health risks include chronic diseases such as hypertension, cardiac disease, obesity, and asthma; behavioral health such as tobacco use, substance use disorders, and mental health concerns; exposure to violence; and unintended pregnancy.\(^{38}\) Lack of insurance during this time period is particularly deleterious since affordability of care is a barrier to access.\(^{39}\)
Before pregnancy vital health system services to address problems associated with getting pregnant or health conditions associated with carrying a baby to full-term include:\(^{40}\)
- Health coverage to support access to care.
- Family planning for appropriate birth spacing and prevention of unintended pregnancies.
- Routine or regular checkups.
- Mental health and substance use screening, treatment, recovery, and wrap-around care to reduce tobacco use, alcohol misuse, and substance use, and to provide mental health support.
- Oral health services to improve oral health and reduce the risk for premature and low-birthweight babies.
- Identification and support for high-risk conditions to provide appropriate services to manage conditions that impact pregnancy outcomes.
- Social services (e.g., family support, economic services, violence prevention, nutrition support) to reduce or prevent risk factors such as exposure to violence or poor nutrition and to support stability in employment and housing.
- Initiatives to decrease disparities in health care.
The data in Table 1 summarizes the information presented in Section 3; therefore, the contributing sources are listed in the narrative below.
For women in rural areas, both a lack of health insurance and less access to consistent primary, specialty, and supportive services reduce the chances that they will receive these vital health services. Many women do not have health coverage or access to health care due to cost and other barriers until becoming pregnant, which is a qualifying event for Medicaid enrollment.\textsuperscript{41} A lack of health insurance, combined with lower adherence to treatments and regimens, can affect women’s health and pregnancy outcomes.\textsuperscript{42,43,44,45,46}
Women of color in rural communities have less access to pre-pregnancy services, and data show they are more likely to become pregnant without receiving adequate previous health care.\textsuperscript{47,48,49} In addition, women of color in rural areas reported experiencing discrimination and/or feelings of stigmatization when accessing maternal health care services, resulting in health care avoidance. This further exacerbates the risks to overall maternal health experienced by women of color living in rural areas.\textsuperscript{50} Although the focus of this issue brief is on women living in rural communities, it is worth noting that many of these barriers are also experienced by women of color living in urban areas.
### 3.2 During Pregnancy
#### 3.2.1 During the Prenatal Period
During the prenatal period, a woman’s need for access to maternal health services increases. This period includes the prenatal period, labor and delivery, and the immediate postpartum period. Prenatal care can reduce the risks of pregnancy complications for both the mother and child. Access to care is vital during this period to ensure early and frequent monitoring of the pregnancy’s progress as well as for conditions such as depression, substance use disorder, gestational diabetes, hypertension and other chronic disorders, and oral disease.\textsuperscript{51}
Key health risks during this period are similar to those in the before-pregnancy period and include ongoing or chronic health conditions and behaviors that increase the risk of maternal morbidity and mortality and poor birth outcomes for the child. Delay in accessing vital health services, and fewer total prenatal visits, contribute to higher rates of perinatal complications.\textsuperscript{52,53,54}
During the prenatal period, vital services needed include:\textsuperscript{55}
- Health coverage to support access to care.
- Routine monitoring of the progress of the pregnancy and the health of the mother, including routine prenatal tests, blood pressure and weight checks, and measures of the baby’s growth.\textsuperscript{56}
- Mental health and substance use screening, treatment, recovery, and wrap-around care to improve mental health and reduce tobacco use, alcohol misuse, and substance use.
- Oral health services to improve oral health and reduce the risk for premature and low-birthweight babies.
- Identification of high-risk conditions and provision of appropriate services to minimize their impact on pregnancy outcomes, particularly for women with high-risk pregnancies.
- Breastfeeding support and classes to increase breastfeeding rates. Data show that breastfeeding provides health benefits for both mothers and babies.\textsuperscript{57}
- Social services (e.g., family support, economic services, violence prevention, nutrition support) to reduce or prevent risk factors such as exposure to violence or poor nutrition and to support stability in employment and housing.
Genetic screening for genetic disorders in the fetus.\textsuperscript{58}
Prenatal/Birthing classes to prepare for the stages of pregnancy and labor and delivery.
Initiatives to decrease disparities in health care.
Women in rural areas are less likely to access prenatal services during their first trimester than urban and suburban women. This behavior is attributed to less education about the importance of perinatal health, barriers to traveling to care, and a higher rate of unintentional pregnancy.\textsuperscript{59,60}
Evidence suggests that racial and ethnic minorities in rural communities are less likely to have a personal doctor and are more likely to forgo medical care due to cost compared to non-Hispanic White rural adults.\textsuperscript{61} As noted above, experiences of discrimination and stigmatization in accessing maternal health care services result in further health care avoidance for women of color, including American Indian and Alaska Native women.\textsuperscript{62, 63}
For American Indian and Alaska Native populations, access disparities can be greater. Approximately 40% live on reservations or in highly rural or frontier communities that are long distances from care. Many American Indian and Alaska Native women who live on reservations receive care from the Indian Health Service or tribal health centers, which typically do not offer the full range of maternal health services.\textsuperscript{64,65} Compared to White women, American Indian and Alaska Native women living in rural communities are twice as likely to report receiving late or no prenatal care (13% vs. 6%).\textsuperscript{66}
### 3.2.2 During Labor and Delivery
During labor and delivery women need access to appropriate providers and to hospitals equipped for labor emergencies. Providers performing cesarean and vaginal deliveries must have the knowledge and skills to manage high-risk patients as well as immediate access to the resources needed to respond to an emergency (e.g., sufficient supply of blood).\textsuperscript{67,68}
Key health risks during this period are labor that does not progress in a timely manner, umbilical cord complications, cardiac or respiratory distress in the baby, perinatal tears, and excessive bleeding, among others.\textsuperscript{69} Serious complications may require surgical intervention in the form of a cesarean section (C-section).\textsuperscript{70}
During labor and delivery, vital services include:
- Health coverage to support access to care.
- Mental health and substance use screening and treatment, particularly for women who need to manage symptoms of withdrawal during labor and delivery and prompt management of infants born after chronic exposure to substances.\textsuperscript{71}
- Risk-appropriate labor and delivery services, particularly for women with high-risk conditions such as high blood pressure, a breech baby, heart disease, HIV infection, and multiple babies.\textsuperscript{72}
- Breastfeeding support post-delivery, particularly for women who have received pain management medications that can impact breastfeeding.\textsuperscript{73}
- Initiatives to decrease disparities in health care.
The lack of access to appropriate labor and delivery facilities and services for women living in rural areas has led to documented increases in out-of-hospital births, including home births; births in hospitals without obstetrics services; and poorer birth outcomes such as preterm births.\textsuperscript{74} Additionally, for many rural women and their obstetricians, fear of not reaching the hospital in time during labor
because of long travel distances has resulted in an increase in early elective delivery through the induction and augmentation of labor and low-risk cesarean delivery.\textsuperscript{75} Complications associated with these procedures have led to increased rates of maternal mortality, as women are eight to 10 times more likely to die due to complications of a cesarean section compared to vaginal birth.\textsuperscript{76,77,78,79} Elective inductions that occur before 39 weeks are risky for newborns and can lead to more prolonged labors and increased risk of hemorrhage.\textsuperscript{80}
Women of color in rural areas are more likely to live in counties with proportionately fewer obstetricians and family physicians and with higher odds of lacking hospital obstetric services.\textsuperscript{81} Evidence also suggests that rural hospital closures and closures of rural obstetric units are affecting communities of color and low-income communities at greater rates than other communities.\textsuperscript{82-83}
### 3.2.3 Immediately Postpartum
Immediately postpartum a woman is adapting to significant hormonal and physical changes, learning to care for the new baby, and possibly recovering from major surgery. This “fourth trimester” includes three phases: 1) the first six to 12 hours post-birth where the mother is recovering from the acute physical effects of the birth, 2) the two- to six-week period where immediate physical, hormonal, and emotional changes and recovery occur, and 3) up to six months post-birth where the pace of physical, hormonal, and emotional change continues.\textsuperscript{84,85} Key health risks during this period include acute conditions such as pelvic floor trauma, infection, and hemorrhaging, as well as the effects of chronic health conditions such as diabetes and hypertension. Postpartum depression and substance use disorders can also be contributing factors to poor health outcomes.\textsuperscript{86,87}
During the postpartum period, vital services needed include:\textsuperscript{88}
- Health coverage to support access to care.
- Family planning to encourage healthy birth spacing to improve birth outcomes for mother and baby.
- Mental health and substance use screening, treatment, recovery, and wrap-around care to reduce substance misuse and mental health support, particularly for post-partum depression.
- Oral health services to screen for oral health issues that can occur or worsen during pregnancy.
- Identification of and support for high-risk conditions such as diabetes or hypertension that emerged during or were exacerbated by pregnancy and identification of conditions that could lead to maternal mortality.
- Breastfeeding support such as linkages to community support resources, support groups, and equipment such as breast-pumps.
- Social services (e.g., family support, economic services, violence prevention, nutrition support) to help the mother and family adjust to caring for the new baby, to ensure adequate access to food and formula, to support stability in housing, and to support a return to the workforce.
- Initiatives to address disparities in health care.
Between 10% and 40% of women do not complete a postpartum visit.\textsuperscript{89} Similar to barriers in accessing prenatal care, many women who live in rural areas may not receive the recommended postpartum care or follow-up visits due to geographic isolation, limited transportation, and a lack of child care, among other reasons.\textsuperscript{90}
As with prenatal care, women of color in rural communities face barriers to access including lack of a primary care provider, avoidance of medical care due to cost, and experiences of discrimination and
stigmatization in accessing maternal health care services.\textsuperscript{91,92} It is also during this period when most maternal deaths occur.
3.3 After Pregnancy
After pregnancy women must reestablish their well-woman care, or in some instances establish care if they did not receive any before pregnancy. This period looks much like before pregnancy and is focused on supporting and improving a woman’s health, enabling her to care for her current child/children, return to work/school, and prepare for future children, if desired. Access to care allows women to recover physically, mentally, and socially from the pregnancy.\textsuperscript{93}
Key health risks during this period are similar to those in the before pregnancy period. Additionally, for women who developed health conditions in the perinatal period (e.g., gestational diabetes, hypertension), their health status and needs are different than before pregnancy and require ongoing attention from health care providers.
After pregnancy, vital services needed include:
- Health coverage to support access to care.
- Family planning for appropriate birth spacing and prevention of unintended pregnancies.
- Routine or regular check-ups
- Mental health and substance use screening, treatment, recovery, and wrap-around care to reduce substance misuse and to provide mental health support, particularly for postpartum depression.
- Oral health services to improve oral health and reduce the risk for premature and low-birthweight babies
- Identification and support for conditions that emerged during or were exacerbated by pregnancy such as diabetes or hypertension.
- Social services (e.g., family support, economic services, violence prevention, nutrition support) to support the family with stability in housing and to a return to the workforce if appropriate.
- Initiatives to address discrimination in health care.
As they do before pregnancy, women living in rural areas experience lower access to and utilization of care after pregnancy.\textsuperscript{94} Depending on their state coverage policies, women insured by Medicaid may lose their coverage 60 days postpartum.\textsuperscript{95} Although the loss of Medicaid eligibility is a qualifying event to enroll in Exchange coverage, these women are at further risk of receiving either inadequate or no health care services heightening their risk of morbidity or mortality or not receiving support for conditions that emerge after the 60-day window.\textsuperscript{96} Women of color in rural communities face these barriers to access and others including lack of a personal provider, avoidance of medical care due to cost, and experiences of discrimination and stigmatization in accessing maternal health care services.\textsuperscript{97,98}
4. OPPORTUNITIES TO IMPROVE ACCESS TO MATERNAL HEALTH CARE IN RURAL COMMUNITIES
In an ideal maternal health system, all women would have access to comprehensive, seamless medical care with links to behavioral, economic, and social supports as needed, and they would be engaged in this system before, during, and after pregnancy. Lack of access to maternal health care in rural communities is a result of many factors and creating the ideal maternal health system requires multiple steps. This section describes the challenges and opportunities related to creating an ideal maternal health system. The pillars of the ideal system are:
- Accessible
- Affordable
- Risk-appropriate
- High quality
- Patient centered
- Innovative
- Coordinated
- Equitable
4.1 Accessible: Delivers Care via a Multidisciplinary Workforce
Maternal health care is delivered by a range of providers, including specialty providers (e.g., obstetricians and gynecologists), family physicians and other primary care physicians, and advanced practice nurses (e.g., midwives, community health workers, and doulas). Each of these health care professionals plays a critical role in delivering maternal health care before, during, and after pregnancy. Appendix B presents an overview of the scope of practice and accreditation requirements of the maternal health care workforce in the US.
Hospital closures and variability in quality and preparedness are compounded by an overall shortage of the maternal health workforce in both rural and urban areas. By 2020, it is estimated that the US will have a shortage of 6,000-8,800 physicians specializing in obstetrics and gynecology (OB-GYNs) relative to anticipated demand, with a projected increase in that shortage to 22,000 by 2050.\(^{99}\) The shortage is more severe in rural areas, where almost half the counties do not have hospital obstetric services, nor do they have a single OB-GYN or certified nurse midwife (Figure 3).\(^{100},^{101}\)
Additionally, counties with greater proportions of Blacks, Hispanics and lower median incomes were more likely not to have hospital obstetric services. Urban counties average nearly 35 obstetricians per 1,000 residents, while rural counties average less than two per 1,000 residents. This lack of OB-GYNs puts pressure on other providers, such as those in primary care and family medicine, to fill gaps.\textsuperscript{102} Consequently, rural hospitals with lower volumes are more likely to have family physicians, general surgeons, and shared nursing staff attend to births, rather than obstetricians.\textsuperscript{103} At the same time, the number of family physicians providing OB services is decreasing, with only 19.2\% performing routine deliveries.\textsuperscript{104}
In part because of physician shortages, midwifery is a significant source of maternal health services in rural areas. While midwives currently attend less than 10\% of all births in the US, they attend over 30\% of deliveries in rural hospitals.\textsuperscript{105, 106} Several studies have shown that incorporating midwives into health care results in improved infant and maternal outcomes, including decreased neonatal and maternal mortality, fewer preterm births, and better mental health.\textsuperscript{107, 108} Yet, there are barriers to the practice of midwifery across the country, with varying regulations related to training, scope of practice across states, and limited education and training pathways. One example is the complex nature of midwifery certification in the US. While all 50 states allow Certified Nurse Midwives (CNMs) to practice legally, many states require supervision or a collaborative agreement from a partnering physician rather
than allowing them to practice independently, and only six states recognize certified midwives (CM).\textsuperscript{109, 110} Although seven states limit the services covered, all states provide coverage of certified nurse midwife services through Medicaid.\textsuperscript{111}
Other providers that deliver critical services for women before, during, and after pregnancy, specifically behavioral health providers and dentists, are also difficult to access in rural communities. Approximately 35% of people living in the US reside in a Mental Health Care Health Professional Shortage Area and approximately 17% of the population lives in a Dental Care Health Professional Shortage Area, indicating a lack of access to behavioral and oral health services that are critical across a woman’s reproductive years.
The shortage of maternal health professionals has led to opportunities to improve access to a multidisciplinary maternal health workforce in rural areas. Several programs are described below that address this issue:
- **Expand Training of Maternal Health Providers in Rural Areas.** To attract providers to practice in rural areas, there is a need to increase support for those who are willing to train rural providers. Georgia established a Preceptor Tax Incentive Program in 2014 that provides uncompensated community-based faculty physicians with state tax deductions for training medical professionals, including training in maternal health care. Another method to attract and retain maternal health professionals in rural areas is to expand provider training programs in rural communities. Several studies have found that graduates of rural-specific family medicine programs are more than two times as likely to practice in rural areas compared to those who graduated from non-rural-specific family medicine programs.\textsuperscript{112, 113, 114} The Federal Office of Rural Health Policy in the Health Resources Services Administration (HRSA) and multiple states and organizations have established rural training programs and grants to increase the number of physicians and other health care providers practicing in rural areas, yet the number of programs focusing on maternal health specifically is limited.\textsuperscript{115} Some examples of these programs include the University of Wisconsin Department of Obstetrics and Gynecology Rural Track Program and Frontier Nursing University. The rural residency training track at the University of Wisconsin is the first training program in the nation to provide training on the health needs of rural women, and the Frontier Nursing University provides nurse-midwifery and nurse practitioner education to train primary care leaders who specialize in serving women and families in diverse, rural, and underserved communities. However, these programs alone are not meeting the demand for maternal health providers in rural communities.\textsuperscript{116, 117} The recently passed Improving Access to Maternity Care Act requires HRSA to identify areas that have a shortage of maternity care health providers in order to better align provider placement programs to those areas.\textsuperscript{118}
- **Incentivize Maternal Health Providers to Practice in Rural Areas.** Incentive programs provide scholarships, grants, student loan repayment, student loan forgiveness, and other financial incentives to providers who commit to practicing in underserved areas. The National Health Services Corps provides tuition, fees, and stipend support to students who commit to providing care in underserved areas after graduation and loan repayment services to physicians, advance practice nurses, certified nurse midwives, and other clinicians who spend at least two years serving in a high-need health professional shortage area.\textsuperscript{119} HRSA’s Nurse Corps Loan Repayment Program supports registered nurses, advanced practice registered nurses, and nurse faculty who work in areas with a critical shortage of nurses.\textsuperscript{120} There are other programs designed specifically to increase the number of maternal health providers in rural areas. On a federal level, the Improving Access to Maternity Care Act of 2018 established student loan forgiveness to OB-GYN providers entering practice in rural areas. This bill requires HRSA to identify health professional shortage areas with a shortage of maternity care health professionals to assign maternal health care
professionals to those areas, and to help them remain in rural communities. Oregon passed legislation to provide state income tax credits and medical liability insurance assistance to rural OB providers. Although the overall number of practicing OB providers in Oregon continued to decline, feedback from providers receiving this benefit and remained in a rural community, indicated that the incentives helped them to continue practicing in that community.\textsuperscript{121} These programs could be expanded beyond physicians to include midwives, labor and delivery nurses, and other maternal health care workers. To attract providers to practice in rural areas, there is also a need to increase support for those who are willing to train rural providers. Georgia established a Preceptor Tax Incentive Program in 2014 that provides uncompensated community-based faculty physicians with state tax deductions for training medical professionals, including training in maternal health care.
- **Leverage the Existing Health Care Workforce.** Recruiting and retaining providers in rural communities are long-term goals, but there are also opportunities to leverage the existing health care workforce to improve access to maternal health services. An example is training nurses in rural areas to provide counseling to women upon discharge about health risks and warning signs during the postpartum period.\textsuperscript{122} Given higher accident and injury rates in rural communities, there is also an opportunity to leverage emergency medical services workers in prehospital management of obstetric care for pregnant trauma patients.\textsuperscript{123} There is also a need to ensure behavioral health providers, such as social workers, are available to address substance abuse, mental health, and other conditions.
- **Standardize Scope of Practice Laws for Maternal Health Providers.** Practice laws between and within maternal health care professions are inconsistent across states. There are opportunities to standardize these laws both federally and among the states to ensure that women in rural communities have access to high-quality maternal health care. For example, the Interstate Medical Licensure Compact, an agreement between 26 states, one territory, and the 37 Medical and Osteopathic Boards in those areas, allows licensed physicians to practice across state lines if they meet eligibility requirements.\textsuperscript{124} This standardization can occur between physicians and midwives, as well as with additional providers such as doulas and community health workers.
- **Assess Networked Models to Enhance Access to Rural Communities.** Rural areas often face challenges in supporting essential maternal and obstetric services due to low patient volume and geographic isolation. Having disparate rural providers and communities work together in formal and informal network arrangements can help create economies of scale and enhanced coordination that can improve access and outcomes. The Health Resources and Services Administration (HRSA) created a pilot program in 2019 to assess this approach. The Rural Maternity and Obstetrics Management Strategies program will support three pilot projects to test out new ways to improve access to and continuity of maternal and obstetric services in rural communities. The program will link rural hospitals, Federally Qualified Health Centers, Healthy Start grantees, Home Visiting Programs, Rural Health Clinics, and upstream tertiary hospitals in a network to enhance coordination of services through the use of coordinated care approaches and telehealth.
### 4.2 Affordable: Reduces Financial Barriers for Mothers and Families
Affordability is a primary barrier to accessing health care for those who are uninsured and those who have insurance plans with high premiums or high deductibles.\textsuperscript{125} Although laws and regulations have expanded access to health insurance and coverage of maternal health and family planning-related services, in 2017, 11% of women in the US were still uninsured.\textsuperscript{126} In addition, uninsured rates for people living in rural counties were higher than the rates for people living in urban counties, and, women of color and women living below 200% of the Federal Poverty Level had higher uninsured rates compared to other groups.\textsuperscript{127, 128} While uninsured women are less likely to seek needed health care overall, according to a recent study, 38% of all women in the US do not seek health-related services
(e.g., receive recommended preventive care or follow up care, fill a prescription) due to cost.\textsuperscript{129} This barrier is further exacerbated in rural areas and in states that did not expand Medicaid.\textsuperscript{130, 131} Additionally, over one fourth of all women in the US reported spending $2,000 or more out of pocket per year on health care-related costs for themselves and their families.\textsuperscript{132}
Below are examples of opportunities to improve affordability of maternal health care for mothers and families living in rural areas:
- **Paying for the Range of Maternal Health Providers.** In 2012, The US Department of Health and Human Services launched the Strong Start for Mothers and Newborns Initiative, which sought to reduce preterm births and improve outcomes for newborns and pregnant women. The initiative consisted of a public-private partnership and awareness campaign to reduce the rate of early elective deliveries prior to 39 weeks, and a funding opportunity to test the effectiveness of specific enhanced prenatal care approaches to reduce the frequency of premature births among pregnant Medicaid or CHIP beneficiaries at high risk for preterm births. Women who received prenatal care in Strong Start Birth Centers had better birth outcomes and lower costs relative to similar Medicaid beneficiaries not enrolled in Strong Start. In particular, rates of preterm birth, low birthweight, and cesarean section were lower among Birth Center participants, and costs were more than $2,000 lower per mother-infant pair during birth and the following year.\textsuperscript{133} Given the findings from the Strong Start evaluation and other studies demonstrating the reduced costs of perinatal service models that include midwifery, birth centers, and other providers (e.g., peer counselors), Medicaid agencies and private insurers could adopt this model or initiate similar payment models.
- **Expanding and Extending Insurance Coverage.** Early initiation and continuous engagement in perinatal services are essential to achieving positive maternal health outcomes, yet 23.1% of women between the ages of 18 and 64 living in rural areas either delayed care or went without any medical care due to lack of insurance coverage.\textsuperscript{134} Nearly half of all births in the United States are covered by Medicaid, and women covered by Medicaid need access to the full spectrum of maternal health services.\textsuperscript{135} Medicaid coverage often ends for women at 60 days postpartum. There is a need for coverage beyond that immediate postpartum period, given the ongoing pregnancy-related risks and chronic conditions that women experience up to a year after giving birth.\textsuperscript{136} Women who lose their coverage 60 days postpartum are vulnerable to postpartum and interconception health risks.\textsuperscript{137, 138} There are opportunities to overcome these barriers in accessing care for women by extending Medicaid coverage, extending coverage to one year postpartum, and helping those who may lose Medicaid eligibility transition to either another eligibility category or another coverage source. Thirty-one states and the District of Columbia have extended Medicaid coverage for new mothers beyond the postpartum period, but 19 have yet to do so.\textsuperscript{139}
- **Unbundling Postpartum Services.** Global payment models may result in a lack of emphasis on or incentive to provide postpartum services. Unbundling certain postpartum services from perinatal episode-based payments could encourage engagement in this care. There is a growing movement to unbundle immediate postpartum long-acting reversible contraception from the bundled payments to improve immediate access to contraceptive services.\textsuperscript{140}
- **Establishing Accountable Care Organizations Covering Maternal Health Services.** Accountable Care Organizations have been established to improve population health at lower costs among Medicare populations, and agencies are exploring opportunities to implement Accountable Care Organizations among Medicaid-covered and privately-insured populations to achieve similar results. Some organizations, such as the Camden Coalition of Healthcare Providers, have piloted these models with pregnant women, highlighting the opportunity to improve access to health care among this population while achieving lower costs.\textsuperscript{141, 142}
4.3 Risk-Appropriate: Exemplifies a High-Functioning Maternal Health System
Access to risk-appropriate, quality care is an indicator of a high-functioning maternal health system. Studies comparing quality of care and maternal health outcomes among rural versus urban hospitals have shown differing results. One study found that critical access hospitals (CAH) performed comparably on several outcome measures including cesarean delivery among low-risk women and episiotomy, and worse on others such as 3rd- or 4th-degree lacerations.\textsuperscript{143} More consistent have been the findings demonstrating that hospitals with lower numbers of deliveries have worse outcomes than higher volume hospitals.\textsuperscript{144, 145, 146, 147} Many of the poorer outcomes are attributed to lack of designated obstetric physicians and nurses attending these births as well as potentially lower access to resources such as blood banks to manage complications.\textsuperscript{148, 149} While access to risk-appropriate care during labor and delivery is critical, access to risk-appropriate care during and after pregnancy is also essential in monitoring and managing high-risk conditions such as diabetes or hypertension. The variability in quality and preparedness among rural maternal health services highlights the need for policies and programs to ensure that rural women have access to risk-appropriate care. Lack of access to risk-appropriate health care is also attributable, in part, to availability of hospital and obstetric units in rural areas, particularly given that nearly half of all rural counties have no hospital-based services.\textsuperscript{150}
Opportunities to improve access to risk-appropriate maternal health care in rural communities include the following:
- **Defining and adopting a risk-appropriate care model.** Perinatal Regionalization of Care is a strategy to ensure that all pregnant women are receiving timely access to risk-appropriate care, especially in situations when transfer to another hospital is needed. In 1976, the March of Dimes published \textit{Toward Improving the Outcome of Pregnancy}, introducing a model system for regionalized perinatal care. This document and follow-ups published in 1993 and 2010 helped move the US health care system toward perinatal regionalization, leading to a steady decline in infant mortality.\textsuperscript{151} To support a similar regionalization of maternal care among perinatal providers, the American College of Obstetricians and Gynecologists (ACOG) and the Society of Maternal-Fetal Medicine established Levels of Maternal Care to help providers identify the most appropriate locations for each birth within their region based on perinatal risk factors.\textsuperscript{152} Levels of Maternal Care are particularly important to rural communities in identifying and referring high-risk women to providers with the appropriate skills for their needs. The Levels of Maternal Care range from Birth Centers and Level I Centers providing basic care, to Level IV Regional Perinatal Healthcare Centers that provide care for the most complex perinatal conditions.\textsuperscript{153} The CDC has also developed a tool called the Levels of Care Assessment Tool (LOCATe) to support decision making about risk-appropriate care at a regional level. Fifteen states currently participate in the CDC LOCATe program; expanding this system across all rural communities in the US will help improve access to risk-appropriate care for women in rural areas. LOCATe is based on the most recent guidelines and policy statements issued by the American Academy of Pediatrics, ACOG, and the Society for Maternal-Fetal Medicine.\textsuperscript{154}
- **Establishing Hub-and-Spoke Models.** Hub-and-spoke models are one way to operationalize the regionalization of risk-appropriate care as defined in the Levels of Maternal Care. Hub-and-spoke is defined as “a model which arranges service delivery assets into a network consisting of an anchor establishment (hub) which offers a full array of services, complemented by secondary establishments (spokes) which offer more limited service arrays, routing patients needing more intensive services to the hub for treatment.”\textsuperscript{155} Given the number of rural OB unit closures, hub-and-spoke models provide opportunities for rural providers to establish formal relationships with hospitals that are better equipped to handle high-risk births. As an example, Avera Health has established a hub-and-spoke relationship, termed a “Maternal Health Compact,” among a tertiary
care center and two rural hospitals in South Dakota. These hospitals remain connected using labor analysis software that supports providers in identifying risks and potential need for transfer during labor and delivery.\textsuperscript{156}
- **Increasing Use of Birth Centers.** Birth centers have also proven to be an effective, safe, and lower-cost model to perinatal care than hospital deliveries for low-risk pregnancies. Between 2004 and 2013, the number of births occurring in freestanding birth centers in the US grew by 75% (from 9,620 to 16,913 births). An integrated literature review published in 2016 found that deliveries occurring at a birth center had lower rates of assisted vaginal births and cesarean section births than hospitals.\textsuperscript{157}
### 4.4 High Quality: Provides Safe, Timely, Efficient, and Effective Care and Services
There are numerous frameworks that outline what constitutes high-quality care.\textsuperscript{158} The Institute of Medicine (now the Health and Medicine Division of the National Academies of Sciences, Engineering, and Medicine) identified safety, timeliness, efficiency, and effectiveness as a few key elements. Safety entails avoiding harm to patients from the care that is intended to help. Timeliness pertains to reducing waits and the occasional harmful delays in receiving or delivering care. Efficiency calls for organizations and practices to minimize waste of resources such as equipment, supplies, ideas, and energy. Effectiveness means that the services being provided are evidence-based, while avoiding underuse, misuse, or the provision of services for those not likely to benefit. In 2016, the World Health Organization released, Standards for Improving Quality of Maternal and Newborn Care in Health Facilities\textsuperscript{159}, that includes guidelines to help, “end preventable maternal and newborn morbidity and mortality,” and to ensure that, “every pregnant woman and newborn should have skilled care at birth with evidence-based practices”.\textsuperscript{160}
The following are examples of efforts to improve the quality of maternal health care:
- **Alliance for Innovation on Maternal Health Program.** HRSA, in partnership with ACOG, is designing and implementing protocols to improve the consistency and safety of maternity care in the US. The Alliance for Innovation on Maternal Health (AIM) Program collaborated with experts in maternity care to develop clinical care protocols, termed “Safety Bundles,” for common conditions or procedures that may occur across the perinatal period. As of April 2019, 26 states have enrolled in the AIM Program and conducted a state needs assessment to determine which bundles were most appropriate for their state.\textsuperscript{161} Although AIM is adopted at a state level, there are opportunities for dissemination and implementation of Safety Bundles across rural communities. As an example, the University of Utah has partnered with Project Extension for Community Healthcare Outcomes (ECHO) to implement AIM bundles for health systems across the state using telemedicine.
- **Perinatal Quality Collaboratives.** The CDC provides support to states to establish Perinatal Quality Collaboratives (PQCs). States are also supporting PQCs through their Title V Maternal and Child Health Block Grants. PQCs comprise interdisciplinary teams within a state or across states to engage in quality improvement initiatives in their region. The aim of PQCs is to improve quality of care across the perinatal period but they are particularly focused on reducing racial and geographic disparities, reducing preterm births and cesarean section births among low-risk women, and improving providers’ ability to address pregnancy complications such as eclampsia and hemorrhage.\textsuperscript{162}
- **Maternal Mortality Review Committees.** Over half the states have a comprehensive maternal mortality review process. MMRCs provide information on the causes of maternal mortality beyond the basic surveillance data collected by the National Center for Health Statistics and the Pregnancy
Mortality Surveillance System, both administered by CDC. MMRCs gather and review extensive information about individual cases of maternal death, determine whether the death was related to or aggravated by pregnancy, and develop recommendations of action that could help prevent similar deaths.\textsuperscript{163} At the federal level, the recently passed Preventing Maternal Deaths Act expanded CDC’s Safe Motherhood initiative with funding to implement MMRCs.\textsuperscript{164} The CDC Foundation, with funding from Merck for Mothers, established a standardized data system to support MMRCs in collecting and reporting mortality data collected within their states.\textsuperscript{165}
**Quality Reporting.** There are also opportunities to collaborate across federal and state agencies to expand quality reporting capacity, consistency, and capability. The Centers for Medicare & Medicaid Services (CMS) Maternal and Infant Health Initiative is working with CDC, HRSA, and states to implement a Data Linkage Training series to improve states’ abilities to report on Medicaid quality measures and report to the CDC’s Pregnancy Risk Assessment Monitoring System.\textsuperscript{166} CMS has developed a core set of perinatal quality measures, including measures related to elective and cesarean sections, pre- and post-natal care, and contraceptive care. The 2019 Core Set includes 12 measures, 8 from CMS’s Child Core Set and 4 from the Adult Core Set, to help evaluate maternal and perinatal health in Medicaid and CHIP. Currently, reporting on these metrics is voluntary.\textsuperscript{167} However, reporting of the Child Core Set and Adult Behavioral Health Measures will be mandatory under the Children’s Health Insurance Program Reauthorization Act (CHIPRA) of 2009 and the SUPPORT for Patients and Communities Act, respectively.
### 4.5 Patient-Centered: Values the Whole Person and Family
Patient-centered care and services are those that are delivered in a manner that is respectful and responsive to individual patient preferences, needs, and values. In 2011, leading organizations in maternal health drafted a call to action, which stated that, “patient-centered and safe care of the mother and child enhance quality and is our primary priority”.\textsuperscript{168} Patient-centered care calls for providers and organizations to be kind, effective communicators, trustworthy, and respectful of different views of motherhood, childbearing, and the birthing process.
Examples of patient-centered care include:
- **Maternity Medical Homes.** Similar to Patient Centered Medical Homes, which are ways to organize and deliver the core functions of primary care, maternity medical homes incorporate many of the same strategies to address the clinical aspects of maternal health care as well as the behavioral, economic, and social needs of women before, during and after pregnancy. Maternity medical homes achieve this by conducting periodic risk assessments to tailor services to each woman’s unique needs, provide care coordination and facilitate linkages to needed services, and improve engagement in and outcomes of maternal health care through shared decision making with women.\textsuperscript{169}
- **Culturally Tailored Initiatives.** Given the vast diversity in geography, economy, and racial and ethnic make-up of rural communities across the US, it is critical to ensure that all services are culturally relevant to the respective community. This is especially evident among American Indian and Alaska Native communities, which differ not only geographically (e.g., reservations, tribal communities) but culturally. Programs such as the Family Spirit program or American Indian Infant Health Initiatives are dedicated to implementing culturally competent and behavioral-focused home visiting programs. Programs like these are essential to reducing disparities among young American Indian and Alaska Native families by educating them about infant and child care and healthy eating practices, while also ensuring the family is enrolled in health insurance and food assistance programs.\textsuperscript{170}, \textsuperscript{171}
Responsive Leadership and Workforce. Delivering patient-centered care to ever-diversifying communities will require organizations to have leadership teams and a trained workforce that is responsive to patients and families from a broad range of cultural and linguistic backgrounds. Training in and providing culturally and linguistically appropriate services is one means of advancing health equity, improving quality, and helping to eliminate health care disparities.\textsuperscript{172} HRSA has resources that include checklists and guides regarding the implementation of cultural and linguistic competence into maternal and child health training programs.\textsuperscript{173}
4.6 Innovative: Leverages Telehealth and Related Technology
Telehealth is the use of electronic information and telecommunication technologies to support long-distance clinical health care, as well as, patient and professional health-related education, public health, and health administration.\textsuperscript{174} Telemedicine is the application of telehealth solely as it relates to clinical services. Opportunities exist to utilize telehealth and telemedicine, to expand access to maternal health care among women living in rural areas; yet its adoption remains limited.\textsuperscript{175} In some cases, barriers to accessing maternal health services using telehealth are related to common challenges with telehealth (e.g., limited access to broadband in rural areas, cost of equipment or technologies, scheduling time with providers, reimbursement for teleconsultation). In other cases, legislative barriers contribute to the limited availability of these services.\textsuperscript{2} In a review conducted in 2016, only three of 36 jurisdictions (which included states, territories, and the District of Columbia) had policies that addressed use of telemedicine for perinatal services.\textsuperscript{176}
There are many forms of telehealth, including live video (synchronous telehealth), store-and-forward (asynchronous telehealth), remote patient monitoring, mobile health (mHealth), and electronic consults (e-consults), that can meet many different needs for women and providers in rural areas before, during, and after pregnancy.\textsuperscript{177} Structural and legislative opportunities to expand use of telemedicine include improving access to broadband, ensuring the cost of technologies and devices are reasonable, and establishing policies that promote use of telemedicine among providers to expand access to maternal health services.
Below are examples of how and where telehealth can be leveraged to deliver maternal health services in rural areas:
- **Expanding Remote Monitoring.** Given the distance to care that many rural women experience, telemedicine can reduce the burden of frequent travel for perinatal care. In North Carolina, Cone Health has launched a remote monitoring program called Babyscripts Diabetes Program that provides daily blood sugar monitoring for pregnant women at risk for gestational diabetes. This program has helped providers monitor their most at-risk patients without requiring women to make extra visits to the physician’s office during their prenatal period.\textsuperscript{178} The Maternal and Child Health Bureau at HRSA launched a challenge to support the development of innovative technology-based solutions that help providers remotely monitor the health of pregnant women, and empower women to make informed decisions about their own care.
- **Engaging Providers and Patients Using Virtual Platforms.** Telemedicine also brings opportunities to improve ongoing engagement between providers and pregnant women throughout
\textsuperscript{2} Medicare fee-for-service (FFS) coverage for telehealth is currently defined under Section 1834 of the Social Security Act, and is limited to telehealth services that are furnished via a telecommunications system by a physician or certain other types of practitioners to an eligible individual who is not at the same location. For more information on Medicare Telehealth Coverage and Payment Policies, please see: https://www.cms.gov/About-CMS/Agency-Information/OMH/Downloads/Information-on-Medicare-Telehealth-Report.pdf
their prenatal period. Programs such as the Lifeline4Moms and Georgia’s Live Health Online provide pregnant women with unlimited access to essential providers, including mental health care specialists and lactation consultants.\textsuperscript{179, 180} The CenteringPregnancy program has utilized telemedicine to engage distant maternal health care specialists in prenatal group care in rural South Carolina.\textsuperscript{181}
- **Implementing Programs Using Phone Applications.** States and health systems alike have employed phone applications to increase engagement in perinatal services. Text4baby, developed with input from the US Department of Health and Human Services and private and public stakeholders, is the most widely available app and provides regular text messages on nutrition, safe sleep, doctor visits, pregnancy and baby milestones, and other important health topics.\textsuperscript{182} Another example is the Wyhealth Due Date Plus application that Wyoming’s Medicaid program uses to engage women in prenatal care by monitoring weekly progress and weight gain, connecting women to community resources, and providing 24/7 access to providers. A 2017 study of this phone application found a significant association between phone application use and engagement in prenatal care.\textsuperscript{183}
- **Increasing Access to Virtual Consultation.** Practitioners can benefit from access to specialist colleagues across geographic distances. The Medical University of South Carolina provides a maternal-fetal telehealth program that offers specialty care to women who have high-risk pregnancies. This program pairs maternal-fetal medicine specialists with local providers to manage the care of women with high-risk pregnancies via video consultation, allowing real-time conversations between the specialist and the local provider.\textsuperscript{184}
- **Expanding Training and Quality Improvement.** Virtual training and capacity building with existing providers can improve access to quality maternal health services in rural areas.\textsuperscript{185} Programs such as Project ECHO and PedsPLACE offer platforms for rural providers who may be isolated from peer-learning opportunities to engage in ongoing training and education with providers in other locations using telemedicine. The University of Utah partnered with Project ECHO to implement quality improvement activities with hospitals across the state. Within the first year of the program, Project ECHO saved provider participants 10,000 miles and 180 hours of travel time to engage in these trainings.\textsuperscript{186}
### 4.7 Coordinated: Connects Women to Behavioral and Social Supports
Access to behavioral and social services (e.g., family support, financial services, violence prevention, and nutrition support) are critical to the overall health and wellness of women before, during, and after pregnancy. Access to these services, particularly among women in rural communities, is inadequate. For example, prevalence of depression is higher among women in rural communities than in urban areas, yet limited access to behavioral health services reduces the likelihood that women in rural areas are screened and treated for this and other behavioral health conditions.\textsuperscript{187, 188} With the exception of American Indians and Alaska Natives, racial and ethnic minorities tend to have lower rates of depression and any mental illness compared to non-Hispanic Whites.\textsuperscript{189, 190} However, racial and ethnic minorities are less likely to receive treatment for any mental illness, including depression.\textsuperscript{191, 192, 193} Further, although nutrition is paramount for women in achieving positive health outcomes before, during, and after pregnancy, access to healthy and affordable foods is often limited in rural communities.\textsuperscript{194} Rural communities also often have limited access to social services such as housing support, employment services, childcare, and home visiting programs, all of which impact health outcomes for rural populations.\textsuperscript{195} For some women who otherwise do not have access to health care, or who do not actively seek health care regularly, pregnancy offers an opportunity to connect with a medical home that is coordinated and integrated with behavioral, economic, and social supports. However, for women covered by Medicaid that opportunity may be time-limited.
Examples of opportunities to improve access to behavioral and social services include:
- **Behavioral Health Screening.** Given the prevalence of depression among women in rural areas, and that perinatal mood and anxiety disorders are among the most prevalent conditions affecting women during and after pregnancy, integration of behavioral health services into maternal health care is essential. In addition, rural communities face the same or higher rates of substance abuse as their urban and suburban counterparts. Adoption of screen-to-treat processes in perinatal services has been shown to increase identification of behavioral health conditions and linkage to behavioral health care, particularly when implemented during prenatal intake visits and during postpartum visits.\(^{196}\) Though availability of onsite behavioral health services may be limited in rural areas, establishing a warm handoff or following up on referrals also improves the linkage to these services among women. One program that focuses in this area is the Maternal Opioid Misuse (MOM) model, launched by CMS in 2019. By working with states to promote coordinated and integrated care delivery, the MOM model seeks to improve quality of care and reduce costs for pregnant and postpartum women with opioid use disorder as well as their infants; expand access, service-delivery capacity, and infrastructure based on state-specific needs; and create sustainable coverage and payment strategies that support ongoing coordination and integration of care.
- **Partnerships with Community Services.** Community services often provide an additional entry point to behavioral, economic, and social supports that women need before, during, and after pregnancy. For example, the Special Supplemental Nutrition Program for Women, Infants, and Children (WIC) program link individuals to needed support services such as smoking cessation, substance abuse counseling, and immunizations. Connection to WIC services has also helped women connect to prenatal care earlier, improve their nutrition during and after pregnancy, and increase rates of breastfeeding.\(^{197}\)
- **Health and Social Service Workforce.** Leveraging additional health and social service providers, such as community health workers (CHW), home visitors, case managers, and social workers, has also been successful in screening and linking patients to essential services.\(^{198}\) CHWs, in particular, have improved health outcomes among patients by helping them adhere to their care plans and reducing visits to emergency departments. Within maternal health care, CHWs help to educate women about breastfeeding and child care, provide initial screenings for conditions such as postpartum depression, and link women to health care and other social supports.\(^{199}\)
### 4.8 Equitable: Provides High-Quality, Patient-Centered Care to All Women
Access to quality maternal health care is just one factor among many that influence maternal health outcomes. Research has shown that, while there have been improvements in quality of care broadly, these efforts have not reduced health disparities for women of color.\(^{200}\) A number of person- and system-level factors contribute to the perpetuation of health disparities, including institutional bias. Given that causes are multifactorial, solutions are far more complex than just improving quality of care.
Though national data on rural maternal mortality by race and ethnicity are limited, available data show that maternal mortality is higher among women of color and lowest among non-Hispanic White women.\(^{201,202}\) Overall, women of color accounted for 40.7% of all US live births, but experienced 61.8% of the 7,487 pregnancy-related deaths from 1993 to 2006.\(^{203}\) Black women are three to four times more likely to die or suffer serious illness from pregnancy-related causes than White women, regardless of their socioeconomic status.\(^{204}\) Between 2011 and 2015, there were 47.2 deaths per 100,000 live births among Black mothers, compared to 18.1 for non-Hispanic White mothers (Figure 4).\(^{205}\)
Disparities also exist in maternal morbidity and birth outcomes. In 2016, Black women had preterm birth rates that were 50% higher than white women.\textsuperscript{206} Although there are minimal disparities in prevalence of postpartum depression or other behavioral health disorders among racial and ethnic groups, treatment rates for these disorders are significantly lower among Black and Hispanic women.\textsuperscript{207}
Although maternal mortality disparities are greatest for non-Hispanic Black women, the rate for American Indian and Alaska Native women is also concerning. Reports of maternal mortality rates among American Indian and Alaska Native women vary but can be as high as twice the mortality rate among White women.\textsuperscript{208} Barriers to perinatal care among this population are also unique in that approximately 40% live on reservations or in highly rural or frontier communities, exacerbating barriers related to distance to care. Many American Indian and Alaska Native women seek care from the Indian Health Service or tribal health centers, which often do not offer the full range of maternal health services, in some cases, due to challenges related to recruiting and retaining maternal health care providers.\textsuperscript{209} In a study conducted in 2012 of American Indian and Alaska Native women accessing maternal health care at an IHS facility, patients reported their primary concerns were related to communication barriers, a lack of cultural competency or awareness among their providers; a lack of continuity in their providers, with many reporting that they had seen a different provider during each prenatal visit; and financial and transportation barriers that inhibit them from accessing care.\textsuperscript{210} Fewer American Indian and Alaska Native women living in rural communities access prenatal care within the first trimester, compared to non-Hispanic White women.\textsuperscript{211} Each of these barriers, along with differences in rates of poverty, obesity, and alcohol, tobacco, and substance use, can contribute to higher rates of maternal mortality among American Indian and Alaska Native women.\textsuperscript{212}
The interplay of structural determinants (e.g., socioeconomic position, race/ethnicity), maternal circumstances (e.g., living and working conditions, transportation), and behavioral, psychological, and biological factors help to explain disparities in health outcomes in rural areas.\textsuperscript{213,214,215} Access to transportation, stable housing, child care, healthy foods, and health insurance are central to ensuring that women, particularly women living in rural areas, are able to access the maternal health care they need before, during, and after pregnancy. Addressing these needs may not be sufficient to eliminate racial and ethnic disparities experienced by women of color living in rural communities. As demonstrated by the National Healthcare Quality and Disparities Report, issued annually by the Agency for Healthcare Research and Quality, improvements in health care quality do not always result in reductions of racial and ethnic disparities.\textsuperscript{216} Achieving health equity requires a specific focus on closing the gap.
It is essential that federal, states, regional, and local organizations engage a cross-section of stakeholders from the community to inform the development and implementation of programs and policies aimed at maternal health care for women living in rural areas. It is also essential for systems to evaluate their programs in an effort to build the evidence base, and for evidence-based or evidence-informed strategies to be tested in rural contexts. Unfortunately, communities of color and tribal communities are frequently left out of the conversations related to rural America.
Examples of resources and programs intended to assist health systems achieve equity for all women include:
- **AIM Maternal Safety Bundle on Reduction of Peripartum Racial/Ethnic Disparities.** This resource helps health systems improve their data collection, staff training, and patient, family, and community engagement to address racial and ethnic disparities among their populations.\(^{217}\)
- **Core Quality Measure Collaborative OB-GYN Measures.** The Core Quality Measure Collaborative (CQMC) is a collaboration with CMS, the America’s Health Insurance Plans, and the National Quality Forum. The CQMC has identified 8 core quality measure sets that can be used with commercial and government payers, including one for OB-GYN. The OB-GYN core set focuses on care provided in ambulatory and hospital/acute settings and includes 11 measures ranging from frequency of ongoing prenatal care and breast and cervical cancer screening to elective delivery, Cesarean section, and exclusive breast milk feeding. These measures are *provider-level* in contrast to the current *state-level* Medicaid Core set.\(^{218}\)
- **Maternal Mortality Review Data System Socio-Spatial Indicators.** The Maternal Mortality Review Data System has included a set of contextual measures (termed socio-spatial indicators) related to the health service environment, reproductive and behavioral health, and social and economic factors that are intended to demonstrate the link between maternal mortality and health equity within individual communities. Subsequently, MMRCs can use these data to incorporate equity into their review discussions.\(^{219}\)
- **Community-Driven Initiatives.** There are promising community-driven initiatives that could be employed and tested in rural areas. For example, the HRSA Maternal and Child Health Bureau’s Healthy Start program aims to improve women’s health before, during, and after pregnancy by supporting communities in implementing evidence-based practices to connect women and families to health care and other support services.\(^{220}\) The Best Babies Zone Initiative builds cross-sector partnerships in communities to address maternal health disparities by engaging women in helping to design activities, and better linkage to economic, education, early care, health care, and community services.\(^{221}\) Evaluations of these programs have demonstrated reduced disparities in short-term outcomes (e.g., increased access to maternal health care), medium-term outcomes (e.g., increase in rates of breastfeeding and postpartum visits), and long-term outcomes (e.g., reduction in premature births and low birth weight births).\(^{222, 223}\)
5. HIGHLIGHTED EXAMPLES: IMPROVING ACCESS TO MATERNAL HEALTH CARE IN RURAL COMMUNITIES
CMS conducted interviews with six organizations to highlight a variety of promising approaches, facilitators, barriers, and opportunities for further impact. The case studies address several of the factors contributing to problems accessing maternal health care in rural communities, including workforce shortages and access to care challenges associated with social determinants of health. They illustrate efforts to stabilize rural hospital obstetrical services, regionalization and coordination of care, quality improvement initiatives, training and guideline development, provider recruitment and retention strategies, and expansion of care models. These organizations were selected because of their geographical variation (e.g., Alaska, Arkansas, California, Kansas, South Carolina, and Wisconsin), diversity in focus area (e.g., group prenatal care, birth centers, rural OB-GYN residency program, telemedicine, quality improvement), as well as their documentation and/or publication of the impacts and outcomes associated with their program. The experience of these organizations highlights policy and structural changes that could be adopted to improve access to maternal health services in rural communities. Most of these organizations reported difficulty recruiting and retaining maternal health providers, low patient volume for maternal services, and disincentives or barriers related to reimbursement of maternal health services. Yet they overcame these barriers with unique strategies, such as partnering with community or state associations, collaborating with urban or academic providers, or using telehealth and other innovations. High-level summaries of the case studies follow in the narrative below with full profiles provided in Appendix C. A summary of which barriers each organization aimed to address is included in Table 2.
Table 2. Summary of Barriers Addressed in Each Case Study
| Case Study Summary | Hospital Closures | Access to Care | Insurance Coverage | Workforce Supply and Distribution | Quality | Health Disparities | Social Determinants of Health |
|------------------------------------------------------------------------------------|------------------|----------------|--------------------|-----------------------------------|---------|--------------------|-------------------------------|
| Matsu Midwifery. Birth center, family health center, and functional medical clinic with flexible schedules and multiple services to accommodate patients and families. | | X | | | | X | X |
| Antenatal & Neonatal Guidelines and Education Learning System. State-based program aimed at improving access to and the quality of maternal health services within Arkansas. | X | X | X | | X | X | X |
| California Maternal Quality Care Collaborative. Multi-stakeholder collaboratives specifically designed to improve the quality of maternal health services through quality improvement activities and a maternal health e-learning platform for provider professional development. | | X | | | X | X | |
### Case Study Summary
| Case Study | Hospital Closures | Access to Care | Insurance Coverage | Workforce Supply and Distribution | Quality | Health Disparities | Social Determinants of Health |
|-------------------------------------------------|-------------------|----------------|--------------------|-----------------------------------|---------|--------------------|-------------------------------|
| Kearny County Hospital | X | X | | X | X | X | X |
| CenteringPregnancy of South Carolina | | X | | | | X | X |
| University of Wisconsin’s Rural Residency Program in Obstetrics and Gynecology | X | X | | X | X | | |
**Matsu Midwifery.** Matsu Midwifery is a birth center, family health center, and functional medical clinic located in Wasilla, Alaska, that provides services to women across a large area. With a 150-mile catchment area, the center has implemented several strategies to improve access to and engagement in perinatal care. These strategies include establishing a flexible schedule and providing multiple services to accommodate patients and families; identifying an OB champion within the hospital system who regularly provides consultation services and facilitates transfers as necessary; and hosting group prenatal classes to build a community among women in the prenatal period. While most of the surrounding Alaska Native population seeks care at a nearby hospital dedicated to this population, Matsu Midwifery aims to address disparities among the patients who choose to seek care from the birth center by actively supporting patients at risk for perinatal depression. As a result of these efforts, Matsu Midwifery reduced perinatal anxiety, postpartum depression, and feelings of isolation among its patients; and facilitated quick and successful transfers from the birth center to the local hospital during emergencies.
**Antenatal & Neonatal Guidelines and Education Learning System.** The Antenatal & Neonatal Guidelines and Education Learning System (ANGELS) program was established by the University of Arkansas to improve access to and the quality of maternal health services within the state. The ANGELS program employed several strategies to improve access to maternal health services, including establishing a 24/7 call center for providers and patients experiencing perinatal complications or emergencies, expanding teleconferencing services with providers across the state, and improving capacity and readiness of rural providers to handle obstetric emergencies. Understanding that provider bias, either unconscious or conscious, is one reason why minority communities do not have equitable access to high-quality health care services, the ANGELS program will roll out training using the AIM Disparities Safety Bundle to address issues such as providing equitable pain management and identifying signs of hemorrhaging among Black populations. As a result of these efforts to improve maternal health services in Arkansas, the ANGELS program has experienced the following results: a decrease in the distance that many women in Arkansas must travel to be seen by an obstetric expert, an increase in Medicaid beneficiaries delivering premature or low-birthweight babies at the University of Arkansas Medical Sciences (versus at a hospital less equipped for the special needs of the mother and...
baby), a decrease in complications for high-risk women and their babies, and increased cost savings for Arkansas’ Medicaid program due to fewer complications.
**California Maternal Quality Care Collaborative.** Through efforts from Stanford University School of Medicine in tandem with the State of California, the California Maternal Quality Care Collaborative (CMQCC) was formed in 2006 as a multi-stakeholder organization to improve maternal health outcomes in California by targeting preventable morbidity, mortality, and racial disparities. CMQCC supports collaboratives specifically designed to improve the quality of maternal health services. It has established incentives programs for organizations that participate in quality improvement activities and provided a maternal health e-learning platform for provider professional development. Understanding that rural communities in California, especially rural communities of color, experience poor maternal health outcomes, CMQCC aims to improve its relationships with hospitals in these areas to increase awareness of available quality improvement resources, including technical assistance. It also aims to improve its data collection to better understand experiences of bias in health care settings and perception of health care among communities of color, namely Black women. Since its inception, CMQCC has documented the following changes in maternal health outcomes in California: a decline in rates of maternal mortality by more than 55%, a decline in maternal morbidity by 20.8% among hospitals participating in the quality collaboratives for hemorrhage and preeclampsia, an increase in full-term births by 8%, and a potential increase in public interest in maternal health outcomes and health care performance due to increased public reporting of quality data.
**Kearny County Hospital.** As multiple hospitals surrounding Lakin, Kansas, closed their obstetric units, women in the nearby counties had less access to prenatal care and labor and delivery services. At the same time, this population also had high rates of gestational diabetes (approximately twice the national average), and type 2 diabetes after birth. To address these issues, Kearny County Hospital has provided continued education to family medicine providers in the provision of perinatal care, including labor and delivery services; partnered with foundations and universities in training and quality improvement activities; and increased access to in-person and virtual prenatal care. To address existing health disparities among women of reproductive age within the county, Kearny County Hospital built bridges to the county’s most vulnerable maternal populations by partnering with the largest employer in the county to link employees directly to care. It also established relationships via targeted programming with local refugee communities to build trust among these populations. All these efforts resulted in an increased volume of births, reduction in births of babies that were large for gestational age, and an increase in breastfeeding initiation.
**CenteringPregnancy of South Carolina.** CenteringPregnancy of South Carolina is a subset of the larger Centering Health care Institute that provides a group prenatal care model for pregnant women. Implementation of CenteringPregnancy of South Carolina began in 2012 at the Greenville Health System and has expanded to 24 sites (22 sites are currently operating) across the state. Rural sites, in particular, tend to experience more challenges in program implementation, especially in engaging and retaining rural women due to barriers such as transportation, education about the importance of prenatal care, and limited provider capacity in smaller clinics or hospitals. CenteringPregnancy leveraged several strategies to improve access to maternal health care across each of these sites, including providing technical assistance and creating a collaboration network in South Carolina, establishing enhanced payments for CenteringPregnancy services, designing alternative versions of CenteringPregnancy to increase sustainability among rural programs, and fostering maternal health research in South Carolina. As a result of these efforts to improve maternal health services in South Carolina, CenteringPregnancy has experienced improved maternal health outcomes including lower rates of preterm birth, low-weight babies, cesarean sections, and gestational diabetes; higher rates of breastfeeding initiation among participants; and implementation, sustainment, and collaboration among 22 CenteringPregnancy sites across the state, including urban and rural communities.
University of Wisconsin’s Rural Residency Program in Obstetrics and Gynecology. In 2017, the University of Wisconsin Department of Obstetrics and Gynecology established a rural residency program aimed at expanding the maternal health workforce in rural Wisconsin. In building this residency program, the department partnered with state-level agencies and other workforce training programs to communicate to funders and policy makers the need to improve the rural OB-GYN workforce. It also increased training for medical residents on rural disparities. While the program has not yet been able to address the maternal health disparities among tribal communities in rural Wisconsin due to the lack of OB-GYN preceptors, it aims to build capacity and improve quality of care within other rural communities. In its two years of existence, the program has seen an increased interest among medical students to participate in a rural training track as either a rotation or residency position, increased interest from rural hospitals and providers to serve as preceptors for rural residents, and increased collaboration among rural providers and academic medical institutions for consultations and continued education.
6. CONCLUSION
A lack of access to high-quality maternal health services in rural communities is the result of many factors including workforce shortages, hospital and obstetric department closures, and access to care challenges arising from social determinants of health. These access disparities result in worse health outcomes for rural women and their babies, with American Indian and Alaska Native women and women of color suffering disproportionately. To directly address these challenges, stakeholders across the health system and in rural communities have developed creative solutions to address some of the gaps in maternal health care. Improving maternal health and health care in rural communities will require cross-sector efforts at the federal, regional, state, and local levels. Through continued engagement with stakeholders to highlight and understand these challenges, CMS can work towards creating a system that is accessible, affordable, risk-appropriate, high-quality, patient-centered, coordinated, innovative, and equitable. Such a system will ensure that all women and their babies have access to the maternal health services they need and have better outcomes.
## APPENDIX A. DISTRIBUTION OF HOSPITAL OBSTETRIC UNIT CLOSURES IN MICROPOLITAN AND NONCORE\textsuperscript{iii} COUNTIES, 2004–2014
| Counties | All Rural Counties | Rural Counties with 10,000 - 49,999 Residents | Rural Counties with Less than 10,000 Residents |
|-----------------------------------------------|--------------------|-----------------------------------------------|-----------------------------------------------|
| Number of Counties | 1,984 | 646 | 1,338 |
| Counties that never had hospital(s) with OB services | 898 (45.3%) | 114 (17.6%) | 784 (58.6%) |
| Counties with continual OB services | 907 (45.7%) | 503 (77.9%) | 404 (30.2%) |
| Counties with loss of all OB services | 179 (9.0%) | 29 (4.5%) | 150 (11.2%) |
| Closures of hospitals with OB units | 14 | 3 | 11 |
| Closures of OB units | 165 | 26 | 139 |
Source: Hung, P., Kozhimannil, K., Henning-Smith, C., and Casey, M. Closure of Hospital Obstetric Services Disproportionately Affects Less-Populated Rural Counties. University of Minnesota Rural Health Research Center. April 2017. Available: [http://rhrc.umn.edu/wp-content/files_mf/1491501904UMRHRCOBclosuresPolicyBrief.pdf](http://rhrc.umn.edu/wp-content/files_mf/1491501904UMRHRCOBclosuresPolicyBrief.pdf)
\textsuperscript{iii} Noncore counties are areas with less than 10,000 residents.
## Table 3. Provider Type, Scope, Accredictor, and Location
| Provider Type | Scope | Accredictor | Location |
|-----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|----------|
| Obstetricians | Pregnancy, childbirth including complex deliveries, postpartum period, and women’s health services | American Board of Obstetrics and Gynecology (ABOG) | All 50 states |
| Gynecologists | Overall reproductive health, including pregnancy, childbirth, and postpartum period and women’s health services | ABOG | All 50 states |
| Family Physicians | Comprehensive medical care, health maintenance, and preventative services; pregnancy, childbirth, and postpartum care | American Board of Family Medicine | All 50 states |
| Certified Midwives | Non-nurses who have a background in a health-related field other than nursing and graduate from a midwifery education program accredited by the Accreditation Commission for Midwifery Education (ACME); comprehensive women’s health services and sexual health services depending on practice location | American Midwifery Certification Board (AMCB) | All 50 states |
| Certified Nurse Midwives | Registered nurses who pass a nurse-midwifery education program or graduate-level education in programs accredited by ACME; comprehensive women’s health services and sexual health services depending on practice location | AMCB | 28 states |
| Doulas | Non-clinical maternal support and education in homes, birth centers, and some other medical facilities before, during, and after birth | Childbirth and Postpartum Professional Association; DONA International; others | All 50 states |
| Provider Type | Scope | Accreditor | Location |
|-------------------------------|----------------------------------------------------------------------|---------------------|----------|
| Community Health Workers (CHWs) | Community-based health education, basic health services, and referral recommendations for health services | Varies by state\(^{224}\) | 47 states |
Sources: An Overview of OB-GYN Certification. American Board of Obstetrics + Gynecology. Retrieved from: [https://www.abog.org/specialty-certification/overview-of-specialty-certification](https://www.abog.org/specialty-certification/overview-of-specialty-certification). Become Certified. American Board of Family Medicine. Retrieved from: [https://www.theabfm.org/become-certified.](https://www.theabfm.org/become-certified.) About Midwives. Midwives Alliance North America. Retrieved from: [https://mana.org/about-midwives/types-of-midwife](https://mana.org/about-midwives/types-of-midwife). Standards and Ethics. DONA International. Retrieved from: [https://www.dona.org/what-is-a-doula/scope-and-ethics/](https://www.dona.org/what-is-a-doula/scope-and-ethics/). Summary of State Community Health Worker Laws. Centers for Disease Control and Prevention. Retrieved from: [https://www.cdc.gov/dhdsp/pubs/docs/chw_state_laws.pdf](https://www.cdc.gov/dhdsp/pubs/docs/chw_state_laws.pdf).
APPENDIX C. SUMMARY OF SIX CASE STUDIES
CMS conducted interviews with six organizations to highlight a variety of promising approaches, facilitators, barriers, and opportunities for further impact. The case studies illustrate efforts to stabilize rural hospital obstetrical services, regionalization and coordination of care, quality improvement initiatives, training and guideline development, provider recruitment and retention strategies, and expansion of care models. These organizations were selected because of their geographical variation (e.g., Alaska, Arkansas, California, Kansas, South Carolina, and Wisconsin), diversity in focus area (e.g., group prenatal care, birth centers, rural OB-GYN residency program, telemedicine, quality improvement), as well as their documentation and/or publication of the impacts and outcomes associated with their program.
1. Matsu Midwifery and Family Health
- **Location:** Wasilla, Alaska
- **Organization Type:** Family Health and Birth Center (3 birthing rooms)
- **Community Characteristics:** Population of Wasilla 7,831 in 2010; Largest Industry: Professional Service (many commute to Anchorage)
**Description of the Program or Practice**
Matsu Midwifery’s facility is located within an hour of Anchorage, Alaska. It includes a midwifery clinic, family health center, and functional medicine clinic. The center’s total catchment area has a 150-mile radius. The birth center leveraged several strategies to improve access to its care, including:
- **Establishing a flexible schedule and providing multiple services to accommodate patients and families.** To address patient transportation barriers, Matsu Midwifery’s providers ensure that their schedule is flexible enough to accommodate walk-ins if patients are in the area and need to be seen, and they make themselves available on the weekends and after hours if needed. The providers also do their best to coordinate with families so that all members (e.g., mothers and children) can be seen during the same visit. The midwives will sometimes try to make home visits for prenatal care if they are going to be in the area of a patient without transportation.
- **Actively supporting patients with behavioral or emotional risks.** Although Matsu Midwifery, does not accept patients engaging in risk behaviors (e.g., use of tobacco or nicotine, alcohol, marijuana, or controlled substances), the family practice works with patients who have stopped engaging in such behavior(s) either individually or in an ongoing group setting (e.g., Centering Anxiety Group, smoking cessation programs) to maintain healthy lifestyle changes. During a weekly meeting, the team of providers tracks stressors or other risks that their patients may be experiencing, such as living far away from family, lack of social support, and feelings of isolation. This ensures that any providers who are on call or seeing patients that week are aware of patients’ potential risks (e.g., emotional, family-oriented) in addition to the essential care or services they need.
- **Partnering with obstetric/gynecologic (OB-GYN) physicians in the local hospital to provide consultation services and receive transports as needed.** Matsu Midwifery has a very strong working relationship with an OB-GYN provider in the area but has struggled with more systematic partnerships with the hospital generally. The partner provider is willing to provide consultation at any hour to the midwives via phone or text; she also facilitates quick and seamless transfers to the
hospital as needed, which has resulted in improved outcomes for patients.
- **Hosting group prenatal classes to build community among women in the prenatal period.** Matsu Midwifery hosts a group prenatal care program called CenteringPregnancy for which half the practitioners are trained facilitators. The program consists of group classes with six to eight pregnant women of similar gestational age. The meetings are two hours long and occur every month for the first 32 weeks of pregnancy and then every other week thereafter, which has helped to build a community among the population. However, given the relatively small patient population, gestational age groups are looped into the same cohort to make the discussions more robust.
### Results
As a result of these efforts to improve its maternal health services, Matsu Midwifery reports the following results:
- Reduced perinatal anxiety, postpartum depression, and feelings of isolation.
- Quick and successful transfers to the local hospital as a result of a partnership with an OB-GYN provider.
### Barriers
- Public advertising has not been an effective recruitment strategy, and sometimes a midwife who is hired or trained is not retained due to the culture of the birth center. Matsu Midwifery does not follow a typical hierarchical model that other birth centers or labor and delivery clinics follow during births. All attending providers, regardless of credentials, are encouraged to raise questions or take the lead in certain situations, which has not aligned with some providers who have trained in a different environment.
- Transportation to clinical services is an issue for both rural and local clients. Although the state Medicaid program does provide some support for patient travel from rural areas, authorizations are often difficult to obtain when Matsu Midwifery is not considered the closest provider to the patient.
- Some federal insurance plans (e.g., Tricare, plans purchased from the Marketplace) do not cover services provided by Direct Entry Midwives (DEM), which requires the birth center to alter its attending teams for patients covered under these plans.
- Matsu Midwifery has also experienced challenges in working with the local Emergency Medical Service agency during emergency transfers to the hospital. Matsu Midwifery has initiated collaborative conversations to facilitate emergency transfers more seamlessly.
### Facilitators
- To facilitate direct recruitment of midwifery students, Matsu Midwifery works closely with colleges and universities that have midwifery programs such as Georgetown University. Matsu Midwifery also serves as a training site for the DEM model, which is an apprentice training model.
- The birth center allows women who live far away or have challenges with transportation to stay in an unused birthing room for up to 24 hours after they would have been discharged for monitoring, but these stays are not reimbursable.
- In addition to its relationships with the OB-GYN physician in the hospital, Matsu Midwifery has invited a member of the Matsu Health Foundation to serve on its board. This relationship has helped to improve education and awareness among the hospital’s leadership of the birth center’s
Areas of Opportunity Identified by Participants
Matsu Midwifery’s experiences raise the following implications and/or recommendations to improve access to maternal health services in rural areas:
Access to Hospitals and Obstetric Units
- Reimburse travel, hotel, or an extra night’s stay within the birth center for non-local women who elect to receive care from and/or deliver at the birth center.
Access to a Maternal Health Workforce
- Allow for reimbursement of a broader range of maternal health providers (e.g., DEM) among health plans, particularly those with more restrictive regulations such as Tricare or plans on the Health Insurance Marketplaces.
2. Antenatal & Neonatal Guidelines and Education Learning System
- **Location:** Arkansas
- **Organization Type:** Telemedicine Education Learning System
- **Community Characteristics:** Population: 2,915,918 in 2010 (1,278,329 in rural communities); Largest Industry: Agriculture
**Description of the Program or Practice**
The Antenatal & Neonatal Guidelines and Education Learning System (ANGELS) program was established by the University of Arkansas to improve access to and quality of maternal health services within the state. The program grew steadily from the mid-1990s to 2003, when the state Medicaid program asked ANGELS to submit a proposal to expand the program across the state. Leveraging this support, ANGELS employed several strategies to improve access to maternal health services, including:
- **Establishing a 24/7 call center for providers and patients experiencing perinatal complications or emergencies.** The ANGELS call center is staffed by OB nurses who are able to support rural providers in triaging patients, connecting them to maternal-fetal medicine specialists, and arranging transport to a labor and delivery unit at the University of Arkansas Medical Center when needed. They are also working to expand their ability to conduct consultations with patients in rural areas, particularly for those who have complications after discharge or are part of the Abnormal Mom Abnormal Baby program, which supports families with high-risk infants.
- **Expanding teleconferencing services with providers across the state.** Using funding from Medicaid, the university, and other sources, the ANGELS program has incrementally expanded its teleconferencing services to additional rural clinics and hospitals across the state. Teleconferencing allows ANGELS providers to conduct virtual training and real-time consultations for patient care, which reduces the frequency of patient travel to the university medical center.
- **Improving capacity and readiness of rural providers to handle obstetric emergencies.** Each year, the ANGELS program releases more than 160 guidelines to physicians in Arkansas to enhance standardization of obstetric and neonatal care. The program particularly seeks to roll out these guidelines to hospitals and providers that do not provide OB services. The program also deploys equipment to rural providers to ensure they have materials necessary to manage labor and deliveries according to the Alliance for Innovation on Maternal Health’s (AIM’s) Safety Bundles, especially those for hypertension and hemorrhage.
- **Addressing health disparities and bias among rural providers.** Understanding that provider bias, either unconscious or conscious, is the biggest reason why minority communities do not have equitable access to high-quality health care, the ANGELS program will roll out training using the AIM Disparities Safety Bundle. This training will specifically address issues such as providing equitable pain management and identifying signs of hemorrhaging among Black populations.
Results
As a result of these efforts to improve maternal health services in Arkansas, the ANGELS program has experienced the following results:
- A decrease in the distance many women in Arkansas must travel to be seen by an obstetric expert.
- An increase in Medicaid beneficiaries delivering premature or low-birthweight babies at the University of Arkansas Medical Sciences (versus at a hospital less equipped for the special needs of the mother and baby).
- Decrease in complications for high-risk women and their babies.
- Increased cost savings for Arkansas’ Medicaid program due to fewer complications.
Barriers
Two of the biggest challenges that the ANGELS program encounters are: 1) growing pains (e.g., expanding telemedicine services to over 40 sites) and 2) gaining buy-in from new systems and providers. Health systems often feel threatened by telemedicine relationships because providers feel like they are taking patients away from their facilities. The ANGELS program ensures that patients always remain in care with their originating provider, but it recommends that alternative payment models be established to better facilitate the financial relationship between the consulting and original physicians.
Transportation barriers are the primary reason that the ANGELS program experiences no-shows for its specialists at the university medical center. The state Medicaid transportation service requires patients to reserve transportation 24–48 hours ahead of time and does not allow patients to bring children with them. Most women are not able to anticipate the need for transportation that far in advance and are not able to spare an entire day for the shared ride. These missed appointments create additional risks for women who are continuing to advance in their gestational age without seeing a provider to manage potential health concerns.
Facilitators
The ANGELS program has received funding from several sources, which has enabled it to expand its telemedicine relationships with over 40 sites within the state. Each year Arkansas’ Medicaid program works with ANGELS to identify new funding needs, which the University of Arkansas matches. The state has also received federal funding to expand broadband services to rural areas, particularly rural providers (e.g., hospitals, clinics, Federally Qualified Health Centers).
ANGELS also has a strong working relationship with the state department of health, which helps to align limited resources to ensure optimum access to care for rural communities.
Last, when rural women must travel to the university medical center for perinatal care or neonatal care, the university provides hotel space for free to avoid lodging costs and other travel concerns for rural families.
Areas of Opportunity Identified by Participants
The ANGELS program’s experiences within Arkansas raise the following implications and/or recommendations to improve access to maternal health services in rural areas:
**Access to Hospitals and Obstetric Units**
- Expand Regionalization of Care, or Levels of Care determinations, among maternal health providers across rural and urban communities.
- Reimburse travel, hotel, or an extra night’s stay for rural women who are traveling to urban areas for high-risk deliveries or ongoing, high-risk infant care.
- Improve transportation services provided by or funded through Medicaid programs (e.g., relax “call-ahead” requirements, shorten trips between rural and urban centers).
**Use of Telemedicine**
- Implement alternative and/or value-based payment models that facilitate teleconsultation relationships between rural and urban providers.
- Establish funding mechanisms that support 24/7 maternal call centers and teleconferencing with rural clinics.
- Continue to fund broadband expansion efforts and telehealth equipment purchases in rural communities.
3. California Maternal Quality Care Collaborative (CMQCC)
- **Location:** California
- **Organization Type:** Care Collaborative (over 200 member hospitals)
- **Community Characteristics:** Population: 35,235,956 in 2010 (1,880,350 in rural communities); Largest Industry: Agriculture and Science and Technology
**Description of the Program or Practice**
California experiences similar barriers as other states in sustaining access to maternal health services in rural areas due to recent closures of rural hospitals and OB units. The California Maternal Quality Care Collaborative (CMQCC) was formed in 2006 by Stanford University School of Medicine in tandem with the State of California as a multi-stakeholder organization to address overall improvement of maternal health outcomes in California by targeting preventable morbidity, mortality, and racial disparities. CMQCC works with hospitals and provider organizations to offer maternal health services across California, including in urban, suburban, and rural areas. CMQCC utilizes the following strategies to improve access to and the quality of maternal health services in California:
- **Supporting collaboratives specifically designed to improve the quality of maternal health services.** CMQCC establishes quality improvement collaboratives intended to support hospitals, including small, rural, and/or low-performing hospitals, to both improve and sustain practices to improve maternal health outcomes. CMQCC’s coaching team provides hands-on, in-person training to onboard and support providers in participating hospitals. In 2018, Blue Shield of California funded a Quality Improvement Training Academy that trains hospital leadership teams on core quality improvement skills. Participation in these collaboratives has been extended to birth centers, in addition to the traditional hospitals previously participating.
- **Establishing incentive programs for organizations participating in quality improvement activities.** CMQCC has worked to identify, develop, and sustain quality improvement incentive programs for maternal health programs in California through strategic partnerships with payors such as California’s managed Medicaid programs and Partnership Health Plan. These incentives encourage hospitals to achieve and maintain certain quality benchmarks through sustained quality improvement efforts. The California Secretary of Health and Human Services also published a public honor roll of hospitals that have achieved the Healthy People 2020 rate for cesarean sections. CMQCC encourages participation by small and rural providers by offering discounted rates and scholarship funds to offset participation costs.
- **Providing a maternal health e-learning platform for provider professional development.** CMQCC rolled out an e-learning program for rural and low-birth-volume hospitals to engage and educate nurses on skills for supporting labor. These sessions have specifically contributed to improving access to and the quality of labor and delivery care in small and rural hospitals.
**Results**
Since its inception, CMQCC has documented the following changes in maternal health outcomes in California:
- Decline in rates of maternal mortality by more than 55%.
• Decline in maternal morbidity by 20.8% among hospitals participating in the quality collaboratives for hemorrhage and preeclampsia.
• Increase in full-term births by 8%.
• Potential increase in public interest in maternal health outcomes and health care performance due to increased public reporting of quality data.
**Barriers**
Factors related to provider turnover, limited provider capacity, and low birth volumes all serve as barriers to the participation of small and rural hospitals in CMQCC’s programs. Low labor and delivery volumes are a barrier to analyzing and interpreting quality and performance measures among small and rural hospitals. When assessing the quality of care for small hospitals, CMQCC is sensitive to interpretation of data and its relation to quality improvement.
**Facilitators**
CMQCC maintains strong connections with Stanford University and the State of California for program promotion, support, and maintenance. Funding relationships and participation incentives provided by the California Healthcare Foundation, Blue Shield of California, California Medicaid, Healthcare Management Associates, the Yellow Chair Foundation, and the Robert Wood Johnson Foundation have also been essential to the sustainability of the program.
To ease participation barriers among small and rural hospitals, CMQCC provides discounted participation fees. As part of the Data Center’s effort, CMQCC also attempts to collect data with minimal burden on hospitals. To this end, CMQCC repurposed discharge data required by the state by requiring that the same data be sent to the collaborative. CMQCC receives birth certificate data from the state as well, which requires minimal extra effort for those reporting the data.
**Areas of Opportunity Identified by Participants**
Through its work, CMQCC has identified recent trends and priority areas in health system strengthening, data collection and analysis, and social support programming to improve maternal health outcomes in California, including:
**Quality Improvement**
• Incorporate Regionalization of Care models as a key component of quality improvement collaboratives.
• Provide discounts or financial support to rural providers who participate in Quality Care Collaboratives.
4. Kearny County Hospital’s Pioneer Baby Program
- **Location:** Lakin, Kansas
- **Organization Type:** Critical Access Hospital (25 bed medical/surgical unit)
- **Community Characteristics:** Population of Lakin 2,216 in 2010; Largest Industry: Food Service and Accommodations
**Description of the Program or Practice**
As multiple hospitals surrounding Lakin, Kansas closed their obstetric units, women in the nearby counties were experiencing decreased access to maternal health services while also experiencing increasing maternal health risk factors such as high rates of gestational diabetes (approximately twice the national average), low engagement in prenatal care, and high rates of type 2 diabetes after birth. Furthermore, the closest maternal-fetal medicine specialist was over four hours away. To address the diminishing access, Kearny County Hospital sought opportunities to expand its maternal health services, particularly for labor and delivery. The hospital leveraged several strategies to improve access to this care, including:
- **Building the cross-discipline maternal health workforce.** Kearny County Hospital currently has eight providers (seven physicians and one physician’s assistant) who have been trained to perform labor and delivery services. Many of these providers were recruited after their residencies at Kearny County Hospital. The hospital also trains and utilizes mid-level providers to deliver care up to 32 weeks.
- **Partnering with foundations and universities to improve quality of care.** Given the distance to the nearest maternal-fetal specialist in this region, Kearny County Hospital applied for a $250,000 grant through the Children’s Miracle Network to bring one from the University of Kansas School of Medicine in Wichita to Kearny County Hospital once a month. This specialist not only provides care to pregnant women, he also provides ongoing training and support to local providers to improve their ability to care for high-risk pregnancies. Last year, the hospital partnered with Harvard University’s Boston Children’s Hospital to conduct virtual education and case study reviews with Kearny County Hospital providers. Harvard providers donated their time for this training and the Kearny providers received continuing education credits.
- **Reaching out to Kearny’s most vulnerable maternal populations.** The hospital has also focused on reaching out to the surrounding immigrant populations, which include immigrants and refugees from Somalia, Ethiopia, El Salvador, Ecuador, Guatemala, Haiti, Burma, Vietnam, China, and Kenya. Many providers use some of their 10-week leave to voluntarily provide care in countries where these immigrant populations reside, which has advanced the providers’ ability to offer culturally competent care.
- **Increasing access to in-person and virtual prenatal care.** Kearny County Hospital has employed multiple strategies to engage women within the region in perinatal care. The hospital received a $100,000 grant from Tyson Foods to place care coordinators in its plants to better engage patients, including pregnant women who need prenatal care. The hospital is also collaborating with the Kansas Department of Health and Environment and the March of Dimes to implement group prenatal care modeled after the Becoming a Mom program. The hospital has implemented virtual support programs for women in their prenatal and postpartum periods using Facebook, and weight management coaching through the National Diabetes Prevention Program.
Results
As a result of these efforts to improve its maternal health services, Kearny County Hospital has experienced the following results:
- Increased volume of births from 100 deliveries a year to 300–350 deliveries a year, which indicates the successful provision of labor and delivery care to women from nearby counties
- Reduction in births of babies that were large for gestational age from 28% to 17%
- Increase in breastfeeding rates by 30%
Barriers
Kearny County Hospital had consistently experienced barriers related to financial sustainability of its services. The hospital’s negative margins were subsidized by local property taxes. In 2018 the hospital was able to turn a profit, although its maternal health services were not a strong contributor to this financial turnaround. Hospital representatives noted that the Critical Access Hospital model creates a disincentive for the hospital to provide maternity services because it cannot include maternity-related costs in its Medicare Cost Report. Costs related to training and support for labor and delivery nurses also have to be included on a separate ledger from the Medicare Cost Report.
Facilitators
While the majority of the hospital’s maternal health services are reimbursed through Medicaid, the hospital also heavily leans on the 340B program and actively seeks grants and philanthropic donations (e.g., donations to purchase an ultrasound machine) to support its maternal health programs. Additional facilitators included partnerships with local employers (e.g., Tyson Foods) to encourage community linkage to and engagement in care.
Areas of Opportunity Identified by Participants
Kearny County Hospital’s experiences raise the following implications and/or recommendations to improve access to maternal health services in rural areas:
Access to Hospitals and Obstetric Units
- Allow maternity care services, including training and support for labor and delivery nurses, on Medicare Cost Reports for Critical Access Hospitals.
- Establish a disproportionate share or kickback payment to hospitals to ensure all women have access to maternal health services tying additional payments to maternal health outcomes, such as rates of cesarean section and vaginal births after cesarean section.
- Utilize the 340B program and philanthropic donations from local and national funders.
Telemedicine and Other Innovations
- Establish mechanisms or funding opportunities to support partnerships between academic medical centers and rural providers to conduct training via telemedicine.
5. CenteringPregnancy of South Carolina
- **Location:** Multiple locations in South Carolina
- **Organization Type:** Technical Assistance Program for Group Prenatal Care
- **Community Characteristics:** Population: 4,625,364 in 2010 (1,557,555 in rural communities); Largest Industry: Aerospace and Aviation, Automotive Manufacturing
**Description of the Program or Practice**
CenteringPregnancy of South Carolina is a subset of the larger Centering Healthcare Institute that provides a group prenatal care model for pregnancy. The South Carolina implementation of CenteringPregnancy began in 2012 at the Greenville Health System and has expanded to 24 sites (22 sites are currently operating) across South Carolina. CenteringPregnancy leveraged several strategies to improve access to this care, including:
- **Providing technical assistance and creating a collaboration network in South Carolina.**
Maternal health providers participating in the CenteringPregnancy program have benefited from technical assistance provided by the state’s CenteringPregnancy program coordinator, as well as from exposure to and collaboration with participating sites across the state. Using grant funding from the March of Dimes, the program coordinator can provide training, technical assistance, and materials to rural implementation sites free of charge. The coordinator has also hosted CenteringPregnancy convenings for the participating sites to share challenges and best practices in person, although these meetings have recently been less frequent due to challenges in scheduling time for a large group of providers.
- **Establishing enhanced payments for CenteringPregnancy services; locating sustained funding for CenteringPregnancy-based maternal health training and program maintenance.**
CenteringPregnancy of South Carolina has been successful in working with South Carolina’s Medicaid program and Blue Cross Blue Shield of South Carolina to establish enhanced payments (additional $30 per visit) for prenatal visits occurring through CenteringPregnancy groups, to help offset the additional cost to local practices for the group model.
- **Designing alternative versions of CenteringPregnancy to increase sustainability among rural programs.**
Because many rural implementation sites experience lower volumes of pregnant women than recommended for a robust experience, several sites have structured their cohorts to include women with due dates across two months rather than just one. Among these cohorts, providers have experimented with creating smaller groups of women with closer due dates, although this is not consistent with the traditional CenteringPregnancy model. To address this barrier, the March of Dimes is working with the Centering Healthcare Institute to design another model of group prenatal care that may be more effective with rural women.
- **Fostering maternal health research in South Carolina.**
CenteringPregnancy of South Carolina has worked with organizations like the Georgia Health Policy Center and the University of South Carolina to collect, analyze, and publish data related to the impacts of the CenteringPregnancy model on maternal health outcomes in South Carolina. However, because of the low volume of women participating in rural sites, these findings cannot be dissected by urban and rural distinctions.
Results
As a result of these efforts to improve maternal health services in South Carolina, CenteringPregnancy has experienced the following results:
- Improved maternal health outcomes, including lower rates of preterm birth, low-weight babies, caesarian deliveries, and gestational diabetes.
- Higher rates of breastfeeding initiation among participants.
- Fewer calls to the on-call nurse and trips to the emergency department among participants.
- Implementation, sustainment, and collaboration among 22 CenteringPregnancy sites across the state, including both urban and rural communities.
Barriers
CenteringPregnancy faces significant barriers to sustainability in South Carolina. Low volumes of pregnant women within rural communities make it difficult to achieve the required number of women (8–12) within each CenteringPregnancy cohort. Barriers related to transportation, child care, and education about the importance of prenatal care also impact women’s engagement in group prenatal classes. Furthermore, some women have voiced concerns with engaging in a group model for prenatal care, due to stigma and privacy concerns, and would prefer to retain care with their individual provider despite enhanced outcomes documented for the Centering model.
Additionally, implementing and maintaining the CenteringPregnancy program requires immense buy-in from leaders and providers, which is often difficult to achieve and sustain in rural areas because of provider turnover. Enhanced reimbursements provided by Medicaid and Blue Cross Blue Shield often do not cover the costs of implementing the program, particularly lost provider time, costs of maintaining a group classroom, and costs of providing materials, refreshments, and incentives (e.g., diapers giveaways) to participants. Furthermore, providers that already receive an enhanced payment for being a Rural Health Center or Critical Access Hospital must choose between receiving their enhanced payments for rural designation or an enhanced CenteringPregnancy payment.
CenteringPregnancy of South Carolina has also experienced barriers in trying to modify its program to meet the needs of rural providers. Telemedicine solutions are not yet feasible for this program because of push-back in adoption by providers and reduced engagement among participants. One site aims to implement the program across multiple locations, including provider clinics that will initiate prenatal care in early and late gestational ages, while the hospital provides care during CenteringPregnancy visits in the second and parts of the third trimester. The effectiveness of this model is to be determined. There are concerns related to reimbursement and continuity of care throughout the prenatal period.
Facilitators
CenteringPregnancy of South Carolina relies on its partnership with and funding from the March of Dimes to support training, technical assistance, and materials for the program. Achieving enhanced payments through South Carolina Medicaid and Blue Cross Blue Shield of South Carolina has made the program more sustainable among providers. Finally, CenteringPregnancy of South Carolina works with the Georgia Health Policy Center and the University of South Carolina to collect, analyze, and publish findings related to the program’s impact on maternal health outcomes in South Carolina.
For one site in Dillon, South Carolina, facilitators for their program include providing incentives (e.g., free diapers, wipes) to encourage women to attend classes, fostering commitment among hospital leadership to continue the program despite lost provider time, and establishing local partnerships with psychiatric or crisis centers to engage women in support services (e.g., treatment for substance use).
**Areas of Opportunity Identified by Participants**
CenteringPregnancy’s experiences within South Carolina raise the following implications and/or recommendations to improve access to maternal health services in rural areas:
**Access to Hospitals and Obstetric Units**
- Develop new or shared payment or delivery models for providers and CenteringPregnancy sites to collaborate for prenatal care.
- Establish enhanced payments for rural providers who provide additional maternal health services such as group prenatal care (e.g., CenteringPregnancy); do not disqualify Rural Health Centers, Critical Access Hospitals, and Federally Qualified Health Centers from these payments.
- Improve transportation services provided by or funded through Medicaid programs (e.g., relax “call-ahead” requirements, shorten trips between rural and urban centers).
6. University of Wisconsin’s Rural Residency Program in Obstetrics and Gynecology
- **Location:** Madison, Wisconsin
- **Organization Type:** Medical School and Residency Program
- **Community Characteristics:** Population of Wisconsin 5,686,986 in 2010 (1,697,348 living in rural areas); Largest Industry: Agriculture, Food, and Beverage
**Description of the Program or Practice**
In light of the growing shortage of rural OB-GYN providers, the University of Wisconsin Department of Obstetrics and Gynecology established a rural residency program two years ago. The residency program aims to increase access to maternal health services by:
- **Increasing training and education opportunities related to rural disparities among medical students.** The addition of the rural training track has improved exposure to and understanding of the barriers that rural communities experience in accessing maternal health services. In addition, the medical school is offering a one-month health disparities course for all students, which includes an examination of rural/urban disparities. Many residents not specifically assigned to rural locations are opting to have one of their rotations held in a rural hospital. Additionally, the rural residents are sharing what they learn with their peers.
- **Utilizing the training program to improve relationships and communication between rural providers and academic medical centers.** By placing medical residents in rural training institutions, both the residents and the rural providers obtain access to maternal-fetal medicine specialists based within the medical school. The program has used telemedicine to care for high-risk obstetric patients in rural settings, and in the future, the department is going to host a Thursday morning didactic with rural providers and residents on maternal morbidity and mortality using telemedicine technologies.
- **Partnering with state-level agencies and other workforce training programs to communicate the need to improve the rural workforce.** The residency program has established relationships with other key institutions and associations within the state to demonstrate the need for rural training programs for OB-GYN providers. The Wisconsin Hospital Association has led reporting on practicing physicians within the state, which raised awareness of the need for rural providers and has also been instrumental in generating the Rural Residency Assistance Program that the OB-GYN department at the medical school utilizes to fund the rural residencies. Other partnerships with the Wisconsin Health Collaborative, Medical College of Wisconsin, and Aurora University have also improved collaboration and sharing of best practices among workforce training programs.
**Results**
Given that this program has existed for only two years, data related to retention of OB-GYN providers in rural areas is not available. Nevertheless, the residency program has achieved the following:
- Increased interest among medical students to participate in a rural training track, as either a rotation or residency location.
• Increased interest from rural hospitals and providers to serve as preceptors for rural residents.
• Increased collaboration among rural providers and academic medical institutions for consultations and continued education.
**Barriers**
• The Medicare Residency Cap on Graduate Medical Education funding for residency sites does not allow for increasing the number of medical residency positions available.
• Regulations limiting payments for both serving as a rural health clinic or Critical Access Hospital and participating in a rural training program put financial strain on participating hospitals.
• Some existing grant programs will fund rural residency positions but exclude OB-GYN positions due to several factors, including controversy over the range of services provided by OB-GYN providers.
• Because rural residents are required to have a practicing OB-GYN physician serve as a preceptor, some of the rural communities, such as tribal communities within Wisconsin, are not eligible to host an OB-GYN resident.
• The OB-GYN specialty is unique because it is a surgical specialty that also provides continuity of care. Currently, residents are required to complete 120 half-day clinic sessions in order to graduate, but they must be at the same clinic location with the same panel of patients. Achieving the required number of sessions within the same patient panel can be difficult in rural communities.
**Facilitators**
• The Wisconsin Rural Residency Assist Program is a grant program funded by the state department of health that helps offset the costs for rural hospitals to host students.
• Collaborations with institutions and organizations such as the Wisconsin Health Collaborative, the Medical College of Wisconsin, and Aurora University have helped keep programs up to date with emerging strategies or risks related to training initiatives and funding opportunities.
**Areas of Opportunity Identified by Participants**
The University of Wisconsin’s experiences raise the following implications and/or recommendations to improve access to maternal health services in rural areas:
**Access to a Maternal Health Workforce**
• Redefine rural residency tracks to allow for integration and training in both rural and urban areas.
• Modify the definition of continuity of care requirements from the Accreditation Council for Graduate Medical Education to allow students to complete training requirements (e.g., continuity of care training for a patient panel) in two or more locations.
• Develop models that allow residents to train in locations with no practicing OB-GYN (e.g., traveling clinics).
• Expand funding for OB-GYN programs in rural residency or for training.
• Expand the Medicare Residency Cap on Graduate Medical Education funding for residency sites.
| Acronym | Definition |
|---------|------------|
| ABOG | American Board of Obstetrics and Gynecology |
| ACME | American Commission for Midwifery Education |
| ACOG | American College of Obstetricians and Gynecologists |
| AI/AN | American Indian/Alaska Native |
| AIM | Alliance for Innovation on Maternal Health |
| AMCB | American Midwifery Certification Board |
| CDC | Centers for Disease Control and Prevention |
| CHIP | Children’s Health Insurance Program |
| CHIPRA | Children’s Health Insurance Program Reauthorization Act |
| CMQCC | California Maternal Quality Care Collaborative |
| CMS | Centers for Medicare and Medicaid Services |
| DEM | Direct Entry Midwives |
| HRSA | Health Resources and Services Administration |
| LOCATe | Levels of Care Assessment Tool |
| MMRC | Maternal Mortality Review Committee |
| OB | Obstetric |
| OB-GYN | Obstetrician–Gynecologist |
| PQC | Perinatal Quality Cooperative |
| WHO | World Health Organization |
1 Centers for Disease Control and Prevention. (2018). Births: Final Data for 2017. National Vital Statistics Reports, 67 (8). Retrieved from: https://www.cdc.gov/nchs/data/nvsr/nvsr67/nvsr67_08-508.pdf
2 Luthra, S. (2018). Medicaid is Rural America’s Financial Midwife. Kaiser Health News. Retrieved from: https://khn.org/news/medicaid-is-rural-americas-financial-midwife/
3 Young, R. A. (2018). Maternity Care Services Provided by Family Physicians in Rural Hospitals. Journal of the American Board of Family Medicine, 30(1):71–77.
4 Vedam , S., Stoll, K., MacDorman, M., et al. (2018). Mapping integration of midwives across the United States: Impact on access, equity, and outcomes. PLoS ONE 13(2): e0192523. Retrieved from https://doi.org/10.1371/journal.pone.0192523
5 Friedman, H. S., Liang, M., & Banks, J. L. Measuring the Cost–Effectiveness of Midwife-Led versus Physician-Led Intrapartum Teams in Developing Countries. Women’s Health, 553–564. Retrieved from https://doi.org/10.2217/WHE.15.18
6 American College of Nurse-Midwives. (2012). Midwifery: Evidence-Based Practice: A Summary of Research on Midwifery Practice in the United States. Retrieved from http://www.midwife.org/acnm/files/cclibraryfiles/filename/000000002128/midwifery%20evidence-based%20practice%20issue%20brief%20finalmay%202012.pdf
7 Centers for Medicare & Medicaid Services (2019). Fact Sheet: Fiscal Year (FY) 2020 Medicare Hospital Inpatient Prospective Payment System (IPPS) and Long Term Acute Care Hospital (LTCH) Prospective Payment System (CMS-1716-F). Retrieved from https://www.cms.gov/newsroom/fact-sheets/fiscal-year-fy-2020-medicare-hospital-inpatient-prospective-payment-system-ipps-and-long-term-acute-0
8 The Cecile G. Sheps Center for Health Services Research. 102 Rural Hospital Closures: January 2010 – Present. Retrieved from: https://www.shepscenter.unc.edu/programs-projects/rural-health/rural-hospital-closures/
9 United States Government Accountability Office. GAO-18-634, Rural Hospital Closures: Number and Characteristics of Affected Hospitals and Contributing Factors. August 2018.
10 Lindrooth RC, Perraillon MC, Hardy RY, Tung GJ. Understanding the relationship between Medicaid expansions and hospital closures. Health Affairs. 2018 Jan 1;37(1):111-20.
11 Kaufman, B, Pink, C, and Holmes, M. Prediction of Financial Distress Among Rural Hospitals. North Carolina Rural Health Research Program, Cecil G. Sheps Center for Health Services Research, The University of North Carolina at Chapel Hill. Available: http://www.shepscenter.unc.edu/wp-content/uploads/2016/01/2015Prediction-of-Distress.pdf
12 Hung, P., Kozhimannil, K, Henning-Smith, C and Casey, M. Closure of Hospital Obstetric Services Disproportionately Affects Less-Populated Rural Counties. University of Minnesota Rural Health Research Center. April 2017. Available: http://rhc.umn.edu/wp-content/files_mf/1491501904UMHRHRCOBclosuresPolicyBrief.pdf
13 Hung, P., Henning-Smith, C., Casey, M., & Kozhimannil, K. (2017). Access to Obstetrics Services in Rural Counties still Declining, with 9 Percent Losing Services, 2004-2014. Health Affairs, 36(9), 1663-1671.
14 Hung, P., Henning-Smith, C, Casey, M, and Kozhimannil, K. Access to Obstetric Services in Rural Counties Still Declining, With 9 Percent Losing Services, 2004–14. Health Aff (Millwood). 2017 Sep 1; 36(9): 1663-1671.
15 The American College of Obstetricians and Gynecologists. “Health Disparities in Rural Women”. Committee Opinion, 2014, 586. Retrieved from: https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Disparities-in-Rural-Women
16 Mental Health Care Health Professional Shortage Areas. Kaiser Family Foundation. Updated December, 31, 2018. Retrieved from: https://www.kff.org/other/state-indicator/mental-health-care-health-professional-shortage-areas-ihpsas/?currentTimeframe=0&sortModel=%7B%22colId%22:%22Location%22,%22sort%22:%22asc%22%7D
17 Human Services to Support Rural Health. Rural Health Information Hub. Retrieved from: https://www.ruralhealthinfo.org/topics/rural-human-services
18 Thomas SR, Holmes GM, Pink GH. To What Extent do Community Characteristics Explain Differences in Closure among Financially Distressed Rural Hospitals? J Health Care Poor Underserved. 2016;27(4A):194–203.
19 Centers for Disease Control and Prevention. Pregnancy Mortality Surveillance System. Retrieved from https://www.cdc.gov/reproductivehealth/maternalinfanthealth/pregnancy-mortality-surveillance-system.htm
20 Maron, DF. Maternal Health Care Is Disappearing in Rural America. Scientific American, 2017. Retrieved from: https://www.scientificamerican.com/article/maternal-health-care-is-disappearing-in-rural-america/
21 Kuh, D, Ben-Shlomo, Y, editors. A Life Course Approach to Chronic Disease Epidemiology. New York, NY: Oxford University Press; 1997.
22 Braveman, P, Barclay, C. Health disparities beginning in childhood: A life-course perspective. Pediatrics. 2009;124:S163–S175.
23 Cable, N. Life Course Approach in Social Epidemiology: An Overview, Application and Future Implications. *Journal of Epidemiology*. 2014;24(5):347-352. doi:10.2188/jea.JE20140045.
24 Henning-Smith, C. Diminishing Access to Rural Maternity Care and Associated Changes in Birth Locations and Outcomes. Webinar Presentation: Rural Health Research Gateway, Apr. 2018.
25 Henning-Smith, C. Diminishing Access to Rural Maternity Care and Associated Changes in Birth Locations and Outcomes. Webinar Presentation: Rural Health Research Gateway, University of Minnesota Rural Health Research Center, Apr. 2018. Retrieved from: https://www.ruralhealthresearch.org/assets/1166-4775/diminishing-access-to-rural-maternity-care-ppt.pdf
26 Davis, NM et al., Worsening Rural-Urban Gap in Hospital Mortality, *Journal of the American Board of Family Medicine*, 30(6), Nov. 2017. Retrieved from: https://www.jabfm.org/content/30/6/816.long
27 Martin JA, Hamilton BE, Osterman MJK, Driscoll AK, Drake P. Births: Final data for 2016. National Vital Statistics Reports; vol 67 no 1. Hyattsville, MD: National Center for Health Statistics. 2018.
28 Foutz, J, Artiga S, and Garfield, R. The Role of Medicaid in Rural America, (Washington, DC: Henry J. Kaiser Family Foundation, April 2017), https://www.kff.org/medicaid/issue-brief/the-role-of-medicaid-in-rural-america/.
29 https://www.omcisonline.org/open-access/first-trimester-prenatal-care-and-local-obstetrical-delivery-options-for-women-in-poverty-in-rural-virginia-2471-9846-1000137.php?aid=80513
30 Thorsen ML, Thorsen A, McGarvey R. Operational efficiency, patient composition and regional context of US health centers: Associations with access to early prenatal care, and low birth weight. *Social Science & Medicine*. 2019 Mar 1. Retrieved from: https://www.sciencedirect.com/science/article/pii/S0277953619301169
31 Novoa, C, Taylor, J, Exploring African Americans’ High Maternal and Infant Death Rates, *Center for American Progress*, 2018. Retrieved from: https://www.americanprogress.org/issues/early-childhood/reports/2018/02/01/445576/exploring-african-americans-high-maternal-infant-death-rates/
32 America’s Health Rankings. Explore Maternal Mortality in the United States. 2018 Health of Women and Children Report, 2019. Retrieved from: https://www.americashealthrankings.org/explore/health-of-women-and-children/measure/maternal_mortality/state/ALL
33 Creanga, A, Berg, C, Syverson, C, Seed, K, Bruce, FC, Callaghan W. Pregnancy-Related Mortality in the United States, 2006-2010, *Obstetrics & Gynecology*, 125(1), 5-12, Jan 2015. Doi: 10.1097/AOG.0000000000000564
34 Singh GK. Maternal Mortality in the United States, 1935-2007: Substantial Racial/Ethnic, Socioeconomic, and Geographic Disparities Persist. A 75th Anniversary Publication. Health Resources and Services Administration, Maternal and Child Health Bureau. Rockville, Maryland: U.S. Department of Health and Human Services; 2010. Retrieved from: https://www.hrsa.gov/sites/default/files/ourstories/mchb75th/mchb75maternalmortality.pdf
35 Metcalfe A, Wick J, Ronksley P. Racial disparities in comorbidity and severe maternal morbidity/mortality in the United States: an analysis of temporal trends. *Acta obstetricia et gynecologica Scandinavica*. 2018 Jan 1;97(1):89-96.
36 Requejo, JH, Bhutta, ZA. The Post-2015 Agenda: Staying the Course in Maternal and Child Survival. *Archives of Disease in Childhood*. 2015 Feb 1;100(Suppl 1):S76-81.
37 Johnson, K et al., Recommendations to Improve Preconception Health and Health Care --- United States. MMWR, 2006 April;55(RR06);1-23.
38 Johnson, K et al., Recommendations to Improve Preconception Health and Health Care --- United States. MMWR, 2006 April;55(RR06);1-23.
39 Johnson, K et al., Recommendations to Improve Preconception Health and Health Care --- United States. MMWR, 2006 April;55(RR06);1-23.
40 Johnson, K et al., Recommendations to Improve Preconception Health and Health Care --- United States. MMWR, 2006 April;55(RR06);1-23.
41 Markus, AR, Andres, E, West KD, Garro, N, Pellegrini, C. Medicaid Covered Births, 2008 Through 2010, in the Context of the Implementation of Health Reform. *Women's Health Issues*, September–October, 2013, 23(5), e273–e280. https://doi.org/10.1016/j.whi.2013.06.006
42 Bennett, K et al., Rural Women’s Health, National Rural Health Association Policy Brief, Rural Health Congress, Jan. 2013. Retrieved from: https://www.ruralhealthweb.org/getattachment/Advocate/Policy-Documents/RuralWomensHealth-(1).pdf.aspx
43 Kozhimannil, K, et al., Maternal Opioid Use Disorder and Neonatal Abstinence Syndrome Among Rural US Residents, 2017-2014, *The Journal of Rural Health*, Oct. 2018. Retrieved from: https://onlinelibrary.wiley.com/doi/full/10.1111/jrh.12329
44 Admon LK, Winkelman TN, Moniz MH, Davis MM, Heisler M, Dalton VK. Disparities in chronic conditions among women hospitalized for delivery in the United States, 2005–2014. *Obstetrics & Gynecology*. 2017 Dec 1;130(6):1319-26.
45 Rural Health Information Pub. Violence and Abuse in Rural America. Retrieved from: https://www.ruralhealthinfo.org/topics/violence-and-abuse
46 Hamilton BE, Rossen LM & Branum AM. Teen Birth Rates for Urban and Rural Areas in the United States, 2007-2015. NCHS Data Brief No. 264. November 2016. Retrieved from https://www.cdc.gov/nchs/data/databriefs/db264.pdf
Center for Reproductive Rights. Research Overview of Maternal Mortality and Morbidity in the United States. Retrieved from: https://www.reproductiverights.org/sites/crr.civicactions.net/files/documents/USPA_MH_TO_ResearchBrief_Final_5.16.pdf
Novoa, CT. Exploring African Americans’ High Maternal and Infant Death Rates, Center for American Progress, 2018. Retrieved from: https://www.americanprogress.org/issues/early-childhood/reports/2018/02/01/445576/exploring-african-americans-high-maternal-infant-death-rates/
Center for Reproductive Rights. Research Overview of Maternal Mortality and Morbidity in the United States. Retrieved from: https://www.reproductiverights.org/sites/crr.civicactions.net/files/documents/USPA_MH_TO_ResearchBrief_Final_5.16.pdf
Roeder, A. America is Failing Its Black Mothers. Magazine of the Harvard T.H. Chan School of Public Health. 2019. Retrieved from: https://www.hsph.harvard.edu/magazine/magazine_article/america-is-failing-its-black-mothers/?utm_source=SilverpopMailing&utm_medium=email&utm_campaign=Daily%20Gazette%2020190107
Eunice Kennedy Shriver National Institute of Child Health and Human Development. What is Prenatal Care and Why is it Important? Updated January 2019. Retrieved from: https://www.nichd.nih.gov/health/topics/pregnancy/conditioninfo/prenatal-care
Larson EH, Hart LG, Rosenblatt RA. Is Non-Metropolitan Residence a Risk Factor for Poor Birth Outcomes in the U.S.? Soc Sci Med. 1997;45(2):171–188.
Lishner, DM, Larson, EH, Rosenblatt, RA, Clark, SJ. Rural Maternal and Perinatal Health. In: Ricketts TC, ed. Rural Health in the United States. New York, NY: Oxford University Press; 1999:134–149.
Peck, J, Alexander, K. Maternal, Infant, and Child Health in Rural Areas: a Literature Review. In: Gamm L, Hutchinson L, Dabney B, Dorsey A, eds. Rural Healthy People 2010: A Companion Document to Healthy People 2010, Volume 2. Published in 2003. Accessed May 2012. Retrieved from: http://srph.tamhsc.edu/centers/rhp2010/Volume2.pdf.
Eunice Kennedy Shriver National Institute of Child Health and Human Development. What is Prenatal Care and Why is it Important? Updated January 2019. Retrieved from: https://www.nichd.nih.gov/health/topics/pregnancy/conditioninfo/prenatal-care
Office on Women’s Health. Prenatal care and tests. 2019 Jan. Retrieved from https://www.womenshealth.gov/pregnancy/youre-pregnant-now/what/prenatal-care-and-tests
Schreck PK, Solem K, Wright T, Schulte C, Ronnisch KJ, Szpunar S. Both Prenatal and Postnatal Interventions Are Needed to Improve Breastfeeding Outcomes in a Low-Income Population. Breastfeed Med. 2017 Apr;12:142-148. doi: 10.1089/bfm.2016.0131. Epub 2017 Feb 16.
American College of Obstetricians and Gynecologists. Prenatal genetic screening tests, 2017. Retrieved from https://www.acog.org/Patients/FAQs/Prenatal-Genetic-Screening-Tests?IsMobileSet=false
The American College of Obstetricians and Gynecologists. “Health Disparities in Rural Women”. Committee Opinion, 2014, 586. Retrieved from: https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Disparities-in-Rural-Women
Harris DE, Aboueissa AM, Baugh N, Sarton C. Impact of Rurality on Maternal and Infant Health Indicators and Outcomes in Maine. Rural Remote Health. 2015 Jul-Sep;15(3):3278. Epub 2015 Jul 21.
Kozhimannil KB & Henning-Smith C. Missing Voices In America’s Rural Health Narrative, Health Affairs Blog, April 10, 2019.DOI: 10.1377/hblog20190409.122546. Retrieved from https://www.healthaffairs.org/do/10.1377/hblog20190409.122546/full/
Roeder, A. America is Failing Its Black Mothers. Magazine of the Harvard T.H. Chan School of Public Health. 2019. Retrieved from: https://www.hsph.harvard.edu/magazine/magazine_article/america-is-failing-its-black-mothers/?utm_source=SilverpopMailing&utm_medium=email&utm_campaign=Daily%20Gazette%2020190107
NPR/Robert Wood Johnson Foundation/Harvard T.H. Chan School of Public Health: “Discrimination in America: Experiences and Views of Native Americans.” Survey of 342 Native American U.S. adults conducted Jan. 26-April 9, 2017.
Committee on American Indian/Alaska Native Women’s Health. Committee Opinion: Health Care for Urban American Indian and Alaska Native Women. The American College of Obstetricians and Gynecologists. January 2012. Retrieved from: https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Care-for-Urban-American-Indian-and-Alaska-Native-Women?IsMobileSet=false
Hanson, JD. Understanding Prenatal Health Care for American Indian Women in a Northern Plains tribe. Journal of Transcultural Nursing. 2012 Jan;23(1):29-37.
United States Department of Health and Human Services (US DHHS), Centers for Disease Control and Prevention (CDC), National Center for Health Statistics (NCHS), Division of Vital Statistics, Natality public-use data 2007-2017, on CDC WONDER Online Database, October 2018. Accessed at http://wonder.cdc.gov/natality-current.html on Jun 9, 2019 1:03:50 AM.
Reddy, UM, Rice, MM, et al. Serious Maternal Complications after Early Preterm Delivery (24-33 weeks’ gestation). Am J Obstet Gynecol. 2015 Oct;213(4):538.e1-9. doi: 10.1016/j.ajog.2015.06.064. Epub 2015 Jul 9.
Mann S, Mckay K, Brown H. The Maternal Health Compact. New England Journal of Medicine. 2017 Apr 6;376(14):1304-5.
National Institutes of Health, Eunice Kennedy National Institute of Child Health and Human Development. What are some common complications during labor and delivery? 2017. Retrieved from https://www.nichd.nih.gov/health/topics/labor-delivery/topicinfo/complications
Office on Women’s Health. Labor and birth, 2018. Retrieved from https://www.womenshealth.gov/pregnancy/childbirth-and-beyond/labor-and-birth
Park EM, Meltzer-Brody S, Suzukii, J. Evaluation and management of opioid dependence in pregnancy. Psychosomatics, 2012 Sept-Oct, 53(5), 424-432. doi: 10.1016/j.psym.2012.04.003
Office on Women’s Health. Labor and birth, 2018. Retrieved from https://www.womenshealth.gov/pregnancy/childbirth-and-beyond/labor-and-birth
Centers for Disease Control and Prevention. Strategies to Prevent Obesity and Other Chronic Diseases: The CDC Guide to Strategies to Support Breastfeeding Mothers and Babies. Atlanta: U.S. Department of Health and Human Services; 2013. Retrieved from https://www.cdc.gov/breastfeeding/pdf/bf-guide-508.pdf
Kozhimannil, KB, Hung, P, Henning-Smith, C, Casey, MM, Prasad, S. Association between Loss of Hospital-based Obstetric Services and Birth Outcomes in Rural Counties in the US. JAMA. 2018;319(12):1239-1247.
Martin, JA, Hamilton, BE, Sutton, PD, et al. Births: Final Data for 2007. Natl Vital Stat Rep. 2010;58(4).
Ellison, K., Martin, N. (2017). Nearly Dying In Childbirth: Why Preventable Complications Are Growing In U.S. NPR. Retrieved from: https://www.npr.org/2017/12/22/572298802/nearly-dying-in-childbirth-why-preventable-complications-are-growing-in-u-s
Singh, GK. Maternal Mortality in the United States, 1935-2007: Substantial Racial/Ethnic, Socioeconomic, and Geographic Disparities Persist. A 75th Anniversary Publication. Health Resources and Services Administration, Maternal and Child Health Bureau. Rockville, Maryland: U.S. Department of Health and Human Services; 2010. Retrieved from: https://www.hrsa.gov/sites/default/files/ourstories/mchb75th/mchb75maternalmortality.pdf
Singh, GK. Maternal Mortality in the United States, 1935-2007: Substantial Racial/Ethnic, Socioeconomic, and Geographic Disparities Persist. A 75th Anniversary Publication. Health Resources and Services Administration, Maternal and Child Health Bureau. Rockville, Maryland: U.S. Department of Health and Human Services; 2010. Retrieved from: https://www.hrsa.gov/sites/default/files/ourstories/mchb75th/mchb75maternalmortality.pdf
Curtin, SC, Gregory, KD, Korst, LM, Uddin, SF. Maternal Morbidity for Vaginal and Cesarean Deliveries, According to Previous Cesarean History: New Data From the Birth Certificate, 2013. National vital statistics reports: from the Centers for Disease Control and Prevention, National Center for Health Statistics, National Vital Statistics System. 2015 May;64(4):1-3. Retrieved from: https://www.cdc.gov/nchs/data/nvsr/nvsr64/nvsr64_04.pdf
Ellison, K, Martin, N. (2017). Nearly Dying In Childbirth: Why Preventable Complications Are Growing In U.S. NPR. Retrieved from: https://www.npr.org/2017/12/22/572298802/nearly-dying-in-childbirth-why-preventable-complications-are-growing-in-u-s
Hung P, Henning-Smith CE, Casey MM & Kozhimannil KB. Access to obstetric services in rural counties still declining, with 9 percent losing services, 2004-14. Health Affairs, 2017 September, 36(9), https://doi.org/10.1377/hlthaff.2017.0338
Hung P, Henning-Smith CE, Casey MM, Kozhimannil KB. Access to obstetric services in rural counties still declining, with 9 percent losing services, 2004–14. Health Affairs. 2017 Sep 1;36(9):1663-71.
Thomas SR, Holmes GM, Pink GH. To What Extent do Community Characteristics Explain Differences in Closure among Financially Distressed Rural Hospitals? J Health Care Poor Underserved. 2016;27(4A):194-203.
Spelke, B, Werner, E. The Fourth Trimester of Pregnancy: Committing to Maternal Health and Well-Being Postpartum. R I Med J (2013), 2018 Oct 1;101(8):30-33.
Romao M, Cacciatore A, Giordano R & La Rosa B. Postpartum period: three distinct but continuous phases. J Prenat Med. 2010 Apr-Jun; 4(2): 22–25. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3279173/
Spelke, B, Werner, E. The Fourth Trimester of Pregnancy: Committing to Maternal Health and Well-Being Postpartum. R I Med J (2013), 2018 Oct 1;101(8):30-33.
Spelke, B, Werner, E. The Fourth Trimester of Pregnancy: Committing to Maternal Health and Well-Being Postpartum. R I Med J (2013), 2018 Oct 1;101(8):30-33.
Kim, Y, Dee, V. Sociodemographic and Obstetric Factors Related to Symptoms of Postpartum Depression in Hispanic Women in Rural California. Journal of Obstetric, Gynecologic & Neonatal Nursing. 2018 Jan 1;47(1):23-31. Retrieved from: https://www.jognn.org/article/S0884-2175(17)30484-7/pdf
91 Kozhimannil KB & Henning-Smith C. Missing Voices In America’s Rural Health Narrative, Health Affairs Blog, April 10, 2019. DOI: 10.1377/hblog20190409.122546. Retrieved from https://www.healthaffairs.org/do/10.1377/hblog20190409.122546/full/
92 Roeder, A. America is Failing Its Black Mothers. Magazine of the Harvard T.H. Chan School of Public Health. 2019. Retrieved from: https://www.hsph.harvard.edu/magazine/magazine_article/america-is-failing-its-black-mothers/?utm_source=SilverpopMailing&utm_medium=email&utm_campaign=Daily%20Gazette%2020190107
93 Johnson, K et al., Recommendations to Improve Preconception Health and Health Care --- United States. MMWR, 2006 April;55(RR06):1-23.
94 Kotelchuck, M. Improving the Health of Women Following Pregnancy: Inter-conception Care. Secretary’s Advisory Committee on Infant Mortality. 2013. Retrieved from: https://www.hrsa.gov/advisorycommittees/mchb/advisory/InfantMortality/Meetings/20130424/kotelchuck.pdf
95 Devaney, B, Bilheimer, L, Schore, J, Tognetti, J. The Savings in Medicaid Costs for Newborns and Their Mothers Resulting from Prenatal Participation in the WIC Program. Washington, DC: US Department of Agriculture, Food and Nutrition Service. 1990.
96 Admon, LK, Winkelman, TN, Moniz, MH, Davis, MM, Heisler, M, Dalton, VK. Disparities in chronic conditions among women hospitalized for delivery in the United States, 2005–2014. Obstetrics & Gynecology. 2017 Dec 1;130(6):1319-26. Retrieved from: https://journals.lww.com/greenjournal/pages/articleviewer.aspx?year=2017&issue=12000&article=00019&type=Fulltext
97 Kozhimannil KB & Henning-Smith C. Missing Voices In America’s Rural Health Narrative, Health Affairs Blog, April 10, 2019. DOI: 10.1377/hblog20190409.122546. Retrieved from https://www.healthaffairs.org/do/10.1377/hblog20190409.122546/full/
98 Roeder, A. America is Failing Its Black Mothers. Magazine of the Harvard T.H. Chan School of Public Health. 2019. Retrieved from: https://www.hsph.harvard.edu/magazine/magazine_article/america-is-failing-its-black-mothers/?utm_source=SilverpopMailing&utm_medium=email&utm_campaign=Daily%20Gazette%2020190107
99 Ollove, M. A Shortage in the Nation’s Maternal Health Care. Pew Charitable Trusts. August, 15, 2016. https://www.pewtrusts.org/en/research-and-analysis/blogs/stateline/2016/08/15/a-shortage-in-the-nations-maternal-health-care
100 Hung, C Henning-Smith, M Casey, and K Kozhimannil. Access to Obstetric Services in Rural Counties Still Declining, With 9 Percent Losing Services, 2004–14. Health Aff (Millwood). 2017 Sep 1; 36(9): 1663-1671.
101 March of Dimes. 2018. Nowhere to Go: Maternity care deserts across the U.S. Retrieved from: https://www.marchofdimes.org/materials/Nowhere_to_Go_Final.pdf
102 Health Resources and Services Administration. Area Resource File (ARF) 2011-2012. Rockville, MD: US Department of Health and Human Services, Health Resources and Services Administration; 2012.
103 Henning-Smith, C. Diminishing Access to Rural Maternity Care and Associated Changes in Birth Locations and Outcomes. Webinar Presentation: Rural Health Research Gateway, University of Minnesota Rural Health Research Center, Apr. 2018. Retrieved from: https://www.ruralhealthresearch.org/assets/1166-4775/diminishing-access-to-rural-maternity-care-ppt.pdf
104 American College of Obstetricians and Gynecologists. Health Disparities in Rural Women. 2014. Retrieved from: https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Disparities-in-Rural-Women
105 Henning-Smith, C. Diminishing Access to Rural Maternity Care and Associated Changes in Birth Locations and Outcomes. Webinar Presentation: Rural Health Research Gateway, University of Minnesota Rural Health Research Center, Apr. 2018. Retrieved from: https://www.ruralhealthresearch.org/assets/1166-4775/diminishing-access-to-rural-maternity-care-ppt.pdf
106 Kozhimannil KB, Henning-Smith C, Hung P. The Practice of Midwifery in Rural US Hospitals. Journal of midwifery & women's health. 2016 Jul;61(4):411-8.
107 Vedam S, Stoll K, MacDorman M, Declercq E, Cramer R, Cheyney M, et al. (2018) Mapping integration of midwives across the United States: Impact on access, equity, and outcomes. PLoS ONE 13(2): e0192523. https://doi.org/10.1371/journal.pone.0192523
108 Renfrew MJ, McFadden A, Bastos MH, Campbell J, et al. (2014) Midwifery and quality care: findings from a new evidence-informed framework for maternal and newborn care. Lancet: 384: 1129–45. http://dx.doi.org/10.1016/S0140-6736(14)60789-3.
109 Midwives Alliance of North America. Midwives & the Law. February 2017. Retrieved from: https://mana.org/about-midwives/midwives-and-the-law
110 American College of Nurse Midwives. Are CNMs and CMs legally recognized? Retrieved from: http://www.midwife.org/Legal-Recognition
111 Medicaid Benefits: Nurse Midwife Services (2018). Henry J. Kaiser Family Foundation. Retrieved from: https://www.kff.org/medicaid/state-indicator/nurse-midwife-services/?currentTimeframe=0&sortModel=%7B%22colId%22:%22Location%22,%22sort%22:%22asc%22%7D#notes.
Patterson, D. G., Longenecker, R., Schmitz, D., Xierali, I. M., Phillips, R. L., Skillman, S. M., & Doescher, M. P. (2012). Rural residency training for family medicine physicians: graduate early-career outcomes. Rural Training Track Technical Assistance Program Policy Brief.
Rabinowitz, H. K., Diamond, J. J., Markham, F. W., & Santana, A. J. (2013). Retention of rural family physicians after 20–25 years: outcomes of a comprehensive medical school rural program. The Journal of the American Board of Family Medicine, 26(1), 24-27.
Rabinowitz, H. K., Diamond, J. J., Markham, F. W., & Wortman, J. R. (2008). Medical school programs to increase the rural physician supply: a systematic review and projected impact of widespread replication. Academic Medicine, 83(3), 235-243.
HRSA Bureau of Health Workforce. Rural Residency Planning and Development Program. Retrieved from: https://bhw.hrsa.gov/fundingopportunities/?id=bd0f561a-78b7-4053-a06f-722afa117f31
Helseth, C. Nurse Midwives Deliver Needed Services in Rural Areas. August 2010. Retrieved from: https://www.ruralhealthinfo.org/rural-monitor/nurse-midwives-deliver-services/
University of Wisconsin School of Medicine and Public Health. Rural OB-GYN Residency: First in the Nation. Retrieved from: http://www.obgyn.wisc.edu/residency/rural.aspx
115th Congress. H.R.315. Improving Access to Maternity Care Act. Retrieved from: https://www.congress.gov/bill/115th-congress/house-bill/315
Commissioned Corps of the US Public Health Service. National Health Service Corps. Retrieved from: https://www.usphs.gov/student/rhsc.asp
HRSA Bureau of Health Workforce. Nurse Corps Loan Repayment Program. Retrieved from: https://bhw.hrsa.gov/loanscholarships/nursecorps/lrp
American College of Obstetricians and Gynecologists. Health Disparities in Rural Women. 2014. Retrieved from: https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Disparities-in-Rural-Women
Suplee, PD et al., Improving Postpartum Education About Warning Signs of Maternal Morbidity and Mortality, Nursing for Women's Health, vol.20, 6, 552-567, January 2017. Retrieved from: https://nwhjournal.org/article/S1751-4851(16)30287-2/fulltext
Navarro, K. Prehospital Management of Obstetric Complications. Texas EMS Magazine, January/February 2009. Retrieved from: https://www.ncbi.nlm.nih.gov/pubmed/28264877
Interstate Medical Licensure Compact. The IMLC. Retrieved from: https://imlcc.org/
Gunja, M. Z., Tikkkanen, R., Seervai, S., Collins, R. What is the status of women’s health and health care in the U.S. compared to other countries? The Commonwealth Fund. Dec. 2018. Retrieved from: https://www.commonwealthfund.org/publications/issue-briefs/2018/dec/womens-health-us-compared-ten-other-countries
Women’s Health Insurance Coverage. Henry J Kaiser Family Foundation. Dec 2018. Retrieved from: https://www.kff.org/womens-health-policy/fact-sheet/womens-health-insurance-coverage-fact-sheet/
Day JC. Rates of Uninsured Fall in Rural Counties, Remain Higher Than Urban Counties. U.S. Census Bureau. Apr. 2019. Retrieved from: https://www.census.gov/library/stories/2019/04/health-insurance-rural-america.html
Women’s Health Insurance Coverage. Henry J Kaiser Family Foundation. Dec 2018. Retrieved from: https://www.kff.org/womens-health-policy/fact-sheet/womens-health-insurance-coverage-fact-sheet/
Gunja, M. Z., Tikkkanen, R., Seervai, S., Collins, R. What is the status of women’s health and health care in the U.S. compared to other countries? The Commonwealth Fund. Dec. 2018. Retrieved from: https://www.commonwealthfund.org/publications/issue-briefs/2018/dec/womens-health-us-compared-ten-other-countries
Garfield, R., Orgera, K., Damico, A. The Coverage Gap: Uninsured Poor Adults in States that Do Not Expand Medicaid. Mar 2019. Retrieved from: https://www.kff.org/medicaid/issue-brief/the-coverage-gap-uninsured-poor-adults-in-states-that-do-not-expand-medicaid/
American College of Obstetricians and Gynecologists. Health Disparities in Rural Women. 2014. Retrieved from: https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Disparities-in-Rural-Women
Gunja, M. Z., Tikkkanen, R., Seervai, S., Collins, R. What is the status of women’s health and health care in the U.S. compared to other countries? The Commonwealth Fund. Dec. 2018. Retrieved from: https://www.commonwealthfund.org/publications/issue-briefs/2018/dec/womens-health-us-compared-ten-other-countries
Centers for Medicare & Medicaid Services. Final Evaluation Report: Strong Start for Mothers and Newborns - Enhanced Prenatal Care Models. 2018. Retrieved from: https://innovation.cms.gov/initiatives/strong-start
American College of Obstetricians and Gynecologists. Health Disparities in Rural Women. 2014. Retrieved from: https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Disparities-in-Rural-Women
Galwitz, P. Nearly Half of US Births Are Covered by Medicaid, Study Finds. Kaiser Health News. September 2013. Retrieved from: https://khn.org/news/nearly-half-of-u-s-births-are-covered-by-medicard-study-finds/
Kleppel L, Suplee PD, Stuebe AM, Bingham D. National Initiatives to Improve Systems for Postpartum Care. Matern Child Health J. 2016 Nov;20(Suppl 1):66-70.
Daw JR, Hatfield LA, Swartz K, Sommers BD. Women in the United States experience high rates of coverage ‘churn’ in months before and after childbirth. Health Aff (Millwood) 2017; 36: 598-606.
Molina RL, Pace LE. A Renewed Focus on Maternal Health in the United States. New England Journal of Medicine. 2017 Nov 2;377(18):1705-7.
Extending Medicaid Coverage For Postpartum Moms. Health Affairs Blog, May 6, 2019. DOI: 10.1377/hblog20190501.254675
Moniz, MH, Dalton, VK. Reimbursement for Immediate Postpartum Contraception Outside the Global Fee: Improving Outcomes and Reducing Costs for Moms and Babies. University of Michigan Institute for Healthcare Policy and Innovation. Retrieved from: https://ihpi.umich.edu/news/ihpi-briefs/reimbursement-immediate-postpartum-contraception-outside-global-fee-improving-outcomes-reducing
Cherington, M, Dravid, N, Hawthorne, M. Developing targeted interventions to advance maternal health in a geographic Medicaid Accountable Care Organization: Lessons from the Implementation of Camden Deliveries. https://www.camdenhealth.org/wp-content/uploads/2016/10/Camden-Delivers-White-Paper-v2.pdf
Costich JF, Southchfield FD, Ingram, RC. Population Health, Public Health, and Accountable Care: Emerging Roles and Relationships. Am J Public Health. May 2015. Retrieved from: https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4386526/
Kozhimannil, KI, Hung, P, McClellan, M, Casey, M, Prasad, S, Moscovice, I. Obstetric Services and Quality among Critical Access, Rural, and Urban Hospitals in Nine States. 2013. Retrieved from: http://rrhc.umn.edu/wp-content/files_mf/ob1.pdf
Mhyre, JM., Wong, CA. The Anesthesia Workforce and Levels of Maternal Care. Anesthesia & Anaglesia, June 2016. Vol 122: 1763-1765. Retrieved from: https://journals.lww.com/anesthesia-analgesia/subjects/Outcomes/Fulltext/2016/06000/The_Anesthesia_Workforce_and_Levels_of_Maternal.11.aspx
Ananth CV, Lavery JA, Friedman AM, Wapner RJ, Wright JD. Serious Maternal Complications in Relation to Severe Pre-eclampsia: a Retrospective Cohort Study of the Impact of Hospital Volume. Send to BJOG. 2017 Jul;124(8):1246-1253. doi: 10.1111/1471-0528.14384. Epub 2016 Oct 21.
Snowden JM, Cheng YW, Emeis CL, Caughey AB. The Impact of Hospital Obstetric Volume on Maternal Outcomes in Term, Non-Low-Birthweight Pregnancies. Am J Obstet Gynecol. 2015 Mar;212(3):380.e1-9. DOI: 10.1016/j.ajog.2014.09.026. Epub 2014 Sep 28.
Lee WC, Phillips CD, Ohsfeldt RL. Do Rural and Urban Women Experience Differing Rates of Maternal Rehospitalizations? Rural Remote Health. 2015 Jul-Sep;15(3):3335. Epub 2015 Aug 18.
Hung, P., Henning-Smith, C., Casey, M., & Kozhimannil, K. (2017). Access to Obstetrics Services in Rural Counties Still Declining, with 9 Percent Losing Services, 2004-2014. Health Affairs, 36(9), 1663-1671. Retrieved from: https://www.ruralhealthresearch.org/assets/1166-4775/diminishing-access-to-rural-maternity-care-ppt.pdf
Mann S, McKay K, Brown H. The Maternal Health Compact. New England Journal of Medicine, 2017 Apr 6;376(14):1304-5.
Henning-Smith, C. Diminishing Access to Rural Maternity Care and Associated Changes in Birth Locations and Outcomes. Webinar Presentation: Rural Health Research Gateway, University of Minnesota Rural Health Research Center, Apr. 2018. Retrieved from: https://www.ruralhealthresearch.org/assets/1166-4775/diminishing-access-to-rural-maternity-care-ppt.pdf
March of Dimes. (December 2010). Toward Improving the Outcome of Pregnancy III. White Plains, NY: March of Dimes. Retrieved from https://www.marchofdimes.org/toward-improving-the-outcome-of-pregnancy-iii.pdf
American College of Obstetricians and Gynecologists. Obstetric Care Consensus No. 2. Obstet Gynecol 2015;125:502–15. Retrieved from https://www.acog.org/Clinical-Guidance-and-Publications/Obstetric-Care-Consensus-Series/Levels-of-Maternal-Care?IsMobileSet=false
American College of Obstetricians and Gynecologists. Obstetric Care Consensus No. 2. Obstet Gynecol 2015;125:502–15. Retrieved from https://www.acog.org/Clinical-Guidance-and-Publications/Obstetric-Care-Consensus-Series/Levels-of-Maternal-Care?IsMobileSet=false
Centers for Disease Control and Prevention Division of Reproductive Health. CDC levels of Care Assessment Tool. Retrieved from: https://www.cdc.gov/reproductivehealth/maternalinfanthealth/LOCATe.html
Elrod, JK, Fortenberry, JL. The Hub-and-Spoke Organization Design: an Avenue for Serving Patients Well. BMC Health Services Research, vol. 17, suppl. 1, p. 457, July 11, 2017. Retrieved from: https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5516840/
Mann S, McKay K, Brown H. The Maternal Health Compact. New England Journal of Medicine. 2017 Apr 6;376(14):1304-5.
Alliman, J, Phillippi, J. Maternal Outcomes in Birth Centers: An Integrative Review of the Literature. Retrieved from: https://onlinelibrary.wiley.com/doi/full/10.1111/mwh.12356
Internet Citation: Six Domains of Health Care Quality. Content last reviewed November 2018. Agency for Healthcare Research and Quality, Rockville, MD. http://www.ahrq.gov/talkingquality/measures/six-domains.html
https://apps.who.int/iris/bitstream/handle/10665/249155/9789241511216-eng.pdf;jsessionid=641801E241A67F1820FA9A4DA898A154?sequence=1
Council on Patient Safety in Women’s Healthcare. The Process of AIM. Retrieved from: https://safehealthcareforeverywoman.org/how-does-aim-work/
Centers for Disease Control and Prevention Division of Reproductive Health. Perinatal Quality Collaboratives. Retrieved from: https://www.cdc.gov/reproductivehealth/maternalinfanthealth/pqc.htm
Review to Action. What Makes Maternal Mortality Review Unique? Retrieved from: https://reviewtoaction.org/learn/what-makes-maternal-mortality-review-unique
The White House. Bill Announcement, December 21, 2018. Retrieved from: https://www.whitehouse.gov/briefings-statements/bill-announcement-10/
Maternal Mortality Review Information Application. What is the Maternal Mortality Review Information Application? Retrieved from: http://mmria.org/
Centers for Medicaid and CHIP Services. CMS Maternal and Infant Health Initiative: Improving Maternal and Infant Health Outcomes in Medicaid and CHIP. Retrieved from: https://www.medicaid.gov/medicaid/quality-of-care/downloads/maternal-and-infant-health-initiative.pdf
Centers for Medicare and CHIP Services. 2019 Core Set of Maternal and Perinatal Health Measures for Medicaid and CHIP (Maternity Core Set). Retrieved from: https://www.medicaid.gov/medicaid/quality-of-care/downloads/performance-measurement/2019-maternity-core-set.pdf
https://www.acog.org/-/media/Departments/Patient-Safety-and-Quality-Improvement/Call-to-Action-Paper.pdf?dmc=1&ts=20190530T2048365376
Rakover, J. The Maternity Medical Home. The Chassis for a More Holistic Model of Pregnancy Care? 2016 Mar 22. Retrieved from: http://www.ihi.org/communities/blogs/_layouts/15/ihi/community/blog/itemview.aspx?List=7d1126ec-8f63-4a3b-9926-c44ea3036813&ID=222
Johns Hopkins Bloomberg School of Public Health. Family Spirit: About Us. Retrieved from: https://www.jhsph.edu/research/affiliated-programs/family-spirit/about/
California Department of Health Care Services. American Indian Infant Health Initiative. Retrieved from: https://www.dhcs.ca.gov/services/rural/Pages/AllIHIProgram.aspx
https://www.thinkculturalhealth.hhs.gov/assets/pdfs/EnhancedCLASSStandardsBlueprint.pdf
https://mchb.hrsa.gov/training/cultural-competence.asp
Health Services and Resources Administration. Federal Office of Rural Health Policy. n.d. Telehealth Programs. Retrieved from: https://www.hrsa.gov/rural-health/telehealth/index.html
Mann S, Mckay K, Brown H. The Maternal Health Compact. New England Journal of Medicine. 2017 Apr 6;376(14):1304-5.
Okoroh EM, Kroelinger CD, Smith AM, Goodman DA, Barfield WD. US and Territory Telemedicine Policies: Identifying Gaps in Perinatal Care. American Journal of Obstetrics and Gynecology. 2016 Dec 1;215(6):772-e1.
MACPAC. Chapter 2: Telehealth in Medicaid. Retrieved from: https://www.macpac.gov/wp-content/uploads/2018/03/Telehealth-in-Medicaid.pdf
Wicklund, E. NC Health System Uses mHealth to Manage Gestational Diabetes. mHealth Intelligence, December 2017. Retrieved from: https://mhealthintelligence.com/news/nc-health-system-uses-mhealth-to-manage-gestational-diabetes
Lifeline4Moms. Retrieved from: http://www.lifeline4moms.org/
Association of State and Territorial Health Officials. Using Telehealth to Improve Maternal and Child Health Outcomes in Georgia. Retrieved from: http://www.astho.org/Maternal-and-Child-Health/Georgia-Uses-Telehealth-to-Improve-Maternal-and-Child-Health-Outcomes/
Association of State and Territorial Health Officials. Using Telehealth to Improve Maternal and Child Health Outcomes in Georgia. Retrieved from: http://www.astho.org/Maternal-and-Child-Health/Georgia-Uses-Telehealth-to-Improve-Maternal-and-Child-Health-Outcomes/
Text4Baby. Retrieved from: https://www.text4baby.org/
Bush J, Barlow DE, Echols J, Wilkerson J, Bellevin K.. Impact of a Mobile Health Application on User Engagement and Pregnancy Outcomes Among Wyoming Medicaid Members. Telemedicine Journal E-Health. 2017 Nov;23(11):891-898. doi: 10.1089/tmj.2016.0242. Epub 2017 May 8.
Medical University of South Carolina. Maternal Fetal Medicine. Retrieved from: https://muschealth.org/medical-services/womens/maternal-fetal-medicine
Mann S, Mckay K, Brown H. The Maternal Health Compact. New England Journal of Medicine. 2017 Apr 6;376(14):1304-5.
Association of Maternal and Child Health Programs. Quality Improvement in Maternity Care via Project ECHO. Retrieved from: http://www.amchp.org/programsandtopics/BestPractices/InnovationStation/ISDocs/IS_Project%20ECHO.pdf
Mental Health Care Health Professional Shortage Areas. Kaiser Family Foundation. Updated December, 31, 2018. Retrieved from: https://www.kff.org/other/state-indicator/mental-health-care-health-professional-shortage-areas-npsas/?currentTimeframe=0&sortModel=%7B%22colId%22:%22Location%22,%22sort%22:%22asc%22%7D
Snell-Rood C, Felner F, Schoenberg N. What Role Can Community Health Workers Play in Connecting Rural Women with Depression to the “De Facto” Mental Health Care System?. *Community mental health journal*. 2019 Jan 31;55(1):63-73.
National Institute of Mental Health. Retrieved from: [https://www.nimh.nih.gov/health/statistics/major-depression.shtml](https://www.nimh.nih.gov/health/statistics/major-depression.shtml)
American Psychiatric Association. Mental Health Disparities: Diverse Populations, 2017. Retrieved from: [https://www.psychiatry.org/File%20Library/Psychiatrists/Cultural-Competency/Mental-Health-Disparities/Mental-Health-Facts-for-Diverse-Populations.pdf](https://www.psychiatry.org/File%20Library/Psychiatrists/Cultural-Competency/Mental-Health-Disparities/Mental-Health-Facts-for-Diverse-Populations.pdf).
Alegría M, Chatterji P, Wells K, Cao Z, Chen C, et al. Disparity in Depression Treatment among Racial and Ethnic Minority Populations in the United States. *Psychiatric services*. 2008 Nov; 59(11): 1264–1272.
Narain K, Xu H, Azocar F, Ettner SL. Racial/ethnic disparities in specialty behavioral health care treatment patterns and expenditures among commercially insured patients in managed behavioral health care plans. *Health Serv Res*. 2019;54:575–585. https://doi.org/10.1111/1475-6773.13121
American Psychiatric Association. Mental Health Disparities: Diverse Populations, 2017. Retrieved from: [https://www.psychiatry.org/File%20Library/Psychiatrists/Cultural-Competency/Mental-Health-Disparities/Mental-Health-Facts-for-Diverse-Populations.pdf](https://www.psychiatry.org/File%20Library/Psychiatrists/Cultural-Competency/Mental-Health-Disparities/Mental-Health-Facts-for-Diverse-Populations.pdf).
Rural Hunger and Access to Healthy Food. Rural Health Information Hub. Retrieved from: [https://www.ruralhealthinfo.org/topics/food-and-hunger](https://www.ruralhealthinfo.org/topics/food-and-hunger)
Human Services to Support Rural Health. Rural Health Information Hub. Retrieved from: [https://www.ruralhealthinfo.org/topics/rural-human-services](https://www.ruralhealthinfo.org/topics/rural-human-services)
Lomonaco-Haycraft KC, Hyer J, Tibbits B, Grote J, Stainback-Tracy K, Ulrickson C, Lieberman A, van Bekkum L, Hoffman MC. Integrated perinatal mental health care: a national model of perinatal primary care in vulnerable populations. *Primary health care research & development*. 2018 Jun;1:8.
Rasmussen KM, Whaley SE, Pérez-Escamilla R, Ross AC, Baker SS, Hatfield T, Latulippe ME. New opportunities for breastfeeding promotion and support in WIC: review of WIC food packages, improving balance and choice. *Journal of nutrition education and behavior*. 2017 Jul 1;49(7):S197-201.
Steketee G, Ross AM, Wachman MK. Health outcomes and costs of social work services: a systematic review. *American journal of public health*. 2017 Dec;107(S3):S256-66.
Association for State and Territorial Health Officials. Utilizing Community Health Workers to Improve Access to Care for Maternal and Child Populations: Four State Approaches. Retrieved from: [http://www.astho.org/Maternal-and-Child-Health/AIM-Access-CHW-Issue-Brief/](http://www.astho.org/Maternal-and-Child-Health/AIM-Access-CHW-Issue-Brief/)
Agency for Healthcare Research and Quality. 2016 National Healthcare Quality and Disparities Report. Retrieved from: [https://www.ahrq.gov/sites/default/files/wysiwyg/research/findings/nhqrdr/nhqrdr16/2016gdr.pdf](https://www.ahrq.gov/sites/default/files/wysiwyg/research/findings/nhqrdr/nhqrdr16/2016gdr.pdf)
Novoa, C., Taylor, J., Exploring African Americans’ High Maternal and Infant Death Rates, *Center for American Progress*, 2018. Retrieved from: [https://www.americanprogress.org/issues/early-childhood/reports/2018/02/01/445576/exploring-african-americans-high-maternal-infant-death-rates/](https://www.americanprogress.org/issues/early-childhood/reports/2018/02/01/445576/exploring-african-americans-high-maternal-infant-death-rates/)
America’s Health Rankings. Explore Maternal Mortality in the United States. 2018 Health of Women and Children Report, 2019. Retrieved from: [https://www.americashealthrankings.org/explore/health-of-women-and-children/measure/maternal_mortality/state/ALL](https://www.americashealthrankings.org/explore/health-of-women-and-children/measure/maternal_mortality/state/ALL).
Creanga, AA et al., Race, Ethnicity, and Nativity Differentials in Pregnancy-Related Mortality in the United States, *Obstetrics and Gynecology*, 120(2), Aug.2012.
Singh GK. Maternal Mortality in the United States, 1935-2007: Substantial Racial/Ethnic, Socioeconomic, and Geographic Disparities Persist. A 75th Anniversary Publication. Health Resources and Services Administration, Maternal and Child Health Bureau. Rockville, Maryland: U.S. Department of Health and Human Services; 2010. Retrieved from: [https://www.hrsa.gov/sites/default/files/ourstories/mchb75th/mchb75maternalmortality.pdf](https://www.hrsa.gov/sites/default/files/ourstories/mchb75th/mchb75maternalmortality.pdf)
America’s Health Rankings. Health of Women and Children. Retrieved from: [https://www.americashealthrankings.org/explore/health-of-women-and-children/measure/maternal_mortality/state/ALL](https://www.americashealthrankings.org/explore/health-of-women-and-children/measure/maternal_mortality/state/ALL).
Preterm Birth. Centers for Disease Control and Prevention. Retrieved from: [https://www.cdc.gov/reproductivehealth/maternalinfanthealth/pretermbirth.htm](https://www.cdc.gov/reproductivehealth/maternalinfanthealth/pretermbirth.htm)
Kozhimannil KB, Trinacty CM, Busch AB, Huskamp HA, Adams AS. Racial and ethnic disparities in postpartum depression care among low-income women. *Psychiatric Services*. 2011 Jun;62(6):619-25.
America’s Health Rankings. Explore Maternal Mortality in the United States. 2018 Health of Women and Children Report, 2019. Retrieved from: [https://www.americashealthrankings.org/explore/health-of-women-and-children/measure/maternal_mortality/state/ALL](https://www.americashealthrankings.org/explore/health-of-women-and-children/measure/maternal_mortality/state/ALL).
Committee on American Indian/Alaska Native Women’s Health. Committee Opinion: Health Care for Urban American Indian and Alaska Native Women. The American College of Obstetricians and Gynecologists. January 2012. Retrieved from: [https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Care-for-Urban-American-Indian-and-Alaska-Native-Women?IsMobileSet=false](https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Care-for-Urban-American-Indian-and-Alaska-Native-Women?IsMobileSet=false)
Hanson JD. Understanding prenatal health care for American Indian women in a Northern Plains tribe. Journal of Transcultural Nursing. 2012 Jan;23(1):29-37.
United States Department of Health and Human Services (US DHHS), Centers for Disease Control and Prevention (CDC), National Center for Health Statistics (NCHS), Division of Vital Statistics, Natality public-use data 2007-2017, on CDC WONDER Online Database, October 2018. Accessed at http://wonder.cdc.gov/natality-current.html on Jun 9, 2019 1:03:50 AM.
Committee on American Indian/Alaska Native Women’s Health. Committee Opinion: Health Care for Urban American Indian and Alaska Native Women. The American College of Obstetricians and Gynecologists. January 2012. Retrieved from: https://www.acog.org/Clinical-Guidance-and-Publications/Committee-Opinions/Committee-on-Health-Care-for-Underserved-Women/Health-Care-for-Urban-American-Indian-and-Alaska-Native-Women?isMobileSet=false
Kuh, D, Ben-Shlomo, Y, editors. A Life Course Approach to Chronic Disease Epidemiology. New York, NY: Oxford University Press; 1997.
Braveman, P, Barclay, C. Health disparities beginning in childhood: A life-course perspective. Pediatrics. 2009;124:S163–S175.
Cable, N. Life Course Approach in Social Epidemiology: An Overview, Application and Future Implications. Journal of Epidemiology. 2014;24(5):347-352. doi:10.2188/jea.JE20140045.
2017 National Healthcare Quality and Disparities Report. Content last reviewed November 2018. Agency for Healthcare Research and Quality, Rockville, MD. https://www.ahrq.gov/research/findings/nhqrdr/nhqdr17/index.html.
Council in Patient Safety in Women’s Health Care. (2019). Reduction of Peripartum Racial/Ethnic Disparities (+AIM). Retrieved from https://safehealthcareforeverywoman.org/patient-safety-bundles/reduction-of-peripartum-racialethnic-disparities/
Core Quality Measures Collaborative. CQMC Core Sets. Retrieved from https://www.qualityforum.org/CQMC_Core_Sets.aspx
Building U.S. Capacity to Review and Prevent Maternal Deaths. Report from Nine Maternal Mortality Review Committees. Retrieved from: https://www.cdcfoundation.org/sites/default/files/files/ReportfromNineMMRCs.pdf
Healthy Start. HRSA Maternal and Child Health. Retrieved from: https://mchb.hrsa.gov/maternal-child-health-initiatives/healthy-start
Evaluation. Best Babies Zone. Retrieved from: https://www.bestbabieszone.org/Evaluation
Healthy Start. HRSA Maternal and Child Health. Retrieved from: https://mchb.hrsa.gov/maternal-child-health-initiatives/healthy-start
Harder+Company Community Research. Best Babies Zone Evaluation Outcomes. Retrieved from: https://www.bestbabieszone.org/Evaluation
London K, Carey M, Russel K. Community Health Worker Certification Requirements by State. Boston: UMass Medical School Center for Health Law and Economics. 2016. Retrieved from https://www.cthealth.org/wp-content/uploads/2016/02/CHW-Certificaiton-by-State-Final-Final.pdf
|
27c88024-3faf-4605-a476-095540937825
|
CC-MAIN-2023-40
|
https://waportal.org/sites/default/files/documents/09032019-Maternal-Health-Care-in-Rural-Communities.pdf
|
2023-09-27T12:38:15+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-40/subset=warc/part-00024-7aa0a1e5-33a6-434b-89a2-950f294b40c1.c000.gz.parquet
| 654,469,872
| 41,467
|
eng_Latn
|
eng_Latn
| 0.878719
|
eng_Latn
| 0.995434
|
[
"eng_Latn",
"por_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"dag_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
74,
2694,
6898,
10275,
14001,
16520,
18210,
21668,
23883,
27413,
31024,
34740,
37517,
39486,
41235,
45681,
50234,
54679,
59276,
63390,
67553,
71773,
76227,
80344,
83596,
86855,
90434,
94245,
98915,
100126,
101313,
103288,
105866,
107317,
110857,
114101,
114766,
117812,
120565,
121681,
124934,
127198,
130736,
133299,
136659,
140013,
141277,
144375,
147177,
148197,
153226,
158602,
163892,
168771,
173898,
179159,
184547,
189339,
196127,
199071
] |
By: Delegates Gaines, McIntosh, Jones, and Lierman
Introduced and read first time: February 7, 2018
Assigned to: Appropriations
A BILL ENTITLED
AN ACT concerning 1
Howard County, Frederick County, Montgomery County, Prince George's County, St. 1
Mary's County, Somerset County, Washington County, Wicomico County, and Baltimore 2
HOUSE BILL 988
(d) (1) On or before March 1, 2019, a local government or nonprofit 1 organization may apply to the Grant Panel for matching funds to support the accurate 2 counting of the population of its jurisdiction or the State and the collection of basic 3 demographic and housing information of the population of the State for the 2020 Census. 4
(2) On or before April 1, 2019, the Grant Panel shall award matching funds, 5 in an amount determined by the Grant Panel, to local governments and nonprofit 6 organizations for approved applications. 7
(e) For fiscal year 2020, the Governor shall include in the annual State operating 8 budget for the 2020 Census Grant Program a general fund appropriation of $5,000,000. 9
SECTION 2. AND BE IT FURTHER ENACTED, That this Act shall take effect June 10 1, 2018. It shall remain effective for a period of 1 year and 1 month and, at the end of June 11 30, 2019, this Act, with no further action required by the General Assembly, shall be 12 abrogated and of no further force and effect. 13
|
<urn:uuid:f61befa0-e1bb-4ff4-b7b0-a6d399bed816>
|
CC-MAIN-2020-40
|
http://mgaleg.maryland.gov/2018RS/bills/hb/hb0988F.pdf
|
2020-09-20T12:18:57+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-40/subset=warc/part-00283-50bb8e61-7c5b-4d2c-bd34-dad6ca92b697.c000.gz.parquet
| 88,053,030
| 352
|
eng_Latn
|
eng_Latn
| 0.714481
|
eng_Latn
| 0.966117
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
167,
334,
1375
] |
SPONSOR FORM
My Name is ______________and I am in__________________ class.
I am going to take part in a treasure hunt in my local area.
Name of Sponsor
Amount
Total Raised =
|
<urn:uuid:fae69447-d3c0-414c-99d3-ce66ea232f6a>
|
CC-MAIN-2025-08
|
https://croftonhammond-inf.hants.sch.uk/wp-content/uploads/2020/06/Sponsor-Form-Treasure-Hunt.pdf
|
2025-02-17T07:40:41+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-08/subset=warc/part-00150-b184e832-acd1-425a-bab7-895830f2748a.c000.gz.parquet
| 158,172,345
| 43
|
eng_Latn
|
eng_Latn
| 0.999438
|
eng_Latn
| 0.999438
|
[
"eng_Latn"
] | false
|
rolmOCR
|
[
178
] |
02
Message from the President
Overview of Fiscal 2014
Business performance
manufacturers in emerging nations, along with a delayed recovery in the market for nuclear power products.
In fiscal 2014, ended March 31, 2015, the world economy overall continued on a moderate recovery. In Asia, there were signs of an economic slowdown in China as well as in some other emerging nations. Meanwhile, the U.S. economy recovered modestly thanks to healthy personal consumption, and the European economy continued showing indications of a turnaround. The Japanese economy as well recovered moderately on the back of higher corporate earnings, coupled with improved employment and worker income conditions, despite signs of weak personal consumption owing to a pullback in demand in the wake of the consumption tax hike.
The operating environment for the JSW Group remained challenging. Despite improving export conditions thanks to yen depreciation, as well as an expanding market for molding machinery related to automobiles and IT equipment, the Group faced intensifying global competition driven by
Under these circumstances, the Group advanced its business activities with the aims of "improving profits and efficiency while pursuing revenue scale" and "enhancing asset efficiency and profitability." For the year, total orders amounted to ¥205,906 million (US$1,713 million), up 10.4% from the previous fiscal year. This improvement was due to increased orders generated by both the Steel and Energy Products Business and the Industrial Machinery Products Business segments. Net sales rose 3.2%, to ¥194,674 million (US$1,619 million), owing to higher sales in the Industrial Machinery Products Business. Operating income declined 7.3%, to ¥8,217 million (US$68 million). However, we reported a net loss of ¥3,740 million (US$31 million), compared with net income of ¥5,527 million (US$45 million) in the previous fiscal year. This was due to provision for loss on wind power business, booked as an extraordinary loss.
Looking ahead, the world economy is expected to recover moderately, driven by the U.S.
and other industrialized economies, and the Japanese economy is also forecast to continue its modest recovery. However, the economies of China and emerging nations, as well as Europe, have unstable elements, including downside risk, geopolitical risk, and the effects of low crude oil prices. In summary, therefore, the economic outlook remains uncertain.
Facing these challenges, the JSW Group has formulated a new medium-term management plan, entitled JGP2017, covering the three-year period from April 2015 to March 2018. Under the plan, we will advance our business activities according to three basic policies: "Increase earnings power of existing businesses," "Foster and swifly mobilize new products and businesses," and "Reinforce Group management and promote alliances."
For fiscal 2015, the first year of the plan, our consolidated forecasts are: orders of ¥210.0 billion (US$1,747 million), net sales of ¥210.0 billion (US$1,747 million), operating income of ¥10.0 billion (US$83 million) and net income attributable to owners of parent of ¥6.7 billion (US$55 million).
Message from the President
June 2015
Ikuo Sato Representative Director & President
03
|
<urn:uuid:227897ba-6b46-48a1-803a-491ce0f83ba5>
|
CC-MAIN-2021-49
|
https://www.jsw.co.jp/en/ir/library/annual_report/main/0114/teaserItems2/00/linkList/02/link/004message.pdf
|
2021-12-09T12:48:15+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00051-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet
| 903,872,470
| 692
|
eng_Latn
|
eng_Latn
| 0.997091
|
eng_Latn
| 0.997451
|
[
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2106,
3279
] |
Once Again on Japanese Accent Systems
26 July 2012 smalltalk MURAWAKI Yugo
How to pronounce hashi?
*端
端が
*
橋
*
箸
橋が
箸が
Hint: H: high in pitch L: low in pitch
Kyōto
*
橋
橋が
*
箸
LH
箸が
LL-H
HL
HL-L
Tōkyō
*
橋
橋が
*
箸
HL
箸が
HL-L
LH
LH-L
Kagoshima
*
橋
橋が
HL
LH-L
Classes of two mora nouns
2.1
2.2
2.3
2.4
2.5
LF/LH LF, LH-L HL, HL-L LH, LL-H
[金田一 2005]
Phonological interpretation
* H/L are phonetic 音声学 elements
* Phonological 音韻論 analysis offers better organization of each accent system
– Locus 核, register 調域? (and vowel length)
Tōkyō (locus system)
* Atonic (OO), oxytonic (OO˥) and prototonic (O˥O)
* Phonetic rule: lower the unaccented word-initial high pitch
Kagishima (register system)
* High-register (penultimate)(‾OO) and low-register (ultimate)(_OO)
* In a low-register word, the final syllable is high in pitch and the rest of the syllables are low
* A high-register word places a phonetic locus on a penultimate syllable and lowers the pitch of unaccented syllables
Kyōto (locus & register)
LF, LH-L
* Word-initial-high-register (‾OO), word-initial-low-register (_OO), initial-accent (O˥O) & final-accent (OO˥)
Kagoshima (register system)
Tōkyō (locus system)
LHH, LHH-L
[Shimabukuro 2007]
Kyōto (locus & register)
Ruijumyōgishō (locus & register)
* Rising pitch '˩' in addition to falling pitch '˥'
Phylogenetic analysis
* How has each language evolved?
* Compare modern and documented languages to reconstruct the common ancestor
Split of 2.3-5 nouns in Okinawan dialects
Proto-Japonic (common ancestor of mainland Japanese & Ryukyuan)
参考文献
* [金田一 2005] 金田一 春彦 2005. 国語アクセントの史的研究, 金田 一春彦著作集, 第7巻, pp. 11-310.
* [Shimabukuro 2007] Shimabukuro, M. 2007. The Accentual History of the Japanese and Ryukyuan Languages.
* [Vovin 2008] Vovin, A. 2008. Proto-Japanese beyond the Accent System, Proto-Japanese: Issues and Prospects, pp. 141-156.
|
<urn:uuid:e8395caf-3bb0-4c06-b37a-bff1ed1a5230>
|
CC-MAIN-2021-21
|
https://murawaki.org/misc/accent2.pdf
|
2021-05-13T09:11:28+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-21/subset=warc/part-00202-2bb1ba05-1421-4b90-a3f4-bbc46b4a29a5.c000.gz.parquet
| 392,664,734
| 672
|
eng_Latn
|
eng_Latn
| 0.748285
|
eng_Latn
| 0.899972
|
[
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"unknown",
"eng_Latn",
"eng_Latn",
"unknown",
"eng_Latn",
"sco_Latn"
] | false
|
rolmOCR
|
[
75,
168,
215,
262,
293,
379,
391,
573,
709,
1025,
1173,
1202,
1256,
1282,
1369,
1503,
1546,
1611,
1914
] |
E:[email protected]
T: 01926 312 820
Ofsted Ur: EY560943
Physical Contact (safe restraint) Policy
Background
All adults who come into contact with children and young people in their work have a duty of care to safeguard them and promote their welfare.
Children learn best when they are healthy, safe and secure.
There is no legal ban on physical contact between children and practitioners. The Children Act 1989 places the wellbeing of the child at the centre of keeping them safe and does not prevent staff from helping with ordinary basic physical needs. All staff working in Seedling Nursery know that inappropriate behaviour with or towards a child or children is unacceptable. However, it is unrealistic to suggest that staff should never touch a child — although physical contact to keep children safe and stop them hurting themselves or others should be minimal. Where a child needs a cuddle, staff members will also use appropriate words to help them feel safe.
Aim
The aim of this policy is to ensure that all physical contact between adults and children in Seedling Nursery promotes the child's/children's safety and welfare.
The principles underlying this policy are as follows.
1. In accordance with the Children Act 1989, the welfare of the child is paramount.
2. All members of staff in the provision are responsible for safeguarding and promoting the welfare of each child attending.
3. Each staff member is responsible for their own actions and behaviour and should avoid any conduct which would lead any reasonable person to question their motivation and intentions.
4. Staff work, and should be seen to work, in an open and transparent way.
5. The same professional standards are always applied regardless of culture, disability, gender, language, racial origin, religious belief and/or sexual identity.
6. Staff continually monitor and review their practice and ensure they follow the guidance provided by the provision.
All members of staff encourage children to take responsibility for their own behaviour, using a range of approaches which help to safeguard each child and promote their welfare. These approaches will include:
1. positive role modelling
2. providing a range of planned interesting and stimulating activities
3. setting and enforcing appropriate boundaries and expectations
4. giving positive feedback.
There are occasions, however, when a child's behaviour presents particular challenges that may require physical handling. This policy sets out expectations for the use of physical handling.
1
Seedling Nursery Leamington Spa 14 Kenilworth Street Leamington Spa CV32 4QS
There are three main types of physical handling that staff in the provision may use.
Positive handling
The positive use of touch is part of normal human interaction and may be appropriate in a range of situations, such as:
* giving guidance to children, such as how to hold a paintbrush or use the climbing equipment
* providing emotional support, for example placing an arm around a distressed child
* giving physical care, such as assistance with toileting or changing a nappy or wet or soiled clothing
* providing first aid.
Staff will use appropriate care when touching children and will be sensitive to those children for whom touch may not be appropriate, such as a child who has a history of physical or sexual abuse, or is from a particular cultural group. In all such cases, discussion will take place with parents/carers about the most appropriate forms of promoting the child's welfare.
Physical intervention
This may include mechanical or environmental means, such as a locked door, gate, or high chair. Such measures are used to ensure a child's safety and promote their welfare.
Restrictive physical intervention
This involves the intentional use of force by a staff member to restrict a child's movements against the child's will. Generally this will be through the use of the adult's body rather than by the use of mechanical or environmental means.
Types of Restrictive Physical Intervention
Where restrictive physical intervention is needed staff will:
* aim for side-by-side contact with the child and avoid positioning themselves in front (to reduce risk of being kicked) or behind (to reduce risk of allegations of sexual misconduct)
* aim for no gap between the adult's and child's body when side-by-side to minimise the risk of impact and damage
* aim to keep their own back as straight as possible
* be aware of head positioning to avoid headbutts from the child
*
hold children where there is the least likelihood of causing damage, ie by the "long" bones rather than the joints
* ensure that there is no restriction to the child's ability to breathe, avoiding holding the child round the chest cavity or stomach
* avoid lifting the child.
Staff at Seedling Nursery will use restrictive physical intervention only:
* in the context of positive behaviour management
* in extreme cases to prevent a child hurting themselves or others or causing damage to property
* where to physically intervene is in the child's best interests.
2
Where possible staff will make use of other strategies, such as saying "stop" and/or diverting the child to another activity. They will use restrictive physical intervention only when necessary and in conjunction with other forms of intervention.
Where restrictive physical intervention is necessary, staff will use the minimum force that is proportionate to both the child's behaviour and the harm that they may cause.
Physical intervention will not be used as a form of punishment under any circumstances.
Recording and Monitoring
All incidents requiring restrictive physical intervention will be recorded as soon as possible and within 24 hours of the incident. This record will include:
* who was involved.
* the reason physical intervention was considered appropriate.
* how the child was held.
* the date and time of the incident.
* the length of time the physical intervention had to continue.
* any injuries or subsequent distress.
* the action taken.
* Parents will be informed and given a copy of the record form.
* Intervention will be monitored and any necessary adjustments made to keep the child/children safe and promote their wellbeing.
Training
Staff will review this policy so that they can use appropriate techniques as and when necessary.
3
Recording and Monitoring Physical Intervention
All incidents requiring restriction will be recorded as soon as possible and within 24 hours of the incident.
Who was involved: child and staff members
Date and time of the incident
Parents will be informed and given a copy of the record form
Signed :
Length of time the physical intervention had to continue
Was there any injuries or subsequent distress
How the child was held
What was the reason physical intervention was considered appropriate:
Signed by staff member:
Date:
Witnessed by:
Date:
Signed by manager: ……………………………………………………………………………………………………………………………………….Date: ……………………………..
* Intervention will be monitored and any necessary adjustments made to keep the child/children safe and promote their wellbeing.
4
|
<urn:uuid:86b9ae54-a8ea-4202-b07e-bc2202151760>
|
CC-MAIN-2024-42
|
https://sites.create-cdn.net/sitefiles/37/3/0/373035/Physical_Contact_Policy_24.pdf
|
2024-10-14T23:43:35+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-42/subset=warc/part-00202-0c083cf2-c0ed-42ad-af5c-44f7548e96a0.c000.gz.parquet
| 441,065,072
| 1,370
|
eng_Latn
|
eng_Latn
| 0.996326
|
eng_Latn
| 0.997473
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
2638,
5110,
6380,
7164
] |
AN OVERVIEW OF THE ELECTRONIC COMMUNICATIONS MARKET
IN THE REPUBLIC OF SERBIA
The First Quarter of 2021
The Overview presents the data for the first quarter of 2021 along with comparative data for the three previous quarters.
The presented data reflect the overall market status for each given quarter, including the actual quarterly data for the leading electronic communications operators in the Republic of Serbia, whereas the data for the rest of the market were estimated based on the data for 2020 collected in the annual questionnaires. Therefore, the total quarterly report may show discrepancies with respect to the data collected in the regular annual questionnaires. The Agency shall not be held responsible for the correctness of the data submitted by the operators in the quarterly and annual questionnaires.
Quarterly electronic communications market indicators referring to fixed telephony include the data on the operators that make up over 99% of the market, in terms of the number of subscribers. The data on the market situation include CDMA subscribers and the effectuated traffic.
Quarterly electronic communications market indicators referring to mobile telephony include the data on three mobile operators and, as of Q1 2019, the Agency also collects data on virtual mobile operators.
Quarterly electronic communications market indicators referring to Internet services include the data for the leading operators that make up approximately 93% of the market, in terms of the number of subscribers, whereas the data for the remaining 7% of the market were estimated based on the data for 2020 collected in the annual questionnaires.
Quarterly electronic communications market indicators referring to media content distribution include the data for the leading operators that make up approximately 95% of the market, in terms of the number of subscribers, whereas the data for the remaining 5% of the market were estimated based on the data for 2020 collected in the annual questionnaires.
Quarterly electronic communications market indicators referring to bundled services include the data for the leading operators that make up approximately 98% of the market, whereas the data for the remaining 2% of the market were estimated based on the data for 2020 collected in the annual questionnaires.
Public Fixed Telecommunications Networks and Services
Compared to the previous quarter, both the number of fixed telephony subscribers and the generated traffic in Q1 2021 have decreased. Approximately 2.40 million fixed telephony subscribers generated around 730 million minutes of traffic in the last observed quarter, which means that a fixed telephony subscriber on average spent 3.3 minutes a day on calls.
Number of fixed line subscribers (in million)*
Total fixed telephony traffic (in billion minutes)*
The subscriber structure has not changed over the observed quarters: 88% of the fixed telephony subscribers in Q1 2021 remain to be natural persons, i.e. private users. In all observed quarters, the largest share of the fixed telephony traffic is accounted for by the national traffic, with 95% in Q1 2021.
Fixed telephony traffic structure
The outgoing calls from fixed network are mostly directed towards other fixed networks, while the international traffic is dominated by incoming calls.
Structure of national and international traffic in fixed telephony
Below is shown the leading operators' market share in terms of the number of subscribers in Q1 2021.
Operators' market share by number of subscribers in Q1 2021
The number of portings in the first quarter of 2021 was 8.6 thousand (around 2.8 thousand a month), showing a decrease compared to the previous quarter.
Fixed telephony number portings per quarter
Public Mobile Telecommunications Networks and Services
In the first quarter of 2021, there were approximately 8.25 million active mobile telephony subscribers that generated around 5.2 billion minutes of national and international traffic and sent around 1.25 billion SMS messages. On average, in Q1 2021, a mobile user spent around 7 minutes a day on calls and sent 1.7 text messages. On the mobile networks market, a slight decrease in the number of active mobile telephony subscribers has been observed in Q1 2021.
Total number of active mobile telephony subscribers (in million)
Generated voice and SMS mobile telephony traffic*
In Q1 2021, the number of postpaid subscribers has increased compared to the previous quarter, with the number of prepaid users in decline.
Number of prepaid and postpaid subscribers (in million)
The majority of postpaid subscribers are natural persons, accounting for around 73%, much the same as in other observed quarters.
Postpaid subscriber structure
Most of the outgoing traffic in Q1 2021 has been generated within the same mobile network (53%). As for the roaming, the subscribers of foreign networks generated more traffic than the subscribers of national networks abroad.
Structure of mobile networks outgoing traffic
There have not been any significant changes in market shares in terms of the number of users, compared with the previous quarter.
Market share in terms of number of users in Q1 2021
Data transmission over mobile network has shown growth in the analyzed period, amounting to 140.2 million GB in Q1 2021, which means that a mobile broadband subscriber used on average 240 MB daily, or around 7.27 GB a month.
Mobile Internet traffic (in million GB)*
The number of mobile telephony number portings was approximately 24.9 thousand in the first quarter of 2021, or approximately 8.3 thousand per month, representing an increase compared to the previous quarter.
Mobile telephony number portings per quarter
Broadband Internet Access
Compared to the previous quarter, the number of fixed broadband Internet access users in Q1 2021 has increased, amounting to approximately 1.76 million subscribers.
Number of fixed broadband Internet subscribers (in million)
Most fixed broadband Internet subscribers have xDSL or cable access. The number of both xDSL subscribers and cable access subscribers has been marked by a slight drop in the analyzed period.
Number of subscribers by type of access*
In Q1 2021, the majority of subscribers used Internet speed between 10 Mbit/s to less than 30 Mbit/s over 50 Mbit/s and Internet access rate of more than 100 Mbit/s.
Number of fixed broadband Internet subscribers by access rate*
The following figure shows the leading operators' market shares for Q1 2021, in terms of the number of subscribers.
Market share in terms of number of fixed broadband subscribers in Q1 2021
The number of active mobile broadband subscribers in Q1 2021 has slightly decreased compared to the previous quarter, amounting to 6.55 million. The number of M2M subscriptions has marked a slight growth, amounting to 315 thousand in the first quarter of 2021.
Number of active mobile broadband users and M2M subscribers
Total number of active mobile broadband users (in million)
М2М subscriptions
Subscribers of other data transmission services
Subscribers of broadband data transmission
Media Content Distribution
Compared to the previous period, the number of media content distribution service subscribers has increased, amounting to approximately 2.11 million in Q1 2021.
Number of media content distribution service subscribers (in million)*
In Q1 2021, most subscribers used CATV distribution, either analogue or digital (around 57%). The number of both IPTV subscribers and DTH subscribers has slightly increased, while the services of wireless network and Internet media content distribution were the least used.
Media content distribution subscribers by type of distribution*
The number of met requests for additional services, such as video on demand (VoD), content recording, TV on mobile devices, playback etc, has increased in Q1 2021 compared to Q4 2020, amounting to approximately 491 million requests, or some 69 requests a month per user. The number of met VoD requests in Q1 2021 was around 17.3 million.
Number of met requests for additional services (in million)
In the first quarter of 2021, around 35% of media content distribution subscribers with the possibility to have additional channels, subscribed to such programmes.
The following figure shows the leading operators' market shares for Q1 2021, in terms of the number of subscribers.
Operators' market share in terms of number of subscribers in Q1 2021
Bundled Services
The number of bundled service subscribers in Q1 2021 has increased compared to the previous quarter, amounting to approximately 1.57 million. Packages offering three services were most used, whereas least used were packages with four services.
Number of bundled service users (in thousand)*
Of all bundled services offered by operators in Q1 2021, the most popular was the package with broadband Internet access, fixed telephony and TV, followed by a double-play offering broadband Internet access and TV, as well as the only available quad-play package including broadband Internet access, fixed telephony, TV and mobile telephony. A triple-play service offering broadband Internet access, fixed telephony and TV accounted for the highest subscriber growth rate in Q1 2021. A double-play offering fixed and mobile telephony, triple-play offering fixed and mobile telephony and TV, as well as a recently introduced package including mobile telephony and TV have had the lowest number of subscribers. The shares of different bundled services in terms of the number of subscribers are given below.
Share of bundled services in Q1 2021
Changes in different packages' number of subscribers can be seen below.
Number of bundled service users by type of service (in thousand)*
* Data for Q4 2020 were harmonized with those from annual reports for 2020.
Broadband Internet access is mostly purchased as a bundled service, whereas mobile telephony is generally purchased as a stand-alone service.
Share of stand-alone and bundled services purchased in Q1 2021
|
<urn:uuid:e72e5e27-c1a2-409e-af44-f02b66c82188>
|
CC-MAIN-2022-27
|
https://www.ratel.rs/uploads/documents/empire_plugin/Q1%202021%20Electronic%20Communications.pdf
|
2022-07-07T13:11:27+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-27/subset=warc/part-00010-48f675b2-7fd4-43af-adb3-2a4ea7f82193.c000.gz.parquet
| 993,409,570
| 2,036
|
eng_Latn
|
eng_Latn
| 0.964097
|
eng_Latn
| 0.998231
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
105,
2326,
2841,
3405,
3767,
4404,
4764,
5222,
5746,
6234,
6657,
7152,
7754,
8506,
9623,
9878,
10085
] |
ORDINANCE NO. 22-17
PASSED: March 13, 2017
ORDINANCE AUTHORIZING CITY AUDITOR TO REMOVE EQUIPMENT FROM THE CITY’S FIXED ASSET LIST.
BE IT ORDAINED BY THE COUNCIL OF THE CITY OF REYNOLDSBURG, OHIO:
SECTION 1. That the City Auditor be and is hereby authorized and directed to remove the following items from the city’s Fixed Asset list:
from the Police Department:
| Tag Number | Description | Reason |
|------------|-----------------|---------------------------------------------|
| FA1618 | Camera | No longer working |
| FA1869 | FRED Equipment | No longer works |
| FA2013 | Laptop | No longer able to use with current operating system |
SECTION 2. That the Reynoldsburg Police Department has disposed of the items referred to in Section 1 and any proceeds from the items will be used for trade in or deposited into the appropriate fund.
SECTION 3. That upon adoption by Council this Resolution shall be in effect thirty days following signature by the Mayor.
Chris Long, President Pro Tempore
ATTEST: April L. Beggerow
April L. Beggerow Clerk of Council
APPROVED: Doug Joseph
DATE 3-13-17
Doug Joseph, Acting Mayor
CERTIFICATE
I, April L. Beggerow, Clerk of Council, City of Reynoldsburg, Ohio do hereby certify the foregoing to be a true and correct copy of Ordinance No. 22-17 as passed by Council of said City on the 13th day of March, 2017, and as recorded in the Record of Proceedings of said Council.
April L. Beggerow, Clerk of Council
Filed with Mayor: 3/13/17
Published:
|
<urn:uuid:82dc84ee-7a92-4a18-a6c1-92861a08c021>
|
CC-MAIN-2018-05
|
http://ci.reynoldsburg.oh.us/Uploads/Documents/government/council/Legislation/2017/22-17%20Removal%20of%20Fixed%20Assets%20PD.pdf
|
2018-01-17T22:20:31Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-05/segments/1516084886979.9/warc/CC-MAIN-20180117212700-20180117232700-00384.warc.gz
| 80,966,953
| 380
|
eng_Latn
|
eng_Latn
| 0.983275
|
eng_Latn
| 0.983275
|
[
"eng_Latn"
] | false
|
docling
|
[
1623
] |
[email protected]•FCLB Home• Contact FCLB: (970) 356-3500
THANK YOU
Thanks to everyone who participated in this year's District meetings in Nashville, Tennessee; Colorado Springs, Colorado; and Fort Walton Beach, Florida. It was a pleasure to meet with all of you. Special thanks to the Tennessee and Colorado Chiropractic Associations as well as Standard Process for their contributions. Also, thanks to Dr. Craig Little of the CCE and the various district representatives of the NBCE.
DISTRICT MEETING UPDATE
This year's FCLB regional meeting focused on many challenges currently facing regulators, including standard of care issues, jurisdictional borders, and the importance of flexibility.
As in past years, the roundtable discussions sparked the greatest collaboration. Some of the hot issues we discussed telehealth, insurance audit oversight, and Independent Medical Examinations.
The FTC/Supreme Court decision continued to be of great interest. Many boards are just beginning find out how this decision will affect board operations. We'll keep you updated.
Specialty certifications are a big issue for all of our boards. How do boards evaluate the validity of certifications? How do advertising rules apply so that patients aren't misled about the quality of training involved?
As we discussed at the meeting, I encourage all of our boards to take a close look at their operations and make whatever changes are necessary to keep them effective and efficient. Consider training for new board members as well as yearly self-evaluations.
PACE
In FCLB news, the PACE program is growing, adding new services and flexibility for users. If your board currently accepts PACE, please consider asking your staff to add a link to your website. Helping licensees find quality CE can streamline your processes significantly.
Additionally, we now have online access to CE reports for any licensees who've taken a PACE course. When it's time to audit your licensee's continuing education, chiropractors with PACE credits can simply click to send an email report directly to your board. No more paper tsunamis!
CCCA
Another service available to your board is the Certified Chiropractic Clinical Assistant (CCCA) program. As more boards look at patient safety and chiropractic assistants, the need for uniform standards is increasing. Like all of our programs and services, the CCCA is designed so you don't have to reinvent the wheel. If you are considering language to regulate chiropractic assistants, please contact us to learn how this program might help your board.
Should you wish further information about this or any of the FCLB meetings, you may always contact our board via e-mail. You can also view the minutes of all our FCLB board meetings online.
|
<urn:uuid:bc5fc17c-73d0-4b2b-a6d6-35eacb4257f6>
|
CC-MAIN-2017-30
|
http://www.fclb.org/Portals/7/Highlights/Fall%202016%20Highlights.pdf
|
2017-07-25T18:28:12Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549425352.73/warc/CC-MAIN-20170725182354-20170725202354-00301.warc.gz
| 434,975,200
| 575
|
eng_Latn
|
eng_Latn
| 0.998062
|
eng_Latn
| 0.998117
|
[
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
1559,
2782
] |
I. CALLED TO ORDER AT 3:45 p.m.: Roll Call
| Name | Role | Vote |
|-----------------------------|---------------|------|
| Marisa Boulton, President | P | |
| Terri Cardon-Weiss, Trustee | P | |
| Denise Derr, Secretary/Treasurer | P | |
| David Koch, Vice President | A | |
| Teresa Quintana, Trustee | A | |
| Lyn Knapp, CFO | P | |
| Lance Berrier, Principal | P | |
| Charles Schwedler, CAO | A | |
| Nancy Pococke, Board Recording Secretary | P | |
Visitors Present: None
II. PUBLIC COMMENTS
No comments
III. ADDITIONS, CORRECTIONS, DELETIONS TO THE AGENDA
IV. BUSINESS OF THE BOARD
V. CONSENT AGENDA
1. Minutes
Attachment 1
February 15, 2023 Regular Board Meeting Minutes approved as prepared and presented.
2. Treasurer’s Report - February
Attachment 2
The financial report as presented and the bills be approved in the following amounts:
Purchases Recorded
Requiring Board Approval $93,299.55
Open Invoices $
Total Items for Approval $93,299.55
Moved by Derr, supported by Cardon-Weiss that the ACEA Board of Directors approve the preceding consent agenda as presented for the March 15, 2023 Regular Meeting:
| Name | AYE | NAY | AYE | NAY |
|----------|-----|-----|-----|-----|
| Boulton | X | | | |
| Cardon-Weiss | X | | | |
| Derr | X | | | |
| Koch | | | | |
| Quintana | | | | |
Motion carried 3 – 0
VI. DISCUSSION, REPORTS, PRESENTATIONS
A. Board of Directors
1. Monthly ESP Topic – Advertising
• Update on Website/Facebook
Lance shared that when you open ACEA Facebook page you will see Student of the Month, Senior Spotlight, and Staff of the Month. Other ideas for ACEA’s Facebook is Community Volunteer, Success Stories, highlights of the Construction classroom.
B. Administration
1. Staff and Student Activities
a. Principal’s Note
• School Colors/Logo
Lance shared that a majority of students voted for Carolina Blue/Navy with a Yellow accent for our new school colors.
Lance also showed the new Logo which is on ACEA’s Facebook page.
• Graduation day –
Lance shared that Graduation day is May 31, 2023 at 6:30 p.m. in the Bullock Creek High School’s Auditorium. Seniors last day is May 26, 2023
2. Administrative Activities
VII. ACTION ITEMS
3 – 1 Moved by ______, supported by __________, that the ACEA Board of Directors
| | AYE | NAY | | AYE | NAY |
|-------|-----|-----|-------|-----|-----|
| Boulton | | | Koch | | |
| Cardon-Weiss | | | Quintana | | |
| Derr | | | | | |
Motion (carried /failed) ____ - ____
3 – 2 Moved by ______, supported by __________, that the ACEA Board of Directors
| | AYE | NAY | | AYE | NAY |
|-------|-----|-----|-------|-----|-----|
| Boulton | | | Koch | | |
| Cardon-Weiss | | | Quintana | | |
| Derr | | | | | |
Motion (carried /failed) ____ - ____
3 – 3 Moved by ______, supported by __________, that the ACEA Board of Directors
Motion (carried /failed) ____ - ______
VIII. ADJOURNMENT
The ACEA Board of Directors meeting adjourned at 4:43 p.m.
The next meeting date is Wednesday, April 19, 2023 at 3:45 p.m.
Denise Derr
Secretary /Treasurer
4/19/23
Date
|
<urn:uuid:a5230d0b-b6ab-4da0-9020-476223dba135>
|
CC-MAIN-2023-23
|
http://www.aceaofmidland.com/wp-content/uploads/2023/04/March-2023-Board-Minutes.pdf
|
2023-06-07T19:16:34+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00194-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet
| 51,636,543
| 972
|
eng_Latn
|
eng_Latn
| 0.973773
|
eng_Latn
| 0.983093
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
docling
|
[
1611,
3313,
3545
] |
PROVINCIAL TREASURY CIRCULAR 36 OF 2015
THE MUNICIPAL MANAGER: EHLANZENI DISTRICT MUNICIPALITY (ADV H MBATHA)
THE MUNICIPAL MANAGER: BUSHBUCKRIDGE LOCAL MUNICIPALITY (MR C. LISA)
THE MUNICIPAL MANAGER: MBOMBELA LOCAL MUNICIPALITY (MR N SEANEKO)
THE MUNICIPAL MANAGER: NKOMAZI LOCAL MUNICIPALITY (MR MD NGWENYA)
THE MUNICIPAL MANAGER (ACTING): THABA CHWEU LOCAL MUNICIPALITY (MR SD MAEBELA)
THE MUNICIPAL MANAGER: UMJINDI LOCAL MUNICIPALITY (MR DP MSIBI)
THE MUNICIPAL MANAGER: GERT SIBANDE DISTRICT MUNICIPALITY (MR CA HABILE)
THE MUNICIPAL MANAGER: CHIEF ALBERT LUTHULI LOCAL MUNICIPALITY (MR VN MPILA)
THE MUNICIPAL MANAGER: DIPALESENG LOCAL MUNICIPALITY (MR V NGCOBO)
THE MUNICIPAL MANAGER: DR PIXLEY KA ISAKA SEME (MR PB MALEBYE)
THE MUNICIPAL MANAGER: GOVAN MBEKI LOCAL MUNICIPALITY (MR MF MAHLANGU)
THE MUNICIPAL MANAGER: LEKWA LOCAL MUNICIPALITY (MR LB TSHABALALA)
THE MUNICIPAL MANAGER: MKHONDO LOCAL MUNICIPALITY (MR AN MAHLANGU)
THE MUNICIPAL MANAGER: (ACTING) MSUKALIGWA LOCAL MUNICIPALITY (MR ZT SHONGWE)
THE MUNICIPAL MANAGER: NKANGALA DISTRICT MUNICIPALITY (MS M SKOSANA)
THE MUNICIPAL MANAGER: DR JS MOROKA LOCAL MUNICIPALITY (MR BS MAHLANGU)
THE MUNICIPAL MANAGER: (ACTING): EMAKHAZENI LOCAL MUNICIPALITY (MS TS SHOBA)
THE MUNICIPAL MANAGER: (ACTING) EMALAHLENI LOCAL MUNICIPALITY (MR T VAN VUUREN)
THE MUNICIPAL MANAGER: (ACTING) STEVE TSHWETE LOCAL MUNICIPALITY (MR M MNGUNI)
THE MUNICIPAL MANAGER: (ACTING) TEMBISILE HANI LOCAL MUNICIPALITY (MR O NKOSI)
THE MUNICIPAL MANAGER: VICTOR KHANYE LOCAL MUNICIPALITY (MR BS RIBA)
THE CHIEF FINANCIAL OFFICER: EHLANZENI DISTRICT MUNICIPALITY (MR W KHUMALO)
THE CHIEF FINANCIAL OFFICER: BUSHBUCKRIDGE LOCAL MUNICIPALITY (MS C NKUNA)
THE CHIEF FINANCIAL OFFICER: MBOMBELA LOCAL MUNICIPALITY (MR O MOKOENA)
THE CHIEF FINANCIAL OFFICER: NKOMAZI LOCAL MUNICIPALITY (MR B KHOZA)
THE CHIEF FINANCIAL OFFICER (ACTING): THABA CHWEU LOCAL MUNICIPALITY (MR G MNISI)
THE CHIEF FINANCIAL OFFICER: UMJINDI LOCAL MUNICIPALITY (MR P MPELE)
THE CHIEF FINANCIAL OFFICER: GERT SIBANDE DISTRICT MUNICIPALITY (MR AY SINGH)
THE CHIEF FINANCIAL OFFICER: CHIEF ALBERT LUTHULI LOCAL MUNICIPALITY (MR PJ NHLABATHI)
THE CHIEF FINANCIAL OFFICER: DIPALESENG LOCAL MUNICIPALITY (MS AM NGEMA)
THE CHIEF FINANCIAL OFFICER: (ACTING) DR PIXLEY KA ISAKA SEME (MS N NTHOMBELA)
THE CHIEF FINANCIAL OFFICER: GOVAN MBEKI LOCAL MUNICIPALITY (MR J MOKGATSI)
THE CHIEF FINANCIAL OFFICER: LEKWA LOCAL MUNICIPALITY (MR RA MORRIS)
THE CHIEF FINANCIAL OFFICER: MKHONDO LOCAL MUNICIPALITY (MR S THOBELA)
THE SUPPY CHAIN MANAGER (ACTING): MSUKALIGWA LOCAL MUNICIPALITY (MR EM NDLOVU)
THE CHIEF FINANCIAL OFFICER: NKANGALA DISTRICT MUNICIPALITY (MS AL STANDER)
THE CHIEF FINANCIAL OFFICER: DR JS MOROKA LOCAL MUNICIPALITY (MR Z SKHOSANA)
THE CHIEF FINANCIAL OFFICER: EMAKHAZENI LOCAL MUNICIPALITY (MS W NGWENYA)
THE CHIEF FINANCIAL OFFICER: (ACTING) EMALAHLENI LOCAL MUNICIPALITY (MR T MAAKE)
THE CHIEF FINANCIAL OFFICER: STEVE TSHWETE LOCAL MUNICIPALITY (MS E WASSERMANN)
THE CHIEF FINANCIAL OFFICER: (ACTING) TEMBISILE HANI LOCAL MUNICIPALITY (MS L SEHLAKO)
THE CHIEF FINANCIAL OFFICER: VICTOR KHANYE LOCAL MUNICIPALITY (MR C BARNARD)
DIRECTOR GENERAL: OFFICE OF THE PREMIER (DR NONHLANHLA MKHIZE)
HEAD OF DEPARTMENT: COOPERATIVE GOVERNANCE AND TRADITIONAL AFFAIRS (MR CM CHUNDA)
THE CHIEF DIRECTORATE: SUSTAINABLE RESOURCE MANAGEMENT
THE CHIEF DIRECTORATE: ASSETS AND LIABILITIES MANAGEMENT
THE CHIEF DIRECTORATE: FINANCIAL GOVERNANCE
DIRECTORATE: MUNICIPAL FINANCE
SUBMISSION OF ANNUAL PROCUREMENT PLANS FOR GOODS, WORKS AND SERVICES ESTIMATED IN EXCESS OF R200 000, 00 (INCLUSIVE OF APPLICABLE TAXES)
1. INTRODUCTION
1.1. This circular serves to request Municipal Managers of all the municipalities in the Mpumalanga Province to submit their annual procurement plans for goods, works and services estimated in excess of R200 000 (inclusive of applicable taxes) per case, for the 2015/2016 financial year.
2. BACKGROUND
2.1. Part of the mandate entrusted to the Provincial Treasury is to oversee and monitor the processes that should be followed by municipalities in procuring goods, works and services in the Province.
2.2. In order to achieve this objective, the Provincial Treasury relies on information provided by municipalities regarding the status of procurement at their respective operational levels. Municipalities are therefore required to submit information on Supply Chain Management in the format as well as at intervals, as it may be determined by the Provincial Treasury.
2.3. To this end, a template marked Annexure "A" is attached for municipalities to complete accordingly with relevant information regarding procurement of goods, works and services, including infrastructure projects that are estimated in excess of R200 000,00 (including all applicable taxes) per case.
3. PROVINCIAL TREASURY’S DIRECTIVE TO MUNICIPALITIES
3.1. As part of our mechanisms to monitor compliance in this regard, we would like to direct as follows:
3.1.1. Municipalities should complete the attached template and submit their annual procurement plans to the Provincial Treasury on or before **Friday, 28 August 2015**, for the attention of Mr Caesar Twala at e-mail address: [email protected]
3.1.2. In addition, Municipal Managers should disseminate the contents of this Circular to their respective Supply Chain Management Units for implementation in order to enhance compliance.
Your co-operation in this regard is appreciated.
Kind regards,
MS NZ NKAMBA
HEAD OFFICIAL: PROVINCIAL TREASURY
DATE: 6/8/2015
|
<urn:uuid:24cf99e5-459c-4d8b-a2ab-21f18986409f>
|
CC-MAIN-2021-04
|
http://treasury.mpg.gov.za/documents/PTC36_2015.pdf
|
2021-01-27T10:55:43+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-04/subset=warc/part-00078-364a895c-5e5c-46bb-846e-75ec7de82b3b.c000.gz.parquet
| 111,083,279
| 1,859
|
eng_Latn
|
eng_Latn
| 0.48585
|
eng_Latn
| 0.192316
|
[
"nld_Latn",
"eng_Latn"
] | false
|
docling
|
[
3484,
5541
] |
ENGINEERING COMPLAINTS FOR GENERAL TRADE PRODUCTS
ORIGINATING AND PROCESSING
Contents
1. GENERAL ........................................ 1
2. USE OF GENERAL TRADE ENGINEERING COMPLAINTS ................. 2
3. ORIGINATING GENERAL TRADE ENGINEERING COMPLAINTS ............. 2
Preparation/Routing of Form E-5141 .................. 3
4. PROCESSING GENERAL TRADE ENGINEERING COMPLAINTS ............... 3
Technical Support Staff ............................ 3
Engineering ...................................... 3
General Trade Products Administrator ............... 5
AT&T — Bell System Purchased Products Division Procedures ....... 5
Engineering Complaint Coordinator Procedures .......... 6
5. FINAL REPORT OF INVESTIGATION .......................... 6
6. GTEC CLOSURE AND FILING — PROCEDURES .................. 6
7. SELECTION AND HANDLING OF COMPLAINT SAMPLES ............... 7
8. SPECIAL PROCEDURES .................................. 7
Consumer Product Reports ............................ 7
1. GENERAL
1.01 This section outlines procedures used to originate and process Engineering Complaints in regards to certain telecommunications products manufactured outside the Bell System, otherwise referred to throughout this practice as General Trade Products (GTP).
1.02 It is reissued to update practices and instructions in accordance with organizational changes in Pacific Company (PAC).
Note: Marginal arrows used to denote changes are omitted.
1.03 Engineering Complaints may be issued for any GTP except those which are manufactured for Western Electric (WE). Also, this procedure is not used for products purchased by WE for Pacific Company use. The source of the product can be determined by whether it is listed in the GTP Catalog or by its designation (W) in the Standard Supplies Catalog.
1.04 The General Trade Engineering Complaint (GTEC) Program is administered by the GTP Administrator. The Administrator is the primary interface between the Company and the AT&T-Bell System Purchased Products Division (BSPPD) and/or GTP vendors for GTEC matters. The GTP Administrator for Pacific Company (PAC) (includes Nevada Bell) is the:
District Purchasing Manager
140 New Montgomery, Room 226
San Francisco, CA 94105
1.05 Operating Companies issue GTECs to report unsatisfactory conditions and improper performance of products. They are a means of requesting an investigation and resolution of the reported difficulties with GTPs. GTECs are used to assist in resolving product performance problems, to evaluate product performance and, where appropriate, assess the adequacy of quality inspection programs. The GTECs are not used, however, to request repair, replacement, or credit from the supplier for the product (see Part 2).
1.06 Reporting and processing of a GTEC is similar to the procedures described in Section 010-700-010PT, as modified by the procedures specified here.
2. USE OF GENERAL TRADE ENGINEERING COMPLAINTS
2.01 GTECs shall be used to report factual information about product performance.
2.02 GTECs should be issued to cover GTPs which:
- Do not function as they should
- Fail to meet a specified requirement
- Fail in a relatively short period of time, or excessive quantities are inoperative when received
- Require excessive field maintenance
- Result in a fire or safety hazard
- Repetitive damage due to improper packaging.
2.03 GTECs may also be submitted for:
- Obvious drawing and typographical errors in the supplier's technical documentation.
- Installation errors found after turnover when installation is done by the supplier.
- Product repaired or reconditioned by the supplier, which are in the category of 2.04.
- Significant problems with supplier-provided documentation.
2.04 GTECs shall not be used to enter claims against a supplier (i.e., they shall not be used to request repair, replacement, or credit for defective products). Defective products may be returned to the supplier under the terms and conditions of the contract governing warranty and out-of-warranty repair and return.
2.05 Occurrence of initial or in-service product failures at normally expected frequencies should not be cause for initiating GTECs. The return and repair under these situations is considered a normal supplier interface which need not involve GTEC reporting. However, if the number of failures is excessive, or if reasonable service life has not been achieved, a GTEC should be submitted in addition to pursuing repair, replacement, or credit from the supplier.
2.06 The procedures outlined in this section do not pertain to:
- Products manufactured by WE or products purchased through WE.
- Shipping or billing discrepancies and products found to be damaged on receipt (where the product was obviously damaged in transit). These shall be handled in accordance with the governing contract. Repetitive damage due to inadequate packaging, however, should be covered by a GTEC.
- Local modification of the supplier's arrangements.
- Products that fail due to improper use or handling by the Telephone Company (TELCo).
- Requests for new designs or features.
- Employee suggestions.
- Repairs made by an organization other than the supplier when the repair order is not entered through the supplier.
3. ORIGINATING GENERAL TRADE ENGINEERING COMPLAINTS
3.01 GTEC reports should be originated by the organization which encounters the complaint condition, generally the plant or engineering organization.
3.02 Form E-5141 is to be used for reporting details of a GTEC and should be completed in accordance with these instructions, except where special routines apply (see Part 8). It must contain only factual information about such product. Information required on the form is similar to that described in Section 010-700-010PT, as modified by the following procedures.
3.03 The GTP Administrator, in conjunction with other appropriate Engineering persons involved, have final responsibility for determining that the GTEC is valid, assigning a number to it, and forwarding it in accordance with Part 4 of this section.
3.04 Before a GTEC form is prepared, the originator must be reasonably certain that the defect and related conditions meet the requirements that have been outlined in Parts 1 and 2. Also, he/she must be reasonably certain that all applicable current instructions for installing, operating, and maintaining the product involved have been applied.
3.05 The GTP Administrator will assign the GTEC number. The number will consist of seven characters: three alphas and four numerics. The three alphas identify issuing Company and District. The first numeric will be the final digit of the current year. (See 4.03 for obtaining GTEC numbers.)
Preparation/Routing of Form E-5141 (Exhibit 1)
3.06 The person originating the GTEC should complete blocks numbered 1 through 10 (Exhibit 1).
3.07 The form may be prepared by any employee and approved by any responsible supervisor, in accordance with local procedures.
3.08 Type (preferably) or print legibly in the appropriate space provided on Form E-5141.
3.09 The GTEC shall be routed to the GTP coordinator in accordance with local procedures and those shown in Fig. 1 or 2.
4. PROCESSING GENERAL TRADE ENGINEERING COMPLAINTS
Technical Support Staff
4.01 The terms Network, Motor Vehicles, Business, Residence, and Public Services denote the staff organization(s) which provides direct technical support to its coordinate operating (line) organizations. The functions which the technical support staff performs with respect to GTECs are similar to those outlined in Section 010-700-010PT. Note that in the Network segment, Technical support is the responsibility of the Maintenance Engineering District.
4.02 The Technical Support Staff organization receiving a GTEC should process it according to Section 010-700-010PT and the guidelines in Part 6 of this section. If the matter is not a proper subject for a GTEC (see Part 2), a reply advising the originator of this should be sent without delay. If the GTEC is "closed", a copy of the closed complaint should be sent to the GTP Coordinator (see Part 6).
4.03 The GTP Administrator should be contacted to obtain a GTEC number, and items 12 through 16 of Form E-5141 should be completed. The telephone number for obtaining GTEC numbers is (415) 542-4725.
Engineering
4.04 The term Engineering denotes the organization assigned maintenance engineering responsibilities for the particular category of plant or service. The functions which Engineering performs with respect to GTECs are similar to those outlined in Section 010-700-010PT.
4.05 Processing of GTECs by Engineering should begin as soon as possible after their receipt from the Technical Support Staff and generally be completed within 5 working days. The staff should be notified of the intended disposition of the report and also advised if the processing time is to be extended beyond the normal interval because of the need for further investigation. In any event, the processing through Engineering should be completed within 30 calendar days.
4.06 Engineering should complete the applicable portion (items 17 through 28) of Form E-5141 (see Exhibit 1). The name of the responsible Engineering district level must be typed or printed on line 28.
4.07 The responsible Engineer should survey other locations within the area using similar product. If any of those locations have product exhibiting symptoms similar to those being reported in the GTEC, the information should be noted on the form (item 21).
GTEC Processing – for products for which there is a Product Evaluation Report (PER) or an AT&T Contract
Fig. 1
GTEC Processing – for products not covered by a Product Evaluation Report (PER) or an AT&T Contract
Fig. 2
4.08 Samples or photographs of the defective product may be desirable. If available, photographs should accompany the GTEC. Samples should be held for instructions. Indicate in item 23 where the complaint samples are being held (see Part 7).
4.09 Any supporting information obtained from investigation, or from discussion with the Technical Support Staff or the originator, should be added or attached. The form should be reviewed to see that it includes other information which may be needed and that the report includes appropriate information. Any additional information available concerning the extent or severity of the trouble condition should be added. The form should be signed, a contact telephone number provided, and the forwarding date shown.
4.10 The GTEC (original) should be forwarded to the GTP Administrator for processing, with a copy to the ECC. A copy of the GTEC should be retained for Engineering files, in accordance with Part 6. Each district should maintain a separate log of GTECs, for their own record, using Form CE-2346 (see Section 010-700-010PT).
General Trade Product Administrator
4.11 The GTP Administrator should assure that the GTEC is properly prepared. The coordinator should also assure that all necessary supporting information and, if appropriate, product samples are available.
4.12 The GTP Administrator should maintain a file of all GTECs in accordance with Part 6. The Administrator will maintain a log of GTECs using Form CE-2346 (see Section 010-700-010PT). Copies of the GTEC Log will be forwarded at the end of each quarter to the headquarters Engineering Complaint Coordinators (ECC) as a cumulative status report of GTECs.
4.13 When the GTP Administrator is satisfied that the complaint condition is properly documented and substantiated, the GTEC should be forwarded in accordance with the following.
(a) GTECs on products purchased under AT&T contracts or which are covered by Product Evaluation Reports (PER) are forwarded to the AT&T — BSPPD. An informational copy should be sent to the appropriate ECC. (See 3.09 and Fig. 1.)
(b) GTECs on other GTPs are forwarded to the appropriate ECC. (See Fig. 2 and 3.09.)
Note: The ECCs are listed in Table A.
AT&T — Bell System Purchased Products Division Procedures
4.14 Upon receipt of a GTEC from the GTP Administrator, the BSPPD will review the complaint for adequacy of information and completeness. Each complaint will then be classified and assigned to an appropriate organization for answering. At this time, appropriate information from the complaint will be sent to the supplier, whether or not a formal investigation by the supplier is requested.
4.15 Receipt and disposition of the GTEC will be communicated to the OTC through a formal acknowledgment from the BSPPD.
4.16 General Trade Reports will be classified as follows:
Class 1 — The reported difficulty appears to be a major design deficiency which may affect product evaluation results. It therefore warrants investigation or action by the BSPPD Technical Services Group. All reports involving safety or fire hazards are considered to be in this category.
Class 2 — The reported difficulty warrants investigation or action by the supplier only (ie, no formal investigation or action by AT&T or its agents is required, beyond review of investigation or action results from the supplier).
Class 3 — The reported difficulty appears to be caused by manufacturing or quality problems. It therefore warrants investigation or action by BSPPD and/or its agents for engineering and inspection, including WE-Purchased Products Engineering and Purchased Products Inspection organizations.
4.17 The BSPPD will inform the GTP Administrator of the disposition instructions for any samples being held in connection with a specific GTEC.
4.18 The BSPPD will provide monthly reports to the GTP Administrator, indicating the status of their company's open GTECs.
Engineering Complaint Coordinator Procedures
4.19 Upon receipt of a GTEC from the GTP Administrator, the ECC will review the complaint for adequacy of information and completeness. The complaint will then be assigned to the appropriate headquarters organization for investigation and answering.
4.20 The investigating organization will forward the complaint to the GTP supplier for formal investigation when required. Information from the complaint may also be forwarded to the supplier even though formal investigation is not required.
4.21 The investigating organization will consult with and keep the GTP Administrator informed regarding any written or verbal communication with the supplier involving a GTEC.
4.22 The ECC will inform the GTP Administrator of the disposition instructions for any samples being held in connection with a GTEC.
5. FINAL REPORT OF INVESTIGATION
5.01 Upon completion of the investigation of a GTEC, a final report of investigation will be written by AT&T or the ECC as appropriate. Final reports will be written as soon as it has been established that:
- The reported condition is understood.
- The cause for the condition has been determined.
- The corrective action, if any, will be implemented.
5.02 The final report will contain a technical evaluation of the reported problem and a recommended solution, if one is required. The report will also give disposition of complaint samples when any are involved. The final report may, when practicable, consist of the GTP supplier's report on the results of their investigation.
5.03 The GTP Administrator will forward final reports received from AT&T-BSPPD to the ECC for review.
5.04 The ECC will transmit final reports to the originating Engineering District with a copy to the GTP Administrator.
5.05 Engineering will transmit final reports to the Technical Support Staff or the originator, as appropriate. (See Fig. 1 and 2).
5.06 Upon receipt of a final report, both the Technical Support Staff and Engineering should review its contents to ensure that it is appropriate. If the disposition does not appear satisfactory, the staff should confer with engineering to reach a mutual agreement.
5.07 If the Technical Support Staff and Engineering are not in agreement with the final report, the matter should be discussed with the GTP Administrator. If concurrence cannot be obtained the final report should be returned to BSPPD/ECC by the GTP Administrator, stating the reasons for rejection. The report will be returned to the investigating organization for further study.
5.08 The Technical Support Staff will transmit final reports to the originator.
6. GTEC CLOSURE AND FILING — PROCEDURES
6.01 Distribution copies of GTECs shall only be made for the purpose of submitting the GTEC through the process described in Parts 3, 4, and 5. No other copies or distribution of GTECs or final reports of investigation shall be made.
6.02 All GTECs must be formally "closed" via a written final report of investigation. This applies to any GTEC which has been originated, regardless of the point of origination and the degree to which the GTEC has been processed.
6.03 The organization which terminates the GTEC submittal process is responsible for "closing" the report. For example, if the technical support staff or engineering terminates the processing of a GTEC and the GTEC is therefore not submitted to AT&T/ECC, the party terminating the submittal process must prepare the final report of investigation.
6.04 All copies of closed reports shall be physically attached to the associated Final Report of Investigation. A copy of closed reports shall be sent to the GTP Administrator, when the GTEC is closed by any organization.
6.05 Copies and files of GTECs shall be limited to those which are essential to the administration and resolution of GTECs. Copies and files shall not exceed those specified in Parts 3 and 4 (i.e., one file in technical support staff, one in engineering, one for the GTP Administrator and one for the ECC).
6.06 The GTP Administrator is responsible for assuring compliance with these closure, distribution, and filing requirements.
7. SELECTION AND HANDLING OF COMPLAINT SAMPLES
7.01 Samples of the defective product, which adequately illustrate the report condition, may be required for a thorough investigation. This is especially true if the defective product results in personal injury or is the cause of a fire or safety hazard.
7.02 The identity and integrity of the sample should be maintained. The defective product or sample should be suitably tagged to identify and associate it with the GTEC. The originator should retain the sample until disposition instructions are received from the BSPPD/ECC.
Note: If samples are required to complete an investigation and none are available, the GTEC will be closed. A new GTEC may be originated when samples are available.
7.03 Before shipment, the defective product must be carefully packaged to prevent damage in shipment and destruction of valuable evidence. Storage and shipment must be in full accordance with commonly accepted safety precautions.
7.04 Samples submitted to AT&T may not be returnable. Notice of disposition to the OTC will state how long samples will be held and if they can be returned. When appropriate, disposition instructions will also indicate any accounting considerations associated with the complaint samples.
8. SPECIAL PROCEDURES
Consumer Product Reports
8.01 In addition to issuing a GTEC, Consumer Product Reports (CPR) should be issued in accordance with the Consumer Product Safety Act (CPSA) of 1972, to report product hazards to consumers. Reporting and processing of CPRs are described in Section 010-700-010PT, Appendix 1.
TABLE A
ENGINEERING COMPLAINT COORDINATORS (ECC)
NETWORK SEGMENT ECC (except Network Distribution):
District Staff Engineer — Maintenance Systems
85 Second Street, Room 450
San Francisco, CA 94105
Contact Tel No: 415-542-0993
NETWORK DISTRIBUTION ECC:
District Staff Manager — Outside Plant Construction
85 Second Street, Room 510
San Francisco, CA 94105
Contact Tel No: 415-542-7419
MOTOR VEHICLES ECC:
District Staff Manager — Motor Vehicles
370 — 3rd Street, Room 653C
San Francisco, CA 94107
Contact Tel No: 415-542-3831
BUSINESS SEGMENT ECC:
District Staff Engineer — Premises Engineer/Nonswitching
85 2nd Street, Room 412
San Francisco, CA 94105
Contact Tel No: 415-542-9069
RESIDENCE SEGMENT ECC (except Public Services):
District Staff Manager — Residence I&M Support
220 Montgomery Street, Room 786
San Francisco, CA 94104
Contact Tel. No: 415-954-9525
PUBLIC SERVICES ECC:
District Staff Manager — Methods and Operations
65 Battery Street, Third Floor
San Francisco, CA 94111
Contact Tel. No: 415-954-9354
## ENGINEERING COMPLAINT
(SEE REVERSE SIDE FOR INSTRUCTIONS)
### PRODUCT IDENTIFY
| 1a. | EQUIP (I,J,K) - SHOW COMPLETE NUMBER & NAME |
|-----|---------------------------------------------|
| | |
| 1b. | SPECIFICATION (K,S, AT) - SHOW COMPLETE NUMBER & NAME |
|-----|--------------------------------------------------------|
| | LIST |
| 1c. | SOFTWARE DOCUMENT (PG,PD,PF) - SHOW COMPLETE NUMBER & NAME |
|-----|------------------------------------------------------------|
| | ISSUE |
| 1d. | APPARATUS CODE (TEL, SET, DATA SET, ETC.) - SHOW NUMBER & NAME |
|-----|---------------------------------------------------------------|
| | DATE CODE |
| 1f. | COMPONENT APPARATUS USED ON EQUIP OR OTHER APP - SHOW NUMBER & NAME |
|-----|---------------------------------------------------------------------|
| | DATE CODE |
| 1g. | OTHER - DESCRIBE FULLY: |
|-----|--------------------------------------------------------------------|
### STATEMENT OF PROBLEM
(DETAILED DESCRIPTION OF TROUBLE, INCLUDING EVENTS PRECEDING FAILURE, ACTION TAKEN DURING TROUBLESHOOTING, TEST FAILED, ETC.)
- ADDITIONAL MATERIAL ATTACHED
### WAS CONDITION CORRECTED LOCALLY?
- YES
- NO (IF NO, DESCRIBE BRIEFLY. ATTACH EXPLANATION)
(SKETCHES, MARKED DRAWINGS, ETC.)
- ADDITIONAL MATERIAL ATTACHED
### PROBLEM ORIGINALLY REPORTED BY:
- REVIEWED AND APPROVED BY:
- TELEPHONE NO.
- DATE
### HAS THE ABOVE INFORMATION BEEN VERIFIED THAT IT IS COMPLETE AND ACCURATE?
- YES
- NO
### HAS THIS PROBLEM PREVIOUSLY BEEN REPORTED AND CORRECTED IN AREA?
- YES
- NO
### DO OTHER LOCATIONS IN YOUR AREA APPEAR TO HAVE SAME PROBLEM?
- YES
- NO (WAS UNABLE TO DETERMINE)
### IF YES, LIST LOCATIONS AND QUANTITY DEFECTIVE AT EACH LOCATION
- ADDITIONAL MATERIAL ATTACHED
### COMMENTS OR RECOMMENDATIONS
(IF POSSIBLE, DESCRIBE SERIOUSNESS OF PROBLEM, E.G., CAUSES WIDESPREAD CUSTOMER REACTION, LOSS OF REVENUE, ETC.)
### TOTAL NUMBER OF UNITS FURNISHED ON ABOVE ORDER
### HOW LONG HAS EQUIP. OR APP. BEEN IN SERVICE?
### DO OTHER LOCATIONS IN YOUR AREA APPEAR TO HAVE SAME PROBLEM?
- YES
- NO (WAS UNABLE TO DETERMINE)
### IF YES, LIST LOCATIONS AND QUANTITY DEFECTIVE AT EACH LOCATION
- ADDITIONAL MATERIAL ATTACHED
### ACTION DESIRED ON DEFECTIVE PRODUCT
- CREDIT
- REPAIR
RETURN MATERIAL DOCUMENT NO.
DATE
### SAMPLES
- BEING HELD BY:
- AT:
### DISPOSITION DESIRED ON SAMPLES
- JUNK
- REPAIR & RETURN
### THIS APPEARS TO BE SIMILAR TO EC NO.
### AREA CONTACT
- TEL. NO.
### REVIEWED & APPROVED BY: (TYPE OR PRINT NAME)
- DATE
---
**Engineering Complaint Form E-5141**
(See Exhibit 2)
Exhibit 1
INSTRUCTIONS FOR COMPLETING
ENGINEERING COMPLAINT FORM
(Type or Print Legibly)
The following instructions for completing the "ORIGINATOR" portion of the engineering complaint (EC) form on the reverse side cover only those items which are felt may need further explanation. BSP Section 010-700-010 contains the complete instructions for submitting complaints. An attempt should be made to furnish all information.
1. This EC should cover only one type of defective product although any number of items of the same type may be included in the complaint. The complete correct name (or approved abbreviation) and product number should be supplied.
1E. This entry should be used for code of apparatus such as telephone sets, data sets or other units designated as apparatus. Also loose component parts such as capacitors, resistors, transistors, etc., not used as a part of any specific apparatus should be listed here. Copy Date Code just as it is stamped on item.
1F. This entry refers to apparatus that is used on equipment or other apparatus. When this entry is used, an entry should be made in either 1B, 1C or 1E, to show where the apparatus was being used. Copy Date Code just as it is stamped on item.
2. Check the appropriate box whether or not EC is reporting fire or safety hazard condition. (If hazard is being reported, notify supervisor immediately; condition should then be corrected to prevent accidents or disruption of service.)
3. Enter the system which broadly categorizes where the product under complaint was being used when it failed, e.g., announcement systems, PBX-770, data sets, crossbar No. 5, T-carrier, 806 power plant, station coin telephone set, etc.
4. Give the name and address of central office or other location where the defect occurred.
5. Make the appropriate entry. If manufacturer is other than WE, specify the name of the manufacturer, if known.
6A. Enter here only the number of units that are defective.
6B. Show here the number of similar units that are in service at the location where the defect occurred.
8. In this space enter a concise, accurate and complete description of the difficulty. Attempt to anticipate all the questions that may be asked by anyone reviewing the complaint. Accuracy and completeness are more important than brevity. If necessary, the description may be continued on additional pages (not Form E-5141). Additional pages or attachments should be stapled to this form.
Include description of any hazardous or service reaction events preceding failure, actions taken during troubleshooting, complete description of failed tests, or anything else that may help the investigator understand and resolve the problem. Attach explanatory sketches, drawings or photographs if they are available.
- For product of outside manufacturer purchased through WE, furnish complete nameplate data and WE inspection number if available.
- For storage batteries, furnish service history of individual cell voltage and specific gravity readings for entire string.
- For product that contains serial number, include that number.
- For cable, furnish WE reel and requisition number. Where field repairs have been made, furnish a breakdown of all costs incurred in the repair operation.
- For teletypewriter apparatus, completely identify all parts and units involved; give BSP Section, TTY Bulletin or "S" specifications involved.
- For electron tubes, show circuit application; give a reasonable estimate of service life and show serial number if there is one. If there is no serial number, list them numerically and tag each tube with corresponding number.
9. If condition was corrected locally, briefly describe the technique used. Attach explanatory sketches, marked drawings or photographs if they are available.
10. This entry should contain the name of the individual who actually discovered the problem being reported.
11. The form should be reviewed and approved in accordance with established OTC procedures.
NOTE: Instructions for completing the Staff and Engineering portion of this form can be found in BSP Section 010-700-010.
Instructions for Completing Engineering Complaint Form E-5141
Exhibit 2
|
<urn:uuid:6e1da58a-92af-4594-b24c-efcb501eacb8>
|
CC-MAIN-2023-14
|
https://www.telecomarchive.com/docs/bsp-archive/010/010-700-011PT_IB.pdf
|
2023-04-01T03:40:07+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-14/subset=warc/part-00002-39c03058-7d78-443d-9984-102329513e3d.c000.gz.parquet
| 1,122,509,053
| 5,847
|
eng_Latn
|
eng_Latn
| 0.779728
|
eng_Latn
| 0.983042
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"pol_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
docling
|
[
2762,
5837,
9566,
9788,
13593,
17224,
20496,
23415,
27594
] |
Questioning Techniques that Maximizes Student Engagement
Mark McLeod 99 James Switzer Road Purvis, MS 39475 (601) 270-8914 Cell 866-654-2363 Fax
E-Mail:
[email protected]
Questioning Techniques to Motivate Students to Participate
__________________- used to promote student accountability
Questioning Technique #1 -
Questioning Technique #2 –
Questioning Technique #3 –
Questioning Technique #4 -
2
Notes
____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________
3
|
<urn:uuid:387da3c3-9d8d-4e0c-99c1-c6a7984389b8>
|
CC-MAIN-2018-51
|
http://www.txbehaviorsupport.org/Assets/mark-mcleod-questioning-techniques-that-maximizes.pdf
|
2018-12-14T13:29:40Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2018-51/segments/1544376825728.30/warc/CC-MAIN-20181214114739-20181214140239-00273.warc.gz
| 485,385,995
| 168
|
eng_Latn
|
eng_Latn
| 0.495588
|
hau_Latn
| 0.672005
|
[
"por_Latn",
"eng_Latn",
"unknown"
] | false
|
rolmOCR
|
[
174,
409,
1396
] |
A MESSAGE FROM THE SCHOOL MANAGER
The Nairobi Waldorf School Trust offers a developmentally appropriate, experiential, and academically rigorous approach to education. We integrate the arts in all academic disciplines for children in all levels to enhance and enrich learning. Our way of education aims to inspire life-long learning in all students and to enable them to fully develop their unique capacities.
The principles of our way of education evolve from an understanding of human development that address the needs of the growing child.
Music, writing, literature, legends and myths are not simply subjects to be read about and tested. They are experienced. Through these experiences, Nairobi Waldorf School Trust students cultivate their intellectual, emotional, physical and spiritual capacities to be individuals certain of their paths and to be of service to the world.
Teachers in the Nairobi Waldorf School Trust are dedicated to generating an inner enthusiasm for learning within every child which allows motivation to arise from within. It helps engender the capacity for joyful life-long learning.
Education at the Nairobi Waldorf School Trust is truly Inspired Learning.
James Kioko
School Manager
"WALDORF EDUCATION IS NOT A PEDAGOGICAL SYSTEM BUT AN ART - THE ART OF AWAKENING WHAT IS ACTUALLY THERE WITHIN THE HUMAN BEING." -RUDOLF STEINER
Class 5 Watercolor
WALDORF 100 EVENT
We celebrated 100 years of Waldorf education worldwide in September. The event was marked with a large crowd, great food, and lots of activities.
Families, friends, and community members joined the celebration through art, movement, and music - a drumming circle of children and parents was surely the peak of the day!
The campus welcomed over 20 local artisans and vendors that were specifically selected for their Waldorf-friendly items. We were happy to share Waldorf with so many new faces!
Our children’s Waldorf 100 projects were proudly displayed alongside curriculum work. Teachers hosted watercolor, black and white drawing, and African movement workshops as well as kindergarten activities.
We debuted new merchandise on sale and many of our children have been seen wearing t-shirts and bags with our refreshed logo and Waldorf 100 emblem.
A huge thank you to our parents, children, community, teachers, and staff for their continued support and commitment to ensuring that Waldorf education thrives for another 100 years!
WALDORF 100 BERLIN CELEBRATIONS
I was happy to represent NWST at the Berlin Waldorf 100 celebrations on September 19, 2019. Many of my colleagues and our parents tuned in to the livestream that was available during the event.
The main event was at the Tempodrom and registered an attendance of around 3,000 people from around the world. The day was punctuated with presentations from different schools, most notable a Japanese Waldorf school that had crossed the seas for the celebration. As a global movement, it was interesting to see how different schools had given themselves identity and how their location had influenced this.
The presentations reflected the phases of childhood from willing, feeling, and thinking which was especially well expressed by the high school students. Innovations were aplenty, too; the crown of it being a gentle giant and a student’s rap to the Waldorf movement.
Different speakers captured different impulses and challenges of the past century of Waldorf education. East Africa was represented on stage by Victor Mwai, a former NWST teacher and staff member, who is also a member of the International forum.
In addition to attending the celebration, I was also able to spend a week observing classrooms at the Ravensburg Waldorf Schule in Germany. This was very informative - I was given firsthand comparison on how the rhythm of the high school changes slightly from the primary rhythm. The similarities of the primary were stark and so were the differences.
I brought back with me many memories and experiences and have shared with the staff and children as possible. - Patrick Karanja
Want to see more from Berlin? Check out the gallery of images from the event: www.waldorf-100.org/druckvorlagen/galerie/galerie-waldorf-100-jubilaeumsfestival-tiles.php
HARVEST STORIES EVENT
We invite you to join us for the second annual Harvest Stories event on Friday, November 1st, 2019 from 5:30 to 7:30 pm.
This event will feature African stories, songs, and poems, trick-or-treating for children, fun harvest games, and a traditional story told around the bonfire. Snacks and tea will be served.
Costumes are encouraged, but we remind you that this event is for all ages. Please no scary or gory costumes that may frighten very young children. Handmade is great!
Family admission fee:
Ksh 1,000 in advance
Ksh 1,200 at the gate
MPESA: 488700
Account: WST HARVESTNAME
(eg: WST[space]HARVESTJENNY)
This event is open to the community - please share with friends and family members! Bring a bag for treats (or buy an NWST one at the event), a torch, and a blanket for the evening.
EDUCATION THROUGH THE 12 SENSES - ARTICLE 1
The Early Years - Nurturing the Bodily Senses
In Waldorf education we speak of 12 senses. Much of what characterizes the education has been developed in an endeavor to educate and nurture the full spectrum of senses.
What are the 12 Senses?
The 4 Lower Senses: Touch, Life, Movement, Balance. These bodily senses allow “Physical Sensation” and give us a certain consciousness of our body. They provide the experience of being at home in our bodies, being grounded in one specific place and time – ‘here and now’. The focus of development is 0-7 years of age.
The 4 Middle Senses: Smell, Taste, Vision (specifically colour), Warmth. These senses allow “Feeling” or aesthetic perception and give us an experience of the world around us. The focus of development is during 7-14 years of age.
The 4 Higher Senses: Hearing, Language, Thought, Ego (capacity to sense another’s ego.) These cognitive senses allow “Concept” and give us access to communication with others regarding our thoughts and feelings. Also called the social senses. The focus of development is during 14-21 years of age.
Bodily Senses in the Early Years
Because the human mind is both embodied and relational, the pathway to reaching our cognitive potential leads through phases of education, where first physical and then social development objectives are the focus of teaching and learning. Initially, in the kindergarten and first few years of formal schooling, pedagogy focuses on physical health and wellbeing, and the building of practical skills. These capacities become the foundation for a child’s social and emotional growth: as the learner moves up through the classes, their education focuses on nurturing social sensibility and emotional intelligence. Not until the high school years is the emphasis on working with pure concepts.
In the first few years of school, successful engagement in learning requires the ability to perceive, to take in, to be receptive and open. These qualities depend on the child being able to direct, focus and maintain their attention. In Waldorf education, we understand that this has to do with the development and mastery of the first four senses: Touch, Life, Movement, and Balance. Mastery includes: the expression and functioning of the senses as well as their integration, IE how the 4 are able to work together.
In Praise of Housework as a Support for Learning
Daily household tasks provide naturally occurring conditions for the development and integration of the 4 lower senses. All kind of physical and neurological competencies can be honed through simple household activities. This is good news for busy parents, because a home can double as a “Brain Gym”, with the coach overseeing daily doses of:
- Bed making
- Bread making
- Sweeping and mopping
- Writing a shopping list
- Glass cleaning
- Setting the table
- Weeding the shamba
It is important that all who are old enough, work together to take care of their living spaces, not simply because this encourages a sense of collaboration, but also, because it allows the child to become physically competent and experience self-reliance.
The Secret to the Magic of Learning
The hidden potential in household chores is linked to three factors:
1. The procedure for each task remains the same
2. Happens daily
3. Occurs at the same time of day
In Waldorf, these factors are known as the three Rs: Routine, Repetition, and Rhythm. They are recognized as the secret ingredients to the magic of holistic education in the primary years. The younger the child, the more potent this magic is likely to be. These three elements work in a particularly powerful way, to build and strengthen the hidden faculties that underpin a student’s capacity for engagement in the process of learning. Some examples of these competencies are: body geography, building imagination, motor coordination, hand-eye coordination, and spacial orientation.
Spreading the Magic
Traditionally, mainstream education has looked to a different trio of Rs to inform principles of education: Reading, Writing, and Arithmetic. For most adults this will have been the reality of our school days: when the culture and currency of the classroom was set by dedication to numeracy and literacy achievement.
In these more progressive times, however, emphasis on the purely academic is increasingly recognized as limiting, ineffective even. Today, many governments (Kenya’s included) are choosing to invest in curriculums built upon a whole new paradigm, one where achievement is linked to learner agency, and where the phenomena of ‘learner agency’ is addressed through the intentional nurture of key competencies. This concept is known as ‘the competency approach to education’. It is trending worldwide, and very much a hot topic in this nation’s current discourse on education.
From the founding of the first Waldorf school, a full century ago, ‘the competency approach’ modeled by the 12 Senses has been intrinsic to Waldorf pedagogy.
Through this and future articles, we have an opportunity to deepen our understanding of the ‘competency approach to education’ and together become inspired to find effective ways to support our learners into their potential. - Tana Lyons
KINDERGARTEN FLOWER FESTIVALS
The annual Kindergarten Flower Festivals were held at both Karen and Lavington campuses just before half term.
With the start of the short rains paving the way for new blooms and rich greens, the children celebrated the rhythm of nature and the beauty of the flowers around them. Jacaranda blooms dotted the grounds and fingers dug deep into the soil.
In Karen, children potted flowers and plants into their chosen vessels. Pride from their handwork shone bright as they headed to the shamba to weed and plant vegetables and herbs.
Lavington welcomed the changing weather on a field trip off campus. Children and teachers alike joyfully ran across the field, paper kite designs aloft. They, too, spent time digging into the earth and appreciating the vibrant flowers and plants.
LIBRARY UPDATES
The NWST Library is open Mondays and Thursdays 1:15 - 2 pm during Term 1. Our shelves are filled up with almost 3,000 exciting books for all reading levels and we have some enthusiastic readers coming to visit us regularly.
We would like to ask you to help your children to return their book on time and keep them neat and tidy. Books can be returned during library days, or in one of our two baskets for book returns – in the front office and at Roses.
We are also looking for volunteers who can help us to repair books, help with fundraisers, read at story time to Kindergarten classes, or assist during library time.
We are preparing a main fundraiser for term 1 - a Read-a-thon, which will take place November 4 to December 2, 2019. Stay tuned for more information!
For any questions, please contact the school office or one of the Library team members: Katie, Franziska, Jana or Becky
FESTIVAL OF COURAGE
The primary students channeled their inner strength during this year’s Festival of Courage. In the spirit of the story of St. Michael courageously defeating the dragon, the children were challenged to overcome their fears through conscious initiative.
The students were divided into teams, with upper primary leading mixed age groups throughout the day. Upon receiving their team flags, they were presented with their first test - slaying off the dragon. What followed was a series of activities aimed at pushing their boundaries and overcoming possible fears - of which our children faced head on.
Highlights included the trust fall, in which children and staff, blindfolded atop tables, fell safely backward into blankets and mattresses; the blindfolded maze, where teams guided through directions a single student on a mission to find their hidden sword; a water balloon toss; and bobbing for apples. For more height-based tasks, students crossed a rope bridge and raised tree limb, asking of them balance, strength, and bravery. The dark room was scary but the reward was sweet!
The day ended with a wet and muddy trip for upper classes as they faced the labyrinth obstacle course, much to the delight of the rest of the school.
WHAT TO PACK FOR SNACK?
Primary students pack their daily break from home. We encourage healthy snacks; homemade goods ensure you know exactly what your child is eating. We’ll feature simple, nutritious bakes and recipes to pack for snack. Submissions welcome!
One-Bowl Zucchini Muffins
Makes 12 Muffins
2 cups shredded zucchini
1/4 cup plain yogurt
1/4 cup vegetable oil
2 eggs
3/4 cup sugar
1/2 tsp cinnamon
1/4 tsp ginger
1/2 tsp salt
1/2 tsp baking soda
1/2 tsp baking powder
1 cup all purpose flour
1/2 cup whole wheat flour
1. Mix wet ingredients until combined.
2. Add sugar and mix.
3. Add dry ingredients and stir to remove powder lumps - do not over work.
4. Line 1 muffin tin and fill each 3/4 full.
5. Bake for 30-35 minutes at 190 °C.
6. Test with a toothpick for doneness. Muffins should be golden brown and springy to the touch.
7. Remove from tin and cool on wire rack.
8. Serve within 3 days or freeze for later.
PEACE RUN
Peace Run reached out to NWST during their recent trip to Kenya. We welcome their group with open hearts and learned more about their program. The Peace Run is a global relay, wherein people promote peace, friendship, and harmony by passing a flaming torch from hand to hand. The relay crosses boarders of all kinds, connecting communities, schools, and people from around the world.
The Peace Run has visited 150 countries and has involved more than 10 million people. NWST is proud to now be part of that group as our children held the torch, learned the official song, and committed to finding peace around them. www.peacerun.org
“The true teachers and educators are not those who have learned pedagogy as the science of dealing with children, but those in whom pedagogy has awakened through understanding the human being.”
- RUDOLF STEINER
|
1e8fbe79-d8e3-4c42-8cdc-7cdddd8cc016
|
CC-MAIN-2022-27
|
http://nairobiwaldorfschool.ac.ke/files/NWST.NEWSLETTER.OCTOBER.WEB.pdf
|
2022-07-01T20:41:32+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-27/subset=warc/part-00226-48f675b2-7fd4-43af-adb3-2a4ea7f82193.c000.gz.parquet
| 42,023,326
| 3,199
|
eng_Latn
|
eng_Latn
| 0.997493
|
eng_Latn
| 0.998131
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
1386,
2444,
5068,
10340,
12064,
13322,
15114
] |
Notice of interim decisions to amend (or not amend) the current Poisons Standard
views expressed in the opposing submissions, I consider that the public health risks of kambo significantly outweigh the claimed benefits.
In making my decision, I have also considered the three written responses that were in favour of the scheduling proposal. I found the concerns raised in these submissions are highly pertinent:
– The Pharmacy Guild noted that the effects of kambo are induced by individual bioactive components/peptides rather than an overreaction of the immune system. This means that even a minimal dose may induce pharmacological effects that can pose a significant health risk.
– The Australian Medical Association outlined that the act of blistering the skin and applying kambo could lead to other health risks such as infection. The submission also raised concerns that using kambo may prevent patients from seeing a medical practitioner, and that there is currently insufficient evidence for its intended therapeutic effects.
– The NSW Poisons Information Centre described the three calls that they had received regarding kambo use since 2018. One patient had complications of infection at the burn sites of application; the second presented to hospital with melaena and persistent vomiting; and the third was diagnosed with oesophageal rupture that required surgical repair.
Having considered the significant risks to users and the lack of established therapeutic benefit, I am of the view that kambo should be included in Schedule 10 of the Poisons Standard.
I agree with the Committee's advice that, in order to provide a simple and enforceable definition, kambo should be regulated as a secretion rather than a list of its component substances. The new entry should include the specific frog species P. bicolor in the index as a cross reference.
Proposed implementation date
1 October 2021
3.2 Interim decision in relation to lidocaine
Proposal
The applicant proposed an amendment to expand the current Schedule 5 entry for lidocaine to include specifically targeted injectable solutions, at up to 2% concentration, for the pain relief of lambs or calves undergoing animal husbandry procedures.
Interim decision
Pursuant to regulation 42ZCZN of the Regulations, a Delegate of the Secretary has, in relation to the proposed amendment, made an interim decision to amend the scheduling of lidocaine in the current Poisons Standard as follows:
Schedule 5 – Amend Entry
LIDOCAINE
a) in aqueous gel preparations containing 4.5 per cent or less of lidocaine, for the dermal spray-on administration to the wounds of animals; or
b) in injectable preparations containing 2 per cent or less of lidocaine when packaged in a bottle with a tamper resistant cartridge which can only be dispensed through a rubber ring applicator for tail docking and castration of lambs; or castration of calves.
Materials considered
In making this interim decision, the Delegate considered the following material:
* The application to amend the current Poisons Standard with respect to lidocaine;
* The 91 public submissions, including 29 written submissions, received in response to the pre-meeting consultation under regulation 42ZCZK of the Regulations;
* The advice received from the meeting of the Advisory Committee on Medicines and Chemicals Scheduling in joint session (Joint ACMS-ACCS #27);
* Subsection 52E(1) of the Therapeutic Goods Act 1989, in particular (a) the risks and benefits of the use of a substance; (b) the purpose for which a substance is to be used and the extent of use of a substance; (c) the toxicity of a substance; (d) the dosage, formulation, labelling, packaging and presentation of a substance; and (e) the potential for abuse of a substance;
* The Australian Health Ministers' Advisory Council's Scheduling Policy Framework (SPF 2018); and
* The Scheduling handbook: Guidance for amending the Poisons Standard.
Summary of Joint ACMS-ACCS advice to the Delegate
The Committee advised that the Schedule 5 entry for lidocaine be amended as follows:
Schedule 5 – Amend Entry
LIDOCAINE
a) in aqueous gel preparations containing 4.5 per cent or less of lidocaine, for the dermal spray-on administration to post-surgical wounds associated with 'mulesing' of sheep; tail docking and castration of lambs; or castration and disbudding/dehorning in calves 19 ; or
b) in injectable preparations containing 2 per cent or less of lidocaine when packaged in a bottle with a tamper resistant cartridge which can only be dispensed through a rubber ring applicator for tail docking and castration of lambs; or castration of calves.
The Committee also recommended an implementation date of 1 October 2021.
Members agreed that the relevant matters under Section 52E(1) of the Therapeutic Goods Act 1989 included (a) the risks and benefits of the use of a substance; (b) the purpose for which a substance is to be used and the extent of use of a substance; (c) the toxicity of a substance; (d) the dosage, formulation, labelling, packaging and presentation of a substance; and (e) the potential for abuse of a substance.
The reasons for the advice included:
a) the risks and benefits of the use of a substance
19 Changes to the Schedule 5 entry for lidocaine were incorporated in the 1 February 2021Poisons Standard. These changes are reflected in the delegate's current interim decision.
– Significant benefit to animal welfare for routine animal husbandry measures. The improvement of animal welfare will also benefit the mental health and wellbeing of humans in contact with those animals.
b) the purposes for which a substance is to be used and the extent of use of a substance
– Use is for pain relief for wounds associated with rubber ring applicator for tail docking and castration of lambs; castration of calves.
c) the toxicity of a substance
– Formulated product has low oral and dermal toxicity.
d) the dosage, formulation, labelling, packaging and presentation of a substance
– New packaging of an existing product that reduces the risk of inappropriate use.
– The injection of lidocaine can only occur during the application of a rubber ring, which prevents accidental injection or needle stick injury.
– If unintended exposure occurs, the dosage is metered, and is sufficiently low that it would not present a major health concern.
e) the potential for abuse of a substance
– Minimal potential for abuse; less risk than some existing products.
f) any other matters that the Secretary considers necessary to protect public health
– Nil
Reasons for the interim decision (including findings on material questions of fact)
I have made an interim decision to amend the current Schedule 5 entry for lidocaine to include specifically targeted injectable solutions, at up to 2% concentration, for the pain relief of lambs or calves undergoing animal husbandry procedures.
In considering the proposal, I have taken into account the 91 public submissions received in response to the pre-meeting consultation. I note that 29 written submissions were received, 27 fully supportive of the proposed amendment, one partially supportive and one opposed. Supporting submissions addressed the safety of the product, the benefits to animal welfare, and the need for increased access by farmers. I have considered each of these arguments in my interim decision to amend the Poisons Standard, and specifically addressed the opposing submission, as set out below.
I agree with the Committee's finding that the relevant provisions of section 52E of the Therapeutic Goods Act 1989 are: (a) the risks and benefits of the use of a substance; (b) the purpose for which a substance is to be used and the extent of use of a substance; (c) the toxicity of a substance; (d) the dosage, formulation, labelling, packaging and presentation of a substance; and (e) the potential for abuse of a substance.
In my view, the relevant parts of the Scheduling Policy Framework (SPF 2018) are the scheduling factors for Schedule 5:
– Lidocaine, in the proposed formulation, has a low oral and dermal toxicity, and has a low potential for causing harm.
– Lidocaine presents a low hazard from repeated use and is unlikely to produce significant toxicity.
– The packaging of the product can appropriately mitigate the risks of injury in handling, storage and use. The product design specifically prevents needle-stick injury and accidental exposure.
– During use in castration and tail docking, lidocaine is capable of causing only minor adverse effects to humans (through accidental exposure).
– Lidocaine has a low potential for causing harm, demonstrated by its long history of safe veterinary use in Australia.
I note that lidocaine is a local anaesthetic with a low toxicity and a long history of safe use in Australian veterinary products. The current proposal relates to a new veterinary use of the substance – as a specifically targeted injectable solution for pain relief during animal husbandry procedures. Though this is a new method of administration, veterinary lidocaine products have had only three reported adverse events 20 21 since the Australian Pesticides and Veterinary Medicines Authority approved the first product in 2005. These reports are consistent with the known low toxicity of lidocaine, which has been extensively covered in past decisions and committee meetings. The most recent decision on the substance, made in 2020, was to expand the Schedule 5 entry for topical lidocaine products, referencing a low toxicity and low risk to human health. In my view, lidocaine has a favourable safety profile that is consistent with its inclusion in Schedule 5.
While lidocaine does not require specific professional oversight in topical formulations, I acknowledge that injectable substances present a unique set of risks that depend on product packaging. These include a potential for needle-stick injury and accidental exposure that would usually necessitate the presence of a registered practitioner. I also note that the Joint ACMSACCS have previously expressed concern that bulk injectable lidocaine could be diverted for inappropriate use. I consider that the application adequately addressed each of these issues, with reference to a specific product design, noting the Committee's findings that:
– The cartridge size is small, and enclosed within a tamper-resistant device. Accessing the solution would take a complex deliberate effort, and require separate equipment for injecting the solution. The potential for diversion for inappropriate use is negligible.
– The injection of lidocaine can only occur during the application of a rubber ring, which precludes use in humans or at sites other than those targeted. The product presents a negligible risk of needle-stick injury or accidental exposure.
– The product dosage is metered. If an accidental human injection occurred, the dosage would be sufficiently low that it would not present a major health concern.
Having considered the applicant's product design against the SPF 2018, I have decided that certain injectable lidocaine products are appropriate for inclusion in Schedule 5. The intent of my interim decision is to capture products with the abovementioned safety features in Schedule 5, while keeping all other forms of injectable lidocaine in Schedule 4. As part of my decision, I have also decided to accept all minor amendments to the applicant's wording that were suggested by the Committee. I consider that these changes will give a more accurate description of the product and reduce ambiguity in interpretation of the schedule entry. In particular, I note that the product is better classified as 'tamper resistant' rather than 'tamper proof'.
I note concerns raised by the Australian Veterinary Association that the lack of tamper proofing, and potentially high availability, may allow inappropriate use that could cause harm to humans
20 According to: Adverse Experience Reporting Program annual reports | Australian Pesticides and Veterinary Medicines Authority (apvma.gov.au)
21 The applicant noted that all of these adverse events appear to be caused by other substances in the product.
and animals. However, I consider that the product's tamper resistant packaging sufficiently mitigates risks of diversion, especially given the small cartridge size. I also reiterate that the decision relates to a specific product design with a different safety profile to other injectable anaesthetics. In light of the opposing public submission, I remain of the view that the risks of the substance and product are consistent with their inclusion Schedule 5.
In making my decision, I note that there are growing consumer expectations that farmers minimise animal suffering during castration and tail docking. The use of injectable anaesthetics may provide an effective solution, but currently requires the presence of a veterinarian. Since farmers or contractors tend to administer husbandry procedures themselves, this requirement may lead to increased costs and logistical difficulties that reduce uptake. These challenges may be especially complex for larger operations that castrate or dock hundreds of animals in a day, or for those that live in remote areas without access to well-resourced veterinary clinics. Allowing non-prescription access to injectable lidocaine could reduce these barriers and lead to a significant increase in animal welfare; in doing so, the change may help satisfy consumer expectations and reduce the burden on farmers. In my view, expanding the Schedule 5 entry for lidocaine in this form may significantly benefit Australian farmers and their livestock.
Proposed implementation date
1 October 2021
3.3 Interim decision in relation to hemp seed oil
Proposal
The applicant proposed an amendment to the existing Schedule 9 entries for cannabis and tetrahydrocannabinols to exclude hemp seed oil for oral consumption from scheduling when compliant with the Food Standards Code.
Interim decision
Pursuant to regulation 42ZCZN of the Regulations, a Delegate of the Secretary has, in relation to the proposed amendment, made an interim decision to amend the scheduling of hemp seed oil in the current Poisons Standard as follows:
CANNABIS
Schedule 9 – Amend Entry
CANNABIS (including seeds, extracts, resins, and the plant and any part of the plant when packed or prepared), except:
a) when separately specified in these Schedules; or
b) processed hemp fibre containing 0.1 per cent or less of tetrahydrocannabinols and hemp fibre products manufactured from such fibre; or
c) when in hemp seed oil for purposes other than internal human use containing 50 75 mg/kg or less of cannabidiol cannabinoids, including and 20 10 mg/kg or less of tetrahydrocannabinols., when labelled with either of the following warning statements:
i) Not for internal use; or
ii) Not to be taken.
|
<urn:uuid:c2513360-2305-4359-bd9e-36d73a01c5d4>
|
CC-MAIN-2025-05
|
https://numnuts.au/wp-content/uploads/2022/01/TGA-interim-decisions-lidocaine.pdf
|
2025-01-20T11:53:29+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-05/subset=warc/part-00217-88b30a59-3c73-48ba-a167-077611bfd245.c000.gz.parquet
| 437,663,836
| 3,008
|
eng_Latn
|
eng_Latn
| 0.970879
|
eng_Latn
| 0.992904
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
80,
2647,
5413,
8256,
12200,
14916
] |
Year 11 leavers assembly
We welcomed our Year 11 cohort into school for shirt signing, BBQ and leavers assembly this week. There was a buzzy atmosphere in the sports hall as Ms Scott put some tunes on, and the students signed each other’s shirts. We were so impressed by the students who had prepared beautifully decorated shirts in advance. The site team cooked a lovely BBQ for us, and the kitchen provided some yummy sides and cookies. We had an emotional final assembly, in which form tutors, Ms Loudain, Mrs Collins and Mr O’Sullivan all gave speeches. We feel incredibly proud of this Year 11 group and all they have achieved, and feel grateful for the chance to say goodbye to this wonderful year group. And we still have our prom to look forward to on the 5th July!
Year 8 Natural History Museum trip
On Monday and Wednesday, Year 8 students visited the Natural History Museum. They visited various galleries and immersed themselves in the history of our planet and the lives of animals and plants both extinct or still alive today! Students were curious about the different exhibits, engaged with the quiz, and some groups went above and beyond and explored more galleries than what was planned for! Students were sensible and managed to cope with the heat and severe train delays! Well done, Year 8s! Here’s a couple of pictures from the trip.
Here are some fascinating facts about the natural history of earth: the Earth is estimated to be 4.54 billion years old, based on evidence from radiometric age dating of meteorite material and Earth rocks, as well as using the ages of the oldest known terrestrial rocks. Oxygen was not always in Earth’s atmosphere. Ancient rocks show evidence that oxygen became a major part of Earth’s atmosphere only about 2.3 billion years ago. Earth has seen five mass extinctions over the past 500 million years. The first mass
extinction occurred 450–440 million years ago. The third is most significant, as it was responsible for removing about 96% of species – this was near the time of the Permian-Triassic extinction. The earth’s longest mountain range is underwater. It’s called the Mid-Ocean Ridge System. It stretches for 80,000 kilometres all the way around the world and is nearly 20 times longer than the longest range on the surface, the Andes. Earth’s largest living structure is the Great Barrier Reef. Spanning over 2,300 kilometres and visible from space, the Great Barrier Reef off the coast of Australia is the world’s biggest single structure made by living organisms, coral polyps.
Museum in London houses one of the world’s most important natural history collections. It has over 80 million items within five main collections: botany, entomology, mineralogy, palaeontology, and zoology. It’s a world-leading research institution. Many people know the museum as home to historical artifacts and galleries, but it’s also a hub for significant scientific research. The museum employs around 300 scientists and hosts numerous research students. The Natural History Museum has over 350 scientifically important collections, including specimens collected by Charles Darwin. Some of his specimens, from his landmark expedition on the Beagle, are still used in research on the nature of evolution. The museum also contains a rare piece of the moon brought back to earth by the Apollo Moon missions - one of only 382 kilograms of lunar material collected during these missions.
**Year 8 Biology**
Year 8 have been taking advantage of the good weather and heading out to the wild verges of our school field to identify common plants, and practise biological drawing skills. It might seem a long way off, but for those who go on to study A-level Biology, drawing high quality scientific drawings will be a key skill. We also enjoyed spending some time outside and seeing the variety of species growing on our school site.
Here are some fascinating facts about the Natural History Museum of London:
The museum was officially opened to the public on April 18th, 1881, but its origins date back to 1753 with the collection of Sir Hans Sloane. The Natural History
Turing House School Mock Election Update
We are really excited for our mock election next week! Students have been learning about our voting system and the importance of voting.
Next Thursday, the Sixth Form study room will be our polling station for the day, and students will be allocated a time slot to come down and vote.
The ballot boxes and voting papers are ready to go!
Results will be revealed in a whole-school assembly next Friday.
Over the last week, we have had two candidate speakers in, with students volunteering to attend these talks:
- Alex Starling of Reform UK
- Jonathan Hulley of the Conservative Party
A member of staff in attendance commented that it was like watching an episode of Question Time, with the students asking brilliant questions and engaging in important discussions around current affairs and politics.
These questions included topics such as:
- The Rwanda policy
- The National Service proposed policy
- Immigration
- Treatment of minority groups
- Support for single-parent families
- The increase in military spending
- The future of young people in the UK today
- Crime
Our students have really impressed us with how they have engaged in this election campaign; we hope to inspire the next generation to use their vote and engage in democracy.
Top UK Universities for studying History
Are you passionate about uncovering the stories of the past and understanding how they shape our world today? If so, studying history at one of the UK’s top universities may be the path for you. Here’s a list of some of the top institutions where you can dive deep into history.
University of Cambridge - History at Cambridge gives you the opportunity to explore the past from the ancient world to the present day. Choose from a range of different topics that interest you, from politics in the Roman Republic to material culture in the Ottoman Empire and neoliberalism in modern Britain and America. You will explore the past from many different angles, as well as the interaction between history and other disciplines.
University of Oxford - Oxford’s History course combines the examination of large regions over extended periods of time with more focused work on smaller social groups, shorter periods and particular themes. The course combines vigorous debate over questions of interpretation with rigorous attention to source material.
London School of Economics and Political Science (LSE) - Choose from a wide range of history courses
covering virtually every region of the world and period in history. The Department of International History is world-leading for research and teaching. Our internationally acclaimed academics will help you to develop your analytical powers, analyse complex evidence from a variety of sources and learn how to present your findings clearly – all highly transferable skills that are valued by employers.
**University of St Andrews** - From medieval to modern, Scotland to the Middle East, studying history at St Andrews offers you a broad and varied portfolio of courses to specialise in. You’ll study the histories of religion, politics, law, commerce, science and the environment across all periods. Renowned research combined with teaching excellence offers a dynamic and intellectually stimulating environment for the study of history.
**Durham University** - has one of the most highly regarded history departments in the UK and our students love being here. They offer modules covering periods from the Middle Ages to the present and many different parts of the world: Chinese, Japanese, African, South Asian and US history are all taught at Durham University, alongside British and other European history.
---
**The Poetry Society**
The English Department would like to encourage students to attend this brilliant, free, online poetry writing workshop hosted by The Poetry Society:
**Online Workshop and Open Mic for Young Poets**
Saturday 29 June 2024, 2:00 pm – 4:30 pm.
This is a **free**, one hour poetry writing workshop for 14–25-year-olds, followed by a Young Poets Takeover open mic over Zoom.
In the workshop, participants will be guided through prompts about using **rhyme**, **metre**, and **stanzas** in their writing, as part of the Poetry Toolbox series on Young Poets Network.
After a short break, the online Young Poets Takeover will begin, featuring headline sets from Foyle Young Poets and Young Poets Network Challenge winners, plus shorter open mic slots.
**Online Workshop and Open Mic for Young Poets** – The Poetry Society.
---
**Forthcoming Music Events**
The Music department is working towards two notable events in the local community on Friday 5th and Saturday 6th July where our students will be collaborating with students from across the borough, as well as local amateur musicians. Meg Delaney (Y11) will be performing with her band with their own original songs in ‘Live at the Exchange’ at The Exchange, Twickenham, whilst our school choir will be joining forces with Richmond Orchestra to perform songs from musicals at The Landmark Arts Centre, Teddington. Tickets can be secured directly from either The Exchange or The Landmark Arts Centre via the following:
[Richmond Music Trust Live At The Exchange – The Exchange, Twickenham | Creativity, expression, learning and enjoyment](exchangetwickenham.co.uk)
Richmond Orchestra - Landmark Arts Centre - Live Performances
Musical Instrument Lessons
Richmond Music Trust is now accepting registrations for musical instrument lessons for the academic year 2024-2025. Currently, we have peripatetic staff for instruments including Piano/Keyboard, Voice, Drum Kit, Acoustic/Electric Guitar, Trumpet, Violin, Viola and Cello. Other instruments can be accommodated upon request. If you’re interested in signing up for tuition, please complete the following online form: - Apply Now – Richmond Music Trust
Sporting Fixtures
Borough Sports Championships
A massive well done to everyone who represented THS at the Borough Sports Championships which took place this week at St Mary’s University. This was the biggest Turing team contingent yet as we entered events such as high jump and hurdles for the first time ever. Everyone blew us away with their positive attitude and athleticism on the day and there were plenty of outstanding results among our individual efforts. As a school THS finished in 5th place out of 13 schools which is something to be proud of. Well done to all involved!
HYROX Fitness Race v Teddington
A group of Year 10 boys were invited to take part in a first-of-its-kind fixture this week against Teddington in a unique and gruelling fitness race. As if temperatures weren’t hot enough, the Turing team brought the heat as they gave their all over the course of several exercise stations that were broken up with some compromised running. This fixture formed a Hyrox trial event - Hyrox is the organisation responsible for making fitness racing an accessible sport on a global scale. The aim of the event was to complete the race as quickly as possible which, overall, THS managed to do by a matter of seconds! This was the first time this has been done in a British school so the boys made their own history through their participation and success. Well done to all involved!
Year 9/10 Boys Cricket v Richmond upon Thames
Last week the Year 9 and 10 boys were up against Richmond upon Thames in their cricket fixture, hoping to take their winning form to further heights.
The Turing team were up first to bowl and made their intentions clear by taking a total of 9 wickets in 12 overs, keeping the opposition to 66 runs. When they stepped up to get stuck into their batting inning, the boys felt confident that they could chase 66 runs before the 12 overs had concluded. They managed exactly that and emerged victorious as they surpassed the RTS score with a few overs spare, and the day’s mission was complete. Well done to all involved!
Middlesex Schools Athletics Championships
On Monday, a small team of Year 7 and 8 students were selected to represent Richmond borough at the Middlesex Schools Athletics Championships, held at the StoneX stadium in North London. Competing against eight other boroughs in each event, the THS team performed brilliantly: Florence came third in the Javelin; Holly bagged fourth place in the 100m race; Xavier scored first in the discus; Jay flew to first place in the 100m race. The students came away feeling rightfully very proud of themselves and enjoyed the competitive sports day out. Well done to all involved!
External Clubs and Notices
The Teddington Village Fair is on Sunday 30th June (12:00 – 17:30), Come along to Udney Hall Gardens (off Langham Road) and join in all the fun:
- Fun and Games on stalls from local community groups
- Music and Dance on the stage and performance area
- Food and drink from local businesses
- Teddington Society plant stall
- The finish line for the United Response Pram Race
- Miniature Gardens and Art competitions for children (entries by 12 noon on the day)
- Prizes for Pram Race and Children’s competitions presented by the Mayor.
Check out our plant stall which will have a selection of good quality herbaceous perennials, grasses and shrubs, 1.5/2 litre pots. All at great prices between £7 and £10 each. We’re also selling tomato plants grown by Royal Paddocks Allotments plot holders.
See our website for more details, including information about the children’s competitions and, closer to the time, a link to the programme, which will include the list of stall holders, entertainment line-up and our sponsors.
This is a free opportunity, and the young people will undertake storyboarding, script writing, acting, prop/costume making and editing workshops. They will also be given cameras, lighting and microphones. Their short films will then be screened at Richmond Theatre, on the 16th August.
The young people would need to be on Pupil Premium and/or from a deprived area or disadvantaged background.
Below is the schedule for the week. Timings are provisional, so if you would like for the young people to start earlier/later please let me know.
| Time | Monday 12th August | Tuesday 13th August | Wednesday 14th August | Thursday 15th August | Friday 16th August |
|---------------|--------------------|---------------------|-----------------------|----------------------|--------------------|
| 10:30-11:00 | Arrival and Sign-in| Arrival and Sign-in | Arrival and Sign-in | Arrival and Sign-in | Arrival and Sign-in|
| 11:00-13:00 | Story-boarding workshop | Prop-making workshop | Filming | Filming | Guided Tour |
| 13:00-14:00 | Lunch | Lunch | Lunch | Lunch | Celebration Lunch! |
| 14:00-16:00 | Script writing workshop | Costume making workshop | Filming | Editing workshop | Film Screening |
| 16:00-16:30 | | | | Feedback | |
It’s only 4 weeks until our first Barracudas summer camps open!
We know now is a key time for parents to sort their childcare for the long school holiday and we’re experiencing high booking levels!
This a great chance to remind your school community of their exclusive discounts on summer activities at your local Barracudas camp. Parents just need to add SCHOOL20 in the promotion box to receive an extra £20 off a full week booking
We’re looking forward to a summer of FUN and look forward to welcoming children from your school to camp.
|
37c22703-01ee-4b8b-9ff4-d3172331c9a6
|
CC-MAIN-2024-30
|
https://turinghouseschool.org.uk/documents/newsletters/THS_Newsletter_-_2024.06.28.pdf
|
2024-07-16T03:29:11+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-30/subset=warc/part-00122-65338ae2-db7f-48fa-a620-71777c40d854.c000.gz.parquet
| 517,979,846
| 3,209
|
eng_Latn
|
eng_Latn
| 0.998203
|
eng_Latn
| 0.998624
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | true
|
docling
|
[
774,
1874,
4122,
6608,
9472,
10597,
12692,
15207,
15751
] |
THE MARKET FOR ORGANIC AND FAIR-TRADE
COTTON FIBRE AND COTTON FIBRE PRODUCTS
Study prepared in the framework of FAO project GCP/RAF/404/GER
"Increasing incomes and food security of small farmers in West and Central Africa through exports of organic and fair-trade tropical products"
The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.
The views expressed in this information product are those of the author(s) and do not necessarily reflect the views of FAO.
All rights reserved. Reproduction and dissemination of material in this information product for educational or other non-commercial purposes are authorized without any prior written permission from the copyright holders provided the source is fully acknowledged. Reproduction of material in this information product for resale or other commercial purposes is prohibited without written permission of the copyright holders. Applications for such permission should be addressed to Chief, Electronic Publishing Policy and Support Branch, Communication Division
FAO, Viale delle Terme di Caracalla, 00153 Rome, Italy, or by e-mail to [email protected].
THE MARKET FOR ORGANIC AND FAIR-TRADE COTTON FIBRE AND COTTON FIBRE PRODUCTS
Study prepared in the framework of FAO project GCP/RAF/404/GER
"Increasing incomes and food security of small farmers in West and Central Africa through exports of organic and fair-trade tropical products"
By Ellen Pay
Trade and Markets Division
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS Rome, 2009
1. THE MARKET FOR ORGANIC COTTON FIBRE AND FIBRE PRODUCTS
1.1. LABELLING OF ORGANIC COTTON FIBRE AND COTTON FIBRE PRODUCTS
Current legislation on the labelling of organic products in Europe and the United States only covers seed cotton in its raw and unprocessed form, leaving the labelling of organic textiles to the discretion of the manufacturer or retailer. A number of organizations, mostly organic certification agencies, have developed their own private voluntary standards for organic textiles, aimed at preserving the integrity of the organic nature of the certified fibre as much as possible. At the level of the consumer, these textiles are generally labelled as being "produced from organic cotton", with the percentage of organic cotton in the final product varying from case to case.
Current private standards for organic textiles include those developed by the United Kingdom's Soil Association; the Sustainable Textile Production Programme developed by Control Union International; the Tessile Biologico-label of AIAB-ICEA; the IVN Best-Naturtextil label developed by the International Association of Natural Textile Industry; and Naturland's Processing Standards for Textile. Meanwhile, Organic Exchange, a network gathering brands, distributors and producers of textiles, has developed two voluntary standards guaranteeing the traceability of the use of certified organic cotton in textiles containing 100 percent organic cotton (the OE 100 Standard), or in blended textiles containing at least 5 percent organic cotton (the OE Blended Standard). These standards do not impose any requirement as to the processing of fibres into textiles 1 .
In 2006, the Global Organic Textile Standard (GOTS), a voluntary standard for the sustainable processing of organic cotton, was launched by four organizations, including the International Association of Natural Textile Industry (IVN), the Japan Organic Cotton Association (JOCA), the Soil Association and the Organic Trade Association (OTA), in an attempt to address the proliferation of private voluntary labels. The GOTS label, which covers all natural fibres, aims at ensuring the organic status of textiles, from the harvesting of raw materials through environmentally and socially responsible manufacturing to packaging, labelling, exportation, importation and distribution. To date, more than 2 000 textile facilities are participating in the inspection and certification system of GOTS; a GOTS logo was launched in August 2008. A product labelled with the GOTS logo contains at least 95 percent certified organic (or in conversion) fibres. Textiles containing 70 to 95 percent organic (or in conversion) fibres are labelled as "containing at least X percent organic fibres" 2 .
1 See <http://www.organicexchange.org>.
2 See <http://www.global-standard.org>.
1.2. GLOBAL PRODUCTION OF ORGANIC COTTON FIBRE
According to Organic Exchange, the production of organic cotton reached 145 865 tonnes in the 2007/08 crop year, up by 152 percent year-on-year and growing at an average annual rate of 185 percent over the past three years 3 . The production increase is due in large measure to increased production in India (which in 2008 saw its production rise by 292 percent to 73 702 tonnes, about half of world organic cotton production), and is fuelled by the heightened demand for organic cotton from small- to large-sized retailers around the world 4 . Despite this strong growth, organic cotton represented a mere 0.6 percent of the world market for cotton in 2007/08 5 .
While the conventional cotton crop was expected to decrease in 2008/09, both in terms of the area under production and in terms of output, organic cotton production is forecast to increase to 224 722 tonnes, accounting for 0.91 percent of the global cotton crop 6 .
Leading organic cotton producers other than India include, according to rank, Syria, Turkey, China, Tanzania, United States, Uganda, Peru, Egypt and Burkina Faso 7 (see Table 1).
Table 1. Production of organic cotton in the ten leading countries, 2007/08 (in tonnes)
Source: Foglia & Ferrigno (2009).
More than half the global production of organic cotton is in the hands of two companies – one in Turkey and the other in India 8 –, while the 25 largest brands and retailers absorb some 50–60 percent of the global organic cotton supply 9 .
3 According to ITC (2007), however, worldwide production and sales of organic cotton fibre stood at only 23 000 tonnes in 2006. ITC argues that Organic Exchange has overestimated production in India and Africa.
4 Organic Trade Association (2009).
5 Organic Exchange (2008), via Foglia and Ferrigno (2009).
6 Foglia & Ferrigno (2009), based on USDA and Organic Exchange.
7 Organic Trade Association (2009).
8 ITC (2007).
9 ITC (2007).
1.3. THE DEMAND FOR ORGANIC COTTON FIBRE PRODUCTS
1.3.1. Overview
The demand for, and supply of, organic cotton fibre products has grown dramatically in recent years, indicating strong interest from both global retail markets and farmers in growing cotton organically. While the development of new certification standards, information tools and business models by nongovernmental organizations such as Organic Exchange, Organic Trade Association, Helvetas, Soil Association, Oxfam, etc. has helped suppliers develop and implement organic cotton programmes, consumers' increasing awareness about the environmental implications of cotton production has fuelled consumer demand for this product category 10 .
According to Organic Exchange, global retail sales of organic cotton products stood at an estimated US$3.2 billion in 2008, up 63 percent year-on-year. They are expected to reach US$4 billion in 2009 and US$5.3 billion in 2010, up 24 and 33 percent annually, respectively, in spite of the global economic downturn. Meanwhile, the market for branded organic cotton items has grown from 74 839 tonnes in 2007 to 92 998 tonnes in 2008, and will reach 123 272 tonnes in 2009.
While ITC (2007) asserts that demand for organic cotton is already outstripping supply and is likely to continue to do so in the near future, Organic Exchange asserts that supply shortages will only occur if the annual growth rate of production falls below 40 percent, well below the growth rates recorded over the past few years.
The organic cotton market is evenly split between Europe and the United States 11 , and the brands and retailers offering the largest organic cotton product ranges worldwide are Wal-Mart, C&A, Nike, H&M, Zara, Anvil, Coop Switzerland, Pottery Barn, Greensource and Hess Natur 12 . Where organic cotton items in both the United States and Europe were traditionally primarily sold through mail order or web companies, health stores and small, specialized organic textiles shops, today many mainstream retailers carry organic textile products. With a now well-established market of consumers willing to pay a premium for organic products, particularly in the European and North American markets, big brands are jumping on the band wagon earlier than they did in the organic food market. In total, more than 1 500 brands and retailers around the world sell organic cotton products 13 , and the inclusion of organic cotton into product lines has become the norm, rather than the exception. Indeed, growing consumer awareness of sustainability issues and interest in organic products means that both stores "for the masses" and high-end fashion boutiques are rapidly expanding their range of organic clothing and textile products. While some companies, including American Apparel, the largest clothing manufacturer, wholesaler and retailer in the United States, have made sustainability an important aspect of their corporate identity, companies without an explicit sustainability agenda are increasingly going organic as well.
Organic cotton fibre is now used in products ranging from personal care items (sanitary products, cotton pads, ear swabs, …) to home furnishings (towels, bed linen, bathrobes, ...), children's products (toys, diapers, …), clothing of all kinds and styles, and even stationary and note cards. In addition, organic cottonseed is used to produce animal feed, while organic cottonseed oil is used in a number of food products, including cookies and chips 14 .
10 Organic Exchange (2007).
11 Hartman (2007).
12 Ecotextile News (2009).
13 Organic Exchange (2009).
14 http://www.ota.com/organic/mt/organic_cotton.html.
Wal-Mart, the world's largest public corporation, accounting for 40–50 percent of basic garment turnover in the United States 15 , introduced an organic cotton babywear collection in 2006, and plans to extend its organic cotton product range to all kinds of textiles and clothing. The company currently is the world's largest purchaser of organic cotton products.
Nike, the world's leading supplier of sports shoes and apparel, began blending organic cotton into its clothing in 1998, and in 2002 launched its first 100 percent organic cotton items under the label Nike Organics. It is estimated that 9 percent of the cotton used by Nike in 2007 was organic, representing 5 000 tonnes of organic cotton fibre (compared to 1 950 tonnes in 2005 16 ), making Nike the second largest retail user of organic cotton in the world. The percentage of Nike garments containing organic cotton rose from 22 percent in 1999 to 52 percent in 2008. The company's goal is to blend a minimum of 5 percent organic cotton in all of its cotton products by 2010, whilst steadily expanding its offer of 100 percent certified organic cotton items 17 .
H&M, one of the most recognized garment brand names in the world, has been using organic cotton since 2004, when it began mixing some organic cotton into its children's clothing items. In 2007, the company introduced its first 100 percent organic cotton items. H&M expects to use 3 000 tonnes of organic cotton in 2009, compared to the 30 tonnes used in 2006, and aims at increasing volumes by at least 50 percent annually over the next five years. In addition, to support cotton growers during the conversion period from conventional to organic production, H&M has started to use so-called transitional cotton, of which it aims to use 50 tonnes in 2008 18 .
Other large clothing manufacturers and retailers offering organic cotton items include Banana Republic, Gap, Levi Strauss and Co (which launched its first 100 percent organic cotton jeans in 2006), Nordstrom, Patagonia, Target, Timberland (which aims at purchasing 10 percent of its cotton from organic suppliers by 2010), Under the Canopy, Victoria's Secret, Zara, etc. Meanwhile, high-end designers, including Rogan Gregory, Katherine Hamnett, Linda Laundermilk, Stella McCartney and Diane von Furstenberg are including organic fabrics in their collections.
1.3.2. The European market for organic cotton products
While Germany has traditionally led Europe's demand for organic cotton, with mail order companies accounting for the bulk of sales in this category, German consumption levels have recently been surpassed by those in Switzerland. Thanks to the sale of 100% organic cotton items by the country's two largest supermarket chains, Coop and Migros, Switzerland is now Europe's largest user of organic cotton products consuming 2 250 tonnes of organic cotton in 2007, compared to Germany's 1 500 tonnes 19 .
Meanwhile, demand in the United Kingdom is believed to be catching up with, or even exceeding, that in Germany, and three out of every four British High Street retailers are now believed to be offering organic cotton products 20 . Total sales of organic cotton in the United Kingdom increased from UK£60–65 million in 2007 to UK£85–90 million in 2008, up 40 percent year-on-year. Total sales of organic clothing and textile, including wool and linen, are expected to treble between 2008 and 2012, reaching UK£280 million. Marks and Spencer, one of the country's largest retailers of clothing, food and home products, sold 1.1 million organic cotton items in 2008, more than five times the volume
15 ITC (2007).
16 ITC (2007).
17
<http://www.nikebiz.com/responsibility/considered_design/environmentally_preferred.html>. 18
<http://www.hm.com/us/corporateresponsibility/environment/focusoncottonandtheenvironment__envworkarticle3. nhtml>
19 ITC (2007).
20 Hartman (2007).
sold during the previous year, while New Look sold 2.3 million items, up 50 percent in comparison with 2007 21 .
France, which is believed to be another booming market for organic cotton products, is estimated to have consumed 600 tonnes of organic cotton in 2007, with supermarket chain Monoprix leading the country's sales of organic cotton products. Other important markets are Sweden (350 tonnes in 2007), Italy (250 tonnes) and the Netherlands (100 tonnes) 22 .
1.3.3. The market for organic cotton products in the United States
According to the Organic Trade Association's 2009 Organic Industry Survey, sales of organic fibre, linen and clothing in the United States totalled US$472 million in 2008, up 65 percent year-on-year.
Several major brands in the United States, including Nike and Timberland, have been using a small proportion (typically 5 percent) of organic cotton in their garments for many years now. While these garments cannot be considered organic, the demand created by this blending of organic and conventional cotton fibres encourages producers to step up their supply of organic cotton 23 . Indeed, the current supply of organic cotton fibre is insufficient to allow these mass-marketers to offer a significant proportion of their garments with 100 percent organic cotton.
With consumer demand for eco-friendly fibres growing, manufacturers and retailers are increasing the proportion of organic cotton used in their garments, as well as expanding their offer of 100 percent organic cotton items. While the main segments of the organic cotton market – apparel for women and children and home products – became more robust and newer segments, including accessories, menswear and youth apparel, were further developed, new segments, such as health care products containing organic cotton, also emerged in 2007 and 2008 24 .
21 The Soil Association (2009).
22 ITC (2007).
23 Pesticides Action Network UK (2007).
24 Organic Trade Association (2008).
2. THE MARKET FOR FAIR-TRADE COTTON FIBRE AND FIBRE PRODUCTS
2.1. FLO STANDARDS AND PRICING FOR COTTON FIBRE AND COTTON FIBRE PRODUCTS
Unlike organic agriculture, there are no governmental regulations for fair-trade, be it in Europe or in the United States, and any company can claim to be trading its products "fairly". To fill this regulatory void, a number of national private voluntary fair-trade certification schemes were developed and grouped under the umbrella organization Fairtrade Labelling Organizations International (FLO). Whilst the FLO system is the largest and most widely recognized fair-trade certification system, other labelling initiatives have been developed, including "The Better Cotton Initiative", "Cotton Made in Africa", the "No Sweat" initiative, the "Made By" label, etc.
Current FLO standards only cover seed cotton in its raw, unprocessed form 25 ; the Fairtrade mark does not certify the manufacture of garments or the intermediate stages of production, such as spinning and weaving. However, the FLO standard for seed cotton does specify that every operator in the supply chain which takes ownership of the cotton must demonstrate efforts to comply with national labour regulations and ILO conventions 26 . In addition, FLO's cotton composite policy stipulates that all cotton used in a finished product must be Fairtrade certified for the garment to be eligible to carry the Fairtrade mark. Blended textile products must contain at least 50 percent certified organic cotton.
FLO is currently researching the feasibility of a Fairtrade standard for textiles and certification at garment making level.
The FLO system guarantees a Fairtrade minimum price and a Fairtrade premium. In July 2008, Fairtrade Labelling Organizations International introduced regional Fairtrade Minimum Prices for conventional and organic seed cotton, representing an average price increase of 24 percent per kilo in comparison to the previous Minimum Prices, which were set per country 27 . In addition to the Minimum Price, buyers must pay a Fairtrade Premium of €0.05 per kg of seed cotton. When the market price rises above the Fairtrade minimum price, the Fairtrade price is the market price plus the Fairtrade premium. FLO estimates that over 30 000 farmers benefited from the programme in 2007.
25 FLO developed its Fairtrade Standard for seed cotton in 2004.
26 The following indicators of compliance may be applied: IFAT membership; SA8000 certification; participation in one of the following initiatives: Ethical Trading Initiative, Fair Wear Foundation, Fair Labour Association, Workers' Rights Consortium; a letter of endorsement of a union accredited by ICFTU; or an external audit against the ETI Base Code. For more information, see
<http://www.fairtrade.net/fileadmin/user_upload/content/2009/standards/documents/09-
09_EN_Seed_Cotton_SPO.pdf>.
27 The introduction of a regional pricing system allows producers from 76 countries to access Fairtrade certification, compared to only nine countries previously. Fairtrade Foundation (2008).
Table 2. Fair-trade Minimum Prices and Premiums for seed cotton, in euro per kg, ex works (from 1 July 2008)
Source: Fairtrade Labelling Organizations International (2009)
2.2. THE INTERNATIONAL MARKET FOR FAIR-TRADE COTTON PRODUCTS
2.2.1. Overview
According to FLO, 27 573 000 fair-trade certified cotton items were sold globally in 2008, up 94 percent year-on-year. 8.3 percent of all items sold worldwide were also certified organic 28 . In value terms, worldwide sales reached €175.9 million in 2008, making cotton the fifth most important fairtrade product in terms of global sales after coffee, bananas, tea and cocoa 29 .
28 FLO (2009).
29 Fairtrade Foundation (2009).
2.2.2. The market for fair-trade cotton products in Europe
France, the United Kingdom, Belgium, Italy, Luxemburg and Switzerland were among the first countries in Europe to market fair-trade certified cotton products, starting in 2005. Fair-trade cotton products were introduced in Germany, Austria, Finland, Sweden, Ireland, Denmark and Norway in 2007, and in May 2008 in the Netherlands. Across Europe, fair-trade cotton lines are stocked by the likes of La Redoute, Switcher, Jack & Jones, Nanso, Gardeur, Armedangels, Rica Lewis & E.Leclerc 30 .
Sales of fair-trade cotton products have increased dramatically since their introduction on European markets. Fair-trade cotton products in France, for example, account for 18 percent of total fair-trade sales, three years after their introduction on the market 31 . Fair-trade cotton products were launched in Finland in 2007, and after only one year account for more than 11 percent of total sales of fair-trade products. Similarly, in many European countries, sales of fair-trade cotton products recorded doubleor even triple-digit annual growth rates in recent years (see Table 3).
Sales of fair-trade cotton in the United Kingdom have skyrocketed since their introduction in the country in 2005. The country is by far Europe's largest market for fair-trade cotton products, recording sales worth over UK£100 million in 2008, up from UK£6,6 million in 2006 and UK£52.1 million in 2007 32 . Over 1 000 products made from fair-trade certified cotton have been licensed in the United Kingdom, from clothing to home textiles. Marks & Spencer, which launched its first fair-trade cotton socks and t-shirts in 2005, purchased one third of the world's fair-trade cotton in 2007 33 . In financial year 2007/08, the company – the largest clothing retailer in the United Kingdom – sold 5 million fairtrade cotton garments, equalling 2 300 tonnes of fair-trade cotton fibre 34 , making it the world's largest retailer of fair-trade cotton. Tesco, the largest British retailer, is expected to come second in 2009, selling between 15 and 20 million fair-trade garments. In March 2006, Sainsbury's, the country's third largest supermarket chain, ordered 40 tonnes of fair-trade certified cotton, the largest single order placed in the country until then; the company ordered 640 tonnes of fair-trade cotton in 2008 and plans to step up the number of fair-trade garments sold in its stores to 3 million pieces in 2009, twice the volume sold in the previous year 35 . Other highstreet retailers carrying fair-trade cotton products include Top Shop, Top Man, Debenhams, Monsoon, Muji, The Co-op, Boots, and many more.
With the exception of the United Kingdom – where the Fair Trade Foundation aims at ensuring that at least 10 percent of all cotton clothing contains fair-trade cotton by 2012 – and despite the impressive growth recorded over the past few years, fair-trade cotton products still account for only a fraction of the total European market for cotton products. TransFair Germany, for example, in its latest annual report states that "to date, the textiles sector has not made not enough efforts to make fair-trade cotton available to a wide consumer base. Despite some widely publicized sales campaigns, fair-trade cotton has not yet established itself firmly at the retail level" 36 .
30 Julseth (2008).
31 Max Havelaar France (2008).
32 The Fairtrade Foundation (2009).
33 just-style.com (2008).
34 Marks and Spencer (2008).
35 Thompson (2008).
36 TransFair Germany (2008).
Table 3. Sales of Fairtrade cotton products in Europe
Sources: Fairtrade Italia, Fairtrade Mark Ireland, Fairtrade Max Havelaar Norge (Norway), Max Havelaar France, Max Havelaar Stiftung (Switzerland), Max Havelaar Denmark, Stichting Max Havelaar (Netherlands), Reilukauppa (Finland), SETEM (2008), TransFair Italia.
2.2.3. The market for fair-trade cotton products in the United States
TransFair USA, the national FLO organization in the United States, has been working on developing a standard for fair-trade garments for several years now, and it is expected that a pilot release of the first garments manufactured according to Fair Trade Certified standards will begin in November 2009, while the first certified garments – sourced from India, Rwanda and Costa Rica – should be introduced on a commercial scale in early 2010. According to TransFair USA, the Fair Trade Certification will be the first ever garment certification to guarantee higher wages to garment workers, at twice the legal minimum wage in producing countries.
As a result of the absence of a Fair Trade Certification for garments, fair-trade clothing has been slow to emerge on the US market, and has not gained anywhere near the prominence that fair-trade food products such as coffee, which can be purchased at any Starbucks, have. American Apparel, which manufacturers all its clothes in downtown Los Angeles, is the only mass-market brand recognized by consumers as a fair-trade business in the United States, while Fair Indigo, which relies mainly on internet and catalogue sales, markets upscale fair-trade clothing. Meanwhile, fair-trade fashion brand Edun offers high-priced garments through upscale retailers such as Saks and Nordstrom.
3. OUTLOOK
Opportunities
According to industry sources, world textile demand is expected to rise by 3 to 4.5 times from 2000 to 2050 37 . The environmentally and socially sustainable production of cotton fibre and cotton fibre products may prove crucial in meeting this demand without compromising the livelihood of future generations. There is a real potential for African cotton, which uses less chemical inputs than American, European or Chinese cotton, and provides a livelihood for millions of farmers in West and Central Africa, to benefit from the interest of both industry and consumers in organic and fair-trade cotton 38 .
While it is estimated that more than 10 million people in West and Central Africa depend upon cotton production for their living 39 , the prices that farmers get for their cotton often do not cover the costs of production. By producing organic or fair-trade cotton, farmers can obtain prices that are higher than those for conventional cotton. According to the Fairtrade Foundation, the price received by farmers for fair-trade cotton in 2005/06 was 40 percent higher than that for conventionally traded cotton in Senegal, and 70 percent higher in Mali 40 . Meanwhile, farmers producing organic cotton can earn up to 30 percent more per kilo than their conventional counterparts 41 .
Consumers are likely to become increasingly aware of the social and environmental conditions in which the products they purchase are manufactured, and insist on buying from suppliers who share their values. While the current economic downturn may have an impact upon the rate of growth of organic and fair-trade cotton sales, sales are still expected to increase significantly over the course of the coming years. Indeed, research suggests that when faced with economic uncertainty, consumers choose their purchases more carefully, favouring products that demonstrate greater value, even when more expensive 42 .
With both global production of and consumer interest in sustainable cotton increasing, and growing commitment to sustainable fibre use by manufacturers and retailers across the spectrum of styles and demographics, the market for organic and fair-trade cotton fibre products is likely to continue to grow in the foreseeable future. While the growing involvement of large textiles brands and retailers is fuelled by the current wave of ethical consumerism, the increasing availability of ethically produced textile items – combined with widespread media coverage – in turn strengthens consumers' interest in and willingness to purchase these items 43 .
The growth of the sustainable cotton market is expected to be further stimulated by the development of new certification systems, information tools and business models by non-governmental organizations such as Organic Exchange, Organic Trade Association, Made-By/Solidaridad, Helvetas, Soil Association, Oxfam, Fair Trade Foundation etc., which help suppliers develop and implement environmentally and socially sustainable cotton programmes. The "Business to Business Online Marketplace" of Organic Exchange 44 , the "Directory for Organic Cotton and Organic Cotton Products"
37 Terhaar (2008).
38 Agence Française de Développement (2008).
39 FAO (2004).
40 Fairtrade Foundation (2008).
41 IRIN (2009). However, it is unclear whether the higher prices paid for organic cotton compensate for the lower yields of organic production. Organic cotton may be more profitable than conventional cotton when world oil prices, and thus the cost of chemical inputs, are high; and less profitable when oil prices are low.
42
N. Chiarelli of GfK Roper Consulting, cited by Condit and Marquardt (2009).
43 ITC (2007).
44 See www.organicexchange.org.
of the Pesticide Action Network 45 and "Organic Link" of the International Trade Centre 46 are online business-to-business marketplaces, supplying information regarding the actors involved in the supply chain of organic cotton 20.
Challenges
* The challenge facing the development of the market for organic and fair-trade cotton and cotton products is not demand – it is the supply which is holding back organic cotton from conquering larger shares of the cotton market. Indeed, the supply of organic cotton is currently too limited to allow large brands and retailers to mass-market 100 percent organic garments, and the growing number of retailers wanting to offer eco-friendly clothing is facing a crunch 47 . According to ITC (2007), the marketing of organic cotton has been so successful over the past years that new entrants risk becoming disappointed by the lack of product availability and loose interest in organic cotton.
* According to ITC (2007), more than half the global production of organic cotton is in the hands of two companies, while the 25 largest brands and retailers absorb some 50–60 percent of the global organic cotton supply. The high level of concentration at the supply side, coupled with the limited overall volume of organic cotton traded worldwide, makes for a potentially volatile market, where conditions can change abruptly as a result of shifts in the commercial strategy of a limited number of large retailers and brands.
* The high-street fashion industry prides itself on instant responsiveness to the short-lived trends of the fashion business, requiring garments to be disposable and cheap. This philosophy is in complete contrast with the nature of organic cotton production, which requires a long and often costly conversion period, or the fair-trade ethos of long-term trading relationships, pre-ordering, fair prices and non-exploitation of workers' rights along the supply chain. It remains to be seen whether the brands and retailers that explicitly market organic or fair-trade cotton items today will be able to sustain their commitment in the long term 48 .
* The development of the market for environmentally and socially sustainable cotton products has been, and will continue to be, demand-driven, fuelled by a consumption trend towards ethical products. However, little is known about the perception and appreciation of "organics" in textiles and clothing. Unlike their counterparts in the food sector, marketers of organic cotton products cannot use the health argument when communicating the organic nature of their garments to consumers. In addition, the current legislative void as to the labelling of organic and fair-trade cotton fibre products, and the resulting proliferation of private voluntary certification schemes 49 , is confusing to consumers. Private certification schemes, no matter how stringent, are only valuable if they are understood and trusted by consumers not to be marketing ploys playing upon their desire to purchase ethically. Indeed, the lack of regulation of the term "organic" or "fair-trade", and
45 See www.organiccottondirectory.net.
46 http://www.intracen.org/dbms/organics/index.asp.
47 Harkin (2007).
48 Tickle (s.d.).
49 UNCTAD, in collaboration with the European Commission and the Secretariat of the African, Caribbean and Pacific Group of States, is currently developing a web portal on economic, environmental and social sustainability claims, which is to substantiate sustainability claims for consumers and provide information and operational guidance to producers, manufacturers, importers and retailers. See <http://220.127.116.11/en/SustainabilityClaims-Portal/>.
the fact that any brand or retailer can label its garments as "organic" or "fair-trade" without thirdparty certification, is detrimental to those brands that do pay out for the official seals and confusing to the public, which is unable to differentiate between self-declared "green" or "fair" brands and those that comply with the requirements of third-party certification schemes.
BIBLIOGRAPHY
Agence Française de Développement. 2008. Developing the fair trade and organic fair trade cotton industry in West and Central Africa. Available at:
<http://www.afd.fr/jahia/Jahia/site/afd/lang/en/pid/24205>.
Association Max Havelaar France. 2008. Rapport Annuel. Available at: <http://www.maxhavelaarfrance.org/IMG/pdf/rapport-annuel-2007-2008-2.pdf>.
Condit, B. & Marquardt S.
2009. Brendan Condit and Sandra Marquardt of the Organic Exchange examine organic cotton's rise in popularity.
Cotton 24/7
. Available at:
<http://www.cotton247.com/viewpoints/ciguest/?storyid=350>.
Ecotextile News. 2009. Exclusive: organic cotton market outlook. Available at: <http://www.ecotextile.com/headline_details.php?id=935>.
2008. Fairtrade Labelling Organizations International (FLO) introduces
Fairtrade Foundation.
regional Fairtrade Minimum Prices for cotton. Available at:
<http://www.fairtrade.net/single_view1.html?&cHash=a3c7a90d29&tx_ttnews%5BbackPid%5D=614&t x_ttnews%5Bpointer%5D=3&tx_ttnews%5Btt_news%5D=42>.
2009. Global Fairtrade sales increase by 22%. Available at:
Fairtrade Foundation.
<http://www.fairtrade.org.uk/press_office/press_releases_and_statements/jun_2009/global_fairtrade_s ales_increase_by_22.aspx>.
FAO. 2004. The State of Agricultural Commodity Markets 2004. Rome. Available at: <ftp://ftp.fao.org/docrep/fao/007/y5419e/y5419e00.pdf>.
2009.
FLO.
Annual Report 2008-09.
Available at:
<http://www.fairtrade.net/.../user.../FLO_ANNUAL_REPORT_08-09.pdf
>.
Foglia, A. & Ferrigno, S. 2009. Organic cotton. In: Willer, H. & Kilcher, L. (eds.). The world of organic agriculture. Statistics & emerging trends 2009. pp. 103–107. IFOAM, Bonn; FiBL, Frick; ITC, Geneva.
Harkin, F. 2007. The Business of Fashion: The Cotton Wars. Financial Times. Available at: <http://www.cottoninc.com/cotton-sustainability-media/Business-of-Fashion-Cotton-Wars/>
Hartman, T. 2007. Europe's Fashionistas Go Organic. Deutsche Welle. Available at: <http://www.dwworld.de/dw/article/0,2144,2737180,00.html>.
IRIN. 2009. West Africa: Can organic cotton save the industry? Available at: <http://www.irinnews.org/Report.aspx?ReportId=82947>.
ITC. 2007. Organic cotton: an opportunity for trade. Geneva.
Julseth, M. 2008. Fairtrade Cotton. In: Sustainable Cotton. Assuring a renewable source. Cotton Outlook. Available at: <http://www.cotlook.com/SpecialFeatures/SustainableCottonSpFt_08.pdf>.
just-style.com. 2008. UK: M&S buys one-third of world's Fairtrade cotton. Available at: <http://www.just-style.com/article.aspx?id=99602>.
Marks and Spencer. 2008. Presentation delivered at The Green Event, New York, 2008. Available at: <http://www.textileinsight.com/greenevent/powerpoint/Marks_and_Spencer.pdf>.
Organic Exchange. 2007. Organic Cotton Market Report: Preliminary Highlights. Available at: <http://www.organicexchange.org/Documents/market_high_fall07.pdf>.
Organic Exchange. 2009. The Future of Organic and Sustainable Fibres. Available at: <http://www.organicexchange.org/meetings/presents/tex09_lrp.pdf>.
Organic Trade Association. 2008. Organic Cotton Market Report 2008.
Organic Trade Assocation. 2009. Organic Cotton Facts.
Available at: <http://www.ota.com/organic/mt/organic_cotton.html>.
Pesticide Action Network UK. 2007. My Sustainable T-Shirt: A guide to organic, fair trade, and other eco standards and labels for cotton textiles. London. Available at: <http://www.cccimages.com/CATALOGUES%20in%20PDF/Other/My%20Sustainable%20T-shirt%20(English).pdf>.
SETEM. 2008. El Comercio Justo en España 2008. Canales de importación y distribución. Available at:
<http://madrid.setem.org/publicaciones/archivos/ELComercioJustoenEspana-2008-SETEM-baja.pdf>.
Terhaar, A.
2008. Consumer Impressions of Cotton and the Environment. In:
Sustainable Cotton.
. Cotton Outlook.
Assuring a renewable source
Available at: <http://www.cotlook.com/SpecialFeatures/SustainableCottonSpFt_08.pdf>.
2009. Cotton on to Fairtrade. Available at:
The Fairtrade Foundation.
<http://www.fairtrade.org.uk/press_office/press_releases_and_statements/february_2009/cotton_on_t o_fairtrade.aspx>.
2009.
The Soil Assocation.
Organic market report 2009.
Available at:
<http://www.soilassociation.org/LinkClick.aspx?fileticket=GPynfoJoPh0%3D&tabid=116>.
Thompson, J. 2008. Sainsbury's to bolster Fairtrade cotton offer. RetailWeek. Available at: <http://www.retail-week.com/sainsburys-to-bolster-fairtrade-cotton-offer/865149.article>.
s.d. Fair-trade cotton hits the high street.
Tickle, L.
Developments
. Available at:
<htttp://www.developments.org.uk/articles/fair-trade-cotton-hits-the-high-street/>.
Transfair Germany. 2008. Transfair E.V. Jahresbericht 2007 – Ausblick 2008. Available at: <http://www.transfair.org/fileadmin/user_upload/_____PDF_____/materialien/zumdownload/download _jahresbericht_0708.pdf>.
|
<urn:uuid:09f736b0-e76c-4847-90dc-e360511bc33a>
|
CC-MAIN-2020-16
|
http://www.fao.org/fileadmin/templates/organicexports/docs/Market_Organic_FT_Cotton.pdf
|
2020-04-02T07:48:47+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-16/subset=warc/part-00249-5e0433ee-fa15-4837-b2dc-d6f38301af97.c000.gz.parquet
| 225,070,669
| 8,340
|
eng_Latn
|
eng_Latn
| 0.93449
|
eng_Latn
| 0.986665
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
285,
2089,
4921,
6888,
10543,
14431,
16414,
19488,
20171,
23710,
25437,
29171,
32845,
33229,
35967,
38084
] |
POISON
Diflufenican / Bromoxynil
KEEP OUT OF REACH OF CHILDREN READ SAFETY DIRECTIONS BEFORE OPENING OR USING
SELECTIVE HERBICIDE
ACTIVE CONSTITUENTS: 250 g/L BROMOXYNIL present as the OCTANOATE
25 g/L DIFLUFENICAN
SOLVENTS: 397 g/L LIQUID HYDROCARBON
175 g/L N-METHYL-2-PYRROLIDONE
For the control of certain broadleaf weeds in winter cereals and pastures as specified in the Directions for Use.
IMPORTANT: READ THE ATTACHED LEAFLET BEFORE USE
20L, 110L, 1000L
DIRECTIONS FOR USE:
Restraints: DO NOT apply if crop or weeds are stressed due to dry or excessively moist conditions.
DO NOT apply to crops under stress due to disease or insect damage.
DO NOT apply to frost-affected crops or if frosts are imminent.
DO NOT apply if heavy rain is expected within 4 hours.
DO NOT apply with crop oils (cereals only)
CROP
| Wild Radish | Up to 2 leaf stage and not more than 60 mm in diameter and where weed density is less than 50 plants/m2 | 350 mL | WA only |
|---|---|---|---|
| Wild Mustard , Wild Radish | Up to 4 leaf stage and not more than 120 mm in diameter | 500 mL | All States |
| | Up to 6 leaf stage and not more than 150 mm in diameter | 750 mL | |
| | Up to 8 leaf stage and not more than 180 mm in diameter | 1.0 L | |
| Canola (rapeseed), Charlock, Turnip Weed, Wild Turnip | Up to 2 leaf stage and not more than 60 mm in diameter | 500 mL | |
| | Up to 4 leaf stage and not more than 120 mm in diameter | 750 mL | |
| Shepherd’s Purse | | 1.0 L | |
| Capeweed | Up to 4 leaf stage and not more than 120 mm in diameter | 500 mL | |
| | Up to 6 leaf stage and not more than 150 mm in diameter | 750 mL | |
| | Up to 8 leaf stage and not more than 180 mm in diameter | 1.0 L | |
| Corn Gromwell | Up to 4 leaf stage | 500 mL | |
| | Up to 6 leaf stage | 750 mL | |
CROP
WEEDS
CONTROLLED
WEED STAGE
RATE/ha STATE CRITICAL COMMENTS
Wheat,
Triticale,
Barley,
(including and these
vineyards
Pasture or lucerne
including vineyards
–
Wheat,
Triticale,
Barley,
Cereal Rye
Climbing Buckwheat Up to 2 leaf stage 500 mL
* 3 •
All States Critical Comments from previous page
| | Up to 4 leaf stage | 750 mL | |
|---|---|---|---|
| | Up to 6 leaf stage | 1.0 L | |
| Deadnettle, Paterson’s Curse (Salvation Jane), Rough Poppy | Up to 2 leaf stage | 500 mL | |
| | Up to 4 leaf stage | 750 mL | |
| Amsinckia, Doublegee (Spiny Emex) | Up to 2 leaf stage | 500 mL | Qld, NSW, ACT, Vic, Tas, WA only |
| | Up to 4 leaf stage | 750 mL | All States |
| Chamomile, Common Peppercress, Lesser Swinecress, Purple Calandrinia (Mountain Sorrel), Tree Hogweed | | 1.1 L | |
| Fat Hen, Field Madder, Saffron Thistle, Variegated Thistle | | 1.0 L | |
| Ox-tongue, Wireweed | Up to 2 leaf stage | | |
| Fireweed | Up to 4 leaf stage | 500 mL | Qld, NSW, ACT, Vic, SA, WA, NT only |
| Common Cotula (Bird’s Eye), Pheasant’s Eye (Adonis) | Up to 4 leaf stage | 560 mL | SA only |
| | Greater than 4 leaf stage | 1.1 L | |
| Fumitory | 2-6 leaf stage | 350 + 200 mL/ha terbutryn (500 g/L) | WA only |
CROP
WEEDS
CONTROLLED
WEED STAGE
RATE/ha STATE CRITICAL COMMENTS
Wheat, Barley,
| Dense-flower Fumitory | Up to 2 leaf stage | 750 mL | All States |
|---|---|---|---|
| | Up to 4 leaf stage | 1.0 L | |
| Chickweed, Common Sowthistle (Milk Thistle), Dock*, Hexham Scent (King Island Melilot), Prickly Lettuce, Scarlet Pimpernel, Skeleton Weed, Sorrel, Speedwell, Three-horned Bedstraw, Toad Rush | Up to 4 leaf stage | 1.0 L | |
| Volunteer Lupins | | 500 mL- 1.0 L | |
| Crassula (Stonecrop) | Up to 5 leaf stage | 500 mL | |
| Long Storksbill | Up to 4 leaf stage | | |
| Volunteer Field Peas | Up to 5 node stage | 750 mL | |
| Ward’s Weed | Up to 5 leaf stage | 1.0 L | |
| Vetch | Up to 2 leaf stage | | |
| Mouse-eared Chickweed | | | NSW, ACT only |
| Mexican Poppy | | | Qld only |
| Mintweed, Spoon Cudweed | Up to 4 leaf stage | | NSW, ACT only |
| New Zealand Spinach | Up to 2 leaf stage | 750 mL | Qld only |
| Cleavers | Up to 1 whorl stage | 1.0 L | SA only |
| Ball Mustard | Up to 4 leaf stage | | |
| Horehound | Pre-emergence | | |
| Marshmallow | Up to 2 leaf stage | | |
SUPPRESSION OF THE FOLLOWING WEEDS
Critical Comments from previous page
CROP
Wheat,
Triticale,
Barley,
Cereal Rye
NOT TO BE USED FOR ANY PURPOSE, OR IN ANY MANNER, CONTRARY TO THIS LABEL UNLESS AUTHORISED UNDER APPROPRIATE LEGISLATION.
| WEEDS CONTROLLED | WEED STAGE | RATE/ha | STATE |
|---|---|---|---|
| Wild Radish | Up to 4 leaf stage and not more than 120 mm in diameter | 350 mL plus 200 mL LVE MCPA (500 g/L) | WA only |
| | Up to the 6 leaf stage and not more than 150 mm in diameter | 500 mL plus 200 mL LVE MCPA (500g/L) | All States |
| | Up to the 8 leaf stage and not more than 180 mm in diameter | 500 mL plus 400 mL LVE MCPA (500 g/L) | |
WITHHOLDING PERIOD
Harvest:
Cereals, Grapes: NOT REQUIRED WHEN USED AS DIRECTED.
Grazing:
Pasture, Cereals: DO NOT GRAZE OR CUT FOR STOCK FOOD WITHIN 14 DAYS AFTER APPLICATION.
GENERAL INSTRUCTIONS
WEEDS LIST
| Amsinckia | Amsinckia spp. |
|---|---|
| Ball Mustard | Neslia paniculata |
| Canola (Rapeseed) | Brassica napus |
| Capeweed | Arctotheca calendula |
| Chamomile | Matricaria matricarioides |
| Charlock | Sinapis arvensis |
| Chickweed | Stellaria media |
| Cleavers | Galium aparine |
| Climbing Buckwheat | Fallopia convolvulus |
| Common Cotula (Bird’s Eye) | Cotula australis |
| Common Peppercress | Lepidium africanum |
| Common Sowthistle (Milk Thistle) | Sonchus oleraceus |
| Corn Gromwell | Buglossoides arvense |
| Crassula (Stonecrop) | Crassula spp. |
| Deadnettle | Lamium amplexicaule |
| Dense-flower Fumitory | Fumaria densiflora |
| Dock | Rumex spp. |
| Doublegee (Spiny Emex) | Emex australis |
| Fat Hen | Chemopodium album |
| Field Madder | Sherardia arvensis |
| Fireweed | Senecio spp. |
| Fumitory | Fumaria spp. |
| Hexham Scent (King Island Melilot) | Melilotus indicus |
| Horehound | Maruvium vulgare |
| Lesser Swinecress | Coronopus didymus |
| Long Storksbill | Erodium botrys |
| Marshmallow | Malva parviflora |
| Mexican Poppy | Argemone ochroleuca |
| Mintweed | Salvia reflexa |
| Mouse-eared Chickweed | Cerastium glomeratum |
WEEDS LIST
WEED (Common name)
New Zealand Spinach
Ox-tongue
Paterson's Curse (Salvation Jane)
Pheasants Eye (Adonis)
Prickly Lettuce
Purple Calandrinia (Sountain Sorrel)
Rough Poppy
Saffron thistle
Scarlet Pimpernel
Shepherd's Purse
Skeleton Weed
Sorrel
Speedwell
Spoon Sudweed
Three-horned Bedstraw
Toad Rush
Tree Hogweed
Turnip Weed
Variegated Thistle
Vetch
Volunteer Field Peas
Volunteer Lupins
Ward's Weed
Wild Mustard
Wild Radish
Wild Turnip
Wireweed
* 6 •
(Scientific name)
Tetragonia tetragonoides
Picris echioides
Echium plantagineum
Adonis dentatus
Lactuca serriola
Calandrinia menziesii
Papaver hybridum
Carthamus lanatus
Anagallis arvensis
Capsella bursa-pastoris
Chondrilla juncea
Rumex acetosella
Veronica spp.
Stuartina muelleri
Galium tricornutum
Juncus bufonius
Polygonum patulum
Rapistrum rugosum
Silybum marianum
Vicia sativa
Pisum sativum
Lupinus angustifolius
Carrichtera annua
Sisymbrium spp.
Raphanus raphanistrum
Brassica tournefortii
Polygonum aviculare
GENERAL INSTRUCTIONS
This product is a post-emergence contact herbicide, which may provide residual control of wild radish up to 4 weeks after application.
Apply ACP Diflufenican / Bromoxynil Selective Herbicide immediately after mixing. DO NOT allow to stand in the spray tank overnight. Optimum results will be obtained if good soil moisture exists at and after application and weeds are not stressed.
Some pre-emergence herbicides, such as atrazine, can cause stress to certain crops resulting in an increase in crop damage when using this product. Crops which are particularly sensitive are lucerne and subterranean clover.
Temperature warning
DO NOT apply ACP Diflufenican / Bromoxynil Selective Herbicide if frosts are imminent.
Frost causes stress on crops and weeds and could result in increased crop effects and/or decreased weed control. To ensure good results, ACP Diflufenican / Bromoxynil Selective Herbicide should only be applied once the weeds and crops are no longer under stress from the frost conditions. Avoid application when maximum daily temperatures above 20 o C occur, or are likely to occur for a few days after application, as increased crop damage may result.
CROP TOLERANCE
Cereals
After application some transient crop yellowing may occur. This usually appears as yellow or white banding on leaves. Provided the crop is not under stress from pre-emergent herbicide, root disease, insect damage, frost, dry or excessively moist conditions, the development of the crop and subsequent growth will be unaffected.
Lucerne
Warning: The tolerance of lucerne varieties to ACP Diflufenican / Bromoxynil Selective Herbicide can vary with rate of application, soil type, crop health, stage of growth and degree of moisture and temperature stress.
ACP Diflufenican / Bromoxynil Selective Herbicide may result in transient crop yellowing and suppression of growth with a resultant initial reduction in dry matter. For this reason, we recommend application prior to the 8 trifoliate leaf stage. However, under normal growing conditions subsequent growth and seed yield should not be affected. Crop damage may be increased if rates higher than 500 mL/ha are used and in areas where spray overlapping has occurred.
Under normal growing conditions, the following lucerne varieties have shown acceptable levels of foliage tolerance to ACP Diflufenican / Bromoxynil Selective Herbicide applied at 500 mL/ha: Hunter River, Nova and Dekalb 185.
Varieties not listed should be tested before using ACP Diflufenican / Bromoxynil Selective Herbicide over large areas. Consult your ACP representative for advice on specific varieties.
Subterranean Clover
Warning: The tolerance of subterranean clover varieties to ACP Diflufenican / Bromoxynil Selective Herbicide can vary with rate of application, soil type, crop health, stage of growth and degree of moisture and temperature stress. ACP Diflufenican / Bromoxynil Selective Herbicide may result in transient crop yellowing and suppression of growth with an initial reduction in dry matter. For this reason we recommend application prior to the 8 trifoliate leaf stage. However, under normal growing conditions subsequent growth and seed yield should not be affected. Crop damage may be increased if rates higher than 500 mL/ha are used and in areas where spray overlapping has occurred.
Under normal growing conditions, the following varieties have shown acceptable levels of foliage tolerance to ACP Diflufenican / Bromoxynil Selective Herbicide applied at 500 mL/ha:
Daliak, Dalkeith, Denmark, Goulburn, Karridale, Leura, Mt. Barker, Nungarin, Rosedale, Seaton Park, Trikkala and Woogenellup.
The variety Junee has shown increased sensitivity to ACP Diflufenican / Bromoxynil Selective Herbicide so care should be taken if this variety is part of the pasture sward.
The effects of ACP Diflufenican / Bromoxynil Selective Herbicide on subterranean clover seed yield have been tested on the following varieties. Under normal growing conditions they show acceptable levels of tolerance to ACP Diflufenican / Bromoxynil Selective Herbicide applied at 500 mL/ha. However, higher rates may reduce seed yield under conditions of low weed pressure:
Denmark, Goulburn, Larissa, Nungarin, Seaton Park, Trikkala and Woogenellup.
Varieties not listed should be tested before using ACP Diflufenican / Bromoxynil Selective Herbicide over large areas. Consult your local ACP representative for advice on specific varieties.
Other Clovers
Warning: The tolerance of clover varieties to ACP Diflufenican / Bromoxynil Selective Herbicide can vary with rate of application, soil type, crop health, stage of growth and degree of moisture and temperature stress. ACP Diflufenican / Bromoxynil Selective Herbicide may result in transient crop yellowing and suppression of growth with a resultant initial reduction in dry matter. For this reason we recommend application prior to the 8 trifoliate leaf stage. However, under normal growing conditions subsequent growth and seed yield should not be affected. Crop damage may be increased if rates higher than 500 mL/ha are used and in areas where spray overlapping has occurred. The effect on seed yield of other clovers has not been determined.
The following varieties of clover have shown increased sensitivity to ACP Diflufenican / Bromoxynil Selective Herbicide:
Big Bee, Sacromonte (Berseem), Haifa (White), Zulu (Arrowleaf), Kyambro, Lupers and Maral (Persian). Care should be exercised if these clovers are part of the pasture sward.
Varieties not listed should be tested before using ACP Diflufenican / Bromoxynil Selective Herbicide over large areas.
Consult your local ACP representative for advice on specific varieties.
Subsequent Crops
To reduce effect on subsequent susceptible crops (e.g. canola), ensure thorough cultivation of soil prior to the sowing of these crops.
MIXING
To ensure even mixing, half fill the spray tank with clean water and add the required amount of product. Agitate thoroughly while carrying out spray operations. Reseal part-used container immediately after use.
APPLICATION
Boom Sprayer
A minimum of 50 L water/ha should be used, however, for optimum results, water rates of 70-100 L/ha are recommended. Increase the water volume where weed infestation is heavy or the crop cover is dense. Complete coverage of weeds is essential. Higher water volumes (up to 100 L/ha) will ensure faster activity of the product on the weeds but may increase the symptoms of crop damage.
The following setting are examples which will ensure excellent coverage of exposed weeds:
| 50 L/ha | 75 L/ha |
|---|---|
| Hardi No. 10 or equivalent | Hardi No. 12 or equivalent |
| 10 km/h | 10 km/h |
| 240 kPa (2.4 bar) | 220 kPa (2.2 bar) |
Controlled Droplet Application (CDA)
Insufficient information is available to recommend the application of this product by CDA.
Warning: The rubber components present in some spraying units may be affected by exposure to the solvents in ACP Diflufenican / Bromoxynil Selective Herbicide. To reduce this risk it is recommended that the spray unit be thoroughly washed with a boom cleaner and fresh water after use.
Aircraft
Insufficient information is available to recommend the application of this product by air.
COMPATIBILITY
The following herbicide products are physically compatible with ACP Diflufenican / Bromoxynil Selective Herbicide as two-way mixtures in the spray tank, but should only be used for the crops specified, and only when the crop is also specified on the label of the compatible product:
(See below for list of compatible insecticides).
Crop
When mixing ACP Diflufenican / Bromoxynil Selective Herbicide with other herbicides, crop yellowing may be enhanced.
When mixing with Diclofop Methyl 500g/L, Wildcat* 110 EC, some reduction in the efficacy and speed of action of these products may occur.
When mixing with Targa* or Fusilade* some reduction in the efficacy and speed of action of these products and ACP Diflufenican / Bromoxynil Selective Herbicide may occur.
In tank mixtures with Lusta*, rates of ACP Diflufenican / Bromoxynil Selective Herbicide higher than 500 mL/ha may cause significant crop damage.
If the crop is stressed, the application of the herbicide tank-mixtures may cause yield reduction.
When mixing with Cadence* a temporary wilting may be evident in some crops after application. The mixture of ACP Diflufenican / Bromoxynil Selective Herbicide and simazine should be applied during winter to lucerne which is not actively growing. This mixture may result in an increased crop effect but this can be reduced if the lucerne is grazed or cut before spraying.
DO NOT mix ACP Diflufenican / Bromoxynil Selective Herbicide with Verdict*/Asset*.
* 10 •
Growers should seek advice before spraying recently released cereal varieties.
This product should be tank mixed in the spray tank with one of the following insecticides according to the directions for the insecticide product: Chlorpyrifos (500g/L product), Decis Options*, dimethoate, Alpha-Cypermethrin 100EC, Fastac* Duo, Le-mat 290 SL and Bifenthrin. Use the recommended rates for ACP Diflufenican / Bromoxynil Selective Herbicide and its tankmix partner. Read the label of the tank-mix partner before mixing and using the tank mixture. If another herbicide is applied as a tank mix, observe the plantback restriction on that label.
Warning: DO NOT use crop oils with ACP Diflufenican / Bromoxynil Selective Herbicide or ACP Diflufenican / Bromoxynil Selective Herbicide tank mixtures in cereals.
As formulations of other manufacturer's products are beyond the control of Australis Crop Protection Pty Ltd, all mixtures should be tested prior to mixing commercial quantities.
*Other Trademarks
RESISTANT WEEDS WARNING
ACP Diflufenican / Bromoxynil Selective Herbicide is a member of the nitrile and nicotinanilide groups of herbicides. The product is an inhibitor of photosynthesis at photosystem II and
carotenoid biosynthesis. For weed resistance management, the product is a Group C, F herbicide. Some naturally occurring weed biotypes resistant to the product and other Group C, F herbicides may exist through normal genetic variability in any weed population. The resistant individuals can eventually dominate the weed population if these herbicides are used repeatedly. These resistant weeds will not be controlled by the product or other Group C, F herbicides.
Since the occurrence of resistant weeds is difficult to detect prior to use, Australis Crop Protection Pty Ltd accepts no liability for any losses that may result from the failure of the product to control resistant weeds.
PROTECTION OF CROPS, NATIVE AND OTHER NON-TARGET PLANTS
DO NOT apply under weather conditions, or from spraying equipment, that may cause spray to drift onto nearby susceptible plants/crops, cropping lands or pastures. Wash sprayer thoroughly after use.
PROTECTION OF WILDLIFE, FISH, CRUSTACEANS AND ENVIRONMENT
Dangerous to fish. DO NOT contaminate streams, rivers or waterways with the chemical or used containers.
* 11 •
STORAGE AND DISPOSAL
Store in the closed, original container in a well-ventilated area as cool as possible. DO NOT store for prolonged periods in direct sunlight.
For Non-Refillable Containers: Triple rinse containers before disposal. Add rinsings to spray tank. DO NOT dispose of undiluted chemicals on-site. If recycling, replace cap and return clean containers to recycler or designated collection point. If not recycling, break, crush or puncture and deliver empty packaging to an approved waste management facility. If an approved waste management facility is not available, bury the empty packaging 500mm below the surface in a disposal pit specifically marked and set up for this purpose clear of waterways, desirable vegetation and tree roots, in compliance with relevant Local, State or Territory government regulations.
DO NOT burn empty containers or product.
For Refillable Containers: Empty contents fully into application equipment. Close all valves and return to point of supply for refill or storage.
SAFETY DIRECTIONS
Product is harmful if inhaled or swallowed. Will irritate eyes, nose, throat and skin. Avoid inhaling spray mist. When preparing spray wear elbow-length PVC gloves and face-shield. If product in eyes, wash it out immediately with water. After use and before eating, drinking or smoking, wash hands, arms and face thoroughly with soap and water. After each day's use wash gloves, face shield and contaminated clothing.
FIRST AID
If poisoning occurs, contact a doctor or Poisons Information Centre. Phone Australia 13 11 26. If swallowed, DO NOT induce vomiting. Give a glass of water. If in eyes, hold eyes open, flood with water for at least 15 minutes and see a doctor.
MATERIAL SAFETY DATA SHEET
For further information, refer to the Material Safety Data Sheet (MSDS) which is available from Australis Crop Protection upon request.
CONDITIONS OF SALE
The use of ACP Diflufenican / Bromoxynil Selective Herbicide being beyond the control of the manufacturer no warranty expressed or implied is given by Australis Crop Protection Pty Ltd regarding its suitability, fitness or efficiency for any purpose for which it is used by the buyer, whether in accordance with the directions or not and Australis Crop Protection Pty Ltd accepts no responsibility for any consequence whatsoever resulting from the use of this product.
*Other registered trademarks
* 12 •
|
<urn:uuid:ff473566-7143-4df6-8fe2-ae7ac8b8c860>
|
CC-MAIN-2024-42
|
https://www.austcrop.com.au/wp-content/uploads/ACP-Diflufenican-Bromoxynil-Website.pdf
|
2024-10-06T06:50:43+00:00
|
s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-42/subset=warc/part-00265-0c083cf2-c0ed-42ad-af5c-44f7548e96a0.c000.gz.parquet
| 582,172,916
| 5,512
|
eng_Latn
|
eng_Latn
| 0.809902
|
eng_Latn
| 0.976012
|
[
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn",
"eng_Latn"
] | false
|
rolmOCR
|
[
471,
1813,
3057,
4252,
5028,
7268,
10628,
13386,
14565,
16060,
18393,
20801
] |
Mezzaluna Electric Bass Family
Standard - 34" scale
Drawn by: RMM
Date: 4/26/02
Code Ident No.:
Size: 24 x 48
Drawing No:
Scale: 1:1
Sheet 1 of 1
1
PDF created with FinePrint pdfFactory Pro trial version www.pdffactory.com
A2
A3
B1
B2
B3
C3
Scale: 1:1
D3
E1
Title: Mezzaluna EL
Standard -
Drawn by: RMM
Code Ident No:
Size:
24
x
48
Electric Bass Family
- 34" scale
Date: 4/26/02
Drawing No: 1-3
|
<urn:uuid:fdd3c889-2cb4-4db1-b42a-b8efd6ec2b0f>
|
CC-MAIN-2019-04
|
https://www.liutaiomottola.com/instruments/mezzaluna_files/MezzalunaElectricTiled.pdf
|
2019-01-19T07:31:22Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2019-04/segments/1547583662690.13/warc/CC-MAIN-20190119054606-20190119080606-00203.warc.gz
| 855,947,730
| 186
|
eng_Latn
|
eng_Latn
| 0.551411
|
eng_Latn
| 0.48032
|
[
"eng_Latn",
"eng_Latn",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"unknown",
"eng_Latn",
"unknown"
] | false
|
docling
|
[
149,
228,
232,
236,
240,
244,
248,
252,
264,
268,
272,
350,
416
] |
Subsets and Splits
No community queries yet
The top public SQL queries from the community will appear here once available.